Change of Address: Procedure

(I) A written application for change of address from the Client. (In case of joint holdings, all holders must sign the application);

(II) Proof of Identity along with the original. [Above of the Client (sole holder or either of the holders) visiting the office of the DP].

(III) Latest transaction statement of the account received from the DP. In case a Client (sole holder or either of the holders) personally visits the DP's office to submit an application (signed by all holders in case of joint holdings) for change of address along with necessary documents (POI / proof of address) mentioned in point no. (I), the DP need not obtain the transaction statement from such Client.

(IV) Proof of new address along with the original documents of the new address.

(V) The Client should personally visit the office of the DP where the Client maintains and operates his/her account and submit the application for change of address. However, in case the Client expresses inability to personally visit the office of the DP, the application for change of address along with other documents can be submitted through an authorized representative, whose identity the DP must verify.

(VI) The Client or its authorized representative should sign the application once again in the presence of the officials of the DP.

(VII) An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

Change of Bank Details: Procedure

( I) A written application for change of bank details from the Client. (In case of joint holdings, all holders must sign the application).

(II) Bank Passbook / Bank Statement / cancelled bank cheque leaf. (Bank cheque leaf mandatory for updating MICR/IFS codes).

(III) A cancelled bank cheque leaf or a specimen copy of cheque leaf should be enclosed along with bank statement for I-Zone & Trading account holders.

(IV) The office of the DP where the Client maintains and operates his/her account and submit the application for change of bank details.

(V) An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

Change of Signature: Procedure

(i)  The Client should make a request in writing specifying reasons for change in signature. (It should be executed on Rs.20/- non-judicial stamp paper).

In case of joint holdings, all holders must sign the application.

(ii) New signature should be duly attested by Client's banker with full details. (Bank authorized signatory name, designation, signature and bank seal).

(iii)Client should visit the DP's office personally and produce valid proof of identity and proof of address.

(iv) In the presence of officials of DP, Client should affix his/her new signature.

(VI) Client addresses and bank details should be same as per client demat account.

(VII) Incase any changes, change of address and bank details request letters along with supporting documents required.

(VIII) An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

General Power of Attorney: procedure

( I) A written application for registration of power of attorney from the Client. (In case of joint holdings, all holders must sign the application);

(II) Latest transaction statement of the account received from the DP. In case a Client (sole holder or either of the holders) personally visits the DP's office to submit an application (signed by all holders in case of joint holdings) for registration of power of attorney along with necessary documents, the DP need not obtain the transaction statement from such Client.

(III) Proof of address & proof of identity for both parties.

(IV) The Client should personally visit the office of the DP where the Client maintains and operates his/her account and submit the application for registration of power of attorney.

(V) The Client should sign the application once again in the presence of the officials of the DP.

In case the Client(s) is/are temporarily or permanently disabled due to which he/she cannot come in person to submit the documents as mentioned in point (c) above, the thumb impression of the Client(s) on the instruction forms must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate or a similar authority holding a Public Office and authorised to use the Seal of his office or a manager of the account holder’s bank. The Client should also produce a medical certificate about his/her disability.

(VI) Power of Attorney documents should be registered / notarized with sub-registrar office.

(VII) Power of attorney signature should be present on power of attorney documents. Incase not present on the documents, the signature attested by the bank manager with full details.

(VIII) Power of Attorney should be notarized in case of photocopy.

(IX) An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

That SMS alert is mandatory for all depository accounts operated through Power of Attorney except in case of accounts held by non-individuals, foreign nationals and NRIs.

Make a nomination / Cancel the Nomination: Procedure

·  A written application for make a nomination / cancel the nomination from the Client (In case of joint holdings, all holders must sign the application) along with Annexure JA.

·  Karvy Stock Broking Limited dp branch attestation with full details required on the documents.

Instructions:

1.  The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form.

2. A minor can be nominated. In that event, the name and address of the guardian of the

Minor nominee shall be provided by the beneficial owner.

3. The nominee shall not be a trust, society, body corporate, and partnership firm, Karta of Hindu Undivided Family or a power of Attorney holder. A non – resident Indian can be a Nominee, subject to the exchange controls in force from time to time.

4. Nomination in respect of the beneficiary owner accounts stands rescinded upon closure Of the beneficiary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.

5.  Transfer of securities in favor of a nominee shall be valid discharge by the depository against the legal heir.

6.  The cancellation of nomination can be made by individuals only holding beneficial owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.

7.  On cancellation of the nomination, the nomination shall stand rescinded and depository shall not be under any obligation to transfer the securities in favor of the Nominee.

Change of authorized signatory

§  A written application for change of authorized signatory.

§  A fresh board resolution mentioning all authorized signatories who shall operate the depository account along with the specimen signature and photographs of the authorized signatories.

§  Authorized signatory(s) signatures attested by the bank manager with full details. (Bank authorized signatory name, designation, signature and bank seal).

§  Proof of PAN card and Proof of Address of the Company.

§  Proof of identity and proof of address required for all authorized signatories.

§  An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

Change of Authorized Signatory in Trust a/c.

§ A written application for change of authorized signatory.

§ A fresh board resolution mentioning all authorized signatories who shall operate the depository account along with the specimen signature and photographs of the authorized signatories.

§ Trust deed copy.

§ Proof of PAN card and Proof of Address of the Trust.

§ Proof of identity and proof of address required for all authorized signatories.

§ An authorized official of the DP shall verify the documents with original documents under his name, employee code, designation, signature and branch seal.

Change of Address of body-corporate account: Procedure.

(a) A written application for change of address of the corporate entity, signed by all the authorised signatories should be submitted to the DP.

(b) At least one of the authorised signatories should visit the office of the DP in person to submit its application for change of address along with necessary documents and sign the application once again in the presence of the officials of the DP.

(c) DP should collect Proof of new address & PAN card along with the original documents, for verification by the DP.

(d) An authorised official of the DP shall verify the application and the abovementioned documents with the original and put his/her name, designation, employee code, signature and dp branch seal on the application with remarks "verified with original".

Change of Name – Procedure.

(i) In case the entity is registered under the Companies Act, 1956, the following documents should be obtained from the Client:

o  Letter requesting for change of name signed by the authorized signatories.

o  Certified true copy of fresh certificate of incorporation consequent upon change of name issued by the Registrar of Companies.

o  Certified true copy of Board Resolution for change of name.

(ii) In case of other corporate entities, the following documents should be obtained from the Client:

o  Letter requesting for change of name signed by the authorized signatories.

o  Certified true copy of Board Resolution for change of name.

o  Certificate of registration issued by SEBI / relevant Statutory Authorities, as applicable.

Further, in case of change in authorized signatories, obtain a fresh board resolution mentioning authorized signatories who shall operate the demat account along with the specimen signature & photograph and follow the procedure given in our circular no. NSDL/POLICY/2007/0077 dated December 19, 2007.

In-person verification report – Procedure.

a) The branch staff of the DP only should carry out 'in-person' verification.

b) Verify the identity & address of the applicant(s).

c) After due verification, affix a stamp on the face of the on the document(s) collected as proof of identity & proof of address, etc., to the effect that the identity of the applicant(s) is verified 'In-Person'. The stamp should carry the following details:

·  Name of the DP and DP Id & Client Id.

·  Name / Details of Branch/Service Centre,

·  Details of the DP staff who has carried out 'in-person' verification (Name, Employee code if any, Signature),

·  Date and place where 'in-person' verification was carried out.

·  Signature of the applicant(s) signed in the presence of the DP staff. In case of joint accounts, all holders should sign in the presence of the DP staff.

MINOR TURNED MAJOR CLEINTS - PROCEDURE

To activate Minor turned Major accounts you are required to collect the following documents from client as per Regulatory Norms.

New application form duly filled and signed by the client along with self attested copies of Address Proof and PAN Card. The same should be attested by the Branch staff also.

In case there is change in bank details and address of the client with the existing details, separate requests for change of address and bank details should also be provided along with the form.

Copies of date of birth certificate (with name) / School leaving certificate / Mark sheet issued by Higher Secondary Board of respective states, ICSE, CBSE / passport of the minor / original or attested or notarized (in case of photocopy).

If there is a mismatch of the signature of the Minor Turned Adult in the copy of PAN Card and the signature as per the Account Opening Application form, it should be attested by a Bank Manager.

Please note that upon receipt of the above documents we shall rescan the signature of the client and activate the existing account.

Procedure for closing an Account.

(1) The request letter must contain all details that are specified in the Application for Closing an Account (Annexure Q).

(2) The Client must submit duly signed delivery instruction form(s) (Annexure L) for transferring the securities, if any.

(3) All the account holder(s) must sign the request.

(4) The client should pay outstanding amount to DP, if any.

Procedure for Shares Transfer cum Closing an Account.

For transfer cum closure,the following set of documents is to be collected from the client:

1)  A/c Closure Form (duly signed by all the holdersmentioning the target DP Id & Client Id). Format for A/c Closure is attached.

2)  Delivery instruction slips (Off-Mkt instructions mentioning all the active ISIN's which are to be transferred to another a/c.)

3) Other DP Client Master Report (preferably original NSDL CML print-out with DP seal & sign). CML not mandatoryiftarget client Id also pertains to KSBL.

The applicant should submit any one of the following as a valid proof of identity / proof of address along with a photocopy: (NSDL/PI/2004/1622 dated September 7, 2004)

(a) Proof of Identity (POI):

I. Passport
II. Voter ID card
III. Driving license
IV. PAN card with photograph
V. Identity card/document with applicant’s Photo, issued by
a) Central/State Government and its Departments,
b) Statutory/Regulatory Authorities,
c) Public Sector Undertakings,
d) Scheduled Commercial Banks,
e) Public Financial Institutions,
f) Colleges affiliated to Universities (this can be treated as valid only till the time the applicant is a student),
g) Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members, and
h) Credit cards/Debit cards issued by Banks.

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(b) Proof of Address:

I. Ration card
II. Passport
III. Voter ID card
IV. Driving license
V. Bank passbook / Bank Statement (NSDL/POLICY/2007/0074 dated December 01, 2007) (not more than one quarter).
VI. Verified copies of
a) Electricity bills (not more than two months old),
b) Residence Telephone bills (not more than two months old) and
c) Leave and License agreement / Agreement for sale.
VII. Self-declaration by High Court & Supreme Court judges, giving the new address in respect of their own accounts.
VIII. Identity card/document with address, issued by
a) Central/State Government and its Departments,
b) Statutory/Regulatory Authorities,
c) Public Sector Undertakings,
d) Scheduled Commercial Banks,
e) Public Financial Institutions,
f) Colleges affiliated to Universities (this can be treated as valid only till the time the applicant is a student) and
g) Professional Bodies such as ICAI, ICWAI, Bar Council etc., to their Members.