Msefsl Kyc Final

Finance Monitor India Pvt. Ltd.

All about Thinking One Step Ahead

ACCOUNT OPENING REGISTRATION FORM

(For Individual / Corporate / Other Clients)

Registered Office:B & E Mangalam, Ground floor, 155 Jain Society,Sion (West), Mumbai: 400 022.

Phone: 022 – 2404 0148, 2401 4416, Fax: 022 – 2404 2402.

E-mail:,Website:

North Mumbai Office: 9/10, Kamalvan, 1st Floor, Off. Link Road, M. G. Road, Kandivali (West), Mumbai – 400067.

Phone: 022 – 28698340 / 28698341, Fax: 022 – 28698342.

ACCOUNT OPENING KIT
INDEX
S.No. / Nameof the Document / Brief Significance of the Document / Page No
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
1 / Account Opening Form / A. KYCform-Documentcapturesthebasicinformationabout theconstituentandaninstruction/checklist. / 3 - 7
B. Documentcaptures the additional information aboutthe constituent relevant to trading account and ann instruction/checklist. / 8 - 11
2 / Rights and Obligations / Document stating the Rights & Obligations of stock broker/trading member, sub-broker and client for trading on exchanges (includingadditionalrightsobligations incase of internet/wirelesstechnologybasedtrading). / 14- 17
3 / Risk Disclosure Document (RDD) / Documentdetailingrisksassociatedwithdealinginthesecurities market. / 18-20
4 / Guidance note / Documentdetailing do'sand don'tsfor trading on exchange,for theeducationoftheinvestors. / 21-22
5 / Policies and Procedures / Documentdescribingsignificantpoliciesandproceduresofthe stockbroker / 23– 24
6 / Tariff sheet / Documentdetailingtherate/amountofbrokerageandother chargesleviedontheclientfortradingonthestockexchange(s) / 25
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
7 / Running Account Authorisation / Required for maintaining clients accountona running accountbasis. / 12
8 / Mobile Updation, Client defaulter & PMLA Policy Declaration. / Required to receive SMS alerts on the Mobile phone, Client defaulter declaration and Prevention of Money Laundering Act Policy Declaration. / 13

FINANCE MONITOR (INDIA) PVT. LTD.

SEBI Registration No. INB010712934 CLEARING NO. 3149 (BSE - Cash)

SEBIRegistration No. INB230712939 CLEARING NO. 07129 (NSE - Cash)

SEBI Registration No. INF230712939 CLEARING NO. 07129 (NSE-Derivatives)

SEBI Registration No.INE260712939 CLEARING NO 50200 (MCX-SX)

SEBI Registration No. INB260712931 CLEARING NO 50200 (MCX-SX Equity)

SEBI Registration No. INF260712931 CLEARING NO 50200 (MCX-SX Derivatives)

Registered Office:B & E Mangalam, Ground floor, 155 Jain Society,Sion (West), Mumbai: 400 022.

Phone: 022 – 2404 0148, 2401 4416, Dealing Tel.022-24014402/03/05/06 Fax: 022 – 2404 2402.

E-mail:,

Website:

Investor Complaints E-mail:

Compliance Officer: Mr. Ashok I. Parekh

CEO Detail: Mr. Nitin I. Parekh

Phone: 022 – 24040148, E-Mail:

For any grievance / dispute please contact FINANCE MONITOR (INDIA) PVT LTD. at the above address or Investor Complaints email Id or Phone No.

In case not satisfied with the response, please contact the concerned exchanges NSEat www. phone no.022-26598214, BSE at www. phone no.022-22721233/34, phone no.022-67319000

INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM

IMPORTANT POINTS

Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others.
Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized forattesting the documents, as per the below mentioned list.
If any proof of identity or address is in a foreign language, then translation into English is required.
Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
If correspondence & permanent address are different, then proofs for both have to be submitted.
Sole proprietor must make the application in his individual name & capacity.
For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.
For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.
In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.
For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.
Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc.

Proof of Identity (POI): List of documents admissible as Proof of Identity:

Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ driving license.
PAN card with photograph.
Identity card/ document with applicant's Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

Proof of Address (POA):List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.)

Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy.
Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.
Bank Account Statement/Passbook -- Not more than 3 months old.
Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised)that gives the registered address should be taken.
The proof of address in the name of the spouse may be accepted.

Exemptions/clarifications to PAN: (*Sufficient documentary evidence in support of such claims to be collected)

1.In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

2.Investors residing in the state of Sikkim.

3.UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

4.SIP of Mutual Funds upto Rs 50, 000/- p.a.

5.In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

List of people authorized to attest the documents:

Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation& Seal should be affixed on the copy).
In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

F.In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity / Documentary requirements
Corporate / □Copyofthebalancesheetsforthelast2financialyears(tobesubmittedeveryyear).
□Copyoflatestshare holdingpatternincludinglistofallthoseholdingcontrol,eitherdirectlyor indirectly,inthecompanyintermsofSEBItakeoverRegulations,dulycertifiedbythecompany
Secretary/Wholetimedirector/MD(tobesubmittedeveryyear).
□Photograph,POI,POA,PANandDINnumbersofwholetime directors/twodirectorsinchargeofdaytodayoperations.
□Photograph,POI,POA, PANofindividualpromotersholding control-eitherdirectlyor indirectly.
□CopiesoftheMemorandumandArticlesofAssociationandcertificateofincorporation.
□CopyoftheBoardResolutionforinvestmentinsecuritiesmarket.
□Authorisedsignatorieslistwithspecimensignatures.
Partnership firm / □Copyofthebalancesheetsforthelast2financialyears(tobesubmittedeveryyear).
□Certificateofregistration(forregisteredpartnershipfirmsonly).
□Copyofpartnershipdeed.
□Authorisedsignatorieslistwithspecimensignatures.
□Photograph,POI,POA,PANofPartners.
Trust / □Copyofthebalancesheetsforthelast2financialyears(tobesubmitted every year).
□Certificateofregistration(forregistered trustonly).
□CopyofTrust deed.
□Listoftrusteescertifiedbymanagingtrustees/CA.
□Photograph, POI,POA,PANofTrustees.
HUF / □PANofHUF.
□Deedof declaration of HUF/Listof coparceners.
□Bankpass-book/bankstatementinthenameofHUF.
□Photograph,POI,POA,PANofKarta.
Unincorporated association or a body of individuals / □ProofofExistence/Constitutiondocument.
□ResolutionofthemanagingbodyPowerofAttorneygrantedtotransactbusinessonitsbehalf.
□Authorizedsignatorieslistwithspecimensignatures.
Banks/Institutional
Investors / □Copyoftheconstitution/registrationorannualreport/balancesheetforthelast2financialyears.
□Authorizedsignatorieslistwithspecimensignatures.
ForeignInstitutional
Investors(FII) / □CopyofSEBIregistrationcertificate.
□Authorizedsignatorieslistwithspecimensignatures.
Army/Government
Bodies / □Self-certificationonletterhead.
□Authorizedsignatorieslistwithspecimensignatures.
RegisteredSociety / □CopyofRegistrationCertificateunderSocietiesRegistrationAct.
□ListofManagingCommitteemembers.
□Committeeresolutionforpersonsauthorisedtoactasauthorisedsignatorieswithspecimen signatures.
□TruecopyofSocietyRulesandByeLawscertifiedbytheChairman/Secretary
NRI / □AllDocuments andAnnexuresasrequiredforIndividualthefollowing.
□CopyofOverseasaddressproofCopyofIndianaddressproof.
□CopyofPassportandVisaCopyofRBIapproval( Whereverapplicable)

KNOWYOURCLIENT(KYC)APPLICATIONFORM- FORINDIVIDUALS

To,
Finance Monitor India Private Limited.
Member- Bombay Stock Exchange Ltd.
Member- National Stock Exchange Ltd.
Member- Central Depository Services Ltd.
Member- MCX-SX Stock Exchange.
SEBI Regn. No.
BSE - Cash INB 010712934 Clg. No. 3149
NSE - Cash INB 230712939 Clg. No. 07129
NSE - Derivatives INF230712939 Clg. No. 07129
CDSL - DP IN-DP-CDSL-228-2004
MCX-SX : INE260712939 Clg. No. 50200
MCX-SX EQUITY :INB26071293 Clg.No.50200
MCX-SX Derivatives:INF260712931 Clg.No.50200 / Registered Office: B & E Mangalam,
Ground floor, 155 Jain Society,
Sion (West), Mumbai: 400 022.
Phone: 022 - 24014402/03/05,
Fax: 022 - 2404 2402.
E-mail:
Website:
Investor Complaints:
E-mail:
Compliance Officer: AshokI. Parekh
Tel: 022 - 24040148
E-Mail: ashokparekh55gmail.com / Affix recent
Photograph
S1
Please sign across
the photograph

Clearing Member’s:Stock Holding Corp.Of India Ltd. Clearing Member’s: IL&FS Securities services Ltd.

Address:Mittal Court,’B’Wing, Address: IL&FS House, Plot No.14, Raheja Vihar

2nd Floor,224,NarimanPoint, Chandivili,Andheri (East)

Mumbai-400021. Mumbai: 400 072.

Tel.022-22855150 Tel No.022-28570965

SEBI REG NO. INF231133036 SEBI REG NO.INE261313337

(PleasefillthisforminENGLISHandinBLOCKLETTERS.)

Dear Sir,

I/We request you FMIPL to register me / us as your client and enable me / us to trade in the Stock Exchanges. I / We have read the Rules, Bye-laws and Regulations of the above stock exchanges and agree to abide by them. In this regard, I/We give the following information.

IDENTITY DETAILS

Name ofthe Applicant / Mr./Mrs./Ms.
Father'sName / Spouse Name / Mr./Mrs.
DateofBirth / Gender / Male Female
Marital Status / SingleMarried / Residential
Status / Resident IndividualNon Resident
Foreign National
Nationality
PAN / Unique Identification Number (UID) / Aadhaar, if any :
Specify the proof of Identity Submitted

B.ADDRESS DETAILS

Correspondence
Address
City:State:Country:PIN CODE:
ContactDetails / Mobile No.Landline No. (mention STD Code)
Fax No.:Email:
Specify the proof of CorrespondenceAddress submitted
Permanent
Address
(Ifdifferent
Fromabove)
City:State:Country:PIN CODE:
Specifytheproof ofPermanent Address submitted

NRIsONLY

Pleasetick () if you are a :  NRO NRE NRI ( Repatriable ) / Non-repatriable
(A)RBI Ref No. / (B)RBI Approval Date
Foreign Address
City:Country :
Tel. :Mobile :Fax :

C. OTHER DETAILS

1. GrossAnnualIncome / < Rs.1 LacRs.1 - 5 LacRs.5 - 10 Lac
Rs.10 - 25 Lac> Rs.25 Lac Rs. Specify......
(Or) Networth as on (Date)...... (Dd/mm/yyyy): Rs. (*Net worth should not be older than 1 year)
2. Occupation / Employment Details
Occupation /  Private Sector  Public Sector  Govt. Service  Business  Professional
 Agriculturist  Retired  House Wife  Student  Others (Specify...... )
Name of Employer / Establishment
Designation
Address (Office)
Contact Details / Phone: / Fax:
Email:
3. Please tick if Applicable / Politically Exposed Person (PEP) /  Related to a Politically Exposed Person (PEP)
4. Any Other Information

DECLARATION

I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief. I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading, I/We am/are aware that I/We may be held liable for it.
Date / Signature of the Applicant: S2
Place
Name: (Mr./Mrs./Ms.)

For Office Use Only

 (Originals verified) True copies of documents received

 (Self-Attested) self Certified Document copies received

For Finance Monitor (India) Pvt.Ltd.

Authorised Signatory

Date...... 4

KNOWYOURCLIENT(KYC)APPLICATIONFORM- FORNON INDIVIDUALS

To,
Finance Monitor India Private Limited.
Member- Bombay Stock Exchange Ltd.
Member- National Stock Exchange Ltd.
Member- Central Depository Services Ltd.
Member- MCX-SX Stock Exchange.
SEBI Regn. No.
BSE - Cash INB 010712934 Clg. No. 3149
NSE - Cash INB 230712939 Clg. No. 07129
NSE - Derivatives INF230712939 Clg. No. 07129
CDSL - DP IN-DP-CDSL-228-2004
MCX-SX : INE260712939 Clg No. 50200
MCX-SX EQUITY :INB26071293 Clg.No.50200
MCX-SX Derivatives:INF260712931 Clg.No.50200 / Registered Office: B & E Mangalam,
Ground floor, 155 Jain Society,
Sion (West), Mumbai: 400 022.
Phone: 022 - 24014402/03/05,
Fax: 022 - 2404 2402.
E-mail:
Website:
Investor Complaints:
E-mail:
Compliance Officer: AshokI. Parekh
Tel: 022 - 24040148
E-Mail: ashokparekh55gmail.com / Affix recent
Photograph
S1
Please sign across
the photograph

Clearing Member’s Name: Stock Holding Corp. Of India Ltd.Clearing Member’s : IL&FS Securities services Ltd.

Address: Mittal Court, ’B’ Wing, 2nd Floor, 224, Address : IL&FS House,Plot No.14,Raheja Vihar

Nariman Point, Mumbai - 400021. Tel.022-22855150 Chandivili,Andheri (East),Mumbai.400072.

Tel No.022-28570965,Fax No.28570948/49

SEBI REG NO. INF231133036 SEBI REG NO. INE261313337

(PleasefillthisforminENGLISHandinBLOCKLETTERS.)

Dear Sir,

IDENTITY DETAILS

Name ofthe Applicant
Date of Incorporation/
Formation / Place of Incorporation/
Formation
Date of Commencement
of Business
PAN / Registration No.
Status (Please tick Any One) /  Private Ltd Co. /  Public Ltd. Co. /  Body Corporate /  PartnershipTrust
 Charities /  NGO's /  FI /  FII
 HUF /  AOP /  Bank /  Govt. Body
 Non-Govt Orgn. /  Defence Estb. /  BOI /  Society
 LLP /  Others (Please specify...... )

B.ADDRESS DETAILS

C. OTHER DETAILS

1. GrossAnnualIncome / < Rs.1 LacRs.1 - 5 LacRs.5 - 10 Lac
Rs.10 - 25 Lac> Rs.25 Lac Rs. Specify......
2. Networth as on (Date)...... (dd/mm/yyyy): Rs. (*Net worth should not be older than 1 year)
3. Name, PAN, Residential Address and photographs of Promoters/Partners/Karta/Trustees & Whole Time Directors: Please Fill Annexure A
4. DIN/UID of Promoters/Partners/Karta/Trustees & Whole Time Directors: Please Fill Annexure A
5. Please tick if Applicable / Politically Exposed Person (PEP) /  Related to a Politically Exposed Person (PEP)
6. Any Other Information

DECLARATION

I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief. I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading, I/We am/are aware that I/We may be held liable for it.
S2
Name/Signature/Seal of the Authorised Signatory
Date:
Place:

For Office Use Only

 (Originals verified) True copies of documents received

 (Self-Attested) self Certified Document copies received

For Finance Monitor (India) Pvt.Ltd.

Authorised Signatory

Date......

ANNEXURE A - DETAILS OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS

Full Name / PHOTOGRAPH

PANDID/UID
Date of Birth Designation
CityStatePincode
Telephone E-mail
Qualification ExperienceEquity Stake
Residential
Status: / Resident Individual Non-Resident IndividualOthers
Signature:
Full Name / PHOTOGRAPH

PANDID/UID
Date of Birth Designation
CityStatePincode
Telephone E-mail
Qualification ExperienceEquity Stake
Residential
Status: / Resident Individual Non-Resident IndividualOthers
Signature:

ANNEXURE B - DETAILS OF AUTHORISED PERSONS TO DEAL IN SECURITIES ON BEHALF OF COMPANY

TRADING ACCOUNT DETAILS: FOR INDIVIDUALS AND NON INDIVIDUALS

A. BANK DETAILS:

(Please attachseparate sheet and documentary proof if more than two Bank accounts have been registered.)

BANK NAME / Bank A/c Type / Savings Current
Others in case of NRI/NRE/NRO
BANK A/C NO.*
BANK BRANCH ADDRESS
MICR CODE / RTGS/NEFT/IFSC
BANK NAME / Bank A/c Type / Savings Current
Others in case of NRI/NRE/NRO
BANK A/C NO.*
BANK BRANCH ADDRESS
MICR CODE / RTGS/NEFT/IFSC

* Payment will be issued to the said Bank Account by default unless and otherwise specified.

B. DEPOSITORY ACCOUNT(S) DETAILS (Attach Client Documentary Proof for each Client Id.)

Depository Participant Name / Depository Name
(NSDL / CDSL) / Beneficiary Name / DP ID / Beneficiary ID(BO ID)
C. TRADING PREFERENCES / Please sign in the relevant boxes where you wish to Trade.
The segment not chosen should be struck off by the Client.
Exchanges # / Name of the Segment # / Signature of the Client
BSE / CAPITAL MARKET / S3
BSE / DERIVATIVES / S4
NSE / CAPITAL MARKET / S5
NSE / DERIVATIVES / S6
MCX / CURRENCY / S7
MCX / EQUITY / S8
MCX / DERIVATIVES / S9

# If the Client wants to trade on any segment /new exchange, separate authorization letter should be taken from the client by the stock broker.

D. PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:Yes /No

If yes, give details…………………………………………………………………………………………………………………..

E. DEALING WITH SUB BROKERS AND OTHER STOCK BROKERS

If Client is dealing through the Sub Broker, provide the following Details: / Yes No
Sub Broker Name / SEBI Registration No. / Registered Office Address / Phone/Fax Details
Whether dealing with any other Stock Brokers / Sub Brokers,
If Yes, give details (Please provide details of all) / Yes No
Stock Broker Name / Sub Broker Name / Exchange / Client Code

Details of disputes/dues pending from/to such Stock Broker/Sub Broker:

______

F. ADDITIONAL DETAILS

Whether you wish to receive Physical Contract Note or Electronic Contract Note:
Physical Contract Note: Yes No / Electronic Contract Note(ECN): Yes No
Specify Your E-mail Id , if applicable:
Whether you wish to avail of the facility of Internet Trading / Wireless Technology (Please specify):
Internet Trading Facility: Yes No / Wireless Technology Facility: Yes No
Investment Experience / No Prior Experience_____ / In Stock______Years / In Derivatives_____ Years
In Other Investment related field ______Years
In case of Non- Individuals, name, designation, PAN, UID, Signature, residential address and photographs of persons authorized to deal in securities on behalf of Company/Firm/Others:
Please fill Annexure B
Any Other Information