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Beneficial Owner Declaration - Annexure I

This document is a beneficial owner declaration form for companies, partnerships, LLPs, trusts and other entities. It requests information about: [1] The entity type and whether it is a listed company. [2] Senior managing officials or trustees of the entity. [3] Beneficial owners holding over the threshold of controlling ownership (25% for companies, 15% for others) including their details. [4] If a non-individual owns over the threshold, the individual exercising ultimate control over that entity. The purpose is to identify the beneficial owners of the entity.

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Samkit Jain
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273 views

Beneficial Owner Declaration - Annexure I

This document is a beneficial owner declaration form for companies, partnerships, LLPs, trusts and other entities. It requests information about: [1] The entity type and whether it is a listed company. [2] Senior managing officials or trustees of the entity. [3] Beneficial owners holding over the threshold of controlling ownership (25% for companies, 15% for others) including their details. [4] If a non-individual owns over the threshold, the individual exercising ultimate control over that entity. The purpose is to identify the beneficial owners of the entity.

Uploaded by

Samkit Jain
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as DOCX, PDF, TXT or read online on Scribd
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Annexure –I

BENEFICIAL OWNER DECLARATION-


Company/Partnership/LLP/AOP/BOI/Trust/Societies
(To be obtained on the letterhead of the client)

Please fill the Form in BLOCK LETTERS ONLY. All fields marked "*" are MANDATORY. Please ensure that all
mandatory fields have been filled correctly else the form is liable to be rejected.

*Date of declaration: __/__/____ (DD/MM/YYYY)

Entity type: Company LLP Partnership Trust

AOP (Association of Persons) BoI (Body of Individuals)

Whether Company is listed* No Yes


If yes, Name of Stock Exchange: _____________________________________________________________

Entity Name: _____________________________________________________________________________

Section I (a): We declare that no individual person holds directly **Controlling ownership in the captioned
Company/Firm/LLP/AOP/BoI/Trust above the prescribed threshold limit.
Below are the details of Natural Person who holds the position of Senior Managing Official (in
Company/Firm/LLP/AOP/BOI) / all Trustees (in Trust)

1 Name of Senior Managing


position/Trustee
Date of Birth/
Date of Incorporation *
Designation Please paste
photograph of
PAN/CIN Number* Individual Beneficial
Owner here
Address

2 Name of Senior Managing


position/Trustee
Date of Birth/
Date of Incorporation *
Please paste
Designation photograph of
Individual Beneficial
PAN/CIN Number* Owner here

Address
Section II: I/We the undersigned hereby declare the below details of beneficial owners holding **Controlling
ownership in the captioned Company/LLP/Firm/AOP/BoI above the prescribed threshold limit

1 Name of trustees, settlers, grantors&


Beneficiaries / Name of Shareholders /
Partner / Beneficial holders
Date of Birth /Date of Incorporation*
Mention if trustee, settler, grantor,
Please paste
protector or beneficiary or Designation(In
photograph of
case of Companies) Individual Beneficial
PAN/CIN Number* Owner here
Address

% of Ownership/Capital /Profits

2 Name of trustees, settlers, grantors&


Beneficiaries / Name of Shareholders /
Partner / Beneficial holders
Date of Birth /Date of Incorporation*
Please paste
Mention if trustee, settler, grantor,
photograph of
protector or beneficiary or Designation(In
Individual Beneficial
case of Companies) Owner here
PAN/CIN Number*
Address

% of Ownership/Capital /Profits

(For Trusts: Pls provide details of trustees, Settlors, Grantors, Protectors, beneficial owners holding 15% and above
beneficial interest in the captioned Trust)

Section III: Applicable only if there is/are non-individual Beneficial owner(s) holding Controlling** ownership as
declared in Sec II.

The following individual person(s), directly or indirectly, holds **Controlling ownership in the above captioned
Company/Firm/LLP/AOP/BoI/Trust

1 Name of trustees, settlers, grantors&


Beneficiaries / Name of Shareholders /
Partner / Beneficial holders
Date of Birth /Date of Incorporation*
Mention if trustee, settler, grantor,
Please paste
protector or beneficiary or Designation(In
photograph of
case of Companies) Individual Beneficial
PAN/CIN Number* Owner here
Address

% of Ownership/Capital /Profits
2 Name of trustees, settlers, grantors&
Beneficiaries / Name of Shareholders /
Partner / Beneficial holders
Date of Birth /Date of Incorporation*
Please paste
Mention if trustee, settler, grantor,
photograph of
protector or beneficiary or Designation(In
Individual Beneficial
case of Companies) Owner here
PAN/CIN Number*
Address

% of Ownership/Capital /Profits

Name of Director/Partner/Member/Trustee

__________________________________________
(Signatures & seal of the any of the Directors/Partners/Trustees/Members)

*Important Points to Note:


 Pan Number to be provided for Resident. In absence of it, valid ID document to be submitted. If minor, then
age proof to be provided. In case of Foreign National/NRI, copy of Passport to be additionally provided.
 Copy of Officially Valid Document i.e. ID & Address proof of beneficial owner / Senior Managing Official to be
submitted as applicable to Individuals.
 CIN No. to be mentioned for Companies registered under ROC. For other Non-individual entities, registration
no to be mentioned.
 Address mentioned should be of Residence for Individuals and Registered Office for Non-Individuals entity.
 Date of Incorporation should be the date when entity was registered/formed.

In case of listed Companies, no further details of beneficial owners to be obtained

**Definition of Controlling Ownership


Definition of Beneficial owners: The term "beneficial owner" has been defined as the natural person who
ultimately owns or controls a client and/or the person on whose behalf the transaction is being conducted,
and includes a person who exercises ultimate effective control over a juridical person.
Percentage allocation as per RBI guidelines for identification of Beneficial owners
 Company: 25% and above of Equity shares***.
 Partnership firm/LLP/BOI/AOP: 15% and above of the property or capital or profits*
 Trust: 15% and above of the property or capital or profits****

*** Where no natural person is identified for Company / Partnership/ Unincorporated association or Body of
individual , the identity of the relevant natural person who holds the position of senior managing official

**** Where the customer is a trust, the identification of beneficial owner(s) shall include identification of the
author of the trust, the trustee, the beneficiaries with 15% or more interest in the trust and any other natural
person exercising ultimate effective control over the trust through a chain of control or ownership. “

$ Association of Persons : AOP includes Unregistered Trusts / Partnership firms


# Body of Individuals : BOI includes Societies

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