KNOW YOUR CLIENT (KYC) APPLICATION FORM

PHOTOGRAPH
For Individuals
Please fill this form in English and in BLOCK LETTERS with Black ink
Please affix your
A. IDENTITY DETAILS (Please see guidelines overleaf) recent passport
1. Name of the Applicant size photograph
(As appearing in supporting identification documents) and sign across it
Father's / Spouse Name
2. a. Gender Male Female b. Marital Status Single Married
c. Date of Birth (dd/mm/yyyy) D D M M Y Y Y Y 3. Nationality Indian Other ____________
4. Status (Please tick ✓
) Resident Individual Non Resident
Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)
(Please enclose a duly attested
5. PAN copy of your PAN Card)

UID / Aadhar

6. Proof of Identity submitted for UID (Aadhar) Passport Voter ID Driving Licence
PAN exempt cases (Please tick ✓ ) Others _________________________________________ (Please see guideline 'D' overleaf)

B. ADDRESS DETAILS (Please see guidelines overleaf)

1. Address for Correspondence

City/Town/Village Pin Code

State Country

2. Contact Details Tel. (Off.) Tel. (Res.) Fax

Mobile No. E-mail ID

3. Proof of address to be provided by Applicant, Please submit ANY ONE of the following valid document & tick (✓
)
against the document attached.
Passport Ration Card Registered Lease/Sale Agreement of Residence
Driving Licence Voter Identity Card *Latest Bank A/c. Statement/Passport
*Latest Telephone Bill (only Landline) *Latest Electricity Bill *Latest Gas Bill
Aadhar Card Others ________________________________________
* Not more than 3 Months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy) _______/_______/____________
4. Permanent Address of
Resident Applicant if different
from above B1 OR Overseas
Address (Mandatory) for
Non-Resident Applicant City/Town/Village Pin Code
State Country
5. Proof of address to be provided by Applicant, Please submit ANY ONE of the following valid document & tick (✓
)
against the document attached.
Passport Ration Card Registered Lease/Sale Agreement of Residence
Driving Licence Voter Identity Card *Latest Bank A/c. Statement/Passport
*Latest Telephone Bill (only Landline) *Latest Electricity Bill *Latest Gas Bill
Others _____________________________________________________________________
* Not more than 3 Months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy) _______/_______/____________

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 DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 or misrepresenting, I am aware that I may be held liable for it.

Date : _____________ (dd/mm/yyyy)

Signature of Applicant Place ________________________

FOR OFFICE USE ONLY

CD Equisearch Pvt. Ltd. IPV Done on Date (dd/mm/yyyy)
(Originals verified) Self Certified Document
copies received

(Attested) True copies of documents received

Main Intermediary

Signature

Name Seal / Stamp of the Intermediary

Name
Designation
Designation
Name of
Organisation CD EQUISEARCH PVT. LTD. Name of Organisation CD EQUISEARCH PVT. LTD.

Date Signature

Date

Employee Name AP Name

Employee Code AP Code

Date Date

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 KNOW YOUR CLIENT (KYC) APPLICATION FORM
PHOTOGRAPH
For Non-Individuals

Please fill this form in English and in BLOCK LETTERS with Black ink
Please affix your
A. IDENTITY DETAILS (Please see guidelines overleaf) recent passport
1. Name of the Applicant size photograph
(Please write complete name as per and sign across it
Certificate of incorporation/Registration,
leaving one box blank between 2 words.
Please do not abbreviate the Name)

2. Date of incorporation
(dd/mm/yyyy) D D M M Y Y Y Y Place of Incorporation

3. Registration No. (e.g. CIN)

Date of Commencement
of Business D D M M Y Y Y Y
4. Status (please tick [✓
] any one) Private Limited Co. Public Ltd. Co. Body Corporate Partnership
Trust/Charigies NGO's FI FII HUF
AOP Bank Government Body
Non-Government Organization Defence Establishment
Body of Individuals Society LLP
Others (please specify) ____________________________________________
5. Permanent Account Number Please enclose a duly attested
(PAN) (Mandatory) copy of your PAN Card

B. ADDRESS DETAILS (Please see guidelines overleaf)

1. Address for Correspondence

City/Town/Village Pin Code

State Country
2. Contact Details Tel. (Off.) Tel. (Res.) Fax

Mobile No. E-mail ID

3. Proof of address to be provided by Applicant, Please submit ANY ONE of the following valid document & tick (✓
)
against the document attached.
*Latest Telephone Bill (only Landline) *Latest Electricity Bill
*Latest Bank A/c. Statement/Passport *Registered Lease/Sale Agreement of Office Premises
Any Other Proof of Address document (as listed overleaf) (Please specify) __________________________________________________
* Not more than 3 Months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy) _________/_________/______________
4. Registration Address
(If different from above)

City/Town/Village Pin Code

State Country
5. Proof of address to be provided by Applicant, Please submit ANY ONE of the following valid document & tick (✓
)
against the document attached.
*Latest Telephone Bill (only Landline) *Latest Electricity Bill
*Latest Bank A/c. Statement/Passport *Registered Lease/Sale Agreement of Office Premises
Any Other Proof of Address document (as listed overleaf) (Please specify) __________________________________________________
* Not more than 3 Months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy) _________/_________/______________

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C. OTHERS DETAILS

1. Name, PAN, Residential Address and Photographs of Promoters/Partners/Karta/Trustees and whole time directors :

2. a) DIN of whole time directors :

b) Aadhar number of Promoters/Partners/Karta :

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 or misrepresenting, I am aware that I may be held liable for it.

Date : _____________ (dd/mm/yyyy)

Name of Signature of Authorised Person(s) Place ________________________

FOR OFFICE USE ONLY

CD Equisearch Pvt. Ltd.

(Originals verified) Self Certified Document copies received
(Attested) True copies of documents received Main Intermediary

Signature

Name

Designation

Name of Organisation CD EQUISEARCH PVT. LTD.

Date

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 Details of Promoters / Partners / Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals

Name of Applicant PAN of the Applicant

Relationship with
Residential / Applicant Whether
Sr. DIN (For Directors)/
PAN Name Registered (i.e. promoters, Politically Photography
No. UID (For Others)
Address wholetime directiors Exposed
etc.)

PEP
RPEP
NO

PEP
RPEP
NO

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PEP
RPEP
NO

PEP
RPEP
NO

PEP
RPEP
NO

Name & Signature of

Authorised Signatory

Date
PEP : Politically Exposed Person RPEP : Related to Politically Exposed
 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM
A. IMPORTANT POINTS : 2. Utility bills like Telephone Bill (only land line). Electricity
1. Self attested copy of PAN card is mandatory for all clients bill or Gas bill - Not more than 3 months old.
including Promoters/Partners/Karta/Trustees & 3. Bank Account Statement/Passbook - Not more than 3
Wholetime Directors and Persons authorised to deal in months old.
securities on behalf of company/firm/others.
2. Copies of all the documents submitted by the applicant 4. Self-declaration by High Court and Supreme Court
should be self-attested and accompanied by originals for judges, giving the new address in respect of their own
verification. In case the original of any document is not accounts.
produced for verification, then the copies should be 5. Proof of address issued by any of the following : Bank
properly attested by entities authorized for attesting the Managers of Scheduled Commercial Banks/Scheduled
documents, as per the below mentioned list.
Co-Operative Bank/Multinational Foreign Banks/
3. If any proof of identity or address is in a foreign language,
then translation into English is required. Gazetted Officer/Notary public/Elected representatives
4. Name & address of the applicant mentioned on the to the Legislative Assembly/Parliament/Documents
KYC form, should match with the documentary proof issued by any Govt. or Statutory Authority.
submitted. 6. Identity card/document with address, issued by any of the
5. If correspondence & permanent address are different, following: Central/State Government and its
then proofs for both have to be submitted. Departments, Statutory/Regulatory Authorities, Public
6. Sole proprietor must make the application in his individual Sector Undertakings, Scheduled Commercial Banks,
name & capacity. Public Financial lnstitutions, Colleges affiliated to
7. For non-residents and foreign nationals,(allowed to trade Universities and Professional Bodies such as ICAI,
subject to RBI and FEMA guidelines), copy of passport/
PIO Card/OCI Card and overseas address proof is ICWAI, ICSI, Bar Council etc to their Members.
mandatory. 7. For Fll/sub account, Power of Attorney given by Fll/sub
8. For foreign entities, CIN is optional; and in the absence of account to the Custodians (which are duly notarized
DIN no. for the directors, their passport copy should be and/or apostiled or consularised) that gives the
given. registered address should be taken.
9. In case of Merchant Navy NRI's, Mariner's declaration or 8. The proof of address in the name of the spouse may be
certified copy of CDC (Continuous Discharge Certificate) accepted.
is to be submitted.
10. For opening an account with Depository participant or D. EXEMPTIONS/CLARIFICATIONS TO PAN :
Mutual Fund, for a minor, photocopy of the School
Leaving Certificate/Mark sheet issued by Higher ("Sufficient documentary evidence in support of such claims
Secondary Board/Passport of Minor/Birth Certificate to be collected.)
must be provided. 1. In case of transactions undertaken on behalf of Central
11. Politically Exposed Persons (PEP) are defined as Government and/or State Government by officials
individuals who are or have been entrusted with appointed by Courts e.g. Official liquidator. Court receiver
prominent public functions in a foreign country, e.g.,
Heads of States or of Governments, senior politicians, etc.
senior Government/judicial/military officers, senior 2. Investors residing in the state of Sikkim.
executives of state owned corporations, important 3. UN entities/multilateral agencies exempt from paying
political party officials, etc. , taxes/filing tax returns in India.
4. SIP of Mutual Funds upto Rs. 50,000/- p.a.
B. PROOF OF IDENTITY (POI) : List of documents
admissibleas Proof of Identity : 5. In case of institutional clients, namely, Flls, Mfs, VCFs,
1. PAN card with photograph. This is a mandatory require- FVCIs, Scheduled Commercial Banks, Multilateral and
ment for all applicants except those who are specifically Bilateral Development Financial Institutions, State
exempt from obtaining PAN (listed in Section D). Industrial Development Corporations, Insurance
2. Unique Identification Number (UID) (Aadhaar) / Passport/ Companies registered with IRDA and Public Financial
Voter lD card /Driving license. Institution as defined under section 4A of the Companies
3. Identity card/ document with applicant's Photo, issued by Act, 1956, Custodians shall verify the PAN card details
any of the following: Central/State Government and its with the original PAN card and provide duly certified
Departments, Statutory/Regulatory Authorities, Public
Sector Undertakings, Scheduled Commercial Banks, copies of such verified PAN details to the intermediary.
Public Financial Institutions, Colleges affiliated to
Universities, Professional Bodies such as ICAI, ICWAI, E. List of people authorized to attest the documents :
ICSI, Bar Council etc., to their Members; and Credit 1. Notary Public, Gazetted Officer, Manager of a Scheduled
cards/ Debit cards issued by Banks. Commercial/Co-operative Bank or Multinational Foreign
Banks (Name, Designation & Seal should be affixed on
C. PROOF OF ADDRESS (POA) : the copy).
List of documents admissible as Proof of Address : 2. In case of NRIs, authorized officials of overseas branches
("Documents having an expiry date should be valid on the
date of submission.) of Scheduled Commercial Banks registered in India,
1. Passport/Voters Identity Card/Ration Card/Registered Notary Public, Court Magistrate, Judge, Indian Embassy/
Lease or Sale Agreement of Residence/Driving License/ Consulate General in the country where the client resides
Flat Maintenance bill/Insurance Copy. are permitted to attest the documents.

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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 Copy of the balance sheets for the last 2 financial years (to be submitted every year)
Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in
the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time
director/MD (to be submitted every year)
Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to
day operations
Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly
Copies of the Memorandum and Articles of Association and certificate of incorporation
Copy of the Board Resolution for investment in securities market
Authorised signatories list with specimen signatures
Partnership firm Copy of the balance sheets for the last 2 financial years (to be submitted every year)
Certificate of registration (for registered partnership firms only)
Copy of partnership deed
Authorised signatories list with specimen signatures
Photograph, POI, POA, PAN of Partners
Trust Copy of the balance sheets for the last 2 financial years (to be submitted every year)
Certificate of registration (for registered trust only) Copy of Trust deed
List of trustees certified by managing trustees/CA
Photograph, POI, POA, PAN of Trustees
HUF PAN of HUF
Deed of declaration of HUF/List of coparceners
Bank pass-book/bank statement in the name of HUF
Photograph, POI, POA, PAN of Karta
Unincorporated Proof of Existence/Constitution document
association or a Resolution of the managing body & Power of Attorney granted to transact business on its behalf
body of individuals Authorized signatories list with specimen signatures
Banks / Institutional Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years
Investors Authorized signatories list with specimen signatures
Foreign / Institutional Copy of SEBI registration certificate
Investors (FII) Authorized signatories list with specimen signatures
Army / Government Self-certification on letterhead
Bodies Authorized signatories list with specimen signatures
Registered Society Copy of Registration Certificate under Societies Registration Act
List of Managing Committee members
Committee resolution for persons authorised to act as authorised signatories with specimen
signatures
True copy of Society Rules and Bye Laws certified by the Chairman/Secretary

Please submit the KYC Documents on A4 size paper only

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 TRADING ACCOUNT RELATED DETAILS (For Individuals & Non-Individuals)
A. BANK ACCOUNT DETAILS
First Bank Details Second Bank Details
Bank Name
Branch
Address
Bank A/c No.
A/c Type SB CA Others-in-case of NRI/NRE/NRO SB CA Others-in-case of NRI/NRE/NRO
MICR No.
IFSC Code

B. DEPOSITORY ACCOUNT(S) DETAILS

First Demat A/c. Details Second Demat A/c. Details
DP Name
Depository Name NSDL CDSL NSDL CDSL
Beneficiary Name
DP ID
Beneficiary ID (BO ID)

C. TRADING PREFERENCE
*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.

NSE-CM BSE-CM

NSE-F&O

# If, in future, the client wants to trade on any new 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 change of dealing in securities during the last 3 years.

E. DEALING THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If Client is dealing through the sub-broker, provide the following details :
Sub-broker's Name
SEBI Registration Number
Registered Office
Address Phone
FAX Website
Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers / sub-brokers,
provide details of all)
Name of Stock Broker
Name of Sub-broker, if any
Client Code Exchange
Details of disputes / dues pending from / to such stock broker / sub-broker

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F. ADDITIONAL DETAILS
Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify) :
Specify your E-mail ID, if applicable E-mail ID
Whether you wish to avail of the facility of internet trading / wireless technology (please specify) :
Number of years of Investment / Trading Experience No Prior Experience
Years in Cash Segment/Stock Years in Derivatives Years in any other investment related field
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 : See Annexure B
Any other information :

G. INTRODUCER DETAILS (optional)

Name of the Introducer
(Surename) (Name) (Middle Name)
Status of Introducer Sub-Broker Remisier AP Existing Client Other (pls. specify) ___________
Address of the Introducer

Signature of the Introducer Phone No.

H. NOMINATION DETAILS (for individuals only)

I/We wish to nominate I/We do not wish to nominate
Name of the Nominee Date of Birth of Nominee
Relationship with the Nominee PAN of Nominee
Address & Ph. No. of the Nominee
IF NOMINEE IS A MINOR, DETAILS OF GUARDIAN
Name of Guardian
Address of Guardian
Signature of Guardian Phone No.
WITNESSES (Only applicable in case the account holder has made nomination)
Name Signature Address
Name Signature Address

I. OTHER DETAILS (Please see guidelines overleaf)

1. Gross Anuual Income Details < Rs 1L 1-5L 5-10L 10-25L 25L-1Cr. >1Cr.
2. Net-worth in as on date (dd/mm/yyyy)
(Net worth should not be older than 1 year)
3. Occupation (please tick any Private Sector Public Sector Government Service Business
one and give brief details) Professional Agriculturist Retired Housewife
Student Forex Dealer Others
4. Is the entity involved / Yes No
providing any of the For Foreign Exchange / Money Changer Services Yes No
following servies Gaming / Gambling / Lottery Services (e.g. casionos, betting syndicates) Yes No
Money Lending / Pawning Yes No
5. Please tick, if applicable Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
For definition of PEP, please refer guideline overleaf
6. Any other information

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 DECLARATION
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and 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 or misrepresenting, I am/we are aware that I/we may be held liable for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker
and the tariff sheet.
3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disclosure
Document'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed
that the standard set of documents has been displayed for Information on stock broker's designated website, if any.
4. Please provide the account opening kit in physical format. Yes No

Place Date Signature of Client (all) Authorized Signatory(ies)

FOR OFFICE USE ONLY

UCC Code allotted to the Client :

Documents verified Client Interviewed In-Person Verification
with Originals By done by
Name of the Employee/SB/AP
Employee Code
Designation of the Employee
Date

Signature
I / We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents.
I/We have also made the client aware of 'Rights and Obligations' document (s), RDD and Guidance Note. I/We have given/sent him a copy
of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-mandatory documents
would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made
available on my/our website, if any, for the information of the clients.
For CD EQUISEARCH PVT. LTD.

Director / Authorised Signatory Date

INSTRUCTIONS / CHECK LIST

1. Additional documents in case of trading in derivatives segments - illustrative list :
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate
Copy of demat account holding statement Bank account statement for last 6 months
Any other relevant documents substantiating ownership of assets Self declaration with relevant supporting documents
*In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.
2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the
bank should be submitted.
3. Demat master or recent holding statement issued by DP bearing name of the client.
4. For individuals :
a. Stock broker has an option of doing 'in-person' verification through web camera at the branch office of the stock broker/sub-broker's
office.
b. In case of non-resident clients, employees at the stock broker's local office, overseas can do in-person' verification. Further,
considering the infeasibility of carrying out 'In-person' verification of the non-resident clients by the stock broker's staff, attestation of
KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy/ Consulate General in the country where
the client resides may be permitted.
5. For non-individuals :
a. Form need to be initialized by all the authorized signatories.
b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of
company/firm/others and their specimen signatures.

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 Tariff Sheet
(Service Tax, Stamp Charges, Transaction Charges and other charges, if any shall be levied as per the rate stipulated
by concerned Authority
Trading : 1st Leg Trading : 2nd Leg Delivery
Segment Minimum Minimum Minimum
% Paisa % Paisa % Paisa

BSE Cash

NSE Cash

NSE F&O

NSE F&O Options

(per lot)

Notes :
1. Client will be charged Rs. 500/- as an account opening charges for the Equity Segment.
2. Client using Diet ODIN will be charged Rs. 500/- (inclusive of service tax) on monthly basis.
3. Client will be charged Rs. 99/- per month towards Value Added Services.

I/We have understood and accepted the Schedule of Charges as stated above.

ONLY FOR OFFICIAL USE

Approved by (Regional Head)

Name Name
(BM or CM/RM/SB/Dearler)
Signature Signature

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