Professional Documents
Culture Documents
Aof Sibichep 1
Aof Sibichep 1
Aof Sibichep 1
IIFL Securities Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate ,
Thane 400 604 • Tel: (91-22) 3929 4000/ 4103 5000 • Fax: (91-22) 2580 6654
Account Opening Form {Pg 1-11} Terms & Conditions cum Registration form for receiving
1. Part I - KYC form - Document captures the basic information about SMS Alerts from Depository {Incuded in client copy}
the constituent and an instruction / checklist. 1. Terms and Conditions-cum-registration / Modification form for
2. Part II - Document captures the additional information about the receiving SMS Alerts from CDSL/NSDL
constituent relevant to trading account and an instruction/check
list. For Distribution of Securities {Incuded in client copy}
3. Nomination Form for appointing a nominee to the client’s
1. Terms & Conditions for Distribution of Securities
account.
4. Client Declaration
Mutual Fund Trading Services {Incuded in client copy}
Tariff sheet {Pg 12} 1. Terms and Conditions for availing Mutual Fund Service System
(MFSS) facility and BSE StAR MUTUAL FUND offered by NSE and
1. Document detailing the rate/amount of brokerage and other BSE respectively
charges levied on the client for trading and demat account on the SIP in Mutual Fund & Security {Incuded in client copy}
stock exchange(s)/ depository.
Rights & Obligations of Stock Brokers, Sub-Broker 1. Terms and Conditions for availing systematice investment plan
& Clients {Incuded in client copy} in Mutual Fund and securities.
1. Document stating the Rights & Obligations of stock broker / Authorisation Letter {Pg 13-16}
trading member , sub-broker and client for trading on exchanges
(including additional rights & obligations in case of internet / A. Availing Mutual Fund Service System (MFSS) facility/ BSE StAR
wireless technology based trading). MUTUAL FUND (hereinafter jointly referred to “Mutual Fund
Transaction Facilities”)
Rights & Obligations of Beneficial Owner B. Authorization for Systematic Investment in Mutual Fund /
& Depository Participant {Incuded in client copy} Securities
1. Rights and Obligations of Beneficial Owner and Depository C. Running Account Authorisation
Participant as prescribed by SEBI and Depositories. D. Authorisation for Receipt of Contract Notes and Other
documents in Digital Mode
Risk Disclosure Document (RDD) {Incuded in client copy} E. Authorisation for Online Trading Software Password
1. Document detailing do’s and don’ts for trading on exchange, for Power of Attorney {Pg 19-22}
the education of the investors.
Guidance note {Incuded in client copy} 1. Voluntary and Limited purpose POA in favour of Broker for
operational requirements as per client athorization/instruction.
1. Document detailing risks associated with dealing in the securities a POA in favour of IIFL.
market.
Policies and Procedures {Incuded in client copy} PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING
TO ITS CONTENTS AND ENSURE ALL THE DETAILS PROVIDED
1. Documents describing significant policies and procedures of IIFL
ARE CORRECT.
related to Trading Account of the client.
2. Proof of Resident Address provided by Applicant. 4. Proof of Permanent Address provided by Applicant.
DECLARATION
I hereby declare that the details furnished above including email and mobile no. 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.
IIFL Securities Limited Staff name Akshay Maruti Naik Staff Akshay Maruti Naik
name
Code : C160847 Designation RM - E Sales
Designation RM - E Sales
(Original Verified) Self certifed Documents Signature
copies received.
Signature
and Date
(Attested) True copies of Document recived. and Date 18/02/2019
3. 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:
CP ID :
CMS (E) ID :
CMS (P) ID :
ComRIS ID :
Whether dealing with any other stock broker/sub-broker/AP (if case dealing with multiple stock brokers/sub-
brokers/AP, provide details of all :
Name of stock broker :
Name of Sub-Broker/AP, if any :
Client Code : Exchange :
Details of disputes/dues pending from/to such stock broker/sub- broker :
8. ADDITIONAL DETAILS
Signature
4
Signed by: SIBICHEN PHILIP
Version :1
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
User Id.: SIBICHEP
B. COMMON DETAILS FOR BOTH TRADING & DEMAT ACCOUNT
1. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT)
Bank Details
SOUTH INDIAN BANK Bank A/c No. : 0330053000011981
ADOOR BRANCH,NUASS BUILDING,CENTRAL TOLL JUNCTION ,ADOOR
, PATHANAMTHITTA , KERALA, PIN-691523 A/c Type : SAVING
ADOOR, KERALA, INDIA Pin Code : 691523 IFSC Code : SIBL0000330
MICR Code : 691059001
C. ADDITIONAL INFORMATION FOR DEMAT ACCOUNT (Please fill this form in ENGLISH and in BLOCK LETTERS)
CDSL DP ID: 12044700 Client ID (To be flled by IIFL) :
1. DEPOSITORY SERVICE
I/We wish to open Depository Account with CDSL (CDSL:12044700 as per the following details: )
Type of Account : Ordinary Resident
Guardian Name
PAN
Relationship of guardian with minor
5
Version :1
6
Signed by: SIBICHEN PHILIP Version :1
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
User Id.: SIBICHEP
DECLARATION
1. I/We hereby declare that the details furnished above are I/We shall keep myself updated of the same.
true and correct to the best of my/our knowledge and belief 4. The rules and regulations of the Depository and Depository
and I/we undertake to inform you of any changes therein, Participants pertaining to an account which are in force now
immediately. In case any of the above information is found to have been read by me/us and I/we have understood the same
be false or untrue or misleading or misrepresenting, I am/we and I/we agree to abide by and to be bound by the rules as are
are aware that I/we may be held liable for it. in force from time to time for such account.
2. I/We confirm having received a copy of the following 5. In case non resident account, I/We also declare that I/We
documents and further confirm having read and understood have complied and will continue to comply withFEMA
the contents of these documents:- regulation. I have informed the Bank that I will be trading
• Rights and Obligations of Stock Rights and Obligations of through IIFL Securities Limited (IIFL) and tohonor all relevant
Stock Brokers, Sub-Brokers and Clients as prescribed by SEBI requests. If Bank has not mapped or Tagged IIFL Securities
and Stock Exchanges Limited (IIFL) as my registered broker, IIFL will not be
• Rights and Obligations of Beneficial Owner and Depository responsible for any defaults thereof.
Participant as prescribed by SEBI and Depositories 6. I/hereby consent to receive information from central KYC
• Risk disclosure Document for Capital and Derivatives Registry through SMS/Email on the registerednumber / email
Segment address.
• Guidance Note-Do’s and Don’ts for Trading on the 7. I/We the undersigned, have taken cognizance of circulars
Exchange (s) for Investors issued by SEBI / Commodity Exchanges from time to time on
• Policies and Procedures applicable to clients. the guidelines for calculation of net open positions permitted
I/We do hereby agree to be bound by such provisions as in any commodity and/we hereby undertake to comply with
outlined in these documents. I/We have also been the same. I/We herebydeclare and undertake that I/we will not
informed that the standard set of documents has been exceed the position limits prescribed from time to time by
displayed for Information on stock broker’s designated Commodity Exchanges or SEBI and such position limits will be
website, if any. calculated in accordance with the circulars on position limits as
I/We further understand that any change in the said modified from time to time. I/We undertake to inform you and
documents including the “Policies and Procedures”shall be keep you informed if I /any of our partners / directors / karta /
made available on the website of IIFL and also intimated to me trustee or any of the partnership firms/companies / HUFs /
through circulars in internet trading platform/e-mails. I/We Trusts in which I or any of above such person is a partner
shall keep myself updated of the same. /director / karta / trustee, takes or holds any position in any
3. I/We confirm having read/been explained and understood commodity forward contract /commodity derivative on
the contents of the document on policy and procedures of the Exchanges through or through any other member(s) or
stock broker, tariff sheet, voluntary & non voluntary Exchanges, to enable you to restrict our position limit as
documents. I/We do hereby agree to be bound by such prescribed by the above referred circular of Exchanges as
provisions as outlined in these documents. I/We have also modified from time to time.
been informed that the standard set of documents has been I/We confirm that you have agreed to enter order in
displayed for Information on stock broker’s designated commodity forward contracts / commodity derivatives for me /
website, if any. us as your clients on Commodity Exchanges only on the basis
I/We further understand that any change in the said of our above assurances and undertaking. I/We further
documents including the “Policies and Procedures” shall be undertake to bear any liable/penalty/charges levied by
made available on the website of IIFL and also intimated to me Commodity Exchanges/ SEBI.
through circulars in internet trading platform/e-mails.
5. NOMINATION DETAILS
[YES] I/We do not wish to make a nomination (strike of the nomination details below)
Name : Name :
Address : Address
:
Signature : DATE : DD/MM/YYYY Signature : DATE : DD/MM/YYYY
Date : Place :
Signed by: SIBICHEN PHILIP
Reason: Account Opening Doc by IIFL
12A eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
Version :1
8
User Id.: SIBICHEP
NOTES:
1. Physical print copy of digital contract note can be availed 10. No refund of account opening charges would be given if the
from the branches. account could not be opened due to non submission of
2. Document handling charge of Rs. 50/- shall be applicable: complete documents by the client or due to lack of desired co-
• Customer who has opted for receiving documents by operation from the client.
electronic mode: In case such customer also intends to 11. Management reserves the right to freeze, discontinue or
receive documents (contract notes and other related suspend any account if required.
documents) by physical mode. 12. In case of buy / sell of same security during the day, the
• Customer who has opted for receiving documents by brokerage will be levied on higher side of the transaction
physical mode: In case such customer intends to receive amount / price for both intra-day and delivery transactions.
additional/duplicate copies of documents (contract notes 13. Call center service charges of Rs. 100 per call + Applicable
and other related documents) by physical mode. GST and other taxes.
This charge may be partly /fully waived off for high 14. The minimum aggregate brokerage will be Rs. 25 per scrip
networth /large customer at the discretion of IIFL. per day for delivery trades in cash segment, subject to
3. The above charges are exclusive of GST, Securities regulatory caps, as applicable.
Transaction Tax, other charges and stamp duty. The same 15. Brokerage is also applicable on Expiry / Exercise /Assignment
shall be charged to the Client’s account on actual basis. of Options and Futures Contract
4. Inter/settlement/ Beneficiary to pool transfer would be 16. Demat charges shall be applicable for mutual fund
charged 0.04% (Minimum Rs. 25) per scrip plus GST. transactions.
5. Charges/service standards are subject to revision at sole 17. GST details furnished are true and genuine alongwith proof
discretion of IIFL Securities Limited and as informed by of GST no.If no GST details furnished then, it shall be deemed
communication sent by ordinary post/ E-mail. that you are unregistered under GST.
6. Value of the transaction will be in accordance with rates 18. In case there is any change in correspondence address. We
provided by Depository. will unless intimated to us, charge GST basis the address
7. Statutory and other levies being charges related to the available on record. We would not be responsible for any non-
execution and/or settlement of transactions shall be receipt/short-receipt of GST credit due to
separately chargeable as in force from time to time. incorrect/inaccurate/incomplete information provided and
8. Charges quoted above are for the services listed. Any anyloss, damage, cost and/or expenses suffered/incurred by us
service not quoted above will be charged separately. due to non-reversal of GST credit, act, omission, false statement
9. Customer is required to maintain a minimum balance of suppression of fact and/or any breach would be borne by you.
Rs.1000/- in his/ her ledger account.
I/ We have understood and accepted the Schedule of Charges as stated here in above.
Date : Place :
6 Income Proof
7 Payment Details A/c Opening Fee:- 750.00 / Margin Amount:- 0.00 / Total Amount:- 750.00
SUBMISSION CHECKLIST
1. Complete Documentation Received No
Yes If no, give Details __________________
2. “Verified with Original” Stamp affixed on proofs Yes No
Date EmpCode:
Signature EmpName:
3. “PAN verified” stamp with Employee Name & signature affixed on Proof Yes No
Amount in Rs. 750.00 Rs. (In words :Seven Hundred and Fifty)
CDSL - DP ID Client ID
NSDL - DP ID Client ID
If 'Yes' please specify the details of all countries where you hold tax residency and its Tax identification Number & Type.
Country of Residence For Tax Not Applicable Not Applicable Not Applicable
Purpose (Other than India)
Tax Identification No.(US TIN) or Not Applicable Not Applicable Not Applicable
Equivalent(Other)
#To include all countries other than India, where investor is Citizen/Resident/Green Card Holder/ Tax Resident in those respective countries especially of USA.
Declaration:
1. I acknowledge and confirm that the information provided above is true and correct to the best of my knowledge and belief correct and complete. In
case any of the above specified information is found to be false or untrue or misleading or misrepresenting, I/ am aware that I may liable for it. In case of
any change in the above given status on a future date, I undertake to inform IIFL the same within 30 Days.
2. I agree that if I/am a U.S. person or tax resident of a reportable foreign jurisdiction (other that U.S.) requiring reporting under FATCA/CRS or any other
Law, my account details, as required under inter governmental agreement (IGA)/Multilateral competent authority agreement (MCAA) Signed by Indian
government,Would be reported by IIFL to the relevantTaxAuthority.
3. If My Country of Birth is US, I/am providing a certificate of relinquishment of Citizenship (loss of Nationality) or a self certification for stating reason for
not having such a certificate despite relinquishingUScitizenshipORnot obtainingUScitizenship at birth. I hereby authorize you to disclose, share, remit in
any form, mode or manner, all / any of the information provided by me, including all changes, updates to such information as and when provided by me to
Mutual Fund, its Sponsor, Asset Management Company, trustees, their employees / RTAs ('the Authorized Parties') or any Indian or foreign governmental
or statutory or judicial authorities / agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax / revenue authorities in
India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me of the same. Further, I
authorize to share the given information to other SEBI Registered Intermediaries to facilitate single submission / updation & for other relevant purposes. I
also undertake to keep you informed in writing about any changes / modification to the above information in future and also undertake to provide any
other additional information as may be required at your end.
Signature
C160847
RM - E Sales
THANE
18/02/2019
C160847
RM - E Sales
THANE
18/02/2019
C160847
RM - E Sales
THANE
18/02/2019