Know Your Client (KYC) Application ... - UTI Asset Management

1 NDate:Place: name & SIGNATURE(S)OF AUTHORISEDPERSON(S)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. DECLARATIONFOR OFFICE USE ONLYC. Other Details (please see guidelines overleaf)1. (Please use the Annexure to fill in the details) name , PAN, DIN/Aadhaar Number, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors2. Any other information:Seal/Stamp of the intermediary should contain Staff name Designation name of the OrganizationSignature DateB. address Details (please see guidelines overleaf)2.

2 Contact DetailsTel. (Off.)(ISD)(STD)Tel. (Res.)Mobile(ISD)(STD)FaxE-Mail Id.(ISD)(STD)(ISD)(STD)3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick () against the document attached. Latest Bank Account StatementRegistered Lease / Sale Agreement of Office Premises *Latest Telephone Bill (only Land Line) *Latest Electricity Bill * 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 /ddmmyyyy/5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick () against the document attached.

3 Latest Bank Account StatementRegistered Lease / Sale Agreement of Office Premises *Latest Telephone Bill (only Land Line) *Latest Electricity Bill * 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 /ddmmyyyy/4. Registered address (If different from above)City / Town / Village Postal CodeStateCountry1. address for CorrespondenceCity / Town / Village Postal CodeStateCountry(Attested) True copies of documents received(Originals Verified) Self Certified Document copies receivedAMC/Intermediary name OR codeKnow Your Client (KYC) Application Form (For Non-Individuals Only) Application No.

4 :Please fill in ENGLISH and in BLOCK LETTERSP lace forIntermediary LogoA. Identity Details (please see guidelines overleaf)5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card 2. Date of Incorporation Place of Incorporation /ddmmyyyy/3. Registration No. ( CIN)Date of commencement of business/ddmmyyyy/1. name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the name ). 4. Status Please tick () Others Private Ltd.

5 Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUFAOPBankGovernment BodyNon-Government Organisation Defence EstablishmentBody of IndividualsSocietyLLP (Please specify) A. IMPORTANT POINTS:Residence/Driving License/Flat Maintenance bill/Insurance bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months 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 Account Statement/Passbook - Not more than 3 months for verification, then the copies should be properly attested by entities by High Court and Supreme Court judges, giving the new address in authorized for attesting the documents, as per the below mentioned of their own any proof of identity or address is in a foreign language, then translation into English of address issued by any of the following: Bank Managers of Scheduled is Banks/Scheduled Co-Operative Bank/Multinationa Foreign & address of the applicant mentioned on the KYC form, should match with the Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative documentary proof issued by any Govt.

6 Or Statutory correspondence & permanent address are different, then proofs for both have to be card/document with address , issued by any of the following: Central/State and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,Colleges proprietor must make the Application in his individual name & to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA etc.,to their ), copy of passport/PIOCard/OCICard and overseas address proof is FII/sub account, Power of Attorney given by FII/sub-account to the Custodians mandatory.(which are duly notarized and/or apostiled or consularised) that gives the registered foreign entities, CIN is optional; and in the absence of DIN no.

7 For the directors, address should be passport copy should be proof of address in the name of the spouse may be In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be to opening an account with Depository participant or Mutual Fund, for amin or, (*Sufficient documentary evidence in support of such claims to be collected.)photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government and/or State Board/Passport of Minor/Birth Certificate must be by officials appointed by Courts Official liquidator, Court receiver Exposed Persons (PEP) are defined as individuals who are or have been residing in the state of with prominent public functions in a foreign country, , Heads of entities/multilateral agencies exempt from paying taxes/filing tax returns in or of Governments, senior politicians, senior Government/judicial/military officers, of Mutual Funds upto Rs 50,000/- executives of state owned corporations, important political party case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial officials, , Multilateral and Bilateral Development Financial Institutions, State Industrial of Identity( POI): List of documents admissible as Proof of Identity:Development Corporations, Insurance Companies registered with IRDA and Public card with photograph.

8 This is a mandatory requirement for all Financial Institution as defined under section 4A of the Companies Act, 1956, applicants except those who are specifically exempt from obtaining PAN (listed in Section D).Custodians shall verify the PAN card details with the original PAN card and provide Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving certified copies of such verified PAN details to the card/ document with applicant s Photo, issued by any of the following: of people authorized to attest the documents:Central/State Government and its Departments, Statutory/Regulatory Authorities, Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Bank or Multinational Foreign Banks ( name , Designation & Seal should be affixed on Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, the copy).

9 ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial registered in India, Notary Public, Court Magistrate, Judge, Indian of address (POA): List of documents admissible as Proof of address : Embassy/Consulate General in the country where the Client resides are permitted to (*Documents having an expiry date should be valid on the date of submission.)attest the Identity Card/Ration Card/Registered Lease or Sale Agreement of Self attested copy of PAN card is mandatory for all / CHECK LIST FOR FILLING KYC FORMF. In case of Non-Individuals, additional documents to be obtained from Non-individuals, over & above the POI & POA, as mentioned below:Types of entityCorporatePartnership firmTrustHUFU nincorporatedAssociation or a body of individualsBanks/Institutional InvestorsForeign InstitutionalInvestors (FII)Army/Government BodiesRegistered SocietyDocumentary requirementsCopy 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)

10 Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operationsPhotograph, POI, POA, PAN of individual promoters holding control either directly or indirectlyCopies of the Memorandum and Articles of Association and certificate of incorporationCopy of the Board Resolution for investment in securities marketAuthorised signatories list with specimen signaturesCopy 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 deedAuthorised signatories list with specimen signaturesPhotograph, POI, POA, PAN of PartnersCopy of the balance sheets for the last 2 financial years (to be submitted every year)Certificate of registration (for registered trust only).