Branch Inward Details Highway, Gen A. K. Vaidya Marg ...

1 Kotak Securities Ltd. Kotak Infinity, 8th floor, Building No 21, Infinity Park, Off Western Express Highway, Branch Inward Details Gen A. K. Vaidya Marg, Malad (E), Mumbai - 400097. Tel - 91-22-30305757 Recd. on Emp. Name KRA KYC COMMON updation FORM A - INDIVIDUAL. Emp. ID. Trading code Demat Account No. DP ID: IN300214. Emp. Sign Date D D / M M / Y Y Y Y KNOW YOUR CLIENT (KYC) NEW CHANGE request . Branch Name Acknowledgment No. _____. Please fill this form in ENGLISH and in BLOCK tick the appropriate now where CHANGE/CORRECTION is required IDENTITY Details MANDATORY. *FATCA Declaration: I/we confirm that our Country of Birth/Nationality/ Citizenship/ Tax Residency/ Address/ Telephone Address of POA or Mandate holder is of India Yes No (if answer to your question is No', then please provide complete FATCA Declaration available on page 5 & 6). * request for Aadhaar updation - I/we wish to link the below mentioned Aadhaar and I/we have no objection in authenticating with Aadhaar based authentication system via OTP/Biometric/Demographic information.

2 In case of authentication failure with UIDAI records, I/we understand that my/our Aadhaar no. will not be updated in the KSL records. Consent to share Aadhaar Details : Y N. I hereby give my consent to KSL to update and share my Aadhaar number and related Details obtained from UIDAI. Name _____. through authentication using OTP/Biometric/Demographic information on my behalf with any/all of Kotak Group companies as well as any third party entities like AMC's, PMS, Mutual Funds, Insurer's or any other institution in case of any investment or purchase of any product/services from such entities made through KSL. 1. PERSONAL Details (Please refer instruction A). Aadhaar Number Details : First Holder - - Nationality* Date of Birth* D D / M M / Y Y Y Y. Name*(as per Aadhaar/UID). Maiden Name (if any*). Father/Spouse Name* Mother Name*. Gender* M-Male F-Female T- Transgender Marital Status* Married Unmarried Others _____.

3 3rd Holder Residential Status* Resident Individual Foreign National Non Resident Indian Person of Indian Origin PHOTOGRAPH. Occupation Type* S-Service ( Private Sector Public Sector Government Sector). O-Others ( Professional Self Employed Retired Housewife Student). C. B-Business Agriculturist Forex Dealer Please Specify Others _____. (Certified copy of any one of the following Proof of Identity [POI] needs to be submitted). 2. PROOF OF IDENTITY (PoI)* (Please refer instruction B) This section is Not Applicable for customers who are KRA complied or have provided consent for authenticating with UIDAI system. Name _____. A-Passport No. Passport Expiry Date D D / M M / Y Y Y Y. B-Voter ID Card C- PAN Card D-Driving Licence Driving Licence Expiry Date D D / M M / Y Y Y Y. E- UID (Aadhaar) F-NREGA Job Card Z- Others Identification Number (any document notified by the central government). S-Simplified Measures Account - Document Name _____ Identification Number To be provided by Sikkim Clients or by clients providing alternate ID Proofs.

4 3. PROOF OF ADDRESS (PoA)* (Please refer instruction C). 2nd Holder CURRENT / PERMANENT / OVERSEAS ADDRESS Details . Address Type* Residential/Business Residential Business Registered Office Proof of Address* Passport Driving Licence UID card (Aadhaar) Voter Identity Card NREGA Job Card C. Simplified Measures Accounts - Document Abbreviation Please Specify Others Please Specify (Refer Checklist). Document No.: _____ Expiry Date (If any) D D / M M / Y Y Y Y. Landmark (If any) City/Town/Village* Name _____. District* Pin Code* * Country*. CORRESPONDENCE/LOCAL ADDRESS Details * Same as Current/Permanent/Overseas Address Details (In case of multiple correspondence/. (Please see instruction D) local addresses, please ask your RM to provide you Annexure A'). Address Type* Residential/Business Residential Business Registered Office Proof of Address* Passport Driving Licence UID card (Aadhaar) Voter Identity Card NREGA Job Card Simplified Measures Accounts - Document Abbreviation Please Specify Others Please Specify (Refer Checklist).

5 Document No.: _____ Expiry Date (If any) D D / M M / Y Y Y Y. 1st Holder Landmark (If any) City/Town/Village*. District* Pin Code* * Country*. C. ACKNOWLEDGEMENT. Date D D / M M / Y Y Y Y. Address Yes No CRM Query ID 1 From _____. Yes No CRM Query ID 2 having Trading Code Mobile No. Client Id Email Id Yes No CRM Query ID 3. For Kotak Securities Ltd. Aadhar Yes No CRM Query ID 4 (Company Seal) Employee Signature Name of the Employee _____ Employee Code _____ C. Your request will be processed within a tentative period of 7 days from the date of receipt of complete documents. In case of queries regarding the status of the request , W/e request you to call on Customer Service No. 1800 209 9191/1800 222 299/30305757. Demat related complaints write at for any other queries or complaints write at 1. Kotak Securities Ltd. Kotak Infinity, 8th floor, Building No 21, Infinity Park, Off Western Express Highway, Gen A.

6 K. Vaidya Marg, Malad (E), Mumbai - 400097. Tel - 91-22-30305757. 4. CONTACT Details (Please refer instruction E) (All communications will be sent on provided Mobile no. / Email-ID). Tel.(Res.) 9 1 S T D - Mobile 9 1 - Tel.(Off.) 9 1 S T D - Fax 9 1 S T D - E-mail ID. SMS Flag Yes No The mobile number mentioned here belongs The E-Mail ID mentioned here belongs to Name of relative _____ to Name of relative _____. Self Spouse Dependent parent Self Spouse Dependent parent Dependent children PAN of relative Dependent children PAN of relative APPLICANT 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. I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

7 I/We are aware that the information on provided herewith shall be updated in accounts maintained at Kotak Securities under intimation to me. 1st Holder 2nd Holder 3rd Holder C C C. Name _____ Name _____ Name _____. Check list to be verified by acquiring sales staff Certified Copies Details Applicable for All Holders Details Documents verified with original / Client Interviewed By / In-Person Verification done by Name of the Employee / Sub-Broker /AP. Employee Code / SEBI Reg. No. / AP Reg. No. Name & Address of Branch /Franchisee/. Service Center Designation of the Employee Date Place of verification Signature Stamp Name of Institution Code of Institution of Kotak Securities Ltd. NSE Code - 08081 BSE Code - 673 MSEI Code - 1024 Institution For Office Use Only Ver. 1 (Jan 2017). Address CRM Query ID 1 Mobile No. CRM Query ID 2. Email Id CRM Query ID 3 Aadhar CRM Query ID 4. Application Type* Update KYC Number (To be filled by (Mandatory for KYC update request ).)

8 Financial institution). Account Type* Normal Simplified (for low risk customers). 2. Kotak Securities Ltd. Kotak Infinity, 8th floor, Building No 21, Infinity Park, Off Western Express Highway, Branch Inward Details Gen A. K. Vaidya Marg, Malad (E), Mumbai - 400097. Tel - 91-22-30305757 Recd. on Emp. Name KRA KYC COMMON updation FORM B - INDIVIDUAL Emp. ID. Emp. Sign Name _____ Date D D / M M / Y Y Y Y. Branch Name Trading code Demat Account No. DP ID: IN300214. Please fill this form in ENGLISH and in BLOCK tick the appropriate now where CHANGE/CORRECTION is required IDENTITY Details MANDATORY. *FATCA Declaration: I/we confirm that our Country of Birth/Nationality/ Citizenship/ Tax Residency/ Address/ Telephone Address of POA or Mandate holder is of India Yes No (if answer to your question is No', then please provide complete FATCA Declaration available on page 5 & 6). * request for Aadhaar updation - I/we wish to link the below mentioned Aadhaar and I/we have no objection in authenticating with Aadhaar based authentication system via OTP/Biometric/Demographic information.

9 In case of authentication failure with UIDAI records, I/we understand that my/our Aadhaar no. will not be updated in the KSL. records. Consent to share Aadhaar Details : Y N. I hereby give my consent to KSL to update and share my Aadhaar number and related Details obtained from UIDAI through authentication using OTP/Biometric/Demographic information on my behalf with any/all of Kotak Group companies as well as any third party entities like AMC's, PMS, Mutual Funds, Insurer's or any other institution in case of any investment or purchase of any product/services from such entities made through KSL. 1. request FOR BANK Details updation /RTGS FACILITY Change Addition (Only for trading) CRM Query ID 5. Aadhaar Number Details : First Holder - - Gender* M-Male F-Female T- Transgender Date of Birth* D D / M M / Y Y Y Y. I want to avail RTGS/NEFT Facility: Yes No Default mapping Yes No Bank Name _____. Branch Address_____City _____ Pin Code IFSC Code of beneficiary bank MICR Code : Bank A/c No.

10 _____Bank A/c Type : Saving Current Full name of First Holder in the Bank _____. Full name of Second Holder in the Bank _____. Full name of Third Holder in the Bank _____. I am enclosing the following documents as proof that the aforesaid account belongs to me: 1. Cancelled personalized cheque leaf of the above mentioned Bank Account and 2. Bank statement/Bank Passbook copy of the same. 3. In case Bank Account in Joint Name NOC from Account holder is required. A/c Type : Online Offline Bank Name: KMBL Other Bank In case Existing Bank a/c is being replaced with KMBL A/c then read the Point # G given in Instruction / Check List for Filling KYC Form . 2. Consent to Receive Transaction Statement on Email (Only for DP) Please refer instruction F CRM Query ID 6. I/We understand from you that a facility is being granted wherein I/We can get access to the transaction statements in respect of my/our above demat account in the Website of the Depository Participant or in the email address provided by me/us to the Depository Participant.