Kotak Securities Ltd. Kotak Infinity, 8th floor, …

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. Recd on KRA KYC COMMON UPDATION FORM A - NON - INDIVIDUAL. Emp Name Trading code Demat Account No. Emp ID. DP ID : IN300214 date D D M M Y Y Y Y Emp Sign Acknowledgment No. Branch Name KNOW YOUR CLIENT (KYC) NEW CHANGE REQUEST. Please fill this form in ENGLISH and in BLOCK LETTERS. Please tick the appropriate now where CHANGE/CORRECTION is required IDENTITY DETAILS MANDATORY. A. IDENTITY DETAILS. 1. Name of the Applicant 2a. date of incorporation D D M M Y Y Y Y 2b. Place of incorporation 3. Business commencement date D D M M Y Y Y Y 4a. PAN 4b. Rgn No. 5.

2 Status Private Ltd. Co. Public Limited Co. Body Corporate Partnership HUF Government Body LLP Bank Trust Charities NGOs FI BOI Non Government Organisation AOP. FPI - Category l FPI - Category ll FPI - Category lll FII Society Defense Establishment Others B. ADDRESS DETAILS Correspondence Address Registered Address 1. Address for Correspondence City / Town / Village State Country Pin Code Proof submitted 2. Registered Address (If different from above). Address City / Town / Village State Country Pin Code Proof submitted 3. Contact Nos:Tel. (Off.) C C S T D Tel. (Res.) C C S T D. Fax C C S T D Mobile No. C C. E-mail ID SMS Flag Yes No The mobile number mentioned here belongs to Name Authorized Signatory Director Trustee Karta Partner PAN Client Signature The email ID mentioned here belongs to Name Authorized Signatory Director Trustee Karta Partner PAN.

3 C. DECLARATION I / We hereby declare that the details furnished above are true & correct to the best of my knowledge and undertake to inform you of any changes therein immediately, and I/we may be held liable for any information is found to be false/misreading /misrepresenting. I/We are aware that the information provided herewith shall be updated in accounts maintained at Kotak Securities under intimation to me. The updation of my KYC record will be updated in KRA. 1st Holder / Authorised Signatory 2nd Holder / Authorised Signatory 3rd Holder / Authorised Signatory Name Name Name Ver (Nov 2017) FOR OFFICE USE ONLY. Address Mobile No. Email Id CRM Query ID 1 CRM Query ID 2 CRM Query ID 3. Originals verified and Self-Attested Document copies received In-Person-Verification (IPV) details: date D D M M Y Y Y Y.

4 Name of the person doing IPV. Designation Name of Organization Signature Seal/Stamp of the intermediary ACKNOWLEDGEMENT. ACKNOWLEDGEMENT. date From 1 Address Yes No CRM Query ID 1 Trading Code having T. Client Id 2 Mobile No. Yes No CRM Query ID 2 For Kotak Securities Ltd. (Company Seal). 3 Email Id Yes No CRM Query ID 3. Employee Signature Name of the Employee Employee Code 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, We request you to call on Customer Service No. 1800 209 9191/1800 222 299. Demat related complaints write at for any other queries or complaints write at List of Individual Promoter or Controlling Shareholder / whole time directors / Partners / Karta / Trustees / Authorised person to deal of (Name of Company / Firm / HUF / Trust) as on *Request for Aadhaar updation - I wish to link the below mentioned Aadhaar and I have no objection in authenticating with Aadhaar based authentication system via OTP/Biometric/Demographic information.

5 In case of authentication failure with UIDAI records, I understand that my/our Adhaar 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 Fund,Insurer's or any other institution in case of any investment or purchase of any product/services from such entities made through KSL. Name as per Aadhar 2. Name as per Pan /ID proof 3. ( promoters, whole time directors, Authorised person to deal etc.). 4 4. 5. 6. date of Birth 7. Gender Male Female 8.

6 Aadhar (UID) No. (Promoters / Partners / Karta / Trustees / Authorised person to deal 9a. Authorised person to deal Yes No 9b. Authorised Signatory Yes No *Request for Aadhaar updation - I wish to link the below mentioned Aadhaar and I have no objection in authenticating with Aadhaar based authentication system via OTP/Biometric/Demographic information. In case of authentication failure with UIDAI records, I understand that my/our Adhaar 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 Fund,Insurer's or any other institution in case of any investment or purchase of any product/services from such entities made through KSL.)

7 Name as per Aadhar 2. Name as per Pan /ID proof 3. ( promoters, whole time directors, Authorised person to deal etc.). 4 4. 5. 6. date of Birth 7. Gender Male Female 8. Aadhar (UID) No. (Promoters / Partners / Karta / Trustees / Authorised person to deal 9a. Authorised person to deal Yes No 9b. Authorised Signatory Yes No Kotak Securities Ltd. Kotak infinity , 8th floor, Building No 21, infinity Park, Off Western Express Highway, Gen A. K. Vaidya Marg, Malad (E), Mumbai - 400097. INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM. A. IMPORTANT POINTS : 2. Utility bills tike Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 1. Self attested copy of PAN card is mandatory for all clients, Including Promoters / Partners / 3 months old.)

8 Karta / Trustees and whole time directors and persons authorised to deal in Securities on 3. BankAccount Statement / Passbook - Not more than 3 months old. behalf of company / firm / others. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect 2. Copies of all the documents submitted by the applicant should be self-attested and of their own accounts. accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorised 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial for attesting the documents, as per the below mentioned list Banks / Scheduled Co-Operative Bank / Multinational Foreign Banks / Gazetted Officer /.

9 Notary public / Elected representatives to the Legislative Assembly / Part iarnent / Documents 3. If any proof of identity or address is in a foreign language, then translation into English is issued by any Govt. or StatutoryAuthority. required. 6. Identity card / document with address, issued by any of the following: Central / State 4. Name & address of the applicant mentioned on the KYC form, should match with the Government and its Departments, Statutory / Regulatory Authorities, Public Sector documentary proof submitted. Undertakings, Scheduled Commercial Banks, Public Financial Institutions. Colleges affiliated 5. If correspondence & permanent address are different, then proofs for both have to be to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.

10 , to their submitted. Members. 6. Sole proprietor must make the application in his individual name & capacity. 7. For Fll / sub account, Power ofAttorney given by Fll / sub-account to the Custodians (which are 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA duty notarized and/or apostited br consularised) that gives the registered address should be guidelines), copy of passport/PIO Card/OCI Card and overseas address proof Is mandatory. taken. 8. For foreign entities. CIN is optional; and in 9ie absence of DIN no. for the directors, their 8. The proof of address in the name of the spouse maybe accepted. passport copy should be given. to PAN. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous ('Sufficient documentary evidence in support of such claims to be collected.))