equity and commodity version 3.2 b2c-final 05042019 · 2019-07-11 · bank account statement for...

FOR CSO USE ONLY

Form No.

Client Code

DP ID

Ver: 3.2 October 2018

Branch Code

Sub Code

1234567890

AccountOpening

Form

forINDIVIDUAL

Connect with us

EQUITY & COMMODITY B2CApplication Type

KYC Number

New Update

INDEX OF DOCUMENTS

Name of the Document Brief Significance of the Document

Page No.

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1.

KYC Form - Document captures the basic information about the constituent and an instruction/check list.

A.

Document captures the additional information about the constituent relevant to Trading/ Demat account and an instruction/check list.

B.1 to 5KRA Form and Account Opening Form

SE

PAR

AT

E C

OP

Y F

OR

CL

IEN

T

Document describing significant policies andprocedures of the stock brokerPolicies and Procedures4.

2.

Rights and Obligations

7.

6.Document detailing risks associated with dealingin the securities & commodities market.

Document detailing do's and don'ts for tradingon exchange, for the education of the investors.

5.

Rights & Obligations of Beneficial Owners & Depository Participants:

Risk Disclosure Document (RDD)

Guidance note

Document detailing the rate/amount of brokerage & other charges levied on the client for trading on exchange(s) & DP Service charges/Fee Structure

Tariff sheet

1. All details to be filled in Capital Block letters in Black / Blue Ink Only.

2. Email ID & Mobile number is mandatory for account related passwords and transaction details.

3. Corrections in the KYC form should be counter signed.

4. Strike off whichever option, in the account opening form, is not applicable.

5. All Originals to be produced for physical verification.

6. If any proof of identity or address is in a regional language, then translation into English is required.

7. Sole proprietor must make the application in his individual name & capacity.

8. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

IMPORTANT INSTRUCTIONS

1. Signature Types:IMPORTANT NOTE

2. In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature

Signature of GuardianG Signature of WitnessWAuthorised Signatory of Member Signature of Introducer

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

1.Running Account Authorisation Consent for ECN

Authorisation to maintain Running AccountConsent for ECN declaration

Rights and Obligations - MTFRights and obligations relating to margin tradingfacility provided To client 11 to 13

Voluntary Terms & Conditions

Additional terms & conditions specific to clientsfor the purpose of operational efficiency.2. 8 to 11

3.

7

Nomination FormPower of Attorney

Nominee details for Trading and Demat AccountPOA provided by BO to Angel for settlement / Margin purpose 14 to 154.

8.

6

Signature of Client / First HolderFH Signature of Second HolderSH Signature of Third HolderTH

3. A Client Declaration - Open Interest Position A Client Declaration - Open Interest Position 7

Sr. No.

Bank Proof With

MICR / IFSC Code (1st Holder only)

Demat Proof (Any One)(1st Holder only)

Proof of Income (Any

One)

(Mandatory for F&O / Currency / Commodity Segments) (1st Holder only)

1. Bank Statement / Bank Passbook with cheque leaf (not more than 3 months old)

2. Banker’s Certificate on letter head of the Bank (ORIGINAL)

3. Cancelled Personalized Cheque leaf

1. Client Master (CML copy duly attested by DP)

2. DP Statement / Transaction cum Holding Statement

1. Copy of ITR Acknowledgement

2. In case of salary income - Salary Slip, Copy of Form 16

3. Net-worth certificate (Not more than 1 year old)

4. Copy of Demat Account Holding Statement

5. Bank Account Statement for last 6 months reflecting income

KYC CHECKLIST (PLEASE TICK WHEREVER APPROPRIATE)

PAN Card

Photograph

Proof of Address (Any One)

Permanent / Correspondence

Account Holder & Joint Holder’s (If any)

One Colored Front Face Photograph on photographic Paper (Passport Size)

1. Valid Passport (Name, Address & Photo page)

2. Voter ID (front and back)

3. Valid Driving License (Name, Address & Photo page)

4. Unique identification number (UID) (Aadhaar)

5. Bank Statement/Passbook (not more than 3 months old must contain complete address of client)

6. Banker’s Verification Letter

7. Electricity Bill (not more than 3 months old)

8. Resident Landline Tel. Bill (not more than 3 months old)

9. Registered Flat Sale Agreement of Residence

11. Ration Card

10. Registered Lease/Leave & License Agreement

Additional Proof of

Identity (Any One)

(If Pan card not visible

OR Pan card sign & signature in KYC form are different)

KRA document used

(Email Id & Phone number to be provided on given KRA Form)

1. Unique identification number (UID) (Aadhaar)

2. Valid Passport (Name, Address & Photo page)

3. Voter ID (front and back)

4. Valid Driving License (Name, Address & Photo page)

5. PAN Card

6. Other 1 (Pls. Specify) ___________________________

KRA document used

Angel Broking Ltd.

1Ver: 3.2

KNOW YOUR CLIENT (KYC) | APPLICATION FORM (FOR INDIVIDUALS ONLY) Application No. :

FIRST HOLDER

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my/our 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/we are aware that I/we 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.

PlaceSignature of Applicant FH

2/9Date DD / MM / YYYY

B. ADDRESS DETAILS

2. Contact/Mobile No Tel (Res.)

Email idTel (Off.)

3. Specify the proof of address submitted for Residence / Correspondence Address:

4. Permanent Address (if different from above

correspondence address)

Pin Code

City/Town/Village

1. Residence / Correspondence Address

Pin Code

City/Town/Village District

CountryState

District

CountryState

FOR OFFICE USE ONLY

Documents verified with Originals

Name & E Code

Designation

Date

Signature

Client Interviewed By &In-Person Verification done by

DD / MM / YYYY DD / MM / YYYY

Details of Employee /Authorized Signatory

Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options

A. IDENTITY DETAILS

1. Name of Applicant

PHOTOGRAPH

3. Father’s / Spouse Name

5. a. Gender

c. Marital Status

8. PAN AadhaarFH1/9

Single Marriedb. Date of birth DD / MM / YYYY

Male Female Transgender

Others

9. Specify the proof of identity submitted :

4. Mother Name

2. Maiden Name FOR MARRIED WOMEN ONLY

6. Nationality 7. Status Resident IndividualIndian

FIRST NAME MIDDLE NAME LAST NAME


Seal/Stamp of the Intermediary

Angel Broking Ltd.

KNOW YOUR CLIENT (KYC) | APPLICATION FORM (FOR INDIVIDUALS ONLY) Application No. :

SECOND HOLDER

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my/our 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/we are aware that I/we 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.

PlaceSignature of Applicant SH

2/4Date DD / MM / YYYY

B. ADDRESS DETAILS

2. Contact/Mobile No Tel (Res.)

Email idTel (Off.)

3. Specify the proof of address submitted for Residence / Correspondence Address:

4. Permanent Address (if different from above

correspondence address)

Pin Code

City/Town/Village

1. Residence / Correspondence Address

Pin Code

City/Town/Village District

CountryState

District

CountryState

FOR OFFICE USE ONLY

Documents verified with Originals

Name & E Code

Designation

Date

Signature

Client Interviewed By &In-Person Verification done by

DD / MM / YYYY DD / MM / YYYY

Details of Employee /Authorized Signatory

Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options

A. IDENTITY DETAILS

1. Name of Applicant

PHOTOGRAPH

3. Father’s / Spouse Name

5. a. Gender

c. Marital Status

8. PAN AadhaarSH1/4

Single Marriedb. Date of birth DD / MM / YYYY

Male Female Transgender

Others

9. Specify the proof of identity submitted :

4. Mother Name

2. Maiden Name FOR MARRIED WOMEN ONLY

6. Nationality 7. Status Resident IndividualIndian




2Ver: 3.2

TRADING & DEMAT ACCOUNT RELATED DETAILS

TYPE OF ACCOUNT : Individual Resident OtherSub Status

A. BANK ACCOUNT DETAILS - Payin / Payout of funds will be routed through the said bank account only

Savings Current

Bank Name & Branch Location:

Account No.

MICR Code IFSC Code

FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL

Client Name

Are you U.S. Person? (Refer KYC Handout - Customer Copy)

Specify country of residence for tax purpose (Tax Residency)

Specify country of citizenship

First/Sole Holder

Yes No

India Other

India Other

3Ver: 3.2

B. DEPOSITORY ACCOUNT DETAILS (DP1 DETAILS CONSIDERED FOR PAYOUT OF SECURITIES IF FILLED)

DP 1 Details

CDSLDepository

DP Name

Client Name

DP ID

BO ID

Angel Broking Ltd

DP 2 Details

CDSL NSDL

1 2 0 3 3 2 0 0

Stock Exchanges

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

For any additional segment / exchange, separate authorization/letter shall be required from the client

Market segment on which you wish to trade

Cash MarketF & O

I hearby confirm having knowledge of risks associated with dealing in F&O

BSEI hearby confirm having knowledge

of risks associated with dealingin Currency derivatives segment

Mutual Fund All SegmentFH1/11FH4/9

FH1/11FH5/9

NSEI hearby confirm having knowledge

of risks associated with dealingin Currency derivatives segment

NSE BSE

MCX NCDEXFH1/11FH4/9

All Exchanges

Currency Derivatives Segment

BOTH

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature

Is the Client Politically Exposed Person (PEP) or Related to a PEP

PEP Related to PEP Not a PEP / RPEP

Experience Number of years of Investment / Trading Experience

E. INFORMATION FOR PREVENTION OF MONEY LAUNDERING ACT, 2002

Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs >25 LacsGross Annual Income

Net Worth in ` (*Net worth should not be older than 1 year) as on date DD / MM / YYYYOR

Private Sector ServiceGovt Service

RetiredBusiness

Student

AgriculturistPublic Sector

Housewife Others _______________________(Pls Specify)

Occupation(Please tick)

Professional

Nature of BusinessManufacturing Services

Consultancy Others_____________________________

Trading

Client CategoryCommercial participant Noncommercialparticipant

importerexporter hedgervalue chain participant

arbitragertraderfinancial participant

D. STANDING INSTRUCTIONS / AUTHORIZATION FROM THE CLIENT

Contract Note/Holding & Transaction Statement includingCAS/Other Documents*(For ECN in commodity segment, please refer pg. no. 9)

Electronic Physical

Receive Delivery Instruction Slip No

No

Yes

Yes

Receive Annual Report Electronic Physical Both

Share Email ID with Registrar & Transfer Agent

DP Account StatementAs per SEBI Regulation

Monthly Fortnightly Weekly

Declaration for Mobile Number Self Spouse Child Parent

Declaration for Email IDDo not have

Self Spouse Child Parent

F. PAST ACTIONS

Details of any action / proceedings initiated / pending / taken by SEBI / Exchanges / any other authority against the applicant / constituent or its Partners / promoters / whole time directors /authorized persons in charge of dealing in securities / commodities during the last 3 years:

No If yes, please specify

G. GST REGISTRATION DETAILS

Registration No Validity Date Name of the State

DD / MM / YYYYGSTIN No:

Whether you wish to avail of the facility of internet trading /wireless technology ( please specify) Yes No

Margin Trading Facility ( Refer Rights & Obligation document) Yes No

Wish to make Nomination in trading and Demat account Yes No (If yes, please fill up annexure “A”)

Running Account SettlementYes No

Monthly QuarterlyIf yes, please select

4Ver: 3.2


Place: ___________________________

DECLARATION

Signature of the Introducer

I. INTRODUCER DETAILS

Sub-broker/APStatus of Introducer

Introducer Name: SB/Emp/Client Code:

Employee Existing Client

Mobile No:

Address:

Others (Specify):

H. DEALINGS THROUGH SUB-BROKERS / AUTHORISED PERSON (AP) / OTHER STOCK BROKERS

If Yes, please specify:

Name of Stock Broker Name of SB/AP

Name of Exchange Client Code (as given by other broker)

Details of disputes/dues pending from/to such stock broker/sub-broker:

Whether you are a Member / Sub-broker / AP of any Exchange Yes No

If yes, provide SEBI / Exchanges registration no: Ph. Website:

(First/Sole Holder Signature)

FH6/9

(Second Holder Signature)

SH3/4

(Third Holder Signature)

TH1/2

5Ver: 3.2

i.e. www.angelbroking.com

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature 6Ver: 3.2

Trading Brokerage and Demat Tariff for Individual (POA client )

Plan Name

Initial Margin


FH7/9


SH4/4


TH2/2

iTrade Preferred iTrade PremierAngel 699

Rs. 25000 Rs. 50000Nil

iTrade Classic

Rs. 10000

- DP AMC Charges @ 450 / Year Free for 2 yr Free for 3 yrFree for 1 yr Free for 1 yr

- Franking, KRA, CKYC, eSignature Charges ,- Email statements / Electronic contract notes

- Transaction charges for Sell (Debit ) & Inter-settlement Debit per transaction

- Pledge Creation/ Closure / Invocation

- Demat / Remat (Per Certificate ) - Physical statements request/ DIS request / Physical contract notes

-Cheque Bounce Charges

-Delay Payment Charges (DPC) on outstanding bill amount if not paid within due date

Notes :

1.Brokerage is levied per executed order across all segments

- Order value greater than Rs. 50,000 / order

Value Added Services

- Call and Trade charges per order

- Premium Advisory

- Dedicated Relationship Manager

- Online Wealth Builder Training Program (Once a Month)

- Financial Planning

- Online Fund Transfer via Net Banking & UPI

- Technical & Derivatives trading ideas

- ARQ - Robo based Advisory

Online Brokerage per executed order

- Order value less than equal to Rs. 50,000 / order

2. Order value for Options is calculated as ( Strike + Premium ) x Lot size. Brokerage is also charged on expired, exercised and assigned options contract

3. Stamp duty, GST, Education cess & other statutory levies (if any) will be charged as applicable

4. Above tariff is subject to change. Changes if any will be intimated 30 days in advance

Rs. 15 Rs. 15 Rs. 15

Rs. 30 Rs. 30Rs. 30

Rs. 20 Rs. 20Rs. 20

Free for 1 yr

Free

Free for 2 yr

Yes

Free

Free

-

-

-

- Free

Free

Free

Free

Free

Free

-

-

Free

Free

Free

Rs. 15

Rs. 30

Rs. 20

-

-

-

-

Free

Free

Free

Free

Rs. 20

Rs. 25

Rs. 50

Rs. 350

1.5 % Per month (levied every 15 days)


A. CLIENT DECLARATION - OPEN INTEREST POSITION

B. CONSENT TO INSTRUCTION TO MAINTAIN RUNNING ACCOUNT (VOLUNTARY)

PLEASE TICK WHICHEVER IS APPLICABLE

Client Signature FH8/9

Place:

Date: DD / MM / YYYY

C. CONSENT FOR ELECTRONIC CONTRACT NOTE (ECN) - DECLARATION (VOLUNTARY)

I, ________________________________________________________, Client Code ___________________________, PAN ____________________, Registered with you as a client of Multi Commodity Exchange of India Ltd (MCX), and/or National Commodity & Derivative Exchange Ltd (NCDEX), undertake as follows:

Ÿ I am aware that the Member has to provide physical contract note in respect of all the trades placed by me unless I myself want the same in the electronic form.

Ÿ I am aware that the Member has to provide electronic contract note for my convenience on my request only.

Ÿ Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all trades carried out/ordered by me.

Ÿ I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email operations.

Ÿ My email id is _______________________________________________________(the email id must be written in own handwriting). This has been created by me and not by someone else.

Ÿ I am aware that this declaration form should be in English or in any other Indian language known to me.

Ÿ I am aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above e-mail ID.

[The above declaration has been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same]

Verification of the client signature done by,

Designation:

Authorised Signatoryof Member

Date: DD / MM / YYYY

7Ver: 3.2

VOLUNTARY TERMS AND CONDITIONS (EQUITY & COMMODITY)



I/We hereby state & confirm that I have read & understood the terms & conditions as mentioned above & agree to abide by the same.

RIGHTS AND OBLIGATIONS RELATING TO MARGIN TRADING FACILITY PROVIDED TO CLIENTS (VOLUNTARY)

11Ver: 3.2

12Ver: 3.2

I would like to avail of Margin Trading Facility and agree to the above Rights & Obligation

Client Signature FH9/9

13Ver: 3.2

INTE

NTIO

NALLY

LEFT

BLA

NK

14Ver: 3.2


Nomination form accepted and registered vide Registration No.: ____________________________________________________________________________

OFFICE USE ONLY(To be filled by Depository Participant)

DP ID Client ID1 2 0 3 3 2 0 0

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.

Signature of the Authorised Signatory

ANNEXURE-ANOMINEE DETAILS FOR TRADING AND DEMAT ACCOUNT

Nominee Details

I/We wish to nominate I/We do not wish to nominate

Client Name Trading Code DP ID 12033200 Client ID

*Nominee 1 *Nominee 2 *Nominee 3

Address

Last Name

Middle Name

First Name

City

State

PIN

Contact Details

PAN

UIDAI

Date of Birth

% of allocation of Securties

Relationship with BO

First Name

City

State / Country

PIN

Relationship with Nominee

Guardian Signature

GUARDIAN DETAILS (IF NOMINEE IS A MINOR)

Address

(First/Sole Holder Signature) (Second Holder Signature) (Third Holder Signature)

FH SH TH

Date

PlaceWITNESSES (ONLY APPLICABLE IN CASE THE ACCOUNT HOLDER HAS MADE NOMINATION)

Address

Name

* If in case of multiple nominee., Residual securities, Nominee 1 shall be entitled for Residual securities.

Signature

POWER OF ATTORNEY - POA (VOLUNTARY) AS PER EQUITY


DULY STAMPED

I / We accept (For Angel Broking Ltd)

Authorised Signatory: ________________________

Date:_____________________

Name:______________________________________________

Address:___________________________________________

Signature of Witness: FW

SCHEDULE 1 - LIST OF DEMAT ACCOUNTS

Depository Participant Name - Demat A/c No.

ABL/Client Beneficiary A/c

ABL/Pool A/c

ABL/Pool A/c



ABL/Pool A/c

ABL/Pool A/c



(Margin Trading)

1203320000000028

IN300126 10003588

1203320000006564

1203320000000066

IN301549 14216209

IN300095 10184021

1203320006951435

1203320000000051

1203320009603460

Angel Broking Ltd

HDFC Bank

Angel Broking Ltd

Angel Broking Ltd

HDFC Bank

IL & FS

Angel Broking Ltd

Angel Broking Ltd

Angel Broking Ltd

Name / TypeExchange

BSE

BSE

BSE

BSE

BSE

NSE

NSE

NSE

BSE / NSE

Depository Participant Name - Demat A/c No.









ABL/Pool A/c

IN301549 32108952

1203320000026363

1203320004025849

1203320004574264

IN301549 16921197

1203320007561350

IN301348 20057525

IN301348 20057752

1203320000006579

HDFC Bank

Angel Broking Ltd

Angel Broking Ltd

Angel Broking Ltd

HDFC Bank

Angel Broking Ltd

ICICI Bank

ICICI Bank

Angel Broking Ltd

Name / TypeExchange

NSE

NSE Currency

MSXI

NSE FO

NSE FO

BSE FO

NSE FO

NSE

NSE

Collateral Account1203320008556483Angel Broking Ltd NCDEX Collateral Account1203320008556810Angel Broking Ltd MCX


FH


SH


TH

15Ver: 3.2

For details: Please contact your nearest branch or call

Centralized Helpdesk at: 022 - 3355 1111 / 4281 5454

or write to [email protected]

TM Code - BSE 612 TM Code - NSE 12798

BSE & NSE Cash Segment

Member: Bombay Stock Exchange Ltd. / National Stock Exchange of India Ltd./ Metropolitan Stock Exchange of India Ltd. / Multi Commodity Exchange of India Ltd. / National Commodity & Derivatives Exchange Ltd. / CDSL-Depository Participant

Registered / Correspondence Office: G-1, Ackruti Trade Centre, Road No. 7, MIDC, Andheri (E), Mumbai - 400 093.Tel.: 91 22 4231 9600 / 3083 7700. Fax: 91 22 2835 8811. Website: www.angelbroking.com. CIN: U67120MH1996PLC101709

Angel Broking Ltd

NSE F&O Segment (Trading Member)

TM Code - NSE 12798

ICICI Bank Ltd. (Clearing Member)

SEBI Registration No.: INF231134745

CM Code - C50006

NSE Currency Derivatives Segment (Trading cum Clearing Member)

TM Code - NSE Currency 12798

BSE Currency Derivatives Segment (Trading Member)

IL&FS Securities Services Ltd. (Clearing Member)

SEBI Registration No.: INE011311532

CM Code - 807

TM Code - 612

Multi Commodity Exchange of India Ltd. (Trading cum Clearing Member)

TM Code - 12685

National Commodity & Derivatives Exchange Ltd. (Trading cum Clearing Member)

TM Code - 00220

CDSL-Depository Participant - SEBI Registration No.: IN-DP-CDSL-384-2018 | CDSL DP ID: 12033200

For any grievance/dispute please contact Angel Broking Ltd at the above address or email id: [email protected]

and Phone no.: 022-3355 1111 / 4281 5454. In case not satisfied with the response, please contact the concerned exchange(s):

BSE Email: [email protected] & Tel.: (022) 2272 8097 | NSE Email: [email protected] & Tel.: (022) 2659 8190 | MCX Email: [email protected] & Tel No: (022) 6731 8888 | NCDEX Email: [email protected] & Tel No: (022) 6640 6899

Compliance Officer Name: Tel.: 91 22 3941 3940. Email ID: [email protected]. Rajiv Kejriwal

CEO Name: Mr. Vinay Agrawal. Tel.: 022 - 3355 1111 / 4218 5454. Email ID: [email protected]

Also refer our website: www.angelbroking.com for updated details, if any.

SEBI Registration No.: INZ000161534