checklist for kyc november 2011. 1)pan card copy 2)identity proof (any one) pan card passport ...
TRANSCRIPT
Checklist for KYC November 2011
1) Pan Card Copy
2) Identity Proof (Any one) Pan Card Passport Voter ID Card UID / Aadhaar Driving License
(Photo in the Proof must be clearly visible )
3) Photograph Passport size photo (Stamp size photo will be rejected)
4) Address Proof Ration Card (client name should be legible) Voter ID Card Passport copy (within validity period) Driving License (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal Landline telephone bill ( not more than three months old )
CHECKLIST FOR INDIVIDUAL & PROPRIETOR
Electricity Bill ( not more than three months old ) Rent Agreement / Leave & License Agreement / Agreement for sale (it should be a true
copy & a valid agreement)
5) Bank Proof Photocopy of the Bank Passbook or Bank Statement showing Account Number & Name.
( If Cheque is not personalised ) Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate)
6) Demat Proof DP Client Master Copy with Active Status
7) In the case of Proprietor Account, Trading Account will be open in firm Name Rubber stamp of the Proprietor to be affixed, wherever signatures are made Bank letter certifying the Proprietor name and the Trade name
8) KYC supporting documents must be verified with the originals and all Photo copies to be
self – attested by the client only
9) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
10) All the required witnesses in detail to be done in the Agreement
11) KRA Form
1) Pan Card Copy of HUF & Karta
2) Identity Proof (Any one) Pan Card Passport Voter ID Card UID / Aadhaar Driving License
(Photo in the Proof must be clearly visible )
3) Photograph Passport size photo (Stamp size photo will be rejected)
4) Address Proof Ration Card (client name should be legible) Voter ID Card Passport copy (within validity period) Driving License (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook must be authenticate by Banker with seal Landline telephone bill ( not more than three months old )
CHECKLIST FOR HUF
Electricity Bill ( not more than three months old ) Rent Agreement / Leave & License Agreement / Agreement for sale (it should be a true
copy & a valid agreement) Rubber stamp of the HUF to be affixed, wherever signatures are made
5) Bank Proof Photocopy of the Bank Passbook or Bank Statement showing Account Number &
Name
( If Cheque is not personalised ) Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate)
6) Demat Proof DP Client Master copy with Active Status
7) KYC supporting documents must be verified with the originals and all Photo copies to be self – attested
by the client only
8) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
9) All the required witnesses in detail to be done in the Agreement
10) List of family members required in detail like co-parceners Name, Age, Relationship & Signature
11) Rubber Stamp of Karta on all signatures
12) Details of last year income tax return filed. (For HUF)
13) KRA Form
Subject CDSL NSDL
Authorisation Karta & all the co parceners has to sign on Authorisation page
Only Karta has to sign on Authorisation page
1) Trading account will be open in firm name and demat account will be open in partners name
2) Pan Card copy of the Partnership Firm
3) Partnership Deed and must be certified by the Partner
4) Certified copy of the Authority Letter in favour of the Managing Partner
5) Declaration by the Partnership Firm –As per prescribed format on letter head
6) Undertaking by the Partnership Firm
7) Registration Certificate
8) POA granted to person for transaction on behalf of the firm
9) Last 2 financial years Annual Report & IT Return Copy-Certified by the Partners
10) List of Partners with specimen signatures on the Partnership Firm’s letter head
11) Rubber stamp of the Partnership Firm to be affixed, wherever signatures are made
CHECK LIST FOR PARTNERSHIP FIRM
11) Address Proof of the Partnership Firm Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank
Passbook must be authenticate by Banker with seal Landline telephone Bill ( not more than three months old ) Electricity Bill ( not more than three months old )
12) Bank Proof of the Partnership Firm Photocopy of the Bank Passbook or Bank Statements showing Account Number & Partnership Firm name. ( If cheque is not personalised ) Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate)
13) Details of the Partners At least two Partners details are required Pan Card Copy of all the Partners At least two Partners Passport size photographs required. (Stamp size photo will be rejected) Address proof of all the partners
Ration Card (client name should be legible) Voter ID card Passport copy (within validity period) Driving License (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank
Passbook must be authenticate by Banker with seal Landline telephone bill ( not more than three months old )
14) Demat Proof of the Partnership Firm
DP Client Master Copy with Active Status
15) KYC supporting documents must be verified with the originals and all Photo copies to be
self – attested by the client
16) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
17) All the required witnesses in detail to be done in the Agreement
18) KRA Form
1) Pan Card copy of the company
2) MOA & AOA must be certified by the MD / Director / Secretary
3) Form No – 32, if there is any changes in the Board of Directors
4) Certified copy of the Board Resolution and the Declaration Copy in the prescribed format
5) Last 2 financial years Annual Report & IT Return Copy, duly certified by the Director
6) Latest share holding pattern -duly certified by the Company Secretary or Director
7) List of Directors with specimen signatures on the Company's letter head
8) In case of the Limited Company, the Certificate of Commencement of Business will be required
9) Rubber stamp of the Company to be affixed, wherever signatures are made
CHECK LIST FOR CORPORATE
10) Address Proof of the Company Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank
Passbook must be authenticate by Banker with seal Landline Telephone Bill ( not more than three months old ) Electricity Bill ( not be more than three months old )
11) Bank Proof of the Company Photocopy of the Bank Passbook or Bank Statements showing Account Number & Company
name. ( If cheque is not personalised ) Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate)
12) Details of the Directors At least Two Directors details are required Pan Card Copy of all the Directors At least two Directors Passport size photographs required. (Stamp size photo will be rejected) Address Proof of the Directors
Ration Card (client name should be legible) Voter ID Card Passport copy (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank
Passbook must be authenticate by Banker with seal Landline telephone bill ( not more than three months old )
13) Demat Proof of the Company
DP Client Master Copy with Active Status
14) KYC supporting documents must be verified with the originals and all Photo copies to be self – attested
by the client only
15) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
16) All the required witnesses in details to be done in the Agreement
17) KRA Form
1) Pan Card copy of the Trust
2) Trust Deed must be certified by the Trustee
3) Trust registration certificate and must be certified by the Trustee
4) POA granted to person for transaction on behalf of the trust
5) Certified copy of the Board Resolution and the Declaration Copy in the prescribed format
6) Copies of the Annual Report for the last 2 financial years & the latest IT Return Copy, duly certified by the Trustee
7) List of Trustees with specimen signatures on the Trust’s letter head
8) Rubber stamp of the Trust to be affixed, wherever signatures are made
CHECK LIST FOR TRUST
9) Address Proof of the Trust Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook
must be authenticate by Banker with seal. Landline Telephone Bill ( not more than three months old ) Electricity Bill ( not be more than three months old )
10) Bank Proof of the Trust Photocopy of the Bank Passbook or Bank statement showing Account Number & Trust name.
( If cheque is not personalised ) Cancelled Cheque is required for ascertaining MICR code (For ECS Mandate)
11) Details of the Trustees At least Two Trustees details are required Pan Card Copy of all the Trustee At least two Trustees Passport size photographs required. (Stamp size photo should be rejected) Address Proof of the Trustees
Ration Card (client name should be legible) Voter ID Card Passport copy (within validity period) Driving License (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook
must be authenticate by Banker with seal
12) Demat Proof of the Trust
DP Client Master Copy with active status
13) KYC Supporting documents must be verified with the originals and all Photo copies to be self – attested
by the client
14) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
15) All the required witnesses in detail to be done in the Agreement
16) KRA Form
1) Pan Card Copy
2) Identity Proof (Any one) Pan Card Passport Voter ID Card Driving License
(Photo on the Proof must be clearly visible)
3) Photographs Passport size photo (Stamp size photo will be rejected)
4) Foreign & Indian Residential Address Proof Passport copy (Mandatory) (within validity period) Ration Card (client name should be legible) Voter ID Card Driving License (within validity period) Bank Pass Book / Bank Statement (not more than three months old). Correction in Bank Passbook
must be authenticate by Banker with seal. Landline telephone bill ( not more than three months old )
CHECKLIST FOR NRI CLIENT
5) Visa Copy (In case the place of issue of passport is India)
6) Bank Proof with NRI status Photocopy of the Bank Passbook or Bank Statement showing Account Number, Name with NRI /
NRO status Cancelled Cheque is required for ascertaining MICR code(For ECS Mandate)
7) Demat Proof with NRI status DP Client Master Copy with active & NRI / NRO status
8) PIS permission / RBI Approval
9) Undertaking for FEMA regulations as per prescribed format
10) Letter from current employer (if applicable)
11) POA (Power of Attorney) – Notarized from abroad
12) Authority Letter – (If authority given by the client to another person) Passport copy for proof of address of the authorized person Photo of the person authorized Letter signed by the authorized person
13) KYC Supporting documents must be verified with the originals and all Photo copies to be self-
attested by the client
14) Introducer’s Name, Address, PAN No & Signature with supporting documents is mandatory
15) All the required witnesses in details to be done in the Agreement
16) KRA Form
Thank You