Corporate Social Responsibility at Motilal Oswal Financial Services Limited
Motilal Oswal Financial Services Ltd · 2020. 4. 27. · Motilal Oswal Financial Services Limited...
Transcript of Motilal Oswal Financial Services Ltd · 2020. 4. 27. · Motilal Oswal Financial Services Limited...
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VERSION 2 / February 20
Motilal Oswal Financial Services Ltd
Motilal Oswal Financial Services Limited (MOFSL)* Member of NSE, BSE, MCX, NCDEX CIN No.: L67190MH2005PLC153397Registered Office Address: Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025; Tel No.: 022-71934263; Website www.motilaloswal.com Correspondence Office Address: Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai- 400 064. Tel No: 022 7188 1000. Registration Nos.: Motilal Oswal Financial Services Limited (MOFSL)*: INZ000158836 (BSE/NSE/MCX/NCDEX); CDSL and NSDL: IN-DP-16-2015; Research Analyst: INH000000412. AMFI: ARN - 146822; Investment Adviser: INA000007100; Insurance Corporate Agent: CA0579. Motilal Oswal Asset Management Company Ltd. (MOAMC): PMS (Registration No.: INP000000670); PMS and Mutual Funds are offered through MOAMC which is group company of MOFSL. Motilal Oswal Wealth Management Ltd. (MOWML): PMS (Registration No.: INP000004409) is offered through MOWML, which is a group company of MOFSL. • Motilal Oswal Financial Services Limited is a distributor of Mutual Funds, PMS, Fixed Deposit, Bond, NCDs, Insurance Products and IPOs. • Real Estate is offered through Motilal Oswal Real Estate Investment Advisors II Pvt. Ltd. which is a group company of MOFSL. • Private Equity is offered through Motilal Oswal Private Equity Investment Advisors Pvt. Ltd which is a group company of MOFSL. • Research & Advisory services is backed by proper research. Please read the Risk Disclosure Document prescribed by the Stock Exchanges carefully before investing. There is no assurance or guarantee of the returns. Investment in securities market is subject to market risk, read all the related documents carefully before investing. Details of Compliance Officer: Name: Neeraj Agarwal, Email ID: [email protected], Contact No.:022-71881085.
* MOSL has been amalgamated with Motilal Oswal Financial Services Limited (MOFSL) w.e.f August 21, 2018 pursuant to order dated July 30, 2018 issued by Hon'ble National Company Law Tribunal, Mumbai Bench.
Customer having any query/feedback/ clarification may write to [email protected]. In case of grievances for Securities Broking write to [email protected], for DP to [email protected]
Investment in securities market are subject to market risks, read all the related documents carefully before investing.
Paperwork hua purana,
e-KYC ka hai zamaana.
Forget this form, switch to e-KYC.
KNOW YOUR CLIENT (KYC) APPLICATION FORM(BSE,NSE,CDSL,MCX,NCDEX)
No money / cash to be paid to
any of ours Authorised Person.
Any funds pay-in / fees / charges
are to be paid only by cheque /
RTGS in favour of Mo�lal Oswal
Financial Services Ltd. only.”
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INDEX OF DOCUMENTS
Sr.No.
Brief Significance of the Document
Account Opening Form1.
Name of the Document
A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
Tariff sheet2.
3.
Page No.
1-8
9-12
16-18
4.
30-32
Rights and Obligations6.
Risk Disclosure Document (RDD)7.
Guidance note8. 47-48
49-51
39-42
43-46
33-34
Document detailing do’s and don’ts for trading on exchange, for the education of the investors.
B. Document captures the additional information about the constituent relevant to trading account.
A. KYC form - Document captures the basic information about the constituent along with an instruction/check list for filling KYC form.
Document detailing the rate / amount of brokerage and other charges levied on the client for trading on the stock exchange(s).
Document describing significant policies and procedures of the stock broker.
Document stating the Rights & Obligations of stock broker/trading member, Authorised Person and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading).
Document detailing risks associated with dealing in the securities market.
Policies and Procedures
FATCA Declaration FATCA Declaration
STANDARD DOCUMENTS FOR DP, EQUITIES, DERIVATIVES & MARGIN TRADING FACILITY
5. Rights and Obligations of Beneficial Owner and Depository Participant
Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories 37-38
Pro
vid
ed
Th
rou
gh
Se
para
te H
andB
ook
Application for Demat Account14.
B - VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
Power of Attorney15.
16.
Authority to Retain funds as running account
17.
Voluntary Clauses(Terms & conditions) - Annexure A
12-15
19-20
21-26
28
For Availing Trust FacilityAll TRUST related Forms and Terms& Conditions are available onMOFSL Website.
Common Registration Form for availing SMS Alert and/or TRUST facility19.
Form for registering Clearing Members on whose behalf the securities can betransferred from the account of the BO on the basis of SMS under TRUST facility
Combined Registration Form for availing SMS Alert and /or TRUST facility and for registering Clearing Members on whose behalf the securities can be transferred from the account of BO on the basis of SMS under TRUST facility
De-registration Form for TRUST
Terms And Conditions for availing Transaction Using Secured Texting (TRUST)Service offered by CDSL. Annexure 2.6
20. Do’s & Dont’s 27
36Family Declaration - Email / Mobile Updation in Family Codes
Voluntary Document
63
10. Uniform Risk DisclosureDocument (RDD)
Rights and Obligations ofMembers, Authorized Personsand Clients
11.
Do’s and Don’ts for the Investors13.
12.
52-54
55-62
64-65
STANDARD DOCUMENTS FOR COMMODITIES
Document detailing risks associated with dealing in the commodities market.
Document stating the Rights & Obligations of member, Authorized Person and client for trading on exchanges.
Document detailing do’s and dont’s for trading on exchange, for the education of the investors.
Risk Disclosure Documents for Options
Documents pertaining risk associated with dealing in the options
18. 29Consent for Electronic ContractNote
Consent for Electronic Contract Note
Additional KYC details for opening a demat account
Power of Attorney provided to broker to facilitate payin of securities/commodities and other authorizations.
Additional clauses other than specified by SEBI to facilitate transactions of Client.
For the purpose of operational convenience, this authorization is required to maintain the client account for the funds on running account basis.
Motilal Oswal Financial Services Limited
Rights & Obligations of Stock Brokers & Clients for Margin Trading Facility (MTF)
Rights and Obligations - MTF9.
Application to avail Margin Trading Facility under MOFSL. 35
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Motilal Oswal Financial Services Limited
For any grievance / dispute please contact stock broker (Motilal Oswal Financial Services Limited) at the above address or Email id [email protected] for stock broking related dispute or [email protected] for DP related dispute or can speak on Phone No. 91-22-71881000. In case not satisfied with the response, please contact BSE at [email protected] and Phone no. 91-22-22728016 and NSE at [email protected] and Phone no. 18002660058 and CDSL at [email protected] and phone No. 1800-200-5533 and NSDL at [email protected] and Phone No. 022-24994200 and MCX at [email protected] and Phone no. 91-22-66494070 and NCDEX at [email protected] and Phone no. +91-22-66406789.
“You can also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575”.
Motilal Oswal Securities Ltd. (MOSL)has been amalgamated with Motilal Oswal Financial Services Limited (MOFSL) w.e.f August 21, 2018 pursuant to order dated July 30, 2018 issued by Hon'ble National Company Law Tribunal, Mumbai Bench.
Motilal Oswal Financial Services LimitedName of stock broker/trading member/clearing member
SEBI Registration No. and date
SEBI Registration number as Research Analyst INH000000412, November 29, 2018
INZ000158836 (BSE/NSE/MCX/NCDEX) - February 05, 2019
CDSL and NSDL : IN-DP-16-2015 - February 14, 2019
Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025. Ph: +91-22-71934200 / 71934263 Fax: +91-22-50362365 Website: www.motilaloswal.com
Registered Office Address
Name of COO
Name of compliance officer Mr. Neeraj Agarwal Ph: +91-22-71881085 Email Id: [email protected]
Mr. Ajay Menon Ph: +91-22-71881000 Email Id: [email protected]
Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai - 400 064. Ph: +91-22-71881000 Fax: +91-22-71881333 Website: www.motilaloswal.com
Correspondence Office Address
NERL: 50144 ComRIS : M1100050 - 06-Mar-2018 CCRL : 10055930 - 11-Sep-2018
SEBI Registration Number as Investment Advisor INA000007100, November 29, 2018
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WATCH OUTS / LAST MINUTE REVISION
1. The A/c opening form is filled properly in BLACK INK and BLOCK LETTERS ONLY and do have : a. Clients Name and Signature at places marked in Grey color. b. Joint holders signature will be required against the symbols. c. Address - as it appears on the address proof. In case permanent & Correspondence addresses are different,
make sure to provide address proof for both of them. d. Witness signature at places marked in Light Grey color. e. N. A. mentioned at all places not applicable to the client.2. White ink is not allowed either on form or on agreement. All corrections to be countersigned with full signature. 3. All proofs, photographs and signature on the form should be clearly visible and should be self attested by client.4. In Person Verification, PAN & Document verification from original has to be done by SEBI registered / Authorised
Person only.5. In case of DP in joint names, all the proofs - PAN card and address proof - should be provided for the 2nd & 3rd
Holder also
TRADING & DEMAT ACCOUNT CHECKLIST (INDIVIDUAL / NRI) - ACOP Individual Version 2
Required Validation
Proofs
ID Details Address Details Bank Details
Name Sign Photo Bank Name & A/c No.
MICR / IFSCCode
PAN Card *Passport
*Driving Licence Voter ID
UID (Aadhaar)Ration Card
** Telephone Bill(Mobile bill not accepted)
**Electricity Bill #Bank Statement ##Bank Passbook
Cancelled Cheque (With Client name &A/c No. Printed)
Bank Verification Letter
(Original)
üüüü
üüü
üüüü
üüü
üüü
Abbreviations :
PROOF FOR EXISTING DEMAT ACCOUNT HOLDERS
DP Statement
1. Clients name & DP A/c No. on the proof of DP should match with that mentioned in the account opening form. 2. DP statement should clearly show DP ID & Client ID.3. For E-Broking clients, Demat A/c should be opened with MOFSL only with POA.
PROOFS FOR NRI (NON RESIDENT INDIAN)
1. PAN card 2. Valid Passport / PIO Card / OCI Card as proof of Identity. Proof of Foreign Address and Indian Address (If any)3. Bank A/c should be either Repatriable Bank A/c for NRE OR Non-Repatriable A/c for NRO Status.4. Proof of Demat Account should be only with NRI status.5. Permission for dealing in securities from Authorized Dealer (Bank) / RBI.
PROOF OF FINANCIAL DETAILS, any one
Copy of Annual Accountsü
Demat Holding Statement
Copy of Income Tax Return ü
Networth Certificateü ü
Copy of Form 16 (Salary Certificate)ü
Bank Statements for last 6 months ü
ü Client Master Report (CMR)ü
ü
ü
üü
ü ü ü ü ü ü ü
üü
üü
ü
ü
ü ü
üü ü
üü
*1) The Proof should be valid on the DATE of agreement. **2) The Proof should not be more than 3 months old. #3) Bank Statement should be original and of latest quarter. It should have Bank Manager's Stamp & Sign, if original
stationery is not available.##4) Bank Passbook should have Bank Manager's Stamp & Sign if it is hand written.
CorrespondenceAddress
PermanentAddress
ü ü
.
Motilal Oswal Financial Services Limited
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ys
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AD
DR
ES
SP
RO
OF
-
CH
EC
KL
IST
TA
BL
E F
OR
AC
CO
UN
T O
PE
NIN
GIm
porta
nt N
otes
: 1. R
equi
rem
ents
are
as
per C
DS
L, C
VL
and
SE
BI g
uide
lines
2. A
ctiv
atio
n is
the
date
, whe
n do
cum
ents
are
rece
ived
at t
he H
EA
D O
FFIC
E F
OR
VE
RIF
ICAT
ION
.3.
Inco
me
Pro
of is
man
dato
ry to
dea
l in
Non
-Cas
h S
egm
ents
TH
E R
ES
PE
CT
IVE
DO
CU
ME
NT
S S
UB
MIT
TE
D S
HO
UL
D B
E A
S P
ER
TH
E R
EQ
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TS
ME
NT
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ED
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red
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e or
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e A
gree
men
t of R
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ence
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copy
of N
ame
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ress
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e#
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toco
py p
refe
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t Mai
nten
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bill
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mor
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m
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te d
ocum
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ceiv
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t Hea
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val
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xt 1
0 da
ys p
ost a
ctiv
atio
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TE
: In
cas
e Te
leph
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Bill
/ Ele
ctric
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ill/ G
as B
ill/ R
egis
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ase/
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e A
gree
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t/ Fl
at M
aint
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ce B
ill is
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IS M
AN
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Y T
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ard
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usba
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t Ban
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ccou
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e, a
ttest
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opy
* P
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copy
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ates
t ins
uran
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ium
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lip*
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nt n
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and
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ess
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k S
tate
men
tB
ank
atte
sted
cop
y of
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k S
tate
men
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re
late
st 3
Mon
ths
trans
actio
ns s
houl
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pr
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t alo
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ith fo
llow
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ils*
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ank
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k V
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iven
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equi
rem
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MP
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-prin
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k lo
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and
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ank
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porta
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otes
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rem
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are
as
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DS
L, C
VL
and
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uide
lines
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FFIC
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OR
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RIF
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me
Pro
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Non
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egm
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E R
ES
PE
CT
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MIT
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S P
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ED
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ME
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QU
IRE
ME
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S
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k S
tate
men
t
Pro
vid
e an
y o
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of
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gV
alid
ity
( A
t th
e ti
me
of
Act
ivat
ion
)
Atte
sted
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y of
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k S
tate
men
t whe
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late
st 6
Mon
ths
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actio
ns s
houl
d be
pr
esen
t alo
ng w
ith fo
llow
ing
deta
ils*
Acc
ount
hol
der N
ame
* B
ank
Acc
ount
No
* B
ank
Acc
ount
Typ
e [S
avin
gs/C
urre
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me
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urn
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x R
etur
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essm
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ear
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m 1
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of c
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roof
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ore
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old
& s
houl
d be
val
id fo
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xt
10 d
ays
post
Act
ivat
ion
INC
OM
EP
RO
OF
* S
igna
ture
sho
uld
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lear
ly v
isib
le a
nd s
houl
d m
atch
with
sig
natu
re d
one
in th
e ac
coun
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form
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vid
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of
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alid
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t th
e ti
me
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ivat
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)
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NA
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RE
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OO
F
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k st
atem
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uld
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MP
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RIL
Y A
TT
ES
TE
D B
Y B
AN
K w
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sho
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pre
-prin
ted
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k lo
go,
Add
ress
and
oth
er r
elev
ant d
etai
ls a
bout
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k m
entio
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. (B
ank
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stat
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shou
ld c
onta
in A
utho
rized
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gnat
ory
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ank
with
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mpl
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ched
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or F
orm
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age
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east
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umen
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ecei
ved
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ead
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ame
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ved
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Lear
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OT
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CE
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BLE
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k V
erifi
catio
n Le
tter
( As
per
the
deta
ils g
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equi
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) C
lien
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ls M
and
ato
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n B
ank
Ver
ific
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Acc
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Typ
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urre
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* C
lient
Sig
natu
re*
Clie
nt P
AN
Num
ber
-
1
1100010900
Motilal Oswal Financial Services Limited
PLEASE
AFFIX
RUBBE
R STAM
P & SIG
N
Name of the Organization
Person name doing IPV / docs / PAN verification
Designation / MOFSL Employee code
Date of IPV / Document Verification
Date of PAN Verification with IT Site
Signature of the Person
Motilal Oswal Financial Services Limited
Sole/First Holder
1/18
2/18
7.
Landmark
Landmark
Please enclose duly attested copy of your Aadhar Card
ACOP Individual Version 2
NSE / BSE / MCX / NCDEX - AP Registration Number
-
2 ACOP Individual Version 2
-
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
Important Instructions:
A) Fields marked with ‘*’ are mandatory fields.
B) Please fill the form in English and in BLOCK letters.
C) Please fill the date in DD-MM-YYYY format.
D) Please read section wise detailed guidelines / instructions
at the end.
E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.
F) List of two character ISO 3166 country codes is available at the end.
G) KYC number of applicant is mandatory for update application.
H) For particular section update, please tick (P) in the box available before the
section number and strike off the sections not required to be updated.
For office use only
(To be filled by financial institution)
Application Type*
KYC Number
Account Type*
New Update
Normal Simplified (for low risk customers) Small
(Mandatory for KYC update request)
Prefix First Name Middle Name Last Name
Name* (Same as ID proof)
Maiden Name (If any)
Mother Name
Gender*
Marital Status*
Citizenship*
Residential Status*
M -
Married
IN- Indian
Person of Indian Origin
Male F- Female T-Transgender
Unmarried Others
Others (ISO 3166 Country Code )
(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)
A- NREGA Job Card
B- Others (any document notified by the central government
C- Simplified Measures Account - Document Type code
Identification Number
Identification Number
3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)
(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted
Address Type* Residential / Business Residential Business Registered Office Unspecified
Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card
Address
State / U.T Code* ISO 3166 Country Code*
1. PERSONAL DETAILS (Please refer instruction A at the end)
2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)
3. PROOF OF ADDRESS (PoA)*
3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)
Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)
State / U.T Code* ISO 3166 Country Code*
3
Signature & Stamp
1st Holder
3/18
Signed for and on behalf of
ACOP Individual Version 2
Addition of Related Person Deletion of Related Person
(In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)
(If KYC number and name are provided, below details of section 6 are optional) el. (Off)
KYC Number of Related Person (if available*)
Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*
Name*
Prefix First Name Middle Name Last Name
PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)
A- Passport Number
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
Z- Others (any document notified by the central government) Identification Number
Passport Expiry Date
Driving Licence Expiry Date
D D M M Y Y Y Y
D D M M Y Y Y Y
S- Simplified Measures Account - Document Type code Identification Number
Self Empliyed X- Not CategorisedOccupation Type*
• I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.
NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.
Sole/First Holder
-
4 ACOP Individual Version 2
CENTRAL KYC REGISTRY I Instructions/ Check list/ Guidelines for filling Individual KYC Application Form
General Instructions:1 Fields marked with '*' are mandatory fields.2 Tick ' ' wherever app licable.3 Self-Certification of documents is mandatory.4 Please fill the form in English and in BLOCK Letters .5 Please fill all dates in DD-MM-YYYY format.6 Wherever state code and countr y code is to be furnishe d, the same should be the two-digit code as per Indian Motor Vehi cle, 1988 and
ISO 3166 countr y code respectively list of which is available at the end.7 KYC number of applicant is mandatory for updation of KYC details.8 For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be
updated.9 In case of 'Small Account type' only personal details at section number 1 and 2, photograph, signature and self-certification required.
A Clarification/ Guidelines on filling 'Personal Details' section1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr / etc.). The name should match the name as mentioned in the Proof of Identity
submitted failing which the application is liable to be rejected.2 Either father's name or spouse's name is to be mandatorily furnished. In case PAN is not available father 's name is mandatory.
B Clarification/ Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdicti on. Ho wever, if the said jurisdiction has
issued a high integrity number with an equivalent level of identification (a "Functional equivalent "), the same may be reported. Examples of hat type of number for individual include , a social securit y/insuran ce number, citi zen/ personal identi fication/ services code/number, and resident registration number)
C Clarification/ Guidelines on filling 'Proof of Identity [Pol)' section1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.2 Mention identification / reference number if 'Z- Others (any document notified by the central government)' is ticked.3 In case of Simplified Measures Accounts for verifying the identity of the app licant , any one of the following documents can also be submitted
and undernoted relevant code may be mentioned in point 3 (S).Document Code Description 01 Identity card with applicant's photograph issued by Central/ State Government Departments, Statut ory/ Regulatory
Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and Public Financial Institutions. 02 Letter issued by a gazetted officer , with a duly attested photograph of the person.
D Clarification/ Guidelines on filling 'Proof of Address [PoA] - Current/ Permanent/ Overseas Address details' section1 PoA to be submitted only if the submitted Pol does not have an address or address as per Pol is in valid or not in force.2 State/ U.T Code and Pin/ Post Code will not be mandator y for Overseas addresses.3 In case of Simplified Measures Accounts for verifying the address of the applica nt, any one of the following documents can also be
submitted and undernoted relevant code may be mentioned in point 4.1.Document Code Description 01 Utility bill which is not more than two months old of any service provider (ele ctricity, telephone , post-paid mobile phone,
piped gas, water bill). 02 Property or Municipal Tax receipt. 03 Bank account or Post Office savings bank account statement. 04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public
Sector Undertakings, if they contain the addre ss. 05 Letter of allotment of accommodation from emplo yer issued by State or Central Government departments, statutory
or regulatory bodies, public sector undertakings, scheduled commercial banks, financial institution s and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation .
06 Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.
E Clarification/ Guidelines on filling 'Proof of Address [PoA] - Correspondence/ Local Address details' section1 To be filled only in case the PoA is not the local address or address where the customer is currentl y residing. No separate PoA is required to
be submitted.2 In case of multiple correspondence / local addresses, Please fill 'Annexure Al’
F Clarification/ Guidelines on filling 'Contact details' section1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999).2 Do not add 'O' in the beginning of Mobile number.
G Clarification/ Guidelines on filling 'Related Person details' section1 Provide KYC number of related person if available .
H Clarification/ Guidelines on filling 'Rel ated Person details - Proof of Identity [Pol] of Related Person' section1 Mention identification / reference number if 'Z- Others (any document notified by the central government)' is ticked.
-
5
1100010900
Motilal Oswal Financial Services Limited
PLEASE
AFFIX
RUBBE
R STAM
P & SIG
N
Name of the Organization
Person name doing IPV / docs / PAN verification
Designation / MOFSL Employee code
Date of IPV / Document Verification
Date of PAN Verification with IT Site
Signature of the Person
Motilal Oswal Financial Services Limited
Joint Applicant Details (2nd Holder)
7.
Landmark
Landmark
Please enclose duly attested copy of your Aadhar Card
ACOP Individual Version 2
NSE / BSE / MCX / NCDEX - AP Registration Number
-
6 ACOP Individual Version 2
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
Important Instructions:
A) Fields marked with ‘*’ are mandatory fields.
B) Please fill the form in English and in BLOCK letters.
C) Please fill the date in DD-MM-YYYY format.
D) Please read section wise detailed guidelines / instructions
at the end.
E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.
F) List of two character ISO 3166 country codes is available at the end.
G) KYC number of applicant is mandatory for update application.
H) For particular section update, please tick (P) in the box available before the
section number and strike off the sections not required to be updated.
For office use only
(To be filled by financial institution)
Application Type*
KYC Number
Account Type*
New Update
Normal Simplified (for low risk customers) Small
(Mandatory for KYC update request)
Prefix First Name Middle Name Last Name
Name* (Same as ID proof)
Maiden Name (If any)
Mother Name
Gender*
Marital Status*
Citizenship*
Residential Status*
M -
Married
IN- Indian
Person of Indian Origin
Male F- Female T-Transgender
Unmarried Others
Others (ISO 3166 Country Code )
(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)
A- NREGA Job Card
B- Others (any document notified by the central government
C- Simplified Measures Account - Document Type code
Identification Number
Identification Number
3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)
(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted
Address Type* Residential / Business Residential Business Registered Office Unspecified
Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card
Address
State / U.T Code* ISO 3166 Country Code*
1. PERSONAL DETAILS (Please refer instruction A at the end)
2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)
3. PROOF OF ADDRESS (PoA)*
3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)
Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)
State / U.T Code* ISO 3166 Country Code*
Signature & Stamp
2nd HolderSigned for and on behalf of
Addition of Related Person Deletion of Related Person
(In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)
(If KYC number and name are provided, below details of section 6 are optional) el. (Off)
KYC Number of Related Person (if available*)
Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*
Name*
Prefix First Name Middle Name Last Name
PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)
A- Passport Number
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
Z- Others (any document notified by the central government) Identification Number
Passport Expiry Date
Driving Licence Expiry Date
D D M M Y Y Y Y
D D M M Y Y Y Y
S- Simplified Measures Account - Document Type code Identification Number
Self Empliyed X- Not CategorisedOccupation Type*
• I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.
.
NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.
Joint Applicant Details (2nd Holder)
-
1100010900
Motilal Oswal Financial Services Limited
PLEASE
AFFIX
RUBBE
R STAM
P & SIG
N
Name of the Organization
Person name doing IPV / docs / PAN verification
Designation / MOFSL Employee code
Date of IPV / Document Verification
Date of PAN Verification with IT Site
Signature of the Person
Motilal Oswal Financial Services Limited
Joint Applicant Details (3rd Holder)
7.
Landmark
Landmark
Please enclose duly attested copy of your Aadhar Card
7 ACOP Individual Version 2
NSE / BSE / MCX / NCDEX - AP Registration Number
-
8 ACOP Individual Version 2
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
Important Instructions:
A) Fields marked with ‘*’ are mandatory fields.
B) Please fill the form in English and in BLOCK letters.
C) Please fill the date in DD-MM-YYYY format.
D) Please read section wise detailed guidelines / instructions
at the end.
E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.
F) List of two character ISO 3166 country codes is available at the end.
G) KYC number of applicant is mandatory for update application.
H) For particular section update, please tick (P) in the box available before the
section number and strike off the sections not required to be updated.
For office use only
(To be filled by financial institution)
Application Type*
KYC Number
Account Type*
New Update
Normal Simplified (for low risk customers) Small
(Mandatory for KYC update request)
Prefix First Name Middle Name Last Name
Name* (Same as ID proof)
Maiden Name (If any)
Mother Name
Gender*
Marital Status*
Citizenship*
Residential Status*
M -
Married
IN- Indian
Person of Indian Origin
Male F- Female T-Transgender
Unmarried Others
Others (ISO 3166 Country Code )
(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)
A- NREGA Job Card
B- Others (any document notified by the central government
C- Simplified Measures Account - Document Type code
Identification Number
Identification Number
3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)
(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted
Address Type* Residential / Business Residential Business Registered Office Unspecified
Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card
Address
State / U.T Code* ISO 3166 Country Code*
1. PERSONAL DETAILS (Please refer instruction A at the end)
2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)
3. PROOF OF ADDRESS (PoA)*
3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)
Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)
State / U.T Code* ISO 3166 Country Code*
Signature & Stamp
3rd HolderSigned for and on behalf of
Sole / Joint 3rd Holder
Addition of Related Person Deletion of Related Person
(In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)
(If KYC number and name are provided, below details of section 6 are optional) el. (Off)
KYC Number of Related Person (if available*)
Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*
Name*
Prefix First Name Middle Name Last Name
PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)
A- Passport Number
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
Z- Others (any document notified by the central government) Identification Number
Passport Expiry Date
Driving Licence Expiry Date
D D M M Y Y Y Y
D D M M Y Y Y Y
S- Simplified Measures Account - Document Type code Identification Number
Self Empliyed X- Not CategorisedOccupation Type*
• I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.
.
NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.
-
OTHER DETAILS
(Please tick ( ) : Upto 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lac
as on (date)(*Net worth should not be older than 1 year) D D M M Y Y Y Y
Gross Annual Income Details
Net-worth in `.Or
9
Bank Name
Branch Name
Branch Address
Bank A/c No.
A/c Type Savings Current Others
MICR Number IFSC Code
Internet Banking status Enabled Not Enabled Currency: Rs.
Proof of Bank submitted Bank Statement# Cancelled Cheque (with client name and A/c no. printed)
Bank Passbook## Bank Verification Letter (original)
DEPOSITORY ACCOUNT(S) DETAILS ( if existing )
Depository Participant Name
P. N.: In case of NRI's, Bank Account should be Repatrible Bank Account for NRE or Non Repatrible Bank Account for NRO.
Depository Name:
DP ID CDSL Beneficiary ID (BO ID)
DP ID NSDL Beneficiary ID (BO ID)
DP ID NERL Beneficiary ID (BO ID)
DP ID COMRIS Beneficiary ID (BO ID)
DP ID CCRL Beneficiary ID (BO ID)
BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER
(Mandatory for E-Broking)
PEP Politically Exposed Person Related to a Politically Exposed Person
For definition of PEP, please refer guideline relating to Instructions/Checklist for filling KYC form
Any Other Information
1) Clients name & DP A/c No. on the proof of DP submitted should match with that mentioned in the account opening form.2) DP statement should clearly show DP ID & Client ID.3) For E-Broking clients, Demat A/c should be opened with MOFSL only with POA.
Beneficiary Name
Second Holders Name
Third Holders Name
Proof of DP submitted DP Statement Client Master Report (CMR)
CDSL NSDL NERL COMRIS
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
Occupation (Please tick ( ) any one and give brief details) : Private Sector Service Public Sector
Government Service Business Professional Agriculturist Retired
Housewife Student Forex Dealer Others (Please specify)_______
Not a Politically Exposed Person (PEP) Not related to a Politically Exposed Person (PEP)
CCRL
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10
PAST ACTIONS
GST DETAILS
GST Number
GST Implementation Location
Details of any action/proceedings initiated/pending/taken by FMC/SEBI/Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:
ADDITIONAL DETAILS
Facilities For Trading Whether you wish to avail the facility of Internet trading Wireless technology (Mobile Trading)
Contract Note and
Standard Documents
Years in Stocks Years in Derivatives Investment/Trading Experience
Primary purpose of dealing Intraday Positional Investment
In Derivatives: Trading Hedging Investment
Stock Portfolio NIL < 5 Lacs 5-20 Lacs 20-50 Lacs > 50 Lacs
Commodity Portfolio NIL < 5 Lacs 5-20 Lacs 20-50 Lacs > 50 Lacs
Educational Qualification Under Graduate Graduate Post Graduate Professional
Any other information
In Equities:
Communication Mode(If Yes then please fill in Appendix-A)
:
Whether you wish in Electronic Form (Email id same as mentioned on KRA Page)
to receive in Physical Form
Years In Commodities
Years in Other investment related fields No Prior Experience
Do you intend to invest in the stock/commodity market with : Own Funds Borrowed Funds
Details of the relatives, having account with MOFSL
INFORMATION IN RELATION TO THE PREVENTION OF MONEY LAUNDERING ACT, 2002
Details of the corporate/partnership firm/trust, etc where client is affiliated
Name
Relationship UCC
Name
Relationship UCC
Nature of Business Entity Type
Funds Detail
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
If, you do not wish to trade on any Exchanges and any of its segment / Mutual Fund, Please mention here ____________________.
TRADING PREFERENCE
Please sign in the relevant boxes where you wish to trade. Please strike off the segment not chosen by you.
NSE & BSE
Cash / Mutual FundSegments F&O
4/18
Currency
6/185/18
Debt
MCX, NCDEX, BSE & NSE
7/18 8/18
ExchangesCommodity-Futures/Options/Options on Commodity futures / Derivatives
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11
INTRODUCER DETAILS (optional)
Name of the Introducer
Address
Status of the Introducer Remisier Authorised Person Existing Client Others
M I D D L E L A S T F I R S T
Signature of the Introducer
Facebook ID
Twitter ID
Linkedin ID
SOCIAL MEDIA INFORMATION OF THE CLIENT
If you are dealing through MOFSL Authorised Person, provide the following details:
SEBI / Exchange Registration No.
Authorised Person Name
DEALINGS THROUGH REGISTERED AUTHORISED PERSON
Registered office
Address
Contact Details : Website
Phone No. Fax No.
Phone No.:
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
DEALINGS THROUGH OTHER STOCK BROKERS
If you are dealing with any other stock / commodity broker / Authorised Person, provide the following details:
(in case dealing with multiple stock / commodity brokers / Authorised Person, provide details of all)
Name of Stock broker Client Code
Name of Authorised Person Exchange
Details of disputes/dues pending from/to such Stock broker / Authorised Person
Pls select ( ) on the below appropriate category depending upon your proposed nature of your activity against each product type.
Client Categorisation
Commercial - □
Product type
Bullion - □
Base Metals - □
Energy - □
Agri-Commodities - □
Non Commercial - □
Product type
Bullion - □
Base Metals - □
Energy - □
Agri-Commodities - □
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12
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
Type of account in DP (Please whichever is applicable)
Individual Resident Individual Director Individual Promoter Individual Directors Relative
Individual Margin Trading A/c (MANTRA) Other (specify) ____________________________
NRI - Non Repatriable NRI Repatriable NRI - Depository Receipts
NRI - Non Repatriable Promoter NRI Repatriable Promoter Other (specify) __________
Foreign National Foreign National - Depository Receipts Other (specify) ____________
Foreign Individual - QFI (MF)
Status Sub-Status
Individual
NRI
Foreign National
Qualified Foreign Investor
FOR NEW DEMAT ACCOUNT WITH MOFSL (All Holders should be major i.e. more than 18 years of age)
CLIENT CATEGORISATION - COMMODITY WISE
I/We request you to open a demat account in my/ our name as per following details:- Holders Details
Sole / First Holder's Name
Second Holder's Name
Third Holder's Name
PAN
AADHAR NO.
PAN
AADHAR NO.
PAN
AADHAR NO.
• 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.
• I / We confirm having read / been explained and understood the contents of the tariff sheet and all voluntary / non mandatory documents & policy & procedures.
• I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s), 'Risk Disclosure Document' and Do’s and Dont’s. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker's designated website, if any.
• I/We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the bye laws as are in force from time to time. I /We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate MOFSL any change(s) in the details / particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.
st 1 holder nd 2 holderrd 3 holder
Client Signature
Client Name
DECLARATION
9/18 . .
Option for Issue of DIS BookletI/We hereby state that
Option 1 : I/ We require you to issue Delivery Instruction Slip (DIS) booklet to me/us immediately on opening my/our CDSL account through I/we have issued a Power of Attorney (POA) / executed PMS Agreement in favour of/with Motilal Oswal Financial Services Limited (name of the Attorney / Clearing Member/ PMS Manager) for executing delivery instruction for setting stock exchanges trades (settlement related transactions ) effected through such Clearing Member/ by PMS Manager .Or Option 2 : I/ We do not require the Delivery Instruction Slips (DIS) for the time being, since I /We have issued a POA / executed PMS agreement in favour of /with Motilal Oswal Financial Services Limited (name of the attorney / Clearing Member / PMS Manager ) for executing delivery instructions for setting stock exchange trade (settlement related transaction ) effected through such Clearing Member / by PMS Manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me/us immediately on my/our request at any later date.
Sig
n to
be
use
for c
ropp
ing
The Customer is required to select appropriate category depending upon their proposed nature of activity against each commodity type. Please fill “COMMODITY CLIENT CATEGORISATION” declaration given under the link www.motilaloswal.com>>>>BIZOPS>>>>Information>>>>DOWNLOAD and submit the signed categorisation declaration to head office.
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Yes No
DP FACILITIES
A/c Statement Requirement As per SEBI Regulation
I / We instruct the DP to receive each and every credit in my / our account
(If not marked, the default option would be `Yes')
To Register for , please visit website www.cdslindia.com easi Yes No
WeeklyDaily Fortnightly Monthly
Mobile No. same as mentioned on KRA Page(Mandatory, if you are giving Power Of Attorney (POA) (If POA is not granted & you do not wish to avail of this facility, cancel this option )
SMS Alert Facility (Refer Terms and conditions Annexure- 2.4 as per CDSL communique No. 1574 dated 12th May 2009
Yes No
I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Conditions prescribed by CDSL for the same.
I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST
Transactions UsingSecured Texting Facility(TRUST).Refer to Terms andConditions Annexure -2.6 as per CDSL communique No. 3804 dated 13th July 2013
To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.
Easi
Stock Exchange Name
Bombay Stock Exchange (BSE) Motilal Oswal Financial Services Ltd.
Motilal Oswal Financial Services Ltd.
Clearing Member Name Clearing Member ID (Optional)
National Stock Exchange ofIndia Limited (NSE)
Yes No
Yes No
I/ We would like to instruct DP to accept all the pledge instructions in my/our account without any other furtherinstruction from my/ our end.(If not marked, the default option would be “No”)
I/ We would like to share the email id with the RTA.
I/ We would like to receive the Annual Report : Physical Electronic Both physical and ElectronicYou will be receiving Consolidated Account Statement (CAS) in Electronic form, if you wish to receive CAS in Physical form or do notwish to receive the same, kindly contact your DP(Tick the applicable box, if not marked the default option would be in physical)
Yes No
Yes No
I/We request you to send Electronic Transaction cum holding Statement at the Email ID
I/We wish to receive dividend / interest directly in to my bank account given below through ECS?
(If not marked, the default option would be `Yes') [ECS is mandatory for locations notified by SEBI from time to time]
Name of Stock Exchange
Name of CC/ CH
Clearing Member ID Trading Member ID :
Clearing Member Details (To be filled by CMs only )
13 ACOP Individual Version 2
-
Nomination Form
Dear Sir/ Madam,I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:
I/We do not wish to nominate any one for this Trading and Demat account
(Selection of anyone option & signatures of all account holders is compulsory on this form).
To,Motilal Oswal Financial Services LimitedPalm Spring Centre, 2nd Floor,Palm Court Complex, New Link Road,Malad – West, Mumbai - 400 064.
I/We nominate the following person/s who is are entitled to receive funds/security balances lying in my/our account, particularswhereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.
BO Account Details
DP ID Client ID
Name of the Sole / First Holder
Name of Second Holder
Name of Third Holder
Nomination Details
*First Name
Nominee Name
Middle Name
*Last Name
Date of birth
Nominee 1 Nominee 2 Nominee 3
*Country
*City
Telephone Number
*Address
*State
*PIN
1 2 0 1 0 9
*Relationship with the client
Date of birth (mandatory if Nominee is a minor):
*PAN No:
UID
Email ID
*Residual Funds/Securities [please tick any one nominee.
If tick not marked default will
be first nominee]:
*Percentage of allocation of funds/securities:
% % %
14
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
-
First/Sole Holder Second Holder Third Holder
* Name
* Signature
Note: One witness shall attest signature (s) / Thumb impression(s).Details of the Witness
*Names of Witness
*Address of Witness
Note: Residual funds/securities: incase of multiple nominees, please choose any one nominee who will be credited with residual funds/securities remaining after distribution of funds/securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual funds/shares, if any.
*Marked is Mandatory fieldThis nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.
Place: _______________________ Date:______________________
Witness
. .
.
*PIN
*Country
*City
Telephone Number
Name of the Guardian of Nominee (if the nominee is minor):
*Address of the Guardian of nominee:
*State
Age
Email ID:
*First Name
Middle Name
*Last Name
*Relationship of Guardian with Nominee
*Contact No. of Witness
*Signature of Witness
(To be filled by DP)Nomination Form a ccepted and registered wide Registration No. _____________________ dated ______________.
(Authorised Signatory)
Fax No of Nominee.:
Fax No of Guardian.:
For Motilal Oswal Financial Services Limited
10/18
15
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
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16
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
Account Maintenance Charges (AMC)
Scheme
ParticularsTRX
Scheme5 Year
TRX SchemeAMC Scheme AMC Scheme
Motilal Oswal Financial Services Ltd. DP TARIFF SHEET
NIL
Rs.199/-
Rs. 35 or 0.035% (whichever is higher
Rs. 40 or 0.040% (whichever is higher)
Rs. 40 or 0.040% (whichever is higher)
Account Administration Charges (AAC)
Trx Charges towards shares sold
Within MOFSL
Off market Transfer within MOFSL
Rs. 30 or 0.040% (whichever is higher)
Rs.899/-
Rs.199/-
Rs. 40 or 0.040% (whichever is higher)
NIL
Rs.2500/-
Common Tariff applicable to all Scheme
Dematerialisation Rs.50/- per request +Rs.50/- per certificate
RematerialisationRs.35/- per certificate or per 100 shares and part there of which ever is higer and Rs.25/- per Restate of Statement of Account/Redemption
Pledge/ Unpledge/Closure/Invocation
Rs.35/- per Pledge Instruction
1. Except for the month of April, an amount of Rs. 250/- (non adjustable / Non refundable) will be charged for each scheme change request. The new scheme will be applicable from the day on which the scheme is changed without adjustment of previous bills.
2. The first year, AAC and AMC will be charged on pro rata basis from the month of account opening. Subsequently, it will be charged anually in the month of April for next financial year. For Corporate Accounts additional Rs.500/- P.A. will be charged towards CDSL/NSDL AMC** in all the scheme.
3. In case the account is closed during the year, AMC for the remaining quarter ending upto December will be refunded to the client. However, AAC charges will not be refunded.
4. Rates are subject to revision from CDSL /NSDL. DP reserves the right to ammend the tariff at any given point of time. Goods and Service Tax (GST) will be charged extra as per regulation.
5. Rs. 50/- will be charged to client for new DIS book.
6. Rs. 50/- will be charged toward per Demat / Remat rejection case.
7. Rs. 30/- per Inter Settlement pool to pool charges for pay out shares received in MOFSL POOL account will be charged.
8. I / We am / are aware of the Basic Service Demat Account (BSDA) scheme that may be applicable to my demat account as and when value of my demat holdings is within the cut off value as specified by SEBI / Regulators and as per other conditions as applicable from time to time. In this regards I / we wish to select following option:
I / We do not wish to opt for BSDA scheme although my / our demat account may be eligible for the same in future and I / We request MOFSL to continue my / our demat account in normal scheme as availed by me / us at the time of account opening / modified (if any) to avail regular DP Services.
I / we wish to opt for BSDA scheme in case my / our demat account is eligible for BSDA scheme anytime in future as per then prevailing regulatory guidelines. I / we are further aware that such BSDA scheme will be made applicable to our demat account from next billing cycle. I / We further aware that in case if value of my / our holdings goes above the cut off value as per BSDA guidelines or any other stipulated conditions of BSDA is breached, I/ we shall be levied normal DP charges as per normal scheme availed by me / us.
9. There is a facility to avail Annual Report of the Company in Electronic form by submitting email id & opt for the same. You may register your email id in RTA / Company records also by opting for the same. To avail these facilities, you are requested to contact your Branch.
Off market Transfer outside MOFSL
Rs. 40 or 0.040% (whichever is higher)
Rs.799/- (Upfront for 5 years from the date
of selection of the scheme)
Rs. 20/- or 0.025% (Whichever is higher)
Fresh Admin charges of Rs. 799/- will be applicable after completion of 5 year
Rs. 30 or 0.030% (whichever is higher) Rs. 40/-
Rs. 40/- or 0.040% (whichever is higher)
NIL
NIL
BSDATRX17
BSDA TRXScheme
NIL
NIL
Rs. 50 or 0.050% (whichever is higher)
Rs. 50 or 0.050% (whichever is higher)
Rs. 50 or 0.050% (whichever is higher)
BSDAAMC17
BSDA AMC Scheme
NIL
Rs.100/-
Rs. 50 or 0.050% (whichever is higher)
Rs. 50 or 0.050% (whichever is higher)
Rs. 50 or 0.050% (whichever is higher)
Rs. 20/-
TRX17 TRX5YR17 AMC17 LIFETIME19 AMC19
AMC Scheme
Rs. 199/-
Rs.550/-
Rs. 30 or 0.03%(whichever is higher)
Rs. 40 or 0.04%(whichever is higher)
Rs. 40 or 0.04%(whichever is higher)
(Tariff to be continued….)
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17
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
Transaction Type
Table No.
Brokerage Rate (%)
Min. Brokerage (Rs.)
EQUITIES & DERIVATIVES TARIFF SHEET
BROKERAGE FOR TRADING ACCOUNT
Intraday(First leg)
Intraday(First leg)
Intraday(Second leg)*
Intraday(Second leg)*
OptionsDelivery DeliveryFutures(First Leg)
Futures(First Leg)
Futures(Second leg)*
Futures(Second leg)*
Options
Equity Cash Equity F&O Currency Debt
Value Pack schemeOR
Amount Validity Months
Terms and Conditions
Second leg - if squared off on the same day*
- Account Opening charges (Including KRA charges) for Trading Account is Rs. 1000/-
- SEBI Turnover Fees, STT, Goods and Service Tax (GST), Stamp Duty, &Transaction Charges will be levied separately from brokerage as applicable from time to time.
“There will be a broking AMC of Rs.299/- will be applicable. The broking AMC will be free for first year from date of activation.”
Please note that in Cash Segment brokerage will be charged at the highest value, which will be derived after considering following 3 criteria:
• Brokerage slab (as mentioned in above Tariff Sheet) • For intra-day trades, brokerage up to Rs. 15 for each executed order
• For delivery based trades, brokerage up to Rs. 30 for each executed order
(Above 3 criteria are subject to maximum rate(s) as prescribed by the regulator(s) from time to time)
The above shall be read in conjunction with paragraph on “Applicable Brokerage rates” as mentioned in Policies &Procedures.
You may check the prevailing brokerage rate applicable to you through your secured client login. You can access to Client login by keying your UCID/ Client code and password through website www.motilaloswal.com.
Details of your Secured login will be given in welcome letter send to you upon activation of your account with MOFSL.
Brokerage Rate
Asset Class ( Type) Liquid
0.05%
MUTUAL FUND TARIFF SHEET
STP
0.10%
Bond, Debt, Gilt,Hybrid, MIP
0.15%
Balanced, Equity,Equity(G), Equity(S), FOF
0.50%
Table No.
Brokerage Rate (%)
Min. Brokerage (Rs.)
OR
Other Charges : Cash Segment – Maximum of 0.02% on Transaction ValueFutures Segment – Maximum of 0.006% on Transaction valueOptions Segment – Maximum of 0.06% on Transaction ValueCDS Futures Segment – Maximum of 0.006% on Transaction valueCDS Option segment – Maximum of 0.06% on Transaction Value
1. Other Charges represents a consolidated charge towards providing various value added services such as Trade confirmation SMS, Electronic Account Access, Portfolio Tracker, access to research reports, Market News SMS etc..
2. In case of option contracts, other charges shall be charged on transaction value calculated as Premium into Qty executed.
In addition to above, charges levied on account of Cheque Return, Wrong reporting of Cheques, DP Scheme Charges for DIS Re - Issuance, Issue of Duplicate Statements, Interest Charges etc. may be recovered from your account.
Complete details are made available in your secured Client login. You can access to Client login by keying your UCID/ Client code and password through website www.motilaloswal.com.
MOFSL reserves the rights to change the brokerage as well as other tariff from time to time under intimation to client.
(Tariff to be continued….)
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18
1st Holder Signature 2nd Holder Signature 3rd Holder SignatureSigned for and on behalf of
. .Signature
11/18
- SEBI Turnover Fees, CTT, Goods & Service Tax (GST), Stamp Duty, Transaction Charges and other statutory charges will be levied separately from brokerage as applicable from time to time.
- Delivery related charges i.e. Delivery Charges, Warehouse Charges, Vault Charges etc. will be levied separately as per guidelines.
- All Charges levied by Exchange(s) / Regulator(s) will be recovered from your account as applicable. - In addition to above, Charges levied on account of Cheque Return, Wrong Reporting of Cheque, Issue of Duplicate
Statements, Interest Charges etc. may be recovered from your account as applicable.
MOFSL reserves the rights to change the Brokerage as well as other tariff from time to time under intimation to client. You may check the prevailing brokerage rate applicable to you through your secured client login.
Complete Details of above charges are made available in your secured client login.
You can access to Client login by Keying your UCID / Client Code and password through our website: www.motilaloswal.com. Details of your secured login will be given in Welcome Letter / email send to you upon activation of your account with MOFSL.
Futures
Futures
Options
Options
Delivery
Delivery
Brokerage %
Brokerage %
MCX
NCDEX
Charge on
Charge on
Table No.
Table No.
One Side
One Side
One Side
One Side
Both Side
Both Side
Both Side
Both Side
COMMODITY TARIFF SHEET
Motilal Oswal Financial Services Limited
ACOP Individual Version 2
(Tariff cont