Post on 16-Feb-2021
GENERAL INSTRUCTIONS TO THE CLIENTS
(Issued in the interest of the clients)
1. Please read the entire form first. This is important for you and for us.
2. Please fill up and sign the ‘Know Your Customer’ form (KYC) yourself.
3. Do not fill up the form in hurry or under compulsion.
4. Please read all the mandatory and optional documents carefully. In case you need any clarificationon the contents thereof, please get in touch with our Branch or with us at Head Office.
5. It is suggested that you keep a photocopy of the document, before handing it over to our branch.
6. Please keep yourself abreast with the rules, regulations, instructions etc. issued by SEBIand the Exchanges as far as possible, especially the Do’s & Don’ts issued by the Exchangesfrom time to time.
7. In case you are dealing through sub-broker, please ensure that they are registered with SEBI.
8. Please do not hand over signed, blank DIS (Delivery Instruction Slips) to anybody includingemployees of Peerless Securities Ltd. (PSL) to avoid unauthorized use of the documents. Pleasenote that we shall not be responsible for any such act on your part.
9. Any changes in the information provided in this KYC need to be brought to the notice of PeerlessSecurities Limited (PSL) immediately with necessary supporting documents.
10. Please make a note of the Unique Client Code (UCC) and quote the same correctly every timeyou place an order with the dealer. Otherwise we shall not be liable for non-execution.
11. Please give instructions to the dealer in as clear and unambiguous term as possible to avoidany problem of miscommunication. Kindly note you cannot hold either PSL or its officialsresponsible for any unclear instructions given by you. Your instructions have to be givensolely based on your judgement, risk and responsibility. No employee of PSL is authorized toprovide you counsel for your transactions.
12. Please make the payments for margins, pay-in within time specified. Make the paymentsfrom the same bank account as mentioned in the KYC by way of account payee cheques infavour of PSL only. Do not make cash payments as PSL do not accept cash, and no employeeof PSL is so authorized.
13. Please meet your delivery obligations only from the demat account mentioned in the KYC, as theshares received from third parties would be rejected. The delivery instruction slips should becompleted in all respects and submitted duly signed.
14. Any discrepancies in the contract note and account statements should be brought to the notice ofthe customer grievance cell at HO or sent an email to our investor grievance email id :pslrelations@peerlesssec.co.in immediately.
15. Other than the documents asked for by way of the set of forms, PSL has the right to call forfurther documents stipulated by the Exchanges, Regulators, Govt. agencies and PSL themselves.
16. No employee of PSL including the Branch Manager is authorized to trade on your behalf or applydiscretion in buying / selling of scrips. They are only authorized to execute client’s instructions.
TRADING & DEMAT ACCOUNT CHECKLIST (INDIVIDUAL / NRI)
ID Details Address Details Bank DetailsRequired Validation
Proofs
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)
Name Photo CorrespondenceAddressPermanent
AddressBank Name& A/c No.
MICR / IFSCCode
Abbreviations :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.
PROOF OF FINANCIAL DETAILS, any one (for clients who wish to trade in F&O)
� Copy of Income Tax Return � Copy of Annual Accounts � Copy of Form 16 (Salary Certificate)
� Networth Certificate � Demat Holding Statement � Bank Statements for last 6 months
PROOF FOR EXISTING DEMAT ACCOUNT HOLDERS
� DP Statement � Client Master Report (CMR)
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 MODES only with POA.
PROOFS FOR NRI (NON RESIDENT INDIAN)
1. PAN card2. 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.
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 24 places marked in Grey color.
b. Address - as it appears on the address proof. In case permanent & Correspondence addresses are different, makesure to provide address proof for both of them.
c. Witness signature at 6 places marked in Light Grey colour.
d. 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 Sub-broker /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.
CH
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delin
es
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RO
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ter
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on
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ills/
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ctri
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Ban
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t
RE
QU
IRE
ME
NT
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olou
red
Pho
toco
py p
refe
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hoto
copy
of N
ame
and
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ress
pag
e (2
pag
es)
Val
id f
or a
tleas
t ne
xt
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WO
m
on
ths
fro
m
the
d
ate
o
f A
cco
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hoto
copy
of N
ame
and
Add
ress
pag
e (2
pag
es)
Val
id f
or a
tleas
t ne
xt
•T
WO
mon
ths
from
the
date
of A
ccou
nt A
ctiv
atio
n#•
Lear
ning
Lic
ense
is N
ot A
ccep
tabl
e
•P
hoto
copy
of N
ame
and
Add
ress
pag
e (2
pag
es)
•C
olou
red
Pho
toco
py p
refe
rred
•C
olou
red
Pho
toco
py p
refe
rred
of
Aad
haar
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ard
(fro
nt a
nd r
ever
se)
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ho
toco
py
of
Na
me
/Ad
dre
ss
an
d
Fa
mily
mem
bers
list
pag
e (2
pag
es)
•T
he P
roof
sho
uld
not b
e m
ore
than
3 m
onth
s ol
d
•O
rigin
al /
cop
y of
Ban
k S
tate
men
t•
Late
st q
uart
er (
3 m
onth
s tr
ansa
ctio
ns).
•B
ank
Atte
stat
ion
is M
anda
tory
whe
re t
he B
ank
stat
emen
t do
es n
ot c
onta
in p
re-p
rint
ed B
ank
logo
, ad
dres
s an
d ot
her
rele
vant
det
ails
abo
utth
e B
an
k. (
Ba
nk
Att
est
ati
on
sh
ou
ld c
on
tain
Aut
hori
zed
sign
ator
y of
Ban
k w
ith N
ame
and
Em
ploy
ee C
ode
and
Ban
k se
al)
ID P
RO
OF
•N
ame,
Pho
togr
aph,
Dat
e
of B
irth
shou
ld m
atch
• S
ign
atu
re
sho
uld
b
ecl
early
vis
ible
•N
ame,
Pho
togr
aph,
Dat
e
of B
irth
shou
ld m
atch
•S
ign
atu
re
sho
uld
b
e
clea
rly v
isib
le
•N
ame,
Pho
togr
aph,
Dat
eof
Birt
h sh
ould
mat
ch
•S
ign
atu
re
sho
uld
b
e
clea
rly v
isib
le•
Na
me
, P
ho
tog
rap
h
shou
ld m
atch
•N
am
e,
Ph
oto
gra
ph
shou
ld m
atch
NA
NA
NA
AD
DR
ES
S P
RO
OF
NA
•A
dd
ress
m
en
tio
ne
d
in
pass
port
sho
uld
mat
ch w
ith
the
addr
ess
men
tione
d in
KY
C
•A
ddre
ss m
entio
ned
in D
rivin
g
Lice
nce
shou
ld m
atch
with
the
addr
ess
men
tione
d in
KY
C
•A
ddre
ss m
entio
ned
in V
oter
IDsh
ould
mat
ch w
ith th
e ad
dres
s
men
tione
d in
KY
C
•A
dd
ress
m
en
tio
ne
d
inA
adha
ar s
houl
d m
atch
with
the
addr
ess
men
tione
d in
KY
C
•A
ddre
ss m
entio
ned
in R
atio
nC
ard
shou
ld m
atch
with
the
addr
ess
men
tione
d in
KY
C
•A
dd
ress
me
nti
on
ed
in
bill
shou
ld m
atch
with
the
addr
ess
men
tione
d in
KY
C
•A
dd
ress
me
ntio
ne
d i
n b
an
kst
atem
ent
shou
ld m
atch
with
the
addr
ess
men
tione
d in
KY
C
BA
NK
PR
OO
F
NA
NA
NA
NA
NA
NA
NA
•T
he
b
elo
w
sho
uld
mat
ch w
ith t
he d
etai
ls
men
tione
d in
KY
C•
Acc
ount
hol
der
Nam
e
•B
ank
Acc
ount
No
•B
an
k A
cco
un
t T
ype
[Sav
ings
/Cur
rent
]
SIG
NA
TU
RE
PR
OO
F
•S
igna
ture
sho
uld
becl
ea
rly
visi
ble
an
d
shou
ld m
atch
•S
igna
ture
sho
uld
be
cle
arl
y vi
sib
le a
nd
shou
ld m
atch
•S
igna
ture
sho
uld
becl
ea
rly
visi
ble
an
d
shou
ld m
atch
NA
NA
NA
NA
NA
PR
OO
F T
YP
EB
ank
Pas
sbo
ok
Can
celle
dC
heq
ue
Ban
kV
erif
icat
ion
Let
ter
RE
QU
IRE
ME
NT
S*
•B
ank
Pas
sboo
k co
ntai
ning
•B
ank
Det
ails
•C
lient
Det
ails
•La
test
qua
rter (
3 m
onth
s tra
nsac
tions
) pag
es.
•B
ank
Atte
stat
ion
is M
anda
tory
whe
re th
e B
ank
stat
emen
t doe
s no
t con
tain
pre
-prin
ted
Ban
klo
go*,
add
ress
and
oth
er r
elev
ant
deta
ilsab
out
the
Ban
k. (
Ban
k A
ttest
atio
n sh
ould
cont
ain
Aut
horiz
ed s
igna
tory
of
Ban
k w
ithN
ame
and
Em
ploy
ee C
ode
and
Ban
k se
al)
•O
rigin
al C
ance
lled
Che
que
leaf
•B
ank’
s or
igin
al L
ette
r he
ad•
Ban
k A
ttest
atio
n sh
ould
con
tain
Aut
horiz
edsi
gnat
ory
of B
ank
with
Nam
e an
d E
mpl
oyee
Cod
e an
d B
ank
seal
•C
lient
Nam
e, A
ccou
nt N
umbe
r, A
ddre
ss,
Sig
na
ture
, A
cco
un
t T
ype
, IF
SC
, M
ICR
(for
mat
ava
ilabl
e in
WIR
E>d
ownl
oad
optio
n
ID P
RO
OF
NA
•C
lien
t’s
late
st
ph
oto
sho
uld
be
att
est
ed
by
Ban
k•
Clie
nt N
ame
& A
ddre
ss•
Ban
k A
/c n
o
AD
DR
ES
S P
RO
OF
•A
dd
ress
me
ntio
ne
din
ba
nk
pa
ss b
oo
ksh
ould
mat
ch w
ith th
ead
dres
s m
entio
ned
inK
YC
•C
lient
’s l
ates
t ph
oto
shou
ld b
e at
test
ed b
yB
ank
•C
lien
t N
am
e
&A
ddre
ss•
Ban
kA/c
no.
BA
NK
PR
OO
F•
The
bel
ow s
houl
d m
atch
with
the
deta
ils m
entio
ned
in K
YC
•A
ccou
nt h
olde
r N
ame
•B
ank
Acc
ount
No.
•B
ank
Acc
ount
Typ
e[S
avin
gs/C
urre
nt]
•M
ICR
/ I
FS
C
The
can
celle
d ch
eque
sho
uld
have
:•
Pre
prin
ted
Clie
nt N
ame
•P
re p
rinte
d A
ccou
nt N
o•
IFS
C•
MIC
R•
Clie
nt’s
lat
est
phot
o sh
ould
be
atte
sted
by
Ban
k•
Clie
nt N
ame
•B
ankA
/c n
o.•
Add
ress
•IF
SC
•M
ICR
•A
ccou
n T
ype
(Sav
ings
/Cur
rent
)
SIG
NA
TU
RE
PR
OO
FN
A
NA
•C
lient
’s la
test
pho
to s
houl
dbe
atte
sted
by
Ban
k•
Clie
nt N
ame
•B
ankA
/c n
o.•
Add
ress
•IF
SC
•M
ICR
•A
ccou
nt T
ype
(Sav
ings
/C
urre
nt)
• C
lient
Sig
natu
re
To
avo
id O
bje
ctio
n a
nd
Del
ays
1.E
nsur
e th
e de
tails
men
tione
d in
the
proo
f sub
mitt
ed m
atch
es w
ith th
e fo
rm fi
lled
up b
y
you
as p
er t
he C
heck
list
tabl
e m
entio
ned.
2.A
ll pr
oofs
, pho
togr
aphs
and
sig
natu
re o
n th
e fo
rm s
houl
d be
cle
arly
vis
ible
and
sho
uld
be s
elf
atte
sted
by
clie
nt.
3.C
olor
ed p
hoto
copi
es a
re p
refe
rred
.
4.P
roof
s su
bmitt
ed s
houl
d be
com
puls
ory
in A
4 si
ze.
5.S
igna
ture
and
Dat
e of
birt
h sh
ould
mat
ch w
ith a
tleas
t on
e su
bmitt
ed d
ocum
ent
proo
f.
6.T
he A
/c o
peni
ng f
orm
sho
uld
be f
illed
in B
LAC
K I
NK
and
CA
PIT
AL
LET
TE
RS
ON
LY
and
do h
ave
:a.
Clie
nts
Nam
e an
d S
igna
ture
at
24 p
lace
s m
arke
d in
Gre
y co
lor.
b.A
ddre
ss -
as it
app
ears
on
the
addr
ess
proo
f. In
cas
e pe
rman
ent &
cor
resp
onde
nce
addr
esse
s ar
e di
ffere
nt, m
ake
sure
to p
rovi
de a
ddre
ss p
roof
for
both
of t
hem
.
c.W
itnes
s si
gnat
ure
at 8
pla
ces
mar
ked
in li
ght
grey
col
or.
d.N
. A
. m
entio
ned
at a
ll pl
aces
not
app
licab
le t
o th
e cl
ient
.
7.W
hite
ink
is n
ot a
llow
ed e
ither
on
form
or
on a
gree
men
t. A
ll co
rrec
tions
nee
ds t
o be
coun
ters
igne
d w
ith f
ull
sign
atur
e.
8.In
per
son
Ver
ifica
tion,
PA
N &
Doc
umen
t ve
rific
atio
n fr
om o
rigin
al h
as t
o be
don
e by
SE
BI
regi
ster
ed S
ub-b
roke
r/A
utho
rised
Per
son
only
.9.
In c
ase
of D
P in
join
t na
mes
, al
l the
pro
ofs-
PA
N c
ard
and
addr
ess
proo
f -
shou
ld b
e
prov
ided
for
the
2nd
& 3
rd H
olde
r al
so.
10.
Che
ck c
larit
y of
the
Doc
umen
ts S
cann
ed.
11.
Affi
x pr
oper
sta
mp.
12.
Fill
up
form
in c
lear
han
dwrit
ing.
13.
Fill
up
com
plet
e fo
rm a
nd m
ark
N.A
. w
here
not
app
licab
le.
Name of Stock Broker / Trading Member / Clearing Member : PEERLESS SECURITIES LTD.
Members : National Stock Exchange of India Ltd.
BSE LimitedMCX Stock Exchange Ltd.
Depository Participants : National Securities Depositories Ltd.
SEBI Regn. Nos. and Date : - NSE - INB230821137 Dt.11.11.1995
- INF230821137 Dt.26.03.2002
- INE230821137 Dt.23.01.2009- BSE - INB010821131 Dt.22.03.2006
- MCX-SX - INB260821138 Dt.05.02.2013
- INF260821138 Dt.05.02.2013- INE260821138 Dt.05.02.2013
- NSDL - IN-DP-NSDL-96-99, DP ID : IN300958
Registered & Correspondence Office address :
1, Chowringhee Square, 2nd Floor, Kolkata - 700 069
Phone : (033) 2213-1407 / 1379, 2243-5942, Fax : 2243-6941, E.mail : pslrelations@peerlesssec.co.inWebsite : www.peerlesssec.co.in, CIN : U67120WB1995PLC067616
Name of Clearing Member For NSE-F&O, NSE-CD, MCX-SX-F&O and MCX-SX-CD Segments :IL&FS Securities Services Ltd.
SEBI Regn. Nos. and Date : - NSE - INF231133630 Dt.02.06.2000- INE231308334 Dt.25.08.2008
- MCX-SX - INF261476735 Dt.23.01.2013
- INE261313337 Dt.29.09.2008
Registered & Correspondence Office address :
IL&FS House, Plot No. 14, Raheja Vihar, Chandivali, Andheri (East), Mumbai - 400 072Phone : (022) 4249-3000, Fax : (022) 2857-0983, E.mail : FNO.Group@issl.co.in, Website : www.ilfsdp.com
Compliance Officer Name, Phone No. & email ID :Ms. Indrani Das, 2213-1407 / 1379, Fax : 2243-6941, compliance@peerlesssec.co.in
MD & CEO Name, Phone No. & email ID :Mr. Jitendra Kumar Panda, 2213-1407 / 1379, Fax : 2243-6941, jitendra.panda@peerlesssec.co.in
For any grievance/dispute, please contact PEERLESS SECURITIES LTD. at the above address oremail id : pslrelations@peerlesssec.co.in and Phone : (033) 2213-1407 / 1379, 2243-5942, Fax : 2243-6941.
In case not satisfied with the response, please contact the concerned exchange(s) at ignse@nse.co.in and
Phone No. (022) 2659-8190 for NSE, at is@bseindia.com, Phone No. (022) 2272-8097 for BSE and atinvestorcomplaints@mcx-sx.com and Phone No. (022) 6731-8933 / 9000 for MCX-SX.
Disclosure of Proprietary trading pursuance to SEBI Circular No. : SEBI/MRD/SE/Cir-42/2003 dated 19th Nov.,
2003, NSE Circular No. : NSE/INVG/PRE/2003/16 dated 25th Nov., 2003 and BSE Notice No. 20031125-7 dated
25 November, 2003 and MCX-SX Circulars & guidelines :
We, PEERLESS SECURITIES LTD., are also engaged in Proprietary trading apart from Client based business.
ACCOUNT OPENING KIT - TRADING & DEMAT
Exchange Address
National Stock Exchange of India Ltd.Exchange Plaza, Plot no. C/1, G Block, Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051Phone : (022) 2659-8100 - 8114, Fax : (022) 2659-8120, E.mail : ignse@nse.co.inRegional Office :1st Floor, Park View Apartments, 99, Rash Behari Avenue, Kolkata - 700 029Phone : (033) 4040-0400, 2419-5400, Fax : (033) 4040-0440, 2463-1791
BSE LimitedPhiroze Jeejeebhoy Towers, Dalal Street, Mumbai - 400 001Phone : (022) 2272-1233/4, 6654-5695 (Hunting), Fax : (022) 2272-1919E.mail : is@bseindia.comRegional Office :Horizon - IInd Floor, 57, Jawaharlal Nehru RoadNear Rabindra Sadan Metro Station, Kolkata - 700 071
MCX Stock Exchange LimitedSuren Road, Andheri (East), Mumbai - 400 093Phone : (022) 6731-9000, Fax : (022) 6731-9004, E.mail : investorcomplaints@mcx-sx.comRegional Office :Room No. 602, Terrace Floor, 24, Hemant Basu Sarani, Kolkata - 700 001Mobile : 90514-98882
Securities and Exchange Board of IndiaPlot No. C4-A, ‘G’ Block, Bandra Kurla Complex, Bandra (East), Mumbai - 400 051Phone : (022) 2644-9000, 4045-9000, Fax : (022) 2644-9019-22, 4045-9019-22E-mail : sebi@sebi.gov.inInteractive Voice Response System (IVRS) : Phone : (022) 2644-9950, 4045-9950Toll Free Investor Helpline : 1800 22 7575Regional Office :L&T Chambers, 3rd Floor, 16 Camac Street, Kolkata - 700 017Phone : (033) 2302-3000, Fax : (033) 2287-4307E-mail : sebiero@sebi.gov.in
INDEX OF DOCUMENTS
PAGE NOS.S.NO. NAME OF THE DOCUMENT AND ITS BRIEF SIGNIFICANCE
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
1. Account Opening Form
A. KYC form - Document captures the basic information about the constituent and
an instruction/check list.
B. Document captures the additional information about the constituent relevant
to trading account and an instruction/check list.
2. Tariff sheet 11
Document detailing the rate/amount of brokerage and other charges levied on the
client for trading on the stock exchange(s).
3. Additional KYC Form for Opening a Demat Account (For Individuals) 12 - 15
Document captures the additional information about the constituent relevant to
demat account
4. Additional KYC Form for Opening a Demat Account (For Non-Individuals) 16 - 18
Document captures the additional information about the constituent relevant to
demat account
5. Rights and Obligations of BO and DP, as prescribed by SEBI and Depositories 19 - 21
6. Option for Issuance of DIS Booklet alongwith Account Opening 22
7. Schedule of Charges for Beneficiary Account 23
The charges payable by the client for availing DP Services
8. Rights and Obligations 24 - 28
Document stating the Rights & Obligations of stock broker/trading member, sub-
broker and client for trading on exchanges (including additional rights & obligations in
case of internet/wireless technology based trading).
9. Risk Disclosure Document (RDD) 29 - 32
Document detailing risks associated with dealing in the securities market.
10. Guidance note 33 - 34
Document detailing do’s and don’ts for trading on exchange, for the education of the
investors.
11. Policies and Procedures 35 - 37
Document describing significant policies and procedures of the stock broker.
1 - 5
6 - 10
PEERLESS SECURITIES LTD.
INDEX OF DOCUMENTS
PAGE NOS.S.NO. NAME OF THE DOCUMENT AND ITS BRIEF SIGNIFICANCE
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
12. Authority Letter for Running Account 38
The document deals with an option given to client to settle his obligations towards
funds and securities on a running basis & settle the same at monthly/quarterly interval
at his discretion.
13. Mandate to issue documents in Electronic format 39
The documents deals with the clauses relating to issue of Contract Notes, daily margin
statement, quarterly statement in electronic format.
14. NSE - MFSS Facility 40 - 41
The documents deals with an option to trade in Mutual Funds.
15. Authority Letter & Declaration by client 42
The document deals with some voluntary declaration given by the client & also
authorises the member for operational convenience.
16. Additional Mandatory Clauses 43
17. Electronic Pay Out Request 44
18. Consent Letter for Mobile Alerts, Trading / Research Calls, News etc. 45
19. Consent Letter for E.mail and Mobile Alert Facility 46
As required under various Circulars of SEBI and Exchange(s)
20. Authority Letter in favour of an Authorised Representative 47
21. Declaration by client in relation to PMLA, 2002 48
The document deals with other additional voluntary information to be provided by
the client in relation to prevention of Money Laundering Act, 2002.
OTHERS
22. ANTI MONEY LAUNDERING/COMBATING FINANCING OF TERRORISM - LITERATURE 49 - 51
The document gives an overview of what is Money Laundering, its objectives, its
effects on economy and society, and local regulations to fight money laundering.
1
KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Individuals)
Please fill this form in ENGLISH and in BLOCK LETTERS
IDENTITY DETAILS
Name of the Applicant
Father’s / Husband’s Name
Gender � Male � Female Marital Status � Single � Married
Date of Birth (dd/mm/yyyy) / / PAN
Nationality � Indian � Other (Please specify_______________________________)
Status � Resident Individual � Non Resident � Foreign National
Aadhaar Number, if any
Specify the proof of Identity submitted � PAN Card � Any other (Please specify________________)
ADDRESS DETAILS
Residence /
Correspondence Address
City/town/village Pin Code
State Country
Specify the proof of address submitted for Residence / correspondence address
Contact Details
Tel. (Off.) Tel. (Res.) Fax No.
Mobile No. Email id
Permanent Address*
City/town/village Pin Code
State Country
*(if different from above. Mandatory for Non-Resident Applicant to specify overseas address.)
PHOTOGRAPH
Please affix your
recent passport
size photograph.
Signature across
photograph.
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief
and I undertake to inform you of any changes therein, immediately. In case any of the above information is
found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
�____________________Signature of the Applicant Date : ________________________ (dd/mm/yyyy)
FOR OFFICE USE ONLY
� Originals verified and Self-Attested Document copies received
In-Person-Verification (IPV) details:
a) Name of the person doing IPV___________________________________________________________
b) Designation____________________c) Name of Organization : Peerless Securities Limitedd) Signature______________________________________________e) Date_______________________
_________________________________________Name & Signature of the Authorised Signatory
Date : ________________________ Seal/Stamp of the intermediary
PEERLESS SECURITIES LIMITED
2
Please fill this form in ENGLISH and in BLOCK LETTERS
IDENTITY DETAILS
Name of the Applicant
Date of Incorporation Place of Incorporation
Date of commencement of business PAN
Registration No. (e.g. CIN)
Status (Please tick any one) � Private Limited Co. � Public Ltd. Co. � Body Corporate � Trust
� Charities � NGO’s � Bank � Government Body
� Non-Government Organization � Defence Establishment
� Society � LLP � Partnership � FI � FII � HUF � AOP � BOI
� Others (please specify) _________________________________
ADDRESS DETAILS
Correspondence Address
City/town/village PIN Code
State Country
Specify the proof of address submitted for correspondence address
Contact Details
Tel. (Off.) Tel. (Res.)
Fax No. Mobile No.
Email id
Registered Address
(if different from above)
City/town/village PIN Code
State Country
OTHER DETAILS
Name, PAN, residential address and photographs of Promoters /
Partners / Karta / Trustees and whole time directors as per ANNEXURE
DIN of whole time directors as per ANNEXURE
Aadhaar number of Promoters / Partners / Karta as per ANNEXURE
D D M M Y Y Y Y
D D M M Y Y Y Y
DECLARATION
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.
�_________________________________________Name & Signature of the Authorised Signatory (ies) Date : ________________________ (dd/mm/yyyy)
FOR OFFICE USE ONLY
� Originals verified and Self-Attested Document copies received
_________________________________________Name & Signature of the Authorised Signatory
Date : ________________________ Seal/Stamp of the intermediary
KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Non-Individuals)PEERLESS SECURITIES LIMITED
3
�________________________________________
Name & Signature of the Authorised Signatory (ies) Date : ________________________ (dd/mm/yyyy)
Note : Use additional sheets, if required.
ANNEXUREDetails of Promoters/ Partners/ Karta / Trustees and whole time directors forming a part of Know Your
Client (KYC) Application Form for Non-Individuals
Name
Relationshipwith Applicant(i.e. promoters,
whole timedirectors etc.)
PAN
Residential /Registered
Address
DIN / Aadhaar�
Photograph
1st 2nd 3rdParticulars
Photograph
Please affix the
recent passport
size photograph
and sign across it
Photograph
Please affix the
recent passport
size photograph
and sign across it
Photograph
Please affix the
recent passport
size photograph
and sign across it
� DIN of whole time directors & Aadhaar number of Promoters / Partners / Karta
4
INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORMA. IMPORTANT POINTS :
1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees andwhole time directors and persons authorized to deal in securities on behalf of company/firm/others.
2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals
for verification. In case the original of any document is not produced for verification, then the copies should beproperly attested by entities authorized for attesting the documents, as per the below mentioned list.
3. If any proof of identity or address is in a foreign language, then translation into English is required.
4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
5. If correspondence & permanent address are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/
PIO Card/OCI Card and overseas address proof is mandatory.
8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.
9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate)
is to be submitted.
10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School LeavingCertificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.
11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominentpublic functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/
judicial/ military officers, senior executives of state owned corporations, important political party officials, etc.
B. Proof of Identity (POI) : - List of documents admissible as Proof of Identity :
1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
2. PAN card with photograph.
3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and itsDepartments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar
Council etc., to their Members; and Credit cards/Debit cards issued by Banks.
C. Proof of Address (POA) : - List of documents admissible as Proof of Address :
(*Documents having an expiry date should be valid on the date of submission.)
1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/
Flat Maintenance bill/ Insurance Copy.
2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.
3. Bank Account Statement/Passbook -- Not more than 3 months old.
4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/ScheduledCo-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the
Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
6. Identity card/document with address, issued by any of the following: Central/State Government and itsDepartments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar
Council etc., to their Members.
7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized
and/or apostiled or consularised) that gives the registered address should be taken.
8. The proof of address in the name of the spouse may be accepted.
D. Exemptions/clarifications to PAN
(*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials
appointed by Courts e.g. Official liquidator, Court receiver etc.
5
2. Investors residing in the state of Sikkim.
3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
4. SIP of Mutual Funds upto Rs 50, 000/- p.a.
5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and
Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies
registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956,Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such
verified PAN details to the intermediary.
E. List of people authorized to attest the documents :
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational ForeignBanks (Name, Designation & Seal should be affixed on the copy).
2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India,
Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client
resides are permitted to attest the documents.
F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI
& POA, as mentioned below :
Corporate
• Copy of the balance sheets for the last 2 financial years (to be submitted every year). • Copy of latest share holdingpattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeoverRegulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year). •Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.
• Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. • Copies of theMemorandum and Articles of Association and certificate of incorporation. • Copy of the Board Resolution for investmentin securities market. • Authorised signatories list with specimen signatures.
Partnership Firm
• Copy of the balance sheets for the last 2 financial years (to be submitted every year). • Certificate of registration (forregistered partnership firms only). • Copy of partnership deed. • Authorised signatories list with specimen signatures.• Photograph, POI, POA, PAN of Partners.
Trust
• Copy of the balance sheets for the last 2 financial years (to be submitted every year). • Certificate of registration (forregistered trust only). • Copy of Trust deed. • List of trustees certified by managing trustees/CA. • Photograph, POI,POA, PAN of Trustees.
HUF
• PAN of HUF. • Deed of declaration of HUF/ List of coparceners. • Bank pass-book/bank statement in the name ofHUF. • Photograph, POI, POA, PAN of Karta.
Unincorporated association or a body of individuals
• Proof of Existence/Constitution document. • Resolution of the managing body & Power of Attorney granted totransact business on its behalf. • Authorized signatories list with specimen signatures.
Banks / Institutional Investors
• Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. • Authorizedsignatories list with specimen signatures.
Foreign Institutional Investors (FII)
• Copy of SEBI registration certificate. • Authorized signatories list with specimen signatures.
Army / Government Bodies
• Self-certification on letterhead. • Authorized signatories list with specimen signatures.
Registered Society
• Copy of Registration Certificate under Societies Registration Act. • List of Managing Committee members. •Committee resolution for persons authorised to act as authorised signatories with specimen signatures. • True copyof Society Rules and Bye Laws certified by the Chairman/Secretary.
6
TRADING ACCOUNT RELATED DETAILS - FOR INDIVIDUALS & NON-INDIVIDUALS
BANK ACCOUNT(S) DETAILS
Bank Name
Branch
Address
Bank A/c No.
A/c Type � Saving � Current � Saving � Current
� Others-In case of NRI/NRE/NRO � Others-In case of NRI/NRE/NRO
MICR No.
IFSC code
DEPOSITORY ACCOUNT(S) DETAILS
Depository
Participant Name
Depository Name � NSDL � CDSL � NSDL � CDSL
Beneficiary Name
DP ID
Beneficiary ID
(BO ID)
TRADING PREFERENCES - * Please sign in the relevant boxes where you wish to trade. The segment not
chosen should be struck off by the client.
Exchange Segment Signature
1. National Stock Exchange of India Ltd. - Cash �
- F&O �
- Currency Derivatives �
- MFSS �
2. BSE Limited - Cash �
3. MCX Stock Exchange Ltd. - Cash �
- F&O �
- Currency Derivatives �
# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter
should be taken from the client by the stock broker.
First Bank Details Second Bank Details
First Demat A/c Details Second Demat A/c Details
MANDATORY
7
OTHER DETAILS
Gross Annual Income Details (please specify)
Income Range per annum � Below ` 1 Lac � 1-5 Lac � 5-10 Lac � 10-25 Lac � 25 Lacs-1 crore � > 1 crore
Net-worth ` as on (date)
(Net worth should not be older than 1 year) (dd/mm/yyyy)
Occupation (Individuals) � Private Sector � Public Sector � Government Service � Business
(Please tick any one � Professional � Agriculturist � Retired � Housewife � Student
and give brief details) � Others ___________________________________________
Please tick, if applicable, for any of your
authorized signatories / Promoters / � Politically Exposed Person (PEP)
Partners / Karta / Trustees / whole time directors � Related to a Politically Exposed Person (PEP)
PAST ACTIONS
Details of any action / proceedings initiated / pending / taken by 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
DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
If client is dealing through the sub-broker, provide the following details
Sub-broker’s Name
SEBI Regn. Number
Regd. Off. Address
Phone Fax Website
Whether dealing with any other stock broker / sub-broker (if case dealing with multiple stock brokers /sub-
brokers, provide details of all using additional sheets)
Name of stock broker
Name of Sub-Broker, if any
Client Code Exchange
Details of disputes/dues pending from/to such stock broker/sub- broker
ADDITIONAL DETAILS
Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify)
__________________, Specify your Email id, if applicable :
Whether you wish to avail of the facility of internet trading / wireless technology (please specify)
� YES � NO
Number of years of Investment / Trading Experience
In case of non-individuals, name, designation, PAN, UID, signature, residential address and
photographs of persons authorized to deal in securities on behalf of company/firm/others As per Annexure
MANDATORY
8MANDATORY
Any other information
INTRODUCER DETAILS (optional)
Name of the Introducer
(Surname) (Name) (Middle Name)
Status of the Introducer � Sub-broker � Remisier � Authorized Person � Existing Client
� Others, please specify
Address and Phone No.
of the Introducer
Signature of the Introducer
NOMINATION DETAILS (for individuals only)
� I/We wish to nominate � I/We do not wish to nominate
Name of the Nominee
Relationship with the Nominee
PAN of Nominee Date of Birth of Nominee
Address and Phone No.
of the Nominee
If Nominee is a minor, details of guardian :
Name of guardian
Address and Phone No.
of Guardian
Signature of guardian
WITNESSES (Only applicable in case the account holder has made nomination)
Name
Signature
Address
First Witness Details Second Witness Details
DECLARATION
1. 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.
9
2. I/We confirm having read/been explained and understood the contents of the document on policy and
procedures of the stock broker and the tariff sheet.
3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s)
and ‘Risk Disclosure Document’. 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.
Place :_______________________ �_______________________________________
Signature of Client/ (all) Authorized Signatory (ies)
Date :_______________________
MANDATORY
Use additional sheets, if required.
ANNEXUREDETAIL OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS AND PERSONS
AUTHORIZED TO DEAL IN SECURITIES ON BEHALF OF COMPANY / FIRM / OTHERS
Designation
Name
PAN
DIN / UID
ResidentialAddress
Photograph
Signature
1st 2nd 3rdParticulars
Please affix your
recent passport
size photograph
and sign across it
Please affix your
recent passport
size photograph
and sign across it
Please affix your
recent passport
size photograph
and sign across it
10
FOR OFFICE USE ONLY
UCC Code allotted to the Client : ________________________
Name of the Employee
Employee Code
Designation of the employee
Date
Signature
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
Date : ________________________ Seal/Stamp of the stock broker
Documents verified
with Originals
Client Interviewed By
INSTRUCTIONS / CHECK LIST
1. Additional documents in case of trading in derivatives segments - illustrative list :
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate
Copy of demat account holding statement Bank account statement for last 6 months
Any other relevant documents substantiating Self declaration with relevant
ownership of assets supporting documents
*In respect of other clients, documents as per risk management policy of the stock broker need to be
provided by the client from time to time.
2. Copy of cancelled cheque leaf / pass book / bank statement specifying name of the constituent, MICR
Code or / and IFSC Code of the bank should be submitted.
3. Demat master or recent holding statement issued by DP bearing name of the client.
4. For individuals :
a. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office
of the stock broker / sub-broker’s office.
b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-
person verification. Further, considering the infeasibility of carrying out ‘In-person’ verification of
the non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Public,
Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where
the client resides may be permitted.
5. For non-individuals :
a. Form need to be initialized by all the authorized signatories.
b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal
in securities on behalf of company / firm / others and their specimen signatures.
MANDATORY
11MANDATORY
12
ACCOUNT OPENING FORM (FOR INDIVIDUALS)
PEERLESS SECURITIES LIMITED
CLIENT ID Date
(To be filled by Participant)
D D M M Y Y Y Y
Account Holder(s)
Sole/ First Holder Name
Second Holder Name
Third Holder Name
PAN
Occupation (please
tick any one and
give brief details)
Brief details
I/We request you to open a depository account in my/our name as per the following details :
(Please fill all the details in CAPITAL LETTERS only)
A) DETAILS OF ACCOUNT HOLDER(S) :
D D M M Y Y Y Y
� Private Sector
� Agriculturist
� Public Sector � Retired
� Government Service
� Housewife � Business
� Student � Professional
� Others (Please specify;
______________________
� Private Sector
� Agriculturist
� Public Sector � Retired
� Government Service
� Housewife � Business
� Student � Professional
� Others (Please specify;
______________________
� Private Sector
� Agriculturist
� Public Sector � Retired
� Government Service
� Housewife � Business
� Student � Professional
� Others (Please specify;
______________________
B) For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account
is opened in the name of the natural persons, the name & PAN of the HUF, Association of Persons (AOP),
Partnership Firm, Unregistered Trust, etc. should be mentioned below :
Name PAN
C) Type of account � Ordinary Resident � NRI-Repatriable � NRI-Non Repatriable
� Qualified Foreign Investor � Foreign National � Promoter
� Margin � Others (Please specify) _______________________
D) Gross Annual Income Details - Income Range per annum (please tick any one)
� Below ` 1 Lac � ` 1 - 5 Lac � ` 5 - 10 Lac � ` 10 - 25 Lac � More than ` 25 Lacs
E) In case of NRIs/ Foreign Nationals
RBI Approval Reference No. RBI Approval date
Sole/ First Holder Second Holder Third Holder
F) BANK DETAILS :
Bank A/c Type � Savings Acccount � Current Account � Others (Please specify)______________
Bank A/c No.
Bank Name
Branch Address
City/town/village Pin Code
State Country
MICR Code IFSC
13
G) Please tick, if applicable � Politically Exposed Person (PEP) � Related to Politically Exposed Person (RPEP)
H) STANDING INSTRUCTIONS :
I/We authorise you to receive credits automatically into my/our account. � Yes � No
Account to be operated through Power of Attorney (PoA) � Yes � No
SMS Alert facility : [Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is
provided in the KYC Application Form]
Sole/First Holder � Yes � No Second Holder � Yes � No Third Holder � Yes � No
Mode of receiving Statement of Account (Tick any one) � Physical Form � Electronic Form
(Read Note 4 and ensure that email ID is provided in KYC Application Form)
I) Guardian Details (where sole holder is a minor) : [For account of a minor, two KYC Application Forms must
be filled i.e. one for the guardian and another for the minor (to be signed by guardian)]
Guardian Name PAN
Relationship of guardian with minor
J) Nomination Option � I/We wish to make a nomination. � I/We do not wish to make a nomination.
[As per details given below] [Strike off the nomination details below]
Nomination Details I/We wish to make a nomination and do hereby nominate the following person in whom
all rights and / or amount payable in respect of securities held in the Depository by me
/ us in the said beneficiary owner account shall vest in the event of my / our death.
1. Name of the Nominee (Mr./Ms.)
2. Relationship with the Applicant (if any)
3. Address of Nominee
City/town/village Pin Code
State Country
4. Contact Details of Nominee
Tel. (Off.) Tel. (Res.)
Fax No. Mobile No.
Email id
Photograph of
nominee
(Signature of
nominee across
photograph)
5. Nominee Identification Details (please tick any one from (a) to (f) and provide details of the same) :
(a)(i) Photograph (ii) Signature
X Signature of nominee
(b) � PAN of nominee
(c) � Aadhaar Number of nominee
(d) � Savings bank A/c No. of nominee, if maintained with the same Participant
(e) � Copy of any proof of identity document (accompanied by original for verification or duly attested
by any entity authorized for attesting the documents, as provided in Annexure JB)
14
YYYYMMDD
(f) � Demat account details of nominee
DP ID Client ID
Sr. Nos. 6-11 should be filled only if nominee is a minor :
6. Date of Birth (in case of minor nominee)
7. Name of Guardian (Mr./Ms.) (in case of minor nominee)
8. Address of Guardian
City/town/village Pin Code
State Country
9. Contact Details of Guardian
Tel. (Off.) Tel. (Res.)
Fax No. Mobile No.
Email id
10. Relationship of Guardian with nominee
11. Guardian Identification Details (please tick any one from (a) to (f) and provide details of the same) :
(a)(i) Photograph (ii) Signature
X Signature of guardian
(b) � PAN of guardian
(c) � Aadhaar Number of guardian
(d) � Savings bank A/c No. of guardian, if maintained with the same Participant
(e) � Copy of any proof of identity document (accompanied by original for verification or duly attested
by any entity authorized for attesting the documents, as provided in Annexure JB)
(f) � Demat account details of guardian
DP ID Client ID
Photograph of
guardian
(Signature of
guardian across
photograph)
DECLARATION
The rules and regulations of the Depository and Depository Participants pertaining to an accountwhich are in force now have been read by me/us and I/we have understood the same and I/we agreeto abide by and to be bound by the rules as are in force from time to time for such accounts. I/wehereby declare that the details furnished above are true and correct to the best of my /our knowledgeand belief and I/we undertake to inform you of any changes therein, immediately. In case any of theabove information is found to be false or untrue or misleading or misrepresenting, I am/ we are awarethat I/we may be held liable for it. In case non-resident account, I/we also declare that I/we havecomplied and will continue to comply with FEMA regulations. I/we acknowledge the receipt of copyof the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.
15
NOTES :
1. All communication shall be sent at the address of the Sole/First holder only.
2. Thumb impressions and signatures other than English or Hindi or any of the other language notcontained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or aNotary Public or a Special Executive Magistrate.
3. Instructions related to nomination, are as below:
I. The nomination can be made only by individuals holding beneficiary owner accounts on theirown behalf singly or jointly. Non- individuals including society, trust, body corporate, partnershipfirm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If theaccount is held jointly all joint holders will sign the nomination form.
II. A minor can be nominated. In that event, the name and address of the Guardian of the minornominee shall be provided by the beneficial owner.
III. The Nominee shall not be a trust, society, body corporate, partnership firm, karta of HinduUndivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee,subject to the exchange controls in force, from time to time.
IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of thebeneficiary owner account. Similarly, the nomination in respect of the securities shall standterminated upon transfer of the securities.
V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository andthe Participant against the legal heir.
VI. The cancellation of nomination can be made by individuals only holding beneficiary owneraccounts on their own behalf singly or jointly by the same persons who made the originalnomination. Non- individuals including society, trust, body corporate, partnership firm, kartaof Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If thebeneficiary owner account is held jointly, all joint holders will sign the cancellation form.
VII. On cancellation of the nomination, the nomination shall stand rescinded and the depositoryshall not be under any obligation to transfer the securities in favour of the Nominee.
4. For receiving Statement of Account in electronic form:
I. Client must ensure the confidentiality of the password of the email account.
II. Client must promptly inform the Participant if the email address has changed.
III. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participantmay also terminate this facility by giving 10 days prior notice.
5. Strike off whichever is not applicable.
Sole/First Holder/Guardian
(in case sole holder is minor)
(Mr./Ms.)
Second Holder
(Mr./Ms.)
Third Holder
(Mr./Ms.)�
Name(s) of holder(s) Signature(s) of holder
�
�
16
ACCOUNT OPENING FORM (FOR NON-INDIVIDUALS)
PEERLESS SECURITIES LIMITED
D D M M Y Y Y Y
D D M M Y Y Y Y
We request you to open a depository account in our name as per the following details :
(Please fill all the details in CAPITAL LETTERS only)
A) DETAILS OF ACCOUNT HOLDER(S) :
Name PAN
Sole/ First Holder
Second Holder
Third Holder
B) Type of account � Body Corporate � FI � FII
� Qualified Foreign Investor � Mutual Fund � Trust
� Bank � CM � Others (Please specify) _______________________
C) For HUF, Partnership Firm, Unregistered Trust, Association of Persons (AOP) etc., although the account
is opened in the name of the karta, partner(s), trustee(es) etc., the name & PAN of the HUF, Partnership
Firm, Unregistered Trust, Association of Persons (AOP) etc., should be mentioned below :
Name PAN
D) Income Details (please specify) - Income Range per annum
� Below ` 20 Lac � ` 20 - 50 Lac � ` 50 Lac - 1 Crore � Above ` 1 Crore, and
Networth Amount ` as on (Date)
(Net worth should not be older than 1 year)
E) In case of FIIs/Others (as may be applicable)
RBI Approval Reference No. RBI Approval date
SEBI Registration Number (for FIIs)
CLIENT ID Date
(To be filled by Participant)
D D M M Y Y Y Y
F) BANK DETAILS :
Bank A/c Type � Savings Acccount � Current Account � Others (Please specify)______________
Bank A/c No.
Bank Name
Branch Address
City/town/village Pin Code
State Country
MICR Code IFSC
17
DECLARATIONThe rules and regulations of the Depository and Depository Participants pertaining to an account which are in
force now have been read by us and we have understood the same and we agree to abide by and to be bound
by the rules as are in force from time to time for such accounts. We hereby declare that the details furnished
above are true and correct to the best of our knowledge and belief and 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, we are aware that we may be held liable for it. I/we acknowledge the receipt of copy of
the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.
G) Please tick, if applicable, for any of your � Politically Exposed Person (PEP)
authorized signatories/Promoters/Partners/ � Related to Politically Exposed Person (RPEP)
Karta/Trustees/whole time directors:
H) Clearing Member Details (to be filled up by Clearing Members only)
Name of Stock Exchange
Name of Clearing Corporation/ Clearing House
Clearing Member ID
SEBI Registration Number
Trade Name
CM-BP-ID (to be filled up by Participant)
I) STANDING INSTRUCTIONS :
1. We authorise you to receive credits automatically into our account � Yes � No
2. Account to be operated through Power of Attorney (PoA) � Yes � No
3. SMS Alert facility :
Sole/First Holder � Yes � No Second Holder � Yes � No Third Holder � Yes � No
4. Mode of receiving Statement of Account (Tick any one) � Physical Form � Electronic Form
(Read Note 3 and ensure that email ID is provided in KYC Application Form)
Name Signature(s)Sole/First Holder
�
�
�
�
�
First Signatory
Second Signatory
Third Signatory
Other Holders
Second Holder
Third Holder
Authorised Signatories (Enclose a Board Resolution for Authorised Signatories)
18
Mode of Operation for Sole/First Holder (In case of joint holdings, all the holders must sign)
� Any one singly
� Jointly by
� As per resolution
� Others (please specify)
NOTES:
1. In case of additional signatures, separate annexures should be attached to the application form.
2. Thumb impressions and signatures other than English or Hindi or any of the other language notcontained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or aNotary Public or a Special Executive Magistrate.
3. For receiving Statement of Account in electronic form:
I. Client must ensure the confidentiality of the password of the email account.
II. Client must promptly inform the Participant if the email address has changed.
III. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participantmay also terminate this facility by giving 10 days prior notice.
4. Strike off whichever is not applicable.
19
Rights and Obligations of Beneficial Owner and Depository Participantas prescribed by SEBI and Depositories
General Clause
1. The Beneficial Owner and the Depository participant (DP) shall be bound by the provisions of the Depositories Act, 1996,
SEBI (Depositories and Participants) Regulations, 1996, Rules and Regulations of Securities and Exchange Board of India
(SEBI), Circulars / Notifications / Guidelines issued there under, Bye Laws and Business Rules/Operating Instructionsissued by the Depositories and relevant notifications of Government Authorities as may be in force from time to time.
2. The DP shall open/activate demat account of a beneficial owner in the depository system only after receipt of complete
Account opening form, KYC and supporting documents as specified by SEBI from time to time.
Beneficial Owner information
3. The DP shall maintain all the details of the beneficial owner(s) as mentioned in the account opening form, supporting
documents submitted by them and/or any other information pertaining to the beneficial owner confidentially and shallnot disclose the same to any person except as required by any statutory, legal or regulatory authority in this regard.
4. The Beneficial Owner shall immediately notify the DP in writing, if there is any change in details provided in the account
opening form as submitted to the DP at the time of opening the demat account or furnished to the DP from time to time.
Fees/Charges/Tariff
5. The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of securities indematerialized form and for availing depository services as may be agreed to from time to time between the DP and
the Beneficial Owner as set out in the Tariff Sheet provided by the DP. It may be informed to the Beneficial Owner
that “no charges are payable for opening of demat accounts”
6. In case of Basic Services Demat Accounts, the DP shall adhere to the charge structure as laid down under therelevant SEBI and/or Depository circulars/directions/notifications issued from time to time.
7. The DP shall not increase any charges/tariff agreed upon unless it has given a notice in writing of not less than thirty
days to the Beneficial Owner regarding the same.
Dematerialization
8. The Beneficial Owner shall have the right to get the securities, which have been admitted on the Depositories, dematerialized
in the form and manner laid down under the Bye Laws, Business Rules and Operating Instructions of the depositories.
Separate Accounts
9. The DP shall open separate accounts in the name of each of the beneficial owners and securities of each beneficialowner shall be segregated and shall not be mixed up with the securities of other beneficial owners and/or DP’s own
securities held in dematerialized form.
10. The DP shall not facilitate the Beneficial Owner to create or permit any pledge and /or hypothecation or any other
interest or encumbrance over all or any of such securities submitted for dematerialization and/or held in demataccount except in the form and manner prescribed in the Depositories Act, 1996, SEBI (Depositories and Participants)
Regulations, 1996 and Bye-Laws/Operating Instructions/Business Rules of the Depositories.
Transfer of Securities
11. The DP shall effect transfer to and from the demat accounts of the Beneficial Owner only on the basis of an order,
instruction, direction or mandate duly authorized by the Beneficial Owner and the DP shall maintain the originaldocuments and the audit trail of such authorizations.
12. The Beneficial Owner reserves the right to give standing instructions with regard to the crediting of securities in his
demat account and the DP shall act according to such instructions.
Statement of account
13. The DP shall provide statements of accounts to the beneficial owner in such form and manner and at such time asagreed with the Beneficial Owner and as specified by SEBI/depository in this regard.
20
14. However, if there is no transaction in the demat account, or if the balance has become Nil during the year, the DPshall send one physical statement of holding annually to such BOs and shall resume sending the transaction statement
as and when there is a transaction in the account.
15. The DP may provide the services of issuing the statement of demat accounts in an electronic mode if the Beneficial
Owner so desires. The DP will furnish to the Beneficial Owner the statement of demat accounts under its digitalsignature, as governed under the Information Technology Act, 2000. However if the DP does not have the facility of
providing the statement of demat account in the electronic mode, then the Participant shall be obliged to forward the
statement of demat accounts in physical form.
16. In case of Basic Services Demat Accounts, the DP shall send the transaction statements as mandated by SEBI and/or Depository from time to time.
Manner of Closure of Demat account
17. The DP shall have the right to close the demat account of the Beneficial Owner, for any reasons whatsoever, provided
the DP has given a notice in writing of not less than thirty days to the Beneficial Owner as well as to the Depository.
Similarly, the Beneficial Owner shall have the right to close his/her demat account held with the DP provided nocharges are payable by him/her to the DP. In such an event, the Beneficial Owner shall specify whether the balances
in their demat account should be transferred to another demat account of the Beneficial Owner held with another DP
or to rematerialize the security balances held.
18. Based on the instructions of the Beneficial Owner, the DP shall initiate the procedure for transferring such security
balances or rematerialize such security balances within a period of thirty days as per procedure specified from time
to time by the depository. Provided further, closure of demat account shall not affect the rights, liabilities and obligationsof either the Beneficial Owner or the DP and shall continue to bind the parties to their satisfactory completion.
Default in payment of charges
19. In event of Beneficial Owner committing a default in the payment of any amount provided in Clause 5 & 6 within a period of
thirty days from the date of demand, without prejudice to the right of the DP to close the demat account of the Beneficial
Owner, the DP may charge interest at a rate as specified by the Depository from time to time for the period of such default.
20. In case the Beneficial Owner has failed to make the payment of any of the amounts as provided in Clause 5&6specified above, the DP after giving two days notice to the Beneficial Owner shall have the right to stop processing
of instructions of the Beneficial Owner till such time he makes the payment along with interest, if any.
Liability of the Depository
21. As per Section 16 of Depositories Act, 1996,
1. Without prejudice to the provisions of any other law for the time being in force, any loss caused to the beneficial owner
due to the negligence of the depository or the participant, the depository shall indemnify such beneficial owner.
2. Where the loss due to the negligence of the participant under Clause (1) above, is indemnified by the depository,the depository shall have the right to recover the same from such participant.
Freezing/ Defreezing of accounts
22. The Beneficial Owner may exercise the right to freeze/defreeze his/her demat account maintained with the DP in accordance
with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules/Operating Instructions.
23. The DP or the Depository shall have the right to freeze/defreeze the accounts of the Beneficial Owners on receipt of
instructions received from any regulator or court or any statutory authority.
Redressal of Investor grievance
24. The DP shall redress all grievances of the Beneficial Owner against the DP within a period of thirty days from the dateof receipt of the complaint.
Authorized representative
25. If the Beneficial Owner is a body corporate or a legal entity, it shall, along with the account opening form, furnish to the
DP, a list of officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change insuch list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant.
21
Law and Jurisdiction
26. In addition to the specific rights set out in this document, the DP and the Beneficial owner shall be entitled to exercise anyother rights which the DP or the Beneficial Owner may have under the Rules, Bye Laws and Regulations of the respective
Depository in which the demat account is opened and circulars/notices issued there under or Rules and Regulations of SEBI.
27. The provisions of this document shall always be subject to Government notification, any rules, regulations, guidelines
and circulars/ notices issued by SEBI and Rules, Regulations and Bye-laws of the relevant Depository, where theBeneficial Owner maintains his/ her account, that may be in force from time to time.
28. The Beneficial Owner and the DP shall abide by the arbitration and conciliation procedure prescribed under the Bye-laws of
the depository and that such procedure shall be applicable to any disputes between the DP and the Beneficial Owner.
29. Words and expressions which are used in this document but which are not defined herein shall unless the context
otherwise requires, have the same meanings as assigned thereto in the Rules, Bye-laws and Regulations andcirculars/notices issued there under by the depository and /or SEBI.
30. Any changes in the rights and obligations which are specified by SEBI/Depositories shall also be brought to the
notice of the clients at once.
31. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations of SEBI orBye-laws, Rules and Regulations of the relevant Depository, where the Beneficial Owner maintains his/her account,
such changes shall be deemed to have been incorporated herein in modification of the rights and obligations of the
parties mentioned in this document.
22
Option for issuance of DIS booklet alongwith account opening
(to be filled by persons seeking to open a depository account who have given Power of Attorney to operate the depository
account to a stock broker/Participant/Portfolio Manager and do not intend to open a Basic Services Demat Account)
PEERLESS SECURITIES LIMITED
Name(s) of account holder(s)
Sole / First Holder
Second Holder
Third Holder
Option for Issue of DIS booklet (please tick any one)Option 1 �
I/We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.
Option 2 �
I/We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued
to me/ us immediately on my/ our request at any later date.
Sole/First Holder X
Second Holder X
Third Holder X
Name Signature with dateBeneficial Owner
Acknowledgement Receipt
Received OPTION FORM FOR ISSUE / NON ISSUE OF DIS BOOKLET from :
DP ID I N 3 0 0 9 5 8 Client ID
Name of the Sole / First Holder
Name of Second joint Holder
Name of Third joint Holder
For Peerless Securities Ltd.
Seal and Signature
Authorised Signatory
Acknowledgement
PEERLESS SECURITIES LIMITEDSerial No. :
Received the application from Mr/Ms/M/s ________________________________________ as the sole/first holderalongwith ________________________________________ and ________________________________________as
the second and third holders respectively for opening of a depository account. Please quote the DP ID & Client ID allotted
to you (CM-BP-ID in case of Clearing Members) in all your future correspondence.
Date :
For Peerless Securities Ltd.
Seal and Signature
Authorised SignatoryD D M M Y Y Y Y
23
PEERLESS SECURITIES LIMITEDRegd. Office : 1, Chowringhee Square, 2nd Floor, Kolkata - 700 069Phone : 2213-1379 / 1407, 2243-5942, Fax : (033) 2243-6941E.mail : pslrelations@peerlesssec.co.in, Website : www.peerlesssec.co.inCIN : U67120WB1995PLC067616DP ID : IN300958 � SEBI Regn. No. IN-DP-NSDL-96-99
* Maintenance charges payable at the time of opening the account for the first year and in April of every subsequent year.
* If the value of the securities exceeds ` 25 Crore in an account, maintenance charges will be 0.03% per annum.
� Documentation charges of ` 30/- to be borne by the applicant at time of collecting A/c Opening Form.
� Non-periodic statements will be charged at ` 10/- for first 5 pages and thereafter ` 2/- per page.
� For weekly statements ` 50/- will be charged per month, which is payable in advance within 10th of every month.
� ` 20/- for each erroneous/failed/rejected transaction, for billing clients which is ` 5/-.
� Charges will be ` 250/- per cheque bounce.
� Pledge service charges like creation, closure etc. will be ` 35/-.
� Cost of Delivery Instruction book, containing 10 leaves, except the first one is ` 10/- which is payable at the time of
deposit of Requisition slip.
� Demographic detail change ` 50/- per request (except telephone no. & e.mail ID).
� Transmission charge ` 250/- per request payable upfront.
� Password reset charge of ` 20/- per request for IDeAS & SPEED-e Password users.
� SEBI penalty charges will be reimbursed from CMs on actuals.
� Non payment of bill after 30 days from the due date will cause withdrawn of depository services for the account.
� Charges are subject to revision at the company’s (PSL) sole discretion.
� Late submission charge for same day Pay-In is ` 20/- per transaction in addition to transaction charge.
Discounted transaction charges, delivered through SPEED-e is ` 12/- per transaction.SPEED-e charges - ` 1,200/- per financial year for Simartcard users.
Free Services - IDeAS* (Internet based Demat Account Statement)
*For Beneficiary account holders only
The Depository Participant may charge interest @ not more than 24% p.a.
or such other rate as may be specified by the Executive Committee
from time to time for the period from due date to date of payment.
Schedule ARates for Depository Services offered by Peerless Securities Limited
Category
Individual
Corporate
Maintenance Charges*
` 500/- per
Financial Year
` 500/- in addition to
NSDL charges perFinancial Year
Transaction (Sell)
` 15/- for Intra DP,
` 21/- per instructionfor Inter DP transfer
0.03% per transaction
subject to minimum` 15/- per transaction
Demat
` 2/- per certificate
Minimum ` 500/-per request payable
over the counter
` 2/- per certificate
Minimum ` 500/-per request payable
over the counter
Remat
` 12/- per certificate
Minimum ` 500/- per requestin addition to NSDL charges
payable over the counter
` 12/- per certificate
Minimum ` 500/- per requestin addition to NSDL charges
payable over the counter
______________________ ______________________ ______________________Sole/First Holder Second Holder Third Holder
24
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS
as prescribed by SEBI and Stock Exchanges
1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on the
Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities and Exchange Board
of India (SEBI) and circulars/notices issued there under from time to time.
2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws and Regulations of
the Exchange and circulars/notices issued there under and Rules and Regulations of SEBI and relevant
notifications of Government authorities as may be in force from time to time.
3. The client shall satisfy itself of the capacity of the stock broker to deal in securities and/or deal in derivatives
contracts and wishes to execute its orders through the stock broker and the client shall from time to time
continue to satisfy itself of such capability of the stock broker before executing orders through the stock
broker.
4. The stock broker shall continuously satisfy itself about the genuineness and financial soundness of the
client and investment objectives relevant to the services to be provided.
5. The stock broker shall take steps to make the client aware of the precise nature of the Stock broker’s
liability for business to be conducted, including any limitations, the liability and the capacity in which the
stock broker acts.
6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all its dealings
with the client(s).
CLIENT INFORMATION
7. The client shall furnish all such details in full as are required by the stock broker in "Account Opening
Form” with supporting details, made mandatory by stock exchanges/SEBI from time to time.
8. The client shall familiarize himself with all the mandatory provisions in the Account Opening documents.
Any additional clauses or documents specified by the stock broker shall be non-mandatory, as per terms
& conditions accepted by the client.
9. The client shall immediately notify the stock broker in writing if there is any change in the information in the
‘account opening form’ as provided at the time of account opening and thereafter; including the information
on winding up petition/insolvency petition or any litigation which may have material bearing on his capacity.
The client shall provide/update the financial information to the stock broker on a periodic basis.
10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in the account
opening form or any other information pertaining to the client, confidentially and that they shall not
disclose the same to any person/authority except as required under any law/regulatory requirements.
Provided however that the stock broker may so disclose information about his client to any person or
authority with the express permission of the client.
MARGINS
11. The client shall pay applicable initial margins, withholding margins, special margins or such other margins
as are considered necessary by the stock broker or the Exchange or as may be directed by SEBI from time to
time as applicable to the segment(s) in which the client trades. The stock broker is permitted in its sole and
absolute discretion to collect additional margins (even though not required by the Exchange, Clearing House/
Clearing Corporation or SEBI) and the client shall be obliged to pay such margins within the stipulated time.
12. The client understands that payment of margins by the client does not necessarily imply complete
satisfaction of all dues. In spite of consistently having paid margins, the client may, on the settlement of
its trade, be obliged to pay (or entitled to receive) such further sums as the contract may dictate/require.
TRANSACTIONS AND SETTLEMENTS
13. The client shall give any order for buy