ICICI Demat AOF Non Corporate

8/11/2019 ICICI Demat AOF Non Corporate

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Gross Annual Income Details

Please tick, if applicable:

PAN


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Details of Account holder(s):

Account holder(s) Sole/ First Holder Second Holder Third Holder

Name

PAN

Occupation(please tickany one andgive briefdetails)

IT Circle/Ward/District No

Private Sector

Private Sector

Professional

Business

Government

Service

Agriculturist

Retired

Others(Please specify)

Student

Housewife

Private Sector

Private Sector

Professional

Business

Government

Service

Agriculturist

Retired


Student

Housewife

Private Sector

Private Sector

Professional

Business

Government

Service

Agriculturist

Retired


Student

Housewife

Brief details:


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DECLARATION FOR NOT AVAILING NOMINATION FACILITY

Signature of First Applicant Signature of Second Holder Signature of Third Holder

This declaration needs to be signed by those customers who do not wish to nominate anyone. This document is mandatory as per NSDL

circular no. NSDL /POLICY/2009/0004 dated January 9, 2009.

As per NSDL guidelines, I/We confirm that I/we have been explained about the benefits of nomination facility to my/our demat

account by the official.

I also understand that in the event of my / our demise, the process of !Transmission" will have to be followed by the legal heir

as per the guidelines of NSDL by visiting the nearest branch offering Demat Services.

Request you to kindly process my/our account opening form without the nomination facility.

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2.

3.

8C X XX

I/we acknowledge the receipt of copy of the document, "Rights & Obligations of the Beneficial Owner and Depository Participant."

12. 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)


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Photograph

Signature

X Signature of nominee

PAN of nominee

Aadhaar number of nominee

Savings bank account number of nominee, if maintained with

the same ParticipantCopy 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)

Demat account details of nominee DP ID

Client ID

Photograph of nominee

(Signature of nominee

across photograph)

Where a nomination is made, please tick any one from the following & provide details for the same

Guardian Identification details (please tick any one from the following & provide details for the same)

Photograph

Signature

X Signature of nominee

PAN of nomineeAadhaar number of nominee

Savings bank account number of nominee, if maintained with

the same ParticipantCopy 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)

Demat account details of nominee DP ID

Client ID

Photograph of nominee

(Signature of nominee

across photograph)


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The Client agrees not to receive transaction statements in a physical form from ICICIBank once the Client has agreed to avail such Services. However, notwithstanding theabove, the Clent will receive the annual transaction statement in physical form. In theevent ICICI Bank is unable to provide transaction statements through an electronicmedium due to any unforeseen problems and/or temporary technological lapses/failure, ICICI Bank shall ensure that the transaction statement reaches the Client inphysical form as per the time schedule stipulated in the Bye Laws & BusinessRules of NSDL. In case of BSDA, the DP shall send the transaction statements asmandated by SEBI and/or Depository from time to time.

Notwithstanding anything contained herein, all terms and conditions stipulated by

ICICI Bank pertaining to the Account(s) and/or to any services/facilities offered by

ICICI Bank, shall continue to be applicable to the Client. The above terms are inaddition to and not in contravention of the terms and conditions forming part of the

Rights & Obligations document and the !LETTER OF CONFIRMATION" signed by

the Client at the time of opening the account with ICICI Bank and the terms and

condit ions relating to any Account(s) of the Client and/or to those relating to

services/facilities offered by ICICI Bank and availed by the Client. However, in the

event of a conflict in such other terms and conditions stipulated by ICICI Bank,

Rights and Obligations document, Letter of Confirmation and the Terms herein,

these Terms shall have an overriding effect to the extent of such conflict. The Client

agrees that in the event the Client avails of any services/facilities offered by ICICI Bank

through the Website, the Client shall be bound by all the terms and conditions stipulated

by ICICI Bank pertaining to such services/facilities, offered by ICICI Bank and availed

by the Client through the Website.

Physical form

I wish to receive Statement of Transactions through e-mail / Electronic Form


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SECTION E : SCHEDULE OF CHARGES FOR CONSOLIDATION DEMAT (RESIDENT NON CORPORATES & CORPORATES)

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Particulars Revised charge

NSDL charges are chargeable extra at actuals. Present NSDL Charges are:


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** For future reference of rate card, kindly refer bank website.

ICICIbank.com >> Personal Banking >> Demat >> Service Request Forms

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Conditions :

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Form No. _______________________________

Acknowledgement

To,

Date:

ICICI Bank LimitedICICI Bank Demat Services, 3i infotech limited,Akruti Trade centre, 3rd Floor, P.10, Road No.7,MIDC Marol, Bhim Nagar, Andheri (EAST),Mumbai- 400093, INDIA.DP ID - NSDL IN303028.

Sole/First Holder

Second Holder

Third Holder

Signature(s) of Account Holder(s)Name

D D M M Y Y Y Y

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With reference to my / our application for opening a depository account, I/we acknowledge thereceipt of copy of the document,Rights and Obligations of the Beneficial Owner and DepositoryParticipant".


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Correspondence Address Residence Address

/ Residence

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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 Instructions issued bythe 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 completeAccount opening form, KYC and supporting documents as specified by SEBI from time to time.

3. The DP shall maintain all the details of the beneficial owner(s) as mentioned in the account opening form, supportingdocuments submitted by them and/or any other information pertaining to the beneficial owner confidentially and shall notdisclose 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 accountopening form as submitted to the DP at the time of opening the demat account or furnished to the DP from time to time.

5. The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of securities in dematerialized

form and for availing depository services as may be agreed to from time to time between the DP and the Beneficial Owner asset out in the Tariff Sheet provided by the DP. It may be informed to the Beneficial Owner that "no charges are payable foropening of demat accounts"

6. In case of Basic Services Demat Accounts, the DP shall adhere to the charge structure as laid down under the relevant SEBIand/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 daysto the Beneficial Owner regarding the same.

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, BusinessRules and Operating Instructions of the depositories.

9. The DP shall open separate accounts in the name of each of the beneficial owners and securities of each beneficial ownershall be segregated and shall not be mixed up with the securities of other beneficial owners and/or DP$s own securities held indematerialized form.

10. The DP shall not facilitate the Beneficial Owner to create or permit any pledge and /or hypothecation or any other interestor encumbrance over all or any of such securities submitted for dematerialization and/or held in demat account except in theform and manner prescribed in the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996 and Bye-Laws/Operating Instructions/Business Rules of the Depositories.

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 original documents and the audittrail of such authorizations.

12. The Beneficial Owner reserves the right to give standing instructions with regard to the crediting of securities in his demataccount and the DP shall act according to such instructions.

General Clause

Beneficial Owner information

Fees/Charges/Tariff

Dematerialization

Separate Accounts

Transfer of Securities

Statement of account

13. The DP shall provide statements of accounts to the beneficial owner in such form and manner and at such time as agreedwith the Beneficial Owner and as specified by SEBI/depository in this regard.

14. However, if there is no transaction in the demat account, or if the balance has become Nil during the year, the DP shall sendone physical statement of holding annually to such BOs and shall resume sending the transaction statement as and when thereis 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 Ownerso desires. The DP will furnish to the Beneficial Owner the statement of demat accounts under its digital signature, as governedunder the Information Technology Act, 2000. However if the DP does not have the facility of providing the statement of demataccount in the electronic mode, then the Participant shall be obliged to forward the statement of demat accounts in physical form.

Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI andDepositories

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17. The DP shall have the right to close the demat account of the Beneficial Owner, for any reasons whatsoever, provided theDP has given a notice in writing of not less than thir ty days to the Beneficial Owner as well as to the Depository. Similarly, theBeneficial Owner shall have the right to close his/her demat account held with the DP provided no charges are payable byhim/her to the DP. In such an event, the Beneficial Owner shall specify whether the balances in their demat account should betransferred to another demat account of the Beneficial Owner heldwith another DPor 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 balancesor rematerialize such security balances within a period of thirty days as per procedure specified from time to time by thedepository. Provided further, closure of demat account shall not affect the rights, liabilities and obligations of either the BeneficialOwner or the DPand shall continue to bind the parties to their satisfactory completion.

19. In event of Beneficial Owner committing a default in the payment of any amount provided in Clause 5 & 6 within a period ofthirty 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&6 specifiedabove, the DP after giving two days notice to the Beneficial Owner shall have the right to stop processing of instructions of theBeneficial Owner till such time he makes the payment along with interest, if any.

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 dueto the negligence of the depository or the par ticipant,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, thedepository shall have the right to recover the same from such participant.

22. The Beneficial Owner may exercise the right to freeze/defreeze his/her demat account maintained with the DP in accordancewith the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules/Operating Instructions.

23. The DPor the Depository shall have the right to freeze/defreeze the accounts of the Beneficial Owners on receipt ofinstructions received from any regulator or court or any statutory authority.

24. The DP shall redress all grievances of the Beneficial Owner against the DP within a period of thirty days from the date ofreceipt of the complaint.

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 in such listincluding additions, deletions or alterations thereto shall be forthwith communicated to the Participant.

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 DPor the Beneficial Owner may have under the Rules, Bye Laws and Regulations of the respectiveDepository 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 andcirculars/ notices issued by SEBI and Rules, Regulations and Bye-laws of the relevant Depository, where the Beneficial Ownermaintains 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-lawsof the depository and that such procedure shall be applicable to any disputes between the DPand the Beneficial Owner.

29. Words and expressions which are used in this document but which are not defined herein shall unless the context otherwiserequires, have the same meanings as assigned thereto in the Rules, Bye-laws and Regulations and circulars/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 theclients at once.

31. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations of SEBI or Bye-laws,Rules and Regulations of the relevant Depository, where the Beneficial Owner maintains his/her account, such changes shallbe deemed to have been incorporated herein in modification of the rights and obligations of the parties mentioned in thisdocument.

16. In case of Basic Services Demat Accounts, the DP shall send the transaction statements as mandated by SEBI and/orDepository from time to time.

Manner of Closure of Demat account

Default in payment of charges

Liability of the Depository

Freezing/ Defreezing of accounts

Redressal of Investor grievance

Authorized representative

Law and Jurisdiction

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Application for converting regular account into Basic Services Demat Account (BSDA)

To,

ICICI BANK Ltd (Demat Services)

3i Infotech Limited, Akruti Trade Centre,3rd Floor, P.10, Road No.7,MIDC Marol, Bhim Nagar, Andheri (East),Mumbai 400093.

I/we request you to convert my/our depository account into BSDA as per the following details:

DP ID Client ID

Name PAN

Sole/First Holder

Second Holder

Third Holder

I/we have read and understood the Securities and Exchange Board of Indias guidelines for facility for aBSDA. I/we hereby declare that I/we am/are eligible to open a depository account as a BSDA holder andundertake to comply with the requirements specified by Securities and Exchange Board of India (SEBI) orany such authority for such facility from time to time. I/we also understand that in case I/we at any point oftime do not meet the eligibility as a BSDA holder, my/our aforesaid account is liable to be converted toregular account.

__________________________ _________________________ _________________________

(signature of sole / first holder) (signature of second holder) (signature of third holder)

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Date: D D M M Y Y Y Y

Note :It is mandatory to register for the SMS aler t facility before opting for the facility of BSDA.

I/we wish to register my/our mobile number in my Demat A/c and subscribe for SMS alerts.

Mobile No.:

Email Id.:

ICICI Demat AOF Non Corporate

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