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Transcript of ORIENTAL SECURITIES (PVT) LTD. - Individual(s).pdfآ  For Resident and Non-Resident Pakistanis &...

  • ORIENTAL SECURITIES (PVT) LTD. Corporate Stock Brokerage House Pakistan Stock Exchange Ltd. Karachi

    APPLICATION FORM NO. / REF. NO.

    NAME / TITLE OF ACCOUNT

    TRADING ACCOUNT NO. / LF / UIN

    SUB-ACCOUNT NO.

    UKN NUMBER

    INVESTOR ACCOUNT NUMBER

    ACCOUNT OPENING DATE

    CUSTOMER RELATIONSHIP FORM INDIVIDUAL(S)

    04341-

    TREC NO. SECURITIES BROKER REG. NO. CDS PARTICIPANT ID

    148 BRP-115 04341

    Head / Regd. Office: Room # 731-732, 7th Floor, Pakistan Stock Exchange Building, Stock Exchange Road, Off. I. I. Chundrigar Road, Karachi, Pakistan. 021-32446744 & 747 oslmail@yahoo.com www.osl.com.pk

    NTN: 1336933-4 SNTN: S1336933-4

  • b

    c

    d

    INDIVIDUAL / JOINT ACCOUNT HOLDERS

    Note: Personal Appearance at the time of opening of account is mandatory.

    DOCUMENTS / DETAILS REQUIRED FOR OPENING OF A BROKERAGE ACCOUNT For Resident and Non-Resident Pakistanis & Foreigners

    If you are a Resident Pakistani CNIC / SNIC

    If you are a Non Resident Pakistani NICOP

    If you are a Foreigner Passport / POC

    Proof of residential, mailing or permanent address Any of utility bills

    Bank Statement for last 3 months Bank Statement

    a) For Muslims on Rs. 50 Non-Judicial Stamp Paper (For Specimen see Page No. 32 )

    b) For Non-Muslims on Plain Paper (For Specimen see Page No. 31)

    i) Certificate from the employer OR Pay / Salary Slip

    ii) National Tax Number NTN Certificate (optional)

    iii) Visiting Card (optional)

    i) Formal request to open a brokerage account on the Business Letter Head

    ii) Copy of registration certificate or proof that the business is registered with

    Government / any other authority eg. Professional Tax Dept., Chamber of

    Commerce, PMDC, Income Tax Dept., etc.

    iii) National Tax Number NTN Certificate (optional)

    iv) Visiting Card (optional)

    i) Formal request to open a brokerage account on the Business Letter Head

    ii) Copy of partnership deed

    iii) Copy of registration certificate or proof that the business is registered with

    Government / any other authority eg. Professional Tax Dept.,

    Chamber of Commerce, PMDC, Income Tax Dept., etc.

    iv) National Tax Number NTN Certificate

    v) Visiting Card

    i) Proof of being student eg. Student ID Card, Enrollment Letter etc.

    ii) Proof of source of funds (personal savings, inheritance, gifts etc.)

    iii) Student shall be required to provide a Self Declaration for source and

    beneficial ownership of funds

    i) Proof of source of funds (personal savings, inheritance, marriage and other gifts etc.)

    ii) House Wife shall be required to provide a Self Declaration for source and

    beneficial ownership of funds

    i) Proof of ownership of land (jamabandi etc or computerized record) as

    maintained by Revenue Authorities OR

    ii) Certificate of local Revenue Authorities (Patwari) regarding total land holding

    and estimated annual income from the said land

    iii) Agriculturist shall be required to provide a Self Declaration for Source of Funds

    S. # Required Document (Copy)Condition / Purpose Remarks / Comments

    1

    ZAKAT DECLARATION FORM

    2

    3

    4

    6

    5 APPOINTMENT OF NOMINEE

    OCCUPATION / MEANS OF LIVELIHOOD

    IF YOU ARE NOT COVERED BY THE BELOW GIVEN OCCUPATIONS PLEASE SPECIFY YOURS & PROVIDE RELATED EVIDENCE

    SALARIED PERSON

    BUSINESS / PROFESSION - SOLE PROPRIETORSHIP

    BUSINESS PARTNERSHIP

    STUDENT

    HOUSEWIFE

    AGRICULTURIST

    An Individual may appoint his / her spouse or blood relation as nominee

    a) If nominee is a Resident Pakistani CNIC / SNIC

    b) If nominee is a Non Resident Pakistani NICOP

    c) If nominee is a Foreigner Passport / POC

    CRF - SECP COMPLIANT W.E.F. 17-06-2019

    a

    e

    f

  • B

    JOINT APPLICANT NO. 1

    JOINT APPLICANT NO. 2

    JOINT APPLICANT NO. 3

    ORIENTAL

    CUSTOMER RELATIONSHIP FORM FOR INDIVIDUAL(S)

    D D M M Y Y

    D D M M Y Y

    D D M M Y YDate of Issue Date of Expiry

    ACCOUNT HOLDER DETAILS - MAIN APPLICANTA

    REGISTRATION (AND OTHER) DETAILS OF THE JOINT APPLICANT(S)

    SUB-A/C NO.: LF:

    1

    2

    3

    4

    JOINTSINGLE 04341-

    Y Y

    Y Y

    Y Y

    NATURE OF ACCOUNT

    ORIENTAL SECURITIES (PVT) LTD. Corporate Brokerage House (TREC No. 148): Pakistan Stock Exchange Ltd.

    Head / Regd. Office: Room # 731-732, 7th Floor, Pakistan Stock Exchange Building, Stock Exchange Road, Off. I. I. Chundrigar Road, Karachi, Pakistan.

    Tel: 021-32446 744 & 747 EMAIL: oslmail@yahoo.com WEB: www.osl.com.pk NTN: 1336933-4, SNTN: S1336933-4

    Securities Broker License No. BRP-115

    (Please Also Fill KYC APPLICATION FORM for Main and Joint Applicants)

    Please use BLOCK LETTERS TO fill the form

    Document / ID As Per

    Expiry-Date of Document

    Passport No.

    Place of Issue

    Mobile No.*

    Land Line No.

    Passport Details

    Contact Info Email*

    Fax

    01

  • If you are subscribing to IVR and Web Service, please provide following details of your Contact Person:

    I/we the undersigned, hereby give my/our express authority to the Participant under Section 12 and Section 24 of the Central Depositories Act, 1997 to handle Book-entry Securities beneficially owned by me/us and entered in my/our Sub-Account maintained with the Participant for securities transactions that are exclusively meant for the following purposes:

    (a) For the settlement of any underlying market transactions (trades) including off market transactions made by me/us from time to time;

    (b) For pledge securities transactions with the Clearing House relating to any of my/our underlying market transactions (trades) to be settled through the Clearing House from time to time

    (c) For the recovery of payment against any underlying market purchase transactions made by me/us from time to time

    (d) Movement by me/us from time to time of my/our Book-entry Securities from my/our Sub-Account under the Main Account under the control of the Participant to my/our Sub-Account under another Main Account under the control of the Participant or to my/our Sub- Account under any Main Account which is under the control of another Participant or to my/our Investor Account

    (e) Securities transactions which has been made by way of a gift of Securities by me/us to my/our Family Members or other persons in accordance with the CDC Regulations from time to time

    (f) For the recovery of any charges or losses against any or all of the above transactions carried out by me/ us or services availed and/or

    (g) Delivery Transaction made by me/us for any other purposes as prescribed by the Commission from time to time. Specific authority on each occasion shall be given by me/us to the Participant for handling of Book-entry Securities beneficially owned by me/us for all other purposes as permitted under the applicable laws and regulations.

    Note: Please note that above shall serve as a standing authorization to the Participant for handling of Book-entry Securities owned by

    the undersigned Sub-Account Holder(s) and entered in his/her/their Sub-Account maintained with the Participant. Handling of Book-

    entry Securities for all other purposes should however require specific authority in writing from the undersigned Sub-Account Holder(s)

    in favour of the Participant. For handling of Book-entry Securities worth Rs. 500,000/- and above, the above mentioned specific authority

    shall be obtained on non-judicial stamp paper.

    CDC ACCESSD CDC provides FREE OF COST services under CDC access whereby Sub-Account Holders / Investor Account Holders can have real time access to their account related information.

    Do you wish to subscribe to free of cost IVR / Web Service? Yes No

    (a) Date of Birth D D M M Y Y (b) Mothers Maiden Name

    AUTHORIZATION UNDER CDC ACT - FOR SUB-ACCOUNT ONLYE Authorization u/s 12 and 24 of the CDC Act exclusively for settlement of underlying trades, pledge and recovery of payments, charges and losses

    OTHER ACCOUNT LEVEL INFORMATIONC

    1

    2

    Y Y

    D D M M Y Y

    D D M M Y Y

    D D M M Y YDate of Issue

    Date of Expiry

    (a)

    (b)

    (c)

    (d)

    (e)

    Name of Nominee

    Relationship with Main Applicant

    5

    Y Y

    Y Y

    Y Y

    PARTICULARS OF NOMINEE

    4 ZAKAT STATUS

    3 BASIS OF REMITTANCE

    2 RESIDENTIAL STATUS

    1 BANK DETAILS

    Document / ID As Per

    Expiry-Date of Document

    Passport No.

    Place of Issue

    Passport Details

    Main J/A-1 J/A-2 J/A-3

    Muslim Zakat Non-Deductible

    Muslim Zakat Deductible

    Not Applicable

    Repatriable Non-Repatriable

    Non-Resident Pakistani

    Foreigner / Pakistani Origin

    02

  • Signature:

    Signatory(ies) to give instruction to the Participant / TREC Holder pertaining to the operations of the Investor Account / Sub-Account / Trading Account. (Please specify Investor account, sub- account and trading account operating instructions in the relevant column along with names and specimen signatures of authorized signatories

    SPECIMEN SIGNATURE