1. Welcome to Globe KYC Department

2. What is KYC “KYC (Know Your Customer) is a framework for intermediary which enables them to know/ understand the customers and their financial dealings to be able to serve them better.” or in other words “The process of KYC entails identifying the customer and verifying the identity by using reliable and independent documents or information”

3. Agenda Over View of KYC Process How to Fill KYC Form Documentations & In-Person Verification Services Offered By us Rejections- Pre & Post Code Activation Tag Sheet Summery Modifications

4. Over View of KYC Process KYC Received KYC Ok Welcome Call DP Opening RejectionLong_Hold

5. Over View of KYC Process Welcome Call Call Confirm Trading Activate DP Activate No Confirm Suspend After 3 Call

6. How to Fill KYC Form- Cover Fill complete detail except Trading /DP Code & Date Mention scheme code All Detail should be in CAPITAL Letter Check the Kit version, it should not be too old

7. How to Fill KYC Form- Cover Introducer detail should match with front page of KYC (Introducer RM Name)

8. How to Fill KYC Form- Acknowledgement Client Signature mandatory

9. How to Fill KYC Form- KRA Page All Detail should be in CAPITAL Letter Affix a passport size photo and do across signature Tick address proof properly If Client provide both address then proof for each address required separately Do IPV and Affix IPV stamp

10. How to Fill KYC Form- Add. KYC for DP CDSL-Individual-1 All Detail should be in CAPITAL Letter Fill Complete detail of all holders Tick services properly Email id and mobile should match with KRA Page

11. How to Fill KYC Form- Add. KYC for DP CDSL-Individual-2 All Detail should be in CAPITAL Letter If client choose yes then fill complete detail of nominee Do witness In case of minor nominee guardian should not be account Holder

12. How to Fill KYC Form- Add. KYC for DP CDSL-Non-Individual All detail should be in CAPITAL Letter Fill complete detail of all holders Tick services properly Email id and mobile should match with KRA Page Client signature with stamp

13. How to Fill KYC Form- Add. KYC for DP NSDL-Individual-1 All detail should be in CAPITAL Letter Fill complete detail of all holders Email id and mobile should match with KRA Page Tick services properly

14. How to Fill KYC Form- Add. KYC for DP NSDL-Individual-2 All Detail should be in CAPITAL Letter Email id and Mobile should match with KRA Page In Case of Minor Nominee Guardian should not be account Holder

15. How to Fill KYC Form- Add. KYC for DP NSDL-Individual-3 Client end witness

16. How to Fill KYC Form- Trading & DP Related Detail If client choose Derivative then client have to provide the financial proof and give his consent over welcome call If client choose mutual fund then client have to sign over Mutual Fund Letter In case of other Depository Participant client id, client have to submit duly signed recent client master or recent holding statement ECN Email ID should match with KRA Page

17. How to Fill KYC Form- Client Declaration Fill Gross Annual Income and Net-worth Annual Income or Net worth is mandatory in case of Individual Annual Income and Net worth both are mandatory in case of Individual Choose Occupation

18. How to Fill KYC Form- Tariff Sheet Cutting, overwriting, fluid not allowed on tariff sheet page even if client do counter signature Choose BSDA or Life time scheme Properly

19. How to Fill KYC Form- Annexure A All Detail should be in CAPITAL Letter Email id and Mobile should match with KRA Page

20. How to Fill KYC Form- Annexure B All Detail should be in CAPITAL Letter Email id and Mobile should match with KRA Page

21. How to Fill KYC Form- Authorizations

22. How to Fill KYC Form- EMUL All Detail should be in CAPITAL Letter Fill Complete detail of all holders Tick Relation properly Email id and Mobile should match with KRA Page If client not provide Email id or Mobile then please provide declaration of “Not Having Email/Mobile” We does not allowed if client relation is other than these four or contact detail match with four clients

23. How to Fill KYC Form- LOA All Detail should be in CAPITAL Letter Email id and Mobile should match with KRA and EMUL Fill Complete required detail of authorized person and also submit Pan Card copy of authorized person duly signed by client and authorized person both. We do not allow LOA other than family or closed relative. We can demand the relation proof if client does not provide the same with KYC We do not allow LOA in favor of Business Associate or his Employee or any Globe Employee

24. How to Fill KYC Form- MF & FAX

25. How to Fill KYC Form- FATCA If client mark “YES” on FATCA & CRS Declaration then client have to fill all the required detail in format.

26. How to Fill KYC Form- HUF HUF Declaration Required for HUF Client. Fill KARTA and Coparcener Detail in table with signature specimen In Case of Minor Coparcener provide the age proof

27. Services Offered By us 1. Mail to RM & Back Office Coordinator (BO) for Registration of KYC 2. Mail to Client on Registration 3. Mail to RM & BO before Welcome Call to client 4. Mail to RM/BO if client not able to attend the 2 nd Welcome Call 5. SMS to Client if Client not able to attend the 2 nd Welcome Call 6. Mail to client if client is not able to under stand English or Hindi 5. Mail to RM & BO if verification call not confirm after 3 rd calling 6. Mail to RM & BO on Hold of KYC 7.Mail to VP & BO on return of KYC 8.SMS to VP on KYC Return 8. Mail to Client for gaining knowledge about derivative 9. Mail to RM & BO after Code opening 10. Send SMS to client after Code opening 11. Mail Welcome Letter to Client after account open 12. Send Physical Letter to client on his registered address 13. Send Soft copy of Client Executed KYC on client registered Email Address 14. Check the status of KYC on http://125.22.90.84/kyconline/http://125.22.90.84/kyconline/ 1. Mail to RM & Back Office Coordinator (BO) for Registration of KYC 2. Mail to Client on Registration 3. Mail to RM & BO before Welcome Call to client 4. Mail to RM/BO if client not able to attend the 2 nd Welcome Call 5. SMS to Client if Client not able to attend the 2 nd Welcome Call 6. Mail to client if client is not able to under stand English or Hindi 5. Mail to RM & BO if verification call not confirm after 3 rd calling 6. Mail to RM & BO on Hold of KYC 7.Mail to VP & BO on return of KYC 8.SMS to VP on KYC Return 8. Mail to Client for gaining knowledge about derivative 9. Mail to RM & BO after Code opening 10. Send SMS to client after Code opening 11. Mail Welcome Letter to Client after account open 12. Send Physical Letter to client on his registered address 13. Send Soft copy of Client Executed KYC on client registered Email Address 14. Check the status of KYC on http://125.22.90.84/kyconline/http://125.22.90.84/kyconline/

28. Services Offered By us

29. Documentations- Individual 1.Copy of PAN Card 2.Photograph 3.Address Proof 4.Bank Proof 5.DP Proof Note: All document must be self attested by the Client and Verified with Original by RM 1.Copy of PAN Card 2.Photograph 3.Address Proof 4.Bank Proof 5.DP Proof Note: All document must be self attested by the Client and Verified with Original by RM

30. Documentations- NRI 1.Copy of PAN Card 2.Photograph 3.Address Proof Overseas 4.Address Proof Indian 5.Bank Proof (NRE/NRO) 6.DP Proof 7.PIS Permission Letter 8.Copy of VISA 9.FEMA Declaration 10.NRI Declaration Note: All document must be self attested by the Client and Verified with Original by RM 1.Copy of PAN Card 2.Photograph 3.Address Proof Overseas 4.Address Proof Indian 5.Bank Proof (NRE/NRO) 6.DP Proof 7.PIS Permission Letter 8.Copy of VISA 9.FEMA Declaration 10.NRI Declaration Note: All document must be self attested by the Client and Verified with Original by RM

31. Documentations- Corporate Company Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.List of Director’s & Promoters 6.Board Resolutions 7.Balance Sheets of Last two Year 8.Shareholding Pattern 9.Net-worth Certificate 10.Certified AOA & MOA 11.ITR of Last two Year 12.List of Authorized Signatory with Specimen Company Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.List of Director’s & Promoters 6.Board Resolutions 7.Balance Sheets of Last two Year 8.Shareholding Pattern 9.Net-worth Certificate 10.Certified AOA & MOA 11.ITR of Last two Year 12.List of Authorized Signatory with Specimen

32. Documentations- Corporate Director’s and Promoter's Documents 1.Copy of PAN Card 2.Address Proof 3.Form 32 (incase of Director Change) 4.DIN 5.Photograph Note: All document must be self attested by the Client and Verified with Original by RM Director’s and Promoter's Documents 1.Copy of PAN Card 2.Address Proof 3.Form 32 (incase of Director Change) 4.DIN 5.Photograph Note: All document must be self attested by the Client and Verified with Original by RM

33. Documentations- Partnership Firm Firm Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.List of Partners with Sharing Ratio 6.Authority Letter 7.Balance Sheets of Last two Year 8.Partnership Deed 9.Net-worth Certificate 10.Certificate of Registration 11.ITR of Last two Year 12.List of Authorized Signatory with Specimen Firm Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.List of Partners with Sharing Ratio 6.Authority Letter 7.Balance Sheets of Last two Year 8.Partnership Deed 9.Net-worth Certificate 10.Certificate of Registration 11.ITR of Last two Year 12.List of Authorized Signatory with Specimen

34. Documentations- Partnership Firm Partner's Documents 1.Copy of PAN Card 2.Address Proof 3.Photograph Note: All document must be self attested by the Client and Verified with Original by RM Partner's Documents 1.Copy of PAN Card 2.Address Proof 3.Photograph Note: All document must be self attested by the Client and Verified with Original by RM

35. Documentations- HUF HUF Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.Coparcener Declaration Karta Documents 1.Copy of PAN Card 2.Address Proof 3.Photograph HUF Documents 1.Copy of PAN Card 2.Address Proof 3.Bank Proof 4.DP Proof 5.Coparcener Declaration Karta Documents 1.Copy of PAN Card 2.Address Proof 3.Photograph

36. Documentations Do’s & Don’t 1.All document must be self attested by the Client and Verified with Original by RM/BA 2.Don’t affix stamp of “Verified With Original” in case of Original Documents 3.Client signature should match with either with Bank Proof or with PAN card copy if does not match with any one then provide the signature verification letter 4.Company and Firm documents Must be on their Letter Head (e.i. BR, Authority Letter, List of Authorize Signatory etc) 5.RM Name and designation and other detail should be complete and readable 6.Short signature/initial is not allowed on the KYC by client as well as RM 7.In Case of Corporate/Firm Client signature without Stamp is not valid. 1.All document must be self attested by the Client and Verified with Original by RM/BA 2.Don’t affix stamp of “Verified With Original” in case of Original Documents 3.Client signature should match with either with Bank Proof or with PAN card copy if does not match with any one then provide the signature verification letter 4.Company and Firm documents Must be on their Letter Head (e.i. BR, Authority Letter, List of Authorize Signatory etc) 5.RM Name and designation and other detail should be complete and readable 6.Short signature/initial is not allowed on the KYC by client as well as RM 7.In Case of Corporate/Firm Client signature without Stamp is not valid.

37. In-Person Verification With regard to the requirement of in-person’ verification (IPV), SEBI has issued guidelines to the stock brokers and depository participants (DPs). However, in line with the uniformity brought out in the KYC procedure across intermediaries, the IPV requirements for all the intermediaries have now been streamlined and harmonized, as follows: 1. It shall be mandatory for all the intermediaries addressed in this circular to carry out IPV of their clients. 2. The intermediary shall ensure that the details like name of the person doing IPV, his designation, organization with his signatures and date are recorded on the KYC form at the time of IPV. 3. The IPV carried out by one SEBI registered intermediary can be relied upon by another intermediary and the person doing IPV must ensure that he/she meet with client personally 4. In case of Stock brokers, their sub-brokers or Authorized Persons (appointed by the stock brokers after getting approval from the concerned Stock Exchanges in terms of SEBI Circular No. MIRSD/DR-1/Cir-16/09 dated November 06, 2009) can perform the IPV.” With regard to the requirement of in-person’ verification (IPV), SEBI has issued guidelines to the stock brokers and depository participants (DPs). However, in line with the uniformity brought out in the KYC procedure across intermediaries, the IPV requirements for all the intermediaries have now been streamlined and harmonized, as follows: 1. It shall be mandatory for all the intermediaries addressed in this circular to carry out IPV of their clients. 2. The intermediary shall ensure that the details like name of the person doing IPV, his designation, organization with his signatures and date are recorded on the KYC form at the time of IPV. 3. The IPV carried out by one SEBI registered intermediary can be relied upon by another intermediary and the person doing IPV must ensure that he/she meet with client personally 4. In case of Stock brokers, their sub-brokers or Authorized Persons (appointed by the stock brokers after getting approval from the concerned Stock Exchanges in terms of SEBI Circular No. MIRSD/DR-1/Cir-16/09 dated November 06, 2009) can perform the IPV.”

38. Rejections-Common Common Rejection 1.Name Mismatch between KYC and Proofs 2.Address Mismatch between KYC and Proofs 3.Brokerage Cutting/Over Writing/Fluid or Brokerage is lower than a specified rate 4.Client Signature Missing/Mismatch on KYC/Documentation 5.Incomplete Bank Account Number or Invalid Bank Proof Submit 6.Verified with Original and IPV stamp properly not affix 7.Verification Call Not Confirm in three call 8.DP Payment 9.Email Not Confirm During Verification Call and EMUL-2 not Signed 10.Any Additional Documents not provide as required by KYC Deptt. Common Rejection 1.Name Mismatch between KYC and Proofs 2.Address Mismatch between KYC and Proofs 3.Brokerage Cutting/Over Writing/Fluid or Brokerage is lower than a specified rate 4.Client Signature Missing/Mismatch on KYC/Documentation 5.Incomplete Bank Account Number or Invalid Bank Proof Submit 6.Verified with Original and IPV stamp properly not affix 7.Verification Call Not Confirm in three call 8.DP Payment 9.Email Not Confirm During Verification Call and EMUL-2 not Signed 10.Any Additional Documents not provide as required by KYC Deptt.

39. Rejections- Identification Proof & Address Proof Aadhaar Card - Photocopy of Front & Reverse side of Card Required PAN Card - Name, Photograph, Date of Birth and Signature should match and clearly visible. Passport - Photocopy of Name & Address Page Required. Passport should be valid for minimum next 2 months from the date of Account Activation. Signature should be clearly visible Driving License - Photocopy of Name & Address Page Required.Driving License should be valid for minimum next 2 months from the date of Account Activation. Learning License is Not Acceptable. Voter ID - Photocopy of Name & Address Page Required Aadhaar Card - Photocopy of Front & Reverse side of Card Required PAN Card - Name, Photograph, Date of Birth and Signature should match and clearly visible. Passport - Photocopy of Name & Address Page Required. Passport should be valid for minimum next 2 months from the date of Account Activation. Signature should be clearly visible Driving License - Photocopy of Name & Address Page Required.Driving License should be valid for minimum next 2 months from the date of Account Activation. Learning License is Not Acceptable. Voter ID - Photocopy of Name & Address Page Required

40. Rejections- Address Proof Ration Card - Photocopy of Name/Address & Family Members list page required. Address mentioned in the Ration Card & KYC should match Utility Bills (Telephone & Electricity Bills) - Photocopy of Telephone/Electricity bill is required. The proof should not be 3 months old. Should be valid for next 15 days post Activation. Address mentioned in the Telephone/Electricity Bill & KYC should match. Bank Statement /Bank Passbook- Original Bank Statement of latest quarter (3 months transactions). Bank Attestation is Mandatory where the Bank Statement does not contain pre-printed Bank Logo, address & other relevant details about the bank. (Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). Address mentioned in the Bank Passbook & KYC should match. Ration Card - Photocopy of Name/Address & Family Members list page required. Address mentioned in the Ration Card & KYC should match Utility Bills (Telephone & Electricity Bills) - Photocopy of Telephone/Electricity bill is required. The proof should not be 3 months old. Should be valid for next 15 days post Activation. Address mentioned in the Telephone/Electricity Bill & KYC should match. Bank Statement /Bank Passbook- Original Bank Statement of latest quarter (3 months transactions). Bank Attestation is Mandatory where the Bank Statement does not contain pre-printed Bank Logo, address & other relevant details about the bank. (Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). Address mentioned in the Bank Passbook & KYC should match.

41. Rejections- Bank Proof Cancelled Cheque - Original Cancelled Cheque having Pre-printed Client Name, A/c No., IFSC & MICR is required. The details such as A/c Holder Name, Bank A/c No. Bank A/c Type should match with details mentioned in KYC. If client provide the photo copy of the cheque then client self attestation and “Verified With Original” is Compulsory. Bank Statement /Passbook- Original Bank Statement of latest quarter (3 months transactions). Bank Attestation is Mandatory where the Bank Statement does not contain pre-printed Bank Logo, address & other relevant details about the bank.(Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). The details such as A/c Holder Name, Bank A/c No. Bank A/c Type should match with details mentioned in KYC. Cancelled Cheque - Original Cancelled Cheque having Pre-printed Client Name, A/c No., IFSC & MICR is required. The details such as A/c Holder Name, Bank A/c No. Bank A/c Type should match with details mentioned in KYC. If client provide the photo copy of the cheque then client self attestation and “Verified With Original” is Compulsory. Bank Statement /Passbook- Original Bank Statement of latest quarter (3 months transactions). Bank Attestation is Mandatory where the Bank Statement does not contain pre-printed Bank Logo, address & other relevant details about the bank.(Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). The details such as A/c Holder Name, Bank A/c No. Bank A/c Type should match with details mentioned in KYC.

42. Rejections- F&O and Currency Activation 1. Bank Statement / Bank Passbook with Latest 6 months (180 Days)Transaction. Bank Attestation is Mandatory where the Bank Statement / Bank Passbook does not contain pre-printed Bank Logo, address & other relevant details about the bank.(Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). 2. IT Returns for last Financial Year. 3. Form 16 and Salary Slip 4. Existing DP Holding Statement. 5. Net-worth Certificate from Registered CA 6. Latest Balance Sheet (For Non Individuals only) 1. Bank Statement / Bank Passbook with Latest 6 months (180 Days)Transaction. Bank Attestation is Mandatory where the Bank Statement / Bank Passbook does not contain pre-printed Bank Logo, address & other relevant details about the bank.(Bank Attestation should contain Authorized signatory of Bank with Name, Employee Code & Bank Seal). 2. IT Returns for last Financial Year. 3. Form 16 and Salary Slip 4. Existing DP Holding Statement. 5. Net-worth Certificate from Registered CA 6. Latest Balance Sheet (For Non Individuals only)

43. Rejections- Non-Individual 1. Form 18 and Form 32 valid with challan copy. 2. All incorporation certificates should be self attested and all incorporation certificates must be attached with the Memorandum. 3. Detail of Director should match with memorandum and if there is any change then Form 32 with the challan copy is required 4. Authorized person can perform signature on Board Resolution (BR) until he/she is/are only the Director in the company. 5. If Letter of authority to trade given on behalf of any other person than authorized in BR then company must provide the separate BR, Person ID and address proof 1. Form 18 and Form 32 valid with challan copy. 2. All incorporation certificates should be self attested and all incorporation certificates must be attached with the Memorandum. 3. Detail of Director should match with memorandum and if there is any change then Form 32 with the challan copy is required 4. Authorized person can perform signature on Board Resolution (BR) until he/she is/are only the Director in the company. 5. If Letter of authority to trade given on behalf of any other person than authorized in BR then company must provide the separate BR, Person ID and address proof

44. Rejections- Non-Individual 6.Share holding Pattern - Less than 2% share holders may provide under Other Category but 100 % share holding pattern require. 7.Share holding total must be equal to share capital 8. In case of name change incorporation certificate and PAN card of new name required 9. In company share holding any other company is a share holder with equal to or more than 20 % holding then we require that company share holding also if this will again happen in holding company then again we require share holding and it will continue. 10. All the incorporation certificate should be attached with the memorandum if any updation incorporation certificate attached with the memorandum instead of first incorporation certificate then we require first incorporation certificate also. 6.Share holding Pattern - Less than 2% share holders may provide under Other Category but 100 % share holding pattern require. 7.Share holding total must be equal to share capital 8. In case of name change incorporation certificate and PAN card of new name required 9. In company share holding any other company is a share holder with equal to or more than 20 % holding then we require that company share holding also if this will again happen in holding company then again we require share holding and it will continue. 10. All the incorporation certificate should be attached with the memorandum if any updation incorporation certificate attached with the memorandum instead of first incorporation certificate then we require first incorporation certificate also.

45. Rejections- Non-Individual 11. The following mandatory points must be incorporated in board resolutions. - Date of Resolution - Resolution date not latter to KYC date - Name of Broker as Globe Capital Market Ltd. - Segment like Equity, Currency, Future, Option, Cash Etc. - Name of the exchanges in which client wants to trade - Authorized person name in BR 12.Date of Incorporation on KYC Form should match with date of incorporation from memorandum and PAN card date 13.If Company having more than 20% individual share holder in their share holding then client have to submit Ultimate Beneficiary Owner (UBO) Declaration with duly attested PAN and Address proof. 11. The following mandatory points must be incorporated in board resolutions. - Date of Resolution - Resolution date not latter to KYC date - Name of Broker as Globe Capital Market Ltd. - Segment like Equity, Currency, Future, Option, Cash Etc. - Name of the exchanges in which client wants to trade - Authorized person name in BR 12.Date of Incorporation on KYC Form should match with date of incorporation from memorandum and PAN card date 13.If Company having more than 20% individual share holder in their share holding then client have to submit Ultimate Beneficiary Owner (UBO) Declaration with duly attested PAN and Address proof.

46. How to Fill Tag Sheet – 1 st page Fill complete details in CAPITAL Letter except BA Code. Properly mention sharing ratio & brokerage slabs Mention revenue commitments, security deposits & Charges. Attach approval documents/mail if there is any approval related to sharing ratio, brokerage slab, revenue commitment, security deposit, multi code ID charges and other Charges. Affix Photo and do across signature Check signatures of BA, branch head and VP before submit to KYC.

47. How to Fill Tag Sheet- 2 nd Page Fill all personnel details of client in CAPITAL Letter Match the Detail like Name as per Bank, Name as per PAN Card and other details with related proofs. Fill Proper office area, office type AND Constituent Detail properly.

48. Documentations- Individual Clear copy of Pan card Clear copy of Education Copy of Resident Address Proof Copy of Office Address Proof (if any) Copy of Bank Proof/ Cancel Cheque All Supporting documents should be self attested All Supporting documents of Individual should be truly attested by third party i.e. Notary/ C.A Clear copy of Pan card Clear copy of Education Copy of Resident Address Proof Copy of Office Address Proof (if any) Copy of Bank Proof/ Cancel Cheque All Supporting documents should be self attested All Supporting documents of Individual should be truly attested by third party i.e. Notary/ C.A

49. Documentations- Proprietorship Clear copy of Pan card Clear copy of Education Proof Copy of Resident Address Proof Copy of Office Address Proof (Proprietorship Firm) Copy of Bank Proof/ Cancel Cheque (Proprietorship Firm) All Supporting documents should be self attested by Proprietor along with rubber stamp All Supporting documents either of Firm or Proprietor should be truly attested by third party i.e. Notary/ C.A Clear copy of Pan card Clear copy of Education Proof Copy of Resident Address Proof Copy of Office Address Proof (Proprietorship Firm) Copy of Bank Proof/ Cancel Cheque (Proprietorship Firm) All Supporting documents should be self attested by Proprietor along with rubber stamp All Supporting documents either of Firm or Proprietor should be truly attested by third party i.e. Notary/ C.A

50. Documentations- Partnership Firm Clear copy of Pan card (Partnership Firm) Clear copy of Address (Partnership Firm) Copy of Partnership Deed along with Registration Certificate Clear copy of Pan card (All Partners) Clear copy of Education Proof (All Partners) Copy of Resident Address Proof (All Partners) Copy of Bank Proof/ Cancel Cheque (Partnership Firm) All Supporting documents of Firm should be attested by all Partners along with rubber stamp All Supporting documents of Partners should be self attested along with rubber stamp All Supporting documents either of Firm or Partners should be truly attested by third party i.e. Notary/ C.A Clear copy of Pan card (Partnership Firm) Clear copy of Address (Partnership Firm) Copy of Partnership Deed along with Registration Certificate Clear copy of Pan card (All Partners) Clear copy of Education Proof (All Partners) Copy of Resident Address Proof (All Partners) Copy of Bank Proof/ Cancel Cheque (Partnership Firm) All Supporting documents of Firm should be attested by all Partners along with rubber stamp All Supporting documents of Partners should be self attested along with rubber stamp All Supporting documents either of Firm or Partners should be truly attested by third party i.e. Notary/ C.A

51. Documentations- Corporate Clear copy of Pan card (Company) Clear copy of Address (Company) Copy of MOA & AOA along with Registration Certificate Clear copy of Pan card (All Directors) Clear copy of Education Proof (All Directors) Copy of Resident Address Proof (All Directors) Copy of Bank Proof/ Cancel Cheque (Company) All Supporting documents of Company should be attested by all Directors along with rubber stamp All Supporting documents of Directors should be self attested along with rubber stamp All Supporting documents either of Company or Directors should be truly attested by third party i.e. Notary/ C.A. Board Resolution Duly signed by all directors. Clear copy of Pan card (Company) Clear copy of Address (Company) Copy of MOA & AOA along with Registration Certificate Clear copy of Pan card (All Directors) Clear copy of Education Proof (All Directors) Copy of Resident Address Proof (All Directors) Copy of Bank Proof/ Cancel Cheque (Company) All Supporting documents of Company should be attested by all Directors along with rubber stamp All Supporting documents of Directors should be self attested along with rubber stamp All Supporting documents either of Company or Directors should be truly attested by third party i.e. Notary/ C.A. Board Resolution Duly signed by all directors.

52. Documentations Do’s & Don’t In Case of CORPORATE: - All documents should be signed by All Directors along with Rubber Stamp AP-3 & AP-4 & AP-5 should be contain the details of All Directors/ Share Holders(only in AP-5) along with their Signature and Photographs In case of Authorized Signatory Board Resolution must be required Authorized Signatory having the power to signed only below documents – 8 Pages check list (MCX) 4 Pages of Frank Agreement, Supporting Documents of Company (Pan card & Address Proof & MOA & AOA) MOA of the Company should be contain the clause i.e. to be deal in COMMODITY DERIVATIVES, if not then a Copy of Board Resolution, Form-23, would be submitted to the ROC duly signed by all Directors. And for Registration Purpose Copy of Board Resolution, Form-23, Copy of Chalan, Certificate of Amendment and new copy of MOA and AOA, would be required Supporting documents of all Directors (i.e. Pan card & Education Proof & Resident Proof) must be required. In Case of CORPORATE: - All documents should be signed by All Directors along with Rubber Stamp AP-3 & AP-4 & AP-5 should be contain the details of All Directors/ Share Holders(only in AP-5) along with their Signature and Photographs In case of Authorized Signatory Board Resolution must be required Authorized Signatory having the power to signed only below documents – 8 Pages check list (MCX) 4 Pages of Frank Agreement, Supporting Documents of Company (Pan card & Address Proof & MOA & AOA) MOA of the Company should be contain the clause i.e. to be deal in COMMODITY DERIVATIVES, if not then a Copy of Board Resolution, Form-23, would be submitted to the ROC duly signed by all Directors. And for Registration Purpose Copy of Board Resolution, Form-23, Copy of Chalan, Certificate of Amendment and new copy of MOA and AOA, would be required Supporting documents of all Directors (i.e. Pan card & Education Proof & Resident Proof) must be required.

53. Documentations Do’s & Don’t B.)In Case of PARTNERSHIP FIRM: - 1.) All documents should be signed by All Partners along with Rubber Stamp 2.)AP-3 & AP-4 & AP-5 should be contain the details of All Partners along with their Signature and Photographs 3.)No any Authorized Signatory would be consider in case of Partnership Firm 4.)Partnership Deed of the Firms should be contain the clause i.e. to be deal in COMMODITY DERIVATIVES, if not then a copy of application containing the clause would be submitted to the ROF duly signed by all Partners. And for Registration Purpose Copy of Supplementary Partnership Deed, Copy of Form-B, Certificate of Amendment, would be required 5.)Supporting documents of all Partners (i.e. Pan card & Education Proof & Resident Proof) must be required. Note: - 1.)The Word STOCK, SHARE, SHARES, SECURITY, SECURITIES would not contain in the name of FIRM/ COMPANY 2.)The MOA & PARTNERSHIP DEED should not be contain the clause for Dealing in Portfolio Management Services (PMS) B.)In Case of PARTNERSHIP FIRM: - 1.) All documents should be signed by All Partners along with Rubber Stamp 2.)AP-3 & AP-4 & AP-5 should be contain the details of All Partners along with their Signature and Photographs 3.)No any Authorized Signatory would be consider in case of Partnership Firm 4.)Partnership Deed of the Firms should be contain the clause i.e. to be deal in COMMODITY DERIVATIVES, if not then a copy of application containing the clause would be submitted to the ROF duly signed by all Partners. And for Registration Purpose Copy of Supplementary Partnership Deed, Copy of Form-B, Certificate of Amendment, would be required 5.)Supporting documents of all Partners (i.e. Pan card & Education Proof & Resident Proof) must be required. Note: - 1.)The Word STOCK, SHARE, SHARES, SECURITY, SECURITIES would not contain in the name of FIRM/ COMPANY 2.)The MOA & PARTNERSHIP DEED should not be contain the clause for Dealing in Portfolio Management Services (PMS)

54. Documentations Do’s & Don’t C.) In case of FEMALE/ MARRIAGE: - 1.)If Applicant Name has been changed after Marriage then copy of Marriage Certificate would be required. 2.)If Marriage Certificate is not available then Marriage Affidavit would be required but for the same Applicant Father Name is matched between Pan card and Education Proof 3.)If Name between Pan card and Education Proof is not matched then copy of Passport would be required, in which name of Father according to Pan card and Passport should be matched with each other 4.)For Example – If Name mention on Pan card is Shyam Kumar Sharma and on Education Proof/ Passport is S.K Sharma, then copy of Marriage Certificate would also be required. And if Marriage Certificate is not available then Marriage Affidavit would also be accepted but a declaration of Father Name would also be required C.) In case of FEMALE/ MARRIAGE: - 1.)If Applicant Name has been changed after Marriage then copy of Marriage Certificate would be required. 2.)If Marriage Certificate is not available then Marriage Affidavit would be required but for the same Applicant Father Name is matched between Pan card and Education Proof 3.)If Name between Pan card and Education Proof is not matched then copy of Passport would be required, in which name of Father according to Pan card and Passport should be matched with each other 4.)For Example – If Name mention on Pan card is Shyam Kumar Sharma and on Education Proof/ Passport is S.K Sharma, then copy of Marriage Certificate would also be required. And if Marriage Certificate is not available then Marriage Affidavit would also be accepted but a declaration of Father Name would also be required

55. List of KDC Document

56. Summery We provide you information about our processes, page wise KYC, Services which offered by us to client as well as RM, KYC Documentation, In Person Verification and Rejection of individual as well as Non-Individual which face by you time to time. We are very thanks full to all of you for providing your valuable time and support and hope we all move forward with a Common GOAL of 0% Rejections. Thanks We provide you information about our processes, page wise KYC, Services which offered by us to client as well as RM, KYC Documentation, In Person Verification and Rejection of individual as well as Non-Individual which face by you time to time. We are very thanks full to all of you for providing your valuable time and support and hope we all move forward with a Common GOAL of 0% Rejections. Thanks