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1 Guidelines for Filling up the Well India Individual AOF.

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Presentation on theme: "1 Guidelines for Filling up the Well India Individual AOF."— Presentation transcript:

1 1 Guidelines for Filling up the Well India Individual AOF

2 2 Please ensure that the forms are complete in all respect and copies of required documents are attached. Please ensure that the forms are complete in all respect and copies of required documents are attached. Please use CAPITAL LETTERS in filling up the forms, writing one alphabet in each box provided and leaving a box blank between two words Please use CAPITAL LETTERS in filling up the forms, writing one alphabet in each box provided and leaving a box blank between two words Please authenticate any alterations/ corrections made on the AOF. Please authenticate any alterations/ corrections made on the AOF. Complete address along with proof of the same is required Complete address along with proof of the same is required Original documents will be required for verification at the time of submission. Original documents will be required for verification at the time of submission. All documents should be dated and signed by all constituents (First/Sole holder, Second holder, Third Holder, Nominee, Witness) as required at designated spaces in the forms and agreements. All documents should be dated and signed by all constituents (First/Sole holder, Second holder, Third Holder, Nominee, Witness) as required at designated spaces in the forms and agreements. Please paste and sign across photographs for all holders/nominee/guardian in Equity & Depository AOF. Please paste and sign across photographs for all holders/nominee/guardian in Equity & Depository AOF. Proof of Identity and address is mandatory for all joint holders. Proof of Identity and address is mandatory for all joint holders. For Depository service, all communication will be sent to the address of First/Sole holder only. For Depository service, all communication will be sent to the address of First/Sole holder only.

3 3 Trading account cannot be opened in joint names. If members of a family wish to open separate accounts, each member should fill up a separate form. Trading account cannot be opened in joint names. If members of a family wish to open separate accounts, each member should fill up a separate form. Trading account cannot be opened in the name of Minors. Trading account cannot be opened in the name of Minors. Client agreement and application for nomination (Depository account) should be witnessed and should bear the signature name and address of the witness. Client agreement and application for nomination (Depository account) should be witnessed and should bear the signature name and address of the witness. ID and at least 1 telephone number is mandatory for all clients. ID and at least 1 telephone number is mandatory for all clients. Mobile Number should required for Demat AOF Mobile Number should required for Demat AOF Signatures can be in English or Hindi or any of the other languages contained in the 8th schedule of the Constitution of India. Signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate under his/her official seal. Signatures can be in English or Hindi or any of the other languages contained in the 8th schedule of the Constitution of India. Signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate under his/her official seal. Signatures should preferably be in BLACK INK. Signatures should preferably be in BLACK INK. In case of additional signatures (For accounts other than individuals), separate annexure should be attached to the application form. In case of additional signatures (For accounts other than individuals), separate annexure should be attached to the application form.

4 4 In case of applications under a Power of Attorney, the relevant Power of Attorney or the certified and duly notaries copy thereof must be lodged along with the application. In case of applications under a Power of Attorney, the relevant Power of Attorney or the certified and duly notaries copy thereof must be lodged along with the application. Strike off whichever option is not applicable on the forms. Strike off whichever option is not applicable on the forms. Please choose the segment you want to trade in by ticking against it. Please choose the segment you want to trade in by ticking against it. In the event of any over writing, you must counter sign the correction. In the event of any over writing, you must counter sign the correction. White fluid not allowed for any correction in AOF. White fluid not allowed for any correction in AOF.

5 5 For office use only Page No. 1 Branch Code & Facility Applied For Introducer / BP / BDR Name Employee / BP / BDR Code Signature (Mandatory)

6 6 COMMON INFORMATION PERTAINING TO CLIENT Personal Details Applicant’s personal details are captured in this section.Applicant’s personal details are captured in this section. Following details should be same as given in PAN Card NameName Date of BirthDate of Birth PAN NoPAN No Following details are mandatory: NameName Date of BirthDate of Birth GenderGender Marital StatusMarital Status PAN No.PAN No. NationalityNationality Occupation TypeOccupation Type Applicant’s contact details are captured in this section. Foreign Address mentioned should be the same as proof providedForeign Address mentioned should be the same as proof provided Following details are mandatory:Following details are mandatory: AddressAddress id & Mobile Number id & Mobile Number Work AddressWork Address You can also state your preferred mailing address & contact numberYou can also state your preferred mailing address & contact number

7 7 Applicant’s bank details are captured in this section. Bank nameBank name Branch address, as per cancel cheuqe / statement / passbookBranch address, as per cancel cheuqe / statement / passbook Bank account numberBank account number Account TypeAccount Type IFSC or MICR codeIFSC or MICR code In case, Depository account already opened, Mention DP nameMention DP name DP IDDP ID Beneficiary NameBeneficiary Name Beneficiary IDBeneficiary ID

8 8 Following details are mandatory: Organization Name / Complete address / Contact detailsOrganization Name / Complete address / Contact details Annual Income (Tick any one)Annual Income (Tick any one) Annual Income should be same as per the latest Income Tax receipt / Form 16Annual Income should be same as per the latest Income Tax receipt / Form 16

9 9 Applicant’s account & Investment/Trading details are captured in this section: Investment/Trading Experience Details Trading Preference Signature to be within the white box provided (which you wish to trade)

10 10 Registered with any other Broker / Sub-BrokerRegistered with any other Broker / Sub-Broker If yes, Filled the broker name, address & client codeIf yes, Filled the broker name, address & client code

11 11 Introducer details mandatory for equity account: - At least – Name & address & PAN no filled on above mention filledAt least – Name & address & PAN no filled on above mention filled Name & Designation of employee, who interview the client & SignatureName & Designation of employee, who interview the client & Signature

12 12 Following Agreement need to be signed & proper details filled, as per requirement:- Member – Client Agreement – NSE (Page # 7)Member – Client Agreement – NSE (Page # 7) Member – Client Agreement – BSE (Page # 10)Member – Client Agreement – BSE (Page # 10) Tripartite Agreement Between Stock Broker, Sub-Broker and Client – NSE (Page # 13)Tripartite Agreement Between Stock Broker, Sub-Broker and Client – NSE (Page # 13) Tripartite Agreement Between Stock Broker, Sub-Broker and Client – BSE (Page # 17)Tripartite Agreement Between Stock Broker, Sub-Broker and Client – BSE (Page # 17) Policies & Procedure (Page # 21)Policies & Procedure (Page # 21) Combined Risk Disclosure Document (NSE / BSE) {Page # 25)Combined Risk Disclosure Document (NSE / BSE) {Page # 25) Investors’ Rights and Obligation : Annexure- 1 (Page # 28)Investors’ Rights and Obligation : Annexure- 1 (Page # 28) Member Constituent Agreement – MCX – SX Currency Derivative (Page # 30)Member Constituent Agreement – MCX – SX Currency Derivative (Page # 30) Combined Risk Disclosure Document for Currency Derivatives Segment (Page # 33)Combined Risk Disclosure Document for Currency Derivatives Segment (Page # 33) Investors’ rights and obligation for currency derivative segment (Page # 36)Investors’ rights and obligation for currency derivative segment (Page # 36) Disclosure for Proprietary Trade (Page # 37)Disclosure for Proprietary Trade (Page # 37) Supplemental Member – Client Agreement – BSE (IRORS Trading) {Page # 38)Supplemental Member – Client Agreement – BSE (IRORS Trading) {Page # 38) Member – Client Agreement for Internet Trading – NSE (Page # 43)Member – Client Agreement for Internet Trading – NSE (Page # 43) Contract between WELLINDIA & CLIENT (Page # 45)Contract between WELLINDIA & CLIENT (Page # 45) Running account authorisation (Page # 51)Running account authorisation (Page # 51) Authorisation for Electronic Contract Notes (Page # 52Authorisation for Electronic Contract Notes (Page # 52

13 13 At least one witness required form Client side (Mandatory) Client signature required of all mention place Name mention as per PAN card Address as per provide documents

14 14 APPLICATION FORM FOR OPENINGA DEMAT ACCOUNT

15 15 Type of Account (Please tick whichever is applicable)

16 16 Sole / First Holder Details Applicant’s personal details are captured in this section.Applicant’s personal details are captured in this section. Following details should be same as given in PAN Card NameName Date of BirthDate of Birth PAN NoPAN No Following details are mandatory: NameName Date of BirthDate of Birth GenderGender Marital StatusMarital Status PAN No.PAN No. NationalityNationality Occupation TypeOccupation Type id & Mobile Number id & Mobile Number Occupation typeOccupation type Nature of BusinessNature of Business Financial Details (Income Range)Financial Details (Income Range)

17 17 Applicant’s contact details are captured in this section. Foreign Address mentioned should be the same as proof providedForeign Address mentioned should be the same as proof provided Following details are mandatory: AddressAddress You can also state your preferred mailing address & contact number

18 18 SMS alert facility as per CDSL, (required)SMS alert facility as per CDSL, (required) Easi facility is optionalEasi facility is optional Credit instruction from me/us accountCredit instruction from me/us account Account statement requirementAccount statement requirement ECS facility - Dividend / interest directly into your bank accountECS facility - Dividend / interest directly into your bank account Applicant’s bank details are captured in this section. MICR codeMICR code Bank nameBank name Branch address, as per cancel cheque / statement / passbookBranch address, as per cancel cheque / statement / passbook Bank account numberBank account number Account TypeAccount Type

19 19 Nomination in BO accounts made compulsory With reference to CDSL communiqué No.1424 dated January 16, 2009 Wish to nominate or do not wish nominate (tick any one) Proper filled : - Nominee Name Address id Contact No. Acknowledgement receipts, give the clients

20 20 Power of Attorney: - BO Name BO account # One Witness should be compulsory form client side (with signed & filled properly)

21 21 COMPULSORY REGISTRATION FOR THE SMS ALERT FACILITY FOR DEMAT ACCOUNTS WITH REGISTERED POWER-OF-ATTORNEY With reference to CDSL communiqué No. CDSL/OPS/DP/1574, May 12, 2009 Filled properly & signed by client : - Mobile number is registered in the name of : - ID : -

22 22 Depository Schedule Rate

23 23 In Person Verification is mandatory for account opening forms

24 24 Electronic Clearing Services is mandatory form Client NameClient Name Bank NameBank Name Bank Branch NameBank Branch Name MICR Code & Account type is properly filled in this formMICR Code & Account type is properly filled in this form

25 25 BROKERAGE SLAB Please clearly mention brokeragePlease clearly mention brokerage Client signature requiredClient signature required

26 26 Note: - Note: - All supporting documents should be self attested by client. All supporting documents should be self attested by client. All supporting documents should be Original Seen Verified (OSV) & In Person Verification (IPV) All supporting documents should be Original Seen Verified (OSV) & In Person Verification (IPV) Account Opening Fees Rs. 500/- is required (Original Cheque). Account Opening Fees Rs. 500/- is required (Original Cheque). Please note that any query related to KYC, Documentation & any account opening must be forwarded & contact to: - Mr. Deepak Mehra & Mr. Rajeev Jain, Landline & , Mobile No & , Id- Id- &

27 27 Note: - If any modification or changing for client account, please filled the format for modification and signed by the client.

28 28 Thanks


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