Preliminary Checks
1. The KYC Application Form (KAF) or Change Request Form (CRF) should be filled as per instructions – i.e. in legible block letters with each letter in appropriate box provided.
2. Applicant has filled in all the required information as per the KAF Instructions.
3. There is no overwriting in the KAF. Any overwriting in the application form is counter signed by the applicant.
4. In case any information is struck off, then the applicant has signed the same and the signature matches with the signature in the signature block.
5. PAN field is not left blank by the investor and copy of PAN card copy should be submitted.
6. If the applicant name in the KAF does not match with the PAN card name then additional document for proof of identity should also be provided.
7. Additional documents of proof (PAN, Proof of Identity & Proof of Address) should be provided on A4 size paper and one-sided copy only.
8. Applicant submits Proof of Identity & Proof of Address as per list of admissible documents – list mentioned in this document and also available on the KAF / CRF. In case of change in name by the applicant, POI for the new name should be submitted and POA would be required if the applicant wishes to change any of the addresses.
9. Copies of all documents submitted are legible and signed by the applicant.
10. There is no prima facie evidence to suspect tampering with the original documents or the copies submitted by applicant.
11. When the applicant does not submit the original document for verification, the copies should be properly attested by entities authorized to attest the copy as per the list of persons authorised for attestation (Annexure). In such case, the attested copy submitted should be original. Photocopy of attested document would not be acceptable as Proof.
12. When the Present Address is other than the Current / correspondence address, proof is required for both the addresses. In case the applicant has written the same address at both the places instead of writing “SAME AS ABOVE’, only one proof for the address provided would be sufficient.
13. When documents like Passport, Driving License carrying an expiry date is submitted as proof, the document must be current on the date of acceptance. |
