NRI Form Ver5
NRI Form Ver5
NRI Form Ver5
I/We wish to open a new Non Resident Indian (NRI) Demat & Trading Account with Axis Securi es Ltd.
2. Please ck, if applicable Poli cally Exposed Person (PEP) Related to (PEP)
3. Trading Preference (Exchanges & Segments ) (Tick) (Segment not chosen should be struck off)
5. Bank Details for Dividend Purpose & Debi ng Charges (for Demat) & Trading A/c
NRE A/c
NRO Ac
NRE RBI Reference No.: RBI Approval Date
PIS A/c Details
A/c No. Scheme Code
I/We request you to send electronic transac on cum holding statement at the email ID Yes No
I/We would like to instruct the DP to accept all the pledge instruc ons in my/our account without any further
instruc on from my or our end (if not marked the default op on would be “No”) Yes No
I/we hereby state : I do not have GST Number I have GST Number as____________ Name of State_____________________
SMS alerty facility ( Mandatory if POA is given ) Mobile Number : +91- Same as men oned in KYC form
I/We read & understood the terms & condi ons and wish to avail the following plan
(Pl. ck) Fixed Brokerage Plan Demat Tariff for retail Other
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also
1. Name of the Applicant
3. c. Date of Birth
6. Specify the proof of Iden ty submi ed: PAN Card Any Other (Please Specify)
State Country
Fax No.
Tel. (Res.)
Mobile No.
E-mail ID
4. Permanent Address (If different from above. Mandatary for Non-Resident Applicant to specify overseas address)
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief, and I undertake to inform you of any changes
therein, immediately, In case any of the above informa on is found to be false or untrue, or misleading or miscrepresen ng. I am aware that I may be held
liable for it.
Date:
c. Name of Organisa on
e. Date
KYC KRA CONFIRMATION
I have already done my KYC KRA registra on/documenta on through a SEBI registered intermediary Yes No
BANK ACCOUNT (DETAILS)
NRE SB Account NRO SB Account
Name of Bank: Name of Bank:
Bank A/c No.: Bank A/c No.:
Type of Account: Type of Account:
Cust. Id: Cust. Id:
MICR Code: IFSC Code: MICR Code: IFSC Code:
Branch Address: Branch Address:
I/We hereby agree to ra fy and confirm the acts of the said a orney done lawfully or cause to be done by virtue of these presents.
The A orney and/or the DP is authorized to send to me / us consolidated summary of scrip wise buy and sell posi ons taken by
me/us with average rates by way of short messaging services or e-mails on a daily basis. The Bank / DP accordingly is authorized
and has consented to follow the instruc ons of my/our said A orney with respect to the powers set forth with respect to my/our
Bank Account / Securi es Account.
The A orney may appoint and remove at its discre on any authorized signatories for or under the A orney in respect of all or any
of the ma ers contained herein upon such terms and condi ons as the A orney may think fit.
The A orney may request the DP to mark a hold on the required securi es balances so that the actual transfer of securi es
towards margin/se lement obliga ons, could take place in a seamless manner. The Stock Broker shall return to me/us the
Securi es or funds that may have been received by it erroneously or those securi es or funds that it was not en tled to receive
from me/us.
This Power of A orney (POA) shall con nue in full force and effect un l the A orney shall receive in ma on of revoca on or in
the event of termina on thereof by my/our death un l the A orney shall have received actual in ma on thereof. The A orney
shall not act on any instruc ons received subsequent to the in ma on of such revoca on. However such revoca on shall not be
applicable for any outstanding se lement/margin obliga on arising out of the transac on carried out prior to receiving request
for revoca on of Power of A orney.
To induce any depository, stock exchange, clearing corpora on/house, mutual funds, body corporates, banks, approved
intermediaries and registrars and share transfer agents (hereina er collec vely referred to as “Transfer Agent”) or other third
party to act, I/We hereby agree that any Transfer Agent or other third party receiving a cer fied true copy of this Power of
A orney may act upon it, and that revoca on or termina on hereof shall be ineffec ve as to such Transfer Agent or other third
party , unless and un l actual no ce or knowledge of such revoca on or termina on shall have been received by such Transfer
Agent or other third party.
I/We do hereby agree that in case the cons tu on is changed in case of non individual client, I/we shall execute a fresh POA to
the sa sfac on of the Stock Broker.
I/We specifically agree that any ma er or issue arising hereunder shall be governed by and construed exclusively in accordance
with the Indian laws, In respect of disputes arising out of transac ons or ma ers governed by the relevant stock exchange(s), the
same shall be subject to the regional arbitra on centres of the relevant stock exchange(s). In all other cases, disputes shall be
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subject to the jurisdic on of the courts at Mumbai in India.
This Power of A orney does not intend to give any exclusive rights to operate to Stock Broker on the Bank Account and / or the
Securi es Account. The Stock Broker as my / our cons tuted A orney may seek from the DP/Bank informa on regarding
my/our funds/Securi es balances for the transac ons effected / to be effected be me/us or on behalf of me/us through the Stock
Broker and the Stock Broker may also provide transac on informa on to DP/Bank, from me to me , in order to complete
se lement of transac on. In case of merger/demerger of ASL with another en ty/into another en ty, the scheme of
merger/demerger should be approved by High Court and one month prior in ma on given to me/us about the corporate
restructuring to facilitates me/us to con nue or discon nue with ASL.
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i.The Joint Account Holder(s) authorize the DP to honour all instruc ons received from the Stock Broker pursuant to this power of
a orney.
ii. In case of death, disability, winding up or liquida on of any Joint Account Holder, the surviving Joint Account Holder/s and/or
the heirs, nominees, executors, administrators, liquidator, successors and legal representa ves of the Joint Account Holder who
has died or been disabled, dissolved, wound up or liquidated shall forthwith inform the Stock Broker of the same in wri ng. This
power of a orney shall not be revoked as regards such Joint Account Holder on account thereof for all pending obliga ons and
dues of the client towards the Stock Broker un l the same have been fulfilled to the sa sfac on of the Stock Broker and shall
con nue to subsist and bind(and shall be deemed to have been given by) the heirs, executors, administrators, liquidator,
successors or legal representa ves of such Joint Account Holder, and the Stock Broker in the capacity of a broker shall be en tled
to con nue to act on the basis hereof.
iii. In the event of any change in the number, nature of securi es and/or the ISIN number of the securi es(during any period in
which any securi es are blocked/pledged pursuant to this power of a orney), as a consequence of any corporate ac on of the
concerned company implemented by the Depository, the Stock Broker as an A orney shall be en tled to accordingly modify the
block/pledge created to accommodate the changes in the ISIN number , the number / nature / quan ty of securi es maintaining
the block/pledge at the same percentage of the share capital of the company as originally blocked.
Any other Account(s) of the Stock Broker subs tuted for or in addi on to the above as may be no fied on the website and/or by way
of electronic mail and as decided by the Stock Broker from me to me. In case of any changes in the Bank and Demat accounts, the
same shall be communicated accordingly
The execu on of this document by the client is voluntary. However in case the client wish to avail of online trading services with the linkage of Broking, bank and demat
account, then execu on of this document by the client is required in order to facilitate seamless and hassle free trading and se lement of transac ons.
1. The Client shall maintain such Margin as may be s pulated by Axis Securi es Limited (ASL) from me to me. In case the Client does
not provide the required Margin within the me frame s pulated by ASL, then ASL shall take such other ac on as it may think fit and
proper. ASL may require the Client to pay addi onal Margin immediately in case of high vola lity.2. The Client undertakes to monitor
the adequacy of the collateral and the market value of such collateral on a con nuous basis.3. ASL as risk containment measure shall
have the discre on to square off/sell all or some of the client posi ons/collaterals/securi es, without any no ce to the client. 4. The
Client is responsible for all orders, including any orders that may be executed without the required Margin in the Client's account.5.ASL
shall have the discre on to allow or disallow trading by the client in certain scrips/contracts/products/services.6. No transac on
request shall be assumed to be executed / modified un l a confirma on from ASL is received by the Client.7. The client authorizes ASL
to close out the transac on in case the Client fails to make full payment to ASL or if there is debit in client's account with ASL. Also, ASL
may square off open client's margin/leveraged posi ons in case the scrip price is nearing its daily price band or due to any adverse
development concerning the client's posi on or scrip.8. The client agrees that ASL shall not be liable for non-execu on or delay in the
execu on of any order due to system/network issue or due to any reason beyond the control of ASL.9. The client shall pay to ASL
outstanding debit balance if any in his/her account from me to me without any delay. In case of delay, interest on delayed payment
@ 18% per annum shall be charged on outstanding amount including on interest amount already charged.10. The losses incurred on
client's account will be to the account of the client only. Neither ASL nor any of its employees/agents shall in any circumstances be
liable for any loss, lost profits, cost, liability, expense or damage occurred to the client.11. The client authorizes ASL to obtain details in
rela on to the transac ons and balances in respect of the securi es held in his/her demat account for the purpose of colla ng and
displaying details in the personalized por olio watch page. The client acknowledges that the services under 'Por olio Watch' being
provided are as an add on facility and for client convenience only and ASL shall not be liable for any inaccurate display of data due to any
unintended error etc.12. The client authorizes ASL to deposit from me to me client's collateral and deposits with the
Exchanges/Clearing Corpora on for mee ng client's margin requirements and other obliga ons.13. The client authorises ASL to
provide the communica ons through SMS and/or telephone calls on the registered mobile number(s), even if the clients contact
number is registered with the Na onal Do Not Call Registry etc. The client confirms that he/she shall not make any complaint to the
TRAI/Service provider in rela on to any call/communica ons received from ASL and shall not hold ASL liable.14. The client authorizes
ASL to place Mutual Fund transac ons as per the instruc ons provided.15. The client authorise ASL to set off outstanding in any of the
account of the client against credits available or arising in any other account/segments/exchanges maintained with ASL.16. The client
authorizes ASL to use the client account details / KYC details /Bank Debit card details/registered telephone numbers/TPIN etc. as
method of verifica on of the client's iden ty as the caller and then take orders, instruca ons from the caller over the phone. All such
orders, instruc ons etc. shall be deemed to have been placed by the client and biding on the client.17. The Client acknowledges that
he/it is fully aware of and understands the risks associated with availing of the services for rou ng orders over the telephone including
the risk of misuse and unauthorized use of his/its details and/or username and/or TPIN and/or Bank Debit card details by a third party.
The Client agrees that he/it shall be fully liable and responsible for any and all unauthorized transac ons and unauthorized use of the
above.18. The client shall not have recourse to dispute redressal mechanism/arbitra on mechanism/investor protec on schemes of
the Stock Exchanges/SEBI, in case the client avails services under any schemes/leagues/compe ons etc. offered by any third
party/group company/associate of ASL, and concerning such services.19. The client agrees that non-receipt of bounced mail
no fica on by ASL shall amount to delivery of the contract note at the email ID of the client.20. The Trading Member may keep the
unu lized margin deposits of the client in bank deposits. However, no interest shall be passed on the client earned for such
deposits.21. I have opted to receive Part B comprising of Rights & Obliga ons (Trading and Demat separately), Uniform Risk Disclosure
document and Guidance Note etc. in the form of Physical Electronic (If the applicant does not select the check box, default
op on is physical for forms received in Physical and Electronic for others).22. I/We hereby expressly consent to and authorize Axis
Securi es Limited (whether ac ng by itself or whether in an automated manner or otherwise), to seek/share my personal informa on
regarding my demat bank account from/with Axis Bank Limited including details of transac ons. effected by me/us, and
Funds/Securi es (demat account) balances in rela on of the securi es held in my/our name, for the purposes of displaying such details
on app/website of Axis Bank for the sake of my convenience and be er viewing experience of my account balances on one pla orm,
and for comple ng se lement of transac ons.
I/We hereby authorise ASL as follows, in respect of my/our trading account with ASL:
To maintain my account, on a running account basis,i.e. instead of paying to me/us any amounts or securi es represen ng payouts,
se lement dues, marked to marked profits on the se lement date to retain, withhold, set-off and/or appropriate for such purposes and in
such manner as ASL may deem fit, including towards se ling outstanding obliga ons on a se lement date. I/We understand and agree
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that no interest will be payable to me/us on the deposits or amounts or securi es lying to my/our credit with ASL. This authoriza on may
be revoked by me/us at any me by giving ASL wri en in ma on.
I/We request you to se le my/our account on a Monthly Quarterly basis (If the client does not select the checkbox, default op on
is Quarterly)
I hereby authorize you to honour all claims in the form of contract notes for purchases received from my share broker
M/s Axis Securi es Limited having SEBI Registra on no. INZ000161633 and its registered office at Axis House, 8th Floor,
Wadia Interna onal Centre, Pandurang Budhkar Marg, Worli, Mumbai-400025. who have been authorized by me/us to execute
sale and purchase transac ons of shares on my/our behalf.
I hereby authorize you to debit my NRE account no to the equivalent value of the purchase contract
received from the aforesaid Stock broker and issue a banker's cheque favoring my above men oned Stock Broker / transfer to the
above men oned broker's account for the purchase value as and when such purchase contract are presented by the above broker to
the Bank.
I further authorize you to accept and credit to my account cheques / transfer received from the said broker represen ng sale
proceeds of shares sold on my behalf.
I hereby authorize you to disclose the outstanding balance in my above account to my above men oned broker whenever required
by them. I hereby authorize you to debit my SBNRE account No. on account of purchase of NONPIS
shares and for recovery of your charges on account of NONPIS transac ons.
I hereby solemnly declare that I, my legal heirs, executors agree to indemnify and keep indemnified AXIS Bank from any claims of any
nature including damages for following such a transac on based on this Le er of Authority.
I further confirm that I shall not raise any objec on or a claim against AXIS Bank for ac ng on such instruc ons and in debi ng and
credi ng my account. I confirm that I shall ra fy all the credits and debits which AXIS Bank may carry out based on the instruc ons of
this Le er of Authority and it shall be deemed as if the said transac ons have been carried out by me.
I confirm that this Le er of Authority shall remain binding and irrevocable ll such me this said Le er of Authority is revoked in
wri ng by me. I confirm that notwithstanding the revoca on AXIS Bank shall con nue to be indemnified for all the ac ons done
prior to the said revoca on.
I hereby authorize you to honour all claims in the form of contract notes for purchases received from my share broker
M/s Axis Securi es Limited having SEBI Registra on no. INZ000161633 and its registered office at Axis House, 8th Floor,
Wadia Interna onal Centre, Pandurang Budhkar Marg, Worli, Mumbai-400025. who have been authorized by me/us to execute
sale and purchase transac ons of shares on my/our behalf.
I hereby authorize you to debit my NRO account no to the equivalent value of the purchase contract
received from the aforesaid Stock broker and issue a banker's cheque favoring my above men oned Stock Broker / transfer to the
above men oned broker's account for the purchase value as and when such purchase contract are presented by the above broker to
the Bank.
I further authorize you to accept and credit to my account cheques / transfer received from the said broker represen ng sale
proceeds of shares sold on my behalf.
I hereby authorize you to disclose the outstanding balance in my above account to my above men oned broker whenever required
by them. I hereby authorize you to debit my SBNRO account No. on account of purchase of NONPIS
shares and for recovery of your charges on account of NONPIS transac ons.
I hereby solemnly declare that I, my legal heirs, executors agree to indemnify and keep indemnified AXIS Bank from any claims of any
nature including damages for following such a transac on based on this Le er of Authority.
I further confirm that I shall not raise any objec on or a claim against AXIS Bank for ac ng on such instruc ons and in debi ng and
credi ng my account. I confirm that I shall ra fy all the credits and debits which AXIS Bank may carry out based on the instruc ons of
this Le er of Authority and it shall be deemed as if the said transac ons have been carried out by me.
I confirm that this Le er of Authority shall remain binding and irrevocable ll such me this said Le er of Authority is revoked in
wri ng by me. I confirm that notwithstanding the revoca on AXIS Bank shall con nue to be indemnified for all the ac ons done
prior to the said revoca on.
I hereby authorize you to honour all claims in the form of contract notes for purchases received from my share broker
M/s Axis Securi es Limited having SEBI Registra on no. INZ000161633 and its registered office at Axis House, 8th Floor,
Wadia Interna onal Centre, Pandurang Budhkar Marg, Worli, Mumbai-400025. who have been authorized by me/us to execute
sale and purchase transac ons of shares on my/our behalf.
I hereby authorize you to debit my NREPIS / NROPIS account no. to the equivalent value of
the purchase contract received from the aforesaid Stock broker and issue a banker's cheque favoring my above
men oned Stock Broker / transfer to the above men oned broker's account for the purchase value as and when such
purchase contract are presented by the above broker to the Bank.
I further authorize you to accept and credit to my account cheques / transfer received from the said broker
represen ng sale proceeds of shares sold on my behalf.
I hereby authorize you to debit my SBNRE / SBNRO account no. with highest balance and
transfer the funds to my above NREPIS / NROPIS account as and when funds are required on account of purchase of
shares through secondary markets and for recovery of charges / tax rela ng to my PIS accounts.
I shall report all secondary market transac ons done through SEBI registered Stock Broker on recognized stock
exchange and on the same day arrange to submit the original contract note of the transac ons to the Bank from such
Stock Broker.
I hereby solemnly declare that I, my legal heirs, executors agree to indemnify and keep indemnified AXIS Bank from any
claims of any nature including damages for following such a transac on based on this Le er of Authority.
I further confirm that I shall not raise any objec on or a claim against AXIS Bank for ac ng on such instruc ons and in
debi ng and credi ng my account. I confirm that I shall ra fy all credits and debits which AXIS Bank may carry out
based on the instruc ons of this Le er of Authority and it shall be deemed as if the said transac ons have been carried
out by me.
I confirm that this Le er of Authority shall remain binding and irrevocable ll such me this said Le er of Authority is
revoked in wri ng by me.
I confirm that notwithstanding the revoca on AXIS Bank shall con nue to be indemnified for all the ac ons done prior
to the said revoca on.
I hereby authorize you to allow my above men oned broker to have a “view only” access to my PLS account through i-
connect.
I hereby authorize you to disclose the outstanding balance in my above account/s to my above men oned broker
whenever required by them.
Date:-
To,
Axis Bank Limited,
PIS opera ons Team,
Mumbai.
Dear Sir / Madam,
Subject: - Revoca on of Le er of Authority/Mandate/given to M/S____________________________________________
Please be advised that, with immediate effect M/s ________________________________________ is no longer authorized
to handle any of my trade transac ons on my behalf. I have revoked their authority and have also no fied the same to them.
You are requested NOT to honor any transac ons ini ated/given by M/s _______________________________________ on
my behalf. Accordingly, you should immediately make a nota on in your records to reflect the fact that
M/s ___________________________ has no more power to execute my trades.
You are also requested not to grant access to any of details or any of my personal informa on to them.
Incase of any further any clarifica ons on this ma er, please contact me on below numbers. My account details are as below.