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KYD Form For Individuals

This document contains a Know Your Distributor (KYD) form for individuals working as distributors. The form collects personal details, contact information, qualifications, payment details, asset under management details, regulatory details, and nomination details of the distributor.

Uploaded by

Deepak Goyal
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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101 views5 pages

KYD Form For Individuals

This document contains a Know Your Distributor (KYD) form for individuals working as distributors. The form collects personal details, contact information, qualifications, payment details, asset under management details, regulatory details, and nomination details of the distributor.

Uploaded by

Deepak Goyal
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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KNOW YOUR DISTRIBUTOR (KYD) FORM FOR INDIVIDUALS

PART A – PERSONAL DETAILS:-


FIRST NAME: __________________________________________________________________________

MIDDLE NAME: ________________________________________________________________________

LAST NAME: __________________________________________________________________________

GENDER: Male Female Others

DATE OF BIRTH: ___________

NAME OF ORGANISATION:- ______________________________________________________________


(In case of Sole Proprietorship)

ARN: _____________________________________________________________
(Copy of certificate to be attached)

VALIDITY OF ARN: ______________________________________________________________________

PERMANENT ACCOUNT NUMBER: _________________________________________________________


(PAN card copy to be attached)

GSTIN (OF THE EMPLOYER): ______________________________________________________________


(Attach a copy of the GST Certificate)

NISM PASSING/ CPE Certificate Number: ____________________________________________________


(Copy of certificate to be attached)

VALIDITY OF NISM:- ____________________________________________________________________


PART B - CONTACT AND ADDRESS DETAILS:-

RESIDENTIAL ADDRESS: - ________________________________________________________________

CITY: - _______________________________________________________________________________

PIN CODE: ____________________________________________________________________________

STATE: _______________________________________________________________________________

COUNTRY: ____________________________________________________________________________

CONTACT NUMBER: ____________________________________________________________________

FAX:- ________________________________________________________________________________

OFFICE ADDRESS: ______________________________________________________________________

CITY: - _______________________________________________________________________________

PIN CODE: ____________________________________________________________________________

STATE: _______________________________________________________________________________

COUNTRY: ____________________________________________________________________________

CONTACT NUMBER: ____________________________________________________________________

FAX: - ________________________________________________________________________________

MOBILE NUMBER: ______________________________________________________________________

EMAIL ID: - ___________________________________________________________________________

PART C – QUALIFICATIONAL DETAILS:- (Highest Qualification details only)

COURSE:- _____________________________________________________________________________

UNIVERSITY/INSTITUTE: _________________________________________________________________

YEAR OF COMPLETION: _________________________________________________________________


YEARS OF EXPERIENCE IN CAPITAL MARKETS:
_________________________________________________________________

PART D - PAYMENT DETAILS:-


(Cancelled cheque copy to be attached)

BANK ACCOUNT NUMBER: ______________________________________________________________

TYPE OF ACCOUNT: ____________________________________________________________________

IFSC CODE: ___________________________________________________________________________

BRANCH ADDRESS: _____________________________________________________________________

PART E – MISCELLANEOUS: -

ASSET CLASSWISE AUM DETAILS:

Sr. No. Distribution Services AUM (in lakhs)


1 Mutual Fund
2 Portfolio Management Services
3 Alternative Investment Fund Services
4 Others
TOTAL

TOTAL NO OF CLIENTS :-_____________________________________________

Sr. No. AUM No. of Clients


1 Upto 50 Lacs
2 50 Lacs - 1 crores
3 1 crores – 5 crores
4 5 crores and above
TOTAL

ANY SEBI OR OTHER REGULATORY SANCTIONS IN LAST 3 YEARS (IF ANY): Yes No
(If Yes, please specify the details) _______________________________________________________

PENDING LITIGATIONS (BY OR AGAINST) (IF ANY): Yes No


(If Yes, please specify the details) _______________________________________________________
DETAILS OF Number of CLIENT COMPLAINTS:-

Category of Complaints Last 3 years Current Financial Year


Performance Related
Mis-selling
Routine Queries
Others

I hereby declare that whatever has been stated above is true to the best of my knowledge, correct and
nothing material has been concealed there from. I hereby undertake to abide by the Code of Conduct
for Distributors of Portfolio Management Services at all the times.

_____________
Sign of Distributor

Date:
Place:
NOMINATION FORM

To ASK Investment Managers Limited.

I/We do hereby nominate the following person, whom on My/Our death, the amount payable to Me/Us
in respect of the commission canvassed by Me/Us as may be specified shall vest and to whom such
amount shall then be payable subject to KYC requirements as may be prescribed at that point of time.

NOMINEE DETAILS:

Shri/Smt/Kumari: _____________________

Address of Nominee:

Date of birth of Nominee

Relationship with Nominee:

_____________
Sign of Distributor

Date:
Place:

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