Instruction for filling the documents related to Authorised Person
Name of Member:
Member id:
Name of Authorised Person:
Sr.
No.
(1)
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.
Document
Ref. No.
AP-1
Application Form for Appointment of Authorised Person
All the pages of the Application Form are on letter head of
member and each page is signed by the Member(should
be certified by Proprietor / Karta /Managing Partner/
Designated Directors/authorised signatory who are on
records of Exchange)
Point no. 1-Applicant name of proposed Authorised Person
is mentioned and matches with PAN card.
Point no.2-Trade name if any, of the proposed Authorised
Person is mentioned.
Name and Trade name of the proposed Authorised Person
matches with all the other documents.
Point No. 3 – Constitution of proposed Authorised Person
is mentioned.
Point No. 4 – Nationality of proposed Authorised Person is
mentioned.
Point No. 5 – Date of Incorporation/Registration as per the
ROC Certificate/ Certificate from Registrar of Co-operative
Society / firm registration certificate is mentioned and
matches with the documents submitted.
Point No. 6 – Date of birth in case of Individual is
mentioned and matches with the proof submitted.
Point No. 7 –Complete Address, city, state, pin code, STD
Code. Tel No, Fax No., Mobile No and Email Id is
mentioned and matches with the proof submitted.
Point No. 8 –Name and designation of Contact Person in
Authorised Person’s office is mentioned.
Point No. 9– Income Tax Permanent Account No.(PAN) of
Authorised Person is mentioned and matches with the
PAN card submitted.
Point No. 10– Details of Infrastructure of Authorised
Person (location wise) submitted.
In case of more than one location, separate annexure is
provided with all the required details.
Required details are mentioned in all the points with
respect to the appointment of authorised person.
Signature of Member
Name of Member
1
Submitted
(Yes /No/N.A)
Particulars
Signature of Authorised Person
Name of Authorised Person
Signatur
e
Sr.
No.
Document
Ref. No.
Whether the name of the member, date, place, stamp of
member and signature of proprietor/karta/managing
partner/designated directors/authorised signatory who
are on records of Exchange of member is there on the last
page of application.
Application is in prescribed format of the Exchange
xv.
xvi.
(2)
AP-2
Undertaking from Member
i.
All the pages of the Undertaking are on the letter head of
the member.
ii.
Undertaking is in the format prescribed by the Exchange
iii.
Required details are mentioned in point no. 2,3,5,6,7 and
21.
Whether name and signature of designated
director/managing partner / Individual / proprietor
/karta/authorised signatory who are on records of
Exchange of member is there on both the pages of
undertaking.
Whether date, place, name & signature of designated
director/managing partner / Individual / proprietor /karta/
authorised signatory who are on records of Exchange and
seal of member is there on the last page of undertaking.
iv.
v.
(3)
AP-3
Details of Directors/ members of Managing Committee
/Governing Body/ Directors of Co-operative Society
/Partner/Individual of Authorised Person
i.
The documents submitted is on the letter head of
Authorised Person
ii.
All the columns filled
iii.
Name of the Authorised Person and as on date is
mentioned
Signature of Member
Name of Member
2
Submitted
(Yes /No/N.A)
Particulars
Signature of Authorised Person
Name of Authorised Person
Signature
Sr. Document
Ref. No.
No.
iv.
Submitted
(Yes /No/N.A)
Particulars
All the initials are expanded wherever applicable.
v.
The details submitted are in the prescribed format of the
Exchange.
vi.
Details mentioned matches with the application form and
proofs submitted.
vii.
The details are certified by the Director / members of
Managing Committee /Governing Body/ Directors of Cooperative Society / Partner / Individual under the rubber
stamp of company / firm /trade name.
viii.
Details of Director/ members of Managing Committee
/Governing Body/ Directors of Co-operative Society /
Partners/Individual submitted is certified by Chartered
Accountant along with rubber stamp of C.A. Firm, name of
the CA firm, name of partner/proprietor and his
Membership number.
ix
Photograph of all the Directors/ members of Managing
Committee /Governing Body/ Directors of Co-operative
Society /Partner/Individual are affixed and self-attested.
x
Signature of the member is there below the photographs
are affixed (should be certified by designated
director/managing partner / Individual / proprietor
/karta/authorised signatory who are on records of
Exchange).
(4)
AP-4
Undertaking by Authorised Person
i.
Undertaking is on the letter head of Authorised Person
ii.
The Undertaking is in the format prescribed by the
Exchange.
iii.
Required details are mentioned in the Undertaking
iv.
Whether date, place, name & Signature of all directors / all
partners / Individual and seal is there at the end of the
undertaking.
Signature of Member
Name of Member
3
Signature of Authorised Person
Name of Authorised Person
Signature
Sr.
No.
Document
Ref. No.
(5)
AP-5a
Submitted
(Yes /No/N.A)
Particulars
Shareholding Pattern (For Corporate & Co-operative
Society Authorised Persons)
i
Shareholding Pattern submitted is in the prescribed format
of the Exchange.
ii
Shareholding Pattern submitted is on the letter head of
the Authorised Person
iii
All the required details are mentioned in the shareholding
pattern submitted.
iv
Shareholding Pattern submitted is certified by the Director
under the rubber stamp of the company/ Co- operative
Society
v
Shareholding Pattern submitted is certified by Chartered
Accountant along with rubber stamp of C.A. Firm, name of
the CA firm, name of partner / proprietor and his
Membership number.
(6)
i.
ii.
iii.
iv.
v.
AP-5b
Sharing Pattern (For Partnership firm/LLP Authorised
Persons)
Sharing Pattern submitted is in the prescribed format of
the Exchange.
Sharing Pattern submitted is on the letterhead of
Authorised Person
Names of the partners and their sharing in profit and loss
mentioned in Sharing Pattern match with the names and
sharing in profit and loss mentioned in the Partnership
Deed.
The Sharing Pattern submitted is certified by the Partners
under the rubber stamp of the Firm.
Sharing Pattern submitted is certified by Chartered
Accountant along with rubber stamp of C.A. Firm, name of
the CA firm, name of partner/proprietor and his
Membership number.
Signature of Member
Name of Member
4
Signature of Authorised Person
Name of Authorised Person
Signature
Sr.
No.
Document
Ref. No.
(7)
AP-6
Submitted
(Yes /No/N.A)
Particulars
Signature
Certified Copy of Member and Authorised Person
Agreement.
Copy of Agreement between member and Authorised
Person certified by member
i
Agreement is in prescribed format of the Exchange and on
ii
`100 stamp paper.
iii
None of the clauses are deleted or any clause is added in
the Agreement.
iv
All the pages are signed by the member and Authorised
Person.
vi
Name, signature and address of the 2 witnesses are
provided by the Member and Authorised Person
Proofs of Directors/Partners/Individual of Authorised Person
(To be certified by Member)
Sr.
No.
(1)
i.
ii.
Document
Ref. No.
APP-1
PAN Details of Directors / Partners / Individual /
Company/firm/ Co- operative Society / members of
Managing Committee /Governing Body/ Directors of Cooperative Society
Copies of the PAN Cards (Both Sides) of directors/ members
of Managing Committee /Governing Body/ Directors of Cooperative Society/ partners/Individual and of company/firm
/ Co- operative Society certified by member(should be
certified by designated director/managing partner /
Individual / proprietor /karta/authorised signatory who are
on records of Exchange)under the rubber stamp of the
company/firm is submitted.
Date of birth and name mentioned in the PAN Card matches
with the date mentioned in details of directors / members of
Managing Committee /Governing Body/ Directors of Cooperative Society/ Partner/Individual submitted.
Signature of Member
Name of Member
5
Submitted
(Yes
/No/N.A)
Particulars
Signature of Authorised Person
Name of Authorised Person
Signature
Sr.
No.
Document
Ref. No.
PAN Card number and name of the applicant matches with
the details mentioned in Application Form.
iii.
(2)
Submitted
(Yes
/No/N.A)
Particulars
APP-2
Proof of Residential Address of Directors / members of
Managing Committee /Governing Body/ Directors of Cooperative Society/ Partners / Individual
Is the Applicant Indian National
i.
The copy of address proof submitted is certified by member
(should be certified by designated director/managing
partner / Individual / proprietor /karta/authorised signatory
who are on records of Exchange)under the rubber stamp of
company/firm.
ii.
iii.
The Address Proof submitted is Valid (i.e. the Validity of the
documents should not have expired).
iv.
Utility Bill submitted as address proof and are within 3
months
The Address and name mentioned in the Proof matches with
the details mentioned in details of Directors / members of
Managing Committee /Governing Body/ Directors of Cooperative Society/ Partners/Individual submitted.
If address proof submitted is in regional language other than
hindi/English kindly submit translated copy of the same duly
notarized by notary.
v.
vi.
(3)
APP-3
Proof of Date of Birth
i.
Individual /Directors/Partners / members of Managing
Committee /Governing Body/ Directors of Co-operative
Society are not less than 18 years of age.
ii.
The copy of proof submitted is Certified under the rubber
stamp by member (should be certified by designated
director/managing partner / Individual / proprietor
/karta/authorised signatory who are on records of
Exchange).
iii.
The Proof submitted is Valid (i.e. the Validity of the
documents should not have expired.)
Signature of Member
Name of Member
6
Signature of Authorised Person
Name of Authorised Person
Signature
Sr.
No.
Document
Ref. No.
Submitted
(Yes
/No/N.A)
Signature
Submitted
(Yes
/No/N.A)
Signature
The Name of the Person mentioned in the Proof matches
with the details mentioned in details of directors / members
of Managing Committee /Governing Body/ Directors of Cooperative Society/ partners / Individual submitted.
The date of birth of the person mentioned in the proof
matches with the date mentioned in details of Directors /
members of Managing Committee /Governing Body/
Directors of Co-operative Society/ Partners /Individual
submitted.
If proof of Date of Birth submitted is in regional language
other than hindi/English kindly submit translated copy of
the same duly notarized by notary.
iv.
v.
Vi.
(4)
Particulars
APP-4
i
ii
iii
iv.
Proof of Education Qualification
The copy of education proof submitted is Certified under the
rubber stamp of member (should be certified by designated
director/managing partner / Individual / proprietor
/karta/authorised signatory who are on records of
Exchange).
The Name of the Person mentioned in the Proof matches
with the name mentioned in details of Directors / members
of Managing Committee /Governing Body/ Directors of Cooperative Society/ Partners / Individual submitted.
All the Directors/ members of Managing Committee
/Governing Body/ Directors of Co-operative Society/
Partners/Individual are having minimum qualification of 10th
standard or equivalent examination from institution
recognized by the central government /state government
If education proof submitted is in regional language other than
hindi/English kindly submit translated copy of the same duly
notarized by notary.
Proof of Authorised Person
(To be certified by Member)
Sr.
No.
Document
Ref. No.
(1)
APP-5
i.
Particulars
Proof of Address of the Applicant /Registered Office
Address
Is the Applicant Indian National / Registered in India.
Signature of Member
Name of Member
7
Signature of Authorised Person
Name of Authorised Person
Sr.
No.
Document
Ref. No.
The copy of address proof submitted is Certified under the
rubber stamp by the member(should be certified by
designated director/managing partner / Individual /
proprietor /karta/authorised signatory who are on records
of Exchange)
ii.
The Address Proof submitted is Valid (i.e. the Validity of the
documents should not have expired).
Utility Bill submitted as address proof and are within 3
months
iii.
iv.
The Address mentioned in the Proof matches with the
Application Form
If address proof submitted is in regional language
other than hindi/English kindly submit translated copy
of the same duly notarized by notary.
v.
vi.
(2)
APP-6
Memorandum and Article of Association (for Corporate)
OR Bye-Laws (for Co- operative Society)
i.
The Memorandum and Article of Association OR Bye-Law
and certificate of incorporation submitted is certified as
true copy by the member (should be certified by
designated director/managing partner / Individual /
proprietor /karta/authorised signatory who are on records
of Exchange) under the rubber stamp.
ii.
The Name of the Company/ Co- operative Society and the
date of Incorporation mentioned in the Incorporation
Certificate / Certificate from Registrar of Co-operative
Society matches with details given in Application Form.
iii.
The Object Clause of the Memorandum and Article of
Association / Bye-Law contains the commodity Clause i.e.
dealing in Commodity Derivatives contracts
(3)
APP-7
i
ii
Registered Partnership Deed (For Partnership Firm/LLP)
The Firm Registration Certificate submitted as certified true
copy by the member (should be certified by designated
director/managing partner / Individual / proprietor
/karta/authorised signatory who are on records of
Exchange) under the rubber stamp.
The Partnership Deed submitted is Registered Partnership
Deed.
Signature of Member
Name of Member
8
Submitted
(Yes
/No/N.A)
Particulars
Signature of Authorised Person
Name of Authorised Person
Signature
Sr.
No.
iii
iv
v
vi
Document
Ref. No.
The Registered Partnership Deed submitted is certified as
true copy by the member (should be certified by
designated director/managing partner / Individual /
proprietor /karta/authorised signatory who are on records
of Exchange)under the rubber stamp.
The Registered Partnership Deed submitted contains
trading in Commodity Derivatives as nature of business.
The date mentioned in the deed on which it has come into
existence/ effective is the date mentioned in the
Application Form as date of registration.
The name and date mentioned in the deed on which it has
come into existence/ effective matches with PAN card.
Signature of Member
Name of Member
9
Submitted
(Yes
/No/N.A)
Particulars
Signature of Authorised Person
Name of Authorised Person
Signature