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Version No.2.

2 - 28th October 09

INDIVIDUAL ACCOUNT OPENING FORM - CHECKLIST

Normal GIB YSOC YCOPS Category A B C

Application Details

D D M M Y Y Y Y
Branch Name Branch Code Product Code Date

Applicant Name:

Existing Customer Id: (If the applicant is existing customer)

Row For NOC A/C No: A/C Opening Date: GL No. (To be filled by branch)
Purpose only D D M M Y Y Y Y

Business Segment RBWM BB CB CIB IFI GRM MIG SBB SAM

Account Sourced from within BSA(Branch Service Area): Yes No (If "NO" RBL approval attached)

OPDT Linkage OWNER PROMOTER DIRECTOR TOP MANAGEMENT PARTNER AUS

NON INDIVIDUAL CUST ID DETAILS

Customer Category

CUSTOMER TYPE INDUSTRY RISK CATEGORY

Self Employed-Professionals / Businessmen Chartered Accountant L M H

Lawyer L M H

Doctor L M H

Media And Entertainment IA L M H

Sports IB L M H

Consultant IC L M H

Academician ID L M H

Broker IE H

IT/ITES IF L M H

EXIM IG H

Others _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ L M H

Non Resident Individuals Select Profession above H

Senior citizens Select Profession above (if not Retired) L M H

YCOPS L

Salaried L

Staff L

No frills accounts L

Minor M

Where Profession type is OTHERS - Risk Category to be defined as per Banks KYC Policy

(1)
INDIVIDUAL ACCOUNT OPENING FORM - CHECKLIST

Customer Documents and IP (Non YCOPs)

ITEM ACTIVITY PROFILE BSL BSDL NOC DVU


Please mention doc submitted as proof (As per KYC Policy)

IDENTITY ....................................................................................

SIGNATURE....................................................................................
ISA DOCUMENT
ADDRESS ....................................................................................
(Incase of staff salary account: If the staff is opting for YBL address, then approval of BBL or above to
be attached along with proof of permanent address & SVR to be done by the branch)
(Site Verification, If Applicable) Yes / NA

Cheque Copy attached Debit to A/c RTGS/NEFT


Cash Deposit Slip (Cash deposited signed by customer and verified)

IP as per Mandate IP Amount


FUNDS PROOF
Lower IP Zero IP Ref.:No

Lower IP Approval Required for SA along with TD =>Rs.50,000 Value Date:

Customer Documents (YCOPs)

ITEM ACTIVITY PROFILE BSL BSDL NOC DVU


YCOPS COMPANY
Yes No
CODE IN AOF
COMPANY LETTER /
SMART SALARY (mandatory if AOF introduction is not signed) Yes No NA
FORMAT ON
COMPANY LETTERHEAD
Filled Format 'A' SIGNED BY AUTHORISED SIGNATORIES (If Applicable)
CATEGORY A / B
Identity Proof for CAT B (apart from Smart Salary Format), if applicable

Please mention doc submitted as proof (As per KYC Policy)

IDENTITY ....................................................................................

SIGNATURE....................................................................................
CAT C ADDRESS ....................................................................................
(Site Verification, If Applicable) Yes / NA

YCOPS NO FRILLS A/C KYC Undertaking Yes No

Customer Documents (YSOC)

Promo Code-______________________. For YSOC account the Promo Code date has to be less than
3 months. All AOFs to carry a copy of the mail approval of Product team along with the respective
YSOC promo code.

Address of customer same as Society Address. Yes No

Additional Checks - SA 25

Sweep-out product code 404 411


SA 25
(Not for NRI's Existing TD's to be linked Yes No
& Non-Individuals) Sweep-in (If any)
Smart Access request duly filled Yes No

No OD/Lien/Freeze is given to any link TD

Form 60/61 (Approval required where applicable) PAN No


PAN PAN Name & Number validated on PAN Site PAN Site Print Out
Only PAN number provided PAN Card Copy
RISK CODE CAPTURED Yes No
RISK / EDD
EDD (Applicable only for High Risk) Yes No NA

(2)
INDIVIDUAL ACCOUNT OPENING FORM - CHECKLIST

Internal Checks

ITEM ACTIVITY PROFILE BSL BSDL NOC DVU


Sourcing RM Employee Code: Yes No Service RM Employee Code: Yes No
AOF Completely Filled with material alteration duly authenticated.
Customer Personal Details KYC Details
AOF
Bank Details Channel Access
Minor DOB Proof Attached Sr. Citizen DOB Proof Attached
MINOR / SENIOR CITIZEN
Declaration Attached

Name Match Check Name in AOF as per Proof Provided


Photograph Match Check Photograph in AOF as per Proof Provided If Not
(Declaration /
MISMATCH CHECKS Self Attestation Self Attestation on all Documents Provided deferral /
Yes No approval
as applicable
Signature Check Signature on AOF Matches with Provided documents attached)
Clarity of Documents Photocopy/ Image Quality of all Document Proofs
Provided are Clear (Contents & Photographs)

For NRI: Inward Remittance Cheque Cash IP (Foreign Currency / INR)


Face to Face Non Face to Face (Additional Documents as per KYC)
Promo Code ILLITERATE / BLIND / Others _____________ (Approvals / Documents Provided, where applicable)

Complete KYC Relaxed KYC (Relevant Approvals Attached)


MANDATE HOLDER (Complete KYC & Photo required for mandate holder) Yes No NA

VERNACULAR DECLARATION Yes No NA


(Vernacular declaration need to be obtained whenever applicant is signing in any vernacular language & bank official who has
explained applicant all terms and conditions need to sign the same)
All the blanks in Nomination Form Completely Filled & signed by all the applicants, Witness 1 & 2 OR No
NOMINATION nomination declaration attached
Exception / Deferral Attached - If Applicable (Separate format available on Knet) Yes No NA

Welcome Call Sheet - Original Seen & Verified (OSV) Stamp & Sign on all Documents Yes No

Customer a Politically Exposed Person (PEP) Yes No


POLITICAL EXPOSURE
If Yes, BH & MD/CEO Approval attached Yes No
Face to Face Customer Yes No
FACE TO FACE
Time of Meeting is mentioned in AOF Yes No NA
Declaration : + For Identity/Signature/Address provided proof is valid and not expired.
+ The KYC certification has been duly filled and signed by the bank official.
+ The photographs provided on the form are signed and sealed accordingly.
+ The customer signed the necessary documents in presence of bank official.

Scrutinizer (BSL/TSL/RM / BSD) Name:


Signature

BBL / BSDL Name:


Signature

FOR DVU (NOC) USE ONLY

Query No.: Query / Discrepancy Resolved On

(1)

(2)

(3)

Negative List Yes No

NOC Official Name & Sign: ....................................................................................................


(Mandatory)
....................................................................................................
(3)

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