Downloads

Forms, policies & procedures

Download the forms and policy documents below. Each link opens the document in PDF, Word (DOC) or Excel (XLS) format; the format and file type are stated on every link for clarity.

Account opening

Account Opening FormRevised account-opening procedure

KYC form — Individual

Index (New)Form index
KYC Application FormKnow Your Client
Additional DetailsSupplementary details
Rights & ObligationsOf clients and brokers
Risk Disclosure Document (RDD)Mandatory disclosure
Do's & Don'tsGuidance for clients
Nomination — Annexure ANominee declaration

KYC form — Non-Individual

Index (New)Form index
KYC Application FormKnow Your Client
Additional DetailsSupplementary details
Rights & ObligationsOf clients and brokers
Risk Disclosure Document (RDD)Mandatory disclosure
Do's & Don'tsGuidance for clients
Nomination — Annexure ANominee declaration

Compliance & policy documents

PMLA PolicyAnti-money-laundering
Policies & Procedures (Mandatory)Pre-funded instruments
Risk Management PolicyRMS policy
Policy on Inactive AccountsDormant account policy (opens agvbroking.com)
Application for Closing Trading AccountAccount closing letter
Dormant Account — BSE & NSEDormant account policy (opens agvbroking.com)
Additional Literature for AMLAML requirements (opens agvbroking.com)
Internal Control PolicyInternal controls
Risk Disclosure DocumentRDD
Modification and ErrorClient code modification
Do's and Don'ts for ClientsClient guidance
Surveillance PolicyMarket surveillance
Policy for Pre-funded InstrumentsPre-funded instruments

Forms, policies & procedures

Account opening

KYC form — Individual

KYC form — Non-Individual

Compliance & policy documents

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