AI Drafter 
TaxTMI 
TaxTMI 
Central Government hereby notifies the Common Application Form for the purpose of registration, opening of bank and demat accounts, and application for Permanent Account Number by Foreign Portfolio Investors (FPIs) in India.
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....f Foreign Portfolio Investor (FPI) with SEBI, Allotment of Permanent Account Number (PAN) and Know Your Customer (KYC) for opening Bank & Demat Account.] To avoid mistake(s), please follow the accompanying instructions and examples before filling up the form [PART I-SEC. 1] Only 'Individuals to affix recent photograph (3.5 cm x 2.5 cm) Signature/Left Thumb Impression Sir, I/We hereby request that a Permanent Account Number & FPI registration number be allotted to me/us. In this context, I/We give below necessary particulars: PART A- KYC INFORMATION 1) Name of the Applicant (Full expanded name to be mentioned as appearing in proof of identity/ address documents: initials are not permitted) Please select title, ☑ as applicable Shri/Mr. Smt/Mrs. Kumari/Ms. M/s Last Name/Surname First Name Middle Name 2) Abbreviation of the Name, as you would like it, to be printed on the PAN card 3) Have you ever been known by any other name? If yes, please give that other name Yes No (Please tick as applicable) Please select title, ☑ as applicable Last Name/Surname First Name Middle Name Shri/Mr. Smt/Mrs. ☠Kumari/Ms. M/s 4) Date of Birth/Incorpora....
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....ual who are ultimately holding > ☑ % beneficial ownership directly/indirectly into the entity as well as on controlling basis for companies, Trust & General Partner/Limited Partnership structure. We therefore provide details of the senior managing official of the FPI as under. The list of beneficial owners as per materiality threshold for controlling ownership interest and / or on control basis is provided as under: S. No Name & Address Date of Tax of the Beneficial Birth Owner (Natural Person) Residency Jurisdiction (1) (2) (3) (4) Nationality Whether acting alone or together, or through one or more natural person as group with their name & address (6) BO Group Percentage Shareholding / Capital/Profit Ownership in the FPIs (7) Tax Residency Number/Social Security Number/Passport Number of BO/ any other Government issued identity document number (example Driving Licence) [Please provide any] (8) Signature of the Applicant¸ 28 THE GAZETTE OF INDIA: EXTRAORDINARY [PART I-SEC. 1] b) Does it have few persons or persons of the same family holding beneficial ownership and control? Yes 9) Income details a) Source of Income: No Code fo....
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....Bank and Branch Address 21) Disciplinary History Whether there has been any instance of violation or non-adherence to the securities laws, code of ethics/conduct, code of business rules, for which the applicant or its parent/holding company or associate/or promoter/investment manager may have been subjected to criminal liability or suspended from carrying out its operations or the registration, has been revoked, temporarily or permanently or any regulatory actions that have resulted in temporary or permanent suspension of investment related operations in the applicant's home jurisdiction and has a bearing on obtaining FPI registration for investing in India? Yes ☠No (If yes, please mention details briefly in below box. For more details, enclose Annexure) 22) Clubbing of Investment Limit We share common ownership, directly or indirectly, of more than fifty per cent or common control with other FPIs and are not exempt from regulation 22(4). Details of investor group are as below: Sr. Name of FPI/ ODI subscriber with whom If ODI subscriber, please mention the Registration No. the applicant shares, ownership of more name of dealing FPI No. of FPI than 50% or comm....
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....ts) Whether mother is a single parent and you wish to apply for PAN by furnishing the name of your mother only? ☠Yes ☠No ( please tick as applicable) If yes, please fill in the mother's name in the appropriate space provide below. Father's Name (Mandatory except where mother is a single parent and PAN is applied by furnishing the name of mother only) Last Name/Surname First Name Middle Name Mother's Name (optional except where mother is a single parent and PAN is applied by furnishing the name of mother only) Last Name/Surname First Name Middle Name Select the name of either father or mother which you may like to be printed on PAN card (Select one only) Father's Name Mother's Name (please tick as applicable) (In case no option is provided then PAN card will be issued with father's name except where mother is single parent and you wish to apply for pan by furnishing name of the mother only) Signature of the Applicant. [à¤à¤¾à¤— I-खणà¥à¤¡ 1] 36) Spouse Name à¤à¤¾à¤°à¤¤ का राजपतà¥à¤° : असाधारण 31 PART E: Depository & Bank Account Ope....
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....persons) Date Signature/Left Thumb Impression of Applicant (Inside the box) Signature of the Applicant. DD/MM/YYYY 32 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I SEC. 1] FOR OFFICE USE ONLY Name of Depository Participant Address of Depository Participant DP ID Client ID Applicant Bank Account Information (To be captured in the depository system) 1) Bank account type- Others SNRA 2) Bank Account Number 3) Bank Name 4) Branch Address City/town/ village PIN Code State Country 5) MICR Code Documents Received Risk Category IN PERSON VERIFICATION CARRIED OUT BY Identity Verification: Emp. Name Emp. Designation_ Signature INSTITUTION DETAILS Name Code Done Date: Emp. Code Emp. Branch (Institution Stamp) [à¤à¤¾à¤— I–खणà¥à¤¡ 1] (a) à¤à¤¾à¤°à¤¤ का राजपतà¥à¤° : असाधारण INSTRUCTIONS FOR FILLING COMMON APPLICATION FORM (CAF) Common Application Form (CAF) will be available for the FPI applicants on the website(s) of NSDL (www.nsdl.co.in) or (www.fpi.nsdl.co.in) (b) Form should be filled by the applicants in Electronic mode....
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....The application without fees shall be rejected, The DDP shall thereafter transmit appropriate amount to SEBI (in Dollar terms) and Income Tax department (in INR). The DDP shall upload the copy of SEBI registration certificate before the application electronically flows for issuance of PAN. Once the PAN is generated, Custodian shall do the KYC. It is mandatory to provide KYC details in case of an application filled by a Foreign Portfolio Investor (FPI) as prescribed under the regulations issued by Securities & Exchange Board of India (SEBI). Please refer the guidelines issued by the SEBI & Prevention of Money Laundering Act for filling these details Guidelines for filling the Common Application Form (CAF): Field Field Name No. 1 Name applicant of the Guidelines for filling the form Please select appropriate title. (Mandatory field) Do not use abbreviations in the First and the Last name/Surname For example, RAVIKANT should be written as: 34 THE GAZETTE OF INDIA: EXTRAORDINARY ☠RAVIKANT Last Name/ Surname First Name Middle Name For example SURESH SARDA should be written as: Last Name/ Surname First Name Middle , SARDA SURESH Name For exampl....
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....ndatory to provide details of the other name. Instructions in field No. 1 with respect to name apply here. Title should be similar to the title mentioned in Field No. 1. 35 36 4 a) Date of birth/ Incorporation/ Agreement/ Formation of body of Individuals Association persons/ Establishment or of THE GAZETTE OF INDIA: EXTRAORDINARY Date cannot be a future date. Date: 2nd August 1975 should be written as: Date format- DD/MM/YYYY (Mandatory field) DDMMYYYY 02081975 Relevant date for different categories of applicants is: [PART I-SEC. 1] Individual: Actual Date of Birth; Company: Date of Incorporation; Association of Persons: Date of formation/ creation; Trusts: Date of creation of Trust Deed; Partnership Firms: Date of Partnership Deed; LLPs: Date of Incorporation/Registration; HUFs: Date of creation of HUF and for ancestral HUF date can be 01-01- 0001 where the date of creation is not available. b) of Applicable to Non-Individuals only. Date Commencement of Business Date cannot be a future date. Date: 2nd August 1975 should be written as: Date format- DD/MM/YYYY (Mandatory field) DDMMYYYY 02081975 This field is mandatory for all categories of applic....
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....g PAN through e-mail. 3) Application status updates are sent using the SMS facility on the mobile numbers mentioned in the application form 4) 5) All communications will be sent on provided mobile no.\ Email-Id. FAX number shall be optional. 8 Information regarding Ultimate Beneficial Owner (End Natural Personal) 9 Income details Please furnish Ultimate Beneficial Owner (UBO) information as applicable. Ultimate beneficial owner shall be as provided under the circular on AML/CFT & KYC issued by SEBI from time to time. Any natural person identified as the Ultimate Beneficial Owner (UBO) should not be a legal representative, such as a nominee, legal counsel/ attorney, trustee, accountant, administrator etc. 'Control' is as defined in accordance with rule 9(3) of Prevention of Money laundering (Maintenance of records) Rules, 2005 as amended from time to time. In case the UBO holds India PAN (local tax ID), details of the same need to be provided in the last column of the BO table. List of values in 'Ultimately holding Beneficial ownership' (drop down box) 1) 2) 10% 15% 3) 25% 4) Others. If Others, Please specify_ The details required at column no. 8 are exe....
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....y/Regulatory Authorities, Tax Authorities, Identification Number FOR NON-INDIVIDUALS 1) Certificate of Incorporation/ Formation 2) Registration Certificate 3) Memorandum of Article of Association/Partnership Deed/ Trust Deed/Prospectus/offering memorandum or equivalent document Clarification / Guidelines for filling 'Proof of Identity[Pol]' section 1. If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished. 2. Mention identification / reference number if ‘Z- Others (any document notified by the central government)' is selected. 3. One copy of any one of the mentioned Proof of Identity [Pol] needs to be submitted. 4. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification OR Copies should be properly attested by entities authorized for attesting the documents 5. If any proof of identity is in a foreign language, then translation into English is required. List of values in ‘Proof of Address' (POA) (drop down box) FOR INDIVIDUALS 1) Passport 2) Driving Licence 3) Voter Identity Card [à¤à¤¾à¤— I-खà¤....
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....overeign wealth funds, international or multilateral organizations or agencies including entities controlled or at least 75% directly or indirectly owned by such Government and Government related investor(s); (ii) Pension funds and university funds; (iii) Appropriately regulated entities such as insurance or reinsurance entities, banks, asset management companies, investment managers, investment advisors, portfolio managers, broker dealers and swap dealers; (iv) Entities from the Financial Action Task Force member countries which are - I. appropriately regulated funds; II. unregulated funds whose investment manager is appropriately regulated and registered as a Category I foreign portfolio investor: Provided that the investment manager undertakes the responsibility of all the acts of commission or omission of such unregulated fund; III. university related endowments of such universities that have been in existence for more than five years; (v) An entity (A) whose investment manager is from the Financial Action Task Force member country and such an investment manager is registered as a Category I foreign portfolio investor; or (B) which is at least seventy-five per ....
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....rity 8) Artificial Juridical persons 9) Association of Persons 10) Limited Liability Partnership Not applicable to Individuals and HUFs. Mandatory for 'Company'. Company should mention registration number issued by the Registrar of Companies or the concerned Government Authority of country of residence. 28 [à¤à¤¾à¤— I-खणà¥à¤¡ 1] 31 Name and address of Representative Assessee Documents submitted as proof of Identity (POI) & proof of Address (POA) for PAN à¤à¤¾à¤°à¤¤ का राजपतà¥à¤° : असाधारण 41 Section 160 of Indian Income Tax Act, 1961 provides that any 'specified person' (assessee) can be represented through Representative Assessee. Therefore, this column should be filled in by representative assessee only as specified in Section 160 of the Indian Income-tax Act, 1961, such as, an agent of the non-resident, guardian or manager of a minor, lunatic or idiot, Court of Wards, Administrator General, Official Trustee, receiver, manager, trustee of a Trust including Wakf. This field will contain particulars of the Representative Assessee. This ....
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.... For other than Individuals 1. Copy of Certificate of Registration issued in the country where the applicant is located, duly attested by "Apostille" (in respect of the countries which are signatories to the Hague Convention of 1961) or by the Indian Embassy or High Commission or Consulate in the country where the applicant is located or authorised officials of overseas branches of Scheduled Banks registered in India, or 2. Copy of registration certificate issued in India or of approval granted to set up office in India by Indian Authorities. 1. Copy of Certificate of Registration issued in the country where the applicant is located, duly attested by "Apostille" (in respect of the countries which are signatories to the Hague Convention of 1961) or by the Indian Embassy or High Commission or Consulate in the country where the applicant is located or authorised officials of overseas branches of Scheduled Banks registered in India, or 2. Copy of registration certificate issued in India or of approval granted to set up office in India by Indian Authorities. 42 32 Gender THE GAZETTE OF INDIA: EXTRAORDINARY This field is mandatory for Individuals List of ....