John Keells Stock Brokers (Pvt) Ltd. Opening of Securities Account for Individuals John Keells Stock Brokers (Pvt) Ltd., (JKSB) is duly incorporated under Company's Act in Sri Lanka and is a stock broking firm licensed under Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended). The Company bears Company Registration No. PV 89 and is registered at 186, Vauxhall Street, Colombo 02. * JKSB offers stock broking and related services to its clients. * The brokerage commission and other transaction costs levied on transactions executed on the Colombo Stock Exchange are those stipulated by the Colombo Stock Exchange. * JKSB offers an incentive scheme to its employees which is based on turnover generated by the Company. * JKSB declares that it will notify its clients of any material change to the information provided in this document. In consideration of the Central Depository Systems (Pvt.) Ltd. (CDS) agreeing to open a Securities Account in my/our name(s), hereby declare as follows: a) I/We hereby request John Keells Stock Brokers (Pvt) Ltd. (JKSB) to open and maintain a Securities Account in my/our name and to act as my/our Stock Broker in relation to the shares listed on the Colombo Stock Exchange (CSE). b) I/We being a non resident/non residents having a CDS account classified as "Foreign Individual Account(FI)" hereby agree I/we shall comply and continue to comply with the applicable Exchange Control Laws & Regulations and other applicable Laws & Regulations in force from time to time pertaining to the said CDS account and undertake to furnish to CDS all details pertaining to transactions carried out in the FI account at the request of the CDS. c) I/We hereby authorize JKSB to accept instructions pertaining to my Securities Account, via Telephone and Email. d) I/We hereby grant consent to JKSB to forward contract notes /trade confirmations /account statements /and any other communication electronically to the email addresses provided by me. e) I/We hereby represent and warrant that, I / We have good title to such shares and that the JKSB making such deposit is lawfully entitled and duly authorized to do so. f) I/We hereby confirm that the JKSB has full authority to dispose any shares held in my/our securities account to recover unsettled debts that may arise in the process of share transactions. g) I/We hereby confirm the Bank Account details set out below. In the event of a Joint Account, please provide the name/s of the person: - Authorized to give Trading Orders and Settlement instructions …………………………………………………………………………. - to whom Payments are to be made …………………………………………………………………………………………………………………. Signature of Main Holder Signature of 1st Joint Holder Signature of 2nd Joint Holder Name with Initials Name with Initials Name with Initials National Identity Card Number National Identity Card Number National Identity Card Number Bank Account Details (Non Resident Applicants should complete with IIA Account Details) * Please note all sales proceeds will be deposited into your Bank Account given below. Account Title : Name of Bank : Name of Branch : Account Number : Account Type : Current Savings IIA Any Other Office Use Only Investment Advisor's Name Investment Advisor's Signature Documents Checked & Approved by Date Sent to CDS Date Registered with CDS Date KYC entered to the System Head of Documentation CDS Account Number
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John Keells Stock Brokers (Pvt) Ltd.€¦ · John Keells Stock Brokers (Pvt) Ltd. Opening of Securities Account for Individuals John Keells Stock Brokers (Pvt) Ltd., (JKSB) is duly
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John Keells Stock Brokers (Pvt) Ltd. Opening of Securities Account for Individuals
John Keells Stock Brokers (Pvt) Ltd., (JKSB) is duly incorporated under Company's Act in Sri Lanka and is a stock broking firm licensed under Securities and Exchange Commission of Sri Lanka Act No.36 of 1987 (as amended). The Company bears Company
Registration No. PV 89 and is registered at 186, Vauxhall Street, Colombo 02.
∗ JKSB offers stock broking and related services to its clients.
∗ The brokerage commission and other transaction costs levied on transactions executed on the Colombo Stock Exchange
are those stipulated by the Colombo Stock Exchange. ∗ JKSB offers an incentive scheme to its employees which is based on turnover generated by the Company.
∗ JKSB declares that it will notify its clients of any material change to the information provided in this document.
In consideration of the Central Depository Systems (Pvt.) Ltd. (CDS) agreeing to open a Securities Account in my/our name(s),
hereby declare as follows:
a) I/We hereby request John Keells Stock Brokers (Pvt) Ltd. (JKSB) to open and maintain a Securities Account in my/our name and to act as my/our Stock Broker in relation to the shares listed on the Colombo Stock Exchange (CSE).
b) I/We being a non resident/non residents having a CDS account classified as "Foreign Individual Account(FI)" hereby agree I/we shall comply and continue to comply with the applicable Exchange Control Laws & Regulations and other applicable
Laws & Regulations in force from time to time pertaining to the said CDS account and undertake to furnish to CDS all details pertaining to transactions carried out in the FI account at the request of the CDS.
c) I/We hereby authorize JKSB to accept instructions pertaining to my Securities Account, via Telephone and Email. d) I/We hereby grant consent to JKSB to forward contract notes /trade confirmations /account statements /and any other
communication electronically to the email addresses provided by me. e) I/We hereby represent and warrant that, I / We have good title to such shares and that the JKSB making such deposit is
lawfully entitled and duly authorized to do so. f) I/We hereby confirm that the JKSB has full authority to dispose any shares held in my/our securities account to recover
unsettled debts that may arise in the process of share transactions. g) I/We hereby confirm the Bank Account details set out below.
In the event of a Joint Account, please provide the name/s of the person:
− Authorized to give Trading Orders and Settlement instructions ………………………………………………………………………….
− to whom Payments are to be made ………………………………………………………………………………………………………………….
Signature of Main Holder Signature of 1st Joint Holder Signature of 2nd Joint Holder
Name with Initials Name with Initials Name with Initials
National Identity Card Number National Identity Card Number National Identity Card Number
Bank Account Details (Non Resident Applicants should complete with IIA Account Details)
∗ Please note all sales proceeds will be deposited into your Bank Account given below.
Account Title :
Name of Bank :
Name of Branch :
Account Number :
Account Type : Current Savings IIA Any Other
Office Use Only
Investment Advisor's Name Investment Advisor's Signature Documents Checked & Approved by
Date Sent to CDS Date Registered with CDS Date KYC entered to the
System
Head of Documentation
CDS Account Number
John Keells Stock Brokers (Pvt) Ltd. (JKSB) has registered under the Foreign Account Tax Compliance Act (FATCA), which has been legislated by the government of United States of America (USA).
Accordingly, JKSB is required to report details of US persons maintaining accounts with JKSB to the Internal Revenue Service
Department of USA.
Hence you are kindly requested to complete the following:
Title : Mr. Mrs. Miss. Ms. Dr. Rev. Other
Name of the Applicant :
Place of Birth :
Nationality :
ID Type and Country of Issue :
Permanent Address :
Post Code :
Correspondence Address :
Post Code :
Name and Address of :
the Employer
Post Code :
Relationship with other Countries
Are you a Citizen of another country? If YES specify the country
Are you a Resident of another country? If YES specify the country
Are you a tax payer of another country? If YES specify the country and Tax Identification No. (TIN)
…………………………………………………………………… Signature of the Applicant
In case of joint accounts separate forms need to be filled by the joint holder.
Office Use Only
CDS Account Number Registration Date
John Keells Stock Brokers (Pvt) Ltd.
CLIENT AGREEMENT
This Agreement is made and entered into on this ………… day of ……………………………………… Two Thousand and
……………. (……………………) at ……………………………………….
By and Between
(1) .……………………………………………………………………………………………………………… [………………………………………….] of