KYC Form For Natural Persons (Individuals)

KYC Form For Natural Persons (Individuals)
Date *

DayMonthYear
This field is mandatory
New / Update*
Client’s information:
Identification Document Type:*
Document No.*
Issuance date*

DayMonthYear
Date
Issuance Place*
Expiry date*

DayMonthYear
Date
Entry No. (only for citizens)
First Name (as Per Passport)*
Father's /Second Name*
Family / Last Name*
Date of Birth*

DayMonthYear
Date
Gender*

MaleFemale
Nationality*
Other nationalities 1
Other nationalities 2
Other nationalities 3
Type of Residence*

NoneOwnRentWith familyOffered by the employerOthers, Please Specify
Please Specify
Type of Residence
Educational level*
Employment Status*
Current Employers Name
Current Employer Address*

Street Address

Street Address Line 2

CityEmirate

Job TitleCountry
Date of Join

MonthDayYear
Date of Join
Address for Correspondence
Address line 1*
Address Line 2
Cell/Mobile No.*

Country CodePhone Number
Email*
example@example.com
Province / Emirates*
Dealing Capacity:*
Ref. No. of the proxy or Custodianship / Guardianship

Ref. No.Issuance Place
Notes
If the client signed as per a proxy, a clear copy must be attached after properly reviewing original document. In case deletion, amendment, both parties must sign

The client herby approves and authorizes al Sahel shares center to fill in the accounts number after having this agreement signed properly and completing all required procedures to open a trading account.
Other Information
Is the client, chairman or a director, general manager, executive manager or an employee has occupied a position which within his responsibilities and duties would be an insider information person at a public listed company in the state or one of his relatives up to the
The company’s name

Name of The Co.Capacity
Relativity

Type the realtionThe Name of the relativity
Does the client, chairman or a director, general manager, executive manager or an employee occupies a position of chairman or a director, general manager, executive manager or an employee at a licensed brokerage firm by UAE Securities & Commodities Authority (SCA) or one of his/her relatives up to the
Company Name

Enter Company NameCapacity
Relation

RelativityName of the relative
(1st degree includes father, mother, son, daughter and spouse. 2nd degree includes: grandfather, grandmother, sibling, Grandsons).
Is there commercial partnership between you and one of company’s director or any
one relates to one of them?
Please define the Partnership
Have you recently worked or currently working or one of your family members up to
the second grade at a high position in the government sector?
Please provide briefed explanation
I hereby acknowledge to inform you in writing of any change would occur to my status or relationship with any listed companies in the state within 7 working days of occurrence of such change, Al Sahel Shares Center holds no responsibility due to any damage or fines would be caused due to failure to notify us properly and timely in writing of such change, I take full responsibility for any possible consequences or fines.

Is there commercial partnership between you and any of the
company’s director or any one relates to one of them?
Please Explain it
Do you have more than 5% in any public listed company?
Name of the Company and Percentage

Company NamePercentage
Reasons for and the purpose of opening account:
Please specify
(In the event that I choose to subscribe to an initial public offering only, then I agree that Al Sahel Shares Center will close my account without prior permission or notice, after completing the sale of those shares related to the subject IPO).
Is this account for your personal use and not for others?
Please provide information on the ultimate beneficial owner
Clients’ Financial information
Annual income (in AED )*
Source of income*

Savings / DepositsEmployment Income / Salary /WagesInheritanceCompany Profits / Dividends / Capital marketsPension PaymentsSales of PropertiesSale of Shares & / or other investmentsBanking Facilities / LoansSale of a CompanyGift / DonationIncome from sale of shares / Financial assetsCompensation Award/Court SettlementLottery /Gambling WinningsOther
Specify Other Source Income
Primary Bank Account Details
Account Name in the Bank
Bank Name
Branch Name
IBAN Number*
Country
Alternative Bank Account Details
Account Name in the Bank
Bank Name
Branch Name
IBAN Number
Country
Allocated amount of money designated for investment (in AED or equivalent in USD)
Investment strategy*
Do you have financial obligations/loans
Please Explain
Do you have a trading account at other brokerage firm
Please name it/them
Type the name of the firm
Client Investment Information
Investment experience in capital markets (equities)
Preferred sector:
Is there specific companies you prefer to invest in ?
Please list Below
Risk Tolerance
(Please read explanation below).

It means the client’s ability to tolerate total loss of the principal amount taking into consideration the following factors:
- The positive relationship between risk and return, if required return increase, risk will increase too.
- Client’s degree of dependence on the principal invested amount to meet his/her household needs.
- How do the client classify himself/herself as to risk acceptance kevel, preservative, risk-taker
- Client’s experience in equities investment
General Investment Objectives
Do you have any commercial activity with any internationally sanctioned countries:
Please explain activity
Orders Giving Mode

In PersonMailE-MailFaxRegistered Call
Approved correspondence mode

In PersonMailEmailFaxPersonal Receipt
Mode of Notification

In PersonMailEmailFaxSMS
Declaration
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
Name of the Applicant*

First NameLast Name
Signature of the Applicant*

Clear
Date Signed*

MonthDayYear
Date
Required Documentation for Opening Trading Account:
1. Copy of Valid passport*

Browse Files

Cancelof
2.Copy of Family book*

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Family Book Cancelof
3.Copy of Valid national Emirates ID

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Cancelof
4.Bank account No. statement or letter stating the IBAN No. which will be designated for receiving dividends

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Cancelof
1.Copy Valid passport

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Cancelof
2.Copy of Valid Emirates ID

Browse Files

Cancelof
3.Bank account No. message (should be properly stamped by the bank’s seal or has bank’s logo and IBAN No. which will be designated for receiving dividends

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Cancelof
4.Proof Of Residence

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Cancelof
Power of attorney or custodianship decision issued properly by a competent court which clearly stipulates for trading in securities authorization.

Browse Files

Cancelof
Copy of Valid passport for the custodian, guardian, or the person action based on the PoA and the beneficiary

Browse Files

Cancelof
Copy of Valid Emirates ID the custodian, guardian, or the person action based on the PoA and the beneficiary

Browse Files

Cancelof
Should be Empty:

KYC Form For Natural Persons (Individuals)

Client’s information:

Address for Correspondence

Other Information

Clients’ Financial information

Primary Bank Account Details

Alternative Bank Account Details

Client Investment Information

Declaration

Required Documentation for Opening Trading Account: