OFFLINE ACCOUNT OPENING
For Offline Account Opening, you are requested to visit the nearest branch/franchisee and Anand Rathi Employee / Sub
Broker Authorized person can guide you for the process.
Process Note for Offline Account opening
1. Account opening module is assisted Module.
2. For Account Opening, Anand Rathi Employee / Sub Broker Authorized person visit to client location or client visit
to Branch Office.
3. Anand Rathi Employee / Sub Broker Authorized person, verify all Physical Document from client and get signed
on properly filled Account opening and self-attestation of supporting documents, do Original Seen and
Verification with seal and Sign with Name, employee code, Date.
4. In case of Individual Account, OVD document (As mentioned below) will be valid proof for Address
5. Mobile and email is verified through OTP. Separate OTP sends on Email id and Mobile number.
6. Anand Rathi Employee / Sub Broker Authorized person, seal and Sign with Name, employee code, IPV date on
supporting document for IPV.
7. After verify all document and Account Opening form (AOF), Branch give client Acknowledge copy to client.
8. Anand Rathi Employee / Sub Broker Authorized person, do entry into our internal software with all detail of client
along with Demat account detail.
9. Back Office code is generated from our internal Software at the time of AOF punching
10. AOF, can be opened on Scan basis for prior account / Physical dispatch to Head Office.
11. In case of Scan, Head Office verify all document and AOF,and Verify Data entry into our Internal Software. After
activation, Branch dispatch Physical Copy to Head Office & head office received physical Copy within 7 days.
12. In Both Case, AOF, supporting Documents and Data entry verified from Head office by checker.
13. Supporting document must be OSV and IPV marked with seal and sign by Anand Rathi Employee / Sub Broker
Authorized person.
14. There are 2 level checker processes as Checker – 1 and Checker- 2 in our internal Software.
15. In case of Rejection, Rejection is done into internal Software and Same intimation go to Anand Rathi Employee /
Sub Broker Authorized person and Anand Rathi Employee / Sub Broker Authorized person inform to client and
rectify the error and Send the related document to Head Office.
16. Following are the criteria checked by HO as basis of accepting of client:
a. Client Registration Form (Account Opening Form) to be signed & duly filled from Client.
b. All supporting documents like Pan Card, Address proof, and Bank proof and required documents shall be
self-attested.
c. PAN verify from Income Tax Department website and Affix stamp verified with SITE
d. PAN should not be banned by SEBI
e. Name check with “the List established and maintained pursuant to Security Council”
f. In-person verification (IPV) and do original Seen and verification (OSV) of Supporting Documents should
be done by Branch Person/Authorised Person.
17. If client is KRA verified, then we fetch the KRA details & verified all detail and take in process. PAN is verified from
Income Tax Department.
18. After checking all the details in CRF, supporting documents as mentioned Point No. 15, checker person open the
depository account (if signed by client).
19. After the generation of DP ID, Data is pushed into the Back Office along with Demat Account detail under Master
detail.
20. Client requested segment is activated into Back Office and marked Brokerage slab into Back Office as signed by
client.
21. Back Office code is used for unique client code (UCC) in all exchanges and file is generated from Back Office from
related segment Back Office to upload into related Exchange.
22. By login of Exchange site, we upload the UCC into Exchange on the same day of Account opening.
23. After successful uploading UCC and getting a response from the Exchange client is permitted to trade as per
preference, we map the client on trading terminal or IBT is alloted.
24. On next day of UCC generation, we sent Welcome email to client along with UCC details, Demat Account Details
and our Risk Policy, RDD,Does and Don’ts to client registered Mail ID. If Mail bounced then KYC Booklet sent with
Welcome Kit.
25. Welcome Call and SMS - On next day of client activation, Welcome SMS sent to client and Call centre call to client
and confirm all the detail with client with Brokerage slab.
26. Welcome Kit along with Demat A/C details, UCC details and Delivery Instruction Slip send to client as soft copy
on registered email.
