Guidelines for IEC

FORM AT OF B ANK CERTIFI CATE FOR ISSUE OF IEC ... GUIDELINES FOR APPLICANTS A - Appl ying for new IEC number – Kindl y fill Part A,B & D of this appl...

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ANF 2A

Application Form for Issue / Modification in Importer Exporter Code Number (IEC) Part A To be filled by the Issuing Authority

IEC Details i. IEC Number ii. Date of Issue iii. Issuing Authority To be filled by the applicants

Un-attested Photograph of the applicant. Identical photograph should be used on the Bank Certificate

Note: Please state ‘Not Applicable’ wherever the information / data is not applicable to you. Fields marked * are optional. All others are mandatory 1. i. Name:

Applicant Details

ii. Address:

Flat / Plot / Block No.

(Registered Office Address is / Area / required in case of Street Locality

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Companies. Head City: Office Address is State: PIN Code required for all other categories) iii. For endorsing Addresses of Branches, Divisions, Units, Factories located in India & abroad, please attach extra sheet if require. However, please use the same address format as specified above] iv. Telephone /

Area Code along with Telephone / Fax No.

Fax Nos. Landline (1): Landline (2)*: Fax No.*: v. Email ID / Website Address:

Email ID: For correspondence with DGFT Website Address:* (if any)

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Alternate Email ID:*

vi. Full Name, Designation and Mobile Number of the Signatory (Signatory’s photograph is to be affixed on the Bank

First Name

Middle Name

Last Name

Designation: Mobile Number:

Certificate). Note 1: When the name of an individual is required to be filled up, full name (in the order - First name, Middle name and Surname should be filled up as far as possible, without using any abbreviations. For example, please fill up the full name - ANIL KUMAR SINGH (instead of abbreviated forms like ANIL K SINGH; ANIL SINGH; A.K.SINGH; A KUMARSINGH; A.KUMAR SINGH; ANILSINGH; ANILKUMAR SINGH etc.) This note applies to the entire ANF, particularly to Sr. No. 2 so that wherever the name / father’s name are required to be filled up, they are filled up correctly. 2. Details of Proprietor / Partners / Directors / Karta / Trustee of the applicant firm (attach extra sheet if required) Total Number of Partners / Directors / Karta / Trustee in the applicant firm Following information may be provided for each Proprietor / Partners / Directors / Karta / Trustee of the applicant firm i. Name ii Father’s Name iii. Residential Address iv. Telephone

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3. Nature of Concern (please tick) i. Government Undertaking ii. Public Limited Company iii. Private Limited Company iv. Proprietorship v. Partnership vi. Others

4. Type of Exporter (please tick) i. Merchant Exporter ii. Manufacturer Exporter iii. Service Provider iv. Others (please specify) v. Merchant cum Manufacturer

5. Bank Account Details i. Name of the Bank ii. Address of the Bank iii. Type of Bank Account iv. Bank Account Number v. Year of opening Bank Account

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6.

PAN Details:

i. PAN Number: (Alphanumeric ii. PAN Issuing Authority: iii. Name as appearing on the PAN Card: iv. Date as mentioned on

Date of Birth for Individuals

PAN Card:

Date of Incorporation for all other categories (Trusts/ HUFs / Firms / LLPs / Companies etc.)

v. Father’s Name in case of PAN allotted to Individuals

7. Application Fee Details Amount (Rs)----Rupees Demand Draft Date of Issue Name of the Bank and its Branch on which drawn

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Place Signature of the Applicant Date

Name Designation Official Address Telephone Residential Address Email Address

An Illustrative Example to fill up Serial No. 1 (Applicant Firm Details) - Part A of ANF2A

1. i. Name:

Applicant Details ADDITIONAL Director General of Foreign Trade

ii. Address: (Registered Flat / Plot / Block No. Office Address is required in Street / Area / case Locality: of Companies. Head City: Office Address is required for all other State:

NISTHA BHAWAN, NEW C.G.O. BUILDING, NEW MARINE LINES,

CHURCHGATE, MUMBAI

MAHARASHTRA

PIN Code

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categories) iii. For endorsing Addresses of Branches, Divisions, Units, Factories located in India & abroad, please attach extra sheet if require. However, please use the same address format as specified above]

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0

Fields marked * are optional. All others are mandatory

iv. Telephone /

Area Code along with Telephone/Fax No.

Fax Nos. Landline (1): Landline (2)*: Fax No.*:

v. Email ID / Website Address:

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Email ID: For correspondence with Addl. DGFT, Mumbai – 400020.

Alternate Email ID: [email protected]

[email protected] http://dgft.gov.in /

Website Address:* (if any)

http://dgftcom.nic.in/ vi. Name, First Name Designation Prabhu and Mobile Designation: Number of the Mobile Number: Signatory (Signatory’s photograph is to be affixed on the Bank Certificate).

Last Name Sinha

Middle Name Arun Company Secretary 0

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Note 1: When the name of an individual is required to be filled up, full name (in the order - First name, Middle name and Surname should be filled up as far as possible, without using any abbreviations. For example, please fill up the full name - ANIL KUMAR SINGH (instead of abbreviated forms like ANIL K SINGH; ANIL SINGH; A.K.SINGH; A KUMARSINGH; A.KUMAR SINGH; ANILSINGH; ANILKUMAR SINGH etc.) This note applies to the entire ANF and to Sr. No. 2 so that wherein names / father’s name are required to be filled up, they are filled up correctly.

Part B Appendix 18 A

FORMAT OF BANK CERTIFICATE FOR ISSUE OF IEC

(To be issued on the official letter head of the Bank)

Ref No. …………………. To

Additional Director General of Foreign Trade, Nishtha Bhawan, New Marine Lines, Churchgate, Mumbai - 400020 (Name and address of the licensing authority) Sir / Madam, We certify that M/s……………………………………………(Name and Address of the applicant) are maintaining a Savings Bank Account / Current Account (tick whichever is applicable) No. …………………….. with us since ……………… Affix Passport Size Photograp applicant

Note: The Banker must identify and attest the photograph.

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of

the

Date: …………… Place: ………………

(Signature of the Banker) Name ……………………. Designation ……………..

Email ID of the Banker: [Email ID of the official issuing this Bank Certificate] (Banks Stamp)

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Part C For Modification of Import Export Code Number IEC Number1- Details of Modification

Serial No:

Details of Modification required

Existing details

Modification required

Modification-1

Modification- 2

Modification- 3

2. Documents to be submitted in support of the claim a. In case of Proprietorship firms, please furnish documentary evidence regarding

i. Date of Birth of individual ii. Number of IECs held along with their details b. In case of Companies, please furnish documentary evidence regarding

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i. Date of incorporation

c. In case of others

i. Date of formation

Place

Signature of the Applicant

Date

Name Designation Official Address Telephone Residential Address Email Address

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PART D DECLARATION / UNDERTAKING

1. I / We hereby declare that the particulars and the statements made in this application are true and correct to the best of my/our knowledge and belief and nothing has been concealed or held there from. 2. I / We fully understand that any information furnished in the application if found incorrect or false will render me/us liable for any penal action or other consequences as may be prescribed in law or otherwise warranted. 3. I / We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook of Procedures and the ITC (HS) Classification of Export & Import Items. 4. a. I / We hereby certify that the firm / company for whom the application has been made has not been penalized under the Customs Act, Excise Act, Foreign Trade (Development & Regulation) Act 1992 and FERA / FEMA. b. I / We hereby certify that none of the Proprietor / Partner(s) / Director(s) / Karta / Trustee of the firm / company, as the case may be, is/are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / Company which(i) has come to the adverse notice of DGFT, (ii) is in the caution list of RBI. c. I / We hereby certify that neither the Registered Office / Head Office of the firm / company nor any of its Branch Office(s) / Unit(s) / Division(s) has been declared a defaulter and has otherwise been made ineligible for undertaking import / export under any of the provisions of the Policy.

5-NRI interest in the firm – Kindly tick one of the following : (i) There is no non-resident interest in the firm / company and no non resident investment with or without repatriation benefits has been made in the firm / company; or

(ii) There is non-resident interest in the firm / company and non resident investment without repatriation benefits in the firm / company is held with the general / specific permission of RBI; or (iii) There is non-resident interest in the firm / company and non-resident investment with repatriation benefits in the firm / company is held with the specific permission of RBI.

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In case of NRI interest / holding with repatriation benefits in the firm / company, please furnish

i.

RBI Approval Number

ii.

RBI Approval Date

6. I/We hereby declare that I/We have not obtained nor applied for issuance of an Importer Exporter Code Number in the name of our Registered / Head Office or any of our Branch(s) / Units(s) / Division(s) to any other Licensing Authority. 7. I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.9 of the Policy.

Place

Signature of the Applicant

Date Name Designation Official Address Telephone Residential Address Email Address

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GUIDELINES FOR APPLICANTS

A - Applying for new IEC number – Kindly fill Part A,B & D of this application form

1. One copy of the application must be submitted. 2. Each individual page of the application has to be signed by the applicant. 3. Application must be accompanied by documents as per details given below :

i.

Demand Draft of Rs.250 evidencing payment of application fee in favour of the concerned Regional Office of DGFT. Money can also be paid through Electronic Fund Transfer (EFT).

ii.

Certificate from the Banker of the applicant firm in the specified format.

iii.

Self certified copy of Permanent Account Number (PAN) issued by Income Tax Authorities.

iv.

Two copies of passport size photographs of the applicant.

v.

Photograph on the banker’s certificate should be attested by the banker of the applicant.

vi.

Self addressed envelope for office and bank with stamps of Rs. 40/- (Each)

vii.

These documents may be kept secured in a file cover.

The above documents may be sent by post or hand delivered at the concerned Regional Office of DGFT.

B - Applying for modification of existing IEC number – Kindly fill Part A,C & D of this application form

1. Only one copy of the application should be submitted. 2. Each individual page of the application has to be signed by the applicant. 440 440

3. Application must be accompanied by documents as per details given below:

a. In case of Proprietorship firms, please furnish i.

Date of Birth of individual

ii. Number of IECs held along with their details b. In case of Companies, please furnish – Date of Incorporation Certificate In case of others Date of formation 4. No fee is payable for modification / amendment of IEC if the application is made within 90 days. However, applications submitted after 90 days shall be considered on payment of penalty of Rs.1000/- to be made in the form of Demand Draft to the concerned RA. No fee is required for inclusion of PAN Number in the old IEC.

5. IEC in original.

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Guidelines on how to fill the fresh Application / Modification for IEC Application for fresh IEC – applicant is required to submit Part A, B and D and the application may be filled in as shown below :All columns may be filled in.

Part A Column 1 Applicant details: Write in the name of the firm/company/trust/ and individuals name in Case of individual. Column 1 (i) Address: Address may be shown completely with door/ward number, street, locality, post office, district and pin code number Column 1 (iii) Address of branch/unit/division/factories etc may be mentioned. In case of no such information the column may be marked as ‘NIL’ Column 1(iv) One Land Line number is mandatory/compulsory. Column 1(v) Email address for communication is mandatory/compulsory. Column 1(vi) Name of the signatory of the application may be mentioned in the space given writing the elongated form of the initials used in the name. Also mention designation and mobile number in the space provided. Column 2 2. Details of Proprietor / Partners / Directors / Karta / Trustee of the applicant firm (attach extra sheet if required) Name of the signatory in elongated initials with father name, complete address with pin code number and telephone number may be mentioned in the space provided. In case of partners/directors/trustee etc where the space provided is insufficient an extra sheet may be attached and the same may be self-attested. Column 3 Nature of Concern - tick the nature of the concern Column 4 Type of Exporter - tick the type of exporter Merchant exporter is a general category, the applicants choosing the type other than Merchant exporter should provide documentary evidence as under: Manufacturer Exporter: EMN Part II from DIC, Factory Licence, Industrial Licence Service Provider: Registration of Service Tax, RCMC from SEPC, For Tourism certificate from Ministry of Tourism. Column 5 Bank account details Column 6. PAN details Column 7 Application Fee details (Fee Rs.250/ DD/TR) 442 442

Bottom portion of the page may be filled in completely with signature / date and other details

Part D Part D is declaration/undertaking. It is general declaration from Sl. No.1 to 7 except at Sl.No.5. Serial No. 5 is specific declaration for IEC which has 3 options. You are required to tick one of the applicable option out of the three options. Please read in carefully and tick.

Part B Part B is format/sample of the bank certificate required to be accompanied with the application for IEC. Bank certificate should be obtained from the bank in the bank’s letter head only. Bank certificate should be issued in the name of the firm/company and in the name of the individual only in case of individuals. Photograph of the applicant may be pasted in the bank certificate and this photograph should be attested by the bank official signing the certificate. The photograph should be attested in such a way that the signature and seal of the bank official should be over and across the photograph of the applicant and the officer should also mention the name and designation of the person in the photograph. The bank official should attest the bank certificate with his signature, name, code, designation and email ID. Bank certificate should also contain reference number, date and place. Application for IEC may be accompanied with the following:1. DD/TR for Rs.250/2. Copy of PAN card (both sides) 3. 2 additional photographs of the applicant (3 cm x 3 cm) 4. One photograph may be pasted in the application. 5. Covering letter 6. Self addressed envelope with postal stamps worth Rs.30/Other required documents:For companies registered under companies Act – Incorporation Certificate issued by Registrar of Companies & Memorandum of Articles and Association and ROC master details. For partnership Firms - Certificate of registration issued under section 59 of Indian Partnership Act, 1932 or copy of notarized partnership deed along with consent letters of all partners. For Proprietorship Firms- Any of the following documents. Registration certificate under Maharashtra Value Added Tax Act, 2003 or Registration certificate under The Maharashtra Shop and Establishment Act, 1960 Or Any other document issued by Government Agency related to Proprietorship Firm which proves the existence of proprietorship firm. However these documents are optional not mandatory. For Partnership LLP- Certificate of incorporation & memorandum For Society / Trust- Bylaw, resolution

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For Manufacturer Exporter - Copy of Central Excise Registration Certificate or IEM/Industrial License, Entrepreneurs Memorandum Number (EMN) Part II or licence from Dept. of Factories and Boilers For Service Provider – Service Tax registration certificate or RCMC from Services Export Promotion Council. Also please note that each page of the application and all the supporting documents except bank certificate should be attested by the applicant with seal and signature. In case of individuals seal may be prepared with name and address of the individual rest may affix for seal. The signatory authorized to sign the application for IEC in the following case are: Proprietary concern - Proprietor Partnership Concern- Managing partner/Partner LLP - Designated partner/partner/member Private & Limited Co’s Managing Director/Director Co-operatives - Secretary Trust - Chairman/Director/Trustee IEC Application along with all the supporting documents, fee and photograph of applicant may be kept securely in a file cover and shall be hand delivered at the R&I counter of the office or can also be sent by post. Note: A token is given for the application received at the counter. Thereafter the application is scrutinized in the concerned section. The deficient application is returned back to the counter and the applicant shall collect the same on production of the token on the next day from the counter. In case of application is received by post, deficient application shall be returned by post. The applicants are requested to self attest (seal+signature) all the corrections/additions in the application, at the time of resubmission. While submitting application in the case of online filing, please ensure that the application ANF is in the revised form as shown above. The check-sheet of this office given along with the deficient application should be returned back while resubmitting the application.

Guidelines on how to apply for modification of IEC. (Para 2.12 of FTP & Para 2.8, 2.9, 2.9.1, 2.9.2, 2.9,5 & 9.1 of HBP) Documents Required :- (also refer guidelines on filling up of application for IEC) Covering letter in applicant’s letter head duly signed by authorized signatory ANF 2A (Part A, C and D) with each individual page duly signed by authorized signatory. Modification required may be indicated in Part C of the application. Original IEC Certificate. Proof for change in name of the concern Proprietary: Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker. In case the bank is also new, the applicant may furnish an affidavit duly notarized by the notary for change of name/address along with the bank certificate.

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Partnership : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Copy of reconstituted deed of partnership deed either registered or notarized and consent from the other partners. Copy of amended PAN card. Companies : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Self certified copy of Certificate of ROC indicating the change of name and Receipt of payment made to ROC or ROC master details. Copy of amended PAN card. LLP : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Self certified copy of Certificate of ROC (Form 5) indicating the change of name and Receipt of payment made to ROC or ROC master details. Copy of amended PAN card. As proof of change in name, address / constitution of the Trust/Society, etc.: Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Self certified copy of documents issued by Charity Commissioner/ Registrar of Society & other relevant authorities, copy of amended PAN card 2. Proof for change in address of the concern Proprietary: Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker. Copy of valid lease deed or tax receipt or any address proof issued by Government dept Partnership : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Copy of valid lease deed or tax receipt or any address proof issued by government dept Companies : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Self certified copy of form 18 for change of address, and Receipt of payment made to ROC or ROC master details. LLP : Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Self certified copy of Certificate of ROC (Form 15) indicating the change of address and Receipt of payment made to ROC or ROC master details.

3. Proof for change in partner/director/trustee/members of co-op society. Proprietary: Not allowed except on account of death of applicant for onward transfer to legal heir. Documents required – death certificate, legal heir ship, consent from other heirs if any, copy of PAN card of the new applicant, bank certificate. Partnership: Self certified copy of registered/notarized reconstituted deed of partnership, consent from other partners, bank certificate in case there is change in signatory of the application

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Companies: Self certified copy of form 32 filed to ROC and ROC master details with copy of Challan, bank certificate in case there is change in signatory of the application. LLP: Self certified copy of form 4 filed to ROC with copy of Challan and ROC master details, bank certificate in case there is change in signatory of the application. Others –Trust/Society: Self-certified copy of election result or other documentary evidence showing the elected member details.

4. For proof of addition/deletion of branch/factory, etc., self-certified documentary Evidence like (any one) Shop & Establishment Certificate/Excise Registration Certificate/ Sales Tax Registration Certificate/factory licence, EMN Part I/II, Industrial licence etc. 5. For change in constitution of the firm from Proprietorship firm to Partnership firm Self certified copy of registered Partnership Deed clearly indicating change in constitution from Proprietorship firm to Partnership firm, Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, consent from the other partners. Copy of PAN card in the name of the firm 6. For change in constitution of the firm from Partnership firm to company: Self certified copy of Certificate of Incorporation, Memorandum & Articles of Association, Bank certificate as in Part B of ANF 2A along with photograph of applicant, duly certified by banker, Copy of PAN card in the name of the company

7. Change in PAN Self certified copy of PAN with reasons. In case the application for modification is made after 90 days of such change, the Delay shall be condoned on payment of penalty of Rs.1000/- in terms of Para 9.1 of HBP. Change in constitution, aforesaid does not include change in directors of Public Limited Company. Application for IEC shall be filed online / manually. Address: Office Of the ADDITIONAL DIRECTOR GENERAL OF FOREIGN TRADE Nishtha Bhavan, 28, Vithaldas Thackersey Marg, Churchgate, Mumbai 400020 Office Nos. 022 – 22017716 / 22038094 / 22033097 / 22031246 / 22031074 Ext. 306 / 133 Mail ID: [email protected] – Alternative Mail Id: [email protected] 446 446