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Guidelines for Filling up the Guidelines for Filling up the Well IndiaWell India

Individual AOFIndividual AOF

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Please ensure that the forms are complete in all respect and copies of required Please ensure that the forms are complete in all respect and copies of required documents are attached.documents are attached.

Please use CAPITAL LETTERS in filling up the forms, writing one alphabet in each box Please use CAPITAL LETTERS in filling up the forms, writing one alphabet in each box provided and leaving a box blank between two wordsprovided and leaving a box blank between two words

Please authenticate any alterations/ corrections made on the AOF.Please authenticate any alterations/ corrections made on the AOF.

Complete address along with proof of the same is requiredComplete address along with proof of the same is required

Original documents will be required for verification at the time of submission.Original documents will be required for verification at the time of submission.

All documents should be dated and signed by all constituents (First/Sole holder, All documents should be dated and signed by all constituents (First/Sole holder, Second holder, Third Holder, Nominee, Witness) as required at designated spaces in the Second holder, Third Holder, Nominee, Witness) as required at designated spaces in the forms and agreements.forms and agreements.

Please paste and sign across photographs for all holders/nominee/guardian in Equity & Please paste and sign across photographs for all holders/nominee/guardian in Equity & Depository AOF.Depository AOF.

Proof of Identity and address is mandatory for all joint holders.Proof of Identity and address is mandatory for all joint holders.

For Depository service, all communication will be sent to the address of First/Sole For Depository service, all communication will be sent to the address of First/Sole holder only.holder only.

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Trading account cannot be opened in joint names. If members of a family wish to Trading account cannot be opened in joint names. If members of a family wish to open separate accounts, each member should fill up a separate form.open separate accounts, each member should fill up a separate form.

Trading account cannot be opened in the name of Minors.Trading account cannot be opened in the name of Minors.

Client agreement and application for nomination (Depository account) should be Client agreement and application for nomination (Depository account) should be witnessed and should bear the signature name and address of the witness.witnessed and should bear the signature name and address of the witness.

Email ID and at least 1 telephone number is mandatory for all clients.Email ID and at least 1 telephone number is mandatory for all clients.

Mobile Number should required for Demat AOFMobile Number should required for Demat AOF

Signatures can be in English or Hindi or any of the other languages contained in the Signatures can be in English or Hindi or any of the other languages contained in the 8th schedule of the Constitution of India. Signatures other than the above mentioned 8th schedule of the Constitution of India. Signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special Executive languages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate under his/her official seal.Magistrate under his/her official seal.

Signatures should preferably be in BLACK INK.Signatures should preferably be in BLACK INK.

In case of additional signatures (For accounts other than individuals), separate In case of additional signatures (For accounts other than individuals), separate annexure should be attached to the application form.annexure should be attached to the application form.

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In case of applications under a Power of Attorney, the relevant Power of In case of applications under a Power of Attorney, the relevant Power of Attorney or the certified and duly notaries copy thereof must be lodged along Attorney or the certified and duly notaries copy thereof must be lodged along with the application.with the application.

Strike off whichever option is not applicable on the forms.Strike off whichever option is not applicable on the forms.

Please choose the segment you want to trade in by ticking against it.Please choose the segment you want to trade in by ticking against it.

In the event of any over writing, you must counter sign the correction.In the event of any over writing, you must counter sign the correction.

White fluid not allowed for any correction in AOF.White fluid not allowed for any correction in AOF.

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For office use only Page No. 1For office use only Page No. 1

Branch Code & Facility Applied For

Introducer / BP / BDR

NameEmployee / BP / BDR Code

Signature

(Mandatory)

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COMMON INFORMATION PERTAINING TO CLIENTCOMMON INFORMATION PERTAINING TO CLIENT

Personal DetailsPersonal Details•Applicant’s personal details are Applicant’s personal details are captured in this section.captured in this section.Following details should be Following details should be same as given in PAN Cardsame as given in PAN Card•NameName•Date of BirthDate of Birth•PAN NoPAN NoFollowing details are Following details are mandatory:mandatory:•NameName•Date of BirthDate of Birth•GenderGender•Marital StatusMarital Status•PAN No.PAN No.•NationalityNationality•Occupation TypeOccupation TypeApplicant’s contact details Applicant’s contact details are captured in this section.are captured in this section.•Foreign Address mentioned Foreign Address mentioned should be the same as proof should be the same as proof providedprovided•Following details are Following details are mandatory:mandatory:•AddressAddress•Email id & Mobile NumberEmail id & Mobile Number•Work AddressWork Address•You can also state your You can also state your preferred mailing address & preferred mailing address & contact numbercontact number

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Applicant’s bank details are captured in this section.Applicant’s bank details are captured in this section.•Bank nameBank name•Branch address, as per cancel cheuqe / statement / passbookBranch address, as per cancel cheuqe / statement / passbook•Bank account numberBank account number•Account TypeAccount Type•IFSC or MICR codeIFSC or MICR code

In case, Depository account already opened,In case, Depository account already opened,•Mention DP nameMention DP name

•DP IDDP ID•Beneficiary NameBeneficiary Name

•Beneficiary IDBeneficiary ID

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Following details are mandatory:Following details are mandatory:•Organization Name / Complete address / Contact detailsOrganization Name / Complete address / Contact details

•Annual Income (Tick any one)Annual Income (Tick any one)•Annual Income should be same as per the latest Income Tax receipt / Form 16Annual Income should be same as per the latest Income Tax receipt / Form 16

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Applicant’s account & Investment/Trading details are captured in this section:Applicant’s account & Investment/Trading details are captured in this section:•Investment/Trading Experience Details•Trading Preference•Signature to be within the white box provided (which you wish to trade)

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•Registered with any other Broker / Sub-BrokerRegistered with any other Broker / Sub-Broker

•If yes, Filled the broker name, address & client If yes, Filled the broker name, address & client codecode

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Introducer details mandatory for equity account: - Introducer details mandatory for equity account: - •At least – Name & address & PAN no filled on above mention filledAt least – Name & address & PAN no filled on above mention filled

•Name & Designation of employee, who interview the client & SignatureName & Designation of employee, who interview the client & Signature

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Following Agreement need to be signed & proper details filled , as per Following Agreement need to be signed & proper details filled , as per requirementrequirement:-:-

•Member – Client Agreement – NSE (Page # 7)Member – Client Agreement – NSE (Page # 7)•Member – Client Agreement – BSE (Page # 10)Member – Client Agreement – BSE (Page # 10)•Tripartite Agreement Between Stock Broker, Sub-Broker and Client – NSE (Page # 13)Tripartite Agreement Between Stock Broker, Sub-Broker and Client – NSE (Page # 13)

•Tripartite Agreement Between Stock Broker, Sub-Broker and Client – BSE (Page # 17)Tripartite Agreement Between Stock Broker, Sub-Broker and Client – BSE (Page # 17)•Policies & Procedure (Page # 21)Policies & Procedure (Page # 21)•Combined Risk Disclosure Document (NSE / BSE) {Page # 25)Combined Risk Disclosure Document (NSE / BSE) {Page # 25)•Investors’ Rights and Obligation : Annexure- 1 (Page # 28)Investors’ Rights and Obligation : Annexure- 1 (Page # 28)•Member Constituent Agreement – MCX – SX Currency Derivative (Page # 30)Member Constituent Agreement – MCX – SX Currency Derivative (Page # 30)•Combined Risk Disclosure Document for Currency Derivatives Segment (Page # 33)Combined Risk Disclosure Document for Currency Derivatives Segment (Page # 33)•Investors’ rights and obligation for currency derivative segment (Page # 36)Investors’ rights and obligation for currency derivative segment (Page # 36)•Disclosure for Proprietary Trade (Page # 37)Disclosure for Proprietary Trade (Page # 37)•Supplemental Member – Client Agreement – BSE (IRORS Trading) {Page # 38)Supplemental Member – Client Agreement – BSE (IRORS Trading) {Page # 38)•Member – Client Agreement for Internet Trading – NSE (Page # 43)Member – Client Agreement for Internet Trading – NSE (Page # 43)•Contract between WELLINDIA & CLIENT (Page # 45)Contract between WELLINDIA & CLIENT (Page # 45)•Running account authorisation (Page # 51)Running account authorisation (Page # 51)•Authorisation for Electronic Contract Notes (Page # 52Authorisation for Electronic Contract Notes (Page # 52

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At least one witness required At least one witness required form Client sideform Client side

((MandatoryMandatory))

Client signature required of all mention Client signature required of all mention placeplaceName mention as per PAN cardName mention as per PAN cardAddress as per provide documentsAddress as per provide documents

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APPLICATION FORM FORAPPLICATION FORM FOROPENING OPENING

AA

DEMAT ACCOUNTDEMAT ACCOUNT

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Type of Account Type of Account

(Please tick whichever is applicable)(Please tick whichever is applicable)

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Sole / First Holder DetailsSole / First Holder Details•Applicant’s personal details are Applicant’s personal details are captured in this section.captured in this section.Following details should be Following details should be same as given in PAN Cardsame as given in PAN Card•NameName•Date of BirthDate of Birth•PAN NoPAN NoFollowing details are Following details are mandatory:mandatory:•NameName•Date of BirthDate of Birth•GenderGender•Marital StatusMarital Status•PAN No.PAN No.•NationalityNationality•Occupation TypeOccupation Type•Email id & Mobile NumberEmail id & Mobile Number•Occupation typeOccupation type•Nature of BusinessNature of Business•Financial Details (Income Financial Details (Income Range)Range)

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Applicant’s contact details are captured in this section.Applicant’s contact details are captured in this section.•Foreign Address mentioned should be the same as proof providedForeign Address mentioned should be the same as proof provided

Following details are mandatory:Following details are mandatory:•AddressAddressYou can also state your preferred mailing address & contact numberYou can also state your preferred mailing address & contact number

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•SMS alert facility as per CDSL, SMS alert facility as per CDSL, (required)(required)

•Easi facility is optionalEasi facility is optional

•Credit instruction from me/us Credit instruction from me/us accountaccount

•Account statement requirementAccount statement requirement

•ECS facility - Dividend / interest ECS facility - Dividend / interest directly into your bank accountdirectly into your bank account

Applicant’s bank details are Applicant’s bank details are captured in this section.captured in this section.•MICR codeMICR code•Bank nameBank name•Branch address, as per cancel Branch address, as per cancel cheque / statement / passbookcheque / statement / passbook•Bank account numberBank account number•Account TypeAccount Type

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Nomination in BO accounts made Nomination in BO accounts made compulsorycompulsory

With reference to CDSL communiqué With reference to CDSL communiqué No.1424 dated January 16, 2009No.1424 dated January 16, 2009

Wish to nominate or do not wish Wish to nominate or do not wish nominate (nominate (tick any one)tick any one)

Proper filled : -Proper filled : - Nominee NameNominee NameAddressAddressEmail idEmail idContact No.Contact No.

Acknowledgement receipts, give the Acknowledgement receipts, give the clientsclients

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Power of Attorney: -Power of Attorney: - BO NameBO NameBO account #BO account #

One Witness should be One Witness should be compulsory form client side (with compulsory form client side (with signed & filled properly)signed & filled properly)

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COMPULSORY REGISTRATION FOR THE SMS ALERT FACILITYCOMPULSORY REGISTRATION FOR THE SMS ALERT FACILITYFOR DEMAT ACCOUNTS WITH REGISTERED POWER-OF-ATTORNEYFOR DEMAT ACCOUNTS WITH REGISTERED POWER-OF-ATTORNEY

With reference to CDSL communiqué No. CDSL/OPS/DP/1574, May 12, 2009With reference to CDSL communiqué No. CDSL/OPS/DP/1574, May 12, 2009

Filled properly & signed by client : - Filled properly & signed by client : - Mobile number is registered in the name of : -Mobile number is registered in the name of : -Email ID : - Email ID : -

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Depository Schedule RateDepository Schedule Rate

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In Person Verification is mandatory for account opening formsIn Person Verification is mandatory for account opening forms

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Electronic Clearing Services is mandatory formElectronic Clearing Services is mandatory form•Client NameClient Name•Bank NameBank Name•Bank Branch NameBank Branch Name•MICR Code & Account type is properly filled in this formMICR Code & Account type is properly filled in this form

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BROKERAGE SLABBROKERAGE SLAB

•Please clearly mention brokeragePlease clearly mention brokerage

•Client signature requiredClient signature required

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Note: -  Note: -  

All supporting documents should be self attested by client.All supporting documents should be self attested by client.All supporting documents should be Original Seen Verified (OSV) & In Person All supporting documents should be Original Seen Verified (OSV) & In Person Verification (IPV)Verification (IPV)Account Opening Fees Rs. 500/- is required (Original Cheque).Account Opening Fees Rs. 500/- is required (Original Cheque).

Please note that any query related to KYC, Documentation & any account opening Please note that any query related to KYC, Documentation & any account opening must be forwarded & contact to: -must be forwarded & contact to: -

Mr. Deepak MehraMr. Deepak Mehra & & Mr. Rajeev JainMr. Rajeev Jain, ,

Landline- Landline- 120 - 4601128120 - 4601128 & 120 - 4601125 & 120 - 4601125, ,

Mobile No - Mobile No - 99907999709990799970 & 9990799971 & 9990799971, ,

Email Id- Email Id- kyc@wellindia.comkyc@wellindia.com & dp@wellindia.com.

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Note: -Note: - If any modification or changing for If any modification or changing for client account, please filled the format for client account, please filled the format for modification and signed by the client.modification and signed by the client.

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ThanksThanks