EQUITY TRADING SERVICES - Darashaw...Account Opening Form SEBI Registration No. NSE (Capital Market)...

All1Abou2t T6rust

Regd Office : 1205-06, Regent Chambers, 208, Nariman Point, Mumbai 400 021Tel No: 66306612/3/4 Fax No: 43022199/299

EQUITY TRADING SERVICES

9

Account Opening Form

SEBI Registration No.

NSE (Capital Market) - INZ000231438NSE (Equity Derivatives) - INZ000231438 NSE(CurrencyDerivatives) - INZ000231438

BSE (Capital Market) - INZ000231438 BSE (Equtiy Derivatives) - INZ000231438 BSE(Currency Derivatives) - INZ000231438

DARASHAW & COMPANY PRIVATE LIMITEDCIN-U67120MH1994PTC076656

Registered & Corporate Office: 1205-06 Regent Chambers, 208 Nariman Point, Mumbai 400 021Website: www.darashaw.com, Email: [email protected]

Tel no: +91 22 6630 6612 Fax no: +91 22 2204 0031/401

ACCOUNT OPENING KIT PART 2

INDEX

Sr.no Name of the Document Brief Significance of the Document Page No

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1 Account Opening Form

A. KYC form - Document captures thebasic information about the constituent andan instruction/check list.B.Document captures the additionalinformation about the constituent relevantto trading account and aninstruction/check list

2Rights and Obligations

Document stating the Rights & Obligationsof stock broker/trading member, sub-brokerand client for trading on exchanges (includingadditional rights & obligations in case ofinternet/wireless technology based trading).

3Risk Disclosure Document(RDD)

Document detailing risk associated withdealing in the securities market.

4 Guidance NoteDocument detailing do’s and don’ts for tradingon exchange, for the education of the investors.

5 Policies and Procedures Document describing significant policies andprocedures of the stock broker

6 Tariff SheetDocument detailing the rate/amount ofbrokerage and other charges levied on theclient for trading on the stock exchange(s)

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

7Sebi Prop trading disclosureANNEXURE V-1

Declaration or disclosure of proprietarytrading.

8Investor Education on Prevention ofMoney Laundering Act

Running Account Authorization.ANNEXURE D-1

Authorization for retaining and utilization ofcredits of funds & securities.

Authorization for sending documentsthrough email.

Consent to receive the communication &documents through email.

11 - 15

16-22

23-31

32-37

38-40

41-43

44

46

ANNEXURE V-2

9

10

To educate the clients on PMLA guidelines.47-48

49-50

51-52



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ANNEXURE D-2

Authorization on Orders and TradeSlips. ANNEXURE D-3

Mode of placing orders for trading.

Format of Board Resolution Sample Copy of Board Resolution

Financial Status and other details Client’s Financial Information under PMLA2002

55

Email Alerts from Stock Exchanges 56

11 53

12 54

13

SMS and Email Alert facility Consent of opting for Facility of SMS and14



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Name of stock broker/ trading member/ clearing member: Darashaw & Company Pvt. Ltd

SEBI Registration No. and date

BSE SEBI Registration No –

Registered Office Address:1205-06, Regent Chambers, 208, Nariman Point, Mumbai – 400021Ph: 022 43022222 Fax: 022 43022299 Website: www.darashaw.com

Correspondence Office Address:1205-06, Regent Chambers, 208, Nariman Point, Mumbai – 400021Ph: 022 43022222 Fax: 022 43022299 Website: www.darashaw.com

Compliance Officer Name, Phone no. & email id:Name- Bina Shah,Ph no- 022 43022333Email Id- [email protected]

Directors Name, Phone no. & email id:Directors Name- Darashaw K. MehtaPh No- 022 43022100Email Id- [email protected]

For any grievance/dispute please contact Darashaw and company Private Limited at the aboveaddress or email id- [email protected] and Phone no. 022- 4302 2138. In case notsatisfied with the response, please contact the concerned exchange(s) at [email protected] andPhone no. 1800220058 for NSE and [email protected] and Phone no. 022 22728097 for BSE.Client can also lodge their grievances with SEBI at http://scores.gov.in for any queries,feedback or assistance, please contact SEBI Office on Toll Free Helpline at 1800 22 7575 /1800 266 7575.

Clearing Member NSE CD Segment:

INZ000231438 Date: 31st December, 1997 Member Code - 161INZ000231438 Date: 26th July, 2000 Member Code - 161INZ000231438 Date: 30th September, 2008 Member Code - 161

NSE SEBI Registration No –INZ000231438 Date: 26th October, 2005 Member Code – 09922INZ000231438 Date: 26th October, 2005 Member Code – 09922INZ000231438 Date: 25th August, 2008 Member Code – 09922

Clearing Member NSE F&O Segment:Stock Holding Corporation of India Ltd SEBI Registration No: INZ000241237.Address: Stock Holding Corporation of India Ltd., Plot No: P-51, MIDC, Mahape,Navi Mumbai- 400701. Tel: 022 61778067 Fax: 022 61778070

Stock Holding Corporation of India Ltd SEBI Registration No:INZ000241237. Address: Stock Holding Corporation of India Ltd., Plot No: P-51, MIDC, Mahape, Navi Mumbai- 400701. Tel: 022 61778067 Fax: 022 61778070



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MANDATORY

DOCUMENTS



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INSTRUCTIONS FOR FILLING KYC FORM

A. IMPORTANT POINTS:1. Self attested copy of PAN card is mandatory for all clients, including

Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to dealin securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested andaccompanied by originals for verification. In case the original of any document is notproduced for verification, then the copies should be properly attested by entities authorizedfor attesting the documents, as per the below mentioned list.

3. If any proof of identity or address is in a foreign language, then translation into English isrequired.

4. Name & address of the applicant mentioned on the KYC form, should match with thedocumentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to besubmitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMAguidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, theirpassport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC(Continuous Discharge Certificate) is to be submitted.

10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopyof the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport ofMinor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrustedwith prominent public functions in a foreign country, e.g., Heads of States or ofGovernments, senior politicians, senior Government/judicial/ military officers, seniorexecutives of state owned corporations, important political party officials, etc.

B. Exemptions/clarifications to PAN(*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or StateGovernment and by officials appointed by Courts e.g. Official liquidator, Court receiveretc.

2. Investors residing in the state of Sikkim.3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

4. SIP of Mutual Funds upto Rs 50, 000/- p.a.



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5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, ScheduledCommercial Banks, Multilateral and Bilateral Development Financial Institutions, StateIndustrial Development Corporations, Insurance Companies registered with IRDA andPublic Financial Institution as defined under section 4A of the Companies Act, 1956,Custodians shall verify the PAN card details with the original PAN card and provide dulycertified copies of such verified PAN details to the intermediary.

C. List of people authorized to attest the documents:1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co -

operative Bank or Multinational Foreign Banks (Name, Designation & Seal should beaffixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled CommercialBanks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest thedocuments.

# Signature of clients is required at the place marked with symbol



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CHECK LIST FOR FILLING KYC FORM

A. Proof of Identity (POI): - List of documents admissible as Proof of Identity:

1. Unique Identification Number (UID) (Aadhaar) /Passport /Voter ID card /Drivinglicense

2. PAN card with photograph3. Identity card/ document with applicant’s Photo, issued by any of the following:

Central/State Government and its Departments, Statutory/Regulatory Authorities, PublicSector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,to their Members; and Credit cards/Debit cards issued by Banks.

B. Proof of Address (POA): - List of documents admissible as Proof of Address:(*Documents having an expiry date should be valid on the date of submission.)

1. Passport / Voters Identity Card / Ration Card / Registered Lease or SaleAgreement of Residence /Driving License /Flat Maintenance bill /Insurance Copy

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not morethan 3 months old

3. Bank Account Statement/Passbook -- Not more than 3 months old.4. Self-declaration by High Court and Supreme Court judges, giving the new address in

respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of Scheduled

Commercial Banks/Scheduled Co-Operative Bank/Multinational ForeignBanks/Gazetted Officer/Notary public/Elected representatives to the LegislativeAssembly/Parliament/Documents issued by any Govt. or Statutory Authority.

6. Identity card/document with address, issued by any of the following: Central/StateGovernment and its Departments, Statutory/Regulatory Authorities, Public SectorUndertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Counciletc., to their Members.

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians(which are duly notarized and/or apostiled or consularised) that gives the registered addressshould be taken.

8. The proof of address in the name of the spouse may be accepted.

C. Copy of cancelled cheque leaf/ Pass book/ Bank statement specifying name of theconstituent, MICR Code or/and IFSC Code of the bank should be submitted.

D.Demat master Recent holding statement issued by DP bearing name of the client.



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E. Additional documents in case of trading in derivatives segments - illustrative list:

1. Copy of ITR Acknowledgement

2. Copy of Annual Accounts

3. In case of salary income - Salary Slip, Copy of Form 16

4. Net worth certificate

5. Copy of demat account holding statement

6. Bank account statement for last 6 months

7. Any other relevant documents substantiating ownership of assets

8. Self declaration with relevant supporting documents

*In respect of other clients, documents as per risk management policy of the stock broker need to beprovided by the client from time to time.

Note :

For Individuals

a. Stock broker has an option of doing ‘in-person’ verification through web camera at thebranch office of the stock broker/sub-broker’s office.

b. In case of non-resident clients, employees at the stock broker’s local office, overseascan do in-person’ verification. Further, considering the infeasibility of carrying out ‘In-person’ verification of the non-resident clients by the stock broker’s staff, attestation ofKYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, IndianEmbassy / Consulate General in the country where the client resides may be permitted.

In case of Non-Individuals, additional documents to be obtained from non-individuals, over& above the POI & POA, as mentioned below:

Types of Entity Documentary RequirementsCorporate Copy of the balance sheets for the last 2 financial years (to be submitted

every year).

Copy of latest share holding pattern including list of all thoseholding control, either directly or indirectly, in the company in terms ofSEBI takeover Regulations, duly certified by the company secretary/Wholetime director/MD (to be submitted every year).



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Photograph, POI, POA, PAN and DIN numbers of whole timedirectors/two directors in charge of day to day operations.

Photograph, POI, POA, PAN of individual promoters holding control -either directly or indirectly.

Copies of the Memorandum and Articles of Association and certificate ofincorporation.

Copy of the Board Resolution for investment in securities market.

Authorised signatories list with specimen signatures.Partnership Firm Copy of the balance sheets for the last 2 financial years (to be submitted

every year).

Certificate of registration (for registered partnership firms only)

Copy of partnership deed.

Authorised signatories list with specimen signatures

Photograph, POI, POA, PAN of Partners.Trust Copy of the balance sheets for the last 2 financial years (to be submitted

every year).

Certificate of registration (for registered trust only)

Copy of Trust deed

List of trustees certified by managing trustees/CA

Photograph, POI, POA, PAN of TrusteesHUF PAN of HUF

Deed of declaration of HUF/ List of coparceners

Bank pass-book/bank statement in the name of HUF

Photograph, POI, POA, PAN of KartaUnincorporatedassociation or abody of individuals

Proof of Existence/Constitution document

Resolution of the managing body & Power of Attorney granted to transactbusiness on its behalf

Authorized signatories list with specimen signaturesBanks/InstitutionalInvestors

Copy of the constitution/registration or annual report/balance sheet for thelast 2 financial years

Authorized signatories list with specimen signatures



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ForeignInstitutionalInvestors(FII)

Copy of SEBI registration certificate

Authorized signatories list with specimen signaturesArmy/GovernmentBodies

Self-certification on letterhead

Authorized signatories list with specimen signaturesRegistered Society Copy of Registration Certificate under Societies Registration Act

List of Managing Committee members

Committee resolution for persons authorised to act as authorisedsignatories with specimen signatures

True copy of Society Rules and Bye Laws certified by theChairman/Secretary

Note:For Non-Individuals

a. Form need to be initialized by all the authorized signatories.

b. Copy of Board Resolution or declaration (on the letterhead) naming the personsauthorized to deal in securities on behalf of company/firm/others and their specimensignatures.

As per Gazette notification dated June 1, 2017 self attested copy of Aadhaar card is mandatory for all clients including individuals investors/ clients, directors, trustees, authorised signatories, POA holders who are authorised to make decesion in case of corporates, Trusts and other non individual clients.



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KNOW YOUR CLIENT (KYC) APPLICATION FORM

Please fill this form in ENGLISH and in BLOCK LETTERS. For Individuals

A. IDENTITY DETAILS

1. Name of the Applicant: ________________________________________________________________2. Father’s/ Spouse Name:________________________________________________________________3. a. Gender: Male/Female __________ b. Marital Status: Single/Married _______________

c. Date of Birth: ___________________(DD/MM/YYYY)

4. a. Nationality: ________________________________________________________________________

b. Status:Resident Individual/Non Resident /Foreign National

5. a. PAN: _____________________________________________________________________________b. Unique Identification Number (UID)/ Aadhaar, if any:________________________________

6. Specify the proof of Identity submitted: _____________________________________________

B.ADDRESS DETAILS

1. Residence Address: __________________________________________________________________________________________________________________________________________________

City/town/village: _________________ Pin Code: _________________ State: ________________

Country: _______________________________________________________________________

2. Contact Details: Tel. (Off.) ________________________ Tel. (Res.) ______________________

Mobile No.: ___________________________ Fax: __________________________________

Email id: ______________________________________________________________________

3. Specify the proof of address submitted for Residence address: _______________________

Please affix yourrecent passportsize photographand sign across

it



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4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident

Applicant):_____________________________________________________________________________________________________________________________________________________________

City/town/village: _______________ Pin Code: __________________ State: _________________

Country: ________________________________________________________________________

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledgeand belief and I undertake to inform you of any changes therein, immediately. In case any ofthe above information is found to be false or untrue or misleading or misrepresenting, I amaware that I may be held liable for it.

_________________________

Signature of the Applicant Date: ______________________

(DD/MM/YYYY

FOR OFFICE USE ONLY

Originals verified and Self Attested document copies received

(____________________________________)Name & Signature of the Authorised Signatory

Date _________________________ Seal/Stamp of the intermediary



Tel no: +91 22 6630 6612 Fax no: +91 22 2204 0031/4013

KNOW YOUR CLIENT (KYC) APPLICATION FORM

Please fill this form in ENGLISH and in BLOCK LETTERS. For Non Individuals

A.IDENTITY DETAILS

1. Name of the Applicant: _______________________________________________________________2. Date of Incorporation: _________________ & Place of incorporation:___________________

(DD/MM/YYYY)

3. Date of commencement of business: ________________(DD/MM/YYYY)

4. a. PAN: _____________________________________________________________________________b. Registration No. (e.g. CIN): __________________________________________________________

5. Status (please tick any one):Private Limited Co./Public Ltd. Co./Body Corporate/Partnership/Trust/

Charities/NGO’s/FI/FII/HUF/AOP/Bank/Government Body/

Non-Government Organization/Defense Establishment/BOI/Society/LLP/

Others (please specify)_________________________________________________________

B. ADDRESS DETAILS1. Address for correspondence: __________________________________________________________________________________________________________________________________________City/town/village: ________________ Pin Code: ________________ State: _________________Country: _______________________________________________________________________

______________________________________________________________________

2. Contact Details: Tel. (Off.) _____________________ Tel. (Res.) _________________________Mobile No.: _____________________________ Fax: _________________________________Email id: ________________________________________________________________________

3. Specify the proof of address submitted for correspondence address: _______________________4. Registered Address (If different from above): _________________________________________________________________________________________________________________________City/town/village: ________________ Pin Code: ________________ State: __________________Country: ________________________________________________________________________



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C.OTHER DETAILS

1. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trusteesand whole time directors:-Please provide details on Annexure- A attached.

2. UID of Promoters/Partners/Karta and DIN of whole time directors:________________________________________________________________________________

DECLARATION

I/We hereby declare that the details furnished above are true and correct to the best of my/ourknowledge and belief and I/we 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 ormisrepresenting, I am/we are aware that I may be held liable for it.

________________________________________Name & Signature of the Authorised Signatory Date: _______________________

(dd/mm/yyyy)

FOR OFFICE USE ONLY

(Originals verified) and Self attested document copies received

(____________________________________)Name & Signature of the Authorised Signatory

Date _________________________ Seal/Stamp of the intermediary



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Annexure-A

Details & Photograph of Promoters/Partners/Karta/Trustees and whole time directors:-

Name

ResidentialAddress

Income Tax PANNo.DIN & UID

Name

ResidentialAddress


Name

ResidentialAddress


Name

ResidentialAddress


Please affix yourrecent passportphotograph and

sign across it


sign across it


sign across it


sign across it


sign across it



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TRADING ACCOUNT RELATED DETAILS

For Individuals & Non-individualsA. BANK ACCOUNT(S) DETAILS

Bank Name Branchaddress

Bank accountno.

AccountType: Saving/Current/Others- In case ofNRI/NRE/ NRO

MICR Number IFSC Code

B. DEPOSITORY ACCOUNT(S) DETAILS

DepositoryParticipant Name

Depository Name(NSDL/ CDSL)

Beneficiary Name DP ID Beneficiary ID (BOID)

C.TRADING PREFERENCES

*Please sign in the relevant boxes where you wish to trade. The segment not chosen should bestruck off by the client.

Exchanges Segments

Bombay Stock Exchange

Cash

F&O

Currency Derivative

National Stock Exchange ofIndia Limited

Cash

F&O

Currency Derivative

# If, in future, the client wants to trade on any new segment/new exchange, separateauthorization/letter should be taken from the client by the stock broker.



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D.PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/anyother authority against the applicant/constituent or its Partners/promoters/whole timedirectors/authorized persons in charge of dealing in securities during the last 3 years:

_________________________________________________________________________

E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If client is dealing through the sub-broker, provide the following details:

1. Sub-broker’s Name ______________________________________________________2. SEBI Registration number: ________________________________________________3. Registered office address: __________________________________________________________________________________________________________________________4. Ph: ______________________________ 5. Fax: _______________________________6. Website: ________________________________________________________________

Whether dealing with any other stock broker/sub-broker (if case dealing with multiplestock brokers/sub-brokers, provide details of all)

1. Name of stock broker:____________________________________________________2. Name of Sub-Broker, if any:_______________________________________________3. Client Code: ________________ 4.Exchange:_________________________________

4. Details of disputes/ dues pending from/ to such stock broker/ sub- broker:_________________________________________________________________________________

F. ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN)(Please specify):___________________________________________________________Specify your Email id, if applicable: ____________________________________________

Whether you wish to avail of the facility of internet trading/ wireless technology (pleaseSpecify): ________________________________________________________________

Number of years of Investment/Trading Experience: ______________________________



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In case of non-individuals, name, designation, PAN, UID, signature, residential addressand photographs of persons authorized to deal in securities on behalf of company/ firm/others:

Name: ___________________________________________________________________Designation: ______________________________________________________________PAN: ____________________________________________________________________UID: ____________________________________________________________________Residential Address: __________________________________________________________________________________________________________________________________________________________________________________________________________

Signature:______________________________________________________________

Photograph Attached:YES/NO

Any other information: ______________________________________________________

_________________________________________________________________________

Gross Annual Income Details (please specify):

Income Range (Per Annum): (Tick where applicable)

For Individuals For Non Individuals

Below Rs. 1 Lacs Below Rs. 1 LacsRs. 1 Lacs to Rs. 5 Lacs Rs. 1 Lacs to Rs. 5 LacsRs. 5 Lacs to Rs. 10 Lacs Rs. 5 Lacs to Rs. 10 LacsRs. 10 Lacs to Rs. 25 Lacs Rs. 10 Lacs to Rs. 25 LacsAbove Rs. 25 Lacs Above Rs. 25 Lacs

Net-worth as on (date)_______________________. (Rs_________________________________)

(Net worth should not be older than 1 year)

Occupation (For Individuals Only) (please tick any one and give brief details):Private

Sector/ Public Sector/Government Service/ Business/Professional/

Agriculturist/ Retired/Housewife/Student/Others



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Name of Employer: ____________________________________________________________Office Address: _______________________________________________________________City: ________________________________________________________________________Pin Code: ____________________________________________________________________State: _______________________________Country: _________________________________

Telephone Number_________________________________ Fax No_______________________

3. Please tick, if applicable (In Case of Non Individuals, please tick, if applicable for any of yourauthorised signatory/ Promoters/ Partners/ Karta/ Trustees/ Whole Time Directors):

Politically Exposed Person (PEP)/Related to a Politically Exposed Person (PEP)

4.Any other information: ___________________________________________________________

_______________________________________________________________________________

G. INTRODUCER DETAILS (optional)

Name of the Introducer: ____________________________________________________________

(Surname) (Name) (Middle Name)

Status of the Introducer: Sub-broker/ Remisier/Authorized Person/ Existing Client/ Others, please

specify__________________________________________________________________________

Address and phone no. of the Introducer: ______________________________________________

________________________________________________________________________________

Signature of the Introducer: _______________________________________________________



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H. NOMINATION DETAILS (for individuals only)

I/We do not wish to nominate

I/We wish to nominate

1. Name of the Nominee: ______________________________________________________

2. Relationship with the Nominee: _______________________________________________

3. PAN of Nominee: __________________________________________________________

4. Date of Birth of Nominee: ___________________________________________________

5. Address and phone no. of the Nominee: _________________________________________

______________________________________________________________________________

If Nominee is a minor, details of guardian:

1. Name of guardian: _________________________________________________________

2. Address and phone no. of Guardian: ___________________________________________

_____________________________________________________________________________

Signature of guardian _____________________________________________________________

WITNESSES (Only applicable in case the account holder has made nomination)

Name ____________________________ Name _______________________________

Signature ________________________ Signature __________________________

Address __________________________ Address _____________________________

_________________________________ ____________________________________



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DECLARATION

1. I/we hereby declare that the details furnished above are true and correct to the best of my/ourknowledge and belief and I/we undertake to inform you of any changes therein, immediately. In caseany of the above information is found to be false or untrue or misleading or misrepresenting, I am/weare aware that I/we may be held liable for it.

2. I/We confirm having read/been explained and understood the contents of the document onpolicy and procedures of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’document(s) and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by suchprovisions as outlined in these documents. I/We have also been informed that the standard set ofdocuments has been displayed for Information on stock broker’s designated website, if any.

Place _______________

(______________________________________)Date ________________ Signature of Client/ (all) Authorized Signatory (ies)



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FOR OFFICE USE ONLY

UCC Code allotted to the Client: ___________

Documents verifiedwith Originals

Client Interviewed By In-Person Verificationdone by

Name of the Employee

Employee Code

Designation of theemployee

Date

Signature

I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and allthe non -mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYCdocuments. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet andall the non-mandatory documents would be duly intimated to the clients. I/We alsoundertake that any change in the ‘Rights and Obligations’ and RDD would be made available onmy/our website, if any, for the information of the clients

_______________________________

Signature of the Authorised Signatory

Date ____________________ Seal/Stamp of the stock broker



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RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTSas prescribed by SEBI and Stock Exchanges

1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealingson the Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities andExchange Board of India (SEBI) and circulars/notices issued there under from time to time.

2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws andRegulations of the Exchange and circulars/notices issued there under and Rules and Regulations ofSEBI and relevant notifications of Government authorities as may be in force from time to time.

3. The client shall satisfy itself of the capacity of the stock broker to deal in securities and/ordeal in derivatives contracts and wishes to execute its orders through the stock broker and theclient shall from time to time continue to satisfy itself of such capability of the stock broker beforeexecuting orders through the stock broker.

4. The stock broker shall continuously satisfy itself about the genuineness and financialsoundness of the client and investment objectives relevant to the services to be provided.

5. The stock broker shall take steps to make the client aware of the precise nature of the Stockbroker’s liability for business to be conducted, including any limitations, the liability and thecapacity in which the stock broker acts.

6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all itsdealings with the client(s).

CLIENT INFORMATION

7. The client shall furnish all such details in full as are required by the stock broker in "AccountOpening Form” with supporting details, made mandatory by stock exchanges/SEBI from time totime.

8. The client shall familiarize himself with all the mandatory provisions in the AccountOpening documents. Any additional clauses or documents specified by the stock broker shall benon-mandatory, as per terms & conditions accepted by the client.

9. The client shall immediately notify the stock broker in writing if there is any change in theinformation in the ‘account opening form’ as provided at the time of account opening andthereafter; including the information on winding up petition/insolvency petition or anylitigation which may have material bearing on his capacity. The client shall provide/update thefinancial information to the stock broker on a periodic basis.

10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in



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the account opening form or any other information pertaining to the client, confidentially and thatthey shall not disclose the same to any person/authority except as required under any law/regulatoryrequirements. Provided however that the stock broker may so disclose information about his clientto any person or authority with the express permission of the client.

MARGINS

11. The client shall pay applicable initial margins, withholding margins, special margins or suchother margins as are considered necessary by the stock broker or the Exchange or as may bedirected by SEBI from time to time as applicable to the segment(s) in which the client trades.The stock broker is permitted in its sole and absolute discretion to collect additional margins(even though not required by the Exchange, Clearing House/Clearing Corporation or SEBI) andthe client shall be obliged to pay such margins within the stipulated time.

12. The client understands that payment of margins by the client does not necessarily implycomplete satisfaction of all dues. In spite of consistently having paid margins, the client may, onthe settlement of its trade, be obliged to pay (or entitled to receive) such further sums as thecontract may dictate/require.

TRANSACTIONS AND SETTLEMENTS

13. The client shall give any order for buy or sell of a security/derivatives contract in writing or insuch form or manner, as may be mutually agreed between the client and the stock broker. Thestock broker shall ensure to place orders and execute the trades of the client, only in the UniqueClient Code assigned to that client.

14. The stock broker shall inform the client and keep him apprised about trading/settlementcycles, delivery/payment schedules, any changes therein from time to time, and it shall be theresponsibility in turn of the client to comply with such schedules/procedures of the relevant stockexchange where the trade is executed.

15. The stock broker shall ensure that the money/securities deposited by the client shall be kept in aseparate account, distinct from his/its own account or account of any other client and shall notbe used by the stock broker for himself/itself or for any other client or for any purpose otherthan the purposes mentioned in Rules , Regulations, circulars, notices, guidelines of SEBI and/orRules, Regulations, Bye-laws, circulars and notices of Exchange.

16. Where the Exchange(s) cancels trade(s) suo moto all such trades including the trade/s done onbehalf of the client shall ipso facto stand cancelled, stock broker shall be entitled to cancel therespective contract(s) with client(s).

17. The transactions executed on the Exchange are subject to Rules, Byelaws and Regulations andcirculars/notices issued thereunder of the Exchanges where the trade is executed and all parties tosuch trade shall have submitted to the jurisdiction of such court as may be specified by theByelaws and Regulations of the Exchanges where the trade is executed for the purpose of giving



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effect to the provisions of the Rules, Byelaws and Regulations of the Exchanges and thecirculars/notices issued thereunder.

BROKERAGE

18. The Client shall pay to the stock broker brokerage and statutory levies as are prevailing fromtime to time and as they apply to the Client’s account, transactions and to the services thatstock broker renders to the Client. The stock broker shall not charge brokerage more than themaximum brokerage permissible as per the rules, regulations and bye-laws of the relevant stockexchanges and/or rules and regulations of SEBI.

LIQUIDATION AND CLOSE OUT OF POSITION

19. Without prejudice to the stock broker's other rights (including the right to refer a matter toarbitration), the client understands that the stock broker shall be entitled to liquidate/close out allor any of the client's positions for non -payment of margins or other amounts, outstanding debts,etc. and adjust the proceeds of such liquidation/close out, if any, against the client’sliabilities/obligations. Any and all losses and financial charges on account of suchliquidation/closing-out shall be charged to and borne by the client.

20. In the event of death or insolvency of the client or his/its otherwise becoming incapable ofreceiving and paying for or delivering or transferring securities which the client has ordered to bebought or sold, stock broker may close out the transaction of the client and claim losses, if any,against the estate of the client. The client or his nominees, successors, heirs and assignee shall beentitled to any surplus which may result there from. The client shall note that transfer offunds/securities in favor of a Nominee shall be valid discharge by the stock broker against the legalheir.

21. The stock broker shall bring to the notice of the relevant Exchange the informationabout default in payment/delivery and related aspects by a client. In case where defaultingclient is a corporate entity/partnership/proprietary firm or any other artificial legal entity,then the name(s) of Director(s)/Promoter(s)/Partner(s)/Proprietor as the case may be, shall alsobe communicated by the stock broker to the relevant Exchange(s).

DISPUTE RESOLUTION

22.The stock broker shall provide the client with the relevant contact details of the concernedExchanges and SEBI.

23. The stock broker shall co-operate in redressing grievances of the client in respect of alltransactions routed through it and in removing objections for bad delivery of shares, rectification ofbad delivery, etc.

24. The client and the stock broker shall refer any claims and/or disputes with respect to deposits,margin money, etc.,to arbitration as per the Rules, Byelaws and Regulations of the Exchanges where



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the trade is executed and circulars/notices issued thereunder as may be in force from time to time.

25. The stock broker shall ensure faster settlement of any arbitration proceedings arising out of thetransactions entered into between him vis-à-vis the client and he shall be liable to implement thearbitration awards made in such proceedings.

26. The client/stock-broker understands that the instructions issued by an authorized representativefor dispute resolution, if any, of the client/stock-broker shall be binding on the client/stock-broker inaccordance with the letter authorizing the said representative to deal on behalf of the saidclient/stock-broker.

TERMINATION OF RELATIONSHIP

27. This relationship between the stock broker and the client shall be terminated; if the stock brokerfor any reason ceases to be a member of the stock exchange including cessation of membership byreason of the stock broker's default, death, resignation or expulsion or if the certificate is cancelled bythe Board.

28. The stock broker, sub-broker and the client shall be entitled to terminate the relationship betweenthem without giving any reasons to the other party, after giving notice in writing of not less than onemonth to the other parties. Notwithstanding any such termination, all rights, liabilities andobligations of the parties arising out of or in respect of transactions entered into prior to thetermination of this relationship shall continue to subsist and vest in/be binding on the respectiveparties or his/its respective heirs, executors, administrators, legal representatives or successors, as thecase may be.

29. In the event of demise/insolvency of the sub-broker or the cancellation of his/its registration withthe Board or/withdrawal of recognition of the sub-broker by the stock exchange and/or terminationof the agreement with the sub broker by the stock broker, for any reason whatsoever, the client shallbe informed of such termination and the client shall be deemed to be the direct client of the stockbroker and all clauses in the ‘Rights and Obligations’ document(s) governing the stock broker, sub-broker and client shall continue to be in force as it is, unless the client intimates to the stock brokerhis/its intention to terminate their relationship by giving a notice in writing of not less than onemonth.

ADDITIONAL RIGHTS AND OBLIGATIONS

30.The stock broker shall ensure due protection to the client regarding client’s rights to dividends,rights or bonus shares, etc. in respect of transactions routed through it and it shall not do anythingwhich is likely to harm the interest of the client with whom and for whom they may have hadtransactions in securities.

31. The stock broker and client shall reconcile and settle their accounts from time to time as perthe Rules, Regulations, Bye Laws, Circulars, Notices and Guidelines issued by SEBI and the



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relevant Exchanges where the trade is executed.

32. The stock broker shall issue a contract note to his constituents for trades executed in such formatas may be prescribed by the Exchange from time to time containing records of all transactionsincluding details of order number, trade number, trade time, trade price, trade quantity, details of thederivatives contract, client code, brokerage, all charges levied etc. and with all other relevant detailsas required therein to be filled in and issued in such manner and within such time as prescribed bythe Exchange. The stock broker shall send contract notes to the investors within one working day ofthe execution of the trades in hard copy and/or in electronic form using digital signature.

33. The stock broker shall make pay out of funds or delivery of securities, as the case may be, to theClient within one working day of receipt of the payout from the relevant Exchange where the trade isexecuted unless otherwise specified by the client and subject to such terms and conditions as may beprescribed by the relevant Exchange from time to time where the trade is executed.

34. The stock broker shall send a complete `Statement of Accounts’ for both funds and securities inrespect of each of its clients in such periodicity and format within such time, as may be prescribed bythe relevant Exchange, from time to time, where the trade is executed. The Statement shall also statethat the client shall report errors, if any, in the Statement within such time as may be prescribed bythe relevant Exchange from time to time where the trade was executed, from the receipt thereof to theStock broker.

35. The stock broker shall send daily margin statements to the clients. Daily Margin statementshould include, inter-alia, details of collateral deposited, collateral utilized and collateral status(available balance/due from client) with break up in terms of cash, Fixed Deposit Receipts (FDRs),Bank Guarantee and securities.

36. The Client shall ensure that it has the required legal capacity to, and is authorized to, enter intothe relationship with stock broker and is capable of performing his obligations and undertakingshereunder. All actions required to be taken to ensure compliance of all the transactions, which theClient may enter into shall be completed by the Client prior to such transaction being entered into.

ELECTRONIC CONTRACT NOTES (ECN)

37. In case, client opts to receive the contract note in electronic form, he shall provide an appropriatee-mail id to the stock broker. The client shall communicate to the stock broker any change in theemail-id through a physical letter. If the client has opted for internet trading, the request for changeof email id may be made through the secured access by way of client specific user id and password.

38. The stock broker shall ensure that all ECNs sent through the e-mail shall be digitally signed,encrypted, non-tamper able and in compliance with the provisions of the IT Act, 2000. In case, ECNis sent through e-mail as an attachment, the attached file shall also be secured with the digitalsignature, encrypted and non-tamperable.



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39. The client shall note that non-receipt of bounced mail notification by the stock broker shallamount to delivery of the contract note at the e-mail ID of the client.

40. The stock broker shall retain ECN and acknowledgement of the e-mail in a soft and non-tamperable form in the manner prescribed by the exchange in compliance with the provisions of theIT Act, 2000 and as per the extant rules/regulations/circulars/guidelines issued by SEBI/StockExchanges from time to time. The proof of delivery i.e., log report generated by the system at thetime of sending the contract notes shall be maintained by the stock broker for the specified periodunder the extant regulations of SEBI/stock exchanges. The log report shall provide the details of thecontract notes that are not delivered to the client/e-mails rejected or bounced back. The stock brokershall take all possible steps to ensure receipt of notification of bounced mails by him at all timeswithin the stipulated time period under the extant regulations of SEBI/stock exchanges.

41. The stock broker shall continue to send contract notes in the physical mode to such clients whodo not opt to receive the contract notes in the electronic form. Wherever the ECNs have not beendelivered to the client or has been rejected (bouncing of mails) by the e-mail ID of the client, thestock broker shall send a physical contract note to the client within the stipulated time under theextant regulations of SEBI/stock exchanges and maintain the proof of delivery of such physicalcontract notes.

42. In addition to the e-mail communication of the ECNs to the client, the stock broker shallsimultaneously publish the ECN on his designated web-site, if any, in a secured way and enablerelevant access to the clients and for this purpose, shall allot a unique user name and password to theclient, with an option to the client to save the contract note electronically and/or take a print out ofthe same.

LAW AND JURISDICTION

43. In addition to the specific rights set out in this document, the stock broker, sub-broker and theclient shall be entitled to exercise any other rights which the stock broker or the client mayhave under the Rules, Bye -laws and Regulations of the Exchanges in which the client choosesto trade and circulars/notices issued thereunder or Rules and Regulations of SEBI.

44.The provisions of this document shall always be subject to Government notifications, anyrules, regulations, guidelines and circulars/notices issued by SEBI and Rules, Regulationsand Bye laws of the relevant stock exchanges, where the trade is executed, that may be in forcefrom time to time.

45. The stock broker and the client shall abide by any award passed by the Arbitrator(s) underthe Arbitration and Conciliation Act, 1996. However, there is also a provision of appeal within thestock exchanges, if either party is not satisfied with the arbitration award.

46. Words and expressions which are used in this document but which are not defined herein shall,unless the context otherwise requires, have the same meaning as assigned thereto in the Rules,Byelaws and Regulations and circulars/notices issued thereunder of the Exchanges/SEBI.



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47. All additional voluntary clauses/document added by the stock broker should not be incontravention with rules/regulations/notices/circulars of Exchanges/SEBI. Any changes in suchvoluntary clauses/document(s) need to be preceded by a notice of 15 days. Any changes inthe rights and obligations which are specified by Exchanges/SEBI shall also be brought to thenotice of the clients.

48.If the rights and obligations of the parties hereto are altered by virtue of change in Rules andregulations of SEBI or Bye-laws, Rules and Regulations of the relevant stock Exchanges where thetrade is executed, such changes shall be deemed to have been incorporated herein in modificationof the rights and obligations of the parties mentioned in this document.



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INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDEDBY STOCK BROKERS TO CLIENT (All the clauses mentioned in the ‘Rights andObligations’ document(s) shall be applicable. Additionally, the clauses mentioned herein shallalso be applicable.)

1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading throughthe use of wireless technology that shall include the use of devices such as mobile phone, laptop withdata card, etc. which use Internet Protocol (IP). The stock broker shall comply with allrequirements applicable to internet based trading/securities trading using wireless technology asmay be specified by SEBI & the Exchanges from time to time.

2. The client is desirous of investing/trading in securities and for this purpose, the client is desirous ofusing either the internet based trading facility or the facility for securities trading through use ofwireless technology. The Stock broker shall provide the Stock broker’s IBT Service to the Client,and the Client shall avail of the Stock broker’s IBT Service, on and subject to SEBI/ExchangesProvisions and the terms and conditions specified on the Stock broker’s IBT Web Site provided thatthey are in line with the norms prescribed by Exchanges/SEBI.

3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligationsand liabilities associated with securities trading through wireless technology/internet/smart orderrouting or any other technology should be brought to the notice of the client by the stock broker.

4. The stock broker shall make the client aware that the Stock Broker’s IBT system itself generatesthe initial password and its password policy as stipulated in line with norms prescribed byExchanges/SEBI.

5. The Client shall be responsible for keeping the Username and Password confidential and secureand shall be solely responsible for all orders entered and transactions done by any person whosoeverthrough the Stock broker’s IBT System using the Client’s Username and/or Password whether or notsuch person was authorized to do so. Also the client is aware that authentication technologies andstrict security measures are required for the internet trading/securities trading through wirelesstechnology through order routed system and undertakes to ensure that the password of the clientand/or his authorized representative are not revealed to any third party including employees anddealers of the stock broker

6. The Client shall immediately notify the Stock broker in writing if he forgets his password,discovers security flaw in Stock Broker’s IBT System, discovers/suspects discrepancies/unauthorized access through his username/password/account with full details of such unauthorizeduse, the date, the manner and the transactions effected pursuant to such unauthorized use, etc.

7. The Client is fully aware of and understands the risks associated with availing of a service forrouting orders over the internet/securities trading through wireless technology and Client shall befully liable and responsible for any and all acts done in the Client’s Username/password in any



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manner whatsoever.

8. The stock broker shall send the order/trade confirmation through email to the client at his request.The client is aware that the order/ trade confirmation is also provided on the web portal. In case clientis trading using wireless technology, the stock broker shall send the order/trade confirmation on thedevice of the client.

9. The client is aware that trading over the internet involves many uncertain factors and complexhardware, software, systems, communication lines, peripherals, etc. are susceptible to interruptionsand dislocations. The Stock broker and the Exchange do not make any representation or warrantythat the Stock broker’s IBT Service will be available to the Client at all times without anyinterruption.

10. The Client shall not have any claim against the Exchange or the Stock broker on account of anysuspension, interruption, non-availability or malfunctioning of the Stock broker’s IBT System orService or the Exchange’s service or systems or non-execution of his orders due to anylink/system failure at the Client/Stock brokers/Exchange end for any reason beyond the control ofthe stock broker/Exchanges.



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RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET AND DERIVATIVESSEGMENTS

This document contains important information on trading in Equities/Derivatives Segments of thestock exchanges. All prospective constituents should read this document before trading inEquities/Derivatives Segments of the Exchanges.

Stock exchanges/SEBI does neither singly or jointly and expressly nor impliedly guarantee nor makeany representation concerning the completeness, the adequacy or accuracy of this disclosuredocument nor have Stock exchanges /SEBI endorsed or passed any merits of participating in thetrading segments. This brief statement does not disclose all the risks and other significant aspects oftrading.

In the light of the risks involved, you should undertake transactions only if you understand the natureof the relationship into which you are entering and the extent of your exposure to risk.

You must know and appreciate that trading in Equity shares, derivatives contracts or otherinstruments traded on the Stock Exchange, which have varying element of risk, is generally notan appropriate avenue for someone of limited resources/limited investment and/or tradingexperience and low risk tolerance. You should therefore carefully consider whether such trading issuitable for you in the light of your financial condition. In case you trade on Stock exchanges andsuffer adverse consequences or loss, you shall be solely responsible for the same and Stockexchanges/its Clearing Corporation and/or SEBI shall not be responsible, in any manner whatsoever,for the same and it will not be open for you to take a plea that no adequate disclosure regarding therisks involved was made or that you were not explained the full risk involved by the concerned stockbroker. The constituent shall be solely responsible for the consequences and no contract can berescinded on that account. You must acknowledge and accept that there can be no guarantee ofprofits or no exception from losses while executing orders for purchase and/or sale of a derivativecontract being traded on Stock exchanges.

It must be clearly understood by you that your dealings on Stock exchanges through a stock brokershall be subject to your fulfilling certain formalities set out by the stock broker, which may inter aliainclude your filling the know your client form, reading the rights and obligations, do’s and don’ts,etc., and are subject to the Rules, Byelaws and Regulations of relevant Stock exchanges, its ClearingCorporation, guidelines prescribed by SEBI and in force from time to time and Circulars as may beissued by Stock exchanges or its Clearing Corporation and in force from time to time.

Stock exchanges does not provide or purport to provide any advice and shall not be liable to anyperson who enters into any business relationship with any stock broker of Stock exchanges and/orany third party based on any information contained in this document. Any information contained inthis document must not be construed as business advice. No consideration to trade should be madewithout thoroughly understanding and reviewing the risks involved in such trading. If you areunsure, you must seek professional advice on the same.



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In considering whether to trade or authorize someone to trade for you, you should be aware of ormust get acquainted with the following:-

1. BASIC RISKS:

1.1 Risk of Higher Volatility:

Volatility refers to the dynamic changes in price that a security/derivatives contract undergoes whentrading activity continues on the Stock Exchanges. Generally, higher the volatility of asecurity/derivatives contract, greater is its price swings. There may be normally greater volatility inthinly traded securities / derivatives contracts than in active securities /derivatives contracts. As aresult of volatility, your order may only be partially executed or not executed at all, or the price atwhich your order got executed may be substantially different from the last traded price or changesubstantially thereafter, resulting in notional or real losses.

1.2 Risk of Lower Liquidity:

Liquidity refers to the ability of market participants to buy and/or sell securities / derivativescontracts expeditiously at a competitive price and with minimal price difference. Generally, it isassumed that more the numbers of orders available in a market, greater is the liquidity. Liquidity isimportant because with greater liquidity, it is easier for investors to buy and/or sell securities /derivatives contracts swiftly and with minimal price difference, and as a result, investors are morelikely to pay or receive a competitive price for securities / derivatives contracts purchased or sold.There may be a risk of lower liquidity in some securities / derivatives contracts as compared to activesecurities / derivatives contracts. As a result, your order may only be partially executed, or may beexecuted with relatively greater price difference or may not be executed at all.

1.2.1 Buying or selling securities / derivatives contracts as part of a day trading strategy may alsoresult into losses, because in such a situation, securities / derivatives contracts may have to be sold /purchased at low / high prices, compared to the expected price levels, so as not to have any openposition or obligation to deliver or receive a security / derivatives contract.

1.3 Risk of Wider Spreads:

Spread refers to the difference in best buy price and best sell price. It represents the differentialbetween the price of buying a security / derivatives contract and immediately selling it or vice versa.Lower liquidity and higher volatility may result in wider than normal spreads for less liquid orilliquid securities / derivatives contracts. This in turn will hamper better price formation.

1.4 Risk-reducing orders:

The placing of orders (e.g., "stop loss” orders, or "limit" orders) which are intended to limit losses tocertain amounts may not be effective many a time because rapid movement in market conditionsmay make it impossible to execute such orders.



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1.4.1 A "market" order will be executed promptly, subject to availability of orders on opposite side,without regard to price and that, while the customer may receive a prompt execution of a "market"order, the execution may be at available prices of outstanding orders, which satisfy the orderquantity, on price time priority. It may be understood that these prices may be significantly differentfrom the last traded price or the best price in that security / derivatives contract.

1.4.2 A "limit" order will be executed only at the "limit" price specified for the order or a better price.However, while the customer receives price protection, there is a possibility that the order may not beexecuted at all.

1.4.3 A stop loss order is generally placed "away" from the current price of a stock / derivativescontract, and such order gets activated if and when the security / derivatives contract reaches, ortrades through, the stop price. Sell stop orders are entered ordinarily below the current price, and buystop orders are entered ordinarily above the current price. When the security / derivatives contractreaches the pre -determined price, or trades through such price, the stop loss order converts to amarket/limit order and is executed at the limit or better. There is no assurance therefore that the limitorder will be executable since a security / derivatives contract might penetrate the pre-determinedprice, in which case, the risk of such order not getting executed arises, just as with a regular limitorder.

1.5 Risk of News Announcements:

News announcements that may impact the price of stock / derivatives contract may occur duringtrading, and when combined with lower liquidity and higher volatility, may suddenly cause anunexpected positive or negative movement in the price of the security / contract.

1.6 Risk of Rumors:

Rumors about companies / currencies at times float in the market through word of mouth,newspapers, websites or news agencies, etc. The investors should be wary of and should desist fromacting on rumors.

1.7 System Risk:High volume trading will frequently occur at the market opening and before market close. Such highvolumes may also occur at any point in the day. These may cause delays in order execution orconfirmation.

1.7.1 During periods of volatility, on account of market participants continuously modifying theirorder quantity or prices or placing fresh orders, there may be delays in order execution and itsconfirmations.

1.7.2 Under certain market conditions, it may be difficult or impossible to liquidate a position in themarket at a reasonable price or at all, when there are no outstanding orders either on the buy side orthe sell side, or if trading is halted in a security / derivatives contract due to any action on account ofunusual trading activity or security / derivatives contract hitting circuit filters or for any other reason.



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1.8 System/Network Congestion:

Trading on exchanges is in electronic mode, based on satellite/leased line basedcommunications, combination of technologies and computer systems to place and route orders.Thus, there exists a possibility of communication failure or system problems or slow or delayedresponse from system or trading halt, or any such other problem/glitch whereby not being able toestablish access to the trading system/network, which may be beyond control and may result in delayin processing or not processing buy or sell orders either in part or in full. You are cautioned to notethat although these problems may be temporary in nature, but when you have outstanding openpositions or unexecuted orders, these represent a risk because of your obligations to settle allexecuted transactions.

2. As far as Derivatives segments are concerned, please note and get yourself acquainted withthe following additional features:-

2.1 Effect of "Leverage" or "Gearing":

In the derivatives market, the amount of margin is small relative to the value of the derivativescontract so the transactions are 'leveraged' or 'geared'. Derivatives trading, which is conducted with arelatively small amount of margin, provides the possibility of great profit or loss in comparison withthe margin amount. But transactions in derivatives carry a high degree of risk.

You should therefore completely understand the following statements before actually trading inderivatives and also trade with caution while taking into account one's circumstances, financialresources, etc. If the prices move against you, you may lose a part of or whole margin amount in arelatively short period of time. Moreover, the loss may exceed the original margin amount.

A. Futures trading involve daily settlement of all positions. Every day the open positions are markedto market based on the closing level of the index / derivatives contract. If the contract has movedagainst you, you will be required to deposit the amount of loss (notional) resulting from suchmovement. This amount will have to be paid within a stipulated time frame, generally beforecommencement of trading on next day.

B. If you fail to deposit the additional amount by the deadline or if an outstanding debt occurs in youraccount, the stock broker may liquidate a part of or the whole position or substitute securities. In thiscase, you will be liable for any losses incurred due to such close-outs.

C. Under certain market conditions, an investor may find it difficult or impossible to executetransactions. For example, this situation can occur due to factors such as illiquidity i.e. when there areinsufficient bids or offers or suspension of trading due to price limit or circuit breakers etc.

D. In order to maintain market stability, the following steps may be adopted: changes in the marginrate, increases in the cash margin rate or others. These new measures may also be applied to theexisting open interests. In such conditions, you will be required to put up additional margins orreduce your positions.



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E. You must ask your broker to provide the full details of derivatives contracts you plan to trade i.e.the contract specifications and the associated obligations.

2.2 Currency specific risks:

1. The profit or loss in transactions in foreign currency-denominated contracts, whether they aretraded in your own or another jurisdiction, will be affected by fluctuations in currency rates wherethere is a need to convert from the currency denomination of the contract to another currency.

2. Under certain market conditions, you may find it difficult or impossible to liquidate a position.This can occur, for example when a currency is deregulated or fixed trading bands are widened.

3. Currency prices are highly volatile. Price movements for currencies are influenced by, amongother things: changing supply-demand relationships; trade, fiscal, monetary, exchange controlprograms and policies of governments; foreign political and economic events and policies; changesin national and international interest rates and inflation; currency devaluation; and sentiment of themarket place. None of these factors can be controlled by any individual advisor and no assurance canbe given that an advisor's advice will result in profitable trades for a participating customer or that acustomer will not incur losses from such events.

2.3 Risk of Option holders:

1. An option holder runs the risk of losing the entire amount paid for the option in a relatively shortperiod of time. This risk reflects the nature of an option as a wasting asset which becomes worthlesswhen it expires. An option holder who neither sells his option in the secondary market nor exercisesit prior to its expiration will necessarily lose his entire investment in the option. If the price of theunderlying does not change in the anticipated direction before the option expires, to an extentsufficient to cover the cost of the option, the investor may lose all or a significant part of hisinvestment in the option.

2. The Exchanges may impose exercise restrictions and have absolute authority to restrict theexercise of options at certain times in specified circumstances.

2.4 Risks of Option Writers:

1. If the price movement of the underlying is not in the anticipated direction, the option writer runsthe risks of losing substantial amount.

2. The risk of being an option writer may be reduced by the purchase of other options on the sameunderlying interest and thereby assuming a spread position or by acquiring other types of hedgingpositions in the options markets or other markets. However, even where the writer has assumed aspread or other hedging position, the risks may still be significant. A spread position is notnecessarily less risky than a simple 'long' or 'short' position.

3. Transactions that involve buying and writing multiple options in combination, or buying or writing



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options in combination with buying or selling short the underlying interests, present additional risksto investors. Combination transactions, such as option spreads, are more complex than buying orwriting a single option. And it should be further noted that, as in any area of investing, a complexitynot well understood is, in itself, a risk factor. While this is not to suggest that combination strategiesshould not be considered, it is advisable, as is the case with all investments in options, to consult withsomeone who is experienced and knowledgeable with respect to the risks and potential rewards ofcombination transactions under various market circumstances.

3. TRADING THROUGH WIRELESS TECHNOLOGY/ SMART ORDER ROUTING ORANY OTHER TECHNOLOGY:

Any additional provisions defining the features, risks, responsibilities , obligations and liabilitiesassociated with securities trading through wireless technology/ smart order routing or any othertechnology should be brought to the notice of the client by the stock broker.

4. GENERAL

4.1 The term ‘constituent’ shall mean and include a client, a customer or an investor, who deals witha stock broker for the purpose of acquiring and/or selling of securities / derivatives contracts throughthe mechanism provided by the Exchanges.

4.2 The term ‘stock broker’ shall mean and include a stock broker, a broker or a stock broker, whohas been admitted as such by the Exchanges and who holds a registration certificate from SEBI.



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GUIDANCE NOTE - DO’s AND DON’Ts FOR TRADING ON THE EXCHANGE(S) FORINVESTORS

Before you Begin to Trade

1. Ensure that you deal with and through only SEBI registered intermediaries. You maycheck their SEBI Registration certificate Number from the list available on the Stock exchangeswww.bseindia.com/www.nseindia.com and SEBI website www.sebi.gov.in.

2. Ensure that you fill the KYC form completely and strike off the blank fields in the KYC form.

3. Ensure that you have read all the mandatory documents viz. Rights and Obligations, RiskDisclosure Document, Policy and Procedure document of the stock broker.

4. Ensure to read, understand and then sign the voluntary clauses, if any, agreed between you andthe stock broker. Note that the clauses as agreed between you and the stock broker cannot bechanged without your consent.

5. Get a clear idea about all brokerage, commissions, fees and other charges levied by the brokeron you for trading and the relevant provisions/ guidelines specified by SEBI/Stock exchanges.

6. Obtain a copy of all the documents executed by you from the stock broker free of charge.

7. In case you wish to execute Power of Attorney (POA) in favour of the Stock broker, authorizingit to operate your bank and demat account, please refer to the guidelines issued by SEBI/Exchangesin this regard.

Transactions and Settlements

8. The stock broker may issue electronic contract notes (ECN) if specifically authorized byyou in writing. You should provide your email id to the stock broker for the same. Don’t opt forECN if you are not familiar with computers.

9. Don’t share your internet trading account’s password with anyone.

10. Don’t make any payment in cash to the stock broker.

11. Make the payments by account payee cheque in favour of the stock broker. Don’t issuecheques in the name of sub-. Ensure that you have a documentary proof of yourpayment/deposit of securities with the stock broker, stating date, scrip, quantity, towards whichbank/ demat account such money or securities deposited and from which bank/ demat account.

12. Note that facility of Trade Verification is available on stock exchanges’ websites, where



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details of trade as mentioned in the contract note may be verified. Where trade details on thewebsite do not tally with the details mentioned in the contract note, immediately get in touch withthe Investors Grievance Cell of the relevant Stock exchange.

13. In case you have given specific authorization for maintaining running account, payout of fundsor delivery of securities (as the case may be), may not be made to you within one working dayfrom the receipt of payout from the Exchange. Thus, the stock broker shall maintain runningaccount for you subject to the following conditions:

a) Such authorization from you shall be dated, signed by you only and contains the clause thatyou may revoke the same at any time.

b) The actual settlement of funds and securities shall be done by the stock broker, at least once in acalendar quarter or month, depending on your preference. While settling the account, the stockbroker shall send to you a ‘statement of accounts’ containing an extract from the client ledger forfunds and an extract from the register of securities displaying all the receipts/deliveries of fundsand securities. The statement shall also explain the retention of funds and securities and thedetails of the pledged shares, if any.

c) On the date of settlement, the stock broker may retain the requisite securities/funds towardsoutstanding obligations and may also retain the funds expected to be required to meet derivativesmargin obligations for next 5 trading days, calculated in the manner specified by the exchanges. Inrespect of cash market transactions, the stock broker may retain entire pay-in obligation of fundsand securities due from clients as on date of settlement and for next day’s business, he mayretain funds/securities/margin to the extent of value of transactions executed on the day of suchsettlement in the cash market.

d) You need to bring any dispute arising from the statement of account or settlement so made tothe notice of the stock broker in writing preferably within 7 (seven) working days from the date ofreceipt of funds/securities or statement, as the case may be. In case of dispute, refer the matter inwriting to the Investors Grievance Cell of the relevant Stock exchanges without delay.

14. In case you have not opted for maintaining running account and pay-out of funds/securities isnot received on the next working day of the receipt of payout from the exchanges, please referthe matter to the stock broker. In case there is dispute, ensure that you lodge a complaint inwriting immediately with the Investors Grievance Cell of the relevant Stock exchange.

15. Please register your mobile number and email id with the stock broker, to receive tradeconfirmation alerts/ details of the transactions through SMS or email, by the end of the trading day,from the stock exchanges.

In Case of Termination of Trading Membership

16. In case, a stock broker surrenders his membership, is expelled from membership ordeclared a defaulter; Stock exchanges gives a public notice inviting claims relating to only the



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"transactions executed on the trading system" of Stock exchange, from the investors. Ensure thatyou lodge a claim with the relevant Stock exchanges within the stipulated period and with thesupporting documents.

17. Familiarize yourself with the protection accorded to the money and/or securities you maydeposit with your stock broker, particularly in the event of a default or the stock broker’sinsolvency or bankruptcy and the extent to which you may recover such money and/orsecurities may be governed by the Bye-laws and Regulations of the relevant Stock exchange wherethe trade was executed and the scheme of the Investors’ Protection Fund in force from time to time.

Disputes/Complaints

18. Please note that the details of the arbitration proceedings, penal action against the brokersand investor complaints against the stock brokers are displayed on the website of the relevantStock exchange.

19. In case your issue/problem/grievance is not being sorted out by concerned stock broker/sub-broker then you may take up the matter with the concerned Stock exchange. If you are notsatisfied with the resolution of your complaint then you can escalate the matter to SEBI.

20. Note that all the stock broker/sub-brokers have been mandated by SEBI to designate an e-mail ID of the grievance redressal division/compliance officer exclusively for the purpose ofregistering complaints.



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Mandatory Policies and Procedures

(Reference para 8 of Sebi Circular no. MIRSD/SE/CIR-19/2009 Dated 03/12/09)

i) Refusal of Orders for Penny/illiquid securities:Darashaw shall from time to time classify a list of securities which are illiquid / penny based oninternal criteria and/or client may refer the list of illiquid securities notified on periodic basis byrespective Stock Exchanges. Darashaw reserves the right to refuse execution of any transactionrequests of the Client on such illiquid securities or to reduce the open market interests of the Client insuch securities from time to time.

ii) Setting up of Exposure limits:Darashaw would set the exposure / trading limits to the Client based on the margin lying to the creditof the client in the form of funds / securities / FDR / bank guarantee. In setting exposure limits for theClients following points to be considered:Client’s risk profile, risk appetite, loss bearing capacity, payment history, market volatility, riskmanagement policy of Darashaw and such other factors or conditions which Darashaw may considerrelevant for the said purpose from time to time. Darashaw reserves liberty to vary the trading /exposure limits of the Client depending upon its risk assessment from time to time having regard tothe changes in any of the factors or market conditions bearing on the risk profile of the Client.

iii) Applicable Brokerage Rate:Darashaw shall levy brokerage on clientele transactions as per the brokerage slabs mutually agreedwith the client in writing in the Client Registration Document (Tariff Sheet) subject to the maximumrate prescribed by the Stock Exchanges / SEBI from time to time.

iv) Imposition of Penalty / Delayed payment charges to client:Imposition of Penalty & Delay payment charges to clients will be @ 12% PA or to be decided on caseto case basis by the management

v) Right of Broker to sell off client securities (limited to the extent of margin/ settlementobligation):In the event of the Client failing to maintain / supply applicable margin money required to sustain theoutstanding market positions, Darashaw shall be entitled, at its option and liberty, to liquidate / closeout all outstanding market positions or any part thereof such that the outstanding market positions areeither zeroed out or reduced to an extent where available margin covers the market positionsremaining after such square off. Darashaw may also sell off all or any securities of the Client lyingwith Darashaw as collateral or otherwise, for any trade related amounts due by the Client and adjustthe proceeds of such liquidation / close out against the client’s trade related liabilities / obligations toDarashaw. Any and all trade related losses and financial charges on account of suchliquidation/closing-out shall be charged to andborne by the client. Such liquidation/ close out will be done after giving three reminders/ notice to theclient. Client shall keep and hold Darashaw indemnified and harmless from any loss arising out ofsuch closing out / squaring off.



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vi) Shortage in obligations arising out of Internal Netting of trades:If the client has short delivered any securities against his/her/its pay-in obligation which resulted ininternal shortage i.e. resulting in failure of delivery of securities to another client of Darashaw whopurchased the securities, then the system of self- auction for internal position between two clients willtake place for BSE membership. In case of any internal netting in NSE, close out price will be higherof the trade day's closing rate or 5% above the closing price on settlement (Payin Payout) day. Theclose out value which will be arrived after taking into account the close out price as mentioned above,will be charged to seller & then the same will be passed on to the buyer. The same rule of close outshall be applicable if the securities could not be auctioned in the market (self-auction) in BSEmembership.

vii) Conditions wherein client may not be allowed to take further position / existingposition will be closed:Darashaw reserves the right to restrict or refuse execution of any orders for transaction in any scrip iftransaction in such scrip is not in accordance with its internal policy or penny /Illiquid securitiesand/or the directives and guidelines of the Exchanges / Regulators issued from time to time.Darashaw may impose trade restrictions on any scrip having regard in particular to any one or moreof the following factors viz. i) market volatility, ii) price sensitive announcements relating to anyscrip, iii) restrictions on trade volume imposed by the Exchange concerned, iv) political instability inthe country, v) external aggression or internal rebellion, vi) default by the Client to maintainapplicable collateral / margin or to make payment of dues, vii) client exceeded its eligible exposure,viii) account is closed or suspended or such other factors influencing the securities market, viii) Clientproviding funds/ securities from third party account in case of purchase/sale.

viii) Temporarily suspending or closing a Client’s Account at the client’s request:The Client shall request in writing to Darashaw for suspension of transactions in Client’s account andDarashaw may on receipt of such request suspend transactions in the account. The Client shall ensurepay in of funds and securities in respect of all transactions pending to be settled on or before therespective settlement date(s) and shall compulsorily square off all open derivative positions, failingwhich Darashaw without further reference to the Client shall square off all open derivative positionsprior to suspending the account. Account of the Client shall, if suspended, remain so suspended untilsuch time as the Client’s request in writing for reactivation of the account is not received byDarashaw.ix) Deregistering a Client’s Account:Darashaw reserves the right to deregister the client in the event of any breach of the terms of theMandatory and Voluntary Client Registration Documents or in the event of violation of any Rules,Bye-Laws, Regulations of SEBI or the Stock Exchange or of the provisions of any law for the timebeing in force governing dealings in the securities market without prior notice or on the directions ofSEBI / the Exchanges. All rights, liabilities and obligations of the parties arising out of or in respectof transactions entered into prior to deregistration of the Client shall continue to subsist and vest in /be binding on the respective parties or his/her/its respective heirs, executors, administrators, legalrepresentatives or successors, as the case may.



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x) Dormant Account (For Equity/ Derivatives Segment):Darashaw & Co. Pvt Ltd has formulated policies and procedure to be followed for inactive/dormant client. The policy broadly covers the aspects of time period, return of client assets andprocedure for reactivation of account of the clients as stated here under:

About Dormant Account:

The trading account of the client is treated as dormant or inactive if the client does not trade for aperiod of Twelve months.

Return of client assets for dormant clients:

Darashaw shall return the assets (funds and securities) to the client, on request from the client tohave a clear balance.

Re-activation of Trading Account:

The dormant account will be activated only after receiving request from the client to re-activatehis accounts along with all the required formalities of KYC.

The re-activating of trading account will require the following details/documents:1. Proof of identity.2. Latest Proof of Address.3. Latest Proof of Bank account.4. Latest Proof of Demat statement.5. Financial Details (Applicable for Derivatives Segment).

This document along with all other KYC documents is uploaded on the website of the companyfor your reference (www.darashaw.com).

Darashaw has formulated a set of Policies and Procedures as given above which are to govern allthe trades and other transactions of the Client on the Exchange. The said Policies and Proceduresform an integral part of Mandatory and Voluntary Client Registration Documents. Darashawreserves the right to vary, alter, modify or revise the said Policies and Procedures in keeping withthe applicable Rules, Bye-Laws and Regulations governing the stock market by communicatingsuch changes to the clients at least 15 days in advance. Darashaw declares that it has brought thecontents of the said Policies and Procedures to the notice of the client and the Client declares thathe/she/it has read and understood the said Policies and Procedures and agrees and undertakes tobe bound by the same or as may be varied, altered, modified or revised by Darashaw from time totime.

Client’s Signature: _______________________________

Name of the Client: _________________________________



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TARIFF SHEET

Document detailing the rate/amount of brokerage and other charges levied on the client fortrading on the stock exchange(s)

Brokerage (Percentage)

SEGMENT

CM

F&O

Currency Derivative

Following tariff /Charges areInclusive/ Exclusive in brokerage:-

Securities Transaction Tax (Delivery & Square off) charge separately.

Client Signature: _________________________________

Client Name: ___________________________________________

Note:1. Brokerage charged will not exceed the rate specified by SEBI/Exchange.2. All Regulatory & Statutory charges will be levied at actual.

CM SEGMENT1. Transaction Charges2. Goods & Service Tax on Transaction Charges3. Stamp Duty(Delivery & Square off)4. SEBI Fees

F& O Segment/Currency Derivative Segment1. Transaction Charges2. Goods & Service Tax on Transaction Charges3. Stamp Duty(Delivery & Square off)4. SEBI Fees5. Clearing member service charges6. Goods & Service Tax on Clearing member service charges



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NON- MANDATORY

DOCUMENTS



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VoluntaryANNEXURE V-1

Client Signature: ____________________________



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VOLUNTARYANNEXURE V-2

INVESTOR EDUCATION ON ANTI MONEY LAUNDERING(SEBI CIRCULAR ON ANTI MONEY LAUNDERING- ISD/AML/CIR-1/2010

February 12, 2010)

Dear Sir/Madam,

As per Exchange Circular No. 453 dated 17/02/2010, download Ref. No: NSE/INVG/14117, thereare certain area relating to Anti Money Laundering, that intermediary ( Stock Broker ) needs tohighlight and educate the clients for better transparency between the Clients and Stock Brokersand regulator requirements.

The points/ area covered as under is just an outline of the Topic and reference to the Circularmentioned above would give a better understanding.

Points covered:1. PMLA Act & Anti Money Laundering Standards2. Client Due Diligence (CDD)3. Client of Special Category4. Obligations of Securities Market Intermediaries under Prevention of Money

Laundering Act, 2002.

1. PMLA Act & Anti Money Laundering Standards: The Prevention of MoneyLaundering Act, 2002 (PMLA) was brought into force with effect from 1st July 2005.according to the Act,

Intermediaries shall have to maintain a record of all the transactions; the natureand such transactions include:

a. All cash transactions of the value of more than Rs 10 lakhs or itsequivalent in foreign currency.

b. All series of cash transactions integrally connected to each other whichhave been valued below Rs 10 lakhs or its equivalent in foreigncurrency where such series of transactions take place within onecalendar month.

c. All suspicious transactions whether or not made in cash and including,inter-alia, credits or debits into from any non monetary account such asdemat account, security account maintained by the registeredintermediary.

It is mandated that intermediaries shall draft policies and procedure on to combat the moneylaundering activity to the extent possible on CDD, CSC and monitoring client transactions asexplained here under:



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2. Client Due Diligence (CDD): CDD forms a critical part of AML policy.Due diligence has to be done at the time of acceptance of clients, identifying the clients,monitoring and Reporting especially Suspicious Transactions Reporting (STR). There has to beproper transparency of information from the client’s end as well as Stock Broker.

CDD measures are to be followed so as to: Obtain sufficient information in order to identify persons who beneficially own or

control the securities account Verify the client’s identity using reliable, independent source documents, data or

information; Conduct ongoing due diligence and scrutiny

3. Client of Special Category: Below mentioned list is an illustrative list of CSC:

4. Obligations of securities market intermediaries under Prevention of Money LaunderingAct, 2002: Implementation of AML/CFT measures requires intermediaries to demand certaininformation from investors which may be of personal nature or has hitherto never been calledfor. Such information can include documents evidencing source of funds/income taxreturns/bank records etc. This can sometimes lead to raising of questions by the client withregard to the motive and purpose of collecting such information. There is, therefore, a needfor intermediaries to sensitize their clients about these requirements as the ones emanatingfrom AML and CFT framework. Intermediaries should prepare specific literature/ pamphletsetc. so as to educate the client of the objectives of the AML/CFT Programme.

Thus this is just an attempt made by Darashaw & Co. Pvt Ltd to bring the key aspects of PMLA2002, to your notice and fling some light on the key points of the Act.

Signature of the Client:�__________________________________

i. Non resident clients,ii. High net-worth clients,iii. Trust, Charities, NGOs and organizations receiving donations,iv. Companies having close family shareholdings or beneficial ownership,v. Politically exposed persons (PEP)vi. Companies offering foreign exchange offerings,vii. Clients in high risk countriesviii. Non face to face clients,ix. Clients with dubious reputation.



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VOLUNTARY

ANNEXURE D-1Date:

To,Darashaw & Company Pvt Ltd,Registered Office:1205-06 Regent Chambers,208 Nariman Point,Mumbai – 400021

Dear Sir/Madam,

Sub: Authorisation for maintaining Running Account

I have opened the client / constituent account with Darashaw & Company Pvt Ltd (herein referredto as “DCPL”) for trading / dealing in securities on Bombay Stock Exchange Ltd. (BSE) and / orNational Stock Exchange of India Ltd (NSE). In respect of my dealing / account with you, Ihereby request / instruct and authorize DCPL to do the following:

1. To maintain running account instead of settlement of my dues and/ or delivery of securities ona bill to bill basis.

2. To retain the securities received by DCPL from me or on my behalf from exchange (s) onpayout or otherwise against my debit balance/dues/exposure/trading limits/open interest/variousmargin as and when required by DCPL or as per any regulations of the BSE and/or NSE. Suchretaining/ holding of securities shall be construed as due compliance of the requirement ofexchange(s) and SEBI. Further, DCPL has the sole discretion and authority

(i) To use/transfer the above securities to the Clearing Corporation /clearing member /exchange(s) for the purpose of early pay-in /margin/additional base capital

(ii) To dispose/ sell the above securities to meet any monetary/other dues/ obligation(s) /notfulfilled by me towards DCPL/ the exchange(s).

3. To hold payout of funds/credit in my account and pay to me only to the extent demanded byme. To use/adjust the credit in my balance available from time to time in my account(s) for myexposure/trading limits/margin requirements or any dues.

4. To debit/credit/transfer the amounts, either on the same Exchange and /or between varioussegments of same exchange and/ or between the Exchanges across various segments to meetmy debit balance or various dues payable to DCPL / Exchange.



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5. To transfer credit balance from mark to market and or premium account to margin account andvice-versa.

6. I/we reserve the right to revoke this authorization at any time by a written request.

7. The authorization is valid until it is revoked by the client

9. For settlement of Running Accounts in respect of derivative market transactions, apart frommargin liability as on the date of settlement, you may retain additional margins (maximumup-to 125% of margin requirement on the day of settlement) to take care of any marginobligation arising in next 5 days. And for settlement of Running Accounts in respect of cashmarket transactions, you may retain entire pay-in obligation of funds & securities due fromme/us as on date of settlement or as allowed by exchange from time to time.

10. I/ We shall bring any dispute arising from the statement of account or settlement so made toyour notice, preferably within 7 working days from the date of receipt of funds/securities orstatement, as the case may be.

Thanking you,

Yours Faithfully,

Clients Signature: _____________________________________________

Client Name: _______________________________________________

Client Code: _______________________________________________

8. Settlement of Funds and Securities once every calendar Quarter / Month. (Tick Applicable /strikeout inapplicable)



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VOLUNTARY

ANNEXURE D-2

Date:To,Darashaw & Company Pvt Ltd.Registered Office:1205-06 Regent Chambers,208 Nariman Point,Mumbai – 400021

Dear Sir/Madam,

Sub: Authorization for Delivery of Bill(S) / Client Margin Information / Tradeconfirmations / STT Statements/ Statement of Accounts for Funds and Securities throughemail

I / We hereby authorize Darashaw & Co. Pvt. Ltd. (herein referred to as “DCPL”) to send thebill(s), confirmation notes, Client Margin Information, Trade confirmations, STT Statements,Statement of Accounts for Funds and Securities or any communication in respect of thetransaction(s) entered by me / us to my / our following email id (s).

Sr. No. Email ID (s)

01. ________________________________________

02. ________________________________________

I / We hereby agree that ‘Bill(S) / Client Margin Information / Trade confirmations / STTForms/ Statement of Accounts for Funds and Securities through email” that shall be sent byDCPL from time to time through email shall be deemed to have been delivered to me/us unless itis bounced back and it shall be presumed that the same is in order unless errors are reported.

Non receipt of bounced mail notification at DCPL end shall amount to delivery of ‘Bill(S) /Client Margin Information / Trade confirmations / STT Statements/ Statement of Accounts forFunds and Securities” at the email id(s) mentioned above. Also, non delivery of ‘Bill(S) / ClientMargin Information / Trade confirmations / STT Statements/ Statement of Accounts for Fundsand Securities” due to the problem related to network and internet connectivity and due to anyproblems in the e-mail receiving at the end of me/our shall not be the responsibility of DCPL.However, in such event it is my/our responsibility to intimate DCPL about the non receipt of‘Bill(S) / Client Margin Information / Trade confirmations / STT Statements’/ Statement ofAccounts for Funds and Securities in writing. If no such intimation is received from me /us, it



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shall be presumed that the ‘Bill(S) / Client Margin Information / Trade confirmations / STTForms /Statement of Accounts for Funds and Securities” have been properly delivered.

In case of any change in my/our said email id, I/We undertake to intimate the same to you inwriting immediately.

Thanking you.

Yours faithfully,

Clients Signature:_____________________________________

Client Name: _______________________________________



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VOLUNTARY

ANNEXURE D-3

Date:

To,Darashaw & Company Pvt Ltd.Registered Office:1205-06 Regent Chambers,208 Nariman Point,Mumbai – 400021

Sub: Authorization on Orders and Trade Slips

I am / we are given to understand by DCPL that as per present stock exchange regulation, it isrequired that a member seek order instructions from its constituents in writing. Further, themember is required to provide order confirmation, modification, cancellation, and tradeconfirmation slips to it’s constitute.

I/we hereby authorize DCPL to accept orders from me/ my authorize representative (as perapplicable rules, laws and regulations) / us orally and through any other accepted mode ofcommunications including emails, fax etc., and I/ we further confirm that receipt of confirmationsheet or oral confirmation from the office of DCPL at the end of every trading day or contractsand bills from DCPL would be sufficient for me / us towards the confirmation of my / our ordersplaced and trades executed thereof. I/we shall not be requiring the order and trades slips and alsoagree to inform DCPL on any discrepancy observed in the contracts and bills issued to me/uspreferably within 24 hours of their receipt or such extended time permitted by DCPL. I/we takeinto consideration the fact that DCPL agrees to provide me/us with suitable documents to my/ourcomplete satisfaction, while addressing any discrepancy notified.

Client Signature: _____________________________________

Client Name: ___________________________________________



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Sample Copy/Format of Board Resolution in case of the Corporate(To be obtained on pre-printed corporate letterhead)

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THEBOARD OF DIRECTORS OF M/S…………………………………. HAVING ITSREGISTERED OFFICE AT ……………………………………………………………… HELDON …………….. DAY …….. OF ………… 200 ……….. AT ……………..

Resolved that the company do agree to open account with Darashaw & Co. Pvt.Ltd., Member ofthe National Stock Exchange of India Ltd. (NSE) and the Bombay Stock Exchange Ltd., (BSE)etc. for the purpose of dealing on Capital Market/Cash segment, Derivatives/Futures& Options/Currency Derivatives segment or any other segment that may be introduced by BSE / NSE /Darashaw & Co. Pvt. Ltd., in future and the said Member be and is hereby authorized to honorinstructions, oral / written or electronic, given on behalf of the company by any of the undernoted authorized signatories:-Sr. No. Name Designation1.2.3.Who is/ are authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwisedeal through Darashaw & Co. Pvt. Ltd., on behalf of the company.

RESOLVED FURTHER THAT Mr.……………………………..Director and/orMr.……………………………………….. Authorized Signatory of the company be and herebyauthorized to sign, execute and submit such applications, undertakings, agreements andother requisite documents writings and deeds as may be deemed necessary or expedient to openaccount and give effect to this resolution.

AND RESOLVED FURTHER THAT, the common seal of the company be affixed,wherever necessary, in the presence of any directors or of any one director and CompanySecretary, who shall sign the same in token of the presence.

For…………………………………….

Chairman/Company Secretary Specimen Signature of the Authorized person.(Signature to be verified by the Banker)

Name……………………………………… Specimen Signature ……………………...(The above signatures to be attested by the person signing the resolution foraccount opening on behalf of the company)

On the letterhead of the trust Resolution Passed by Circulation by the Trustees of (Trust Name)

Date

1.

2.

3.

4.

5.

For (Trust Name)

Trustee/s

“Resolved that a Trading Account for (Trust Name) be opened with Darashaw and

Company Private Limited for dealing in Listed Securities/ Equities of the various Stock

Exchanges within the parameters of investment policy/ies of the Employees Provident

Fund and applicable laws of the country and any two of the trustees mentioned below are

hereby authorized to negotiate and finalise the terms and conditions for opening the

account and completing the formalities.

FURTHER RESOLVED THAT any two of the Trustees are hereby authorized to sell, purchase,

transfer, endorse, negotiate and/or otherwise deal in Equities of the various Stock

Exchanges and operate the Trading account on behalf of (Trust Name). They are also

authorized to sign any declaration, receive interest and principal thereof on sale, maturity,

redemption through Demat or physical form and to authorize financial and banking

transactions on behalf of (Trust Name).

Signature of the Trustees:

Name of Trustee Signature



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AML DECLARATIONThe information is sought under the prevention of Anti Money Laundering Act, 2002, the rulesnotified there under and SEBI and Exchange Guidelines issued on Anti Money Laundering.FINANCIAL STATUS AND OTHER DETAILSa. Annual Income (Last years from the date of the opening of this account)

1st YearUp to Rs 1 LakhsRs 1 Lakhs to Rs 2 LakhsRs 2 Lakhs to Rs 5 LakhsRs 5 Lakhs to Rs 10Lakhs Rs 10 Lakhs to Rs 25 Lakhs Rs 25 Lakhs to Rs 50 LakhsRs 50 Lakhs to Rs 1 Crore Rs 1 Crore and Above

2nd YearUp to Rs 1 LakhsRs 1 Lakhs to Rs 2 LakhsRs 2 Lakhs to Rs 5 LakhsRs 5 Lakhs to Rs 10Lakhs Rs 10 Lakhs to Rs 25 Lakhs Rs 25 Lakhs to Rs 50 LakhsRs 50 Lakhs to Rs 1 Crore Rs 1 Crore and Above

3rd YearUp to Rs 1 LakhsRs 1 Lakhs to Rs 2 LakhsRs 2 Lakhs to Rs 5 LakhsRs 5 Lakhs to Rs 10Lakhs Rs 10 Lakhs to Rs 25 Lakhs Rs 25 Lakhs to Rs 50 LakhsRs 50 Lakhs to Rs 1 Crore Rs 1 Crore and Above

b. Networth Details ( as on the date of account opening )Up to Rs 1 LakhsRs 1 Lakhs to Rs 2 LakhsRs 2 Lakhs to Rs 5 LakhsRs 5 Lakhs to Rs 10Lakhs Rs 10 Lakhs to Rs 25 Lakhs Rs 25 Lakhs to Rs 50 LakhsRs 50 Lakhs to Rs 1 Crore Rs 1 Crore and Above

c. Please tick mark the additional applicable category to youNon resident clientHigh Net worth Client (having annual Income + networth of more than Rs. 1 crore)Trust, Charities NGOs and organizations receiving donationCompany having close family shareholding or beneficial ownershipCivil Servant or family member or close relative of civil servantBureaucrat or family member or close relative of bureaucratCurrent or Former MP or MLA or MLC or their family member or close relativePolitician or their family member or close relativeCurrent or Former Head of state or of Governments or theirSenior executives of state owned corporation or their family member or close relativeCompanies offering foreign exchange offeringsNone of the above

Client Name: _________________________________

Client Signature: ___________________________________



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VOLUNTARY

Opting for SMS and Email Alerts to Investors by Stock Exchanges

I / We ______________________________having PAN _______________________do herebyopting for the following facilities offered by Darashaw & Company Pvt Ltd. and/or StockExchanges:

SMS Email SMS and Email Both

(Please tick the appropriate box / facility opted)

The following is my/our Mobile Number and / or Email Address:

Mobile No. _____________________________________________________________,

Email Address: __________________________________________________________

I declare that mobile number __________________________ is in my name or in the name ofmy family member _________________________________________________ (mention nameand the relationship) having PAN _______________________________.

Further, I declare that Email Address mentioned above is of my or in the name of my familymember __________________________________________________ (mention name and therelationship) having PAN ______________________.

In case of any changes in the above mentioned mobile number/ email address, I/we will informyou immediately in writing. This number / email address can be used for giving anyinformation/alert/SMS.

Signature of the Client: ___________________________

Client Name: ____________________________________

Client Code______________________________________

[Note: To be signed by client himself/herself and not by his/her attorney/authorized person etc.]

The following Family member’s mobile number or email id is allowed to be incorporated: Self,Spouse, Dependent Children and Dependent Parents.

Background:

• India has joined the Multilateral Competent Authority Agreement (MCAA) on Automatic Exchange of Financial Account Information (AEOI) on June 3, 2015 and has agreed to certain global standards on automatic exchange of information, known as Common

Reporting Standards (CRS). Further, the Government of India (GoI) signed an Inter-Governmental Agreement (IGA) with United States of America (USA) on July 9, 2015 to improve international tax compliance and to implement Foreign Account Tax Compliance

Act (FATCA) in India.

• To implement the CRS on AEOI and also the IGA with USA, the GoI has made necessary amendments in Section 285BA of the Income-tax Act, 1961 and notified Rules 114F to 114H in the Income-tax Rules, 1962 vide amendment dated August 7, 2015 . These

Rules are available on: http://www.incometaxindia.gov.in.

• SEBI has issued a circular dated August 26, 2015 advising all registered intermediaries to implement FATCA and CRS as per above mentioned Rules.

We do understand that the information mentioned above is technical in nature and hence we advise you to consult your financial or tax

advisor for more details.

Category First Holder Second Holder Third Holder

Name

Maiden Name [if any]

Father’s Name [mandatory if

PAN not provided]

Spouse’s Name

Gender

Male

Female

Others

Transgender

Male

Female

Others

Transgender

Male

Female

Others

Transgender

Nationality Indian

Other _________

(Please specify the name of

country) :

Indian

Other _________


country) :

Indian

Other _________


country) :

Occupation Type Service [pls specify]

- Private Sector

- Public Sector

- Govt. Sector

Business

Others [pls specify]

- Professional

- Self Employed

- Retired

- Housewife

- Student

Not Categorized

Service [pls specify]

- Private Sector

- Public Sector

- Govt. Sector

Business


- Professional

- Self Employed

- Retired

- Housewife

- Student

Not Categorized

Service [pls specify]

- Private Sector

- Public Sector

- Govt. Sector

Business


- Professional

- Self Employed

- Retired

- Housewife

- Student

Not Categorized

PAN

Place / City of Birth

Country of Birth

Marital Status Married

Unmarried

Others

Married

Unmarried

Others

Married

Unmarried

Others

SELF DECLARATION FORM – ANNEXURE TO ACCOUNT

OPENING FORM FOR INDIVIDUALS

Page 1 of 2

ACCOUNT NUMBER / UCC No

DARASHAW AND COMPANY PRIVATE LIMITED CIN- U67120MH1994PTC076656 1205-06,

Regent Chambers, 208 Nariman Point, Mumbai 400 021www.darashaw.com

Address Type [for address

mentioned in the account opening form]

Residential Or Business

Residential

Business

Registered Office

Unspecified


Residential

Business

Registered Office

Unspecified


Residential

Business

Registered Office

Unspecified

Country/countries of

tax residency

Tax

Identification

Number (TIN)/

functional

equivalent

number

TIN /

functional

equivalent

Issuing

Country

Documents provided

(copy of certificate of

tax residence or copy

of TIN or others)

Date upto which the

documentary

evidence is valid

Remarks if any : __________________________________________________

DETAILS OF RELATED PERSON [In case of addition/deletion of related persons please provide the following information]

Related Person Type

Guardian of Minor

Nominee

Assignee

Authorised Representative

Beneficial Owner

Beneficiary

Name of the Related Person

Document submitted as proof

of identity of the related person *[refer below for the type of

document to be submitted ]

______________________________

_______________________________

*Certified copy of any one of the following Proof of Identity needs to be submitted:

A. Passport Number B. Voter ID Card C. PAN Card D. Driving License E. UID [Aadhar] F. NRGEA Job Card G.

Other [any documents notified by Central Government]

Declaration and Undertakings

The Customer/account holder certifies that: a. The information provided in the Form is in accordance with Section 285BA of the Income Tax Act, 1961 read with Rules 114F to 114H of

the Income-tax Rules, 1962.

b. The information provided by me/us in the Form, its supporting Annexures as well as in the documentary evidence provided by me/us are,

to the best of our knowledge and belief, true, correct and complete and that I/we have not withheld any material information that may affect

the assessment/categorization of the account as a Reportable account or otherwise.

c. I/We permit/authorise the Company to collect, store, communicate and process information relating to the Account and all transactions

therein, by the Company and any of its affiliates wherever situated including sharing, transfer and disclosure between them and to the

authorities in and/or outside India of any confidential information for compliance with any law or regulation whether domestic or foreign.

d. I / We undertake the responsibility to declare and disclose within 30 days from the date of change, any changes that may take place in the information provided in the Form, its supporting Annexures as well as in the documentary evidence provided by us or if any certification

becomes incorrect and to provide fresh self certification alongwith documentary evidence.

e. I / We also agree that our failure to disclose any material fact known to us, now or in future, may invalidate our application and the Company would be within its right to put restrictions in the operations of my/our account or close it or report to any regulator and/or any

authority designated by the Government of India (GOI) /Reserve Bank of India for the purpose or take any other action as may be deemed

appropriate by the Company if the deficiency is not remedied by us within the stipulated period. f. I / We hereby accept and acknowledge that the Company shall have the right and authority to carry out investigations from the information

available in public domain for confirming the information provided by me / us to the Company.

g. It shall be my responsibility / our responsibilities to educate myself / ourselves and to comply at all times with all relevant laws relating to

reporting under Section 285BA of the Act read with the Rules thereunder.

h. I/We also agree to furnish such information and/or documents as the Company may require from time to time on account of any change in

law either in India or abroad in the subject matter herein.

i. I/We shall indemnify the Company for any loss that may arise to the Company on account of providing incorrect or incomplete information.

× Signature of the 1st Holder

× Signature of the 2nd Holder

× Signature of the 3rd Holder

Date Place : ______________________________________

Page 2 of 2

DARASHAW AND COMPANY PRIVATE LIMITED CIN- U67120MH1994PTC076656 1205-06,

Regent Chambers, 208 Nariman Point, Mumbai 400 021www.darashaw.com

Part – A

PAN

Name

Address Type [for KYC address]

Residential Residential / Business Business Registered Office

Place of Incorporation

Country of Incorporation

Gross Annual Income Details in INR

< 1 Lakh 1-5 Lacs

5-10 Lacs 10-25 Lacs

25 Lacs-1 Cr > 1 Cr

Net Worth in INR in Lacs Net Worth as of

______________ dd/mmm/yyyy

Is the entity involved in / providing any of the following services:

Foreign Exchange / Money Changer Services Gaming / Gambling / Lottery Services [e.g.

casinos, betting syndicates] Money Laundering / Pawning

Any other information [if

applicable]

[Please specify]

Is your [Entity] Country of Tax Residency other than India – Yes No

If „Yes‟, please specify the details of all countries where you [Entity] hold tax residency and its Tax Identification Number & type

S No Country of Tax Residency Tax Payer Identification Number/ Functional Equivalent / Company Identification Number or Global Entity Identification Number

Identification Type [TIN or other,

please specify]

1

2

3

In case the Entity‟s Country of Incorporation / Tax Residence is US but Entity is not a Specified US person, mention Entity‟s exemption code here _______________ (Refer Instructions o)

FATCA-CRS Declaration & Supplementary KYC Information Declaration Form for Entities

Please seek appropriate advice from your professional tax professional on your tax residency and related FATCA & CRS guidance

Part B [to be filled by Financial Institutions or Direct Reporting NFFEs]

We are a

Financial Institution / FFI [refer

instructions a.]

Direct Reporting NFFE [refer instructions b.]

GIIN (Global Intermediary Identification Number):

Note: If you do not have a GIIN but you are sponsored by another entity, please provide your sponsor's GIIN above and indicate your sponsor's name below

Name of the sponsoring entity

GIIN not available [tick any one]:

Applied For Not required to apply for – specify sub-category code [refer instructions c.] Not obtained - Non-participating FFI

Part C [Fill any one as applicable - to be filled by NFEs other than Direct Reporting NFFEs]

1 Is the entity is a listed company [whose shares are regularly traded on a recognized stock exchange] [refer

instructions d.]

Yes (Please specify the name of the Stock Exchange(s) where it is traded regularly) 1. _______________________________

2. _______________________________

2 Is the entity a „Related Entity‟ of a listed company [whose shares are regularly traded on a recognized stock exchange] [refer

instructions e.]

Yes (Please specify the name of the listed company, name of the Stock Exchange(s) where it is traded regularly) Name of the listed company: _________________________________ Name of the Stock Exchange: _________________________________

3 Is the entity an Active NFE?

Yes - Nature of business ____________________________________ Please specify sub-category of Active NFE [refer instructions g.]

4

If the entity a Passive NFE: [refer instructions h.]

Yes - Nature of business ____________________________________

Also submit UBO Form [provided separately]

Signature with relevant seal:

Date: Place:

Authorized Signatory



Declaration: I/We acknowledge and confirm that the information provided above is true and correct to the best of my/our knowledge and belief. In case any of the above specified information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/We may liable for it. I/We hereby authorize you [Darashaw/Other participating entities] to disclose, share, rely, remit in any form, mode or manner, all / any of the information provided by me, including all changes, updates to such information as and when provided by me to / any of the intermediary or any Indian or foreign governmental or statutory or judicial authorities / agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax / revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same. Further, I/We authorize to share the given information to other SEBI Registered Intermediaries /or any regulated intermediaries registered with SEBI / RBI / IRDA / PFRDA to facilitate single submission / update & for other relevant purposes. I/We also undertake to keep you informed in writing about any changes / modification to the above information in future and also undertake to provide any other additional information as may be required at your / Fund‟s end or by domestic or overseas regulators/ tax authorities. I/We authorize intermediary to provide relevant information to upstream payors to enable withholding to occur and pay out any sums from my account or close or suspend my account(s) without any obligation of advising me of the same

Instructions for FATCA & CRS Declaration

a. Financial Institution / Foreign Financial Institution [FFI] – Means any non-US financial institutions that is a – (1)

Depository institution – accepts deposits in the ordinary course of banking or similar business; (2) Custodian institution - as a substantial portion of its business, hold financial assets for the accounts of others; (3) Investment entity – conducts a business or operates for or on behalf of a customer for any of the activities like trading in money market instruments, foreign exchange, foreign currency, etc. or individual or collective portfolio management or investing, administering or managing funds, money or financial assets on behalf of other persons; or an entity managed by this type of entity; or (4) Insurance company – entity issuing insurance products i.e. life insurance; (5) Holding or Treasury company – entity that is part of an expanded affiliate group that includes a depository, custodian, specified insurance company or investment entity

b. Direct Reporting NFFE – a NFFE that elects to report information about its direct or indirect substantial U.S. owners to

the IRS c. GIIN not required category:

Code Sub-Category

01 Governmental Entity, International Organization or Central Bank

02 Treaty Qualified Retirement Fund; a Broad Participation Retirement Fund; a Narrow Participation Retirement Fund; or a Pension Fund of a Governmental Entity, International Organization or Central Bank

03 Non-public fund of the armed forces, an employees' state insurance fund, a gratuity fund or a provident fund

04 Entity is an Indian FI solely because it is an investment entity

05 Qualified credit card issuer

06 Investment Advisors and Investment Managers

07 Exempt collective investment vehicle

08 Trustee of an Indian Trust

09 FI with a local client base

10 Non-registering local banks

11 FFI with only Low-Value Accounts

12 Sponsored investment entity and controlled foreign corporation

13 Sponsored, Closely Held Investment Vehicle

14 Owner Documented FFI

d. Listed Company - A company is publicly traded if its stock are regularly traded on one or more established securities

markets (Established securities market means an exchange that is officially recognized and supervised by a governmental authority in which the securities market is located and that has a meaningful annual value of shares traded on the exchange)

e. Related Entity - an entity is a “Related Entity” of another entity if one controls the other, or the two entities are under

common control (where control means direct or indirect ownership of more than 50% of the vote or value in an entity) f. Non-financial foreign entity [NFFE] – Non-US entity that is not a financial institution [including a territory NFFE].

Following NFFEs are excluded from FATCA reporting – (a) Publicly traded corporation / listed companies; (b) Related Entity of a listed company; and (c) Active NFFE

g. Active NFFE – Any one of the following –

Code Sub-Category

01 Less than 50% of the NFE‟s gross income for the preceding calendar year or other appropriate reporting period is passive income and < 50% of the assets held by NFE are assets that produce or are held for the production of passive income

02 The NFE is a Governmental Entity, an International Organization, a Central Bank , or an entity wholly owned by one or more of the foregoing;

03 Substantially all of the activities of the NFE consist of holding (in whole or in part) the outstanding stock of, or providing financing and services to, one or more subsidiaries that engage in trades or businesses other than the business of a Financial Institution, except that an entity shall not qualify for NFE status if the entity functions (or holds itself out) as an investment fund, such as a private equity fund, venture capital fund, leveraged buyout fund, or any investment vehicle whose purpose is to acquire or fund companies and then hold interests in those companies as capital assets for investment purposes;

04 The NFE is not yet operating a business and has no prior operating history, but is investing capital into assets with the intent to operate a business other than that of a Financial Institution, provided that the NFE shall not qualify for this exception after the date that is 24 months after the date of the initial organization of the NFE;

05 The NFE was not a Financial Institution in the past five years, and is in the process of liquidating its assets

or is reorganizing with the intent to continue or recommence operations in a business other than that of a Financial Institution;

06 The NFE primarily engages in financing and hedging transactions with, or for, Related Entities that are not Financial Institutions, and does not provide financing or hedging services to any Entity that is not a Related Entity, provided that the group of any such Related Entities is primarily engaged in a business other than that of a Financial Institution;

07 Any NFE is a 'non for profit' organization which meets all of the following requirements:

It is established and operated in its jurisdiction of residence exclusively for religious, charitable, scientific, artistic, cultural, athletic, or educational purposes; or it is established and operated in its jurisdiction of residence and it is a professional organization, business league, chamber of commerce, labour organization, agricultural or horticultural organization, civic league or an organization operated exclusively for the promotion of social welfare;

It is exempt from income tax in India;

It has no shareholders or members who have a proprietary or beneficial interest in its income or assets;

The applicable laws of the NFE's jurisdiction of residence or the NFE's formation documents do not permit any income or assets of the NFE to be distributed to, or applied for the benefit of, a private person or non-charitable Entity other than pursuant to the conduct of the NFE's charitable activities, or as payment of reasonable compensation for services rendered, or as payment representing the fair market value of property which the NFE has purchased; and

The applicable laws of the NFE's jurisdiction of residence or the NFE's formation documents require that, upon the NFE's liquidation or dissolution, all of its assets be distributed to a governmental entity or other non-profit organization, or escheat to the government of the NFE's jurisdiction of residence or any political subdivision thereof.

h. Passive NFE - means any NFE that is not (i) an Active NFFE or listed / publicly traded entity or entity related to the

listed / publicly traded entity, or (ii) a withholding foreign partnership or withholding foreign trust pursuant to relevant U.S. Treasury Regulations or (iii) the gross income of which is primarily attributable to investing, reinvesting, or trading in financial assets, if the entity is managed by another entity that is a depository institution, a custodial institution, a specified insurance company, or an investment entity - (Note: Foreign persons having controlling interest in a passive NFE are liable to be reported for tax information compliance purposes)

i. Passive Income – portion of gross income that consists of dividends, interest, rents and loyalties (other than rents and

loyalties derived in the active conduct of a trade or business conducted, at least in part, by employees of the NFFE), income equivalent to interest / amount received from pool of insurance contracts, annuities, excess of gains over losses from the sale or exchange of property / from transactions (including futures, forwards or similar transactions) in any commodities but not including (i) any commodity hedging transaction, determined by treating the entity as a controlled foreign corporation or (ii) active business gains or losses from the sale of commodities but only if substantially all the foreign entity‟s commodities are property, excess of foreign currency gains over losses, net income from notional principal contracts, amounts received under cash value insurance contracts, amounts earned by insurance company in connection with its reserves for insurance and annuity contracts

j. Controlling Persons means the natural persons who exercise control over an entity. In the case of a trust, such term

means the settlor, the trustees, the protector (if any), the beneficiaries or class of beneficiaries, and any other natural person exercising ultimate effective control over the trust, and in the case of a legal arrangement other than a trust, such term means persons in equivalent or similar positions. The term “Controlling Persons” shall be interpreted in a manner consistent with the Financial Action Task Force Recommendations.

k. Non-Participating FFIs [NPFFIs] – an FFI other than participating FFI, a deemed-complaint FFI, or an exempt beneficial

owner l. Specified US Persons – Any US Person other than i). A publicly traded corporation; ii). A corporation that is a member

of the same expanded affiliate group; iii). A tax exempt organization; iv). an individual retirement plan; v). the United States or an agency or instrumentality of the United States; vi). Any state [including District of Columbia and United States possession] or State Authorities; vii). A bank, viii). A real estate investment trust; ix). A regulated investment company; x). an entity registered with the SEC under the Investment Company Act of 1940; xi). A common trust fund; xii). A tax exempt trust; xiii). A registered dealer; xiv). A registered broker

m. Expanded affiliated group – One or more chains of members connected through ownership (50% or more, by vote or

value) by a common parent entity if the common parent entity owns stock or other equity interests meeting the requirements in atleast one of the other members

n. Owner documented FFI – AN FFI meeting the following requirements – (a) FFI is an FFI solely because it is an

investment entity; (b) FFI is not owned by or related to any FFI that is a depository institution, custodial institution, or specified insurance company; (c) FFI does not maintain a financial account for any non-participating FFI; (d) FFI provides the designated withholding agent with all of the documentation and agrees to notify the withholding agent if

there is a change in the circumstances, and (e) The designated withholding agent agrees to report to the IRS (or, in case of a reporting Model 1 IGA, to the relevant foreign government or agency thereof) all of the information described in or (as appropriate) with respect to any US specified persons and (2) Notwithstanding the previous sentence, the designated withholding agent is not required to report information with respect to an indirect owner of the FFI that holds its interest through a participating FFI, a deemed-compliant FFI (other than an owner-documented FFI), an entity that is a US person, an exempt beneficial owner, or an exempted NFE

o. Exemption Code for US persons

Code Sub-category

A An organization exempt from tax under section 501(a) or any individual retirement plan as defined in section 7701(a)(37)

B The United States or any of its agencies or instrumentalities

C A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities

D A corporation the stock of which is regularly traded on one or more established securities markets, as described in Reg. section 1.1472-1(c)(1)(i)

E A corporation that is a member of the same expanded affiliated group as a corporation described in Reg. section 1.1472-1(c)(1)(i)

F A dealer in securities, commodities, or derivative financial instruments (including notional principal contracts, futures, forwards, and options) that is registered as such under the laws of the United States or any state

G A real estate investment trust

H A regulated investment company as defined in section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1940

I A common trust fund as defined in section 584(a)

J A bank as defined in section 581

K A broker

L A trust exempt from tax under section 664 or described in section 4947(a)(1)

M A tax exempt trust under a section 403(b) plan or section 457(g) plan

N Not Applicable

NATIONAL STOCK EXCHANGE OF INDIA LIMITED

DEPARTMENT : INSPECTION

Download Ref.No.: NSE/INSP/2016/32759 Date : July 08, 2016

Circular Ref.No.: 283/2016

To All Members

Sub : Client Registration Documents in Vernacular Languages

This has reference to the SEBI circular CIR/MIRSD/16/2011 dated August 22, 2011 onclient registration documents. In order to facilitate better understanding of the registrationdocuments by the investors, Exchange is pleased to provide the following documents in 15regional vernacular languages:

1. Document stating the Rights & Obligations of stock broker, sub-broker and client fortrading on exchanges (including additional rights & obligations in case of internet /wireless technology based trading)

2. Uniform Risk Disclosure Documents (for all segments / exchanges)3. Guidance Note detailing Do’s and Don’ts for trading on exchanges

The above mentioned documents in the vernacular languages are available on NSE website athttps://www.nseindia.com/membership/content/complinc_trading_mem.htm and can bedownloaded. Trading Members are advised to make available the documents to their clients ondemand and also display the same on their own website.

It may be noted that the documents are a translated version of the original documents inEnglish. In case of any ambiguity the contents of the English version would prevail.

Members are advised to take note of the above and ensure compliance with the same.

In case of any clarifications, Members may contact our below offices:

CENTRE CONTACT NO. E MAIL IDAhmedabad 079-49008632 [email protected] 044-28479915 / 17 [email protected] 011-23459127 / 38 / 46 [email protected] 033-40400411 / 06 [email protected] 022-25045224 / 27 [email protected]

For and on behalf ofNational Stock Exchange of India Limited

Dr. Dinesh Kumar SoniHead- Inspection

Telephone No Fax No Email id1800 2200 51 022-26598194 [email protected]

( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED* ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

A) Fields marked with ‘*’ are mandatory fields. B) Please fill the form in English and in BLOCK letters.C) Please fill the date in DD-MM-YYYY format.D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.F) List of two character ISO 3166 country codes is available at the end.G) KYC number of applicant is mandatory for update application.H) For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated.

Married

Resident IndividualForeign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-ServiceO-OthersB-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code Identification Number

X- Not Categorised

Address Type*Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS

7. REMARKS (If any)

(All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1’ ) (please refer instruction G at the end)

(If KYC number and name are provided, below details of section 6 are optional)

Tel. (Off)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

State* ZIP / Post Code* ISO 3166 Country Code*

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government) Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date : Place :

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 changestherein, 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.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Employee Signature][Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

State / U.T Code* Pin / Post Code* ISO 3166 Country Code*District*

Line 2 City / Town / Village*

Line 1*

Line 3

Line 2 City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code Identification Number

CENTRAL KYC REGISTRY | Instructions / Check list / Guidelines for filling Individual KYC Application Form

General Instructions: 1 Fields marked with ‘*’ are mandatory fields.

2 Tick ‘’ wherever applicable. 3 Self-Certification of documents is mandatory. 4 Please fill the form in English and in BLOCK Letters. 5 Please fill all dates in DD-MM-YYYY format. 6 Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code

respectively list of which is available at the end. 7 KYC number of applicant is mandatory for updation of KYC details. 8 For particular section update, please tick () in the box available before the section number and strike off the sections not required to be updated. 9 In case of ‘Small Account type’ only personal details at section number 1 and 2, photograph, signature and self-certification required.

A Clarification / Guidelines on filling ‘Personal Details’ section 1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc.). The name should match the name as mentioned in the Proof of Identity submitted failing which the

application is liable to be rejected. 2 Either father’s name or spouse’s name is to be mandatorily furnished. In case PAN is not available father’s name is mandatory.

B Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India 1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the said jurisdiction has issued a high integrity

number with an equivalent level of identification (a “Functional equivalent”), the same may be reported. Examples of that type of number for individual include, a social security/insurance number, citizen/personal identification/services code/number, and resident registration number)

C Clarification / Guidelines on filling ‘Proof of Identity [PoI]’ section 1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.

2 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked. 3 In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents can also be submitted and undernoted relevant

code may be mentioned in point 3 (S). Document Code Description

01 Identity card with applicant’s photograph issued by Central/ State Government Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and Public Financial Institutions.

02 Letter issued by a gazetted officer, with a duly attested photograph of the person.

D Clarification / Guidelines on filling ‘Proof of Address [PoA] - Current / Permanent / Overseas Address details’ section 1 PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in force.

2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses. 3 In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents can also be submitted and undernoted relevant

code may be mentioned in point 4.1. Document Code Description

01 Utility bill which is not more than two months old of any service provider (electricity, telephone, post-paid mobile phone, piped gas, water bill).

02 Property or Municipal Tax receipt. 03 Bank account or Post Office savings bank account statement. 04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector Undertakings, if

they contain the address. 05 Letter of allotment of accommodation from employer issued by State or Central Government departments, statutory or regulatory bodies,

public sector undertakings, scheduled commercial banks, financial institutions and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation.

06 Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.

E Clarification / Guidelines on filling ‘Proof of Address [PoA] - Correspondence / Local Address details’ section 1 To be filled only in case the PoA is not the local address or address where the customer is currently residing. No separate PoA is required to be submitted.

2 In case of multiple correspondence / local addresses, Please fill ‘Annexure A1’

F Clarification / Guidelines on filling ‘Contact details’ section 1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999).

2 Do not add ‘0’ in the beginning of Mobile number.

G Clarification / Guidelines on filling ‘Related Person details’ section 1 Provide KYC number of related person if available.

H Clarification / Guidelines on filling ‘Related Person details – Proof of Identity [PoI] of Related Person’ section 1 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

List of two – digit state / U.T codes as per Indian Motor Vehicle Act, 1988

State / U.T Code Andaman & Nicobar AN Andhra Pradesh AP Arunachal Pradesh AR Assam AS Bihar BR Chandigarh CH Chattisgarh CG Dadra and Nagar Haveli DN Daman & Diu DD Delhi DL Goa GA Gujarat GJ Haryana HR

State / U.T Code Himachal Pradesh HP Jammu & Kashmir JK Jharkhand JH Karnataka KA Kerala KL Lakshadweep LD Madhya Pradesh MP Maharashtra MH Manipur MN Meghalaya ML Mizoram MZ Nagaland NL Orissa OR

State / U.T Code Pondicherry PY Punjab PB Rajasthan RJ Sikkim SK Tamil Nadu TN Telangana TS Tripura TR Uttar Pradesh UP Uttarakhand UA West Bengal WB Other XX

List of ISO 3166 two- digit Country Code

Country Country Code




Afghanistan AF Dominican Republic DO Libya LY Saint Pierre and Miquelon PM Aland Islands AX Ecuador EC Liechtenstein LI Saint Vincent and the Grenadines VC Albania AL Egypt EG Lithuania LT Samoa WS Algeria DZ El Salvador SV Luxembourg LU San Marino SM American Samoa AS Equatorial Guinea GQ Macao MO Sao Tome and Principe ST Andorra AD Eritrea ER Macedonia, the former Yugoslav Republic

of MK Saudi Arabia SA

Angola AO Estonia EE Madagascar MG Senegal SN Anguilla AI Ethiopia ET Malawi MW Serbia RS Antarctica AQ Falkland Islands (Malvinas) FK Malaysia MY Seychelles SC Antigua and Barbuda AG Faroe Islands FO Maldives MV Sierra Leone SL Argentina AR Fiji FJ Mali ML Singapore SG Armenia AM Finland FI Malta MT Sint Maarten (Dutch part) SX Aruba AW France FR Marshall Islands MH Slovakia SK Australia AU French Guiana GF Martinique MQ Slovenia SI Austria AT French Polynesia PF Mauritania MR Solomon Islands SB Azerbaijan AZ French Southern Territories TF Mauritius MU Somalia SO Bahamas BS Gabon GA Mayotte YT South Africa ZA Bahrain BH Gambia GM Mexico MX South Georgia and the South Sandwich

Islands GS

Bangladesh BD Georgia GE Micronesia, Federated States of FM South Sudan SS Barbados BB Germany DE Moldova, Republic of MD Spain ES Belarus BY Ghana GH Monaco MC Sri Lanka LK Belgium BE Gibraltar GI Mongolia MN Sudan SD Belize BZ Greece GR Montenegro ME Suriname SR Benin BJ Greenland GL Montserrat MS Svalbard and Jan Mayen SJ Bermuda BM Grenada GD Morocco MA Swaziland SZ Bhutan BT Guadeloupe GP Mozambique MZ Sweden SE Bolivia, Plurinational State of BO Guam GU Myanmar MM Switzerland CH Bonaire, Sint Eustatius and Saba BQ Guatemala GT Namibia NA Syrian Arab Republic SY Bosnia and Herzegovina BA Guernsey GG Nauru NR Taiwan, Province of China TW Botswana BW Guinea GN Nepal NP Tajikistan TJ Bouvet Island BV Guinea-Bissau GW Netherlands NL Tanzania, United Republic of TZ Brazil BR Guyana GY New Caledonia NC Thailand TH British Indian Ocean Territory IO Haiti HT New Zealand NZ Timor-Leste TL Brunei Darussalam BN Heard Island and McDonald Islands HM Nicaragua NI Togo TG Bulgaria BG Holy See (Vatican City State) VA Niger NE Tokelau TK Burkina Faso BF Honduras HN Nigeria NG Tonga TO Burundi BI Hong Kong HK Niue NU Trinidad and Tobago TT Cabo Verde CV Hungary HU Norfolk Island NF Tunisia TN Cambodia KH Iceland IS Northern Mariana Islands MP Turkey TR Cameroon CM India IN Norway NO Turkmenistan TM Canada CA Indonesia ID Oman OM Turks and Caicos Islands TC Cayman Islands KY Iran, Islamic Republic of IR Pakistan PK Tuvalu TV Central African Republic CF Iraq IQ Palau PW Uganda UG Chad TD Ireland IE Palestine, State of PS Ukraine UA Chile CL Isle of Man IM Panama PA United Arab Emirates AE China CN Israel IL Papua New Guinea PG United Kingdom GB Christmas Island CX Italy IT Paraguay PY United States US Cocos (Keeling) Islands CC Jamaica JM Peru PE United States Minor Outlying Islands UM Colombia CO Japan JP Philippines PH Uruguay UY Comoros KM Jersey JE Pitcairn PN Uzbekistan UZ Congo CG Jordan JO Poland PL Vanuatu VU Congo, the Democratic Republic of the

CD Kazakhstan KZ Portugal PT Venezuela, Bolivarian Republic of VE

Cook Islands CK Kenya KE Puerto Rico PR Viet Nam VN Costa Rica CR Kiribati KI Qatar QA Virgin Islands, British VG Cote d'Ivoire !Côte d'Ivoire CI Korea, Democratic People's Republic

of KP Reunion !Réunion RE Virgin Islands, U.S. VI

Croatia HR Korea, Republic of KR Romania RO Wallis and Futuna WF Cuba CU Kuwait KW Russian Federation RU Western Sahara EH Curacao !Curaçao CW Kyrgyzstan KG Rwanda RW Yemen YE Cyprus CY Lao People's Democratic Republic LA Saint Barthelemy !Saint Barthélemy BL Zambia ZM Czech Republic CZ Latvia LV Saint Helena, Ascension and Tristan da

Cunha SH Zimbabwe ZW

Denmark DK Lebanon LB Saint Kitts and Nevis KN Djibouti DJ Lesotho LS Saint Lucia LC Dominica DM Liberia LR Saint Martin (French part) MF

Aadhaar Consent Declaration

The Manager,Darashaw and Company Private LimitedMumbai

Dear Sir,

"I/ We, __________________________________________________________ hereby give voluntarily atmy own/ our discretion my/ our Aadhaar number as issued by Government of India to Darashaw andCompany Private Limited along with my/ our other-KYC documents for the purpose of opening an accountbased relationship and voluntarily give my consent to use my/our Aadhaar details for the purpose ofauthentication with UIDAI. I/we am/are enclosing a copy of my duly self-attested Aadhaar card / e-Aadhaarfor your record. The Aadhaar card details voluntarily furnished by me/us is/are true, correct and complete."

1” Applicant Signature 2” Applicant Signature

Date post:	29-Sep-2020
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