Aditya Birla Money Limited
Aditya Birla Money Limited PLEASE READ THE FOLLOWING INSTRUCTIONS THROUGHLY BEFORE FILLING UP THE KYC FORM Dear Customer, We thank you for choosing ADITYA BIRLA MONEY LIMITED as your preferred investment partner. As you embark on this wonderful relationship with us, we wish to highlight certain important points below for your kind perusal. 1. Kindly ensure that you have received the booklet containing Rights and Obligations, Risk Disclosure Document, Guidance Note and Policies & Procedures at the time of executing this KYC form. These documents are also available on our website www.adityabirlamoney.com and can be downloaded at any point of time, for reference. Please read the same thoroughly. 2. Kindly ensure that you have read all the sections in the KYC as they have a direct bearing on the transactions through your trading / demat accounts. 3. Request you to kindly fill-in your contact details properly. Please be informed that you will be receiving a welcome call to confirm the details provided by you in the KYC form. 4. Welcome kit containing a welcome letter, the copies of the KYC form, client master statement, and delivery instruction booklets will be delivered post opening of your account. 5. The welcome letter will contain your name, address, contact number(s) and e-mail id(s) as provided by you in the enclosed application form. 6. Please be informed that transaction details per taining to your trading / demat account (s) including trade confirmations, contract notes, margin details, trading account balances, open positions closures, statement of accounts, statement of securities, transaction / holding statements (DP) etc. would be sent only to the mobile / e-mail ids provided by you in the KYC form. Please verify your contact details immediately upon receipt of the welcome letter, copy of KYC form, client master etc. and in case of any discrepancy, request you to kindly bring the same to our notice by calling or writing to us at the aforementioned toll free number / e-mail id not less than 3 days from the receipt of welcome letter. 7. Failure on your part or non receipt of any communication from you on the veracity of the contact details would be construed as acceptance and correctness of your contact details and we shall not be held liable for any discrepancy / claim etc. arising due to incorrect contact details. Happy Investing! Best Regards ADITYA BIRLA MONEY LIMITED Application No. Version 6.0 / 1 - 2012 1 Aditya Birla Money Limited To be mandatorily filled by Branches / Sub Brokers / Authorised Persons Name of the Branch / SB / AP Branch / SB / AP Code Introducer Details: TWS Terminal ID Introducer (Please 3 Tick) Branch Franchisee - SB/AP ABMML Others DSA / CP Branch Employee Code DSA / CP Code ABMML Employee Code ABMML Employee Name Account Type : Trading & Demat Only Trading Only Demat Account Mode (Please 3 Tick) Offline Online Scheme (Please 3 Tick) Normal Empower Margin (above Rs. 50,000) Internet A/c : Branch CnT Desk I Decide : Branch CnT Desk Verified by - Account Opening Department : Name : Signature : 2 Trader Corporate Others ACCOUNT OPENING KIT Annexure - 1 INDEX S.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 the basic information about the Client and an instruction/check list - Annexure 2 5-8 B. Document captures the additional information about the Client relevant to trading / demat accounts and an instruction/check list - Annexure 3 9 - 15 2. Rights and Obligations Document stating the Rights & Obligations of stock broker/ trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). 3. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market. 4. Guidance note Document detailing do's and don'ts for trading on exchange, for the education of the investors. 5. Policies and Procedures Document describing significant policies and procedures of the stock broker. 6. Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s). HANDED OVER TO CLIENT AS A SEPERATE BOOK 16 - 17 VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 18 7. Running Account Authorisation 8. Mobile Declaration Form 19 - 20 9. Letter of Authorization 21 - 22 HANDED OVER TO CLIENT AS A SEPERATE BOOK 10. Additional (Voluntary) Rights and Obligations 11. DP Agreement 23 - 25 12. Power of Attorney 26 - 28 3 Aditya Birla Money Limited Registered Office Address : Indian Rayon Compound, Veraval, Gujarat - 362 266. Telephone No.(s) : +91-2876-248495 Fax : +91-2876-243257 Corporate Office Address : Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone No.(s) : 044 – 3919 0002 / 03 Fax : 28290835 E-mail : [email protected] Web : www.adityabirlamoney.com National Stock Exchange of India Limited SEBI Reg. No. INB 231347031, INF 231347031, INE 231347031 Bombay Stock Exchange Limited SEBI Reg. No. INB 011347037, INF 011347037 MCX Stock Exchange Limited SEBI Reg. No. INE 261347031 United Stock Exchange of India Limited National Securities Depository Limited SEBI Reg. No. INE 271347036 SEBI Reg. No. IN-DP-NSDL-141-2000 CLEARING MEMBER (In Equity Segment) CLEARING MEMBER (In Equity Derivatives & Currency Derivatives Segment) Aditya Birla Money Ltd. Infra Structure Leasing and Financial Services Ltd. Address : Ali Centre, 53, Greams Road, Chennai - 600 006. CM No. : INF 231133630 Address : IL&FS Financial Centre, Plot C-22, G Block, Bandra - Kurla Complex, Mumbai - 400 051. Managing Director Compliance Officer Mr. SUDHAKAR RAMASUBRAMANIAN Telephone No.: +91-1800 300 29999 E-mail ID: [email protected] Mr. RAVISHANKAR GOPALAN Telephone No.: +91-1800 300 29999 E-mail ID: [email protected] Contact details in case of Grievance / Dispute : Name Telephone Number E-mail ID Aditya Birla Money Limited* +91-1800 300 29999 [email protected] National Stock Exchange of India Limited +91-22-2659 8100 [email protected] Bombay Stock Exchange Limited +91-22-2272 1233 / 4 [email protected] MCX Stock Exchange Limited +91-22-6731 9000 [email protected] United Stock Exchange of India Limited +91-22-4244 4999 [email protected] National Securities Depository Limited +91-22-2499 4200 [email protected] * Please note that clients may also get in touch at the corporate address of Aditya Birla Money Limited for grievance / dispute resolution. Links of exchanges websites are also available on our official website cited above. 4 Aditya Birla Money Limited Registered Office : Indian Rayon Compound, Veraval, Gujarat - 362 266. Telephone No.(s) : +91-2876-248495 Fax : +91-2876-243257 Corporate Office : Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone No.(s) : 044 – 3919 0002 / 03 Fax : 28290835 E-mail : [email protected] Web : www.adityabirlamoney.com Annexure - 2 Affix latest passport size Photograph (Please Sign accross the Photograph) KNOW YOUR CLIENT (KYC) APPLICATION FORM FOR INDIVIDUALS PLEASE FILL THIS FORM IN ENGLISH AND IN BLOCK LETTERS A. Identity Details Applicant Name Father’s / Husband’s Name Gender Nationality Male Female Marital Status Married Single Date of Birth D D - M M - Y Y Y Y Indian Other (Please specify PAN: Status ) Resident Individual Non Resident Foreign National Unique Identification Number (UID) / Aadhaar, if any Specify the proof of Identity submitted : PAN card Any other (Please specify ) B. Address Details - Correspondence Address Flat / House No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode State Country Specify the proof of address submitted for correspondence address Contact Details Telephone No. STD Code STD Code E-mail Permanent Address Residence Fax (If different from above. Mandatory for Non-Resident Applicant to specify overseas address) Flat / House No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode Office Mobile State Country Specify the proof of address submitted for Permanent address 5 C. Other Details Gross Annual Income Details (please specify): Income Range per annum Below 10 - 25 Lacs 1 Lac 1 - 5 Lacs >25 Lacs 5 - 10 Lacs Net-worth Amount ( ) M M Y Y Y Y As on (date) D D (Net worth should not be older than 1 year) OR Occupation Details Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others Related to a Politically Exposed Person (PEP) Please tick, if applicable : Politically Exposed Person (PEP) Any other information : D. Declaration I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. + Date D D - M M - Y Y Y Y Signature of the Applicant 1 FOR OFFICE USE ONLY (Self-Attested) Self Certified Document copies received (Originals verified) True copies of documents received Documents verified with Originals By Client Interviewed By In-Person Verification By Name of the Employee / Sub-Broker / Authorised Person Employee Code / SB SEBI Reg. No. AP Regn. No. Designation of the employee Date Signature For Aditya Birla Money Limited Authorised Signatory 6 Date D D - M M - Y Y Y Y Seal / Stamp of the intermediary INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Kar ta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for 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 is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 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 FEMA guidelines), 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, their passport copy should be given. 9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Cer tificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, impor tant political par ty officials, etc. B. C. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Under takings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks. 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 Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 7 D. 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 Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority. 6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., 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 address should be taken. 8. The proof of address in the name of the spouse may be accepted. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) E. 8 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 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. 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public 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 duly certified copies of such verified PAN details to the intermediary. 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 be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents. Aditya Birla Money Limited Registered Office : Indian Rayon Compound, Veraval, Gujarat - 362 266. Telephone No.(s) : +91-2876-248495 Fax : +91-2876-243257 Corporate Office : Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone No.(s) : 044 – 3919 0002 / 03 Fax : 28290835 E-mail : [email protected] Web : www.adityabirlamoney.com Annexure - 3 TRADING AND DEMAT ACCOUNT RELATED DETAILS FOR INDIVIDUALS TRADING ID DP ID I N 3 0 1 6 9 6 I/We request you to open a trading / depository account in my / our name(s) as per the following details : (Please fill this form in ENGLISH and in BLOCK LETTERS) A. Details of Account Holder(s) Name of First Holder PAN Name of Second Holder PAN Name of Third Holder PAN B. Bank Details (Through which transactions would be routed. Details & proof of bank account(s) is required) Account Type Savings Current Others (Please specify ) Bank Account No. Bank Name MICR Number IFSC Code Door No. Street Name Bldg. / Society Name Area / Locality City / Town / Village Pincode State Country Please provide additional bank account details (if any) as annexures with proofs. C. Depository Account(s) Details Depository Participant Name : ADITYA BIRLA MONEY LIMITED Depository Name : NSDL Beneficiary Name DP ID I N 3 0 1 6 9 6 Depository Participant Name Beneficiary ID (BO ID) Depository Name Beneficiary Name DP ID Beneficiary ID (BO ID) 9 D. Trading Preferences (Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client) Name of Exchange Name of Segment Signature National Stock Exchange Cash 2 Futures and Options 3 + of India Limited + Currency Derivatives Mutual Fund (MFSS) Bombay Stock Exchange Limited 4 + 5 + Cash 6 Futures and Options 7 Mutual Fund (BSE Star MF) 8 + + + MCX Stock Exchange Limited Currency Derivatives United Stock Exchange Limited Currency Derivatives 9 + 10 + # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. E. Past Actions Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/ constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years: Yes No, If Yes F. Dealings through Sub-Brokers and Other Stock Brokers If client is dealing through the sub-broker, provide the following details: Sub-Broker's Name Regd. Office Address Pincode Tel. Number Website (if any) SEBI Registration No. SEBI Registration No. 10 State Fax (Mandatory for SB / AP Clients) Whether dealing with any other stock broker/sub-broker (in case dealing with multiple stock brokers / sub-brokers, provide details of all) Stock Broker Name Sub-Broker's Name, If any Client Code Exchange in which Registered : Details of Disputes : Dues pending From / NSE BSE MCX-SX USE To such Stock Broker / Sub Broker Amount Due (in Rs.) Value of Shares Due (in Rs.) Nature of Dispute G. Additional Details Whether you wish to receive contract note in : Physical mode Electronic Contract Note (ECN) mode If ECN mode is opted, please specify your Email ID Whether you wish to avail the facility of : Internet Trading Wireless Technology Number of years of Investment/Trading Experience : Any other information : H. Guardian Details (In case the Sole First Holder is a Minor) For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian) Guardian Name Relationship (if any) PAN: Unique Identification Number (UID)/ Aadhaar, if any: I. Type of Account Body Corporate FI FII Qualified Foreign Investor Mutual Fund Trust Bank CM Other (please specify ) J. In Case of NRIs / Foreign Nationals RBI Approval Reference No. RBI Approval Date D D M M Y Y Y Y 11 K. Employment Details Name of the Employer / Establishment Designation Door No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode State Country Telephone No. STD Code L. Introducer Details Office Fax (Complete details to be filled) Introducer - Surname - Name : : - Middle Name : Full name of Introducer’s Father / Husband Address of Introducer : Flat / House No. Door No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode State Country Telephone No.STD Code Residence Status of introducer with Member : Client (Client Code) Authorised Person Sub-Broker Others (please specify) PAN of Introducer, if any Identity details of Introducer Mobile Employee of Broker Remisier Signature of Introducer M. Standing Instruction 1. I / We authorise you to receive credits automatically into our account. Yes No 2. Account to be operated through Power of Attorney (PoA) Yes No 3. SMS Alert facility [Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form] Sr. No. 12 Holder Yes No 1. Sole / First Holder 2. Second Holder 3. Third Holder N. Nomination Option Photograph of Nominee I/We wish to make a nomination . I/We do not wish to make a nomination. Signature of Nominee across Photograph I/We wish to make a nomination and do hereby nominate the following person in whom all rights and/or amount payable in respect of Securities held in the depository by me/us in the said beneficiary owner account shall vest in the event of my/our death. Name of Nominee Mr./Ms. Relationship with the Applicant (if any) Address of Nominee Door No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode State Country Contact Details of Nominee Telephone No. STD Code Residence Office Mobile E-mail Signature of Nominee To be filled-up only if nominee is a minor Date of Birth (in case of minor nominee) D D - M M - Y Y Y Y Photograph of Guardian Name of Guardian (in case of minor nominee) Mr./Ms. Incase Nominee is a Minor Relationship of guardian with nominee Address of Guardian Door No. Street No./ Name Bldg. / Society Name Area / Locality Landmark (if any) City / Town / Village Pincode State Country Contact Details of Guardian Telephone No. STD Code STD Code Residence Fax Office Mobile E-mail Signature of Guardian 13 O. Details of two Witnesses for nomination Name of the Witness (1) Address Pincode Signature - Date D D - M M - Y Y Y Y Name of the Witness (2) Address Pincode Signature - Date D D - M M - Y Y Y Y DECLARATION 1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge 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 or misrepresenting, I am/we are 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 on policy 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), ‘Risk Disclosure Document’, ‘Guidance Note’, ‘Policies & Procedures’ and Additional Rights & Obligations. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker’s designated website www.adityabirlamoney.com 4. I/We further confirm having received the following documents by way of a separate booklet : a. Rights & Obligations b. Risk Disclosure Document c. Guidance Note + d. Policies and Procedures Signature of Client 11 e. Additional Rights & Obligations 5. The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of my/our knowledge 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 or misrepresenting, I am/ we are aware that I/we may be held liable for it. In case non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. Name Sole First Holder / Guardian (in case of Minor) Signature + 12 Second Holder - Third Holder 14 INSTRUCTIONS / CHECK LIST 1. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16 Net worth cer tificate Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating ownership of assets. Self declaration with relevant supporting documents. *In respect of other clients, documents, as per risk management policy of the stock broker need to be provided by the client from time to time. 2. Copy of cancelled cheque leaf/pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be submitted. 3. Demat master or recent holding statement issued by DP bearing name of the client. 4. For individuals: a. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub-broker’s office. b. In case of non-resident clients, employees at the stock broker’s local office, overseas can 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 of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted. NOTES : 1. All communication shall be sent at the address of the Sole/First holder only. 2. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate. 3. Instructions related to nomination, are as below: I. The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, par tnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form. II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner. III. The Nominee shall not be a trust, society, body corporate, par tnership firm, kar ta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time. IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiar y owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities. V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository and the Participant against the legal heir. VI. The cancellation of nomination can be made by individuals only holding beneficiar y owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non-individuals including society, trust, body corporate, partnership firm, kar ta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form. VII. On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee. 4. Strike off whichever is not applicable 15 TARIFF DETAILS SCHEDULE OF TRADING AND DEMAT CHARGES Details of Charges Agreed Rates Account Opening Charge Brokerage - Equity - Speculation Brokerage - Equity - Delivery Brokerage - Derivatives - Equity Futures Brokerage - Derivatives - Equity Options - Per lot Brokerage - Derivatives - Currency Futures - Per lot Minimum Brokerage / per share Terms & Conditions : 1. In case of customer opting for physical contract notes, a document delivery charges of Rs.50/- per segment per exchange would be levied. Stock Broker will have the sole discretion of waiving this delivery charge either in part or in full. 2. In case the total brokerage earned per segment per exchange is not exceeding Rs. 50/- then a sum of Rs. 50/- or such other sum as may be decided by the Stock Broker will be charged per segment per exchange as minimum processing fee. 3. Brokerage rates indicated above are exclusive of all statutory and exchange related charges. 4. Shares transferred on account of inter - settlement / inter exchange / dues (custodial) to beneficiary account would be charged at Rs.22.50 per share. 5. Charges / Service standards are subject to change. Stock Broker shall have the sole discretion in change of applicable charges and the same would be communicated to clients through e-mail / ordinary post / website upload / SMS and such communication shall suffice as notice of change in tariff structure. + Signature 13 16 6. Additional services (if any) availed by clients would be charged separately. 7. Client shall at all times maintain a minimum balance of Rs.1000/- in his account to meet various charges pertaining to trading / demat accounts. 8. Account opening charges would not be refunded if the account is not opened due to non - submission of required details / documents by client I / We have understood all the charges listed above including the terms and conditions. 9. The client also authorises the Stock Broker to debit late payin / delayed payment charges @24% per annum on debit balances if any, in his account and not settled as per exchange requirements. 10. Opening of accounts will attract a fee of Rs. 750/unless the waiver is applicable to the scheme chosen by the client or the client fails to comply with the terms & conditions of a specific scheme. 11. Maximum brokerage prescribed by SEBI / Exchange would automatically be applicable in case tariff is not agreed upon for any segment / exchange. DEMAT ACCOUNT CHARGES - Fee Schedule (DPID - IN301696) Fee Head Ordinary Demat Stationery Charges Rs.25/- Advance Deposit (Exclusive DP Account) Rs.1000/- Transaction Fee (for debit to client account) debit to client account) for market trades - ABMLCM Rs.22.50/- per instruction Transaction Fee (for debit to client account) for market trades of other CM and off-market trades. Rs.22.50/- per instruction Normal Maintenance Rs.336 per Annum Fee Scheme Advance 1 Year Rs.300 Maintenance 2 Years Rs.550 Fee scheme 3 Years Rs.750 Pledge Creation Rs.28/- per instruction Pledge invocation / Closure / Confirmation Rs.16.50 /- Per ISIN Demat Charges Rs.5.60/- per certificate plus Rs.40/- courier charges Remat Charges Rs.11.20/- per certificate plus Rs.40/- courier charges Account Freezing Nil Courier charges Rs.10/- Interest on outstanding 18% per annum - + 14 (Sole / First Holder) (Second Holder) (Third Holder) 17 RUNNING ACCOUNT AUTHORISATION To Aditya Birla Money Limited Ali Centre, 53, Greams Road, Chennai – 600 006 Sir, Sub: Running account authorization – Reg. I am dealing through you as a client in various segments of NSE / BSE / MCX-SX / USE & in order to facilitate ease of operations (as debit or credit will be fluctuating on a day to day basis in my trading account) and to meet the upfront requirement of margin for trade: I authorize you as under: 1. I request you to maintain running balance in my trading account & retain the credit balance (accruing either by way of payments made by me or by way of any credit that is due to me on account of the transactions undertaken by me through my trading account) and to use the unused funds towards my margin/pay-in/other future obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing corporation unless I instruct you otherwise. 2. I request you to retain securities with you (accruing either by way of transfers effected by me or by way of any credit that is due to me on account of transactions undertaken by me through my trading account) for my margin/ pay-in/other-future obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing corporation, unless I instruct you to transfer the same to my demat account. 3. I request you to settle my fund and securities account Once in every calendar Quar ter or Once in a calendar Month or such other higher period as allowed by SEBI / Exchange (s) time to time. 4. In case I have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towards such obligations and may also retain the funds expected to be required to meet my settlement / margin obligations on the settlement date and for next 5 trading days, calculated in the manner specified by the exchanges from time to time. 5. I confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in writing within 7 working days from the date of receipt of funds/securities or statement of account or statement related to it, as the case may be at your registered office and to any other office that has been indicated in the notice for communication in the Member – Client Agreement. I shall have no right to dispute the transaction, funds and/or securities ever and agree that you shall not be liable for any incidental loss/damage caused due to retention of funds and/or securities upon such non – receipt disputes within the prescribed time. 6. I confirm you that I can revoke the above mentioned authority at any time. 7. I confirm that we would like to receive all documents including the statement of account (funds) and statement of securities that have to be furnished to me at the contact address/ e-mail id furnished by me. Thanking you Yours faithfully, + Signature Name : 15 18 Date : DECLARATION FOR MOBILE NUMBER - VOLUNTARY DOCUMENT To Aditya Birla Money Limited, Ali Centre, 53, Greams Road, Chennai - 600 006. Sub. : Mobile Number Declaration – Reg. I do hereby confirm and declare that my mobile number (s) / landline number (s) is / are as follows: S.No. Mobile / Landline Number Ownership (Own / Spouse / Family Member) 1 2 3 I intend to receive commercial communications from time to time from Aditya Birla Money Limited (ABML). I hereby authorise and give consent to Aditya Birla Money Limited to send me, either through itself or through any third party service provider, from time to time various information / alerts / SMS / calls /Advice/research calls/other messages or calls or commercial communication, which may be promotional in nature relating to various financial products and other services on the aforesaid listed telephone numbers, whether these numbers are registered with National Do Not Call Registry / listed in National Customer Preference Register or not. I also confirm that by sending any of such messages / calls, I will not hold ABML its third party service provider liable / institute complaint under the Telecom Commercial Communications Customer Preference (TRAI) Regulations, 2010 or such other applicable regulations including any amendment thereof, as may be applicable from time to time. I further agree to indemnify and hold ABML harmless against from and against any action, proceedings, claims, liabilities, penalties, demands and costs and agree to to bear the legal implications, cost and fines, which may be initiated against ABML due to any resultant compliant or legal implication on account of "Do Not Disturb" feature being activated on any of the above telephone numbers or for any reason whatsoever related thereto, under TRAI regulations. I hereby agree to pay such fees / charges as may be prescribed by ABML from time to time for availing research reports dissemination facility. I further authorize the Trade Desk to call and confirm the orders placed in my account on any of the numbers. I further confirm that the aforementioned mobile numbers / contact numbers belong only to me / my spouse / family members and will always be in safe custody. I will be solely responsible for the security of the information provided on my aforesaid mobile number. I further undertake to keep you informed about the changes in the mobile number and non-receipt of such updation may be construed that the above given mobile number is valid and subsisting. 19 Please send my system-generated, internet account first time as well as subsequent, Password on my following mobile number. Also, if I ever need to reset the Password later, the same should also be sent by SMS on the above given mobile number. As soon as I receive the system-generated Password, I shall login and change it for security reasons. I have been explained that I shall set my new Password as may be easy to remember for me, but should not be easy to decipher for anybody else and should be preferably alpha-numeric and not my or any family member's name/ surname. I also confirm that the above mobile number shall be updated in all your records and databases including trading and demat account. I am fully aware of the risk of electronic loss/ theft and agree to be solely liable and responsible for the same as well as for any unauthorized use/ misuse of the Password. I understand ABML will not be responsible or liable in any manner whatsoever for the same. I am aware that in case of change in my mobile number anytime after opening of this account, it is mandatory for me to submit the photocopy of a latest / last two months Mobile Bill for postpaid connection. If I have prepaid connection then I have to visit personally to the Branch along with my ID proofs (E.g.: Pan Card or Driving License) and get the documents verified by the branch officials. I agree and undertake to indemnify ABML and its group companies, associates, subsidiaries and affiliates that they will not be held responsible for any losses, claims, damages, cost liabilities etc. caused to me due to misuse of the information provided on any of the mobile numbers or pursuant to any litigations, non - litigation cases, complaints, actions etc. that may arise with respect to this request / declaration. I further declare that I have signed and given my consent on this day of consent letter shall remain effective and valid until withdrawn in writing by me. + Signature : 16 Name 20 : 20___. And this LETTER OF AUTHORISATION To Aditya Birla Money Limited Ali Centre, 53, Greams Road, Chennai – 600 006. Sub. : Letter of Authorisation - Reg. 1. I am desirous of investing / trading in securities (as defined in Section 2 of the Securities Contract Regulation Act) admitted for trading on the National Stock Exchange, Stock Exchange Mumbai, MCX Stock Exchange and / or any other stock exchange(s) and for this purpose I have entered into a Member Constituent Agreement with Aditya Birla Money Limited (hereinafter called ABML) and a trading account no: has been allotted to me. 2. Due to other pre-occupations I am unable to personally trade / invest / place orders / sign contract notes etc. in relation to investing / trading in securities. , S/o., D/o. W/o, , resident 3. Mr. of is my and as such I have full faith and confidence in him and desire to appoint him as my Authorized Representative (AR) in relation investing / trading in securities through the above referred trading account no: NOW BY THIS AUTHORIZATION LETTER I do hereby nominate appoint and constitute my true and lawful AR in my name and on my behalf to do the following acts deeds and things. 1. To buy, sell or in any manner trade in or deal with (including but not limited to setting off, alteration or closing out of transactions and freezing of the account) securities on the NSE, BSE, MCX-SX and / or any other stock exchange (s) my AR thinks fit. 2. To the extent permitted by ABML place orders with ABML for the aforesaid purposes and to the extent permitted by ABML to cancel revoke or alter such orders, to acknowledge contract notes and any other documents as may be required by ABML. 3. To receive and give / effect trade confirmations, sms confirmations, email confirmations, letters / notices and any other communications from and to ABML (in addition to the documents / confirmations received by me) and to sign all documents in relation to investing / trading in securities. 4. To receive all documents pertaining to the trading account including contract notes, statements of accounts and / or other statements, to admit their correctness and to acknowledge my liability. 5. Generally to do all acts deeds or things in relation to or connected with trading in or dealing with ABML or with one or more of the aforesaid matters as my said AR in his absolute discretion thinks fit. + 17 Signature of Client 21 6. I assume full and complete responsibility for all the investment decision (s) / transaction (s) effected by the AR and that am not entitled to hold ABML, its officers, directors, employees, agents and affiliates for any loss / liability arising out of the investment decision (s) and / or transaction (s) effected by the AR on my behalf. 7. I hereby agree that I shall not alter or revoke this Authorization Letter without 30 days prior written notice to my said AR as well as to ABML and that the revocation or alteration shall not affect acts deeds or things done by my said AR in relation to ABML or in relation to the securities transactions prior to such revocation or alteration being communicated to ABML. AND I hereby agree to ratify and confirm all and whatsoever my said AR shall lawfully do purport to do or cause to be done by virtue of this letter. Signature of Client : Signature of AR : + 18 Mobile Number of Client : Mobile Number of AR : Landline Number of Client : Landline Number of AR : E-Mail ID of Client : E Mail ID of AR : Attestation of AR signature, photograph and contact details by Client : Date : D D M M Y Y Y Y Passpor t photograph of AR to be affixed and AR to sign across the photograph Authorization of Branch Manager : Name of Branch Manager : Witness (1) Signature Name 22 Witness (2) - Signature Name - ADITYA BIRLA MONEY LIMITED AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE DEPOSITORY PARTICIPANT 3rd Holder This agreement made and entered into at Chennai, this the____________day of__________, 20___ between 1st Holder 1. Mr. / Mrs. / Miss aged about - S/o, W/o, D/o years, residing at 2nd Holder 2. Mr. / Mrs. / Miss S/o, W/o, D/o years, residing at 2nd Holder aged about 3rd Holder 3. Mr. / Mrs. / Miss S/o, W/o, D/o years, residing at 1st Holder hereinafter referred to as ‘Client’ which term unless repugnant to the meaning or context thereof shall be deemed to mean and include his / her / its heirs, legal representatives, successors - in - interest, executors, administrators, assigns and Aditya Birla Money Limited a Company incorporated under the Companies Act, 1956 and having its registered office at Indian Rayon Compound, Veraval, Gujarat 362 266, hereinafter referred to as ‘Depository Participant’ which term unless repugnant to the meaning or context thereof, shall be deemed to mean and include its successors - in - interest and permitted assigns. WHEREAS the Client has furnished to the Depository Participant the duly filled in application form requesting therein to open an account with the Depository Participant. Client : Signed on behalf of the Member : For Aditya Birla Money Limited + Witnesseth 27 aged about 1st Holder + 26 2nd Holder - Authorised Signatory MEMBER 3rd Holder 23 NOW THEREFORE in consideration of the Depository Participant having agreed to open an account for the Client, both the parties to the agreement hereby covenant and agree as follows: 1. The client shall pay such charges to the Depository Participant for the purpose of opening and maintaining his account, for carrying out the instructions of the Client and for rendering such other services as may be agreed to from time to time between the Depository Participant and the Client as set out in Schedule A. The Depository Participant shall reverse the right to revise the charges by giving not less than thirty days in writing to the Client. 2. The Client shall have the right to get the Securities which have been admitted on the Depositor y dematerialised in the form and manner laid down under the Bye Laws and Business Rules.The Depository Participant further undertakes that it shall not create or permit to subsist any mortage, charge or other encumbrance over all or any such Securities submitted for dematerialisation except on the instructions of the Client. 3. The Depository Participant hereby undertakes that it shall maintain a seperate account of its own Securities held in dematerialised form with the Depository and shall not commingle the same with the Securities held in dematerialised form on behalf of the Client. 4. The Depository Participant undertakes that a transfer to an from the accounts of the Client shall be made only on the basis of an order, instruction, direction or mandate duly authorised by the Clientand that the Depository Participant shall maintain adequate audit trail of such authorisation. 5. The Depository Participant agrees that the Client may give standing instructions with regard to the crediting of Securities in his account and the Depository Participant shall act according to such instructions. 6. The Depository Participant under takes to provide a transaction statement including statement of accounts, if any, to the Client at monthly intervals unless the Depository Participant and the Client have agreed for provision of such statements at shorter 24 7. The Depository Par ticipant shall have the right to terminate this agreement, for any reasons whatsoever, provided the Depository Participant has given a notice in writing of not less than thirty days to the Client as well as to the Depository. Similarly, the Client shall have the right to terminate this agreement and close his account held with the Depository Par ticipant, provided no charges are payable by him to the Depository Participant. In such an event, the Client shall specify whether the balances in its account should be transferred to another account of the Client held with another Depository Participant or to rematerialsie the security balances held.Based on the instructions of the Client, the Depository Participantshall initiate the procedure for transferring such security balances or rematerialise such security balances within a period of thirty days, as per the procedure laid down in the Bye Laws and Business Rules. Provided further, termination of this agreemnt shall not affect the rights, liabilities and obligations of either party and shall continue to bind the par ties to their satisfactory completion. 8. On the failure of the Client to pay the charges as laid out in clause (1) of this agreement within a period of thir ty days from the date of demand Depository Participant shall terminate this agreement and close the account of the Client by requiring it to specify whether the balances in its account be transferred to the account of the Client held with another Par ticipant or be rematerialised in the manner specified in the Bye Laws and Business rules. 9. The Client further agrees that in the event of the Client committing a default in the payment of any of the amounts provided in clause (1) within a period of thirty days from the date of demand, without prejudice to the right of the Depository Participantto close the account of the Client, the Depository Participant may charge @ not more than 24% p.a. or such other rate as may be specified by the Executive Committee from time to time for the period of such default. In case - + 28 intervals. However, if there is no transaction in the account, then the Depository Participant shall provide such statement to the Client atleast once a quarter. 1st Holder 2nd Holder 3rd Holder the Client has failed to make the payment of any of the amounts as provided in clause (1) of thi agreement, the Depository Participant shall have the right to disontinue the Depository services till such time he makes the payment along with the interest, if any, after giving two days notice to the Client. 15. The Client shall notify the Depository Participant within seven days, of any change in the details set out in the application form submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time. 10. The Depository Par ticipant shall have the right to provide such information related to the Client’s account as may be requested by the National Securities Depository Limited from time to time. 16. The Depository Participant undertakes to resolve all legitimate grievances of the Client against the Depository Participant within a period of thirty days. 11. The Client shall have the right to create a pledge of the Securities held in the dematerialised form with the Depository Participant only in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules. 12. The Depository shall not be laible to the Client in any manner towards losses, liabilities and expenses arising from the claims of third parties and from taxes and other governmental charges in respect of Securities credited to the Client’s account. 13. The Client may exercise the right to freeze his account maintained with the Depository Participant so as to lock the Securities held with the Depositor y Par ticipant in accordance with the Procedures prescribed in the Bye Laws and Business Rules. 14. The Client may exercise the right to defreeze his account maintained with the Depository Participant in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules. Signed on behalf of the Member : For Aditya Birla Money Limited 17. The Depository Participant and the Client shall abide by the arbitration and concilliation procedure prescribed under the Bye-Laws of National Securities Depository Limited and that such procedure shall be applicable to any disputes between the Depository Participant and the Client. 18. The Depository Participant and the Client further agree that all claims, differences and disputes, arising out of or in relation to dealings on the Depository including any transactions made subject to the ByeLaws or Business Rules of the Depository or with reference to anything incidental there to or in pursuance thereof or relating to thier validity, construction, interpretation, fulfillemnt of the rights, obligations and laibilities of the parties thereto and including any question of whether such dealings, transactions have been entered into or not, shall be subject to the exclusive jurisdiction of the courts at Mumbai only. IN WITNESS WHERE OF the Client and the Depository Participant has caused these presents to be executed as of the day and year first above written. Client : 1st Holder + 29 2nd Holder Authorised Signatory MEMBER Witness (1) Signature - - 3rd Holder Witness (2) Signature Name Name Address Address - 25 POWER OF AT TORNEY Let it be known to all persons by these presents that I / We, 1st Holder , 1. Mr. / Mrs. / Miss S/o, W/o, D/o, aged about years, residing at 2. Mr. / Mrs. / Miss , S/o, W/o, D/o, aged about years, residing at 3. Mr. / Mrs. / Miss , S/o, W/o, D/o, aged about years, residing at hereinafter collectively referred to as "Holders" which term shall unless repugnant to the meaning and context thereof be deemed to mean and include my / our heirs, executors, administrators and legal representatives as the case may be send greetings; Whereas I / We wish to participate in web based / non web based trading facilities, investments and other financial services being offered by Aditya Birla Money Limited (ABML) including but not limited to trading in securities, mutual funds / IPO's etc. either through its website www.adityabirlamoney.com or through any other website launched by ABML or through ABML branches or any other sub broker / authorized person branch etc. Whereas I / We have opened trading account (s) with ABML and have opened a demat account (s) with ABML vide the demat accounts mentioned in Schedule 1 hereunder or such other demat account demat account (s) as may be intimated by me / us to ABML from time to time (client designated demat accounts) by executing the necessary documents / agreements for availing the various online / offline trading / investment facilities offered by ABML. Whereas in course of availing various financial services and for meeting the settlement (delivery) and / or margin obligations thereof on the various Exchanges, I / We hereby nominate, empower, constitute and appoint Aditya Birla Money Limited, a company registered under the Companies Act, 1956 having its registered office at Indian Rayon Compound, Veraval, Gujarat - 362 266 (hereinafter referred to as attorney which terms shall include its legal representatives, successors in interest etc.) acting through their authorized signatories, as our lawful attorneys to do, execute and perform severally the following acts, deeds, things etc.: 1. To sign / execute physical / digital delivery instruction slips on my / our behalf for the purpose of transfer of securities from the demat account(s) designated in Schedule 1 hereunder to the various pool account(s) of ABML as provided in Schedule 2 or such other pool account (s) as may be intimated to me / us by ABML from time to time (designated broker pool accounts) to meet all settlement (deliver y) Client : 1st Holder 2nd Holder + 31 - 3rd Holder 26 obligations arising out of trades executed or may be executed by me / us on the various stock exchanges in which Aditya Birla Money Limited is registered and in terms of the member - client agreements executed by me / us with ABML. scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment scheme or any other securities /financial investments etc. 2. To sign / execute physical / digital delivery instruction slips on our behalf for the purpose of transfer of securities from my / our demat account (s) designated in Schedule 1 hereunder to the margin / base capital account (s) of ABML as provided in Schedule 3 or such other margin account (s) as may be intimated to me / us by ABML from time to time (designated margin accounts) respectively to meet all our margin / exposure obligations in connection with the trades executed or may be executed by me / us on various stock exchanges in which ABML is registered and in terms of the member - client agreements executed by me / us with ABML. 8. To debit the holder (s) trading account(s) towards monies / fees / charges etc. payable towards demat account transactions and maintenance charges, subscription of Initial Public Offerings of equity shares, scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment scheme or any other securities / financial investments etc. 3. To block / hold / release all or any of the securities or to mark lien on the securities in my / our demat accounts detailed in Schedule 1 hereunder to meet our settlement (delivery) / margin obligations arising out of trades executed or may be executed by me / us on the various stock exchanges in which ABML is registered and in terms of the Know Your Client documents executed by me / us with ABML. 4. To subscribe and receive delivery instruction booklets in addition to the delivery instruction booklets issued to me / us. 5. To apply / subscribe (through all modes) to various Initial Public Offering of equity shares, scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment scheme or any other securities / financial investments etc. 6. To provide required information pertaining to our accounts to various authorities / intermediaries / ompanies to enable the processing of above referred applications / subscriptions. 9. To do all such acts, deeds and things as may be necessary to fulfill all the afore mentioned purposes on my / our behalf. Whereas I / We shall ensure that sufficient number of securities are available in my / our demat accounts so as to enable the attorney to as effect deliveries to the pool / margin account of ABML. 10. To pledge the securities in favour of the stockbroker for the limited purpose of meeting my/our margin requirements in connection with the trades executed by me/us on any recognized stock exchange through the stockbroker. Whereas I / We authorize ABML to send consolidated summary of scrip wise buy / sell positions taken by us with average rates through contract notes, SMS / e-mail to the mobile nos. / e-mail ids furnished by me / us through application forms, client master data updation forms or through any other mode to ABML. Whereas disputes, if any, related to trading transactions shall be resolved in accordance to the Byelaws of the respective stock exchanges and disputes if any related to demat transactions shall be resolved in accordance to the Business Rules of the respective depositories. Whereas ABML shall return / all the shares / securities that may have been erroneously received by it or those shares that it is not entitled to receive from me / us 7. To sign / execute all applications / documents pertaining to Initial Public Offerings of equity shares, Client : 1st Holder + 32 2nd Holder - 3rd Holder 27 where such erroneous transfers were effected using the power given here. attorney shall lawfully do or cause to be done on our behalf by virtue of the powers given above. Whereas I / We do hereby agree that all the acts, deeds and things committed by the attorney under this limited power of attorney shall be construed as acts, deeds and things committed by me / us and I / We ratify and confirm that all such acts, deeds and things and whatsoever the I/We fur ther agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) in writing by me / us and that the said revocation shall be effective from the date on which the revocation notice is received by the attorney at its Registered office. Schedule 1 S.No. Designated Client Demat Acount (s) 1 2 3 4 Schedule 2 S.No. Schedule 3 Designated Broker Pool Accounts S.No. Designated Broker Margin Accounts 1 NSE – IN557962 1 IN301696 - 10000117 2 BSE – IN601847 2 IN301696 - 10000205 3 3 4 4 5 5 6 6 In witness whereof I / We have signed this POWER OF ATTORNEY on this the day of , 20 . - + 33 1st Holder Witness (1) Signature - 2nd Holder Witness (2) Signature Name Name Address Address 28 3rd Holder - INSTRUCTIONS TO CLIENT FOR TRADING IN FUTURE & OPTIONS SEGMENT Risks associated with trading in derivatives: Investors must understand that investment in derivatives has an element of risk and is generally not an appropriate avenue for someone of limited resources/ limited investment and/ or trading experience and low risk tolerance. An investor should therefore carefully consider whether such trading is suitable for him or her in the light of his or her financial condition. An investor must accept that there can be no guarantee of profits or no exception from losses while executing orders for purchase and/ or sale of derivative contracts. Investors who trade in derivatives at the exchange are advised to carefully read the Model Risk Disclosure Document and the details contained therein. This document is given by the broker and must be read, the implications understood and signed by the investor. The document clearly states the risks associated with trading in derivatives and advises investors to bear utmost caution before entering into the markets. Example 1 : An investor purchased 100 Nifty Futures @ INR 4200 on June 10. Expiry date is June 26. Total Investment: INR 4, 20,000. Initial margin paid: INR 42,000. On June 26, suppose Nifty index closes at 3,780 Loss to the investor (4200-3780)*100 = INR 42,000. The entire initial investment (i.e. INR 42,000) is lost by the investor. Example 2 : An investor purchased 100 ABC Ltd. Futures @ INR 2500 on June 10. Expiry date is June 26. Total Investment: INR 2, 50,000. Initial Margin paid: INR 37,500. On June 26, suppose ABC Ltd shares closes at INR 2,000, Loss to the investor (2500-2000)*100 = INR 50,000. Example 3 : An investor buys 100 Nifty call options at a strike price of INR 4000 on June 15. Nifty index is at 4050. Premium paid = INR 10,000 @ 100 per call *100 calls. Expiry date of the contract is June 26. On June 26, Nifty index closes at 3900, The call will expire worthless and the investor looses the entire 10,000 paid as premium. Example 4 : An investor buys 100 ABC Ltd, put options at a strike price of INR 400 on June 15. ABC Ltd share price is at 380. Premium paid = INR 5,000 @ 50 per put * 100 calls. Expiry date of the contract is June 26. On June 26, ABC Ltd, share closes at INR 410, The put will expire worthless and the investor losses the entire 5000 paid as premium. Example 5 : An Investor sells 100 nifty call option at strike price of INR 5100 on June 15 Nifty Index is at 5000 Premium Received = INR 4000 @ 40*100 Expiry date of contract 26 June On June 26 Nifty Index close at 5200 The call has closed higher than strike + premium the Investor lose 6000 5200-5140*100 6000 Example 6 : An investors sells 100 nifty put option at strike price of INR 5100 on June 15 Nifty Index is at 5000 Premium Received = INR 4000 @ 40*100 On June 26 Nifty Index Close at 4875 The put has closed lower than strike, hence strike-premium=5100-40=5060 5060-4875*100= 18500 Disclaimer : The material provided here is for general information purposes only. There can be no guarantee as regard to accuracy, completeness of its contents and nothing here should be relied upon as document to make investment decision or form basis for any claim, demand or cause for action. Actual scenario may differ and the market conditions can lead to substantial profit or loss. Investors are advised to seek adequate product and market knowledge as well as proper investment advice before trading in derivatives. Signature + 34 Signature of Client 29 30 ACKNOWLEDGEMENT Aditya Birla Money Limited Registered Office : Indian Rayon Compound, Veraval, Gujarat - 362 266. Telephone No.(s) : +91-2876-248495 Fax : +91-2876-243257 Corporate Office : Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone No.(s) : 044 – 3919 0002 / 03 Fax : 28290835 E-mail : [email protected] Web : www.adityabirlamoney.com DP ID I N 3 0 1 6 9 6 Received the application from Mr./Ms. as the sole / first holder alongwith and as the second and third holders respectively for opening of a depository account. Please quote the DP ID & Client ID allotted to you in all your future correspondance. Date D D - M M - Y Y Y Y Participant Stamp & Signature 31 32
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