1. finance
2. bank
3. bank account

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.
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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
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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,
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Signature
Name :
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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.
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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 :
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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
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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
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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
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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
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