kyc check list - kunvarji

√

No. applicant by

RM/SB

4 Corresponding Address Proof (if applicable)

√

No. Attached

Self-

applicant

1 2 3 4 Corresponding Address Proof (if applicable) 5 6

√

No. by applicant by

RM/SB

3 Address Proof of Firm

5 Corresponding Address Proof (if applicable)

12 Authority letter to map demat account with trading

√

No. Attached

Self-certified by applicant

by RM/SB

by RM/SB

KYC CHECK LIST

– all authorised Signatories

Signatories

RM/SB

Individual 5 11 12 13 15 16 18 19 20 21 22 23 26 27 28 29 30 HUF 7 9 10 11 12 13 15 16 19 20 21 22 23 26 27 28 29 30 32

7 7

9 9

10 10

11 11

12 12

13 15 16 19 20 21 22 23 26 14 15 16 19 20 21 22 23 26

27 28 29 30 3227 28 29 30 32 Compan y

RM/SB Name : _______________________________ RM/SB Sign :______________________

Page # Particulars

KUNVARJI FINSTOCK PVT. LTD.Regd. Office: Block-B, 1st Floor, Siddhi Vinayak Towers, Makarba, Ahmedabad - 380 051.Phone: +91 79 6666 9000 | Fax: +91 79 2970 2196 | Email: [email protected], [email protected]

DOCUMENTS TO BE RETAINED BY STOCK BROKER

Audit 1

Audit 2

Date Name Signature

Phone Verification

KYC Entry

UCC Upload

UCC Client Code: ______________ BO ID: 12048400 ______________

Client risk categorisation under PMLA: (Tick (ü) any one) Low risk Medium risk High risk

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

Date:-____/____/______

For Kunvarji Finstock Pvt. Ltd.

Authorise Signatory

Introduced by: Another Constituent Director Employee of Trading member Sub Broker Any other person (please specify):__________________

Signature

UCC of the Introducer(if registered with the Trading Member)

Name of the Introducer First Name Middle Name Last Name

Signature of the employee

Introducer’s PAN Number(Kindly enclose copy of PAN Card)

Introducer’s Address(Kindly enclose proof of address)

(Name and designation of the employee who interviewed the client)Name of the employee : _________________________

In case the Introducer is not registered with the Trading Member, kindly provide details of the introducer.

FOR OFFICE USE ONLY

01

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

Documents verifiedwith Originals

Client Interviewed By In-Person Verification

done by

KRA Upload

TM

Index of Documents

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

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI, EXCHANGES & CDSL

1 KYC and Account Opening Form A. KYC Form documents captures the Basic information about 5 - 10

the client an instruction/checklist

B. Document captures the Additional Information about the 11 - 19

client relevant to Trading Account and Beneficial

owner’s account

2 Tariff Sheet for Trading and A. Document provides details of rate / amount of brokerage 20

Demat Account and other charges levied on the client for trading on the

Stock Exchange(s)

B. Document provides details of charges for depository 21

services

3 Rights and Obligations of beneficial Document stating the rights and obligations of beneficial

owner and depository participant as owner and Depository Participant for Demat Account as

prescribed by SEBI and depository prescribed by SEBI and Depositories

4 Rights and Obligations of stock Document states the Rights & Obligations of the Stock Broker,

broker and client Sub-Broker and Client for trading on exchanges (including

additional rights & obligations in case of Internet / Wireless

Technology based tradings)

5 Risk Disclosure Document (RDD) Document provides the details of risks associated while dealing

in the Securities Market

6 Guidance Note Document details Do's and Don'ts for trading on Exchanges, for

the education of the investors

7 Policies & Procedures Document describes significant policies and procedures of the

Stock Broker

VOLUNTARY DOCUMENTS AS PROVIDED BY

THE STOCK BROKER AND DEPOSITORY PARTICIPANT

8 Direct Debit authorisation Document authorises KFPL to Debit amount due by the Client

Form (mandate form)Demat A/C. from his Bank Account - Demat Account.

9 Power of Attorney in favour Limited Power of Attorney given by a Client to KFPL to debit his 22 - 23

of KFPL demat A/c with KFPL-DP to deliver securities as per client’s

settlement margin obligation

10 Additional Clauses of Rights and Document states the additional Rights & Obligations of 24 - 26

Obligations of Stock Broker, Stock Broker / Sub-broker / Authorised Person and client for

Sub-Broker and client trading on exchanges

11 Running Account Authorisation Document authorises KFPL to maintain Client’s Account on 27

Running Account mode i.e. funds will be remitted only on

his request

Included

in client

copy

Perforated

Page

(For Trading and Demat Account)

02

03

Index of Documents

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

12 Letter of Operation of Account Various operative instructions to the stock broker for day to day 28

operation of account of the client including authority for debit of

depository charges

13 Letter giving details of Authorised Letter giving details of persons authorised by the client to 29

representatives interact with the stock Broker on His/Her its behalf

14 Declaration by Karta Document for declaration by Karta & details of 29

Coparceners for HUF

15 Acknowledgement and Letter signed by client acknowledging and confirming receipt 30

Confirmation of the documents prescribed and that the same have been

explained to the client

16 Information about Provisions of Document provides a brief note on Prevention of

Prevention of Money Laundering Money Laundering Act. and Rules

Act, 2002 (PMLA)

COLOR REPRESENT DOCUMENTS HANDED OVER TO CLIENT

Included

in client

copy

32 - 33Details of ultimate beneficial owner including additional FATCA & CRS Declaration for Non-Individuals

17 FATCA-CRS Declaration

F# S# T#

Instructions to the Applicants (BOs) for account opening:

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

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public / Special Executive Magistrate / Special Executive Officer are to be provided in case of attestation done by them.

4. In case of additional signatures (for accounts other than individuals), separate annexures should be attached to the account opening form.

5. In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self-certified copy thereof, must be lodged along with the application.

6. All correspondence / queries shall be addressed to the first / sole applicant.

7. Strike off whichever option, in the account opening form, is not applicable.

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

INSTRUCTIONS / CHECK LIST

Copy of ITR Acknowledgement Copy of Annual Accounts

In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate

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.

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.

5. For non-individuals:

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

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

General Instruction:

• Client Name on KYC form should be as per PAN Card

• Signature must match with signature on Photo ID Proof

• Latest Passport Size Colour Photo need to paste on required places and signature across the photograph

• Proprietary firm and Partnership firm can not open demat account. They must make application in individual name & capacity.

• Minor: Trading A/c cannot be opened in name of Minor. Demat A/c - Joint A/c not permitted with minor, KRA form, Pan and Proof of address of both Minor and Guardian to be submitted.

• All Corrections on the form should be countersigned with full signature. White ink is not allowed either in form or agreement.

For Introducer:

• Introducer should personally verify account holders details like, Photograph, identity, address, etc. and affix “In Person Verification” stamp with his name, designation, signature on it.

• All Copies of documents must be Verified against their originals, stamped as “Verified with Original” and signed by authorized person with his name mentioned alongside his signature.

• Witness details should be filled up and witness should sign on all required places

Note:

• If Demat A/c is to be opened with two or more joint holders, Kindly submit KRA from for each joint holder along with specified documents

• In case of Demat A/c to be opened in the name of minor, please submit separate KRA form of guardian with specified documents

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

INSTRUCTION / CHECK-LIST OF DOCUMENTS FOR OPENING TRADING AND DEMAT ACCOUNT

04

Know Your Client (KYC)Application Form (For Individuals Only)Please fill in ENGLISH and in BLOCK LETTERS Application No.:I TM

FOR OFFICE USE ONLY IPV Done on d d m m y y y y

Kunvarji Finstock P. Ltd.KRA Code: 1200003087 / CKYC : IN0086

(Originals Verified) Self Certified Document copies received

(Attested) True copies of documents received

Main Intermediary

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date


Staff Name

Designation


Signature

Date

DECLARATION

B. Address Details (please see guidelines overleaf)

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü) against the document attached.

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook

*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please specify)

* Note more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y





6. Any other information:

1. Address for Correspondence

City/Town/Village

State

Pin Code

Country

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax

Address Type Residential Business Office

A. Identity Details (please see guidelines overleaf)

1. Name of Applicant (As appearing in supporting identification document).

Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

(Please specify)

4. Status Please tick (ü) Resident Individual Non Resident Person of indian Origin

3. Nationality Indian Other

d d m m y y y y

Father’s/Spouse Name

Mother Name

Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

2. Gender Male Female B. Marital status Single Married Transgender

Maiden Name (if any)

Other

Prefix First Name Middle Name Last Name

Aadhaar Number, if any:

City / Town / Village

CountryState

Pin Code

ISO 3166 Country Code of Jurisdiction of Residence* Country Name

Country Name

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

Place / City of Birth* ISO 3166 Country Code of Birth*

C. Tick if Applicable RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIAADDITIONAL DETAILS REQUIRED*(Mandatory only if section C ticked)

Date:Place:

UID (Aadhaar) Passport Voter ID Driving Licence Others

Expiry date of POI submitted6. Proof of Identity submitted for PAN exempt cases* Please tick (ü) d d m m y y y y

CKYC NO.:

Please enclose a duly attested copy of your PAN Card5. PAN

4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant

SIGNATURE OF APPLICANTI hereby declare that the details furnished above are true and correct to the best of my knowledge and belief andI undertake to inform you of any changes therein, immediately. In case any of the above information is found to befalse or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

C. Date of Birth

F1

F2

05

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

TM

06

Kunvarji Finstock P. Ltd.Code: 1200003087

Know Your Client (KYC)Application Form (For Non-Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS

A. Identity Details (please see guidelines overleaf)1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).

Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

4. Status Please tick (ü) Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs

FI FII HUF AOP Bank Government Body Non-Government Organisation

Defence Establishment Body of Individuals Society LLP Others

5. Permanent Account Number (PAN) (MANDATORY)

DECLARATION

FOR OFFICE USE ONLY

I hereby declare that the details furnished above are true andcorrect to the best of my/our knowledge and belief and I/we undertaketo inform you of any changes therein, immediately. In case any of theabove information is found to be false or untrue or misleading ormisrepresenting, I am/we are aware that I/we may be held liable for it.

Place: Date:



Main Intermediary


Staff Name

Designation


Signature

Date

B. Address Details (please see guidelines overleaf)1. Address for Correspondence


State

Pin Code

Country

N

2. Date of Incorporation d d m m y y y y

Place of Incorporation

3. Registration No. (e.g. CIN)

Date of commencement of business d d m m y y y y

(Please specify)

Please enclose a duly attested copy of your PAN Card

4. Registered Address (If different from above)


State

Pin Code

Country

NAME & SIGNATURE(S)

OF AUTHORISED

PERSON(S)


*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises

Any other proof of address document (as listed overleaf). (Please specify)



*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises

Any other proof of address document (as listed overleaf). (Please specify)


C. Other Details (please see guidelines overleaf)

1. Name, PAN, DIN/Aadhaar Number, Residential address and Photographs of Promoters/Partners/Karta/Trustees/whole time directors(Please use the Annexure to fill in the details)


Application No.:

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax

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11

ADDITIONAL DETAILS FOR OPENING TRADING ACCOUNT(Individual / Non-Individual)

TM

I/We are registered with KRA YES NOIf Yes, I/We hereby authorise you to obtain details of my documents from KRA and use the same for the purpose of registration. I/We hereby confirm that our details with KRA are accurate and updated.

E. PROOF OF FINANCIAL DETAILS (Attached any one of the below. Mandatory for trading in F&O /

Currency segment)

ITR Acknowledgment Annual Accounts Net Worth Certificate Salary Slip Form 16Bank Account Statement (for last 6 months) Demat holding statement Self declaration

along with relevant supporting Any other relevant documents substantiating ownership of assets

#If in future the client wants to trade on any new segment/exchange separate authorization /letter should be submitted to the stock broker.

C. DEPOSITORY ACCOUNT DETAILS:

Depository Participant Depository Name Beneficiary Name DP ID Beneficiary ID Name (NSDL/CDSL) (BO ID)

B. BANK DETAILS:

SB / Current / NRE / NRO / PIS-NRE / PIS-NRO

SB / Current / NRE / NRO SB / Current / NRE / NRO

D. TRADING PREFERENCE:Please sign in the boxes relevant to the exchange and segment where in you wish to trade. Strike Off remaining al other boxes:

CURRENCYDERIVATIVES

EQUITYDERIVATIVES

CASHMARKET

MSEIBSENSE Segment / Exchange

A. KRA REGISTRATION DETAILS:

Account Type: (Strike off which ever is not applicable)

Bank Name & Branch Address

Account Number MICR Code IFSC code

F3(a)

F3(d)

F3(g)

F3(b)

F3(e) F3(f)

F3(h)

Please provide details of any actions/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 (Use annexure for additional information, if required)

G. DETAILS OF PAST REGULATORY ACTIONS:

F. PROOF OF EXISTING DEMAT ACCOUNT:

Client Master Latest Transaction / Holding Statement of Demat Account (please tick whichever is applicable)

J. MOBILE NO. / EMAIL ID DECLARATION# #

The mobile no. mentioned in this KYC/KRA form belongs to myself / my family member -________________________ who is my _____________________________ (Relationship with client*)

# # The Email id mentioned in this KYC/KRA form belongs to myself / my family member -__________________________ who is my _________________ (Relationship with client*) *Only the mobile no. / email id of your spouse, dependent children and dependent parents can be registered in your account. # strikeout whichever is not applicable.

K. CONSENT FOR RECEIVING SMS/EMAIL ALERTS FROM CONCERNED STOCK EXCHANGES

I/We wish to avail the SMS/Email alert facility offered by respective Exchanges showing details of my daily transactions executed through Kunvarji Finstock Pvt. Ltd on my e-mail id / mobile no. provided in KYC form.

I/We hereby consent to receiving information from KFPL on registered mobile number & e-mail address

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)and 'Risk Disclosure Document' and 'Guidance Note'. 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 KFPL's designated website.

I. ADDITIONAL DETAILS:

Whether you wish to receive Electronic Contract Note (ECN) which may be sent at your email id as stated in KYC OR

Physical Contract note

Whether you wish to avail of the facility of Internet Trading Yes No

If Yes, whether you wish to avail facility of Mobile Trading Yes No

Number of years of Investment / Trading Experience

Any other information:

H. DEALINGS THROUGH SUB-BROKER(S) / AUTHORISED PERSONS (APs) AND OTHER STOCK BROKER(S)

/ SUB-BROKERS / APs:(A) If dealing through KFPL's Sub-broker / APs, please provide the following details: (SBs/APs to provide their prescribed

details or affix their rubber stamp here)

(B) If dealing through other Stock-brokers and/or their Sub-broker /APs, please provide the following details:

Sub-Broker's Name

Office Address

SEBI Registration No.

Phone No.

Stock-Broker’s Name

Sub-Broker / AP Name, if any

Client Code Exchange

Details of disputes / dues pending from/to such Stock Broker/Sub-broker:

Place:_______________________

Date:-____/____/______Signature of Client /(all) Authorised Signatory (ies)

F4

12

ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT (Individual)(To be filled by Applicant in BLOCK LETTERS in English)

I / We request you to open a demat account in my / our name as per following details

Holders Details:

Sole/First Holder's Name

PAN No. UID

Second Holder's Name

PAN No. UID

Third Holder's Name

PAN No. UID

Name*

*In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

Status Sub-Status

Individual □� Individual Resident □� Individual Director

□� Individual Director Relative □� Individual HUF /AOP

□� Individual Promoter □� Individual Minor

□ Individual Margin Trading (Mantra) A/c □� Others (Specify)

NRI □� NRI Repatriable □� NRI Non Repatriable

□� NRI Repatriable Promoter □� NRI Non Repatriable Promoter

□� NRI - Depository Receipt □� Others (specify) ____________________

Foreign National □� Foreign National □� Foreign National Depository Receipts

□� Others (Specify)________________________

TYPE OF ACCOUNT* (Tick whichever is applicable)

Details of Guardian (in case the account holder is minor)

Guardian's Name

PAN no.Relationship with theapplicant


KRA REGISTRATION DETAILS:

I/We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound

by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are

true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP

any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading

information given by me / us or suppression of any material information will render my account liable for termination and

suitable action.

In case non -resident account, I / We also declare that I / We have complied and will continue to comply with FEMA regulations.

Name

Signature

First / Sole Holder or

Guardian (in case of Minor)

Second Holder Third Holder

F5 S1 T113

TM

ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT (Non - Individual)

(To be filled by Applicant in BLOCK LETTERS in English)

I / We request you to open a demat account in my / our name as per following details

Holders Details:

Sole/First Holder's Name

Search Name

PAN No.

TYPE OF ACCOUNT* (Tick whichever is applicable)

Status

Body Corporate Bank Trust Mutual Fund OCB FII

CM FI Clearing House Others(specify)______________

Sub-Status

To be filled by the DP

SEBI RegistrationNo. (If applicable)

RBI RegistrationNo.(If applicable)

SEBI Registration(Date)

RBI ApprovalDate

Nationality Indian Others (specity)

Clearing Member Details (To be filled by CMs only)

Trading Member ID

Name of Stock Exchange

Name of CC / CH

Clearing Member ID

I/We have received and read the document of ‘Rights and Obligations of BO-DP (DP-CM agreement for BSE Clearing Member Accounts) including the schedules thereto and the terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.

Name

Sole / First Authorised Signatory

SecondAuthorised Signatory

ThirdAuthorised Signatory

Designation

Signature


KRA REGISTRATION DETAILS:

F5 S1 T1

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14

COMMON DETAILS FOR INDIVIDUAL AND NON-INDIVIDUAL DEMAT A/c

I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit] (If not marked, the default option would be ‘Yes’) Yes No

I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other further instruction from my / our end Yes No( If not marked, the default option would be ‘No’)

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

I / We request you to send Electronic Transaction-cum-Holding Statement at the Yes No email ID as Stated in this KYC/KRA

I/ We would like to share the email ID with the RTA Yes No

I / We would like to receive the Annual Report Physical / Electronic / Both Physical and Electronic(Tick the applicable box. If not marked the default option would be in Physical)

I / We wish to receive dividend / interest directly in to my bank account given below through ECS (If not marked, the default option would be ‘Yes’) Yes No

[ECS is mandatory for locations notified by SEBI from time to time]

Bank Details [Dividend Bank Details]

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)

(ii) Photocopy of the Bank Statement having name and address of the BO

(iii) Photocopy of the Passbook having name and address of the BO, (or)

(iv) Letter from the Bank.

In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.

Bank Code (9 digit MICR code)

IFS Code (11 character)

Account number

Account type Saving Current Others (specify)______________

Bank Name Branch Name

Bank Branch Address

City: State: Country: PIN code

SMS Alert Facility MOBILE NO. As Stated in this KYC / KRARefer to Terms & Conditions [(Mandatory , if you are giving Power of Attorney ( POA)] given as Annexure - 2.4 (if POA is not granted & you do not wish to avail of this facility, cancel this option).

Transactions Using Secured I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.Texting Facility (TRUST). Refer I have read and understood the Terms and Conditions prescribed by CDSL for the same. to Terms and Conditions Yes NoAnnexure - 2.6 I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST

Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)

Easi To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

Sole / First Holder / Second Holder / Third Holder / Authorised Signatory Authorised Signatory Authorised Signatory

Signature

Name

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15

F6 S2 T2

PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person

OTHER DETAILS FOR OPENING AN ACCOUNT

FOR INDIVIDUAL ACCOUNT:

Sr. No. Name of the Authorised signatories / Relation with the Applicant ( i.e. promoters, Please tick the Promoters / Partners / Karta / Trustees / whole time directors etc. relevant option. Whole Time Directors

Details of Politically Exposed Persons (PEP) / Related to Politically Exposed Person (RPEP) (For Non - Individual)

ANNEXURE - 2.2 A

PEP RPEP

PEP RPEP

PEP RPEP

PEP RPEP

PEP RPEP

Sole / First Second Third Authorised Signatory Authorised Signatory Authorised Signatory

Signature

Name

FOR NON INDIVIDUAL ACCOUNT:

1. Gross Annual Income details in Rs. (Please tick (ü):Upto 1 lac 1-5 lac 5-10 lac 10-25 lac 25 lac -1 Crore > 1 Crore

2. Net-worth in Rs. _____________________ as on date ___________ (Net-worth should not be older than 1 year)

3. Please tick, if any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Directors is either

Politically Exposed Person (PEP) or Related to Politically Exposed Person(RPEP)

Please provide details as per Annexure 2.2 A.(Annexure 2.2 A given below)

4. Any other Information:

1. Gross Annual Income details in Rs. (Please tick (ü):Below 1 lac 1-5 lac 5-10 lac 10-25 lac > 25 lacs OR

Net-worth in Rs. _____________________ as on date ___________ (Net-worth should not be older than 1 year)

2. Occupation (Please tick (ü) any one and give brief details):Private Sector service Public Sector Service Government Service Business RetiredProfessional Agriculturist Housewife Student Others(specify)___________

3. Please tick, if applicable: Politically Exposed Person (PEP) Related to Politically Exposed Person(RPEP)

4. Any other Information:

Name

Signature




F7 S3 T3

F7 S3 T3

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16

NOMINATION DETAILS (FOR TRADING AND DEMAT ACCOUNT) (FOR INDIVIDUAL A/C ONLY)

I / We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:

I / We do not wish to nominate any one for this trading and/or demat account

I / We nominate the following person who is entitled to receive security / funds balances lying in my / our trading and/or demat account particulars where of are given below, in the event of my / our death.

17

Nomination DetailsNominee Name :

*First Name:

Middle Name:

*Last Name

Nominee 1 Nominee 2 Nominee 3

*Address:

*City:*State:*Pin:*Country:Telephone No:Fax No:Nomination DetailsPAN No:UID :Email ID:

Nominee 1 Nominee 2 Nominee 3

*Relationship with the BO :

Date of Birth (Mandatory if Nominee is a Minor):

Name of the Guardian of Nominee (if the nominee is minor):

*First Name:

Middle Name:

*Last Name

*City:

*State:

*Country:

*Pin:

Age

Telephone:

Fax No:

Email ID:

*Address of the Guardian of nominee:

*Relationship of the Guardian with the Nominee:

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

.................................

18

This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

Note: One witnesses shall attest signature(s) / thumb impression(s)

Name of witness

Address of witness

Signature of witness

Witness

Name

Signature

Nomination Registration No. Dated




Details of the Witness

S4F8 T4

Note : Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any.

*Percentage of allocation of securities:

*Residual Securities[please tick any one nominee. If tick not marked default will be first nominee]:

To,Kunvarji Finstock Private LimitedBlock-B, 1st Floor, Siddhi Vinayak Towers,Makarba, Ahmedabad – 380 051.

Dear Sir/Madam,

I / We hereby state that: [Select one of the options given below]

OPTION 1:

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL accountthough I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with KUNVARJI FINSTOCKPVT. LTD. (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager.

Yours Faithfully

OR

OPTION 2:

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS agreement in favour of / with KUNVARJI FINSTOCK PVT. LTD. (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later date.

Yours Faithfully

MOBILE NO. / EMAIL ID DECLARATION# # The mobile no. mentioned in this KYC/KRA form belongs to myself / my family member - ______________________

who is my _____________________________ (Relationship with client*)# # The Email id mentioned in this KYC/KRA form belongs to myself / my family member - ________________________

who is my _________________ (Relationship with client*) *Only the mobile no. / email id of your spouse, dependent children and dependent parents can be registered in your account. # strikeout whichever is not applicable.

Second Holder /Authorised Person’s Signature

First Holder /Authorised Person’s Signature

Third Holder /Authorised Person’s Signature







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OPTION FORM FOR ISSUE OF DIS BOOKLET

F9 S5 T5

F9

F10

S5

S6

T5

T6

19

Note:

1. If Brokerage rates are not filled up by the client, the client will deemed to have agreed to default brokerage rates as

mentioned above.

2. KFPL reserves the right to change any of the terms mentioned herein above from time to time.

3. The client authorises Kunvarji Finstock Pvt. Ltd Stock Broker to recover demat charges payable to KFPL DP by debit entry in

sale bill and/or by debit to his ledger account.

4. All statutory and regulatory charges will be levied at actuals.

st st nd ndEquity 1 Leg Default 1 Leg 2 Leg (same day) Default 2 Leg

%age Min. %age Min. %age Min. %age Min.

Intraday Cash 0.10% 10 paisa 0.10% 10 paisa

Delivery 1 % 10 paisa 1 % 10 paisa

Future 0.10% 10 paisa 0.10% 10 paisa

Options (Per lot) 2.5 % 100 Rs. 2.5 % 100 Rs.

Contract Minimum Brokerage

st st nd ndCurrency 1 Leg Default 1 Leg 2 Leg (same day) Default 2 Leg

Derivatives %age Min. %age Min. %age Min. %age Min.

Future 0.10% 10 paisa 0.10% 10 paisa

Options (Per lot) 2.5 % 100 Rs. 2.5 % 100 Rs.

Sr. No. Other Charges Amount

1 Dispatch Charges for physical contract note for additional copy only Rs. 10 per contract note

(otherwise than for bounced email.)

2 Securities pay out from client beneficiary A/c Rs. 15 per scrip

3 Clearing Charges Reimbursement of charges levied by Clearing Member

4 Security Transaction Tax @ rates notified by Government

5 Stamp Duty @ rates notified by Government

6 Transaction Charge, SEBI Fees as Notified by Respective Stock

Exchange / SEBI

7 Service Tax including CESSES if any @ rates notified by Government on brokerage & other charges except STT & Stamp duty

Client Code: _______________

TARIFF SHEET FOR TRADING ACCOUNT

Signature of Client /(all) Authorised Signatory (ies)

Signature of Client

Rs. 25/- subject to limit of amount computed at maximum permissible rate of brokerage

F11

F12

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20

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F13 S7 T7

yearly AMC account tariff applicable

All instructions for market Transfer must be received at least 24 hours prior to the execution date, late

I/We wish to avail BSDA facility: Yes No (If Yes. selection of BSDA Demat Account Scheme compulsory by applicant/s)

21



KUNVARJI FINSTOCK PVT. LTD.POWER OF ATTORNEY IN FAVOUR OF KUNVARJI FINSTOCK PVT. LTD.

In the event of the Stock Broker acquiring membership of any new Exchange or any Segment of any new / existing Exchange and in the event of my / our executing transactions after opening trading account with the Stock Broker for such new Segment(s) / Exchange(s), the relevant demat account operated by the Stock Broker shall be added to the above list; and I / we shall be deemed to have consented to such addition(s).

ii. to redeem mutual funds units held by me/us in demat form in my / our above beneficiary account in accordance with my / our instructions and to execute DIS for meeting obligations arising out of such instructions.

TM

1 12048400 00000902 NSE - CASH SEGMENT PAY IN

2 11000011 00016360 NSE - CASH SEGMENT EARLY PAY IN

3 IN301151 22143972 NSE - CASH SEGMENT MARGIN

4 12048400 00000881 BSE - CASH SEGMENT PAY IN

5 11000010 00015789 BSE - CASH SEGMENT EARLY PAY IN

6 12048400 00021101 BSE - CASH SEGMENT MARGIN

7 IN300126 11199463 NSE - F&O SEGMENT MARGIN

8 12048400 00128072 NSE - CURRENCY DERIVATIVES SEGMENT MARGIN

9 12048400 00128087 MSEI - CURRENCY DERIVATIVES SEGMENT MARGIN

10 12048400 00234484 MSEI - CASH SEGMENT PAY IN

11 12048400 00244091 MSEI - CASH SEGMENT MARGIN

12 12048400 00244021 MSEI - F&O SEGMENT MARGIN

13 12048400 00243877 BSE-F&O SEGMENT MARGIN

14 16014800 00555401 NSE - CASH SEGMENT MARGIN

15 12048400 00268640 NSE - F&O SEGMENT MARGIN

16 12048400 00297000 NSE/BSE CASH SEGMENT MARGIN

SR. NO. DEMAT ACCOUNT NO. RELATED TO EXCHANGE & SEGMENT PURPOSE

F14 S8 T8

22


TO ALL TO WHOM THESE PRESENTS SHALL COME. I / we ______________________________________________________

_____________________________________________________________________ residing at / having its registered

office at______________________________________________________________________________, send greetings.

Whereas I/ we hold beneficial owner account number 12048400 with Central Depository

Services (India) Limited (CDSL), through M/S KUNVARJI FINSTOCK PVT. LTD., registered with Securities and Exchange Board of

India (SEBI) as Depository Participant having DP ID - 12048400 and SEBI Registration No.- IN-DP-CDSL-390-2007.

And Whereas I/ we am/ are desirous to buy and sell securities through M/S KUNVARJI FINSTOCK PVT. LTD. who is a stock broker

registered with SEBI and member of recognized stock exchange/s.

And Whereas I / we am / are desirous of appointing M/S KUNVARJI FINSTOCK PVT. LTD., as my / our constituted attorney to

operate my / our beneficial owner account on my / our behalf for a limited purpose in the manner hereinafter appearing and

subject to conditions as provided herein.

NOW KNOW WE ALL AND THESE PRESENTS WITNESS THAT I/ we do hereby nominate, constitute and appoint M/S KUNVARJI

FINSTOCK PVT. LTD. (hereinafter referred to as “the stock broker”) as my true and lawful attorney and authorise it to perform

the following functions on my behalf:

I. to transfer securities held in my / our aforementioned beneficial owner account(s) or any other account informed by me in

writing to the stock broker from time to time to the demat accounts (as per details given below) of the stock broker

maintained for the purpose of settlement of trades and margin obligations arising out of trades executed by me / us on any

recognized stock exchange through the stock broker. However, the said power will be restricted to only transfer of

securities towards margin / delivery obligations arising out of trades executed by me / us through the stock broker on any

recognized stock exchange, provided that I / we have opened trading account with the stock broker for such Exchanges.

KUNVARJI FINSTOCK PVT. LTD.

iii. to apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of shares,

tendering shares in open offers etc pursuant to oral/written/electronic instructions given by me/us to the stock broker.iv. to pledge the securities in favor of the stock broker 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 stock broker.v. to return to me/us, the securities or funds that may have been received by the stock broker erroneously or those

securities or funds that the stock broker was not entitled to receive from me/us;vi. to send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by way of

SMS/ email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to

time. I/We ratify the instructions given by the aforesaid stock broker to the depository participant named hereinabove in the

manner specified herein.I/We further 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 and that the said revocation shall be effective from the date on which the

revocation notice is received by the stock broker in his office at :

Signed and delivered by the within named Beneficial Owner/s

The Compliance OfficerKunvarji Finstock Pvt. Ltd.Block-B, 1st Floor, Siddhi Vinayak Towers,Makarba, Ahmedabad - 380 051.

I/We Accept

For, Kunvarji Finstock Pvt. Ltd.

Authorised Signatory

Date: ___/___/_____

Note:

1. If the account holder is HUF, all coparceners under stamp of HUF should

sign

2. In case of corporate account, the authorized signatory / director as per

the resolution submitted should sign with stamp of the company

3. In case of partnership firm, since the demat account is in the name of

partners all partners should sign without stamp of the partnership firm

In the presence of (Name & Address of witness)

(Name of Witness) _____________________

(Address) ___________________________

Date:____________ Place:_____________ (Sign of Witness)

1. __________________________________________

(Name of First Holder)

3. __________________________________________

(Name of Third Holder)

2. __________________________________________

(Name of Second Holder)




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F15

S9

T9

23

RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB BROKERS AND CLIENTS - (VOLUNTARY CLAUSES)

In addition to the above, the parties hearby agree to the

below mentioned :

1. Authorisation for Debit: Without prejudice to any

other clause of this document and/or the general

terms and conditions, the client understands and

agrees that the Stock Broker may charge additional

financial charges according to the Rules, Bye-laws and

Regulations of the relevant exchange and usual

custom of the market for any extra services rendered

by the Stock Broker and as required by the client, or for

such extra reasonable costs, including legal fees,

incurred by the Stock Broker for collecting the dues

payable by the client to Stock Broker, an exchange,

clearing corporation/ clearing house, any agent or sub-

broker of the Stock Broker and/or any other individual,

partnership, corporation, company, organisation,

association, trust or other entity acting for or on behalf

of the Stock Broker.

2. In case where the payment by the client towards

margin is made through cheque / pay order / demand

draft issued in favour of Stock Broker, any trades would

be executed by the Stock Broker only upon the

realization of the funds of the said cheque / pay order /

demand draft, or at the discretion of the Stock Broker

3. The client hereby unconditionally, absolutely, and

irrevocably undertakes to pay immediately any

amount due and payable on being called upon to do so,

merely on a demand in writing or otherwise from the

Stock Broker stating that the amount has become due

and any such demand made on the client shall be

conclusive as regards the amount due and payable by

the client.

4. Lien: All the securities and /or properties placed with

the Stock Broker shall be subject to a lien for the

discharge of any and all indebtedness or any other

obligation that the client may have to Stock Broker. All

of the client's securities and/ or other property shall be

held by the Stock Broker as security for payment of any

such obligation or indebtedness to Stock Broker. In

enforcing its lien, Stock Broker at its sole discretion

may determine which securities and / or other

properties are to be sold or which contracts are to be

enforced.

The client, by executing Power of Attorney in favour of

the Stock Broker in respect of his/her/its demat

account with Kunvarji Finstock Pvt. Ltd. Depository

Participant and availing margin or exposure limit

against securities held in his/her/its said demat

account, authorises the Stock Broker to withdraw

securities from client's demat account and place such

securities with the Stock Broker as margin or collateral.

5. The Client agrees & authorises the Stock Broker to

instruct the concerned Depository Participant to block

any security sold from the designated security account

against his order or the order of his power of attorney

holder to sell securities. If their order gets executed

either fully or partially then the securities sold would

be transferred to the Stock Brokers Account. The Client

further agrees and confirms that the Client will not

pledge or otherwise any security that has been

blocked by the concerned Depository Participant on

the instructions of the Stock Broker, the Client or by its

power of attorney holder at any time, and the Client

authorizes the Stock Broker to instruct the concerned

Depository Participant on Client's behalf to dishonour

any such instructions.

6. Acting as a Sub-Broker: The Client agrees that he will

not act as a Sub-Broker without prior written

permission of the Stock Broker, the stock exchange and

without obtaining certificate of Registration from

Securities and Exchange Board of India (SEBI).

7. The client agrees that each participating Exchange or

association or agency that supplies any data to be

displayed on the website asserts a proprietary interest

in all of the market data it furnishes to parties that

disseminate the said data. Neither the Stock Broker

nor any agency or any supplier of market data

guarantees the timeliness, sequence, accuracy,

completeness, reliability or content of market

information, or messages disseminated to or by the

party. The services of Stock Broker are provided on an

"as available" basis without warranties of any kind,

either express or implied, including, without

limitation, those of merchantability and fitness for a

particular purpose.

8. Neither the Stock Broker nor any other party

disseminating any data/message/information through

the Website shall be liable for any inaccuracy, error,

omission or delay in the transmission or delivery of:

(1) Any such data, information or message, or

(2) Any loss or damage arising from or occasioned by (I)

Any such in accuracy, error, delay or omission, (ii) Non-

performance, or (iii) Interruption in any such data,

information or message, due to either any act or

omission by the Stock

Broker or any disseminating party or to any "force

majeure' (e.g flood extra ordinary weather condition,

earthquake or other act of nature fire, war,

insurrection, riot, labour dispute, accident, action of

government, communications, power failure

equipment or software malfunction) or any other

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24

cause beyond the reasonable control of the stock

Broker or any disseminating party.

9. The Client acknowledges that the Stock Broker shall

neither be under any obligation to provide the Client

with any tax, legal, accounting investment advice or

advice regarding the suitability or profitability of

investment of any kind, nor do the Stock Broker give

any advice or give any opinion with respect to the

nature, potential value or suitability of any particular

transaction or investment strategy. The client

acknowledges that the employees of the Stock Broker

or the Stock Broker himself are not authorised to give

out any advice and the clients shall at all times be

responsible and liable for his own actions / inaction.

The client may be able to access investment research

reports through the internet from the web-site, including computerised on-line service or physical copy. The availability of such information does not constitute a recommendation to buy or sell any of the investment products. Any investment decision will be based solely on the clients own evaluation of financial circumstances and investment objective. Any real-time quotes provided are only for the clients own use and the client shall not furnish such data to any other person or entity.

10. The Client is authorised to use materials which are made available by the Stock broker, or of other third parties at the Stock Broker's website for client's own needs only in accordance with the terms and conditions specified for such usage, and Client is not authorised to resell access to any such materials or to make copies of any such materials for sale or use by others. Client will not delete copyright or other intellectual property rights notices from print outs of electronically accessed materials.

11. The Client shall, at all times, be responsible for the Investment decisions and/or orders placed or applications preferred by the Client either electronically or otherwise. The Client shall neither hold nor seek to hold the Stock Broker or any of its Directors, officers employees, agents or affiliates, liable for any loss including but hot limited to the trading losses incurred by the Client. The Client understands that the placing of the order with the Stock Broker electronically or otherwise does not guarantee execution of the said order or the acceptance of the application. Though orders will generally be routed to the exchange's computer systems within a few seconds from the time the order is placed by the Client to the Stock Brokers trading system, the Stock Broker shall not be liable for any delay in the execution of any order or any resultant toss on account of that delay. The Stock Broker shall

not be deemed to have received any order electronically or application unless it has confirmed the same.

12. Incase of a market order the Client agrees that he/she/it will receive the price at which the order has been executed by the exchanges computer systems and such price may be different from the price at which the security is trading when his/her/its order is entered into the Stock Brokers trading system.

13. The client hereby agrees that Stock Broker or the

exchanges shall not be liable for non-execution of any

order caused due to suspension, interruption, non-

availability or malfunctioning of the online as well as

offline trading service or the exchange system or

services for any reasons whatsoever.

14. The client is aware that Stock Broker may tape record

the conversation between the client / client's

representative and the Stock Broker, either directly or

over the telephone, and hereby specifically permits

the Stock Broker to do so. Such recording may be relied

upon by the Stock Broker as valid evidence as and

when required.

15. The Stock Broker may, however, assign their rights and

obligations to any third person without the prior

consent of the client.

16. The rights and obligation of stock brokers, sub brokers

and clients can be altered, amended and /or modified

by the parties mutually in writing without derogating

from the contents of these document.

17. SEVERANCE: In case any one or more of the provisions

contained in this document becomes invalid, illegal or

unenforceable in any respect under any law, the

validity, legality and enforceability of the remaining

provisions contained herein shall not in any way be

affected or impaired there to.

18. WAIVER: No forbearance, relaxation or inaction by any

party at any time me to require the performance of any

provision of this document shall in any way affect,

diminish or prejudice the right of such party to require

the performance of that or any other provision of this

document or be considered to be a waiver of any right,

unless specifically agreed in writing .

19. NOTICES: All notices or communications issued under

this document shall be served in any one or more or all

of the following ways and such notice or

communication under (i) to (xii) below shall be served

at the ordinary business address and / or ordinary

place of residence and / or last known address of the

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25

client in any one or more of the following ways.

i) by post

ii) by registered post

iii) under certificate of posting

iv) by express delivery post

v) by telegram

vi) by affixing it on the door at the last known business

or residential address

vii) b y oral communication to the party or on the last

known telephone number or on the recording

machine of such number

viii) by advertising it in at least one prominent daily

newspaper having circulation in the area where

the last known business or residential address of

the client is situated

ix) by sending a message through trading system

x) by notice posted on the notice board of the

Exchange if no address be known

xi) by electronic mail or fax

xii) by hand delivery

20. Clauses for communication of margin report, ledger

account etc. through email:

A. As per the authorisation provided by the client to

receive contract notes in electronic form by

email, the client also authorises the stock broker

to send all communication including statement of

account, margin report and any other

communication by email sent to the client on his

registered email id. The clauses in mandatory

document relating to bounced email will be

applicable.

B. The client is aware that the stock broker has

established systems which enable the clients to

access in secured manner their own contract

notes, ledger account and other reports through

internet by logging into website of the stock

broker i.e. www. kunvarji.com

C. In case where the stock broker is not able to

provide these documents to the client through

email due to any reason, the stock broker shall

ensure that such documents shall be sent to the

client in physical form as per the time schedule

stipulated in Bye-laws, Rules and Regulations of

the Stock Exchange.

D. The client shall take all the necessary steps to

ensure confidentiality and secrecy of his own

login name and password. Unless the client

lodges a complaint with the stock broker as to his

inability to access the system, it would be

presumed that all the communications sent by

email by stock broker to the client have been

properly delivered.

E. In case where the stock broker is not able to

provide contract notes and other documents to

the client through internet due to any unforeseen

problem the stock broker shall ensure that, the

contract note(s) and other documents reach the

client in physical form as per the time schedule

stipulated in Byelaws, Rules and Regulations of

the Stock Exchange.

F. The Client shall take all the necessary steps to Ensure confidentiality and secrecy of the login name & password. Unless the Client lodges a complaint with the Stock Broker as to his inability to access the system, it would be presumed that contract notes and all other documents have been properly delivered.

21. The client is informed that this document is also displayed by the stock broker on his website www.kunvarji.com as modified and amended from time to time.


TM

F16

26

ALL EXCHANGES RUNNING ACCOUNT AUTHORISATION - VOLUNTARY

1. In order to facilitate operations, I/we authorize you the

Stock Broker to maintain a running account with you,

instead of settlement to settlement clearance of

funds/ securities due to me/us. This authorization is

valid and applicable for my/our client account(s) with

you for each segment and each Exchange where I/we

have opened my/our trading account(s).

2. The pay out of funds/securities may be retained by you

and no interest shall be payable by you on such

securities /funds so retained. I/We authorise you to

appropriate such retained funds and/or securities to

meet our obligations for margin or for settlement

across exchanges, segments and settlements. Only on

my/our written request(s), you shall make payment out

of my/our credit balance(s) to the extent of

unencumbered credit balance(s) and shall t r a n s f e r

my/our securities to my/our Demat account(s) out of

my/our securities retained by you.

3. I/We authorise you to transfer my/our debit/credit

balances in my/our ledger accounts for different

segments and for different Exchanges inter se. Such

transfer may be affected by journal entry or by actual

transfer of funds as may be required.

4. I /We also authorize you to consider the

funds/securities so retained by you towards collateral

margin for allowing enhanced trading limit to me/us.

5. I/We agree that you shall not be liable for any claim for

loss of profit, or for any consequential, incidental,

special or exemplary damages, caused by retention of

such securities/funds under these instructions or

otherwise.

6. I/We authorise you to debit and recover depository

charges payable by me/us for depository services

rendered by you as DP of CDSL in respect of my/our

beneficiary account(s), out of funds held in my/our

client ledger account(s) in any segment/Exchange.

7. VALIDITY: These instructions are valid until the same

are revoked by me / us through written

communication.

TM


8. I opt for : Monthly Settlement

Quarterly Settlement

9. QUARTERLY / MONTHLY SETTLEMENT: I/We

understand that, as per regulations, Client's ledger

account with Stock Brokers is required to be settled to

zero once in every month or once in every quarter

depending upon the preference indicated by the client.

I/We request you to settle our ledger account as well as

securities account to zero once in every quarter, for all

segments taken together or on different dates for

different settlements as may be feasible. You may

retain such amount of funds and/or securities as would

be required to meet obligations on open positions as

on the date of settlement and for settlement

obligations or margin obligations for ensuing 5 days.

I/We undertake to inform you in writing any

discrepancy that I/we may find in statement of

account(s) and statement of securities forwarded to

me/us pursuant to such settlement(s), within 7 days

from the date of receipt of such statements.

10. REVOCATION: I/We understand that, I/we have right to

revoke this authorization at any time by sending a

written communication to that effect to you.

11. While settling my / our A/c on quarterly / monthly

basis, you are hereby authorised to retain balance upto

` 10,000/-. In case of credit balance of less than

`10,000/-, no quarterly / monthly settlement may be

done.

Yours faithfully,

Note:

The authorization shall be signed by the client only and not

by any of his/her/its authorized person on behalf of the

client or any holder of power of attorney.

F17

27

For the smooth operations of the account, kindly note our following instructions:

I. Order

1. I/We shall be giving verbal instructions for placing/modifying/cancelling my/our orders for trade executions, pay- out

instructions etc. over telephone or in person and the same shall be binding to me/us.

2. I/we do not require order confirmation/ modification/cancellation slip or trade confirmation slip generated by the

trading system.

II Communication

In case of any document/ledger/account position/transaction reports etc. are required by me/us, I/we shall obtain the

same from your offices or get it collected through our representative. I/we am/are aware that you have installed systems

and software which enable me/us to access my/our account details/ transaction reports and all matters pertaining to

my/our account through internet in a secured manner using our user id and password.

III Other Instructions

1. I/We understand that errors might be committed by dealers/ computer operators resulting in punching of wrong client

codes while making order entry. Exchange rules provide for modification for such wrongly entered client codes to correct

client codes. I/we undertake to sign such papers/documents as may be required for the purpose of authentication for

client code modification as and when required.

2. My/our funds lying with you may be used for the purpose of depositing the same with the exchange for the purpose of

margin or placing FDR with banks which may be submitted to the exchange/ clearing corporation for margin or used as

collateral for obtaining bank guarantees for meeting margin/ additional base capital requirement of exchange/ clearing

corporation.

3. I/we authorize you to use securities deposited by me/us with you to further use the same for meeting margin/additional

capital requirements of the Exchange by pledging or depositing the same in any manner as may be required.

4. I/we agree that you are authorised to charge delayed payment charges for over due amount @ 1.5% per month.

5. I/We undertake to execute my/our own sale purchase transactions in securities through you and shall not act as

unregistered intermediary. I/We shall intimate to you changes in my/our address details, bank details, demat account

details etc. as soon as possible.

6. You are authorized to debit and recover charges for depository services from my/our bills, ledger of any Exchange or

segment.

7. I/We opt to receive contract notes, margin statement, ledger and other account reports, reports at the time of quarterly

account statement, depository transaction and holding statement and other communications on my email id which is

provided in client registration form, authenticated by means of digital signature obtained from certified authority

designated under the Information Technology Act,2000.

8. I/We agree that, in case of I/we availing margin limit or exposure limit against securities held in my/our demat account

with Kunvarji Finstock Pvt. Ltd. Depository Participant, I/we hereby authorise you to withdraw the securities from my

demat account using powers available to you under clause 1 of the Power of Attorney executed by me/us in your favour

and place the same as collateral or margin with you.

Thanking you

Yours truly,

LETTER OF OPERATION OF ACCOUNT VOLUNTARY

TM


F18

28

Kindly find below a list of authorized representative to represent me/us, their authority including but restricted to

1. Placing/ modifying/ cancelling orders on my/our behalf.

2. Acknowledging contract notes issued by you to me/us for our trades.

3. Communicating changes in my/our KYC details.

4. All other communications from me/us to you.

Thanking you,

LETTER FOR AUTHORISED REPRSENTATIVES - ALL EXCHANGES - VOLUNTARY

Sr. No. Name of the representative Signature Relation, if any

1.

2.

3.

4.


F19

I,________________________________________________________________________________________________ (Name of

the Karta) the Karta of __________________________________________________________________________ Hindu

Undivided Family (HUF) do hereby declare that I am the Karta of HUF is authorized to execute & operate the depository account

opened with you on behalf of HUF and I state that all the members of HUF are jointly and severally responsible for

dealing/transaction/ delivery slips that are executed by me on behalf of the HUF and shall abide by the respective Exchange, Bye

Laws, and Regulations.

I further state that I am well aware of the CDSL procedures and shall comply with CDSL provisions under its Byelaws, Rule and

Regulations and also provide with the necessary information/details from time to time to the above trading member.

Name of the family Members including Karta with names in full, relation and Date of Birth are as under:

Thanking you,

Sr. No. Name Date of Birth Relation with Karta

DECLARATION BY KARTA

Yours faithfully,

Signature of Karta with HUF stamp

F20

TM

29


To,

Kunvarji Finstock Pvt. Ltd.

Makarba, Ahmedabad - 380 051.

Dear Sir / Madam,

Sub: Acknowledgment and confirmation

I/ We confirm that, I/we have received the following documents from you and that I/We have read and understood the

contents of the same.

1. Index of documents explaining brief significance of the documents.

2. Rights and obligations of stock brokers, sub brokers and clients including the same related to internet and wireless

technology based trading facility provided by the stock brokers to the clients

3. Risk Disclosure Document for capital market and derivatives segments

4. Guidance Note - Dos & don'ts

5. Policies & Procedures

6. Tariff sheet

7. Additional Clauses of Rights & Obligations

8. AML literature

9. Rights and Obligations of Beneficial Owner and Depository Participant

10. Direct Debit authorisation form - (Mandate Form for Demat Account)

I/We have been explained the above documents as required by me/us. I/ We have been informed that these documents are

also available on your website www.kunvarji.com

I/We have also been explained all the voluntary documents, their significance and that I/we have right to disagree with all or

any of them. Having understood all these documents and after careful evaluation of each of them, I/we have agreed to abide

by the said documents. I/We have also put my/our signature(s) wherever required.

I/ We have also been informed that you may avail of services of clearing member for clearing trades on the Exchange for any

or all segments.

I/We confirm that I/we have been informed that Kunvarji Finstock Pvt. Ltd. is engaged in proprietary trading i.e. trading in

securities market on its own account.

Yours faithfully,

Client Name:

Date:-____/____/________

TM




F21 S10 T10

30


To,Kunvarji Finstock Private Limited

Makarba, Ahmedabad - 380 051.

Dear Sir / Madam,

Sub: Authorisation and instructions for buying, selling and dealing in Mutual Fund units and Liquid BEES or

any other similar ETF on Exchange on my account

1. I/We are registered with you under the above client code for my/our transactions through you in securities market

on different stock exchanges and segments.

2. I/We understand that Stock Exchange systems allow registered clients to purchase, sell or deal in new products

like liquid BEES, other similar ETF and units Mutual Funds whose predominant investment objective is to invest in

short term securities and Government debt papers including treasury bills etc. I/We wish to instruct you to buy,

sell and deal in Liquid BEES units or any other ETF or Mutual Fund of similar nature with a view to invest our credit

balance with you to earn relatively risk free returns.

3. Such buying , selling and dealing in of securities described in para (2) shall be undertaken by you on my/our

account as per our below mentioned instructions

(A) Buying of such units of ETF or mutual fund units can be done by you to the extent of unencumbered clear

credit balance available in our account.

(B) You may execute sale transactions of such units of ETF or mutual funds to the extent of our holding.

(C) Such buying and selling transactions shall be executed by you without our orders and instructions based on

unencumbered clear credit balance or our holding and we shall be always deemed to have given orders for

the same.

(D) This letter and instructions contained herein do not caste any obligation on you to act as such. I/We

understand that, you shall provide such services on best effort basis.

(E) We are aware that ETF and Mutual Funds pay to you trail commissions on such investment proportionately for the

period of holding.

(F) We are aware of the features and risk factors associated with these products.

(G) We understand that, you will not charge any brokerage on these purchase and sale transactions mentioned

hereinabove. We are also informed that benefit of waiver of transaction charges by Exchanges, if any, shall be

passed on to us.

Thanking you

Yours Faithfully,

AUTHORISATION AND INSTRUCTION TO BUY & SELL ETF & MUTUAL FUND UNIT ON EXCHANGES

OFFICE USE ONLY

Date of receipt ____________________ Name and signature of official receiving ________________________

Date of updation in Back Office Software _________________________________________________

Signature and name of person ___________________________________


Client Name:

TM

F22

31

TM

o p q r s t

k l m n

Yes No

Details of Ultimate Beneficial Owner IncludingAdditiona FATCA & CRS Information - Non Individual

32

Signature with Stamp Signature with Stamp Signature with StampF23 S11 T11

33

TM

CLIENT PROFILE

Other Details, RM/BR/SB wish to write :

Pri

mar

y in

form

atio

n:

Ass

ess

me

nt

Name of Client

Location where sales representative meet tothe client

Client Occupation

Details of any relatives have account withKunvarji If any

Brief details of client's profile as visible throughsurroundings

Does client have previous trading and/ orinvestment experience?

Risk Appetite

Please furnish name of other broker; if any

The segments opted for by the client arecommensurate with his risk profile

Source of Introduction of Client/Client'sdecision maker entity

Expectation of business/Brokerage in a year Valueof Portfolio

Whether client is tech savvy and ready toavail internet trading or mobile trading facility

Email:

Does client him/herself is decision maker;if not then provide name and contact person ofdecision maker:

Internet Trading:

YES

NO

Client Home

Rich

Very High

Yes

Other, Please specify :

Client office

Middle Class

High

Upper Middle Class

Moderate

No

Lower Middle Class

Low

YES

NO

34






Main Intermediary


Staff Name

Designation


Signature

Date


Staff Name

Designation


Signature

Date











1. Address for Correspondence Address Type Residential Business Office



Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

(Please specify)



d d m m y y y y


Mother Name




Other




CountryState

Pin Code

City/Town/Village

State

Pin Code

Country

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax


Country Name




Date:Place:



CKYC NO.:



SIGNATURE OF APPLICANT

C. Date of Birth

F1

F2

D. Occupation (Please tick (ü) any one and give brief details):

Private Sector service Public Sector Service Government Service Business Retired

Professional Agriculturist Housewife Student Others(specify)___________






Main Intermediary


Staff Name

Designation


Signature

Date


Staff Name

Designation


Signature

Date











1. Address for Correspondence Address Type Residential Business Office



Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

(Please specify)



d d m m y y y y


Mother Name




Other




CountryState

Pin Code

City/Town/Village

State

Pin Code

Country

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax


Country Name




Date:Place:



CKYC NO.:



SIGNATURE OF APPLICANT

C. Date of Birth

F1

F2

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

D. Occupation (Please tick (ü) any one and give brief details):

Private Sector service Public Sector Service Government Service Business Retired

Professional Agriculturist Housewife Student Others(specify)___________

Third A/C Holder