TRADING

&

DEPOSITORY

APPLICATION

DP / TRADING ACCOUNT OPENING FORM - FOR INDIVIDUALS

QUICK CHECK LIST

REGISTERED OFFICE ADDRESS CORRESPONDENCE OFFICE ADDRESS

“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com

“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com /open@tradeplusonline.com

s

COMPLIANCE OFFICER DETAILS SEBI REGISTRATION NUMBERS

S KrishnamurthyPh: +91-44-39189449compliance@naviamarkets.com

S K HozefaPh: +91-44-39189449ceo@naviamarkets.com

CEO DETAILS CLEARING MEMBER DETAILS

TABLE OF CONTENTSMANDATORY DOCUMENTS

DOCUMENT SIGNIFICANCE PAGE NUMBER

OPTIONAL DOCUMENTS

Account Opening Form a)

Document captures the additional information about the constituent relevant to Demat / Trading Account and an Instruction / check list

DP Rate Card / Tariff Sheet for levied on the client for maintaining DP / Trading accountTrading Account

Acknowledgment letter Acknowledgment indicating receipt of documents by the client

Authorization for running Letter of authority / request to Navia Markets Ltd account/ request letter

Internet based Trading Internet & Wireless Technology based Trading Facility provided to Client

KYC Form – Document captures the basic information about the constituent and an Instruction / Check list b)

“TRADEPLUS” is the online brand of Navia Markets Ltd

1

Details of the Transaction Charges / Brokerage and other charges 11 -13

14

15

16

For Derivative Segment Any one of the document as per SECTION ‘ F ’ is mandatory

1

In case, Nominee is Minor, affix the photo of Guardian and also obtain the signature of Guardian in Page No. 8.

Fill the nomination details and affix the photo of Nominee and also obtain the signature of NOMINEE in page No.8

. Submit the Clear Copies to avoid rejections.

4-10

Power of Attorney(POA) Power of Attorney(POA) 18 - 20

Print 17 pages (4th Page to 20th page) and affix 17 signature. Select the depository you wish to open your demat account.

DP Account Opened by more than one holder, separate KYC forms for each individual should be attached. (pages 4)

Paste Passport size Photograph - 2 nos. on Page 4 & page 5 and sign across

Sign all areas highlighted with ‘ ’ symbol

Enclose Photocopy of PAN CARD and address Proof with self attestation

Enclose Cancelled Cheque leaf to confirm your bank details

Name : IL&FS Securities Services LtdNSEF&O&CD : INZ000163538 MCX: MCX/CM/CORP/1083

MCX ECN Decleration Electronic contract note decleration for MCX 17

For any grievance/dispute, please contact Navia Markets Ltd on ig@naviamarkets.com or 044-28214171. In case,you are not satisfied with the response, please contact the concerned NSE Ltd at ignse@nse.co.in / 022-26598190, BSE Ltd at is@bseindia .com / 022-22728097, NSDL at relations@nsdl.co.in / 1800-222-990 , CDSL at complaints@cdslIndia.com / 1800-22-5533, MCX at grievance@mcxindia.com / 022-67318888 We are not engaged in Proprietary Trading

NSE/BSE/MCX : INZ000095034NSDL/CDSL : IN-DP-311-2017

INSTRUCTION FOR FILLING THIS KYC FORM

SECTION A

SECTION B

SECTION C

IMPORTANT POINTS

PROOF OF IDENTITY (POI) – LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF IDENTITY (Self Attested)

PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF ADDRESS (Self Attested)

Note: Documents having an expiry date should be valid on the date of submission

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 Undertakings, 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.

1. Passport/ Voters Identity Card/Aadhaar 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.

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.

2

1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and

persons authorized to 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 regional/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 Certificate) 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, important political party officials, etc.

2

SECTION D EXEMPTIONS / CLARIFICATIONS TO PAN

(Note: Sufficient documentary evidence in support of such claims to be collected.)

SECTION E LIST OF PEOPLE AUTHORISED 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.

SECTION G

SECTION H

ADDITIONAL DOCUMENTS

KRA REGISTRATION

Apart from the above documents, the following documents are mandatory to open a trading account

1. Proof of Bank account Number of the constituent: Copy of cancelled cheque or Bank Pass Book or Bank Statement not later than last

three months. Please ensure the name of the constituent, MICR Code and IFSC Code of the bank available in the proof

2. DP Client Master or Recent Holding Statement issued by DP bearing Name of the Client in the statement.

If you have already processed your identity using a KYC System with any broker, depository participant or other registered

intermediary in India, you are exempted from the following :

a) Providing Proof of Identity

b) Providing Proof of Address

Please ensure that your address and identity detail which was registered by the intermediary is up to date. If you feel that it may be incorrect,

or you have updated your address in the last 12 months, please provide the above proofs to ensure that your account is opened on time. You

can check if you are in the KRA System by visiting and entering your PAN number. CAMS KRA - https://camskra.com/

KARVY KRA - http://www.karvykra.com/ CDSL KRA - https://www.cvlkra.com/ NSE KRA - https://www.nsekra.com/Launch/kra_index.aspx

NDML KRA - https://kra.ndml.in.

SECTION F ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENT - ANY ONE

1. Copy of ITR Acknowledgment 2. Copy of Annual Accounts 3. Copy of Form 16 in case of Salary Income 4. Net worth Certificate 5. Salary Slip - Last three months 6. Copy of Demat Account Holding Statement 7. Bank Account statement for last 6 Months 8. Self Declaration with relevant supporting documents 9. Any other relevant documents substantiating ownership of Assets.

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 (subject to the continued exemption granted by Government).

3. UN Entities/Multiateral agencies exempted from paying taxes / filing tax returns in India.

4. SIP of Mutual Funds upto 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.

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. (All document should be self attested by the client)

3

3 a) Gender

4. a) Nationality

5 a) PAN

6 Specify the proof of identity submitted

Annexure JPART I - KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Individuals)

M Y Y Y YD D M

Please fill this form in ENGLISH and in BLOCK LETTERS

A. IDENTITY DETAILS

B. ADDRESS DETAILS

C. DECLARATION

1 Name of the Applicant

2

1 Residence / Correspondence Address

MaleFemale

IndianOther

(Please specify,___________________ )

SingleMarried

Resident IndividualNon ResidentForeign National

b) Marital status c) Date of Birth

b) Status

b) Aadhaar Number, if any

Correspondence Address Residence Address

PAN cardAny other (Please specify;___________________________________ )

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

s

Specify the proof of address submitted for Permanent Address

Father's / Husband's Name (with Surname)

Mother's Name (with Surname)

Signature Across

4

Ganga Griha, 4th & 5th floor, No. 9,Nungambakkam High Road, Chennai - 600 034.Navia Markets Ltd, NSDL DP ID: IN300378. CDSL : 12086500

UCC :

Select the Depository you wish to open your demat account. CDSL NSDL

s

3 Contact Details

Email ID belongs to Me My Family. Mobile No. belongs to Me My Family( Spouse , Dependent Children / Parent)

2 Specify the proof of address submitted for Residence /Correspondence address

(1/17)Sign

photograph

4 Permanent Address (If different from above,, Mandatory for Non-resident applicant to specify overseas address

Interviewed /Originals verified and self attested documents received

Name : Designation :

Employee Code: Signature: Date:

Details of Employee doing In Person Verification (IPV)

We undertake that, we have made the client aware of Policy & Procedures,Terms & Conditions,Tariff Sheet,Rights & Obligations,RDD, Do's & Dont's & Guidance note and all the mandatory & non-mandatory documents. We have given/sent him a copy of all the KYC documents. We undertake that the above mentiobed documens would be made available on our website and any change would be duly intimated to the clients.Date : Seal : Name & Signature of Authorised Signatory:

Date : Place : Signature of the Applicant (2/17)

City/Town/Village State Country Pincode

Telephone Mobile Email

City/Town/Village State Country Pincode

BSDA Yes NO RGESS Yes No (IF yes download declaration form from www.Tradeplusonline.com and submit)

Annexure – JPART II – ACCOUNT OPENING FORM (FOR INDIVIDUALS)

Details of Account holder(s):A)

B)

C)

D)D)

E)

Accountholder(s)

Name

PAN

Occupation(please tickany one andgive briefdetails)

Brief details:

Ordinary Resident

Qualified Foreign Investor

Margin

a) Name

NRI-Repatriable

Foreign National

Others (Please specify)

NRI-Non Repatriable

Promoter

In case of NRIs/ Foreign Nationals

RBI Approval Reference Number

RBI Approval date

Gross Annual Income Details

Income Range per annum (please tick any one)

Type of account

Private Sector Agriculturist

Business Student

Professional Professional Professional

Business Student Business Student

Public Sector RetiredGovernmentService

GovernmentService

GovernmentService

Public Sector Retired Public Sector Retired

Private Sector Agriculturist Private Sector Agriculturist

Sole/ First Holder Second Holder Third Holder

Housewife Housewife Housewife

Others (Please specify)

Others (Please specify)

Others (Please specify)

Below `1 lac ` 1- 5 lac ` 5- 10 lac

`10-25 lac More than ` 25 lac

b) PAN

BANK DETAILS

.

:

F) TRADING / DEMAT ACCOUNT RELATED DETAILS

SAVINGS

CITY/TOWN / VILLAGE PINCODE

CURRENT OTHERS - Please Specily

BANK ACCOUNT NO

PRIMARY BANK NAME FOR DP / TRADING

.

ACCOUNT TYPE

PIS ACCOUNT NO

BRANCH ADDRESS

COUNTRYSTATE

I FSC CODE MICR NUMBER

For Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the nameof

the natural persons, the name & PAN of the Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should

be mentioned below:

5

Navia Markets Ltd, DP ID-NSDL : IN300378, CDSL :12086500Ganga Griha,4th&5th Floor,No.9,Nungambakkam High Road, Chennai–600034

Date :

s

NA

NA

Signature across photograph

Sign3/17

SECONDARY BANK NAME - FOR TRADING ACCOUNT

BRANCH ADDRESS

BANK ACCOUNT NO.

ACCOUNT TYPE

DEPOSITORY PARTICIPANT NAME

DEPOSITORY NAME (NSDL /CDSL ) :

BENEFICIARY NAME:

SAVINGS

MICR NUMBER: IFSC CODE

OTHERS - Incase of NRI/NRE/NRO

DEPOSITORY ACCOUNT(S) DETAILS

DP ID : IN300378

BENEFICIARY ID (BO ID):

CURRENT

ADDITIONAL BANK DETAILS FOR TRADING ACCOUNTG)

H)

TRADING PREFERENCES

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

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.

CM Segment (Equity )

PAST ACTIONS

1

I)

J)

Fax:

Name of Stock Broker

Exchange

Phone No:

K)

NAVIA MARKETS LTD

Website:

NA

NANA

NA NA NA

NANA

NA

NA

NA

6

NSDLTick DP CDSL DP ID :12086500

Currency Derivative (CD)

Equity Derivative (F&O )

s

s

s

EXCHANGES SEGMENTS

ss

s

CM Segment (Equity )

Equity Derivative (F&O )

Commodity Derivative

Star Mutual fund

ss

s

Bombay Stock Exchange (BSE)

2

3 Commodity Derivative

Sign(4a/17)

Sign(4b/17)

Sign(4c/17)

Sign(4d/17)

Sign(4e/17)

Sign(4f/17)

Sign(4g/17)

Sign(4h/17)

DEALING THROUGH OTHER MEMBERS/AUTHORISED PERSON(If client is dealing through any other Authorised Person , Provide the following details)

Member /AP Name

Registered Office Address:

Whether dealing with any other Stock broker /AP (in case dealing with multiple stock brokers /AP, Provide details of all)

Name of Authorised Person Client Code :

Details of disputes / dues pending from/ to Stock Broker/ Authrised person

NA

National Stock Exchange of India Ltd (NSE)

Multi Commodity Exchange of India Ltd. (MCX)

NA

NANANA

NA

NA

NA NA NA

NA NA Exchange registration number

Sign(4i/17)

Commodity Derivative

INTRODUCER DETAILS ( optional )

Name of the introducer Status of Introducer Sub-Broker Remisier Authorised Person Existing Client Others ( please specify )

Signature of Introducer

Address and phone no of the introducer

ADDITIONAL DETAILS

Whether you wish to avail facility of the internet trading / Wireless Trading(Please specify) :

Any other Information:

In case of non-individuals, name designation, PAN, UID, Signature, Residential Address and Photographs of persons authorized to deal in securities on behalf of company / firm / others:

Number of Years of Investment / Trading Experience:

L)

M)

Option for Issue of DIS booklet (please tick any one)

N) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

1 I/We authorise you to receive credits automatically into my/our account.

2 Account to be operated through Power of Attorney (PoA)

Mode of receivingStatement of Account [Tickany one]

Physical Form

Electronic Form [Read Note 4 and ensure that email ID is provided in KYC Application Form].

1 Sole/First Holder

2 Second Holder

3 Third Holder

Sr. No. Holder Yes No

O) Standing Instructions

Guardian Name

PAN

Relationship of guardian withminor

Q)

P)

NA

Yes

No

Yes

No

Yes

No

✔

4

5

7

Option 1

Option 2

PhysicalEmail

Standing Instruction for Auto Pledge Confirmation.

I/We wish to receive Welcome it and other standard documents by

Whether you wish to receive Physical Contract Note Email ID :

or Electronic Contract Note ( ECN ) ( Please Specify ) If you wish to receive ECN ( write in capital letters ).

NA

NA

NA

NA

K

Submit seperate ECN decleration for MCX on page 17

I/We wish to receive the Delivery Instruction slip(DIS) booklet with account opening, though I/We have issued a Power of Attorney (POA) in favour of Navia Markets Ltd

I/We do not wish to receive the DIS booklet with account opening. Since i/we issued a Power of Attorney(POA) in favour of Navia Markets Ltd, However the DIS should be issued to me/us immediately on my/our request at any later date

9

I/We wish to make a nomination. [As per details given below]

I/We wish to cancel the nomination made by me/ us earlier and consequently all rights and liabilities in respect of beneficiary ownership in the securities held by me / us in the said account shall vest in me/ us. [Strike off the nomination details below]

Nomination Details

I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all securities held in the Depository by me /

us in the said beneficiary owner account in the event of my / our death.

Nomination can be made upto three

nominees in the account.

Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee

1 Name of the nominee(s) (Mr./Ms.)

2

Share of each

Nominee

Equally

[If not equally, please

specify percentage]

% % %

Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship With the Applicant ( If

Any)

4

Address of Nominee(s)

PIN Code

5 Mobile/Telephone No. of nominee(s)

6 Email ID of nominee(s)

7 Nominee Identification details –

[Please tick any one of following and

provide details of same]

Photograph & Signature PAN

Aadhaar Saving Bank account no.

Proof of Identity Demat Account ID

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

8 Date of Birth {in case of minor

nominee(s)}

9 Name of Guardian (Mr./Ms.) {in

case of minor nominee(s) }

10 Address of Guardian(s)

PIN Code

11 Mobile/Telephone no. of Guardian

12 Email ID of Guardian

13 Relationship of Guardian with

nominee

14 Guardian Identification details –

[Please tick any one of following and

provide details of same]

Photograph & Signature PAN

a Aadhaar Saving Bank account no. P Proof of Identity Demat Account

ID

Name(s) of holder(s) Signature(s) of holder

Second Holder (Mr./Ms.)

Signature of Witness for Nomination

Name of the Witness Address Signature of witness

R) Nomination Option

Date D D M M Y Y Y Y

Sole/ First Holder (Mr./Ms.)

Third Holder (Mr./Ms.)

I/We do not wish to make a Nomination.

✔

8

1)2)1)

2)

Name(s) of holder(s)

Sole/ First Holder/

Guardian (in case sole

holder is minor) (Mr./Ms.)

Second Holder(Mr./Ms.)

Third Holder (Mr./Ms.)

Signature(s) of holder

s

s

s

3.

Place _________________ Date _________________

FATCA ( Foreign Account Tax compliance Act ) Declaration

Is your country of Tax Residency other than India

If yes, please specify the details of all countries where you hold tax residency and its TAX Identification

Number & Type

Place of birth

YES NO

Country of birth

1

2

3

Country of Tax Residency #S.No.Tax Payer Identification Number /

Functional EquivalentIdentification Type

TIN or other please specify

S)

9

# To include all countries other than India, where investor is Citizen/Resident/Green Card Holder /Tax Resident in those respective countries especially of USA.

2.

1.

4.

(5/17)

(5/17)

(5/17)

I, hereby declare that the data 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 mentioned information is found to be false or untrue ormisleading or misrepresentating, I am aware that i maybe held liable for it.I confirm having read, been explained and understood the contents of the documents on Policy & Procedure of the stock broker, the tariff sheet and all voluntary / non mandatory documents.I further, confirm having read and understood the contents of the Rights & Obligation document, Risk disclousre document, Do's& Dont's and Terms & conditions.. I do hereby agree to be bound by such provisions as outlined in these documents. I have also been informed that these standard set of documents have been displayed for information on the stock brokers designated website, if anyThe 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. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

XII. XI

X

IX.

Nomination can be made upto three nominees in a demat account. in case of multiple nominees, the client must specify the percentage of share of each nominee that shall total upto hundred percent. in the event of the beneficiary owner not indicating any percentage of allocation/share for each of the nominees, the default option shall be to settle the claims equally amongst all the nominees.On request of substitution of existing nominees by the beneficial owner, the earlier nomination shall stand rescinded. hence, details of nominees as mentioned in the form 10 at the time of substitution will be considered. therefore, please mention the complete details of all nominees. Copy of any proof of identity must be accompanied by original for verification or duly attested by any entity authorized for attesting the document, as provided in annexure d.Savings bank account details shall be considered if the account is maintained with the same participant. Dp id and client id shall be provided where demat details is required to be provided.

10

the securities in favour of the Nominee. VIII.

GST registeration details

Legal Name _________________________________________________

Trade Name_ _________________________________________________

GSTIN (GST registration number) ________________________________

Date of Registration ____________________________________________

Signature :

(DP RATE CARD ANNEXURE A)

Account Opening Charges & AMC (Please tick appropriate AMC Scheme)

Account Opening Charges NIL

LIFE TIME AMC – Individual Resident Clients ` 900/- Life Time AMC – 10 Years Period

with Broking Accounts

` 500/- Life Time AMC – 5 Years Period

LIFE TIME AMC – INDIVIDUAL NON RESIDENT CLIENTS `

` 1,000/- p.a.

Annual Maintenance Charges for Resident Individual ClientsWithout Broking Account / Corporate Clients

` 50/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges ` 5/- per certificate plus `50/- (Minimum Charges)

` 200/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges NRI

` 30/- per certificate plus `200/- (Minimum Charges) ` 15/- per certificate for every hundred shares or part thereofRemat Charges subject to maximum fee of ` 5,00,000 or a flat fee of `.15/- Per certificate whichever is higher plus handling charges ` 50/- No rematerialization fee for Govt. Securities.

` 35/- per rejection (up to 5 certificate) More than 5 Certificates

` 3/- + ` 35/- (Minimum Charges)

Conversion Request (Mutual Fund) Charges

Conversion request charges ` 50/- per CRF

Conversion request charges

Transaction ChargesMarket buying(Receipts) off Marker Credit & InterDepository Receipts

POA(POA issued in favouring NML)

Market Selling(Debits) other than Navia Markets Ltd. OFF 0.04% of Transaction Value, subject to Minimum of ` 30/-Markets Debits & Inter Depository Debits

`

Pledge & Securities Lending and Borrowing

Pledge Creation 0.02% of the value of the securities pledged, subject to minimum of `50/- per Transaction.

Pledge Closure & Invocation 0.02% of the value of the securities pledged, subject to minimum of ` 50/- per Transaction.

`

s s s

Demat & Remat Charges

` 1,000/- p.a.

Demat Rejection

2,500/- Life Time AMC – 10 Years Period

Annual Maintenance Charges for Non Resident Clients

Per Transaction

Failed Transaction

for NRI Clients ` 200/- per CRF

11

Nill

Modification Charges ₹100/- for every change of address / Bank Details and ₹50 for every email/mobile change request

Inter Settlement Transfer

(POA issued in favouring NML) for Mutual fund transaction

Market Selling (Debits) through Navia Markets Ltd withPOA

Without POA

for equity transactions Per transaction & Maximum of .200/-

0.02% of Transaction Value, subject to Minimum of .20/-

0.02% of Transaction Value, subject to Minimum of .15/-

₹Per Transaction & Maximum of .200/-.

Market Selling(Debits) through Navia Markets Ltd. with ₹₹

Market Selling(Debits) through Navia Markets Ltd. ₹

Securities Borrowing

₹

₹ ₹

(First / Holder) (Second/Holder) (Third/Holder)

Erroneous Transfer Reversal ₹100/- per transaction - Applicable for CDSL Clients

50/- perTransaction

.15/- perTransaction for non POA

.15/- perTransaction

20/- per transaction

(Sign.6/17)

Terms & Condition for Life Time AMC:

1. Any extra statement would be charged @ `15/- per statement of first 10 pages, thereafter it would be charges @

(First / Holder) (Second/Holder) (Third/Holder)

`2/- per page2. The AMC is charged for one year and will be automatically renewed at the end of the year at the prevailing rates,unless Navia Markets Ltd receives written communication in the prescribed format.

4. 5. Demand Drafts should be in favour of “Navia Markets Ltd” payable at “Chennai” only. No outstation cheques will be accepted other than our branches located.6. Any Advance payments Over and above the actual amount due can also be made. Any such Higher amount paid than the actual amount payable shall be adjusted against the bills raised from time to time. No interest is applicable for advance payments.7. Cheque bounce charges will be applied based on charges as determined by bankers plus . 10/- as handling charges8. In case of delay in the payment of charges, the demat account can be frozen for all operations till such time Until dues are cleared.9. “All market instructions for transfer must be received latest by 4.00 p.m. on the previous working day prior to the pay-in day as per SEBI Guideline. All off market instructions for transfer must be received atleast 24 hours before the execution date. Late instructions would be accepted with the Late fee .50/- per instruction and at the account holder's sole risk and responsibility”.

12

In case of Annual Maintenance Charges is not received for the accounts having NIL Holding and No transaction during

even after one year,Dispatch of Annual Physical statement will be discontinued.

the year, Annual Physical statement will be sent for the first year. If the account remains Nil Holding and No Transaction

Terms & Conditions

3. Transaction cum billing statements will be sent on a monthly basis provided there is a transaction.

10. Charges are subject to revision at the company's sole discretion and as per revisions in NSDL/CDSL charges.

11. Any service not quoted above will be charged separately.

12.

Goods and ServiceTax applicable would be levied.

(Sign.7/17) s s s

1) Life Time AMC for resident Indian individual is for a period of 5 years or 10 years depending on the scheme chosen by the client.2) For the 10 year life time AMC scheme for resident Indian individual, the AMC charge is 900/- for first one year and balance 9 years are offered FREE. For the 5 year life time AMC scheme for resident Indian individual, the AMC charge is 500/- for first one year and balance 4 years are offered FREE. On expiry of the 10 year AMC scheme the client will be automatically renewed on the 5 year AMC scheme for resident clients.3) For the 10 year life time AMC scheme for Non resident Indian indivdual, the AMC charge is 2500/- for first one year and balance 9 years are offered FREE. On expiry of the 10 year AMC scheme the client will be automatically renewed on the 10 year scheme.4) This AMC is exclusive of Goods and Service Tax and others levies as per Govt. of India.5) Existing account holder can opt for this scheme. Adjustment of Existing AMC will be done till the current quarter.

Quarterly means Jan-Mar,Apr-June,July-Sept.and Oct-December,Balance amount can be paid and convert in to this Scheme.

TARIFF SHEET

I would like to subscribe to the Navia Markets Ltd Trading plans and request Navia Markets Ltd to apply any applicable monthly subscription

tariff as per the terms and conditions of Tradeplus Infinity Plan of Navia Markets Ltd. I hereby authorize Navia MarketsLtd to debit my

Subscription Management Portal (SMP) ledger for the subscription amount as per terms and conditions of TRADEPLUS INFINITY PLAN.

CLIENT'S NAME

DATE (DD/MM/YY)

s

STATUTORY CHARGES

In addition to the above monthly subscription charges, the following statutory charges will also be levied

Depository participant charges as per Rate card of DP.

Auction/Closed Out process as per Policy and Procedures. Penalty charges on Auction/ Closed out 1% on the value.Delayed Payment Charges 24% p.a. – Monthly basis will be charged.

13

CLIENT'S SIGNATURE (8/17)

Transaction charges Education and Higher education Cess

Goods & Service Tax (GST)

Security / Commodity Transaction Tax Stamp Duty

for every address details modification including bank updates etc.,Terms and conditions can be subject to change.

SMS charges Rs.100 + GST will be charged on monthly basis.

Payin Charges : Rs.9/- per transaction / Cheque Payment - Rs.15/- per transaction. Taxes extra

Cheque Bounce Charges – 1% of cheque value subject to minimum of 250/- and maximum of 1000/- Modification charges- 100/-

SEBI Turnover charges

Electronic Contract Notes ( ECN) is free. Physical Contract Note copies are charged at 50/- per contract note.

Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the subscription management portal. KYC modification charge of Rs. 100 + taxes would be applicable

₹

₹₹

/ FN

NRI/FN

Equity F/ONRI

ResidentRI

Non

Options Segment % subject to minimum of paise per shareFuture segment

per lot

per lot

Currency Options % subject to minimum of paise per share

% subject to minimum of paise per share

% subject to minimum of paise per share

% subject to minimum of paise per share

% subject to minimum of paise per share

% subject to minimum of paise per share

% subject to minimum of paise per share

Currency FutureCommodity Future

Intraday

EQUITY / CURRENCY / COMMODITY DERIVATIVE SEGMENT

Delivery

Intraday

DeliveryRI

EQUITY SEGMENT : NSE & BSE

Note: The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers

have pricing. For more details on fancy numbers and pricing please visit https ://www.tradeplusonline.com/kyc-fancy-numbers.aspx If all

the 3 preference numbers are not available/used then we reserve the right to allot a number of our choice. If you have chosen a fancy number

but have not purchased the same, then we will allot a number of our choice.

ACKNOWLEDGEMENT

To,Navia Markets Ltd “Ganga Griha” 4th and 5th Floor,No.9 Nungambakkam High Road,Chennai – 600 034.

Dear Sir/ Madam,

I understand that the voluntary documents executed by me are out of my own free will. I hereby confirm that I have clearly understood and agree to abide by the Terms and Conditions described by Navia Markets Ltd . I also understand that these Terms and Conditions can be changed by Navia Markets Ltd from time to time with prior notice of 7 days and subject to posting of the amendments and modifications therein on its website and their applicability with prospective effect.

My Trade Plus Account My Number

MY ACCOUNT MY NUMBER is a unique proposition which gives the freedom to choose the number of your choice for the account open by you. The chosen account number may be a specific pattern, a lucky number favorite combination or just something simple to remember. Your Trade Plus account number is 8 digit number of which you can select 8 digit basis your preference OR choose the desired SUM of digits. Please give us your 3 preference

1.Preference 1:

2.Preference 2:

3.Preference 3:

CLIENT'S NAME

s

14

complete my KYC with Navia Markets Ltd.,.

I hereby acknowledge receipt of the following documents:

I state that, I have read and understood all above documents including theTerms and Conditions governing broking services of Navia

MarketsLtd and agree to abide by the same. I,further give my consent to download my KYC details from the KRA system to

Date: ( DD/MM/YYYY )

CLIENT'S SIGNATURE (9/17)

1.Rights and Obligations of Stock Broker/Trading Member, Sub-Brokers and Client.2.Risk Disclosure Document for Equity Market, Derivative Segment and Commodity Segment.3.Guidence Note- Do's and Don'ts for Trading on the Exchange (s) for investors4.Internet and wireless Technology based Trading facility provided by Stock Broker to clients. 5.Policies and procedure pursuant to the SEBI circular dated December 03, 2009.6.Additional policies and procedure7.Terms and conditions of Subscription Management Portal (SMP)8.Authorization for Running account settlement.9.Tariff sheet. 10.Rights and Obligations of the Beneficial Owner and the Depository Participant.All the above documents are also avaible on our website https://tradeplusonline.com . Terms and Conditions are available on the following link https://tradeplusonline.com/Terms_And_Condition.aspx

AUTHORIZATION FOR ACCOUNT MODIFICATION

Your's faithfully,

CLIENT'S NAME CLIENT CODE : (UCC)Date: ( DD/MM/YYYY )

s

Date: ( DD/MM/YYYY )

CLIENT'S NAME

s

Consent for Receiving Statement of Accounts and other Reports through Email

I hereby authorize Navia Markets Ltd to issue Statement of Accounts, Margin Statements and other reports to my

email id based on my consent. Further, I will intimate any change in my email id immediately to Navia Markets Ltd

through letter or other modes prescribed. Further, I hereby confirm that non- receipt of bounced mail notification

shall amount to delivery of the statement of accounts, margin statements and other reports at the email id provided

below. I hereby confirm my email id as :

s

AUTHORIZATION FOR RUNNING ACCOUNT -(Optional Document)

15

If I were to add/modify/remove any of my details including brokerage plans with Navia Markets Ltd, I authorize you to carry it out based on my request sent through an email to support@tradeplusonline.com from my registered email address or intimation through an interface provided by you , whereto I have been allowed secured access. If you feel the need to do so, then at your own discretion, you may put in place appropriate mechanism to confirm the request before or after its execution by way of a call from recorded line, or otherwise, personal meeting, SMS or other such modes as you may deem fit.

CLIENT'S SIGNATURE (10/17)

Client's Signature (11/17 )

CLIENT'S SIGNATURE (12/17)

I am a registered client with you, and dealing in Equity Market / Equity & Currency Derivative Markets / Commodity Derivatives Market and have a client code as mentioned below.I am aware that payout/dividend received/credited from the exchange(s) against settlement of transactions as per settlement cycle is available within the prescribed time of the payout from the Exchange.It is difficult for me to make available the required funds on every pay in of funds obligation/margin obligation.Hence,I request you to maintain my account on a running basis and retain the payout received/credit balance in my account for my future obligation/margin obligation or other liabilities unless, I instruct otherwise. I hereby authorized you to debit/credit/transfer the amounts between the various segments either on the same exchange and/or exchanges to meet my obligation or various dues payable to you/Exchange(s).

If, payment of funds is required,I shall request you in writing/email or through the web option for funds withdrawal on the web login. Further, it may be noted that,if required I may revoke this authorization at any time after giving request in writing.This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be done at least once in Quarterly Monthly (Tick the the applicable option) if the balance available in my equity/cuurency trading account is more than Rs.10,000/- the settlement will happen on the balance amount after retaining Rs.10,000/- in my trading account. If the balance available in my commodity trading account is more than Rs.50,000/- the settlement will happen on the balance amount after retaining Rs.50,000/- in my trading account.

I/We hereby authorize you to debit charges for depository services or other advisory services,to my/our trading account

While settling the account, if i have an outstanding obligation/s on the settlement date, you may retain the requisite funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for the next 5 trading days, calculated in the manner as specified by the exchanges.I shall bring any dispute arising from the statement of account or settlement so made to your notice within 7 working days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such communication, the statement/ settlement of running account shall be considered as final as agreed and accepted by me.

( All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable, additionally, the clauses mentioned herein shall also be applicable )

INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

CLIENT'S NAME

Date: ( DD/MM/YYYY )

16

CLIENT'S SIGNATURE (13/17) s

ELECTRONIC CONTRACT NOTE (ECN) – DECLARATION

th Floor,No.9, Nungambakkam High Road,Chennai – 600 034.

Dear Sir,

1. I am aware that the Member has to provide physical contract note in respect to all the trades placed by me unless Imyself want the same in the electronic form.

2. I am aware that the Member has to provide electronic contract note for my convenience on my request only.3. Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive

physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic con- tract note pertaining toall the trades carried out / ordered by me.

4. I have access to a computer and am a regular internet user, having sufficient knowledge of handling the emailoperations.

5. My email id is ____________________________________________________________. This has been created by meand not by someone else.

6. I am aware that this declaration form should be in English or in any other Indian language known to me.

[The above declaration has been read and understood by me. I am aware of the risk involved in dispensing with the physicalcontract note, and do hereby take full responsibility for the same]

(The above lines must be reproduced in own handwriting of the client -- please re-write the underlined lines above in yourown handwriting in the box provided below)

PLEASE WRITE HERE

PAN NUMBER DATE (DD/MM/YYYY) PLACE:

(FOR OFFICE USE ONLY)VERIFICATION OF CLIENT’S SIGNATURE

DESIGNATED OFFICER SIGNATURE DATE (DD/MM/YYYY)

DESIGNATED OFFICER NAME: CLIENT’S UNIQUE CLIENT CODE

To,Navia Markets Ltd“Ganga Griha”, 4

I, as a client of Navia Markets Ltd., a member of MCX, as my broker undertake as follows:

17

Yours faithfully,CLIENT’S NAME: CLIENT’S SIGNATURE (14/17) X

The “Principal (S)”, More Fully Described In The Schedule Here To And in Favour Of NAVIA MARKETS LIMITED, a company incorporated under

the provisions of the Companies Act,1956, having its registered office at ‘Ganga Griha’, 4th & 5th Floor, No.9, Nungambakkam High Road,

Nungambakkam, Chennai - 600 034 and/or the Managing Director or Director(s) and/or any other authorized officer(s) who may be

stationed at Chennai.

RESPECTIVELY from time to time and for the time being of NAVIA MARKETS LIMITED at the above place viz., CHENNAI and/or any one or

more of them severally hereinafter referred to as “AGENT” WITNESSETH as follows:

WHEREAS

1.1 The AGENT is engaged in the business of stock broking, custody, investment advisory services and other investment services.

1.2 The PRINCIPAL(S) wish to participate in trading, web brokerage facilities, depository facilities and/or other services being offered by the

AGENT (or any of it assigns) and for that purpose to facilitate proper execution of all transactions for and behalf of the PRINCIPAL(S), The

PRINCIPAL(S) is/are desirous of appointing the AGENT as the PRINCIPAL(S) attorney and confer upon the AGENT all the powers hereinafter

stated.

To make necessary application(s) on the PRINCIPAL(S) behalf to any Officials or Authorities in India, including but not limited to, the Central

Government and/or the Reserve Bank of India and/or the Income Tax Authorities and/or Securities and Exchange Board of India in

connection with PRINCIPAL(S) purchase/sale/ transfer holding and continuing to hold Securities, and to represent the PRINCIPAL(S) in all

respects before such authority or authorities and establish without encumbrance the ownership of the securities in the name of the

PRINCIPAL(S)

Pursuant to the PRINCIPAL(s) instruction, to acquire by subscribing to or by purchase of securities and to sell, transfer and endorse the

securities (including but not limited to Initial Public Offerings, Buy Back offers, rights issue etc.,) or redeem the same either through Internet

(using the identifications Number issued by any Mutual Fund from time to time) or otherwise, and/or to sign and to execute all transfer

deeds whether as transferor or transferee and such other instruments, applications and papers as may be necessary for the purpose of

acquiring or transferring/redeeming the same, marking pledge/Lien on such securities and for transferring the investments in the units of

Mutual Fund from one scheme to another or between Mutual Funds, to make applications for , or to renounce and sign renunciation forms in

respect of bonds/debentures, rights shares and additional shares of any Company/ Body/ Authority and to receive and hold such rights or

additional shares bonds or debentures.

The term “ Securities” under this agreement shall have the same meaning as assigned there to under Section 2 of the Securities Contracts

(Regulation) Act, 1956 and shall include any securities, derivatives and other instruments which are tradable on any of the Exchange as well

as such units of Unit Trust of India and/or other mutual funds, whether listed or unlisted, government securities, debt instruments,

negotiable instruments, unlisted securities, certificates of deposit, participation certificates, commercial paper, money market

instruments, securities debt instruments investments in bank and/or company deposits and other instruments and investments as may be

specified by the Member from time to time.

To receive and hold certificate, title documents, account statements and other documents and writings pertaining to the securities

mentioned above and/or amount invested, advanced or expended by the PRINCIPAL(S) or on behalf of the PRINCIPAL(S) and to

acknowledge the receipt of the same.

To operate and to give delivery/receipt instructions, borrowing and lending instructions, pledge instructions, pledge closure

instructions and to do all such other things that may be necessary in the course of business relating to operation of new

Dematerialized (“demat”) account and/or existing Demat Account No._________________________and Trading Account No.-

_______________________or towards the obligation for transactions done on the National Stock Exchange, the Stock

Exchange, Mumbai and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions.

POWER OF ATTORNEY

2.

1.

3.

s s s

4.

5.

18

(15/17)

Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder

13.

19

(16/17

The Stock Broker would return to the client(s), the securities or fund that may have been received by it erroneously or those securities or fund that it was not entitled to receive from the client(s).

(16/17)

s

B

and the DEPOSITORY PARTICIPANT

AND I hereby agree that the AGENT shall excercise the powers and authorities conferred under the above Power of Attorney only pursuant to the instructions in that behalf given by the PRINCIPAL(S), which instructions may given orally, over the telephone, through the Internet, electronically or in any other manner acceptable to the AGENT and such instructions given by the PRINCIPAL (S) , shall be deemed to have been given by the PRINCIPAL(S) and such recording or other record of such instructions by the AGENT shall be admissible in evidence and shall not be questioned by the PRINCIPAL(S) and shall be conclusive and binding against the PRINCIPAL(S).

AND this Power of Attorney shall be revoked by the PRINCIPAL(S) at any time without any notice. However such revocation shall not be applicable for any outstanding settlement obligation arising out of the trades carried out of prior to receiving the request from PRINCIPAL(S) for the revocation of the Power of Attorney.

AND the PRINCIPAL (S) hereby agree that all such acts done by the PRINCIPAL (S) above mentioned attorney shall be deemed to be acts done by the PRINCIPAL(S) and if necessary shall be ratified by the PRINCIPAL(S) on the instructions of the said attorney.

AND The PRINCIPAL (S) DO HEREBY CONFIRM AND DECLARE THAT this Power of Attorney shall be valid, effective operative and revocable immediately (and shall not be affected by my disability or lack of mental competence) and shall remain in force till the termination of the Memberclient Agreement or any mandatory agreements that I have entered into with the AGENT and satisfaction in full of all the obligations under the same, and the cessation of this authority shall not affect or impair any act thereto done in excercise of these presents.

AND THE PRINCIPAL (S) DO HEREBY CONFIRM THAT non-judicial stamp paper attached to this document be deemed to be part of this Power of Attorney.

SCHEDULENotes

(Please fill in your name (and other information as per the instruction below) in the same order of sequence as given in the respective account type)

1. In case of Operation the Trading Account

Bank Account Number

Date of opening

Name of bank and branch

Bank account particulars presently opened and operated by the principal (S): (Will be filled by NAVIA if the principal chooses to open his online bank a/c with banks associated with NAVIA)

1.1 In case of Operation of bank a/c

Trading Account No. DP Client ID

Signature of First/Sole Holder

s

Signature of Second Holder Signature of Third Holder

ss

Principal Number 1

Name

Address

Principal Number 2

Name

Address

In witness whereof the principal(S) has/ have executed this power of attorney at

_______________(place) on this ______________day of _____________two thousand _____________

20

(17/17)