update-kyc client registration form - kunvarji terms & conditions for sms document details ......

Client Registration FormKUNVARJI FINSTOCK PVT. LTD.

Individual & Non-Individual

Form No. :

Client Name : _________________________________________________

Client Code : ________________ BO ID : 12048400 _________________

Branch / RM Name : _________________________________________________

Sub-broker / AP Name : _________________________________________________

Group Code : _________________________________________________

FOR OFFICE USE ONLY

CASH F&O CURRENCY DEMAT

NSE NSE NSE CDSL

BSE BSE BSE

MCX-SX MCX-SX MCX-SX

TM

KUNVARJI FINSTOCK PVT. LTD.Regd. Office: Block-B, 1st Floor, Siddhi Vinayak Towers, Makarba, Ahmedabad - 380 051.Phone: +91 79 6170 0000 | 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.

Signature of the employee

For Kunvarji Finstock Pvt. Ltd.

Signature of Sub-broker orAuthorised person

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 4 - 14

(For Trading and Demat Account) the client and an instruction / checklist

B. Document captures the Additional Information about the 15 - 23

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 24

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

Stock Exchange(s)

B. Document provides details of charges for depository 25

services

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

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

prescribed by SEBI and depository 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 Terms & Conditions for SMS Document details the Terms & Conditions for getting alerts 26 - 28

alert from CDSL (Annexure 2.4) through SMS from CDSL for securities debited & credited to

client's demat account (Recommended to register in the Client's

own interest)

10 Terms and Conditions for Document details Terms And Terms And Conditions for availing 29 - 30

TRUST (Annexure 2.6) Transaction Using Secured Texting (TRUST) Service offered

by CDSL

11 Power of Attorney in favour Limited Power of Attorney given by a Client to KFPL to debit his 31 - 32

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

settlement margin obligation

Included

in client

copy

Perforated

Page

03

Index of Documents

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

12 Declaration by Karta Document for declaration by Karta & details of 33

Coparceners for HUF

13 Additional Clauses of Rights and Document states the additional Rights & Obligations of 34 - 36

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

Sub-Broker and client trading on exchanges

14 Running Account Authorisation Document authorises KFPL to maintain Client’s Account on 37 - 38

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

15 Letter of Operation of Account Various operative instructions to the stock broker for day to day 39 - 40

operation of account of the client including authority for debit of

depository charges

16 Letter giving details of Authorised Letter giving details of persons authorised by the client to 41

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

17 Acknowledgement and Letter signed by client acknowledging and confirming receipt 42

Confirmation of the documents prescribed and that the same have been

explained to the client

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

Prevention of Money Laundering Money Laundering Act. and Rules

Act, 2002 (PMLA)

19 Board Resolution Format Format of Board Resolution for Corporate Client to open and

operate Trading and Demat Account

20 Declaration by Partnership Firm for Format of Declaration for opening a demat account by

Opening a demat account Partnership Firm

21 Declaration by Partnership Firm for Format of Declaration by Partnership Firm for mapping a

mapping a demat account with their demat account with their trading account

trading account

22 Shareholding Pattern Format of Shareholding pattern for Corporate Client

COLOR REPRESENT DOCUMENTS HANDED OVER TO CLIENT

SYMBOL REPRESENT CLIENT SIGNATURE

First Holder / Authorised Person Signature

Second Holder / Authorised Person Signature

Third Holder / Authorised Person Signature

.

"

@

Included

in client

copy

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

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.

*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.

05

General Instruction:

• Self attested copy of Pan Card is Mandatory for all holders

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

• Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted

• If correspondence & permanent address are different, then proofs for both have to be submitted.

• 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

• All documents submitted by client must 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 attesting the documents, as per mentioned list.

• 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 opening an account with Depository Participant for a minor, photocopy of the school leaving certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.

• If any proof of identity or address is in a foreign language then translation into English is required.

• 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.

• 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.

List of People authorized to attest the documents:

• 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).

• 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.

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

Table A - Individual

Type of Proof Acceptable Validity Period

KYC Proofs

Identity Proof Passport Valid on date of account opening

(Any One) Voter ID Card N.A.

Driving License Valid on date of account opening

UID - Aadhaar Card N.A.

Address Proof Passport Valid on date of account opening

(Any One) Voter ID Card N.A.

Ration Card N.A.

UID - Aadhaar Letter N.A.

Driving License Valid on date of account opening

Registered Lease or sale agreement of Residence Valid on date of account opening

BSNL/MTNL Landline Telephone Bill Not more than 3 months old on date of A/c opening

Bank Account Statement/Passbook Not more than 3 months old on date of A/c opening

Electricity Bill Not more than 3 months old on date of A/c opening

Bank Proof A. Preprinted name of the account holder on cancelled cheque leaf specifying the MICR Code and/or IFSC Code

(Any One) B. Bank Statement

C. Bank Passbook having name and address of the BO with bank name & logo

D. Letter from Bank

In case of options B, C, and D above, MICR / IFSC code of the branch should be present / mentioned on the

document and it shall be self-certified by the BO.

Income Proof • Copy of ITR Acknowledgement

(Any One) • Copy of Annual Reports

• Copy of Form 16 in case of Salary Income

• Latest Net worth Certificate

• Salary Slip - 3 months latest

• Bank Account Statement for last 6 months

• Copy of Latest demat account holding statement with valuation

• Any other relevant documents substantiating ownership of assets

• Self declaration along with relevant supporting documents

Table B - Non Individual

Type of Proof Acceptable Validity Period

KYC Proofs

Address Proof Registered Leave and License agreement Agreement date not more than 3 months old as on

(Any One) date of A/c opening

BSNL/MTNL Landline Telephone Bill Not more than 3 months old on date of A/c opening

Bank Account Statement/Passbook Not more than 3 months old on date of A/c opening

Electricity Bill Not more than 3 months old on date of A/c opening

Bank Proof Preprinted name on cancelled cheque leaf specifying the MICR Code or/and IFSC Code

(Any One) Cancelled cheque leaf specifying the MICR code or/and IFSC code along with Latest Bank Passbook/

Bank Statement

Income Proof • Copy of ITR Acknowledgement

(Any One) • Copy of Annual Reports

• Latest Net worth Certificate

• Bank Account Statement for last 6 months

07

Type of A/c Type of KYC Proofs Proof Required & Acceptable Proof Options

Individual Pan Card Required for all holders Pan card copy

Proof of Identity Required for all holders Pls. refer Table A

Photograph Photograph of all holders singed across by client himself

Proof of Address Required for all holders Pls. refer Table A

Bank Proof Required for First/Sole holder Pls. refer Table A

DP Proof Demat Client master of recent holding statement issued by

DP bearing name of the A/c

Income proof for trading Required for Trading A/c client Pls. refer Table A

in Derivatives Segments

HUF Pan Card Required for following 1. HUF 2. Karta Pan card copy

Proof of Identity Required for Karta Pls. refer Table A

Photograph Photograph of Karta signed & stamp across on it

Proof of Address Required for following 1. HUF 2. Karta For HUF:

Pls. refer Table B

For Karta:

Pls. refer Table A

Bank Proof Required for HUF Pls. refer Table B

Income proof for trading Required for HUF Pls. refer Table B

in Derivatives Segments

Additional Docs • Deed of Declaration of HUF/List of Coparceners

• Bank Passbook/Statement - not more than 3 months old

Partnership Pan Card Copy of pan card require ........................ for following:

1 Partnership Firm 2 All Partners

Photograph Photographs of All Partners

Proof of Identity Require for all Partners Pls. refer Table A

Proof of address Required for following: For Partnership Firm:

1 Partnership Firm 2 All Partners Pls. refer Table B

For Partners:

Pls. refer Table A

Bank Proof Required in name of Partnership Firm Pls. refer Table B

Additional Docs • Certificate of registration (for Registered partnership

firm only)

• Copy of the balance sheets for the last 2 financial years

(to be submitted every year)

• Copy of Partnership deed

• Letter from partnership firm with list of Authorised

signatories with specimen signatures

• Authority Letter to Open demat A/c in the partner’s name

• Authority letter for operation of trading A/c

• Pan card & Address proof of person who hold more than

15% share of profit of the firm

Corporate Pan Card Copy of pan card require for following:

1 Applicant Corporate

2 Authorised Signatories

3 Whole time Directors

4 Individual Promoters holding control - either directly or indirectly

Photograph Photographs for following:

• Authorised Signatories

• Whole time Directors

• Individual promoters holding control - either directly or indirectly

Type of A/c Type of KYC Proofs Proof Required & Acceptable Proof Options

Proof of Identity Required for following: Pls. refer Table A

1 Authorised Signatories

2 Whole time Directors

3 Individual Promoters holding control - either directly or indirectly

Proof of address Required for following: For Applicant

1 Applicant Corporate Corporate:

2 Authorised Signatories Pls. refer Table B

3 Whole time Directors For Authorised

4 Individual Promotes holding control - either directly Signatories, Whole

or indirectly time Directors,

Individual Promoters:

Pls. refer Table A

Bank Proof Required in name of Corporate Pls. refer Table B

Additional Docs • Copy of the Memorandum and Articles of Association

and Certificate of incorporation

• Copy of the Annual Audit Reports for the last 2 financial

years (to be submitted every year)

• Copy of latest share holding pattern including list of all

those holding control, either directly or indirectly, in the

company in terms of SEBI takeover Regulation, duly

certified by the company secretary/whole time director/

MD (to be submitted every year)

• DIN number of whole time directors/two directors in

charge of day to day operations.

• Board Resolution for investment in securities market,

Authorised signatories list with specimen signatures

• Pan card & Address proof of persons holding more than

25% of paid up capital of company

Trust Pan Card Required for following:

1 Applicant Trust 2 All Trustees

Photograph Photographs of all Trustees

Proof of Identity Require for all Trustees Pls. refer Table A

Proof of address Required for following: For Trust:

1 Trust 2 All Trustees Pls. refer Table B

For Trustees:

Pls. refer Table A

Bank Proof Required in name of Trust Pls. refer Table B

Additional Docs • Certificate of registration (for Registered trust only)

• Copy of the balance sheets for the last 2 financial years

(to be submitted every year)

• Copy of Trust deed

• List of trustees certified by managing trustees/CA

• Certified true copy of Board Resolution to open the demat

account and specifying the persons authorized by the

Board to act as Authorized signatory (ies) to operate the

demat account - For Registered Trust.

• Authority letter for operation of trading A/c

• Pan card and address proof of beneficiaries, who has 15%

or more interest in the Trust.

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

Please fill in ENGLISH and in BLOCK LETTERSApplication No.:

A. Identity Details (please see guidelines overleaf)

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

Father’s/Spouse Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it2. Gender Male Female B. Marital status Single Married C. Date of Birth

(Please specify)

4. Status Please tick (ü) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

3. Nationality Indian Other

5. PAN Please enclose a duly attested copy of your PAN Card

Aadhaar Number, if any:

6. Proof of Identity sumbitted for PAN exempt cases Please tick (ü)

UID (Aadhaar) Passport Voter ID Driving Licence Others

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax

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

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

d d m m y y y y


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:

DECLARATION SIGNATURE OF APPLICANT

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

I hereby declare that the details furnished above are true and correct to the best of my/our 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/we are aware that I/we may be held liable for it.

Place: Date:

Kunvarji Finstock P. Ltd.Code: 1200003087

(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

City / Town / Village

State

Pin Code

Country


CountryState

Pin Code

I

09

TM

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

TM

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:

(Originals Verified) Self Certified Document copies received

(Attested) True copies of documents received

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)

2. Any other information:

11

Application No.:

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD) (ISD)

(ISD) (ISD)

(ISD)

(ISD) (ISD)

(ISD)Tel. (Res.)

Fax

TM

13

Dat

ed

dm

my

yy

yN

ame

& S

igna

ture

of

the

Aut

horis

ed S

igna

tory

(ies

)

Nam

e of

App

lican

t:PA

N o

f th

e A

pplic

ant:

Sr.

No.

PA

NN

ame

DIN

(Fo

r D

irec

tors

) /

Aad

haar

Num

ber

(For

Oth

ers)

Res

iden

tial

/

Reg

iste

red

Add

ress

Rel

atio

nshi

p w

ith

App

lican

t (i

.e. p

rom

oter

s,

who

leti

me

dire

ctor

s et

c.)

Pho

togr

aph

DET

AIL

S O

F P

RO

MO

TER

S /

PA

RTN

ERS

/ K

AR

TA /

TR

US

TEES

AN

D W

HO

LE T

IME

DIR

ECTO

RS

FO

RM

ING

A P

AR

T O

F K

NO

W Y

OU

R C

LIEN

T (K

YC

)

AP

PLI

CAT

ION

FO

RM

FO

R N

ON

-IN

DIV

IDU

ALS

Nam

e of

App

lican

t:PA

N o

f th

e A

pplic

ant:

Sr.

No.

PA

NN

ame

DIN

(Fo

r D

irec

tors

) /

Aad

haar

Num

ber

(For

Oth

ers)

Res

iden

tial

/

Reg

iste

red

Add

ress

Rel

atio

nshi

p w

ith

App

lican

t (i

.e. p

rom

oter

s,

who

leti

me

dire

ctor

s et

c.)

Pho

togr

aph

TM

Dat

ed

dm

my

yy

yN

ame

& S

igna

ture

of

the

Aut

horis

ed S

igna

tory

(ies

)

DET

AIL

S O

F P

RO

MO

TER

S /

PA

RTN

ERS

/ K

AR

TA /

TR

US

TEES

AN

D W

HO

LE T

IME

DIR

ECTO

RS

FO

RM

ING

A P

AR

T O

F K

NO

W Y

OU

R C

LIEN

T (K

YC

)

AP

PLI

CAT

ION

FO

RM

FO

R N

ON

-IN

DIV

IDU

ALS

Nam

e of

App

lican

t:PA

N o

f th

e A

pplic

ant:

Sr.

No.

PAN

Nam

eD

IN (

For

Dir

ecto

rs)

/

Aad

haar

Num

ber

(For

Oth

ers)

Res

iden

tial

/

Reg

iste

red

Add

ress

Rel

atio

nshi

p w

ith

App

lican

t (i

.e. p

rom

oter

s,

who

leti

me

dire

ctor

s et

c.)

Pho

togr

aph

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.

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

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

15

PAN No.:

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

Name of Applicant:

C. DEPOSITORY ACCOUNT DETAILS:

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

Note:

1. Account number mentioned in 1 Row will be updated in your Trading account (for receipt and payment of funds).

2. If you wish to make pay-in of funds for your purchases from more than one bank account, please provide details of additional bank account(s).

3. Please submit copy of cheque for all Bank Accounts mentioned above to confirm MICR & IFSC Code of the Bank's Branch.

B. BANK DETAILS:

Bank Name & Account Number Account Type: (Strike off MICR Code# IFSC code#Branch Address which ever is not applicable)

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

MCX-SXBSENSESegment / Exchange

TM

A. KRA REGISTRATION DETAILS:

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:

J. 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.

(The above facility is provided by Exchanges and will be activated once the details are verified by Exchanges and confirmed by you)

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 youremail 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:

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

@

F. PROOF OF EXISTING DEMAT ACCOUNT:

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

ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT (Individual)

1 2 0 4 8 4 0 0DP ID Client ID

(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.

17

TM

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 Recipts □ 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 the

applicant

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

@ . "

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

1 2 0 4 8 4 0 0DP ID Client ID

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

@ . "

19

TM

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 inmy /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______________________

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 belowthrough 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. +91 _______________________Refer 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

TM

21

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




@ . "

TM

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

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

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

Name of witness

Address of witness

Signature of witness

First Witness Second Witness

Name

Signature

Trading ID 2 0 4 8 4 0 0BO ID 1




As the nominee is a minor as on date, to receive the securities/funds in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian:

Full Name of Guardian of Nominee

City State

Country PIN code

Telephone No. Fax No.

E-mail ID

Relationship of Guardianwith Nominee

Address

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 account.

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

Full Name of the Nominee

City State

Country PIN code

Telephone No. Fax No.

PAN UID

E-mail ID

Relationship with BO (If any)

Date of birth (mandatoryIf nominee is a minor)

Address

@ . "

Details of the Witness

23

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 account though I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with _____________________________________________________________________________________ (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 ______________________________________________________________ (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

Second Holder /Authorised Person’s Signature

.First Holder /

Authorised Person’s Signature

@Third Holder /


"

Third Holder /Authorised Person’s Signature

"Second Holder /


.First Holder /


@

TM

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.

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 25 Rs.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 Rs. 10 per contract note

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

3 Clearing Charges Reimbursement of charges levied byClearing Member

4 Security Transaction Tax @ rates notified by Government

5 Stamp Duty @ rates notified by Government

6 Service Tax @ rates notified by Government onbrokerage & other charges exceptSTT & Stamp duty

Client Code: _______________

TARIFF SHEET FOR TRADING ACCOUNT


@

@Signature of Client

TM

Sr No.

1 Account Opening Charges

2 Agreement Charges ` 20/- ` 20/-

(One Time Charge)

3 Annual Maintenance Charges - Individual / NRI ` 200/- NIL

Annual Maintenance Charges - Corporate ` 1000/- Not Applicable

4 One time Charge Not Applicable ` 999/- (Inclusive of Service Tax)

5 Off-Market / Market - Buy NIL NIL

6 On-Market ` 15/- per transaction ` 20/- per transaction

7 Off Market Transfer to Margin Account ` 20/- per transaction ` 20/- per transaction

8 Off Market Transfer to other than margin a/c ` 20/- per transaction ` 50/- per transaction

9 Same Day Pay - in (Late fees) ` 30/- per transaction ` 100/- per transaction

10 Custody Charges NIL NIL

11 Demat Charges ` 30/- per transaction ` 30/- per transaction subject to minimum ` 100/- subject to minimum ` 100/-

12 Remat Charges ` 100/- or actual ` 100/- or actual

whichever is higher whichever is higher

13 Pledge Charges

(a) Creation ` 25/- ` 100/-(b) Closure ` 25/- ` 100/-(c) Invocation ` 25/- ` 100/-

14 On Demand: Additional Holding / Transaction

Delivery Slip Book (10 Slips) ` 30/- per Slip Book ` 50/- per Slip Book

NIL NIL

Yearly AMC SchemeDescriptionLifetime AMC Free Scheme

(Only for individual)

` 5/- per page, subject tominimum ` 10/-

` 5/- per page, subject tominimum ` 10/-

DEPOSITORY TARIFF PLAN

Note:

• We reserve the rights to change the service charges with 30 days prior notice.

• In Case of delays in payment of charges within the due date, demat account will be frozen for all operation till such time all dues are cleared.

• All instruction for market Transfer must be received at least 24 hours before the execution date, late instruction would be accepted at the account holder's sole risk and responsibility.

• The Client authorises Kunvarji Finstock Pvt. Ltd. DP to recover demat charges by debit entry in the sale bill and/or by debit to his ledger account with Kunvarji Finstock Pvt. Ltd. Stock Broker.

• Service Tax will be charged extra as applicable on all above services.

I/We confirm that, I/we have been explained provisions of SEBI Circular No. CIR/MRD/DP/22/2012 dated 27-08-2012 in respect of facility of Basic Services Demat Account and applicable reduced AMC charges subject to fulfillment of eligibility criteria.

I/We confirm that, I/we are not opting for the said facility and have opted for normal services demat account with applicable charge structure as agreed by us.

Wish to opt for Rajiv Gandhi Equity Saving Scheme. Yes No


"Second Holder /


.First Holder /


@

25

TM

Terms And Conditions-cum-Registration / Modification

Form for receiving SMS Alerts from CDSL

Definitions:

In these Terms and Conditions the terms shall have following

meaning unless indicated otherwise:

1. “Depository” means Central Depository Services (India)

Limited a company incorporated in India under the

Companies Act 1956 and having its registered office at 17th

Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all

its branch offices and includes its successors and

assignees.

2. ‘DP’ means Depository Participant of CDSL. The term

covers all types of DPs who are allowed to open demat

accounts for investors.

3. ‘BO’ means an entity that has opened a demat account with

the depository. The term covers all types of demat

accounts, which can be opened with a depository as

specified by the depository from time to time.

4. SMS means “Short Messaging Service”

5. “Alerts” means a customized SMS sent to the BO over the

said mobile phone number.

6. “Service Provider” means a cellular service provider(s)

with whom the depository has entered/will be entering into

arrangements for providing the SMS alerts to the BO.

7. “Service” means the service of providing SMS alerts to the

BO on best effort basis as perthese terms and conditions.

Availability:

1. The service will be provided to the BO at his / her request

and at the discretion of the depository. The service will be

available to those account holders who have provided their

mobile numbers to the depository through their DP. The

services may be discontinued for a specific period /

indefinite period, with or without issuing any prior notice for

the purpose of security reasons or system maintenance or

for such other reasons as may be warranted. The

depository may also discontinue the service at any time

without giving prior notice for any reason whatsoever.

2. The service is currently available to the BOs who are

residing in India.

3. The alerts will be provided to the BOs only if they remain

within the range of the service provider’s service area or

within the range forming part of the roaming network of the

service provider.

4. In case of joint accounts and non-individual accounts the

service will be available, only to one mobile number i.e. to

the mobile number as submitted at the time of registration/

modification.

5. The BO is responsible for promptly intimating to the

depository in the prescribed manner any change in mobile

number, or loss of handset, on which the BO wants to

receive the alerts from the depository. In case of change in

mobile number not intimated to the depository, the SMS

alerts will continue to be sent to the last registered mobile

phone number. The BO agrees to indemnify the depository

for any loss or damage suffered by it on account of SMS

alerts sent on such mobile number.

Receiving Alerts:

1. The depository shall send the alerts to the mobile phone

number provided by the BO while registering for the service

or to any such number replaced and informed by the BO

from time to time. Upon such registration / change, the

depository shall make every effort to update the change in

mobile number within a reasonable period of time. The

depository shall not be responsible for any event of delay or

loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if

the mobile phone is in ‘ON’ and in a mode to receive the

SMS. If the mobile phone is in ‘OFF” mode i.e. unable to

receive the alerts then the BO may not get / get after delay

any alerts sent during such period.

3. The BO also acknowledges that the readability, accuracy

and timeliness of providing the service depend on many

factors including the infrastructure, connectivity of the

service provider. The depository shall not be responsible for

any non-delivery, delayed delivery or distortion of the alert

in anyway whatsoever.

4. The BO further acknowledges that the service provided to

him is an additional facility provided for his convenience

and is susceptible to error, omission and/ or inaccuracy. In

case the BO observes any error in the information provided

in the alert, the BO shall inform the depository and/ or the

DP immediately in writing and the depository will make best

possible efforts to rectify the error as early as possible. The

BO shall not hold the depository liable for any loss,

damages, etc. that may be incurred/ suffered by the BO on

account of opting to avail SMS alerts facility.

5. The BO authorizes the depository to send any message

such as promotional, greeting or any other message that

the depository may consider appropriate, to the BO. The BO

ANNEXURE - 2.4

TM

27

agrees to an ongoing confirmation for use of name, email

address and mobile number for marketing offers between

CDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing

of any unauthorized debit to his BO account /

unauthorized transfer of securities from his BO account,

immediately, which may come to his knowledge on

receiving SMS alerts. The BO may send an email to CDSL

at [email protected]. The BO is advised not to

inform the service provider about any such unauthorized

debit to/ transfer of securities from his BO account by

sending a SMS back to the service provider as there is no

reverse communication between the service provider

and the depository.

7. The information sent as an alert on the mobile phone

number shall be deemed to have been received by the BO

and the depository shall not be under any obligation to

confirm the authenticity of the person(s) receiving the alert.

8. The depository will make best efforts to provide the service.

The BO cannot hold the depository liable for non-availability

of the service in any manner whatsoever.

9. If the BO finds that the information such as mobile number

etc., has been changed with out proper authorization, the

BO should immediately inform the DP in writing.

Fees:

Depository reserves the right to charge such fees from time to

time as it deems fit for providing this service to the BO.

Disclaimer:

The depository shall make reasonable efforts to ensure that the

BO's personal information is kept confidential. The depository

does not warranty the confidentiality or security of the SMS

alerts transmitted through a service provider. Further, the

depository makes no warranty or representation of any kind in

relation to the system and the network or their function or their

performance or for any loss or damage whenever and

howsoever suffered or incurred by the BO or by any person

resulting from or in connection with availing of SMS alerts

facility. The Depository gives no warranty with respect to the

quality of the service provided by the service provider. The

Depository will not be liable for any unauthorized use or access

to the information and/ or SMS alert sent on the mobile phone

number of the BO or for fraudulent, duplicate or erroneous use/

misuse of such information by any third person.

Liability and Indemnity:

The Depository shall not be liable for any breach of

confidentiality by the service provider or by any third person

due to unauthorized access to the information meant for the

BO. In consideration of the depository providing the service,

the BO agrees to indemnify and keep safe, harmless and

indemnified the depository and its officials from any damages,

claims, demands, proceedings, loss, cost, charges and

expenses whatsoever which a depository may at any time

incur, sustain, suffer or be put to as a consequence of or arising

out of interference with or misuse, improper or fraudulent use

of the service by the BO.

Amendments:

The depository may amend the terms and conditions at any

time with or without giving any prior notice to the BOs. Any

such amendments shall be binding on the BOs who are already

registered as user of this service.

Governing Law and Jurisdiction:

Providing the Service as outlined above shall be governed by

the laws of India and will be subject to the exclusive jurisdiction

of the courts in Mumbai.

I/We wish to avail the SMS Alerts facility provided by the

depository on my/our mobile number provided in the

registration form subject to the terms and conditions

mentioned below. I/ We consent to CDSL providing to the

service provider such information pertaining to

account/transactions in my/our account as is necessary for

the purposes of generating SMS Alerts by service provider,

to be sent to the said mobile number.

I/We have read and understood the terms and conditions

mentioned above and agree to abide by them and any

amendments thereto made by the depository from time to time.

I/We further undertake to pay fee/ charges as may be levied by

the depository from time to time.

I / We further understand that the SMS alerts would be sent for

a maximum four ISINs at a time. If more than four debits take

place, the BOs would be required to take up the matter with their

DP.

I am/ We are aware that mere acceptance of the registration

form does not imply in any way that the request has been

accepted by the depository for providing the service.

TM

ANNEXURE - 2.4

I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).

The mobile number is registered in the name of :______________________________________________________________

E-mail ID :__________________________________________________________________________________________

(Please write only one valid E-mail ID on which communication, if any, is to be sent)

Sole / First Holder's Name : ____________________________________________________________________________

Second Holder's Name : ____________________________________________________________________________

Third Holder's Name : ____________________________________________________________________________

Date: ___/___/_____

Place: ___________

Note:

1. If the account holder is HUF, only the Karta 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


.First Holder /


@Third Holder /


"

Mobile number on which

massages are to be sent(Please write only the mobile number without prefixing country code or zero)

+91

(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

1 2 0 4 8 4 0 0BOID

TM

ANNEXURE - 2.4

:

ANNEXURE - 2.6

Terms And Conditions for availing Transaction Using

Secured Texting (TRUST) Service offered by CDSL

1 Definitions:

In these Terms and Conditions the terms shall have

following meaning unless indicated otherwise:

i. “Depository" means Central Depository Services (India)

Limited (CDSL)

ii. TRUST means “Transactions Using Secured Texting”

service offered by the Depository.

iii. “Service Provider” means a cellular service provider(s)

with whom the Depository has entered / shall enter into an

arrangement for providing the TRUST service to the BO.

iv. “Service” means the service of providing facility to receive

/ give instructions through SMS on best effort basis as

per the following terms and conditions. The types of

transaction that would normally qualify for this type of

service would be informed by CDSL from time to time.

v. “Third Party" means the operators with whom the Service

Provider is having / will have an arrangement for

providing SMS to the BO.

2 The service will be provided to the BO at his / her request

and at the discretion of the depository provided the BO has

registered for this facility with their mobile numbers through

their DP or by any other mode as informed by CDSL from

time to time. Acceptance of application shall be subject to

the verification of the information provided by the BO to the

Depository

3 The messages will be sent on best efforts basis by way of

an SMS on the mobile no which has been provided by the

BOs. However Depository shall not be responsible if

messages are not received or sent for any reason

whatsoever, including but not limited to the failure of the

service provider or network.

4 The BO is responsible for promptly informing its DP in the

prescribed manner any change in mobile number, or loss of

handset on which the BO wants to send / receive messages

generated under TRUST. In case the new number is not

registered for TRUST in the depository system, the

messages generated under TRUST will continue to be sent

to the last registered mobile number. The BO agrees to

indemnify the depository for any loss or damage suffered

by it on account of messages sent on such mobile number.

5 The BO agrees that SMS received by the Depository from

the registered mobile number of the BO on the basis of

which instructions are executed in the depository system

shall be conclusive evidence of such instructions having

been issued by the BO. The DP / CDSL will not be held liable

for acting on SMS so received.

6 The BO shall be responsible for submitting response to the

'Responsive SMS' within the specified time period.

Transactions for which no positive or negative confirmation

is received from the BO, will not be executed except for

transaction for deregistration. Further, CDSL shall not be

responsible for BOs not submitting the response to the said

SMS within the time limit prescribed by CDSL.

7 The BO agrees that the signing of the TRUST registration

form by all joint holders shall mean that the instructions

executed on the basis of SMS received from the registered

mobile for TRUST shall be deemed to have been executed

by all joint holders.

8 The BO agrees to ensure that the mobile number for TRUST

facility and SMS alert (SMART) facility is the same. The BO

agrees that if he is not registered for SMART, the DP shall

register him for SMART and TRUST. If the mobile number

provided for TRUST is different from the mobile number

recorded for SMART, the new mobile number would be

updated for SMART as well as TRUST.

9 BOs are advised to check the status of their obligation from

time to time and also advise the respective CMs to do so. In

case of any issues, the BO / CM should approach their DPs

to ensure that the obligation is fulfilled through any other

mode of delivery of transactions as may be informed /

made available by CDSL from time to time including

submission of Delivery Instruction Slips to the DP.

10 The BO acknowledges that CDSL will send the message for

confirmation of a transaction to the BO only if the Clearing

Member (registered by the BO for TRUST) enters the said

transaction in CDSL system for execution through TRUST

within prescribed time limit.

29

TM

ANNEXURE - 2.6

11 The BO further acknowledges that the BO / CM shall not

have any right to any claim against either the DP or

Depository for losses, if any, incurred due to non receipt of

response on the responsive SMS or receipt of such

response after the prescribed time period. In the event of

any dispute relating to the date and time of receipt of such

response, CDSL's records shall be conclusive evidence

and the Parties agree that CDSL's decision on the same

shall be final and binding on both Parties.

12 The BO may request for deregistration from TRUST at any

time by giving a notice in writing to its DP or by any other

mode as specified by Depository in its operating

instructions. The same shall be effected after entry of such

request by the DP in CDSL system if the request is received

through the DP.

13 Depository reserves the right to charge such fees from time

to time as it deems fit for providing this service to the BO.

14 The BO expressly authorises Depository to disclose to the

Service Provider or any other third party, such BO

information as may be required by them to provide the

services to the BO. Depository however, shall not be

responsible and be held liable for any divulgence or leakage

of confidential BO information by such Service Providers or

any other third party.

15 The BO takes the responsibility for the correctness of the

information supplied by him to Depository through the use

of the said Facility or through any other means such as

electronic mail or written communication.

16 The BO is solely responsible for ensuring that the mobile

number is not misused and is kept safely and securely. The

Depository will process requests originated from the

registered Mobile as if submitted by the BO and Depository

is not responsible for any claim made by the BO informing

that the same was not originated by him.

17 Indemnity:

In consideration of providing the service, the BO agrees that

the depository shall not be liable to indemnify the BO

towards any damages, claims, demands, proceedings,

loss, cost, charges and expenses whatsoever as a

consequence of or arising out of interference with or

misuse, improper or fraudulent use of the service by the BO.

18 Disclaimer:

Depository shall be absolved of any liability in case:-

a. There is loss of any information during processing or

transmission or any unauthorized access by any other

person or breach of confidentiality.

b. There is any lapse or failure on the part of the service

providers or any third party affecting the said Facility and

that Depository makes no warranty as to the quality of

the service provided by any such service provider.

c. There is breach of confidentiality or security of the

messages whether personal or otherwise transmitted

through the Facility.

TM



First Holder /Authorised Person’s Signature

".@

KUNVARJI FINSTOCK PVT. LTD.

31

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.

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 _________________________________________________ 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.

TM

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

1 12048400 00000902 NSE - CASH SEGMENT PAY IN

2 IN301151 22143972 NSE - CASH SEGMENT MARGIN

3 12048400 00000881 BSE - CASH SEGMENT PAY IN

4 12048400 00021101 BSE - CASH SEGMENT MARGIN

5 IN300126 11199463 NSE - F&O SEGMENT MARGIN

6 12048400 00128072 NSE - CURRENCY DERIVATIVES SEGMENT MARGIN

7 12048400 00128087 MCX-SX - CURRENCY DERIVATIVES SEGMENT MARGIN

8 12048400 00205220 USE - CURRENCY DERIVATIVES SEGMENT MARGIN

9 12048400 00234484 MCX-SX - CASH SEGMENT PAY IN

10 12048400 00244091 MCX-SX - CASH SEGMENT MARGIN

11 12048400 00244021 MCX-SX - F&O SEGMENT MARGIN

12 12048400 00243877 BSE-F&O SEGMENT MARGIN

13 16014800 00555401 NSE - CASH SEGMENT MARGIN

14 12048400 00268640 NSE - F&O SEGMENT MARGIN


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)

First Holder /Authorised Person’s Signature

@


.


"

TM

33

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,

Yours faithfully,

__________________________Signature of Karta with HUF stamp

Sr. No. Name Date of Birth Relation with Karta

DECLARATION BY KARTA

TM

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, par tnership, 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.

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 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

TM

35

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 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

TM

v) by telegram

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

residential address

vii) by 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

37

(Kindly note that these additional clauses/documentations are voluntary and executed at the discretion of the stock broker and the

client. The same are required in order to maintain running account on day to day basis between the stock broker and the client. The

client need not execute this document if he/she does not wish to. The client has right to terminate this document.)

From,

Client Code : _______________

Name : _______________

Address : _______________

_______________

_______________

To,

Kunvarji Finstock Pvt. Ltd.

Block-B, 1st Floor,

Siddhi Vinayak Towers,

Makarba,

Ahmedabad - 380 051.

Sub: Running Account Authorisation

I/We have trading account with you under the captioned client code. I/We understand that as per Regulations of the Exchange, as a

Stock Broker, you are required to settle my/our account(s) by payment and delivery of securities within time prescribed by SEBI/

Exchanges from time to time after payout. In order to ensure smooth operations of my/our account(s) and to do away with the

requirement of daily receipt of funds against sale and payment of funds against purchase and transfer of securities, I request you to

maintain my/our account(s) on “RUNNING ACCOUNT BASIS”.

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.

Date: ___/___/_____

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.


TM

39

(Kindly note that this additional document is voluntary and to be signed at the discretion of the client and stock broker/ trading

member. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the

client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document)

To,


Makarba, Ahmedabad - 380 051.

Dear Sir / Madam,

Sub: Letter for Operations of Account

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, payout 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.

LETTER OF OPERATION OF ACCOUNT

TM

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.

Thanking you

Yours truly,

Client Name : ________________

Client Code : ________________

BO ID : 12048400 ________

Date: ___/___/_____


TM

41

(Kindly note that this additional document is voluntary and to be signed at the discretion of the client and stock broker/ trading

member. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the

client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document)

To,


Block-B, 1st Floor,

Siddhi Vinayak Towers,


Dear Sir / Madam,

Sub: Authorised representatives

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,

Client Name: ________________

LETTER FOR AUTHORISED REPRSENTATIVES - ALL EXCHANGES - VOLUNTARY

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

1.

2.

3.

4.

Date: ___/___/_____


TM


Date: ___/___/_____From,

Client Name: _______________________ Client Code: ________________________

Address: __________________________

__________________________________

__________________________________

To,



Dear Sir / Madam,

Sub: Acknowledgment and confirmation

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

BO ID: 12048400 ____________________


TM


FROM,

NAME OF CLIENT : __________________________

CLIENT CODE : __________________________

ADDRESS : __________________________

DEALING OFFICE : __________________________

SUB BROKER OR AP : __________________________

To,Kunvarji Finstock Private Limited


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

Date: ___/___/_____

OFFICE USE ONLY

Date of receipt _______________________ Name and signature of official receiving ________________________

Date of updation in Back Office Software _________________________________________________

Signature and name of person ___________________________________


43

TM

KUNVARJI FINSTOCK PVT. LTD.B-wing, Siddhivinayak Towers, Near D. A. V. School,

Next to Kataria House, Off S. G. Road, Makarba, Ahmedabad - 380 051.

Phone: +91 79 6666 9000 | Fax: +91 79 2970 2196 | Email: [email protected], [email protected]

@kunvarji_fin/kunvarji.group ||www.kunvarji.com

Version May/2015

TM

Date

Sponsor Bank Code HDFC0000060 Utility Code HDFC00186000008074

I/We hereby authorize Kunvarji Finstock Pvt. Ltd. to debit (tick )ü SB /CA /CC / SB-NRE /SB-NRO /Other

(Tick ü)

CREATE

MODIFY

CANCEL Bank A/c Number

with Bank IFSC or MICR

an amount of Rupees `

DEBIT TYPE Fixed Amount Maximum Amount

Reference 1 Phone No.

Reference 2 Email ID

This is confirm that the declaration has been carefully read, understood & made by me/us.

From

To

Or

PERIOD

Until Cancelled

Signature Primary A/c Holder Sign of A/c Holder Sign of A/c Holder

1 Name as in bank records 2 Name as in bank records 3 Name as in bank records

UMRN

FREQUENCY Mthly Qtly H-Yrly As & when presentedYrly

ACKNOWLEDGEMENT

Form No. :

Received the application from Mr./Ms. ....................................................................................... as the Sole / First holder along

with ................................................................................... and ..................................................................................... as

the Second and Third holders respectively for opening Trading and / or Demat account selected as below Your account will be

opened after due verification by us.

Your Client Id will be intimated to you once your account gets opened successfully. Please quote BO ID & Client ID allotted to you in

all your future Correspondence.

NSE CASH BSE CASH MCX-SX CASH DEMAT A/C

NSE F & O BSE F & O MCX-SX F & O

NSE CURRENCY BSE CURRENCY MCX-SX CURRENCY

Name of Relationship Manager ________________________________

Mobile No. of Relationship Manager ________________________________

For, Kunvarji Finstock Pvt. Ltd.

Authorised SignatoryDate: ___/___/_____