Srrial No.
Not. :Thl8 form Is divldsd In two Boddeta (La. Booklrt-l and BooS<1et1l) BOOKLET - I
SECURITIES LIMITED
(WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE LIMITED) R.gd. Oftlco. : PADAM TOWERS, 141113, CNlL LINES, MNPUR- 208 001 CIN : U67120UP2000PLC026330 Phones : 0512- 2338115,2338074 Fax. : 0512- 23381 75 Webdte : www.upsecindia.com E-mail : [email protected], [email protected], upstockexchang~gmaiI.com E-mail ID for Investor Complaints : [email protected] Member : BSE LIMITED (BSE) NATIONAL STOCK EXCHANGE OF INDIA LIMITED (NSE) MCX STOCK EXCHANGE LIMITED (MCX-SX)
SUB-BROKER NAME
CLIENT NAME
CLIENT CODE -- - SEBI Registration Numbem
BSE CASH INB 0111~6858 BSE F&O INF 011116838 NSE CASH INB 231116832 NSE F&O INF 231113832 MCX-SX C D INE 261116838 MCX-SX CASH INB 261116835 MCX-SX F&O INF 261116835 h - - LUPSE Securities Ltd.
ACCOUNT OPENING KIT INDEX OF DOCUMENTS
- - - - - s.lhl )*n*dthoDoumnt I Brht Sfgnlficurcr of th, Document 1 ~odddHO. 1 pago NO. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBl a EXCHANGES 1 Account Opening Form A. Client Registration Document I 1-2 B. KYC Application Forms- (i) For Individuals I 34 (ii) For Non-Individuals I 5-8 Aforesaid documents capture the basic information about the dient and an instruction/ check lid. C. Document capturem the additha1 information I 9-1 2 about the constituent relevant to trading acmunt and an instruction/ check lid. D. Authorised Person Dasib I 13 2 Rights and Oblilons Document stating the Rights & Obligations of stock II 1-5 brokerttrading mamber, subbroker and client for trading on exchanges (including additional rights & obligations in case of internet/ wireless tdmlogy based trading) 3 Risk ihdosm ~~t Daxrrnent debiting risks associated with dealing in II 6-9 (RDD) the sscuFities market. - 4 Guidam Note Document detailing do's and don'ts for trading on II 10-11 exchange, for the education of the itwestom. 5 Policies and Procedures Document describing significant policies and I 14 procedures of the stock broker. 6 Tariff Sheet Document detailing the nte/amwnt of brokerage 1 14 and other charges levied on the dimt for trading on the stock exchanges (s). 7 Format of declaration by For DP Operations and Authorised Partnerls I 15 the propriaorship firm and letter of authority for partnership firm 8 Board Resolution in Delegation of Authority to Director (s) on Behalf I 16 of Coporate Client and of the Company and Details of Shamholding Sharehddmrg PaWn VOLUNTARY DOCUMENTS AS PROVlDED BY THE STOCK BROKER - -- - 9 Margin and Running Deposit of Margin and Running Account I 17 Account Authorisations Authorisations 10 SMS and e-mail alerts Investor willing to avail SMS and e-mail alerts facility I 18 OTHER DOCUMENTS 11 Acknowledgement Brokets and Cilent's Copy I 19-20 I -- 1 1 m - - UPSE Securities Ltd. I CLIENT REGISTRATION DOCUMENT
Client Registration form received on ...... ,...... Client Registration form received & checked by ...... Client Registration form entered in Webx and Ior UCII andlor my>exchange by ...... Client Registration form entered in Back OPfice by ...... UPSE SECURITIES LIMITED (WHOLLY OWNED SUBSDIARY OF U.P. STOCK EXCHANGE LIMITED) Regd. Office. : PADAM TOWERS, 14l113, CNlL LINES, KANPUR- 208 001 CIN : U67120UP2OOOPLC025330 Phones : 0512-233811 5,2338074 Fax. : 0512-23381 75 E-mail : [email protected] E-mail ID for Investor Complaints : [email protected]
Sub-broker Name :
Sub- broker : BSE SEBl Registration No.(s):
NSE
MCXSX
Client Name :
Client Code :
umw7YEbw amt (KYQ IUPSE Securities Ltr I1 AJqakaM Form (Foe tndEv6drrals)
1. W amc of Applicant (As appearing in supporting identiftn document)
Pleaseaffh 2. FatheWSpoltsc Name w-pasrporr size photograph 1 and rlgn across it
1. Residenee Address
Cityl~lViuage Pin Code
5thl 1 I I CrnbV 1 I
2. Contact Details ,a.(ME (1SW (STD) kl. (Res.) (ID) (STD) ~~ (5tb) Fax (ED) (ml Wid. I I I I I 3. Specify the proof of addm rubmit8#l for residence addm 4. Bermanent address (If diient from above or owws address, mandatory for Non-Resident Apptiiant) :
cqibwn tvacilhge ffi code
state[ I I cw ~ I
1 I herebv dedare that the details furnished above are true and correct to the beit of mv knawledse and 1 belief ind I undertake to inform you of any changes therein, immediately. In case iny of the-above - information k found to be false or untrue or misleading or misrepresenting. I am aware that I may be held liablefor it.
SeabTtdnp of ?t8?~nlrrrrmtirl rr ~i.,~ldcor;rj~rl :,;:,>I::GCI ,rf rt~r.:,v,,~s%idJ ;I,:~LIII! XI . , Originds \krHied & Sew-Attested Dixmmt copks w&ed Stdfl b4dm I I >t.s!i rd.,,tp I UPSE Securities Ltd.
INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM - -G*-F-- .-,, T., ., +. .-dm - 7 - A. IMPORTANT POINTS: Agreement of ResidenceIDriving Liceme/Flat Mainler~ru~e 1. Setfattested copy of PAN card is mandatory for all clients billllnsuranceCopy. 2. Copies of all the documents submitted by the applicant should be 2. Utility bills IikeTeiephone Bill (only land line), Electricity bill or Gas bill self-attested and accompanied by oiginals for verification. In case Not morethan 3 months old. the original of any document is not produced for verification, then 3. BankAccount Statement/Passbook - Not more than 3 months old. the copies should be properly attested by entities authorized for attesting thedocumens, as per the below mentioned list. 4. Setf-dedaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial BankslScheduled Co-Operative 4. Name & address of the applicant mentionedon the KYC form, should BankIMultinational Foreign BanksIGazetted OfficerlNotary match with the documentary proof submitted. publidElected representatives to the Legislative 5. If correspondence & permanent address are different, then proofs for Assembly/Parliament/D~~umentsissued by any Govt. or Statutory both have to be submitted. Authority. 6. Sole proprietor must make the application in his individual name & 6. Identity cardldocument with address, issued by any of the following: capacity. CenmlKtate Government and its Departments, StatutoryIRegulatory Authorities, Public Sector Undertakings, 7. For non-residents and foreign nationals,(alld to trade subject to Scheduled Commercial Banks, Public Financial Institutions, Colleges RBI and FEMA guidelines), copy of passportlPIOCardlOCICad and affiliated to Unhmsitii and Professional Bodies such as ICAI, overseas address proof is mandatory. ICWAI, ICSI, Bar Council etc,to their Members. , , ,, -- - 8. For foreign entities, CIN is optional; and in the absence of DIN no. for 7. For Flllsub account, Power of Attorney given by Flllsub-account to the directors,their passport copy should be given. the Custodians (which are duly notarized andlor apostiled or 9. In case of Merchant Navy NRl's, Mariner's declaration or certified consularised) that gives the registered address should be taken. copy of CDC (Continuous Discharge Certificate) is to be submitted. 8. The proof of address in the name of the spouse may be accepted. 10. For opening an account with Depository participant or Mutual Fund, R Exempdonzlclarificationsto PAN for a minor, photocopy of the School Leaving CertificateIMark sheet (*Sufficient documentary evidence in support of rurh dahns issued by Higher Secondary Board/Passport of MinorIBirth to be collected.) Certificate must be provided. 1. In case of transactions undertaken on behalf of Central Government 11. Politically Exposed Perms (PEP) are defined as Individualswho are and/or State Government and by officials appointed by Courts e.g. or have been entrustedwith prominent publicfunctions in a foreign Official liquidator, Court receiver etc. country, e.g., Heads of States or of Governments. senior politicians, senior Govemmentljudicidlmilitary offii senior 2. Investors residing in the stateof Sikkim. executives of state owned corporatiom, important political party 3. UN entitieslrnultilateral agencies exempt from paying taxeslfilingtax officials etc. returns in India. R Prwf of Identity( POI): List of documents admissible a haof 4. SIP of Mutual Fundsupto Rs 50,0001- p.a, of Identity: 1. PAN card with photograph. This is a mandatory requirement for all 5. In case of institutional clients, namely, Flls, Mfs, VCFS RICls, applicants except those who are specifically exempt from obtaining Scheduled Commercial Banks, Multilateral and Bilateral PAN (listed in Section D). . Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public 2. Unique Identification Number (UID) (Aadhaar) 1 Passport 1Voter ID Financial Institution as defined under section 4A of the Companies card IDriving license. Act, 1956, Custodians shall verify the PAN card details with the 3. Identity cardl document with applicant's Photo, issued by any of the orginal PAN card and provide duly certified copies of such verifled following: CentrallState Government and its Departments, PAN details to the intermediary. StatutoryIRegulatocy Authorities, Public Sector Undertakings, E. List of people authorized to attest the documentr: Scheduled Commercial Banks, Public Financial Institutions, Colleges 1. Notary Public, Gazetted Officer, Manager of a Scheduled affiliated to Universities, Professional Bodies such as ICAI, ICWAI, CommerciaVCo-operative Bank or Multinational Foreign Bank ICY, Bar ~ounuletc, to their Members; and Credit arddDeM cards (Name, Designation &Seal should be affixed on the copy)$; ; issuedbyBank 2. In case of NRls, authorized officials of werseas branches of C. Proof of Address (WA): list of documents admissible as Proof Scheduled Commercial Banks registered in India, Notary Public, of Address: (*Documents having an expiry date should be Court Magistrate, Judge, Indian Embassy/Consulate General in the the valid on date of submission.) country where the client resides are permitted to attest the 1. PassportAloters ldentity CardRation CardlRegistered Lease or Sale documents.
- L
Know bur Client 4KYQ Appflcarion Form @brIYlon-tndMuafs) Applhtion No : N~ffllthlsfwmIn~Hurdhr~LnrrRSwkh~inlc(Pl~~tguId~ovarl~
1. WmofApplk#rt (Please write complete nameas perCertif&e of lnc~porationlReg~stration; leaving one bax blank between 2 words. Pleasedo not abbreviate the Mame). 111111111111111111111111111 11 111111111 ~ataot-don1dIdI/Ir?IrnI/IyI1(~Iyj ~lnaof~nealporatlonl1 I1 I I II 1 1 I I- I I1 I 1 3.lktlof~om~tofbusimrr~dla I/lrnIrnI/w WIOTOGWtl
1-1 4APM 1-1 B.~~(W.~~WWx w-w 5. Shtus he (4)[7 hate Ltd. Ca. PuMic Ltd. Co. Body Corpomte Mnenhip C] Trust I CWI WQ *Mof R C] W C] HUF [7 AOP Bank 0 Government Body Non-Comment Organlsalion Mawm Defence Establishment Body of Individuals Soaety LIP Others i5ta;e .C'dfi! ndrign~lrosrit
1. Addm for Compondence
- - - - C~tyJ bwn l VMbge kcode statel I I ~ountry II
2. Contact Detalb ~.loff.)(60) (STD) I4.W.; (ISD) (UD) f Mable WDI (STD) Ihx (IS01 (no] *Eh(dld.. I. I , . . . . . , . . . , I I . 3,Spedfytheproofofaddress~forcbnespondencRaddrers:
4. Registered Address (If dWemnt from above)
I City 1 bwn l VJIage stale1 II County
We hereby dedare that the details furnished above are true and cowed to the best of mylour knowledge and belief and I/we undertake 1 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 amheare aware that l/we may be held tiable far it. uc,place:! , J Dam* FFlCE
Otiglnelc Ven6ed & Sdf-Attested Document copii recei\red 1, rf Mnvr
*>,' 1 ~r,;fl.Irl
'1 lf.,,, ,, 4, r, 1: 8 - ,:, 1,
11,~~ lr( Name & Stgnatue of the Authomcd Signatory INSTRUCTIONS 1 CHECK LIST FOR FILLING KYC FORM - - A. IMPORTANTPOINTI: FmidenceAlriving Licensemat Maintenance biilnnsuranceCopy. 1. Selfatmtedmpyof PAN card is mandatocyfor alidiena. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 2. Copb of all tlac documm~submitted by the applicant should be self-mted and 3 monm old. accompanied by originals for vetif~ation.In case the original of any document is not 3. BankAccounr Statemem/Mok -Not more than 3 months dd. produced for verifration, then the copies should be properly attested by enfilies 4. Selfdedaration by High Cwrt and Supreme Court judge$ gMng the new admess in authottzedforartestingthedocumen&asperthe Mowmentioned list. respect of their own accounts. 3. If any proof of identlry or address is in a foreign language then translation into English 5. Pdof address issued by any of the following: Bank Managers of Scheduled is required. Commercial BanWScheduled Co-Operative BanWMullinational Foreign 4. Name B address of the apphcant mentioned on rhe KYC form, should match with the BanMGazetted OflicertNotary public1Eiected representatives to the Legisbtivc documentary proof submitted. AssemblyPadiamenUDocumentsissued by anyGovt.or Statutory Authority. 5. If conwpandcna & permanent address are different, then proofs for both haw to bc 6. Identity cardklocument with address, issued by any of the.folMng: CenaaVState submitted. Govetnment and ie Depamnen& Staurtory/Regulamry Authotitles Public kctor 6. Sole proprietor must maketheappliation in his individualname &capacity. Undertakings Scheduled Commercial Banb Public Financial ImtimtionsCdlcges 7. For non-resideno and forelgn nabnak(allowed to trade saect to RBI and FEMA aMliated to Unirmsities and Pmfesrbnal Bodies such as ICAI. ICWAI, ICSI. Bar Council guidclincs), aqy of pacrgortlPloCard/OCICard and overseas address proof is etc.,to their Members. mandatory. 7. For Flllsub account, Power of Anorney given by Flllsub-aawnt to the Custodians 8. For foreign entitiis CIN k optional; and in the absence of DIN no. for rhe directon. With are duly notarized andlor apostiled or consularisedl thal gives the registered thdrpassponapyshouldbegiwn. address should be taken. 9. In care of Merchant Navy NRIk Mariner's declaration or certified copy of CDC 8. The proof of address in the name of thespouse may be accepted. (Conthuous Discharge Certificate) is to be submitted. D. Exemptlonlldsrlfkations toPAN 10. For opening an account with Depositq partidpam or Mutual Fund for a minor. ('Suffidentdocumentary evidence in support of such claims tobecoilectcd.) photocopy of the School Learing CertlficateIMark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government andlor Slate BasrdlParcportof MlnoriBiih Cenrlicate must be pmvlded. Gmmmentand byoffidals appointedbyCoume.g. Offidd iiquldator, Courtrealvcr etc 11. Pditically Exposed Rrsons (PEP) are dtfincd as individuals wh~are or have befn 2. lmmton residing in thestateofsikkim. Heads enmuted wirh prominent public fundora in a foreign country, e.9. of 3. UNentities/multilateralagenciesexempt from payingtaxeslfillngtaxretumsin India. Statas or of Government& senior politicians senior Govemment/judiid/militaryofficers. 4. SIPof Mutual Funds upto Rs SO.M)O/- p.a. - wnior execulives of state owd corporations impanant pditicd parry OM& etc. 5. In case of instltutlonal dients, namely, Flls Mk VCFS FVCls Scheduled Commercial Banks, Multibterd and Bilateral Development Financial imtltinmons State IridusW B Pmd dldant#y( Pol): List of docwnents admissible as Roof of Identity Woprrtent Corporation% Insurance Companies regktered with IRDA and PuMK 1. PAN card wlth phoroqraph. Thk is a mandatMy ngulmnenr for all Finamial InMaion as defined under section 4A of the Companies AQ, 1956. appllcwa ucrept those who are spedfically exernp from abehdng PAN Qiscedin Section DL C~lnodlansshall vnify the PAN card details wlth the original PAN card and provide 2. Unlque idcntifi~tionNumber(UID) (AadhaarYPassportNotwID cardlDriig license. duiycdied copies of such verified PAN detalk to the intennedby. 3. ldentlty cardl dmment with msPhoto. i-d by any of m: E. LLrtofpeopieauthorjzed toattertthedoaunents its CenoYState Covcmment and Departments Stammy/Regulatory Authorities 1. Notary Public Gazmed Oficec Manager of a Scheduled CommerdaUCwpralive Public kRcw UndermUngs Scheduled Commercial Banks, Pubk Findl be as Bank or Mulrinationd Foreign Bank (Name, DesigMtion & Seal should armed on I~tiom.Cdeges affiliated m UMnies Pnfessional Bodks such ICAi. thecopy). KWAI, ICSI, Bar Council etc, to their Members; and Credit cardslDebit cards issued by Bank 2. In caw of NRls authorized ofnciab of overseas branches of Scheduled Commercial Banks registered in India. Notary Public Court Magistrate, Judge, Indian C Roof of Address (POAk List of docunents adrnlrrible as Prwf of Address: EmbaqKonsukte General in the country where the client resides are permitted to ('Documents hdngan expliy date should bevaHd on the date of submission.) anen thedocuments 1. PasspwVVoterr Identity Card1Ratk-m Cardmegistered Lease or Sale Agreement of
F. Incase of Non-IndMdluI* addltlorul documents to be obtalned fmm non-lndlvidual~over & above the POI & POA. as mantloned below: Types of entity Dowmentary requirements Copy of the balance sheets for the Ian 2 Rnwial years (to be submitted ewry year) - Copy of latest share holdlng panem induding llrt of all those holding control, either dire& or Id~rectiy,in the company in terms of SEBi takwer Regulations duly certified by the company seuetaryMlhde time dlrectorIMMto be submiwery year) - Photograph, POI, PO& PAN and DIN Mlmkn of whole time dimcmnho dimin charge of day to day operaions Corporate * Photograph, POI. POA. PAN of Individual promoters holding control - either dire* or indirectly Copier of the Memorandum and Artides of Asrodatbn and certifiate of inmrporation Copy of the Board Red& for inwtmnt in securities market - Authorised signatories list wlth speclmen signatures --- - Copy of the balance sheets for the last 2 finand4 years (to be submimed every year) Certificate of regisnation (far registered pannership firms only) PIrtnershIp fln - Copy of parvlenhip deed - Authorised signatories list with specimen signatures Photograph. POI, PO4 PAN of Patmers - Cow of the balance sheets for the bn 2 firwKial years (to be submitted ewny year) - Certificate of registration (for registered trust only).Copy of Trust deed mist List of trustees certifd by managing tn&es/CA Photograph, POI, PO4 PAN of Trustees PAN of HUF Deed of declaration of HUFlLbt of aparceners HUF - Bank pass-- mtement in the name of HUF Photograph, POI, PO4 PAN of Kana -- -- - Roof of ExistencelConstitution document Unincorporated - Resolution of the managlng body & Power of Attorney granted to transact business on its behalf Assod.tlon or a body,ofindhrMmlr - Authorized signatories list with spedrnen signalums - ... -. - - . - - Copy of the constitution/rqinration or annual qmrthdance sheet for the last 2 finandal years I).nkMndtutIorul Investon Authorized signatories list with specimen slgnatwes -1- Cow of SEBi regimation certificate Imlton all) * Authorized signatories list with specimen signatures Self-certification on letterhead Amy/-t Bodles Auhrlred signatories list with specimen slgnatwes - -- - - .------Cow of Registration Certificate under Societies Regismion Act LiR of Managing Comminee membns Registered Soday - Committee resolution for persons authorized to act as authorized signatories with specimen signatures True copy of Society Rules and Bye Laws tenifled by the Chairman/Senetary - - -- I UPSE Securities L td.1
Details of Promoterd Partners1 Karta 1 Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals
Name of Applicant PAN of the Applicant Relationship DIN Residential / with Applicant Whether Sr. (For D~rectors)/ PAN Name UID Registered (i.e. promoters, Pol~ttcally Photograph No. (For Others) Address whole time Exposed directors etc.)
PEP RPEP NO
IJ PEP RPEP NO
PEP Cl RPEP NO
0 PEP RPEP 17 NO
IJ PEP RPEP NO
PEP: Politically Exposed Person Name 5 Signature of the Authorcsed Slgnatory(ies) Date 1; I G I/I-.I- I/[, I , I 1 1 RPEP: Related to Polit~callyExposed Person UPSE Securities Ltd.
DECLARATION BY HUF AND CONSENT LETTER
To, UPSE Securities Limited
Wrth regard to Trading Account maintained in the name & Style with UPSE Securities Ltd., we the following family members, being the co-parceners in the aforesaid HUF account do hereby give our consent that the Karta, viz would operate above mentioned Trading account.
Details of our HUF and all its co-parceners are stated below :
S r. Date of Birth Relationship Name of Family Member Gender Signature No. (mMM WW) with Karta
I hereby state that details mentioned above are true and any change in them would be intimated to you in writing.
Name of HUF Signature of Karta
Name of Karta . (HUF Rubber Stamp)
L UPSE Securities ~td.1 TRADING ACCOUNT RELATED DETAILS
V) For Individuals & Non-individuals Zi BankName A 5 Branch Z Address 0 0 0 u Account Saving~c I] CurrentAle I1 Type 3. Others-In case of NRIINREINRO 0 4 MlCR Number IFSC Code 3 Depository Participant Name 5 Depository Name 5 (NSDUCDSL) Beneficiary Name DPID
m Beneficiary ID(B0 ID) 4
I 1. Gmrs Annual Income Details (Please t~ck(4). OBelow 1 Lac 01-5Lac 5-10 Lac 17 10-25 Lac > 25 Laa OR , . Net-worth in C ,, . 1 t( 1 z ason(date)L 1 l/I I I I I r I
2. Occupation (Please ttck(4 any one and glve bnef deta~ls) Private Sector Se~ce CI Publlc Sector Government Serv~ce q Business OProfess~onal UAgnculturist ORet~red Housmfe Student Forex Dealer q Others (Please specrfy) 3. Please tick, if applicable: q Polrtlcally Exposed Person C7 Related to a Polrt~callyExposed Person For definitton of PEP, please refer guideline (See Important Po~ntNo 11 on page 4) 4. Any other information:
1. Gmss Annual income Dctaik Please $ck (4)OBelow 1 Lac 01-5 Lac 05-10 Lac 010-25 Lac 025 Lao-1 Cmre 0>1 Crore
2. ~~t-~~~thin c "I 1': v.rirrl~ I LILI!A r cr i f. r, n~.n r ' 11 , ason(date)Id 11 I/Ir l/I I 1, 1 I
3. k the entity lnvohredlpmviding any of the following services DYES ON0 - For Foreign Exchange / Money Changer Servtces UYES ON0 - Gamlng I Gambllng I Lottery Serwces (e.g casrnos, betting syndicates) OYES ON0 - Money Lend~ng/ Pawntng DYES !J NO 4. Any other information:
D. TRADING Please tick & sign in the relevant boxes where you wish to trade. PREFERENCES The segment not chosen should be struck off by the client. Signature BSE Cash Segment [~BSEF&O aNSE Cash Segment - I ~NSEFELO - MCXSX Cash MCXSX F EL o - MCX-SX Currency Derivatives - Note : If, in future, the client wants to trade on any new segmentlnew exchange,- the client shall give separate authorizationnetter. UPSE Securities ~td.1
E. PASTACTIONS Details of any adioniproceedings initiatedlpendingltaken by SEBII Stock Exchange (s) Iany other authority against the applicantlconstituent or its Partnerslpromotershhole time directors/authorized persons in charge of dealing in securities during the last 3 years: ...... I F. DEALINGS THROUGH SUBBROKERS AND OTHER STOCK BROKERS I II If client Is dealing through the sub-broker, provide the following details: . II Sub-broker's Name: SEBl Registration number (s): BSE : INS I NSE : INS I MCX-SX : INS Registered office address: Ph: Fax: WebsitelE-mail ID : 1 Whether dealing with any other stock brokerlsub-broker (In case dealing with multiple stock brokers1 sub-brokers, provide details of all) II Name of Stock Broker I II Name of Sub-Broker If any
Client Code: Exchange: Details of disputeddues pending from /to such stock brokerlsub-broker:
G. ADDITIONAL DETAILS Whether you wish to receive physical contract note or Electronic Contract Note (ECN] (please specify) : ...... Specify your Email id, if applicable: ...... In case of any change in the e-mail Id, lMle shall communicate the same to you through a physical letter. Whether you wish to avail of the facility of internet trading1 wireless technology (please specify) : ...... Number of years of lnvestmentrrrading Experience: ...... In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of companylfirm/others: Information is given on KYCApplication Form.. Any other information: ......
H. INTRODUCER DETAILS
Name & code of Surname Name Middle Name Code the lntroducer
Status of the Sub-broker Existing Client lntroducer I n
Address of the lntroducer
Ph. No. of the lntroducer UPSE Securities Ltd. I I. NOMINATION DETAILS (for individual only) I wish to nominate 0 I do not wish to nominate ))
Name of the Nominee Relationship with the Nominee PAN of Nominee Date of Birth of Nominee ma 0[7 mllnr] Address and Phone No. of Nominee
If Nominee is a minor, details of guardlan: Name of guardian: Address and phone no. of Guardian: Signature of guardian : WITNESSES (only applicable in case the account holder has made nomination)
Name Name Signature Signature Address Address
DECLARATION 1. lNVe hereby dedare that the details furnished above are true and correct to the best of mylour knowledge and belief and Iheundertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or mideadingor misrepresenting, Iarnlwe are aware that lhemay be held liable for it 2. lMle confirm having readbeen explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 3. Wefurther confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disdosure Document'. l/We do hereby agree to be bound by such provisions as outlined in these documents. lMle have also been informed that the standard set of documents has been displayed for Informationon UPSE Securities Limited website.
Place ...... ( 1 Date ...... Signature of Client (all) Authorized Signatory (ies)
UNDERTAKING We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-manadatory documents. We have also made the client aware of 'Rights and Obligations' document (s), RDD and Guidance Note. We have givenlsent him a copy of all the KYC documents. We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-manadatory documents will be duly intimated to t'le clients. We also undertake that any change in the 'Rights and Obligations' and RDD will be made available on ourwebsite for the information of the dients. Signature of the Authorlsed Signatory of Seaustamp of UPSE Securities Limited UPSE SecurlUes Limlted Date...... - - INSTRUCTIONS1 CHECK LIST 1 1. Additional documents in case of trading in derivatives segments - illustrative list:
Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating ownership Self declaration with relecant supporting documents of assets. *In respect of other clients, documents as perrisk management policy of the stock broker need to be pmvided by the client from time to time. 2. Copy of cancelled cheque leaf/ pass booklbank statement specifying name of the constituent, MlCR Code orland 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 'inperson' verification through web camera at the branch office of the stock brokerlsub-broker's office. b. In case of non-resident clients, employees at the stock brokef s local office, overseas can do in-person' verification. Further, considering the infeasibility of canying 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 Embassy1Consulate General in the country where the client resides may be permitted. 5. For non-individuals: a. Form need to be intialized by all the authorized signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to dsal in securities on behalf of company/firm/othersand their specimen signatures. -- - NSE - F&O. BSE F&O, MCX-SX F&O and MCXSX-CD 1 UPSE Securities ti MANDATORY Authorised Person Details (UPSE Securities La. - BSWSEIMCXSX Sub-Broker) (Through Whom Client Wnt To Trade)
Name of Authorised Person : (Through Whom Client Want to Trade)
Address :
Clty: Pin Code : State : Country: Tel. No. : Mobile : Fax No.: Email id : PAN :
Client Name: ......
Place : ...... Date : ...... (If Partner, Corporate or Other Signatory, then sign. with seal) Declaration by the Authorised Person (UPSE Securities Ltd. - BSE/NSE/MCXSX Sub-Broker) To, UPSE Secutities Limited, (Member BSE, NSE and MCX-SX) lMle hereby declare that Mr. IMrs. / Ms...... is known to me 1 us and he Ishe / they can be registered as a Client of UPSE Securities Ltd. llwe undertake to clear the trades of the above client. lMle hereby authorise you to adjust the shortfall, if any, of margin /settlement dues of the above client by debit to my 1 our BankAccount or to capital adequacy deposit. lMle further authorise you to credit the shortfall amount so debited to my 1our bank account or to rqy 1our capital adequacy account to the client account for meeting the shortfall reducing thereby balance in the bank account or in the capital adequacy account.
Authorised Person Name : ......
Place : ...... Date : ...... (If Partner, Corporate or Other Signatory, then sign. Hnth seal) DOCUMENTARY EVIDENCE OF FINANCIAL DETAILS FOR TRADING IN DERIVATIVES SEGMENTS In respect of trading in derivatives segments, lheherewith submit self attested two documentary evidence (ticked) for financial information, out of following : 1. Copy of income tax return acknowledgment. 0 2. Copy of annual accounts. 0 3. Copy of Form 16 in case of salary income. 0 4. Net worth certificate. 0 5. Salary Slip. 0 6. Bank Account Statement for last 6 months. 0 7. Copy of Demat Account Holding Statement. n
Client Signature ...... Authorised Person Signature ......
MANDATORY ,UPSE Securities LM. Declaration by the Proprietorship Firm ANNEXURE I Date: - UPSE Secutities Limited Padam Towers, 14/113, Civil Lines, Kanpur-208 001 Dear Sir/ Madam, Ref.: Client Code I refer to the trading account opened with you in the name of and declare and authorize you as under : I recognise that a beneficiary account cannot be opened with a depository participant in the name of a sole proprietorship concern as per regulations. To facilitate the operation of the above trading account with you and for the purpose of completing the share transfer obligations pursuant to the trading operations, I authorize you to recognize the beneficiary account no...... having DP ID ...... and DP name ...... opened in the name of the undersigned who is the sole proprietor of the concern. I agree that the obligation for shares purchased and/ or sold by the proprietorship concern will be handled and completed through transfer (s) to /from the above mentioned account. I recognize and accept transfers made by you to the beneficiary account as completion of obligations by you in respect of trades executed in the above trading account of the concern. Further, I, the undersigned, am the sole proprietor of the concern and am solely responsible for the liabilities thereof. I shall advise you in writing of any change that takes place in the constitution of the proprietorship concern and I will be personally liable to you for all the obligations that the concern may incur in the course of dealings with you and undertake to personally discharge such liabilities. The cheques1DDs (eleetroniclphysical) may be issued by me from my individualaccount or my joint account with someone else. The said amounts so given shall be solely/exclusively for credit to the account of my sole proprietorship concern MIS with UPSE Securities Limited. I shallnot lay any claim whatsoever in future against UPSE Securities Limited for affording credit of such chequesIDDs issued from any individual1Joint account, credit of which has been provided by UPSE Securities Limited to the account of my proprietorship concern MIS. Thanking you, Yours faithfully, Signature of the Proprietor along with the Stamp of the Proprietorship Concern Name of the Proprietor : MANDATORY Authority Letter by the Partnership Firm ANNEXURE 2 Date: - UPSE Secutities Limited Padam Towers, 14/113, Civil Lines, Kanpur-208 001 Dear Sir1 Madam, Ref.: Client Code We, the undersigned, Partners of MIS. carrying on business of securities and/or other investment product (s) or the services through you. We the partners, Jointly authorize our partner, Mr. 1 Ms. to issue instructions to you as our stock broker for securities, trades, funds, investments etc. and undertake that all the acts of the said partner in this connection purporting to be done on behalf of the firm shall be binding on the firm and each one of us and our respective estates until liabilities, if any, accrued in respect of such acts have been discharged. Thanking you, Full Name of the Partners Individual Signatures Signature on behalf of the firm 1. 2. 3. 4. Signature of Authorised Partner StampISeal of the Partnership Firm . :------. . MANDATORY [ UPSE Securities Ltd (Details on this page are meant for Corporate Client) Board resolution in Case of the Corporate Client ANNEXURE - 3 Date : CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OF DIRECTORS OF MIS. HAVING ITS REGISTERED OFFICEAT HELD ON DAY OF 20 AT RESOLVED THAT (name of the Company) agree with UPSE SECURITIES LIMITED, Member of BSE, NSE & MCX - SX for dealing in the Capital Market (Cash and F&O) and currency Derivatives Market and that UPSE SECURITIES LIMITED, be and is hereby authorized to honour instructions, .Orallwritten or electronic, as the case may be, given on behalf of the company by any one or moreofthe understated authorized signatories : Sr. No. Name Designation I. 2. , 3. Who islare authorized to sell, purchase, transfer, endorse, negotiate, deal in equities, debentures, debt, IPOs, MFs, government Securities and Ior any other investment products or services andlor othetwise deal through UPSE SECURITIES LTD. on behalf of the company. RESOLVFrRTHER THAT Mr./Ms. Director and/or Mr.lMs Authorize s' natory of the company be and are hereby authorized to sign, execute and submit such applications, undertaking, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to open account and give effect to this resolution. RESOLVED FURTHER THAT the common seal of the Company be affixed, wherever necessary, in the presence of any of the directors, who shall sign the same intoken of the presence. --. + _ + _I ._,- - ' iL- $?*?I 4, For (name of the Company) pa< 1 -d. Specimen Signature of the director authorized Specimen Signature of the Authorised Signatory under this Resolution authorized under this Resolution (ATTESTED TO BE TRUE COPY OF THE BOARD RESOLUTION) I MANDATORY Shareholding pattern in case of Corporate pet ,-' Date: UPSE Securities Limited Padam Towers, 14/113, Civil Lines, ib%, Kanpur - 208 001 Dear Sir IMadam, Ref. :Client Code . - We hereby certify that the understated directorlindividual etc. hold 5% or more of the shareholding in our company :
Name of the Person No. of shares % of shareholding RelationshiplDesignation 1. 2. 3. 4. 5. Thanking you, Yours faithfully, Signature of ChairmanlDirector StamplSeai of the Company VOLUNTARY AND OTHER DOCUMENTS
1 UPSE Securities Ltc n i.,+ ?;;! VOLUNTARY: a , - -.... EXURE -. Mls UPSE SECURITIES LIMITED Padam Tower, 141113, Civil Lines, Kanpur - 208001 Dear Sirs, Sub. : SMS and E-mail Alerts to Investors
Wth refemnce to SEBl Circular No. CIRIMIRSDI1512011 dated 02.08.2011, lNVe Wish to avail the following facility (ticked in the box): I.SMS Alerts or
2. Email Alerts or &*7r*3-4 3. EMh (SMSand Email) Alerts
My 1 our Mobile No. is...... ,ii.r.,rK ._...,....=...... :.,.lii.71.( .., ...... r,..i,i.(C~mpuIs~ry for any of aforesaid facility) My Iour Email Id is...... - .,.,.,.,. .,...... "...*.,....,...,.., ,. ,... (Compulsory for facility no. 2' & 3)
Aforesaid Mobile no. and Email Id are also used for I by your following clients (my relations), who also wishes to avail the aforesaid ticked facility, and, as per requirement, my PAN be recorded as Master PAN in the Client Regigation System :
S.No. Relationship Name Client Code PAN Signature 1. Dependent Mother 2. Dependent Father a 3. Spouse 4. Dependent Major Children : (ir (ii) (iii)
Yours faithfully
(Signature of the Client) UPSE SECURITIES LIMITED UPSE Securities Ltd. I (Wholly Owned Subsidiary of U.P. Stock Exchange Llmited) 'PADAM TOWERS', 14/113, Civil Lines, Kanpur-208001 CIN : U67120UP2000PLC025330 Phones : 2338115,2338074 Fax : 91-512-23381 7512338220 E-mail : [email protected] E-mail ID for Investor Complaints : [email protected] Member : BSE Limited SEBl Registration Numbers INB 011116838 & INF 011116838 Member : National Stock Exchange of India Ltd. SEBl Registration Numbers INB 231116832 8 INF 231116832 Member : MCX Stock Exchange Ltd. SEBl Registration Numbers INE 261116838, 1NB 261116835 & INF 261116835 To, Client Name : Client Code : Address :
Sub-Broker
Sub : Client Registration Documents
In terms of SEBl guidelines issued from time to time, following are the mandatory documents required for registration of a client with Stock Broker for trading :
a) KYC Application/Account Opening Form (Booklet-I) PI 5cj A,+,&, u - b) Trading Account Related details (Booklet-I) , . --, ,PI c) Rights and Obligations (Booklet-ll) d) Risk Disclosure document (Booklet-ll) e) Guidance Note (Booklet-11) f) Policies and Procedure (Booklet-I) Additional clauses of document, as mentioned in the KYC Booklets, are voluntary, at the discretion of the member and the client and are meant for satisfaction about the antecedents of the client. ItWe undertake to submit any other document (self attested) to the member e.g. copy of Bank StatementIPass Book, cancelled cheque, DP Master, etc. Client is requested to check his ledger account, holding, outstanding position, contract notes and margin regularly at www.upsecindia.com through on line office icon. Your client code is your login and your default password is your PAN.
Name & Signature with Stamp of Sub-Broker
Your e-mail ID as recorded by us is as under
Received a copy of my KYC Application1Account Opening Form & Booklets. (KYC Form with all attachment)
' For UPSE SECURITIES LIMITED Signature
Name
Chief Executive Officer (Acknowledgement of the Client) Date :
- UPSE SECURITIES LIMITED LUPSESecurities Ltd. (Wholly Owned Subsidiary of U.P. Stock Exchange Limited) 'PADAM TOWERS, 14111 3, Civil Lines, Kanpur-20800 1 CIN : U67120UP2000PLC025330 Phones : 2338115,2338074 Fax : 91-51 2-23381 7512338220 E-mail : [email protected] E-mail ID for Investor Complaints : [email protected] Member : BSE Limited SEBl Registration Numbers INB 011116838 8 INF 011116838 Member : National Stock Exchange of India Ltd. SEBl Registration Numbers IN6 231116832 8 INF 231116832 Member : MCX Stock Exchange Ltd. SEBl Registration Numbers INE 261116838, INB 261116835 & INF 261116835
Client Name : Client Code : Address :
I ppppppp - ~~ I ISub-Broker Sub : Client Registration Documents
In terms of SEBl guidelines issued from time to time, following are the mandatory documents required for registration of a dient with Stock Broker for trading : I a) KYC ApplicationlAmunt Opening Form (Booklet-I) b) Trading Account Related details (Booklet-I) c) Rights and Obligations (Booklet-ll) d) Risk Disclosure document (Booklet-ll) e) Guidance Note (Booklet-ll) 9 Policies and Procedure (Booklet-I) Additional clauses of document, as mentioned in the KYC Booklets, are voluntary, at the discretion of the member and the client and are meant for satisfaction about the antecedents of the client. lMle undertake to submit any other document (self agested) to the member e.g. copy of Bank StatementlPass Book, cancelled cheque, DP Master, etc. Client is requested to check his ledger account, holding, outstanding position, contract notes and margin regularly at www.upsecindia.com through on line office icon. Your client code is your login and your default password is your PAN.
Name & Signature with Stamp of Sub-Broker
Your e-mail ID as recorded by us is as under Received a copy of my KYC Application1Account Opening Form 8 Booklets. (KYC Form with all attachment)
# For UPSE SECURITIES LIMITED Signature
Name Chief Executive Officer (Acknowledgement of the Client) Date : I .RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS as prescribed by SEBI and Stock Exchanges I.The client shall investltrade in those securities1 9. The client shall immediately notify the stock broker in contractslother instruments admitted to dealings on the writing if there is any change in the information in the Exchanges as defined in the Rules, Byelaws and 'account opening form' as provided at the time of Regulations of Exchanges1 Securities and Exchange account opening and thereafter; including the Board of India (SEBI) and circulars/notices issued there information on winding up petitionlinsolvency petition or under from time to time. any litigation which may have material bearing on his capacity. The client shall providelupdate the financial 2. The stock broker, sub-broker and the client shall be information to the stock broker on a periodic basis. bound by all the Rules, Byelaws and Regulations of the Exchange and circulars/notices issued there under and 10.The stock broker and sub-broker shall maintain all ~~l~~and ~~~~l~~~~~~of SEB~ and relevantthe details of the client as mentioned in the account notifications of Government authorities as may be in opening form or any other information pertaining to the force from time to time. client, confidentially and that they shall not disclose the same to any personlauthority except as required under 3. The client shall satisfy itself of the capacity of the any lawlregulatory requirements. Provided however stock broker to deal in securities andlor deal in that the stock broker may so disclose information about derivatives contracts and wishes to execute its orders his client to any person or authority with the express through the stock broker and the client shall from time to permission of the client. time continue to satisfy itself of such capability of the MARGiNS stock broker before executing orders through the stock broker. 11. The client shall pay applicable initial margins, withholding margins, special margins or such other 4.The stock broker shall continuously satisfy itself about margins as are considered necessary by the stock the genuineness and financial soundness of the client broker or the Exchange or as may be directed by SE~~ and investment objectives relevant to the services to be from time to time as applicable to the segment(s) in provided. which the client trades. The stock broker is permitted in 5. The stock broker shall take steps to make the client its sole and absolute discretion to collect additional aware of the precise nature of the Stock broker's liability margins (even though not required by the Exchange, for business to be conducted, including any limitations, Clearing HouseIClearing Corporation or SEBI) and the the liability and the capacity in which'the stock broker client shall be obliged to pay such margins within the stipulated time. acts. 12. The client understands that payment of margins by 6. The sub-broker shall provide necessary assistance the client does not necessarily imply complete and co-operate with the stock broker in all its dealings satisfaction of all dues. In spite of consistently having with the client(s). paid margins, the client may, on the settlement of its CLIENT INFORMATION trade, be obliged to pay (or entitled to receive) such further sums as the contract may dictatelrequire. 7. The client shall furnish all such details in full as are required by the stock broker in "Account Opening Form" TRANSACTlONSANDSEnLEMENTS with supporb'ng details1 made mandatory by stock 13. The client shall give any order for buy or sell of a exchangeslSEBI from time to time. sec~~ritylderivativescontract in writing or in such form or 8. The client shall familiarize himself with all the manner, as may be mutually agreed between the client mandatory provisions in the Account Opening and the stock broker. The stock broker shall ensure to documents. Any additional clauses or documents place orders and execute the trades of the ch-it, only in specified by the stock broker shall be non-mandatory, the Unique Client Code assigned tothat client- as per terms &conditions accepted by the client. 14. The stock broker shall inform the client and keep him apprised about tradinglsettlement cycles, liquidationlclose out, if any, against the client's deliverylpayment schedules, any changes therein from liabilities/obligationS. Any and all losses and financial time to time, and it shall be the responsibility in turn of charges on account of such liquidationlclosing-out shall the client to comply with such scheduleslprocedures of be charged to and borne by the client. the relevant stock exchange where the trade is executed. 20. In the event of death or insolvency of the client or hislits othetwise becoming incapable of receiving and 15. The stock broker shall ensure that the paying for or delivering or transferring securities which moneylsecurities deposited by the client shall be kept in the client has ordered to be bought or sold, stock broker a separate account, distinct from hislits own account or may close out the transaction of the client and claim account of any other client and shall not be used by the losses, if any, against the estate of the client. The client stock broker for himself/itselfor for any other client or for or his nominees, successors, heirs and assignee shall any purpose other than the purposes mentioned in be entitled to any surplus which may result there from. Rules, Regulations,circulars, notices, guidelines of The client shall note that transfer of fundslsecurities in SEBI andlor Rules, Regulations, Bye-laws, circulars favor of a Nominee shall be valid discharge by the stock and notices of Exchange. broker against the legal heir. 16. Where the Exchange(s) cancels trade(s) suo mot0 21.The stock broker shall bring to the notice of the all such trades including the tradels done on behalf of relevant Exchange the information about default in the client shall ips0 facto stand cancelled, stock broker paymentldelivery and related aspects by a client. In shall be entitled to cancel the respective contract(s)with case where defaulting client is a corporate client(s). entitylpartnershiplproprietary firm or any other artificial legal entity, then the 17. The transactions executed On the Exchange are name(s)ofDirector(s)/Promoter(s)/Partner(s) subject to Byelaws and and (Proprietor as the case may be, shall also be circularslnotices issued thereunder of the Exchanges communicated by the stock broker to the relevant where the trade is executed and all parties to such trade Exchange(s). shall have submitted to the jurisdiction of such court as may be specified by the Byelaws and Regulations of the DISPUTE RESOLUTION Exchanges where the trade is executed for the purpose of giving effect to the provisions of the Rules, Byelaws 22. The stock broker shall provide the client with the and Regulations of the Exchanges and the relevant contact details of the concerned Exchanges circularslnotices issued thereunder. and SEBI. BROKERAGE 23. The stock broker shall co-operate in redressing grievances of the client in respect of all transactions 18. The Client shall pay to the stock broker brokerage routed through it and in removing objections for bad and statutory levies as are prevailing from time to time delivery of shares, rectification of bad delivery, etc. and as they apply to the Client's account, transactions and to the services that stock broker renders to the 24. The client and the stock broker shall refer any claims Client. The stock broker shall not charge brokerage andlordis~uteswithres~ectto~e~os~ts,margin money* more than the maximum brokerage permissible as per etc., to arbitration as per the Rules, Byelaws and the rules, regulations and bye-laws of the relevant stock Regulations Of the Exchanges where the trade is exchanges andlor rules and regulations of SEBI. executed and circularslnotices issued thereunder as may be in force from time to time. LIQUIDATIONAND CLOSE OUT OF POSITION 25. The stock broker shall ensure faster settlement of 19. Without prejudice to the stock broker's other rights any arbitration proceedings arising out of the (including the right to refer a matter to arbitration), the transactions entered into between him vis-a-vis the client understands that the stock broker shall be entitled client and he shall be liable to implement the arbitration to liquidatelclose out all or any of the client's positions awards made in such proceedings. for non-payment of margins or other amounts, outstanding debts, etc. and adjust the proceeds of such 26- The client/stock-brOker understands that the instructions issued by an authorized representative for .- dispute resolution, if any, of the client/stock-broker shall Guidelines issued by SEBl and the relevant Exchanges be binding on the clientlstock-broker in accordance with where the trade is executed. the letter authorizing the said representative to deal on behalf of the said clientlstock-broker. 32. The stock broker shall issue a contract note to his constituents for trades executed in such format as may 'TERMINATION OF RELATIONSHIP be prescribed by the Exchange from time to time containing records of all transactions including details of 27. This relationship between the stock broker and the number, trade number, trade time, trade price, client shall be terminated; if the stock broker for any bade quantity, details of the derivatives contract, client reason ceases to be a member of the stock exchange code, brokerage, all charges levied etc. and with all including cessation of membership by reason of the other relevant details as required therein to be filled in stock broKer's default, death, resignation or expulsion Or and issued in such manner and within such time as if the certificate is cancelled by the Board. prescribed by the Exchange. The stock broker shall send contract notes to the investors within one working 28. The stock broker, sub-broker and the client shall be day of the execution of the trades in hard copy andlor in entitled to terminate the relationship between them electronic for musing digital signature^ without giving any reasons to the other party, after giving notice in writing of not less than one month to the other 33. The stock broker shall make pay out of funds or parties. Notwithstanding any such termination, all delivery of securities, as the case may be, to the Client rights, liabilities and obligations of the parties arising out within one working day of receipt of the payout from the of or in respect of transactions entered into prior to the relevant Exchange where the trade is executed unless termination of this relationship shall continue to subsist otherwise specified by the client and subject to such and vest inlbe binding on the respective parties or hislits terms and conditions as may be prescribed by the respective heirs, executors, administrators, legal relevant Exchange from time to time where the trade is representatives or successors, as the case may be. executed. 29. In the event of demiselinsolvency of the sub-broker 34. The stock broker shall send a complete 'Statement or the cancellation of hislits registration with the Board of Accounts' for both funds and securities in respect of orlwithdrawal of recognition of the sub-broker by the each of its clients in such periodicity and format within stock exchange andlor termination of the agreement such time, as may be prescribed by the relevant with the sub broker by the stock broker, for any reason Exchange, from time to time, where the trade is whatsoever, the client shall be informed of such executed. The Statement shall also state that the client termination and the client shall be deemed to be the shall report errors, if any, in the Statement within such direct client of the stock broker and all clauses in the time as may be prescribed by the relevantExchange 'Rights and Obligations' document(s) governing the from time to time where the trade was executed, from stock broker, sub-broker and client shall continue to be the receipt thereof to the Stock broker. in force as it is, unless the client intimates to the stock 35. ~h~ stock broker shall send daily margin statements broker hislits intention to terminate their relationship by to the clients. Daily Margin statement should include, giving a notice in writing of not less than one month. inter-alia, details of collateral deposited, collateral ADDITIONAL RIGHTS AND OBLIGATIONS utilized and collateral status (available balanceldue from client) with break up in terms of cash, Fixed 30. The stock broker shall ensure due protection to the Deposit Receipts (FDRs), Bank Guarantee and client regarding client's rights to dividends, rights or securities. bonus shares, etc. in respect of transactions routed 36. The Client shall ensure that it has the required legal through it and it shall not do anything which is likely to capacity to, and is authorized to, enter into the harm the interest of the client with whom and for whom relationship with stock broker and is capable of they may have had transactions in securities. performing his obligations and undertakings hereunder. 31.The stock broker and client shall reconcile and settle All actions required to be taken to ensure compliance of their accounts from time to time as per the Rules, all the transactions, which the Client may enter into shall Regulations, Bye Laws, Circulars, Notices and be completed by the Client prior to such transaction being entered into. ELECTRONIC CONTRACT NOTES (ECN) publish the ECN on his designated web-site, if any, in a secured &y and enable relevant access to the clients 37. In case, client opts to receive the contract note in and for this purpose, shall allot a uAque user name and electronic form, he shall provide an appropriate 0-fnail id password to the client, with an option to the dient to to the stock broker. The client shall communicate to the save the contract note electronically and/or take a print stock broker any change in the email-id through a outofthesame. physical letter. If the client has opted for internet trading, the request for change of email id may be made through LAWAND JURISDICTION- the secured access by way of client specific user id and password. 43. In addition to the specific rights set out in this document, the stock broker, sub-broker and the client 38. The stock broker shall ensure that all ECNS sent shall be entitled to exercise any other rights which the through the e-mail shall be digitally signed, encrypted, stock broker or the client may have under the Rules, non-tamperable and in compliance with the provisions Bye-laws and Regulations of the Exchanges in which ofthe ITAC~,2000. In case, ECN is sent through e-mail the client chooses to trade and ~ir~~lar~ln~ti~t?~issued as an attachment, the attached file shall also be secured thereunder Rulesand SEBI- with the digital and nOn- 44. The provisions of thb document shall always be tamperable. subject to Government notifications, any rules, 39. The client shall note that non-receipt of bounced regulations, guidelines and cir~ular~/noticesissued by mail notification by the stock broker shall amount to SEBland Regulations and Bye lawsof the delivery of the contract note at the e-mail ID of the client. relevant stock exchanges, where the trade is executed, that may be in force from time to time. 40. The stock broker shall retain ECN and acknowledgement of the e-mail in a soft and non- 45. The stock broker and the client shall abide by any tamperable form in the manner prescribed by the award passed by the Arbitrator(s) under the Arbitration and Conciliation Act, 1996. However, there is also a exchange in compliance with the provisions of the IT provision of appeal within the stock exchanges, if either Act, 2000 and as per the extant ruleslregulationsl party is not satisfied with the arbitration award. circularslguidelines issued by SEBIIStock Exchanges from time to time. The proof of delivery i.e., log report 46. Words and expressions which are used in this generated by the system at the time of sending the document but which are not defined herein shall, unless contract notes shall be maintained by the stock broker the context otherwise requires, have the same meaning for the specified period under the extant regulations of as assigned thereto in the Rules, Byelaws and SEBllstock exchanges. The log report shall provide the Regulations and circulars/notices issued thereunder of details of the contract notes that are not delivered to the the ExchangesISEBI. clientle-mails rejected or bounced back. The stock broker shall take all possible steps to ensure receipt of 47. All ~~dditionalvoluntary clausesldocumentadded by notification of bounced mails by him at all times within the stock broker should not be in ~~ntra~enti~nwith the stipulated time period under the extant regulations r~le~/reg~lati~n~/n~ti~e~/~ir~Ular~of ExchangeslSEBI. of SEBlIstock exchanges. Any changes in such voluntaryclausesl document(s) need to be preceded by a notice of 15 41. The stock broker shall continue to send contract days. Any changes in the rights and obligations which notes in the physical mode to such clients who do not are specified by ExchangeslSEBI shall also be brought opt to receive the contract notes in the electronic form. to the notice of the clients. ' Wherever the ECNs have not been delivered to the client or has been rejected (bouncing of mails) by the e- 48. If the rights and obligations of the parties hereto are mail ID of the client, the stock broker shall send a altered by virtue of change in Rules and regulations of physical contract note to the client within the stipulated SEBl or Bye-laws, Rules and Regulations of the time under the extant regulations of s~~llstockrelevant stock Exchanges where the trade is executed, exchanges and maintain the proof of delivery of such such changes shall be dc?emed to have been physicalcontract notes. incorporated herein in modification of the rights and obligations of the parties mentioned in this document. 42. In addition to the e-mail communication of the ECNs to the client, the stock broker shall simultaneously INTERNET CL WIRELESS TECHNOLOGY BASED representative are not revealed to any third party TRADING FACILITY PROVIDED BY STOCK including employees and dealers of the stock broker. BROKERS TO CLIENT (All the clauses mentioned in the 'Rights and Obligations' document(s) shall be 6. The Client shall immediately notify the Stock broker applicable. Additionally, the clauses mentioned in writing if he forgets his password, discovers security herein shall also be applicable.) flaw in Stock Broker's IBT System, discoversl suspects discrepancies1 unauthorized access 1. Stock broker is eligible for providing lnternet through his username tpasswordtaccount with full based trading (IBT) and securities trading through the details of such unauthorized use, the date, the manner use of wireless technology that shall indude the use of and the transactions effected pursuant to such devices such as mobile phone, laptop with data card, etc. which use lnternet Protocol (IP). The stock broker unauthorized use, etc. shall mmply with all requirements applicable to internet 7. The Client isfully aware of and understands the based tradingtsecurities trading using wireless isks associated with availing of a sewice for routing as may be specified by SEBl the orders over the interneVsecurities trading through Exchangesfromtime to time. wireless technology and Client shall be fully liable and 2. The client is desirous of investingltrading in securities for any and all acts in the and for this purpose, the client is desirous of using either Client'sUsernamel~assword in any manner the internet based trading facility or the facility for whakioever. securities trading through use of wireless technology. The stock broker shall send the The Stock broker shallprovide the Stock broker's IBT confirmation through email to the client at his request. Service to the Client, and the Client shall avail of the The client is aware that the trade connrmation is Stock broker's IBT On and subject to also provided on the web portal. In case client is trading SEB1lExchanges Provisions and the terms and using wireless technology, the stock broker shall send conditions specified on the Stock broker's IBT Web Site the confirmation on the device of the client. provided that they are in line with the norms prescribed by Exchanges/SEBI. 9. The client is aware that trading over the internet 3. The stock broker shall bring to the notice of client involves many uncertain factors and complex hardware, the features, risks, responsibilities, obligations and software, systems, communication lines, peripherals, liabilities associated with securities trading through etc. are susceptible to interruptions and dislocations. wireless technologylinterneVsmart order routing or any The Stock broker and the Exchange do not make any other technology should be brought to the notice of the representation or warranty that the Stock broker's IBT client by the stock broker. Service will be available to the Client at dl times without any interruption. 4. The stock broker shall make the client aware that the Stock Broker's IBT system itself generates the 10 . The Client shall not have any claim against the initial password and its password policy as stipulated in Exchange or the Stock broker on account of any line with norms prescribed by ExchangesISEBI. suspension, interruption, non-availability or malfunctioning of the Stock broker's IBT System or 5. The Client shall be responsible for keeping the Service or the Exchange's service or systems or non- Username and Password confidential and secure and execution of his orders due to any linklsystem shall be solely responsible for all orders entered and failure at the ClienVStock brokerstExchange end for transactions done by any person whosoever through any reason beyond the control of the stock the Stock broker's IBT System using the Client's brokertExchanges. Username andlor Password whether or not such person was authorized to do so. Also the client is aware that authentication technologies and strict security measures are required for the internet tradinglsecurities trading through wireless technology through order routed system and undertakes to ensure that the password of the client andlor his authorized i RISK DISCLOSURE DOCUMENT FOR CAPITAL obligations, do's and don'ts, etc., and are subject to the MARKET AND DERIVATIVES SEGMENTS Rules, Byelaws and Regulations of relevant Stock exchanges, its Clearing Corporation, guidelines This document contains important information on prescribed by SEBl and in force from time to time and trading in EquitiesIDerivatives Segments of the stock Circulars as may be issued by Stock exchanges or its exchanges. All prospective constituents should read Clearing Corporation and in force from time to time. this document before trading in EquitiesIDerivatives 1 Segments of the ~xchan~es. stock exchanges does not provide or purport to provide any advice and shall not be liable to any person who Stock exchangesISEBI does neither singly or jointly and enters into any business relationship with any stock expressly nor impliedly guarantee nor make any broker of Stock exchanges andlor any third party based 1 representation concerning the completeness. the on any information contained in this document. Any adequacy or accuracy of this disclosure document nor information contained in this document must not be have Stock exchanges ISEBI endorsed or passed any construed as business advice. No consideration to merits of participating in the trading segments. This brief trade should be made without thoroughly understanding statement does not disclose all the risks and other and reviewing the risks involved in such trading. If you significant aspects of trading. are unsure, you must seek professional advice on the In the light of the risks involved, you should undertake same. transactions only if you understand the nature of the relationship into which you are. entering and the extent In considering whether to trade or authorize someone to of your exposare to risk. trade for you, you should be aware of or must get acquainted with the following:- You must know and appreciate that trading in Equity shares, derivatives contracts or other instruments I. BASIC RISKS: traded on the Stock Exchange, which have varying 1.1 Risk of HigherVolatility: element of risk, is generally not an appropriate avenue for someone of limited resources/limited Volatility refers to the dynamic changes in price that a investment and/or trading experience and low risk security/derivatives contract undergoes when trading tolerance. You should therefore carefully consider activity continues on the Stock Exchanges. Generally, whether such trading is suitable for you in the light of higher the volatility of a securitylderivatives contract, your financial condition. In case you trade on stock greater is its price swings. There may be normally exchanges and suffer adverse consequences or loss, greater volatility in thinly traded securities / derivatives you shall be solely responsible for the same and stock contracts than in active securities /derivatives Ujntracts. exchangeslits Clearing Corporation and/or SEBl shall AS a result of volatility, Your order may only be partially not be responsible, in any manner whatsoever, for the executed or not executed at all, or the price at which same and it will not be open for you to take a plea that no YoLIr order got executed may be substantially different adequate disclosl~reregarding the risks involved was from the last traded price or change substantially made or that you were not explained the full risk thereafter, resulting in notional or real losses. involved by the concerned stock broker. The constituent Risk of Lower,Liguidity: shall be solely responsible for the consequences and no ,* contract can be rescinded on that account. You must Liquidity refers to the ability of market participants to buy acknowledge and accept that there can be no and/or sell securities 1 derivatives contracts guarantee of profits or no exception from losses while expeditiously at a competitive price and with minimal executing orders for purchase and/or sale of a price difference. Generally, it is assumed that more the derivative contract being traded on Stock exchanges. numbers of orders available in a market, greater is the liquidity. Liquidity is important because with greater It must be you that your dealings liquidity, it is easier for investors to buy and/or sell on Stock exchanges through a stock shall be sec,jrities / derivatives contracts swiftly and with subject to your fulfilling certain formalities set out by the minimal price and as a result, investors are stock broker, which may inter alia include your filling the more likely to pay or receive a competitive price for know your 'Iient form, reading the rights and securities / derivatives contracts purchased or sold. There may be a risk of lower liquidity in some securities I above the current price. When the security Iderivatives derivatives contracts as compared to active securities I contract reaches the pre -determined price, or trades derivatives contracts. As a result, your order may only through such price, the stop loss order converts to a be partially executed, or may be executed with relatively marketllimit order and is executed at the limit or better. greater price difference or may not be executed at all. There is no assurance therefore that the limit order will be executable since a security Iderivatives contract 1.2.1 Buying or selling securities / derivatives contracts might penetrate the pre-determined price, in which as Part of a day trading strategy may also result into case, the risk of such order not getting executed arises, losses, because in such a situation, securities / just as with a regular limit order. derivatives contracts may have to be sold Ipurchased at low I high prices, compared to the expected price levels, 1.5 Risk of News Announcements: so as not to have any open position or obligation to News announcements that hay impact the price of deliver or receive a security1derivatives contract. stock I derivatives contract may'occur during trading, and when combined with lower liquidity and higher 1.3 Risk of Wlder Spreads: volatility, may suddenly cause an unexpected positive Spread refers to the difference in best buy price and or negative t-novement in the price of the security 1 best sell price. It represents the differential between the contract. price of buying a security 1 derivatives contract and .G Risk of Rumors: immediately selling it or vice versa. Lower liquidity and higher volatility may result in wider than normal spreads Rumors about companies I currencies at times float in for less liquid or illiquid securitieslderivatives contracts. the market through word of mouth, newspapers, This in turn will hamper better price formation. websites or news agencies, etc. The investors should be wary of and should desist from acting on rumors. 1.4 Rlsk-reducing orders: 1.7 System Risk: The placing of orders (e.g., "stop loss" orders, or "limit" orders) which are intended to limit losses to certain High volume trading will frequently occur at the market amounts may not be effective many a time because opening and before market close. Such high volumes rapid movement in market conditions may make it may also Occl~ratany point in the day. These may cause impossible to execute such orders. delays in order execution or confirmation. 1.4.1 Anmarket"order will be executed promptly, subject 1.7.1 During periods of volatility, On account of market to availability of orders on opposite side, without regard participants continuously modifying their order quantity to price and that, while the customer may receive a 0' pdces or placing fresh orders, there may be delays in prompt execution of a "market" order, the execution may order execution and its confirmations. be at available prices of outstanding orders, which 1.7.2 Under certain market conditions, it may be difficult satisfy theorderquantity, on price time priority. It may be or impossible to liquidate a position in the market at a understood that these prices may be significantly reasonable price or at all, when there are nooutstanding different from the last traded price or the best price in orders either on the buy side or the sell side, or if trading that security I derivatives contract. is halted in a security / derivatives contract due to any action on account of unusual trading activity or security1 1.4.2 A "limit" order will be executed only at the "limit" derivatives contract hitting circuit filters or for any other price specified for the order or a better price. However, reason. while the customer receives price protection, there is a possibility that the order may not be executed at all. 1.8 SystemINetwork Congestion: 1.4.3 A stop loss order is generally placed "away" from Trading on exchanges is in electronic mode, based on the current price of a stock Iderivatives contract, and satellitelleased line based communications, such order gets activated if and when the security I combination of technologies and computer systems to derivatives contract reaches, or trades through, the stop place and route orders. Thus, there exists a possibilityof price. Sell stop orders are entered ordinarily below the communication failure or system problems or slow or current pfice, and buy stop orders are entered ordinarily delayed response from system or trading halt, or any h
such other problemlglitch whereby not being able to suspension of trading due to price limit or circuit establish access to the trading systemlnetwork, which breakers etc. may be beyond control and may result in delay in processing or not processing buy or sell orders either in D. In order to maintain market stability, the following part or in full. You are cautioned to note that although steps may be adopted: changes in the margin these problems may be temporary in but when increases in the cash margin rate or others. These new you have outstanding open postions or un executed measures may also be applied to the existing open orders, these represent a risk because of your interests. In SUC~conditions, YOU will be required to put obligations to settle all executed transactions. up additional margins or reduce your positions. 2. far as Derivatives segments are concerned, E. YOUmust ask your broker to provide the full details of please note and get yourself acquainted with the derivatives contracts YOU plan totrade i.e. the contract following additional features:- specifications and the associated obligations. 2.1 Effect of "Leverage" or "Gearing": 2.2 Currency specific risks:
In the derivatives market, the amount of margin is small 1. The profit Or ~OSSin transactions in foreign Currency- relative to the value of the derivatives contract so the denominated contracts, whether they are traded in Your transactions are 'leveraged8 or 'geared'. Derivatives Own or another jurisdidion, will be affected by trading, which is conducted with a relatively small fluctuations in currency rates where there is a ne.ed to amount of margin, provides the possibility of great profit convert fr0m the currency demomination ofthe contract or loss in comparison with the margin amount. But toanothercurrency. transactions in derivatives carry a high degree of risk. 2. Under certain market conditions, you may find it You should therefore completely understand the difficult or impossible to liquidate a position. 'This can following statements before actually trading in occur, for example when a currency is deregulated or derivatives and also trade with caution while taking into fixed trading bands are widened. account one's circumstances, financial resources, etc. If the prices move against you, you may lose a part of or 3. Currency prices are highly volatile. Price movements whole margin amount in a relatively short period ot time. for currencies are influenced by, among other things: Moreover, the loss may exceed the original margin changing supply-demand relationships; trade, fiscal, amount. monetary, exchange control programs and policies of governments; foreign political and economic events and A. Futures trading involve daily settlement of all policies; changes in national and internationai interest positions. Every day the open positions are marked to rates and inflation; currency devaluation; and sentiment market based on the closing level of the index I of the market place. None of these factors can be derivatives contract. If the contract has moved against controlled by any individual advisor and no assurance you, you will be required to deposit the amount of loss can be given that an advisor's advice will result in (notional) resulting from such movement. This at-nount profitable trades for a participating customer or that a will have to be paid within a stipulated time frame, customerwill not incur losses from such events. generally before commencement of trading on next day. 2.3 Risk of Option holders: B. If you fall to deposit the additional amount by the deadline or if an outstanding debt occurs in your 1. An option holder runs the risk of losing the entire account, the stock broker may liqliidate a part of or the amount paid for the option in a relatively short period of whole position or substitute securities. In this case, you the- This risk reflects the nature of an option as a will be liable for any losses incurred due to such close- wasting asset which becomes worthless when it outs. expires. An option holder who neither sells his option in the secondary market nor exercises it prior to its C. Under certain market conditions, an investor may find expiration will necessarily lose his entire investment in it difficult Or impossible to execute transactions. For the option. [fthe price of the underlying does not change example, this situation Can Occur due to factors such as in the anticipated direction before the option expires, to illiquidity i.e. when there are insufficient bids or offers Or an extent to cover the cost of the option, the investor may lose all or a significant part of his risk factor. While this is not to suggest that combination investment in the option. strategies should not be considered, it is advisable, as is the case with all investments in options, to consult with 2. The Exchanges may impose exercise restrictions and someone who is experienced and knowledgeable with have absolute authority to restrict the exercise of respect to the risks and potential rewards of options at certain times in specified circumstances. combination transactions under various market 2.4 Risks of Optlon Wrlters: circumstances. 1. If the price movement of the underlying is not in the 3- TRADING THROUGH WIRELESS TECHNOLOGY/ ar 'icipated direction, the option writer runs the risks of SMART ORDER ROUTING OR ANY OTHER losing substantial amount. TECHNOLOGY: 2. The risk of being an option writer may be reduced by Any additional provisions defining the features, risks, the purchase of other options on the same underlying responsibilities, obligations and liabilities associated interest and thereby assuming a spread position or by with securities trading through wireless technology1 acquiring othertypes of hedging positions in the options Smrt order routing or any other technology should be markets or other markets. However, even where the brought to the notice of the client by the stock broker. writer has assumed a spread or other hedging position, 4. GENERAL the risks may still be significant. Aspread position is not necessarily less ri&y than a simple 'long' or 'short' 4.1 The term 'constituent' shall mean and include a position. client, a customer or an investor, who deals with a stock broker for the purpose of acquiring andlor selling of 3. Transactions that involve buying and writing multiple securities I derivatives contracts through the options in combination, or buying or writing options in mechanism provided bythe Exchanges. combination with buying or selling short the underlying interests, present additional risks to investors. 4.2 The term 'stock broker' shall mean and include a Combination transactions, such as option spreads, are stock broker, a broker or a stock broker, who has been more complex than buying or writing a single option. admitted as such by the Exchanges and who holds a And it should be further noted that, as in any area of registration certificate from SEBI. investing, a complexity not well understood is, in itself, a GUIDANCE NOTE - DOrs AND DON'TS FOR TRADING ON THE EXCHANGE(S) FOR INVESTORS
BEFORE YOU BEGIN TO TRADE
1. Ensure that you deal with and through only SEBl registered intermediaries. You may check their SEBl registration certificate number from the list available on the Stock exchanges www.exchange.com and SEBI website www.sebi.gov.in. 2. Ensure that you fill the KYC form completely and strikeoff the blank fields in the KYC form. 3. Ensure that you have read all the mandatory documents viz. Rights and Obligations, Risk Disclosure Document, Policy and Procedure document of the stock broker. 4. Ensure to read, understand and then sign the voluntary clauses, if any, agreed between you and the stock broker. Note that the clauses as agreed between you and the stock broker cannot be changed without your consent. 5. Get a clear idea about all brokerage, commissions, fees and other charges levied by the broker on you for trading and the relevant provisionslguidelinesspecified by SEBIIStock exchanges. 6. Obtain a copy of all the documents executed by you from the stock broker free of charge. 7. In case you wish to execute Power ofAttorney (POA) in favour of the Stock broker, authorizing it to operate your bank and demat account, please refer to the guidelines issued by SEBIlExchanges in this regard.
TRANSACTIONS AND SETTLEMENTS
8. The stock broker may issue electronic contract notes (ECN) if specifically authorized by you in writing. You should provide your email id to the stock broker for the same. Don't opt for ECN if you are not familiar with computers. 9. Don't share your internet trading account's password with anyone. 10. Don't make any payment in cash to the stock broker. 11. Make the payments by account payee cheque in favour of the stock broker. Don't issue cheques in the name of sub-broker. Ensure that you have a documentary proof of your paymentldeposit of securities with the stock broker, stating date, scrip, quantity, towards which bank/ demat account such money or securities deposited and from which bank/demat account. 12. Note that facility of Trade Verification is available on stock exchanges' websites, where details of trade as mentioned in the contract note may be verified. Where trade details on the website do not tally with the details mentioned in the contract note, immediately get in touch with the Investors Grievance Cell of the relevant Stock exchange. 13. In case you have given specific authorization for maintaining running account, payout of funds or delivery of securities (as the case may be), may not be made to you within one working day from the receipt of payout from the Exchange. Thus, the stock broker shall maintain running account for you subject to the following conditions: a) Such authorization from you shall be dated, signed by you only and contains the clause that you may revoke the same at any time. b) The actual settlement of funds and securities shall be done by the stock broker, at least once in a calendar quarter or month, depending on your preference. While settling the account, the stock broker shall send to you a 'statement of accounts' containing an extract from the client ledger for funds and an extract from the register of securities displaying all the receiptsldeliveries of funds and securities. The statement shall also explain the retention of funds and securities and the details of the pledged shares, if any. c) On the date of settlement, the stock broker may retain the requisite securities/funds towards outstanding obligations and may also retain the funds expected to be required to meet derivatives margin obligations for next 5 trading days, calculated in the manner specified by the exchanges. In respect of cash market transactions, the stock broker may retain entire pay-in obligation of funds and securities due from clients as on date of settlement and for next day's business, he may retain funds/securities/margin to the extent of value of transactions executed on the day of such settlement in the cash market. d) You need to bring any dispute arising from the statement of account or settlement so made to the notice of the stock broker in writing preferably within 7 (seven) working days from the date of receipt of f~~ndslsecuritiesor statement, as the case may be. In case of dispute, refer the matter in writing to the lnvestors Grievance Cell of the relevant Stock exchanges without delay. 14. In case you have not opted for maintaining running account and pay-out of funds/securities is not received on the next working day of the receipt of payout from the exchanges, please refer the matter to the stock broker. In case there is dispute, ensure that you lodge a complaint in writing immediately with the Investors Grievance Cell of the relevant Stock exchange. 15. Please register your mobile number and email id with the stock broker, to receive trade confirmation alerts/ details of the transactions through SMS or email, by the end of the trading day, from the stockexchanges. v IN CASE OF TERMINATION OF TRADING MEMBERSHIP 16. In case, a stock broker surrenders his membership, is expelled from membership or declared a defadlter; Stock exchanges gives a public notice inviting claims relating to only the "transactions executed on the trading system" of Stock exchange, from the investors. Ensure that you lodge a claim with the relevant Stock exchanges within the stipulated period and with the supporting documents. 17. Familiarize yourself with the protection accorded to the money and/or securities you may deposit with your stock broker, particularly in the event of a default or the stock broker's insolvency or bankruptcy and the extent to which you may recover such money and/or securities may be governed by the Bye-laws and Regulations of the relevant Stock exchange where the trade was executed and the scheme of the Investors' Protection Fund in force from time to time. DISPUTES1COMPLAINTS 18. Please note that the details of the arbitration proceedings, penal action against the brokers and investor complaints against the stock brokers are displayed on the website of the relevant Stock exchange. 19. In case your issuelproblem/grievance is not being sorted out by concerned stock brokerlsub-broker then you may take up the matter with the concerned Stock exchange. If you are not satisfied with the resolution of your complaint then you can escalate the matter to SEBI. 20. Note that all the stock brokerlsub-brokers have been mandated by SEBI to designate an e-mail ID of the grievance redressal division/complianceofficer exclusively for the purpose of registering complaints. I- Application No. :
I 1. Name of Appllont (happearing in supporting identifitatibn document). Name PHOTOGRAPH FathehlSpouse Name
Passport ORation :Late9 *lephonr B
e0 .- 1. Gross Annual Income Details (Please tick (4):OBelow 1 Lac. 05-1OLac 010-25Lac 0>25Lacs P 2 .? E.? .-- Net-worth In r. --0
17 Housewife q Student - :O-FokjtD;laler, 0
- 0 (Originals Lkrified) Self Certified Docl~mentcopies received .. C C) (ARested) hecopies of dccumentr received Maln Intermediary - A. IMPORTANT POINTP Agreement of Resldence/Driving LicenselFlat Maintenance 1. Self attestedcopy bf PAN card Is mandatory for all clients billhnsuranceCopy. 2. Copies of all the documents submitted by the applicant should be 2. Utilky bllls Ilkelelephone Bill (only land line), Electricity bill or Gas bill . self-attested and accompanied by originals for verification. In case Not more than 3 months old. the of any dom'mt for verificationv then 3, BankAcmunt StafementlPassbook- Not more than 3 months old. the copks shouldlbeproperfy anested by entkks dutharlzed for attesting the ddentr,as per the below mentioned Ilst. 4. Setfdedaratlon by High Court and Supreme Court judges, giving the new address in respeclof their own accounts. 3. If any proof of ldentlty or address Is In a forelgn language, then translation Into English Is required. 5. Proof of address Issued by any of the following: Bank Managers of Scheduld Commercial BanklScheduled Co-operafive 4. Name & addressof the applicant mentionedon the KYC form, should BanWMUltlhatlonal Foreign BankrlGazened OHicerlNotary match with thedoclrmentaryprwfsubmined. publlUElected representatives to the Leglslatlve
StdWbrylReguidtocy Authorltles Public Sector Undertakings, -
ICWAI, ICSI, Bar Council etc.,to thelr Members. B Fur foreign entities, CIN b optional; and In the absehce of DIN no. for 7. For RMub account, Power of Attorney given by illlsub-account to the directors, their p;luphcopy should be given. i - the Custodians (which are duly notarlzed andlor apostiled or 9. In case of Merchant Navy NRI's, Mariner's dedaratlon or certlfled i consularlsed) that gives the reglsteredaddress should be taken. copy cDC~COndnuOusDMurgeCert[~e)istobesubmed I 8. me ofaddms In thenameof thespouse may be accepted. 10. ~orbpeningan accouht with Depository participant or ~dtualFund, II for a minor, photocopy of the School Leaving CertiflcateIMarksheet D. Exemptlontldariflcations to PAN issued by Higher kondary BoardPasswl of Mm/Bih 1; ('Sufflclent documentary evldence it1 support of such claims Certificate must be prwided. to be collected.)
Offidal liquldator, Court receiver etc
executives of state owned corporations Important polltlcal patty
official$etc I
I Corporations, Insurance Companies reglsteredvrlth IRDAand Public 2. Unlque Identifiation i umber (UID) (Aadhaar) 1 Passpqn IVoter ID , Flnandgl lnstitutlon as deflned under sectlon 4A of the Companies cardl Driving license. . I Act, 1956, Custodians shall verify the PAN card details with the 3. Identity car& document wlth applicant's Photo, issued by any of the 1 orlglnal PAN card and provlde duly celfled copies of such verified following: CentraVState-Government and its Departments, PAN detalls to the Intermediary. < ! statutorymm'atOry AuthO"tiu.Public Undef*l~& Ust of a~orizedto the donumenu: Scheduled Commerdai Banks, Public Finandal InstiWtiofi Colleges '4 I. Mary ~ubllqGazetted Offker, Manager of a Sch~dduled . affiliated to Universities, Professional Bodes such as ICAI, ICWAI, 1 CommerdaVCoroperatlve Bank or Multlnatlonal Forelgn Banks ICSI, Bar Council etc, to thelr Members; and CredR cardslDebH cards ! / (Name, Deslgnht!on & Seal should be affixed on the copy). 2. In case of NRk, authorled officials of overseas branches of C. Proof of Address (POA): Ud of documents admissible as Proof / 1 Scheduled ~ommerdalBanks registered in India, Notary Public, (9D enD hnhyl an date shou'd be / I coun Magistrate, Judge, lndlan Emba~~lConsulateGeneral in the valid on the date o submission.) "fF country where the client resides are permitted to attest the 1 PsssporWoters Identity Carmation CardlReglstered Lease or Sale documents. Depository Services Account Opening - Individuals UPSE SECURITIES LIMITED [WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE LIMITED) "PADAM TOWERS", 141113, CIVIL LINES, KANPUR - 208 001 DPID : 13061300 SEBl Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 a Fax No. : (0512) 2338175,2338220 Branch Code Branch Name
Internal Ref. No. Demat Account No. (To be filled by DP)
Received Through Date IDID]MI MI YI YIYIYI
Instructions to the Applicant
General Bank Details : 1. Alldetailsare to be filled in CAPITAL LETTERS. 1. Of the 1st applicant should be provided. 2. KYCforrn to be filled and signed by all the applicants, individually. 3. Thumb impressions and signatures other than English, Hindi or 2. Copy of cancelled cheque leaf is to be provided. any ofthe other languages not contained in the 8th Schedule ofthe 3. Complete Bank address to be provided. Constitution of India must be attested by a Magistrate or Notary Public or a Special Executive Magistrate or by a banker with the Nomination : name, address and telephone numbers ofthe attesting authority. 1. It is optional, but advisable. 4. Minor account cannot be opened in joint names. 2. Nomination can be made only by an individual holding a 5. lncase of Minor account, copy of birth certificate of the minor to be Beneficiary owner Account on their behalf singly or jointly. Non- submitted. individuals including society, trust, body corporate, partnership 6. lncase of HUF, the account can be opened only in the name of Karta and declaration from all the coparceners as per our format is firm, Karta of HUF, holder of Power of Attorney cannot be nominated. required. 7. Do not suffix "HUF, "8CO in the name column. 3. AMinor can be nominated. In that event, the name and address of 8. Name on theapplication to be same as of PAN copy submitted. the Guardian of the Minor Nominee shall be provided by the 9. Signature on theapplication to be same as of PAN copy submitted. Beneficial Owner. 10. ~ddresson the form to be same as of address roof submitted. 4. Nomination in respect of the beneficiary owner account stands PINCODE should be available on the form as well as on the proof. rescinded upon closure of the beneficiary owner account. 11. Corrections if any, and blank column filled-in the stamped Similarly the nomination in respect of the securities shall stand documents like DPAgreement, POAetcare duly authenticated by terminated upon transfer of the securities. all the applicants. 12. Account cannot be opened by a Power ofAttorney holder. 5. Transfer of securities in favour of a Nominee shall be a valid 13. lncase of NRls se~erateaccounts to be opened for NRE and NRO. discharge by thedepository against the legal heir. 14. Before signing the form, ensure that the.information provided are 6. The cancellation of nomination can be made by individuals only in order. holding beneficiary owner accounts on their own behalf, singly or 15. All communications shall be sent to the Sole I1st applicant's jointly by the same persons who made the original nomination. address only. Non Individuals including society, trust, body corporate, partnershipfirm, Karta of HUF, holder of Power ofAttorney cannot KYClSupporting Documents : cancel the nomination. If the beneficiary 'account is held jointly, all 1. Self attested copy of PAN of all applicants to be submitted. lncase the joint holders will sign the cancellation form. of HUF PAN copy of both Karta and HUF needs to be submitted. 7. On cancellation of the nomination, the nomination shall stand 2. Self attested copy of valid ID Proof of all applicants to be rescinded and the depository shall not be under any obligation to submitted, if PAN copy submitted is not clear. transfer the securities in favour of the Nominee. 3. Self attested copy of valid Address Proof of all applicants to be submitted in case of Local IPermanent Address is different from DPAgreement CorrespondenceAddress a separate proof should be provided. 4. Please produce the originals of the supporting documents to the 1. To be signed by all the applicants and duly witnessed with bank official for verification. signature, name and full address of the witness.
Photographs : Power ofAttorney : 1. Is required for all the applicants. 1. POA holder also subject to KYC compliance. hence ID and 2. lncase of HUF, photograph of Karta is required. Address proof of POA holder also needs to be submitted. 3. To be affixed and signed across by the respective individuals i.e. part of signature to be on the form. It is advisable to sign in a 2. Notarised copy of POA with the signature of Donor and Donee permanent marker pen. should be submitted.
Please refer for details of documents to be submitted for ID and Address Proof on page 2. Proof of ldentity and proof of correspondence is compulsory for all holders in the Demat Account Introduction Documents furnished (4for proof of ldentity and Correspondence Address. Proof of Identity (Anyone) Proof of Correspondence Address (Anyone) Pan Card (Mandatory) Ration Card Passport Voter ID Card Voter ID Card Driving License Driving License Bankpassbook - Photo Credit Cards IPhoto Debit Cards issued by Banks. Verified documents of Identity CardlDowment with Applicant's Photo issued by Electricity Bill (not more than 2 months old from the bill date) a) CentralIState Government and its Departments Land Line telephone bill (not more than 1 month old from the date) b) Statutory/RegulatoryAuthorities Leave and License Agreement IAgreement for Sale C) Public Sector Undertakings Identity cardldocument with applicant's photo 8 address issued by d) Scheduled Commercial Banks a) CentraVState Govemment and its Departments e) Public Financial Institutions b) StaMorylRegulatory Authorities f) Colleges affiliated to Universities (this can be treated as valid only c) Public Sector Undertakings till the time the applicant(s) islare studentlstudents) d) Scheduled Commercial Banks g) Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc. to e) Public Financial Institutions their Members 9 Colleges affiliated to Universities (this can be treated as valid only till the time the applicant is a student) g) Professional Bodies such as ICAI, ICWAI, ICSI. Bar Council etc. to their Members. Selfdeclaration by High Court 8 Supreme Court Judges, giving the new address in respect of their own accounts. UPSE SECURITIES LIMITED ((1 ((1 "PADAM TOWERS, 141113, CIVIL LINES, KANPUR - 208 001 DPID : 13061300 SEBl Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 Fax No. : (0512) 2338175,2338220 Application Form for Opening a Demat Account u Individual 0 NRI Foreign National (To be filled by the Depository Participant) Application No. DateIDIDIMI MI YI VI YIY DP Internal Reference No. DPID 11 13 10 16 11 (310 101 ~lientl~) 1 I (To be filled by the applicant in BLOCK LElTERS in English) lMle request you to open a Demat Account in mylour name as per the following details :- SolelFirst Holder's Details
First Name Middle Name Last Name FatherlHusband Name Ttle P Mr. P Mrs. P Miss. P Other Suffix
Correspondence Address
City/TownNillage State PIN Code Country I Fax No. Telephone No. [(R)l(O)] Mobile No. PAN I I I I UID E-mail ID
Permanent Address (If different from Correspondence Address)
State City/TownNillage PIN Code Country Fax No. I Telephone No. [(R)l(O)] Mobile No. E-mail ID Joint Holder's - Second Holder's Details Fkst Name Middle Name Last Name FatherlHusband Name Title P Mr. P Mrs. Q Miss. P Other Suffix I Correspondence I Address
Joint Holder's - Third Holder's Details First Name Middle Name Last Name FatherlHusband Name Title I P Mr. Q Mrs. P Miss. P Other I Suffix I
Correspondence Address
CityrrownNillage State PIN Code Country I 1 I Fax No. Telephone No. [(R)I(O)] Mobile No. PAN I I I I I I UID E-mail ID I Type of Account (Please tick whichever is applicable) Status I sub - ~tat~r O- Individual I a Individual Resident Q lndivlduaCDlrector 1 a Individual Director's Relative Q lndlvidual HUF / AOP I a Individual Promoter a Other Specify a lndividual Margin Trading AIC (MANTRA) a NRI a NRI Repatriable 0 NRI Non - Repatriable a NRI Repatriable Promoter a NRI Non - Repatriable Promoter a NRI - Depository Receipts 0 Other Specify 0 Foreign National a Foreign National a Foreign National-Depository Receipts a Other (Specify) I IWe 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 0 NO II We would llke to instruct the DP to accept all the pledge lnstructlons in my Iour account wlthout any other further Instruction from my Iour end 0 yes O No (If not marked, tho default option would be 'No' Account Statement Requirement Q As per SEBl Regulation Q Daily a Weekly a Fortnightly 0 Monthly lNVe request you to send Electronic Transaction-cum-Holding 0 yes O No Statement of SolelFirst Holders E-mail ID II We would like to share the emall ID with the RTA yes 0 No
I IWe would like to receive the Annual Report IJ Physical I IJ Electronic I 0 Both Physical and Electronic (Tick the applicable box. If not marked the default option would be In Physical) Do you wish to receive dividend Iinterest directly in to your bank account given below through ECS? (If not marked, the default option would be 'Yes') Yes O No [ECS is mandatory for locations notified by SEBl from time to time]
Do you wish to debit DP Bills directly from your bank account given below Yes No through ECS? O Bank Details [Dividend Bank Details) Bank Code (9 digit MlCR Code) IFS Code (11 Characters) I I I I I I I Account number Account type Q Saving Q Current Q Cash Credit Q Other (Specify) ) Bank Name Branch Bank Address
I City I State I I Country 1 I PIN Code I I (i) Copy 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 and not more-than4 months old,'(o;) (iii) Photocopy of the Passbook having name and address of the BO, (or) (iv) Letter from the Bank. ) In case of option (ii), (iii) and (iv) above, MlCR code of the branch should be present Imentioned on the document and it should be self-certified by the BO. ItWe have read the terms 8 conditions DP-BO agreement and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. lNVe declare that the particulars given by melus above are true and to the best of mylour knowledge as on the date of making this application. lNVe agree and undertake to intimate the DP any change@)in the detailslparticulars mentioned by melus in this form. lwe further agree that any falselmisleading information given by melus or suppression of any material information will render my account liable for termination and suitable action. First ISole Holder Second Joint Holder Third Joint Holder Name
Signatures 0 0 0
b
(Please affix here (Please affix here (Please affix here coloured photograph coloured photograph coloured photograph Passport size and sign across it and sign across it and sign across it Photograph preferably with preferably with preferably with marker pen) marker pen) marker pen)
I I I I I (Signature should be preferably in black ink) (In case of minor holder, photograph of guardian has to be aftixed along with minor's photograph). I
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, Unreaistered Trust, etc., should be mentioned above. Additional Details SMS Alert Facility D Yes MOBILE NUMBER : +91 ...... (Refer to tea conditions CZ No alven as Annexure A.) [Mandatory, if you are giving Power of Attorney (POA)] (If POA is not granted and you do ndwish to avail of this facility, cancel this option) " I I wish to avail the TRUST facility using the Mobile number regestered for SMS Alert Facility. Transactions Using I have read and understood the Terms and Conditions prescribed by CDSL for the same. I Secured Texting ~icility 1-1 I (TRUST).
1 Refer to~~ Terms~ and I I IWe wish to reaister the followina clearina member IDS under mv Iour below mentioned 80ID 1 Conditions Annexure-B 'eaEred for TRUST Stock Exchange NamellD I Clearing Member Name I Clearing Member ID (Optional) I I
I I I I To register for easi, please our website www.cdslindia.com. CZ No Easi Easi allows a 80 to view his lSlN balances, transacation and value of the portfolio online. Details for First Holder Date of Birth f4 1 D I MI Vl Y(Y I Y I Nationality D Indian 0 Other (Specify) Sex 0 Male Female Occupation Q Private Sector O Public Sector a Government Service Q Business a Professional Q Agriculturist Q Retired O Housewife Q Student Others (Specify) ...... Nature of business : (Product/services provided) Gross Annual Income Income Range per annum : Q Below Rs. 1,00,000 (Please specify) 0 Rs. 1,00,001 to Rs. 5,00,000 I2 Rs. 5,00.001 to Rs. 10,00,000 O Rs. 10,00,001 to Rs. 25,00,000 I2 More than Rs. 25,00,000
Details for Joint Second Holder Date of Birth 01 01 An1 M( Y[ Yl Vl Yl Nationality 0 Indian O Other (Specify) Sex O Male 0 Female Occupation 0 Private Sector Public Sector Government Service O Business O Professional Q Agriculturist Retired Q Housewife O Student O Others (Specify) ...... Nature of business : (Product/services provided)
Details for Joint Third Holder
Q Private Sector D Public Sector Q Professional D Housewife
Details of Guardian (If First Holder or Second Holder or 'Third Holder is a minor)
First Name Middle Name Last ISurname Relationship with the applicant
Correspondence Address
CityrrownNillage State --_ --_ PIN Code I COuntryl - Fax No. Telephone [(R)/(O)] [ Mobile No. PAN I 1 I I I E-mail ID For NRls Foreign Address
City State Country PINIZIP Il111111111 Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBl and Depositories General Clause
1. The Beneficial Owner and the Depository participant (DP) shall be bound by the provisions of the Depositories Act, 1996, SEBl (Depositories and Participants) Regulations, 1996, Rules and Regulations of Securities and Exchange Board of India (SEBI), ircularslNotifications1Guidelines issued there under, Bye Laws and Business Rulesloperating Instructions issued by the Depositories and relevant notifications of Government Authorities as may be in force from time to time. 2. The DP shall openlactivate demat account of a beneficial owner in the depository system only after receipt of complete Account opening form, KYC and supporting documents as specified by SEBl from time to time. Beneficial Owner information 3. The DP shall maintain all the details of the beneficial owner(s) as mentioned in the account opening form, supporting documents submitted by them andlor any other information pertaining to the beneficial owner confidentially and shall not disclose the same to any person except as required by any statutory, legal or regulatory authority in this regard. 4. The Beneficial Owner shall immediately notify the DP in writing, if there is any change in details provided in the account opening form as submitted to the DP at the time of opening the demat account or furnished to the DP from time to time. FeeslChargesrrariff 5. The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of securities in dematerialized form and for availing depository services as may be agreed to from time to time between the DP and the Beneficial Owner as set out in the Tariff Sheet provided by the DP. It may be informed to the Beneficial Owner that "no charges are payable for opening of demat accounts" 6. In case of Basic Services Demat Accounts, the DP shall adhere to the charge structure as laid down under the relevant SEBl andlor Depository circularsldirections/notifications issued from time to time. 7. The DP shall not increase any chargesitariff agreed upon unless it has given a notice in writing of not less than thirty days to the Beneficial Owner regarding the same. Dematerialization 8. The Beneficial Owner shall have the right to get the securities, which have been admitted on the Depositories, dematerialized in the form and manner laid down under the Bye Laws, Business Rules and Operating Instructions of the depositories. Separate Accounts 9. The DP shall open separate accounts in the name of each of the beneficial owners and securities of each beneficial owner shall be segregated and shall not be mixed up with the securities of other beneficial owners andlor DP's own securities held in dematerialized form. 10. The DP shall not facilitate the Beneficial Owner to create or permit any pledge and lor hypothecation or any other interest or encumbrance over all or any of such securities submitted for dematerialization andlor held in demat account except in the form and manner prescribed in the Depositories Act, 1996, SEBl (Depositories and Participants) Regulations, 1996 and Bye-Lawsloperating InstructionslBusiness Rules of the Depositories. Transfer of Securities 11. The DP shall effect transfer to and from the demat accounts of the Beneficial Owner only on the basis of an order, instruction, direction or mandate duly authorized by the Beneficial Owner and the DP shall maintain the original documents and the audit trail of such authorizations. 12. The Beneficial Owner reserves the right to give standing instructions with regard to the crediting of securities in his demat account and the DP shall act according to such instructions. Statement of account 13. The DP shall provide statements of accounts to the beneficial owner in such form and manner and at such time as agreed with the Beneficial Owner and as specified by SEBl/depository in this regard. 14. However, if there is no transaction in the demat account, or if the balance has become Nil during the year, the DP shall send one physical statement of holding annually to such BOs and shall resume sending the transaction statement as and when there is a transaction in the account. 15. The DP may provide the services of issuing the statement of demat accounts in an electronic mode if the Beneficial Owner so desires. The DP will furnish to the Beneficial Owner the statement of demat accounts under its digital signature, as governed under the Information Technology Act, 2000. However if the DP does not have the facility of providing the statement of demat account in the electronic mode, then the Participant shall be obliged to forward the statement of dernat accounts in physical form. 16. In case of Basic Services Demat Accounts, the DP shall send the transaction statements as mandated by SEBl andlor Depository from time to time. Manner of Closure of Demat account 17. The DP shall have the right to close the demat account of the Beneficial Owner, for any reasons whatsoever, provided the DP has given a notice in writing of not less than thirty days to the Beneficial Owner as well as to the Depository. Similarly, the Beneficial Owner shall have the right to close hislher demat account held with the DP provided no charges 5 are payable by himlher to the DP. In such an event, the Beneficial Owner shall specify whether the balances in their demat account should be transferred to another demat account of the Beneficial Owner held with another DP or to rematerialize the security balances held. 18. Based on the instructions of the Beneficial Owner, the DP shall initiate the procedure for transferring such security balances or rematerialize such security balances within a period of thirty days as per procedure specified from time to time by the depository. Provided further, closure of demat account shall not affect the rights, liabilities and obligations of either the Beneficial Owner or the DP and shall continue to bind the parties to their satisfactory completion. Default in payment of charges 19. In event of Beneficial Owner committing a default in the payment of any amount provided in Clause 5 8 6 within a period of thirty days from the date of demand, without prejudice to the right of the DP to close the demat account of the Beneficial Owner, the DP may charge interest at a rate as specified by the Depository from time to time for the period of such default.
20. In case the Beneficial Owner has failed to make the payment of any of the amounts as provided in Clause 586 specified above, the DP after giving two days notice to the Beneficial Owner shall have the right to stop processing of instructions of the Beneficial Owner till such time he makes the payment along with interest, if any. Liability of the Depository 21. As per Section 16 of Depositories Act, 1996, 1. Without prejudice to the provisions of any other law for the time being in force, any loss caused to the beneficial owner due to the negligence of the depository or the participant, the depository shall indemnify such beneficial owner. 2. Where the loss due to the negligence of the participant under Clause (1) above, is indemnified by the depository, the depository shall have the right to recover the same from such participant.
Freezing1 Defreezing of accounts 22. The Beneficial Owner may exercise the right to freezeldefreeze hislher demat account maintained with the DP in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rulesloperating Instructions. 23. The DP or the Depository shall have the right to freezeldefreeze the accounts of the Beneficial Owners on receipt of instructions recelved from any regulator or court or any statutory authority. Redressal of Investor grievance 24. The DP shall redress all grievances of the Beneficial Owner qgainst the DP within a period of thirty days from the date of receipt of the complaint. Authorized representative 25. If the Beneficial Owner is a body corporate or a legal entity, it shall, along with the account opening form, furnish to the DP, a list of officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change in such list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant. Law and Jurisdiction 26. In addition to the specific rights set out in this document, the DP and the Beneficial owner shall be entitled to exercise any other rights which the DP or the Beneficial Owner may have under the Rules, Bye Laws and Regulations of the respective Depository in which the demat account is opened and circularslnotices issued there under or Rules and Regulations of SEBI. 27. The provisions of this document shall always be subject to Government notification, any rules, regulations, guidelines and circulars1 notices issued by SEBl and Rules, Regulations and Bye-laws of the relevant Depository, where the Beneficial Owner maintains his1 her account, that may be in force from time to time. 28. The Beneficial Owner and the DP shall abide by the arbitration and conciliation procedure prescribed under the Bye- laws of the depository and that such procedure shall be applicable to any disputes between the DP and the Beneficial Owner. 29. Words and expressions which are used in this document but which are not defined herein shall unless the context otherwise requires, have the same meanings as assigned thereto in the Rules, Bye-laws and Regulations and circularslnotices issued there under by the depository and lor SEBl 30. Any changes in the rights and obligations which are specified by SEBIlDepositories shall also be brought to the notice of the clients at once. 31. If the rights and obligations of the parties hereto are altered by virtue of charrge in Rules and regulations of SEBl or Bye-laws, Rules and Regulations of the relevant Depository, where the Beneficial Owner maintains hislher account, such changes shall be deemed to have been incorporated herein in modification of the rights and obligations of the parties mentioned in this document.
Signature : Received a copy of aforesaid document from UPSE Securities Ltd. DP Name : Date UPSE SECURITIES LIMITED (WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE LIMITED) "PADAM TOWERS", 141113, CIVIL LINES, KANPUR - 208 001 DPID : 13061300 SEBI Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 Fax No. : (0512) 2338175,2338220
Rate Structure of UPSE SECURITIES LTD.- DP-. S. No. Particulars Rate 1. (a) Account opening Charges (Individual) NIL (b) Account opening Charges (Corporate) NIL (c) Stamp Fee (At actual) ForAccount Opening t 100.00 For Power ofAttorney T 100.00 (d) Kit Charges t 30.00 2. Annual Maintenance Charges : (a) Individual : t 250.00 (b) Corporate : 7 750.00 [t250 + 7500 CDSL Charges] The Annual Maintenance Charges will be applicable from the IStdate of the month in which the account is opened. It will be payable upfront. [Annual Maintenance Charges for noncorporate B.O. account will be t NIL, if Interest Free Security Deposit of t 3,000.00 (Refundable) is received.] 3. Dematerialization Courier Charges will be levied t 301- upto first 05 certificates and 2.00 per Certificate + qdditional T 201-for every 05 certificates or in fraction thereof. 4. Demat Rejection t 25.00 per Transaction. 5. Rematerialization T 15.00 per Certificate + T 30.00 for Postage / Courier 6. Transaction Charges (Debit) For Power ofAttorney t 10.00 For General Case T 15.00
7. Pledge Creation/Confirmations/Closure T 20.00 8. Pledge Invocation T 25.00 9. Late Fee per Transaction Slip (As decided by the Exchange from time to time) 1. Charges for other services not covered above, be notified from time to timeseparately. 2. ServiceTax and Cess will be charged extra as applicablefrom time to time. 3. UPSE SECURITIES LIMITED reserves right to revise the above rate structure from time to time giving 30 days notice. 4. If the date of submission and date of execution are same, such instructions will be executed on a "best effort basis" at client risk. c3- c3 c3 1" Holder Sign. 2ndHolder Sign. 3rdHolder Sign. UPSE SECURITIES LIMITED (WHOLLY0 "PADAM TOWERS", 1411 13, CIVIL LINES, KANPLIR - 208 001 DPID : 13061300 SEBl Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512)233811 5,2338074 Fax No. : (0512)2338175,2338220
Dear SirlMadam. (To be filled by DP) lMk the sole holder IJoint holders IGuardian (in case of minor) hereby declare that : Q 1I nt ih icable.1 fsianatures of all account holders should be undon this fa O lNVe nominate the following person who is entitled to receive security balances lying in mylour account, particulars whereof are Wen below, in the event of the death of the Sole holder or the death of all the Joint Holders. 60 Account details DP ID 11131016111310101 Client ID 11111111. Name of the Sole IFirst Holder Name of Second Holder -~ameof Third Holder Nominee details Full Name of Nominee Address
City State Country PIN I I I I 1 Telephone No. Fax No. PAN I11111111 UID 11111111111. F-mail- ...... In.- Relationshipwith 60 (If any) Date of birth (Mandatory, if nominee is a mlnor) As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of' the Sole holderlall Joint holders. IMle appoint following person to act as Guardian : Full Name of Guardian of Nominee 1 Address t City IState Country IPIN Code I 1 I I 1 Telephone No. ]Fax No. E-mail ID Relationship of Guardian with Nominee 1Ase I This nomination shall supersede any prior nomination made by me Ius and also any testamentary document executed by me Ius. Place : Date : - FirstlSole Holder Second Holder Third Holder Name Signature
Note : Two witnesses shall attest sipnaturels) IThumb im~ression(s). Details of the Witness First Witness Second Witness Name of W~tness Address of Witness
I I Signature of Witness 1 I I I I I I For UPSE SECURITIES LIMITED
(Authorised Signatory)
---.. (p,,,,, Tear here) 2 " Acknnwtedaement- Receipt ~ekivednomination form from : DP ID 11)3)016111310101 Client ID Name I Address
------omin in at ion in favour of No Nomination 1 iDoes not wlsh to nominate Registration NO, Registered On 1 j ! i>1 :dl 1 YT 1 '.' I " 1 Y I 't ,
Depository Participant Seal and Signature UPSE SECURI'rIES LIMITED ANNEXURE -A (WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE LIMITED) "PADAM TOWERS, 141113, CIVIL LINES, KANPUR - 208 001 DPID : 13061300 SEBI Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 Fax No. : (0512) 2338175,2338220 Terms and Conditionscum-Registration I Modification Form for receiving SMS Alerts from CDSL [SMS Alerts will be sent by CDSL to BOs for all debits and for all credits as well] Definitions : In theseTermsand 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 ofice at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch offices and includes its successors and assigns. 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 depositoryas specified by the depository from time to time. 4. SMSmeans "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@)with whom the depository has entered Iwill be entering into an arrangement for providing the SMS alertsto 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 Iher 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 Iindefinite period, with orwithout 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 theservice provider. 4. In case ofjoint 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 registrationlmodification. 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 SMSalertssent on such mobile number.
1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service orto any such number replaced and informed by the BO from time to time. Upon such registrationlchange, the depository shall make every effort to update the change in mobile number within a reasonable period of time. The depository shall not be responsiblefor any event of delay or loss of message in this regard. 2. The BOacknowledgesthat the alerts will be received only if the mobile phone is in 'ON' and in a mode to receive the SMS. Ifthe mobile phone is in 'OfP mode i.e. unable to receive the alerts then the BO may not geffget 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 theservice provider. The depository shall not be responsible for-any non-delivery, delayed delivery or distortion of the alert in any way whatsover. 4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptibletoerror, omission andlor inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the depository andlor 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 incurredlsuffered 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 agrees to an ongoing confirmation for use of name, email address and mobile number for marketing offers between CDSLand any otherentity. 6. The BO agrees to inform thedepository and DP in writing of any unauthorizeddebit to his BO account1 unauthorizedtransfer of securitiesfrom 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] BO is advised not to inform the service provider about any such unauthorized debit to Itransfer 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@)receiving the alert. 8. Thedepositorywill make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner whatsoever.
Signatures c3 c3 c3 Sole IFirst Holder Second Holder Third Holder 9. If the 80finds that the information such as mobile number etc., has been changed with out proper authorization, the 60 should be immediately inform the DP in writing.
Fees : Depository reserves the right to charge such feesfrom time to time as it deemsfitfor providing this service to the BO. Disclaimer : The depository shall make reasonable efforts to ensure that the 60'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 60or by any person resultingfrom or in connection with availing of SMS alertsfacilfty. The Depository gives no warrantywith respectto the quality of the service provided by the service provider. The Depository will not be liable for any unauthoriieduse or access to the information andlor SMS alert sent on the mobile phone number of the BO orfor fraudulent, duplicate orerroneous uselmisuse 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 official 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 60.
Amendments: The depository may amend the terms and conditions at any time with orwithout giving any prior notice to the 80s. Any such amendments shall be binding on the 80swho are already registeredas user of this service.
Governing Law and Jurisdiction : Providing theservice as outlined above shall be governed by the laws of India and will be subjecttothe exclusive jurisdiction of the courts in Mumbai. lMle wish to avail the SMS Alertsfacility provided by the depository on mylour mobile number provided in the registrationform subject to the terms and conditions mentioned below. IlWe consent to CDSL providing to the service provider such information pertalnlng to accounfftransactions in mylour account bs is necessary for the purposes of generating SMS Alerts by sewice provider, to be sent to the sald mobile number. lMle have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depositoryfromtime to time. \/We further undertake to pay feel charges as may be levied by the depository from time to time. lMle further understand that the SMS alerts would be sent for a maximum four lSlNs at a time. If more than four debits take place, the 60s would be requiredto take up the matterwith their DP. lMle amlare 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. lMle ~rovidethe following information forthe purpose of REGlSTRATlONlMODlFlCATlON(Please cancel outwhat is not applicable). BOlD
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)
Sole IFirst Holder's Name -
Second Holder's Name
Third Holder's Name Mobile Number on which messages are to be sent (Please write only the mobile number without prefixing country code or zero) The mobile number is registered in the name of : Email ID : (Please write only ONE valid email ID on which communication; if any, is to be sent)
Signatures c3 0 c3 Sole IFirst Holder Second Holder Third Holder
Place :
Date : A UPSE SECURITIES LIMITED (WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE I-IMITED) "PADAM TOWERS', 141113, ClVlL LINES, KANPUR - 208 001 DPID : 13061300 SEBI Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 Fax No. : (0512) 2338175,2338220 (Perforated Card) (To be filled by the Depository Participant) DPID 1113(0(6111310(01 Client ID
FirstlSole Holder or Second Joint Holder Third Joint Holder Guardian (in case of Minor) Name
Specimen Signatures
0 0 0
(Signatures should be preferably in black ink).
UPSE SECURITIES LIMITED (WHOLLY OWNED SUBSIDIARY OF U.P. STOCK EXCHANGE LIMITED) "PADAM TOWERS", 141113, ClVlL LINES, KANPUR - 208 001 DPID : 13061300 SEBI Reg. No. IN-DP-CDSL-691-2013 Telephone No. : (0512) 2338115,2338074 Fax No. : (0512) 2338175,2338220 (To be filled by Depository Participant) S. No. A1 6200 Acknowledgement Receipt - Application No. : Date : We hereby acknowledge the receipt of the Accoirnt Opening Application Form :
Name of the Sole I First Holder I Nameof second Joint Holder I I Name of 'Third Joint Holder
Depository Participant Seal and Signature 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 86 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 ora Special Executive Magistrate1 Special Executive Officer under hidher official seal. 2. Signatures should be preferably in black ink. 3. Details of the Names, Address and Telephone Number@) 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 FirstlSoleApplicant. 7. Strike off whichever option, in the account opening form, is not applicable.