Subject: SEBI Circular on Dealings Between Stock Broker and Client

Client Code:

Client Name:

Address:

Contact No.:

Subject: SEBI Circular on dealings between Stock Broker and Client

Dear Investor,

We wish to express our sincere gratitude for being part of our KC family; we thank you for your continued patronage of our product and services.

In order to bring about greater transparency and discipline in dealings between members and clients, Securities Board Exchange of India (SEBI) vide its circular no. MISRD/SE/Cir-19/2009 dated 3 rd December 2009 has prescribed various norms/requirements. This circular involve significant process and document changes w.r.t our existing client member relation. Hence, we require your full co-operation in complying/understanding the requirements in terms of change in documentation process.

 Authorisation to maintain Running Account:

As per SEBI Circular referred to above, we have to maintain Running Account Authorization for your transactions executed through us for both funds and securities. Running account authorization is to be renewed every year by the client. Hence you are requested to be submit enclosed letter duly signed to the nearest branch/sub-broker or send it to us at Kantilal chhaganlal Securities Pvt. Ltd. 3rd Floor, Kholi Villa, Near Shopper Stop, S. V. Road, Andheri (West), Mumbai – 400058

 Actual settlement of account on periodic basis :

As per SEBI Circular referred above, Cash ledger a/c & security ledger needs to be made zero at least once in quarter or a month, depending on your preference. We wish to inform that in the absence of any instruction to the contrary from you, we will reconcile the account on quarterly basis.

 Confirmation of details registered with us:

Details as provided by you in the KYC Form like name, address, bank and demat account details, the segments for which you have opted for trading, the mode in which you to prefer receive contract note (Electronic Contract Note/Physical Contract notes) etc. kindly inform us in writing if there is any changes in the parameters mentioned therein.

 Update the financial details:

You are required to update the financial details by providing below mentioned details (Any One)

 Copy of income tax return (ITR) acknowledgment (for last financial year)  Copy of form 16 in case of salary income (for last financial year)  Networth Certificate (last one, or last end financial year)  Salary slip (for month in current financial year)  Bank account statement (for last 6 months)  Copy of Demat account holding statement (not more than 3 months old)  Any other relevant documents sustaining ownership of assets

Documents on Policies and Procedures :

As per SEBI Circular referred to above, we request you to go through the policies and procedures followed by KC Securities Pvt. Ltd. Related to all the transaction aspect. Kindly find the attachment herewith of all the policies and procedures as this will govern your trading relationship with us.

We request you to co-operate with us to serve you in a better manner. Kindly provide documents/confirmation within 15 days of the receipt of this letter.

In case on any query fell free to contact us on 022-40716000/33256000 and write us at [email protected]

Thank you for showing your trust in KC Securities looking forward for long term affiliation with you.

Thanking you.

Yours faithfully, For Kantilal Chhaganlal Securities Pvt.Ltd

Authorised Signatory To, Compliance Department Kantilal Chhaganlal Securities Pvt.Ltd 3rd Floor, Kholi Villa, Near Shopper Stop, S. V. Road, Andheri (West), Mumbai - 400058

Updated KYC details for Client Code______as on ______

Address

Phone No.

Mobile No. (Mandatory)

E-Mail ID (Mandatory)

Income Range Below Rs.1lac Rs.5 lacs to Rs.10 lacs Rs.1 lac to Rs.5 lac Rs.10 lacs to Rs.25 lacs Above Rs.25 lacs

Value of Investment Networth (Company) Rs.______as on ____/_____/______Rs.______lacs as certificated as end ______200__

Trading Activities Investment Arbitrage Trading

Investment Experience ______Years in stocks ______Year in Derivatives

______Years in other financial products.