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FINVASIA SECURITIES PRIVATE LIMITED SEBI REGN NO.: INZ000176037 MCX Member Code : 55135 NCDEX Member Code : 01259 Clearing Member : Globe Commodities Ltd

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FINVASIA SECURITIES PRIVATE LIMITED SEBI REGN NO.: INZ000176037 MCX Member Code : 55135 NCDEX Member Code : 01259 Clearing Member : Globe Commodities Ltd CLIENT GUIDANCE DOCUMENT FINVASIA SECURITIES PRIVATE LIMITED SEBI REGN NO.: INZ000176037 MCX Member Code : 55135 NCDEX Member Code : 01259 Clearing Member : Globe Commodities Ltd. Regd. Address : 802, Ansal Bhawan, 16 K.G. Marg, C.P., New Delhi-1 : Corporate Office : FINVASIA CENTRE, D 179, Phase 8 B (Sector 74) Mohali, Punjab 160055 (India) Phone : +91-172-6670000, Fax : +91-172-6670070, E-mail : [email protected] Registered Office : #1108, Sector 21-B, Chandigarh - 160022 Trading Member with MCX & NCDEX Compliance Officer's Details : Ramanjeet Kaur, E-mail : [email protected] Ph.: +91-172-6670000, Fax : +91-172-6670070 INDEX OF DOCUMENTS 1. Risk Disclosure Document (RDD) Documents detailing Risk associated with dealing in the Commodities Market. 2. Rights and Obligations Document stating the Rights & Obligation of Stock Broker/Trading Member, Sub broker and client for Trading on exchanges (including additional Rights and Obligations in case of Internet/Wireless Technology based Trading) 3. Guidance Note Document detailing Do's & Don'ts for Trading on exchange, for the education for the investors. 4. Policies & Procedures Policies and procedures as per MCX Cir. No. MCX/325/29SEP2016 Client Guidance Booklet for the information of Client as per SEBI Circular No. CIR/MIRSD/16/2011 Dt. 22 August 2011 For any grievance/dispute please contact Finvasia Securities Private Limited at the above mention address or email [email protected]. In case not satisfied with response, Please contact the concern exchange(s) at : Exchange Name E-mail Id Phone No. Multi Commodity Exchange of India Ltd. [email protected] 022-67318888 National Commodity & Derivatives Exchange Ltd. [email protected] 022-66406789 ANNEXURE-2 RISK DISCLOSURE DOCUMENT The Exchange does not expressly or impliedly, guarantee nor make In considering whether to trade, you should be aware of or must get any representation concerning the completeness, the adequacy or acquainted with the following:- accuracy of this disclosure documents nor has the Exchange 1. Basic Risks involved in the trading of Commodity Futures endorsed or passed any merits of participating in the Commodity Contracts and other Commodity Derivatives Instruments Derivatives market/trading. This brief statement does not disclose on the Exchange. all of the risks and other significant aspects of trading. You should, i. Risk of Higher Volatility therefore, study derivatives trading carefully before becoming a. Volatility refers to the dynamic changes in price that involved in it. commodity derivative contracts undergo when trading In the light of the risks involved, you should undertake transactions activity continues on the Commodity Exchange. Generally, only if you understand the nature of the contractual relationship into higher the volatility of a commodity derivatives contract, which you are entering and the extent of your exposure to risk. greater is its price swings. There may be normally greater volatility in thinly traded commodity derivatives contracts You must know and appreciate that investment in commodity futures than in actively traded commodities/ contracts. As a result contracts/ derivatives or other instruments traded on the Commodity of volatility, your order may only be partially executed or not Exchange(s), which have varying element of risk, is generally not an executed at all, or the price at which your order got appropriate avenue for someone of limited resources/ limited executed may be substantially different from the last traded investment and/ or trading experience and low risk tolerance. You price or change substantially thereafter, resulting in real should, therefore, carefully consider whether such trading is suitable losses. for you in the light of your financial condition. In case, you trade on ii. Risk of Lower Liquidity the Exchange and suffer adverse consequences or loss, you shall a. Liquidity refers to the ability of market participants to buy be solely responsible for the same and the Exchange shall not be and/ or sell commodity derivative contract expeditiously at a responsible, in any manner whatsoever, for the same and it will not competitive price and with minimal price difference. be open for you to take the plea that no adequate disclosure Generally, it is assumed that more the number of orders regarding the risks involved was made or that you were not available in a market, greater is the liquidity. Liquidity is explained the full risk involved by the concerned member. The Client important because with greater liquidity, it is easier for shall be solely responsible for the consequences and no contract investors to buy and/ or sell commodity derivatives can be rescinded on that account. contracts swiftly and with minimal price difference and as a result, investors are more likely to pay or receive a You must acknowledge and accept that there can be no guarantee of competitive price for commodity derivative contracts profits or no exception from losses while executing orders for purchased or sold. There may be a risk of lower liquidity in purchase and/or sale of a commodity derivatives being traded on the some commodity derivative contracts as compared to Exchange. active commodity derivative contracts. As a result, your order may only be partially executed, or may be executed It must be clearly understood by you that your dealings on the with relatively greater price difference or may not be Exchange through a member shall be subject to your fulfilling certain execute at all. formalities set out by the member, which may, inter alia, include your b. Buying/ Selling without intention of giving and/ or taking filing the know your client form and are subject to Rules, Byelaws delivery of certain commodities may also result into losses, and Business Rules of the Exchange guidelines prescribed by SEBI because in such a situation, commodity derivative contracts from time to time and circulars as may be issued by the Exchange may have to be squared-off at a low/ high prices, compared from time to time. to the expected price levels, so as not to have any obligation to deliver/ receive such commodities. The Exchange does not provide or purport to provide any advice and shall not be liable to any person who enters into any business iii. Risk of Wider Spreads relationship with any member of the Exchange and/ or third party a. Spread refers to the difference in best buy price and best based on any information contained in this document. Any sell price. It represents the differential between the price of information contained in this document must not be construed as buying a commodity derivative and immediately selling it or business advice/investment advice. No consideration to trade vice versa. Lower liquidity and higher volatility may result in should be made without thoroughly understanding and reviewing wider than normal spreads for less liquid or illiquid the risks involved in such trading. If you are unsure, you must seek commodities/ commodity derivatives contracts. This in turn will hamper better price formation. professional advice on the same. (1) iv. Risk-reducing orders b. During periods of volatility, on account of market a. Most of the Exchanges have a facility for investors to place participants continuously modifying their order quantity or “limit orders”, “stop loss orders” etc. Placing of such orders prices or placing fresh orders, there may be delays in (e.g. “stop loss” orders or “limit” orders) which are intended execution of order and its confirmation. to limit losses to certain amounts may not be effective many c. Under certain market conditions, it may be difficult or a time because rapid movement in market conditions may impossible to liquidate a position in the market at a make it impossible to execute such orders. reasonable price or at all, when there are no outstanding b. A “market” order will be executed promptly, subject to orders either on the buy side or the sell side, or if trading is availability of orders on opposite side, without regard to halted in a commodity due to any action on account of price and that while the customer may receive a prompt unusual trading activity or price hitting circuit filters or for execution of a “market” order, the execution may be at any other reason. available prices of outstanding orders, which satisfy the viii.System/ Network Congestion order quantity, on price time priority. It may be understood that these prices may be significantly different from the last a. Trading on the Exchange is in electronic mode, based on traded price or the best price in that commodity derivatives satellite/leased line communications, combination of contract. technologies and computer systems to place and route c. A “limit” order will be executed only at the “limit” price orders. Thus, there exists a possibility of communication specified for the order or a better price. However, while the failure or system problems or slow or delayed response client received price protection, there is a possibility that the from system or trading halt, or any such other order may not be executed at all. problem/glitch whereby not being able to establish access d. A stop loss order is generally placed “away” from the current to the trading system/network, which may be beyond the price of a commodity derivatives contract, and such order control of and may result in delay in processing or not gets activated if and when the contract reaches, or trades processing buy or sell orders either in part or in full. You are through, the stop price. Sell stop orders are entered cautioned to note that although these problems may be ordinarily below the current price, and buy stop orders are temporary in nature, but when you have outstanding open entered ordinarily above the current price. When the positions or unexecuted orders, these represent a risk contract approaches pre-determined price, or trades because of your obligations to settle all executed through such price, the stop loss order converts to a transactions.
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