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Lfs Broking Private Limited LFS BROKING PRIVATE LIMITED (Member BSE, NSE, MCX & CDSL) A P P L IC A T IO N F O R A D D IT IO N A L S EG M E N T / EX C H A N G E F O R T R A D IN G A C C O U N T Client Code Client Name Branch/ AP Code Branch/ AP Name LFS BROKING PVT. LTD. CIN NO.: U67190PN2011PTC140719 Registered Office Address: Office No. 311/75, 3rd Floor, Shrinath Plaza, ‘B’ Wing, F.C. Road, Shivaji Nagar, Bhamburda, Pune - 411005. Correspondence Office Address: Unit No. 08, 2nd Floor, Prabhadevi Industrial Estate, 408 Veer Savarkar Marg, Prabhadevi, Mumbai - 400025. Tel: (91) 22-49228222 Fax: (91) 22-49228221 Website: www.lfsbroking.in Exchange Segment SEBI Registration No. Member Code Date of Registration BSE CASH/FO INZ 000101238 6628 February 20, 2017 NSE CASH/FO/CD INZ 000101238 90022 February 20, 2017 MCX COMMODITY INZ 000101238 56350 February 20, 2017 CDSL Depository Participant IN-DP-CDSL-363-2018 85400 April 05, 2018 IL & FS Securities Services Ltd. IL&FS House, Plot No.14, Raheja Vihar, Chandivali, Clearing Member for NSE (FO & CD) Segments: Andheri (E), Mumbai - 400072. Tel.: 022-42493000 www.ilfsdp.com SMC Comtrade Ltd. Clearing Member for MCX Commodity 11/6B, Shanti Chamber, Pusa Road, New Delhi ‐ 110005. Derivatives Segment: Tel.: 011-30111000 www.smcindiaonline.com Mr. Anand Tamhane Compliance Officer Details: Ph : 022-49228222 Ext: 225 Email id : [email protected] Mr. Saiyad Jiyajur Rahaman Director/CEO Details: Ph : 022-49228222 Ext. 220 Email id : [email protected] For any grievance / dispute please contact LFS BROKING PVT. LTD. at the above address or email id [email protected] and phone no. 91-022-49228222 In case not satisfied with the response, please contact the concerned exchange(s) at below given Email-Id and Phone No.: Exchange Email ID Phone No. Bombay Stock Exchange Ltd. (BSE) [email protected] 022-43550218 National Stock Exchange of India Ltd. (NSE) [email protected] 1800-266-0058 Multi Commodity Exchange of India Ltd. (MCX) [email protected] 022-66494070 Central Depository Services (India) Ltd. (CDSL) [email protected] 1800-22-5533 “In case not satisfied with the response, please lodge and track compliant on SEBI centralized web based complaints redress system (SCORES) from anywhere by visiting www.scores.gov.in.” DISCLOSURE INFORMATION (Disclosure to Proprietary Trading pursuance to SEBI Circular no. SEBI/MRD/SE/Cir-42/2003 dated Nov 19, 2003) Dear Client, This is to inform you that we do client based trading and undertake Pro account trading business on the Exchanges, we are registered as member. For LFS BROKING PVT. LTD. I/we state that Know Your Client details as submitted by me/us at the time of account opening and any updations / modification submitted by me / us may be considered for the purpose of activating my account for additional segment/ Exchanges. I/We hereby authorize you to activate my account for segments and Exchanges given below. 1. Trading Preferences (Exchange/ Segments) (Please sign in the relevant boxes where you wish to trade. Segment not selected to be strike off) Exchange Segments Signature of the Client Date of Consent for Trading on Concerned Exchange Futures MCX Options 2. Proof of Income : (Compulsory for Commodity Derivatives) – illustrative list: (Please tick any one of the following) Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income – Salary Slip, Copy of Form 16 Net worth Certificate Demat account holding statement Bank account statement for last 6 months Others, Please Specify___________________________________________________________________ 3. Mode of Receiving Contract Notes and other documents Physical Electronic Email ID: ________________________________________________ 4. Preference for Settlement of Funds and Securities Monthly Quarterly 5. Internet Trading / Wireless Trading Facility Yes No 6. Investment/ Trading Experience: No Prior Experience _______ Years in Commodities _______ Years in other Investment related fields 7. GST Registration Details: GST Registration Number GST Implementation Location 3 8. Income Details: Annual Income Range per annum (Tick as applicable) Below 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac Rs. 10-25 Lac Rs. 25-50 Lac Rs. 50 Lac – 1 Crore Rs. 1 Crore and Above Or/ and # Networth as on ____________ (date) is Rs. ________________/- (Rs. ________________ _________________________________________________________________________) # for “Individual” – Gross annual income or Networth details required) 5. Any change in KYC details submitted earlier Yes No (If Yes, provide modification form along with proof) DECLARATION 1) I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/We undertake to inform you of any changes therein immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting. I/We are aware that I/We may be held liable for it. 2) I/We confirm having read/been explained and understood the contents of the document on Policy and Procedure, Tariff Sheet and all the voluntary/non-mandatory documents of LFS Broking Pvt. Ltd. 3) I/We have further confirmed having read and understood the contents of the ‘Rights and Obligations documents(s)’, ‘Risk Disclosure Document (RDD)’ and ‘Dos & Don’ts’. I/We hereby agree to be bound by the provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for information on Member’s designated website - www.lfsbroking.in. Place : Date : (________________________________) Signature of Client/ Authorized Signatories) 4 Mandatory TARIFF SHEET MCX Commodity Derivative Segment Particulars Options Futures One Side Other Side Carry Forward Position Note: It shall be noted that in addition to the Brokerage mentioned herein above, Other regulatory and statutory charges like transaction Charges, SEBI Fees, Securities Transaction Charges, Commodities Transaction Charges, Stamp duty, Goods and Service Tax and other charges shall be levied at the prescribed rate. Name Signature 5 COMMODITY OPTION TRADING ACTIVATION FORM (To be taken on letter head in case of non-individual client) Date: To, LFS BROKING PVT. LTD. Unit No.08, 2nd Floor, Prabhadevi Industrial Estate, 408 Veer Savarkar Marg, Prabhadevi, Mumbai - 400025. Dear Sir/Madam, I/We ……………………………………………………………………………………….., a client (client code ……………………………) of M/s. LFS Broking Private Limited do hereby undertake that I/We wish to trade in Commodity Options subject to regulatory requirements of the Exchange and SEBI from time to time. I/We have read and understood Additional Risk Disclosure documents for Options Trading about Risk of Option Holders and Risk of Option Writers as per attached ANNEXURE 1. Yours Faithfully, Name Signature (Note: In case of Corporate/ Trust, a resolution from Board of Directors/ Trustees clearly stating that the Corporate/ Trust are authorized to trade in Commodity Options and they intend to trade in Commodity Options on Multi Commodity Exchange of India Limited) 6 Appendix ‘A’ Authorization for Electronic Contract Note [ECN] - Declaration (VOLUNTARY) To, LFS BROKING PVT. LTD. Unit No.08, 2nd Floor, Prabhadevi Industrial Estate, 408 Veer Savarkar Marg, Prabhadevi, Mumbai - 400025. Sub: Authorization for Electronic Contract Notes & Acceptance for Electronic Communication: Dear Sir, I, ________________________________________________________ a client with Member M/s. LFS Broking Pvt. Ltd. of MCX Exchange undertake as follows: I am aware that the Member has to provide physical contract note in respect of all the trades placed by me unless I/myself want the same in the electronic form. I am aware that the Member has to provide electronic contract note for my convenience on my request only. Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out I ordered by me. I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email operations. My email id is_____________________________________________________________________________. This has been created by me and not by someone else. I am aware that this declaration form should be in English or in any other Indian language known to me. I am aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note of the above e-mail ID. {The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same.} *(The email id must be written in own handwriting of the client.) Client Name: _______________________ Unique Client Code: ________________ Address: _______________________ PAN: ________________ Date: Signature of the Client: Place: Verification of the Client Signature done by, Name of the designated officer of the member: Signature & Date: 7 Voluntary RUNNING ACCOUNT AUTHORISATION Date:_______________ To, LFS BROKING PVT. LTD. Unit No.08, 2nd Floor, Prabhadevi Industrial Estate, 408 Veer Savarkar Marg, Prabhadevi, Mumbai - 400025. Dear Sir, I am/we are regularly trading with you for Derivative market in MCX. I/We hereby authorized you to do following on my / our behalf: I/We hereby give my/our consent to maintain my/our account for funds & commodities as Running Account. The credit balance in lying in my/our account should be considered as margin deposits. I/We request you to keep my/our funds with you to meet my/our pay in obligation in the succeeding settlements of Exchange. In case of lawful outstanding obligation on the settlement date, you may retain the requisite funds/commodities towards such obligation and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the exchange.
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