Account for Opening INDIVIDUAL Form

FOR CSO USE ONLY EQUITY & COMMODITY B2C

Form No. 1234567890 Application Type New Update

Client Code KYC Number

DP ID

Branch Code

Sub Code

October 2018 Ver: 3.2 Connect with us

INDEX OF DOCUMENTS

Sr. No. Name of the Document Brief Significance of the Document Page No. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

A. KYC Form - Document captures the basic information about the constituent and an instruction/check list. 1. KRA Form and Account Opening Form 1 to 5 B. Document captures the additional information about the constituent relevant to Trading/ Demat account and an instruction/check list. Document detailing the rate/amount of brokerage & other 2. Tariff sheet charges levied on the client for trading on exchange(s) & DP 6 Service charges/Fee Structure 3. A Client Declaration - Open Interest Position A Client Declaration - Open Interest Position 7 Document describing significant policies and 4. Policies and Procedures procedures of the stock broker

5. Rights and Obligations FOR CLIENT

Risk Disclosure Document (RDD) Document detailing risks associated with dealing 6. in the securities & commodities market. TE COPY

Document detailing do's and don'ts for trading ARA 7. Guidance note on exchange, for the education of the investors. SEP Rights & Obligations of Beneficial Owners & 8. Depository Participants: VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER Running Account Authorisation Authorisation to maintain Running Account 1. 7 Consent for ECN Consent for ECN declaration Additional terms & conditions specific to clients Voluntary Terms & Conditions 2. for the purpose of operational efficiency. 8 to 11 Rights and obligations relating to margin trading Rights and Obligations - MTF 3. facility provided To client 11 to 13 Nomination Form Nominee details for Trading and Demat Account 4. Power of Attorney POA provided by BO to Angel for settlement / Margin purpose 14 to 15

IMPORTANT NOTE 1. Signature Types:

FH Signature of Client / First Holder SH Signature of Second Holder TH Signature of Third Holder

G Signature of Guardian Authorised Signatory of Member W Signature of Witness Signature of Introducer

2. In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature IMPORTANT INSTRUCTIONS 1. All details to be filled in Capital Block letters in Black / Blue Ink Only. 2. Email ID & Mobile number is mandatory for account related passwords and transaction details. 3. Corrections in the KYC form should be counter signed. 4. Strike off whichever option, in the account opening form, is not applicable. 5. All Originals to be produced for physical verification. 6. If any proof of identity or address is in a regional language, then translation into English is required. 7. Sole proprietor must make the application in his individual name & capacity. 8. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. KYC CHECKLIST (PLEASE TICK WHEREVER APPROPRIATE)

PAN Card Account Holder & Joint Holder’s (If any)

Photograph One Colored Front Face Photograph on photographic Paper (Passport Size)

1. Unique identification number (UID) (Aadhaar) Additional Proof of Identity (Any One) 2. Valid Passport (Name, Address & Photo page) KRA document used (If Pan card not visible 3. Voter ID (front and back) OR Pan card sign & (Email Id & Phone number signature in KYC form 4. Valid Driving License (Name, Address & Photo page) to be provided on are different) given KRA Form) 5. PAN Card

6. Other 1 (Pls. Specify) ______

1. Valid Passport (Name, Address & Photo page)

2. Voter ID (front and back)

3. Valid Driving License (Name, Address & Photo page)

4. Unique identification number (UID) (Aadhaar) Proof of Address KRA document used (Any One) 5. Bank Statement/Passbook (not more than 3 months old must contain complete address of client) Permanent / Correspondence 6. Banker’s Verification Letter 7. Electricity Bill (not more than 3 months old)

8. Resident Landline Tel. Bill (not more than 3 months old)

9. Registered Flat Sale Agreement of Residence

10. Registered Lease/Leave & License Agreement

11. Ration Card

1. Bank Statement / Bank Passbook with cheque leaf (not more than 3 months old) Bank Proof With MICR / IFSC Code 2. Banker’s Certificate on letter head of the Bank (ORIGINAL) (1st Holder only) 3. Cancelled Personalized Cheque leaf

1. Client Master (CML copy duly attested by DP) Demat Proof (Any One) (1st Holder only) 2. DP Statement / Transaction cum Holding Statement

1. Copy of ITR Acknowledgement Proof of Income (Any One) 2. In case of salary income - Salary Slip, Copy of Form 16 (Mandatory for F&O / 3. Net-worth certificate (Not more than 1 year old) Currency / Commodity Segments) (1st Holder only) 4. Copy of Demat Account Holding Statement 5. Bank Account Statement for last 6 months reflecting income Angel Broking Ltd. FIRST HOLDER KNOW YOUR CLIENT (KYC) | APPLICATION FORM (FOR INDIVIDUALS ONLY) Application No. : Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options A. IDENTITY DETAILS 1. Name of Applicant FIRST NAME MIDDLE NAME LAST NAME 2. Maiden Name FOR MARRIED WOMEN ONLY 3. Father’s / Spouse Name FIRST NAME MIDDLE NAME LAST NAME 4. Mother Name PHOTOGRAPH 5. a. Gender Male Female Transgender b. Date of birth DD / MM / YYYY c. Marital Status Single Married Others 6. Nationality Indian 7. Status Resident Individual FH 8. PAN Aadhaar 1/9 9. Specify the proof of identity submitted :

B. ADDRESS DETAILS

1. Residence / Correspondence Address City/Town/Village District Pin Code State Country 2. Contact/Mobile No Tel (Res.) Tel (Off.) Email id 3. Specify the proof of address submitted for Residence / Correspondence Address:

4. Permanent Address (if different from above correspondence address)

City/Town/Village District Pin Code State Country

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

Place Signature of Applicant FH Date DD / MM / YYYY 2/9

FOR OFFICE USE ONLY Details of Employee / Documents verified Client Interviewed By & Authorized Signatory with Originals In-Person Verification done by Name & E Code Designation Seal/Stamp of the Intermediary Date DD / MM / YYYY DD / MM / YYYY Signature

Ver: 3.2 1 Angel Broking Ltd. SECOND HOLDER KNOW YOUR CLIENT (KYC) | APPLICATION FORM (FOR INDIVIDUALS ONLY) Application No. : Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options A. IDENTITY DETAILS 1. Name of Applicant FIRST NAME MIDDLE NAME LAST NAME 2. Maiden Name FOR MARRIED WOMEN ONLY 3. Father’s / Spouse Name FIRST NAME MIDDLE NAME LAST NAME 4. Mother Name PHOTOGRAPH 5. a. Gender Male Female Transgender b. Date of birth DD / MM / YYYY c. Marital Status Single Married Others 6. Nationality Indian 7. Status Resident Individual SH 8. PAN Aadhaar 1/4 9. Specify the proof of identity submitted :

B. ADDRESS DETAILS

1. Residence / Correspondence Address City/Town/Village District Pin Code State Country 2. Contact/Mobile No Tel (Res.) Tel (Off.) Email id 3. Specify the proof of address submitted for Residence / Correspondence Address:

4. Permanent Address (if different from above correspondence address)

City/Town/Village District Pin Code State Country

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

Place Signature of Applicant SH Date DD / MM / YYYY 2/4

FOR OFFICE USE ONLY Details of Employee / Documents verified Client Interviewed By & Authorized Signatory with Originals In-Person Verification done by Name & E Code Designation Seal/Stamp of the Intermediary Date DD / MM / YYYY DD / MM / YYYY Signature

Ver: 3.2 2 FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL Client Name First/Sole Holder Are you U.S. Person? (Refer KYC Handout - Customer Copy) Yes No Specify country of residence for tax purpose (Tax Residency) India Other Specify country of citizenship India Other

TRADING & DEMAT ACCOUNT RELATED DETAILS

TYPE OF ACCOUNT : Individual Sub Status Resident Other

A. BANK ACCOUNT DETAILS - Payin / Payout of funds will be routed through the said bank account only Bank Name & Branch Location: Account No. Savings Current MICR Code IFSC Code B. DEPOSITORY ACCOUNT DETAILS (DP1 DETAILS CONSIDERED FOR PAYOUT OF SECURITIES IF FILLED) DP 1 Details DP 2 Details Depository CDSL CDSL NSDL DP Name Angel Broking Ltd Client Name DP ID 1 2 0 3 3 2 0 0 BO ID

C. TRADING PREFERENCES (Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.) Stock Exchanges

NSE BSE

All Exchanges

FH MCX NCDEX 1/14/91

Market segment on which you wish to trade

F & O Cash Market I hearby confirm having knowledge Mutual Fund All Segment of risks associated with dealing in F&O FH 1/14/91

Currency Derivatives Segment

NSE BSE I hearby confirm having knowledge I hearby confirm having knowledge of risks associated with dealing of risks associated with dealing BOTH in Currency derivatives segment in Currency derivatives segment FH 1/15/91

For any additional segment / exchange, separate authorization/letter shall be required from the client

Ver: 3.2 3 D. STANDING INSTRUCTIONS / AUTHORIZATION FROM THE CLIENT Contract Note/Holding & Transaction Statement including Electronic Physical CAS/Other Documents*(For ECN in commodity segment, please refer pg. no. 9) Receive Delivery Instruction Slip No Yes Share Email ID with Registrar & Transfer Agent No Yes Receive Annual Report Electronic Physical Both Monthly Fortnightly Weekly DP Account Statement As per SEBI Regulation Declaration for Mobile Number Self Spouse Child Parent Self Spouse Child Parent Declaration for Email ID Do not have Yes No Running Account Settlement If yes, please select Monthly Quarterly Whether you wish to avail of the facility of internet trading / wireless technology ( please specify) Yes No Margin Trading Facility ( Refer Rights & Obligation document) Yes No

Wish to make Nomination in trading and Demat account Yes No (If yes, please fill up annexure “A”)

E. INFORMATION FOR PREVENTION OF MONEY LAUNDERING ACT, 2002 Experience Number of years of Investment / Trading Experience Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs >25 Lacs Gross Annual Income OR Net Worth in ` (*Net worth should not be older than 1 year) as on date DD / MM / YYYY Govt Service Professional Private Sector Service Occupation Public Sector Business Retired Agriculturist (Please tick) Housewife Student Others (Pls______Specify) Manufacturing Services Trading Nature of Business Consultancy Others______Client Category Commercial participant value chain participant exporter importer hedger Noncommercial financial participant trader arbitrager participant Is the Client Politically Exposed Person (PEP) or Related to a PEP PEP Related to PEP Not a PEP / RPEP F. PAST ACTIONS Details of any action / proceedings initiated / pending / taken by SEBI / Exchanges / any other authority against the applicant / constituent or its Partners / promoters / whole time directors /authorized persons in charge of dealing in securities / commodities during the last 3 years: No If yes, please specify

G. GST REGISTRATION DETAILS

Registration No Validity Date Name of the State GSTIN No: DD / MM / YYYY

Ver: 3.2 4 Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature H. DEALINGS THROUGH SUB-BROKERS / AUTHORISED PERSON (AP) / OTHER STOCK BROKERS If Yes, please specify: Name of Stock Broker Name of SB/AP

Name of Exchange Client Code (as given by other broker) Details of disputes/dues pending from/to such stock broker/sub-broker: Whether you are a Member / Sub-broker / AP of any Exchange Yes No If yes, provide SEBI / Exchanges registration no: Ph. Website:

I. INTRODUCER DETAILS Status of Introducer Sub-broker/AP Employee Existing Client Others (Specify): Introducer Name: SB/Emp/Client Code: Address:

Mobile No:

Signature of the Introducer

DECLARATION

i.e. www.angelbroking.com

FH SH TH 6/9 3/4 1/2 (First/Sole Holder Signature) (Second Holder Signature) (Third Holder Signature) Place: ______

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 5 Trading Brokerage and Demat Tariff for Individual (POA client )

Plan Name Angel 699 iTrade Classic iTrade Preferred iTrade Premier

Initial Margin Nil Rs. 10000 Rs. 25000 Rs. 50000

- DP AMC Charges @ 450 / Year Free for 1 yr Free for 1 yr Free for 2 yr Free for 3 yr

Online Brokerage per executed order - Order value less than equal to Rs. 50,000 / order Rs. 15 Rs. 15 Rs. 15 Rs. 15 - Order value greater than Rs. 50,000 / order Rs. 30 Rs. 30 Rs. 30 Rs. 30

Value Added Services - Call and Trade charges per order Rs. 20 Rs. 20 Rs. 20 Rs. 20 - Premium Advisory - - Free for 1 yr Free for 2 yr - Dedicated Relationship Manager - - - Yes - Online Wealth Builder Training Program (Once a Month) - - - Free - Financial Planning - - Free Free - Online Fund Transfer via Net Banking & UPI Free Free Free Free - ARQ - Robo based Advisory Free Free Free Free - Technical & Derivatives trading ideas Free Free Free Free

- Franking, KRA, CKYC, eSignature Charges , Free - Email statements / Electronic contract notes

- Transaction charges for Sell (Debit ) & Rs. 20 Inter-settlement Debit per transaction

- Pledge Creation/ Closure / Invocation Rs. 25 - Demat / Remat (Per Certificate ) - Physical statements request/ DIS request / Rs. 50 Physical contract notes

-Cheque Bounce Charges Rs. 350

-Delay Payment Charges (DPC) on outstanding bill amount if 1.5 % Per month not paid within due date (levied every 15 days)

Notes : 1.Brokerage is levied per executed order across all segments 2. Order value for Options is calculated as ( Strike + Premium ) x Lot size. Brokerage is also charged on expired, exercised and assigned options contract

3. Stamp duty, GST, Education cess & other statutory levies (if any) will be charged as applicable

4. Above tariff is subject to change. Changes if any will be intimated 30 days in advance

FH SH TH 7/9 4/4 2/2

(First/Sole Holder Signature) (Second Holder Signature) (Third Holder Signature)

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 6 PLEASE TICK WHICHEVER IS APPLICABLE A. CLIENT DECLARATION - OPEN INTEREST POSITION

B. CONSENT TO INSTRUCTION TO MAINTAIN RUNNING ACCOUNT (VOLUNTARY)

C. CONSENT FOR ELECTRONIC CONTRACT NOTE (ECN) - DECLARATION (VOLUNTARY) I, ______, Client Code ______, PAN ______, Registered with you as a client of Multi Commodity Exchange of India Ltd (MCX), and/or National Commodity & Derivative Exchange Ltd (NCDEX), undertake as follows: Ÿ 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. Ÿ I am aware that the Member has to provide electronic contract note for my convenience on my request only. Ÿ 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 trades carried out/ordered by me. Ÿ I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email operations. Ÿ My email id is ______(the email id must be written in own handwriting). This has been created by me and not by someone else. Ÿ I am aware that this declaration form should be in English or in any other Indian language known to me. Ÿ I am aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above e-mail ID. [The above declaration has 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]

Verification of the client signature done by, FH Client Signature 8/9 Authorised Signatory of Member Date: DD / MM / YYYY Designation: Place: Date: DD / MM / YYYY

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 7 VOLUNTARY TERMS AND CONDITIONS (EQUITY & COMMODITY)

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 8 Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 9 Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 10 I/We hereby state & confirm that I have read & understood the terms & conditions as mentioned above & agree to abide by the same.

RIGHTS AND OBLIGATIONS RELATING TO MARGIN TRADING FACILITY PROVIDED TO CLIENTS (VOLUNTARY)

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 11 Ver: 3.2 12 I would like to avail of Margin Trading Facility and agree to the above Rights & Obligation

FH Client Signature 9/9

Ver: 3.2 13 Y

INTENTIONALLLEFT BLANK ANNEXURE-A NOMINEE DETAILS FOR TRADING AND DEMAT ACCOUNT

Client Name Trading Code DP ID 12033200 Client ID I/We wish to nominate I/We do not wish to nominate Nominee Details *Nominee 1 *Nominee 2 *Nominee 3 First Name Middle Name Last Name Address City State PIN Contact Details PAN UIDAI Date of Birth % of allocation of Securties Relationship with BO GUARDIAN DETAILS (IF NOMINEE IS A MINOR) First Name

Address

City State / Country PIN Relationship with Nominee Guardian Signature

FH SH TH (First/Sole Holder Signature) (Second Holder Signature) (Third Holder Signature) Date Place WITNESSES (ONLY APPLICABLE IN CASE THE ACCOUNT HOLDER HAS MADE NOMINATION) Name Address Signature

* If in case of multiple nominee., Residual securities, Nominee 1 shall be entitled for Residual securities.

OFFICE USE ONLY (To be filled by Depository Participant) DP ID 1 2 0 3 3 2 0 0 Client ID Nomination form accepted and registered vide Registration No.: ______I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the clients.

Seal/Stamp of the Intermediary Signature of the Authorised Signatory

Ver: 3.2 14

POWER OF ATTORNEY - POA (VOLUNTARY) AS PER EQUITY

DULY STAMPED

FH SH TH (First/Sole Holder Signature) (Second Holder Signature) (Third Holder Signature)

I / We accept (For Angel Broking Ltd) Signature of Witness: FW

Name:______Authorised Signatory: ______Address:______Date:______

SCHEDULE 1 - LIST OF DEMAT ACCOUNTS

Depository Participant Name - Demat A/c No. Exchange Name / Type Depository Participant Name - Demat A/c No. Exchange Name / Type

Angel Broking Ltd 1203320000000028 BSE ABL/Client Beneficiary A/c HDFC Bank IN301549 32108952 NSE ABL/Client Beneficiary A/c

HDFC Bank IN300126 10003588 BSE ABL/Pool A/c Angel Broking Ltd 1203320000026363 NSE Currency ABL/Client Beneficiary A/c

Angel Broking Ltd 1203320000006564 BSE ABL/Pool A/c Angel Broking Ltd 1203320004025849 MSXI ABL/Client Beneficiary A/c

Angel Broking Ltd 1203320000000066 BSE ABL/Client Beneficiary A/c Angel Broking Ltd 1203320004574264 NSE FO ABL/Client Beneficiary A/c

HDFC Bank IN301549 14216209 BSE ABL/Client Beneficiary A/c HDFC Bank IN301549 16921197 NSE FO ABL/Client Beneficiary A/c

IL & FS IN300095 10184021 NSE ABL/Pool A/c Angel Broking Ltd 1203320007561350 BSE FO ABL/Client Beneficiary A/c

Angel Broking Ltd 1203320006951435 NSE ABL/Pool A/c ICICI Bank IN301348 20057525 NSE FO ABL/Client Beneficiary A/c

Angel Broking Ltd 1203320000000051 NSE ABL/Client Beneficiary A/c ICICI Bank IN301348 20057752 NSE ABL/Client Beneficiary A/c

ABL/Client Beneficiary A/c Angel Broking Ltd 1203320009603460 BSE / NSE Angel Broking Ltd 1203320000006579 NSE ABL/Pool A/c (Margin Trading)

Angel Broking Ltd 1203320008556483 NCDEX Collateral Account Angel Broking Ltd 1203320008556810 MCX Collateral Account

Note: In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature Ver: 3.2 15

Angel Broking Ltd Registered / Correspondence Office: G-1, Ackruti Trade Centre, Road No. 7, MIDC, Andheri (E), Mumbai - 400 093. Tel.: 91 22 4231 9600 / 3083 7700. Fax: 91 22 2835 8811. Website: www.angelbroking.com. CIN: U67120MH1996PLC101709 Member: Bombay Stock Exchange Ltd. / National Stock Exchange of India Ltd./ Metropolitan Stock Exchange of India Ltd. / Multi Commodity Exchange of India Ltd. / National Commodity & Derivatives Exchange Ltd. / CDSL-Depository Participant

SEBI Registration No.: INZ000161534

BSE & NSE Cash Segment TM Code - BSE 612 TM Code - NSE 12798

NSE F&O Segment (Trading Member) TM Code - NSE 12798 ICICI Bank Ltd. (Clearing Member) SEBI Registration No.: INF231134745 CM Code - C50006

NSE Currency Derivatives Segment (Trading cum Clearing Member) TM Code - NSE Currency 12798

BSE Currency Derivatives Segment (Trading Member) TM Code - 612 IL&FS Securities Services Ltd. (Clearing Member) SEBI Registration No.: INE011311532 CM Code - 807

Multi Commodity Exchange of India Ltd. (Trading cum Clearing Member) TM Code - 12685

National Commodity & Derivatives Exchange Ltd. (Trading cum Clearing Member) TM Code - 00220

CDSL-Depository Participant - SEBI Registration No.: IN-DP-CDSL-384-2018 | CDSL DP ID: 12033200

For any grievance/dispute please contact Angel Broking Ltd at the above address or email id: [email protected] and Phone no.: 022-3355 1111 / 4281 5454. In case not satisfied with the response, please contact the concerned exchange(s): BSE Email: [email protected] & Tel.: (022) 2272 8097 | NSE Email: [email protected] & Tel.: (022) 2659 8190 | MCX Email: [email protected] & Tel No: (022) 6731 8888 | NCDEX Email: [email protected] & Tel No: (022) 6640 6899 Compliance Officer Name: Mr. Rajiv Kejriwal Tel.: 91 22 3941 3940. Email ID: [email protected] CEO Name: Mr. Vinay Agrawal. Tel.: 022 - 3355 1111 / 4218 5454. Email ID: [email protected] Also refer our website: www.angelbroking.com for updated details, if any.

For details: Please contact your nearest branch or call Centralized Helpdesk at: 022 - 3355 1111 / 4281 5454 or write to [email protected]