ANNEXURE – 1 ACCOUNT OPENING KIT INDEX OF ......E- UID (Aadhaar) F- NREGA Job Card Z- Others (any document notified by the central government) S- Simplified Measures Account - Document

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ANNEXURE – 1

ACCOUNT OPENING KIT

INDEX OF DOCUMENTS

1. Account Opening Form A. KYC & CERSAI Annexure form - Document captures the basic

information about the constituent and an instruction/checklist.

B. Document captures the additional information about the con-

stituent relevant to trading account and an instruction/checklist.

S.N. Name of the Document Brief Significance of the Document Pg. No

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

5. Policies and Procedures Document describing significant policies and procedures of

the stock broker.

6. Tariff sheet Document detailing the rate/amount of brokerage and other

charges levied on the client for trading on the stock exchange(s).

3-9

10-12

13-15

16

9. Running Account Authorisation &

SMS Alerts by Trading Member on

Mobile/Cellular Phones

This letter is authorisation to maintain fund, securities on

running account basis & for authorisation to receive SMS

Alerts on Mobile/Cellular Phones.

36

10. ECN Letter This mandate is to authorisitation to issue contract notes in

digital mode. It provides terms and conditions for the issuance

of digital contract note.

37

Document captures the additional information about the con-

stituent relevant to DP account opening form, nomination form,

Consent Letter for Email and Mobile alert, SMS alert, POA etc.

17-327. Dp Account Opening Form

8. Voluntary Clauses Additional clauses pertains to ease of operation. 34-35

12. Auto Square off/Liquidation of

open position

38This letter denotes conditions under which Auto Square off/

Liquidation of open position will take place.

16. Format of Board Resolution To be provided on letterhead of firm (if applicable) 42

15. Declaration by partnership firm To be provided on letterhead of firm (if applicable) 41

14. Declaration by HUF To be provided on letterhead of firm (if applicable) 41

11. Consent letter for receiving Alerts, Trad-

ing Calls, Research Reports etc on Mobile

38This letter permit broker to share data & information pertaining

to client on Mobile.

13. FATCA/CRS Form 39-40Certain information to be obtained from constituents

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

FORMAT OF DOCUMENTS

2. Rights and Obligations Document stating the Rights & Obligations of stock broker/

trading member, authorised person and client for trading on

exchanges (including additional rights & obligations in case

of internet/wireless technology based trading) & rights &

obligations in case of Depository Participant.

3. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the

securities market.

4. Guidance Note Document detailing do’s and don’ts for trading on exchange,

for the education of the investors.

Part B

Part B

Part B

�Signature of Client / First Holder �Signature of Second HolderSH

�Signature of Third HolderTH

W1 Signature of First Witness W2 Signature of Second Witness

Signature of Introducer�Signature of Authorised Signatories�

Signature of NP/AP/Remisser•

Signature of RM$

8. Consent for sharing KYC Details Consent to share KYC details to sudsidiary Companies. 33

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PROPRIETORY TRADE DECLARATION

In terms of circular no. SEB/MRD/SE/CIR-42/2003 dated 19 Nov. 2003 issued by Securities Exchange Board of India

the broker member is obliged to disclosed to its clients / constituents whether the member is trading in his own

account or not. Accordingly we hereby inform you that depending upon the market conditions, the members, its

directors or its associates do invest / trade in capital / derivatives segment. The same may please be noted.

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MANDATORYCENTRAL KYC REGISTRY - KNOW YOUR CLIENT (KYC) APPLICATION FORM - INDIVIDUAL

For office use only Application Type* � New � Update

(To be filled by financial institution) KYC No. (Mandatory for KYC update required)

Account Type* � Normal � Simplified (for low risk customers) � Small

� 1. PERSONAL DETAILS (Please refer instruction A at the end)

� Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender* � M- Male � F- Female � T-TransgenderMarital Status* � Married � Unmarried � OthersCitizenship* � IN-Indian � Others (ISO 3166 Country Code )Residential Status* � Resident Individual � NRI � Foreign National � Person of Indian OriginOccupation Type* � S-Service (� Private Sector � Public Sector � Government Sector)

� O-Others (� Professional � Self Employed � Retired � Housewife � Student)� B-Business � X-Not Categorised

Prefix First Name Middle Name Last Name

� 2. TICK IF APPLICABLE � RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end)

ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked)

ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth* ISO 3166 Country Code of Birth*

� 3. PROOF OF IDENTITY (Please refer instruction C at the end)

(Certified copy of any one of the following Proof of Identity [PoI] needs to be submitted)

� A- Passport Number Passport Expiry Date

� B- Voter ID Card

� C- PAN Card

� D- Driving Licence Driving Licence Expiry Date

� E- UID (Aadhaar)

� F- NREGA Job Card

� Z- Others (any document notified by the central government) Identification No.

� S- Simplified Measures Account - Document Type code Identification No.

� 4. PROOF OF ADDRESS (POA)*

PHOTO

� 4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end)

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

Address Type* � Residential / Business � Residential � Business � Registered Office � Unspecified

Proof of Address* � Passport � Driving Licence � UID (Aadhaar) � Voter Identity Card � NREGA Job Card

� Simplified Measures A/c.-Document Type code � Others

Important Instructions:A) Fields marked with ‘*’ are mandatory fields.B) Please fill the form in English and in BLOCK letters.C) Please fill the date in DD-MM-YYYY format.D) Please read section wise detailed guidelines /

instructions at the end.E) List of State / U.T code as per Indian Motor Vehicle

Act, 1988 is available at the end.

F) List of two character ISO 3166 country codes is availableat the end.

G) KYC number of applicant is mandatory for updateapplication.

H) For particular section update, please tick (�) in the boxavailable before the section number and strike off thesections not required to be updated.

Address

Line 1*

Line 2

Line 3

District* PIN/Post Code* State /U. T. Code* ISO 3166 Country Code*

Signature/Thumb impression

KRChoksey Shares and Securities Pvt. Ltd. (KRCSSPL)

�

X X X X X X X X

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� 4.2 Correspondence/Local ADDRESS DETAILS* (Please see instruction E at the end)

� Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

Line 1*

Line 2

Line 3

District* PIN/Post Code* State /U. T. Code* ISO 3166 Country Code*

� 4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

� Same as Current / Permanent / Overseas Address details � Same as Correspondence / Local Address details

Line 1*

Line 2

Line 3

State* PIN/Post Code* State /U. T. Code* ISO 3166 Country Code*

� 5. CONTACT DETAILS (All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

Tel. (Off) Tel. (Res) Mobile

Fax Email ID

� 6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1) (please refer instruction G at the end)

� Addition of Related Person � Deletion of Related Person KYC Number of Related Person (if available*)Related Person Type* � Guardian of Minor � Assignee � Authorised Representative

Name*First Name Middle Name Last NamePrefix

(If KYC number and name are provided, below details of section 6 are optional)PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

� A-Passport Number

� B-Voter ID Card

� C- PAN Card

� D- Driving Licence

� E- UID (Aadhaar)

� F- NREGA Job Card

� Z- Others (any document notified by the central government)

� S- Simplified Measures Account - Document Type code

Passport Expiry Date

Driving Licence Expiry Date

ID No.

ID No.

� 7. REMARKS (If any) Mobile No./Email Id (Please refer the Institution F at the end)

� 8. APPLICANT DECLARATION

• I hereby declare that the details furnished above are true and correct to the best of myknowledge 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 ormisrepresenting, I am aware that I may be held liable for it.

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

Signature / Thumb Impression of ApplicantDate: Place:

� 9. ATTESTATION / FOR OFFICE USE ONLY

Documents Received � Certified Copies

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date:

Emp. Name:

Emp. Code: Emp. Branch:

Emp. Designation:

Name

Code

[Employee Signature]

D D D D Y Y Y Y

D D D D Y Y Y Y

D D D D Y Y Y Y

KRChoksey Shares and Securities Pvt. Ltd.

9 1

[Institution Stamp]

In Person Verificaion done on Date:

Emp. Name:

[Employee Signature]

�

X X X X X X X X

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CENTRAL KYC REGISTRY | INSTRUCTIONS / CHECK LIST / GUIDELINES FOR FILLING INDIVIDUAL KYC APPLICATION FORM

General Instructions:1 Fields marked with ‘*’ are mandatory fields. 2 Tick ‘� ’ wherever applicable. 3 Self-Certification of documents is mandatory.4 Please fill the form in English and in BLOCK Letters. 5 Please fill all dates in DD-MM-YYYY format.6 Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code respectively list of which is available at the end.7 KYC number of applicant is mandatory for updation of KYC details.8 For particular section update, please tick (�) in the box available before the section number and strike off the sections not required to be updated.9 In case of ‘Small Account type’ only personal details at section number 1 and 2, photograph, signature and self-certification required.A Clarification / Guidelines on filling ‘Personal Details’ section

1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc.). The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected.2 Either father’s name or spouse’s name is to be mandatorily furnished. In case PAN is not available father’s name is mandatory.

B Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the said jurisdiction has issued a high integrity number with an equivalent level

of identification (a “Functional equivalent¡¨), the same may be reported. Examples of that type of number for individual include, a social security/insurance number, citizen/personal identification/services code/number, and resident registration number)

C Clarification / Guidelines on filling ‘Proof of Identity [PoI]’ section1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.2 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.3 In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents can also be submitted and undernoted relevant code may be mentioned

in point 3 (S).Document Code Description01 Identity card with applicant¡’s photograph issued by Central/ State Government Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and Public Financial Institutions.02 Letter issued by a gazetted officer, with a duly attested photograph of the person.

D Clarification / Guidelines on filling ‘Proof of Address [PoA] - Current / Permanent / Overseas Address details’ section1 PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in force.2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses.3 In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents can also be submitted and undernoted relevant code may be mentioned

in point 4.1.Document Code Description01 Utility bill which is not more than two months old of any service provider (electricity, telephone, post-paid mobile phone, piped gas, water bill).02 Property or Municipal Tax receipt.03 Bank account or Post Office savings bank account statement.04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector Undertakings, if they contain the address.05 Letter of allotment of accommodation from employer issued by State or Central Government departments, statutory or regulatory bodies, public sector undertakings, scheduled

commercial banks, financial institutions and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation.06 Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.

E Clarification / Guidelines on filling ‘Proof of Address [PoA] - Correspondence / Local Address detail’s section1 To be filled only in case the PoA is not the local address or address where the customer is currently residing. No separate PoA is required to be submitted.2 In case of multiple correspondence / local addresses, Please fill ‘Annexure A1’

F Clarification / Guidelines on filling ‘Contact details’ section1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999). 2 Do not add ‘0’ in the beginning of Mobile number.

G Clarification / Guidelines on filling ‘Related Person details’ section: 1 Provide KYC number of related person if available.H Clarification / Guidelines on filling ‘Related Person details - Proof of Identity [PoI] of Related Person’ section

1 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

List of two – digit state / U.T codes as per Indian Motor Vehicle Act, 1988

State / U.T Code State / U.T CodeState / U.T Code

Andaman & Nicobar AN

Andhra Pradesh AP

Arunachal Pradesh AR

Assam AS

Bihar BR

Chandigarh CH

Chattisgarh CG

Dadra and Nagar Haveli DN

Daman & Diu DD

Delhi DL

Goa GA

Gujarat GJ

Haryana HR

Himachal Pradesh HP

Jammu & Kashmir JK

Jharkhand JH

Karnataka KA

Kerala KL

Lakshadweep LD

Madhya Pradesh MP

Maharashtra MH

Manipur MN

Meghalaya ML

Mizoram MZ

Nagaland NL

Orissa OR

Pondicherry PY

Punjab PB

Rajasthan RJ

Sikkim SK

Tamil Nadu TN

Telangana TS

Tripura TR

Uttar Pradesh UP

Uttarakhand UA

West Bengal WB

Other XX

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Country Country

Code

Country Country

Code

Country Country

Code

Country Country

CodeAfghanistan AF Dominican Republic DO Libya LY Saint Pierre and Miquelon PMAland Islands AX Ecuador EC Liechtenstein LI Saint Vincent & the Grenadines VCAlbania AL Egypt EG Lithuania LT Samoa WSAlgeria DZ El Salvador SV Luxembourg LU San Marino SMAmerican Samoa AS Equatorial Guinea GQ Macao MO Sao Tome and Principe STAndorra AD Eritrea ER Macedonia, the former MK Saudi Arabia SA

Yugoslav Republic ofAngola AO Estonia EE Madagascar MG Senegal SNAnguilla AI Ethiopia ET Malawi MW Serbia RSAntarctica AQ Falkland Islands (Malvinas) FK Malaysia MY Seychelles SCAntigua and Barbuda AG Faroe Islands FO Maldives MV Sierra Leone SLArgentina AR Fiji FJ Mali ML Singapore SGArmenia AM Finland FI Malta MT Sint Maarten (Dutch part) SXAruba AW France FR Marshall Islands MH Slovakia SKAustralia AU French Guiana GF Martinique MQ Slovenia SIAustria AT French Polynesia PF Mauritania MR Solomon Islands SBAzerbaijan AZ French Southern Territories TF Mauritius MU Somalia SOBahamas BS Gabon GA Mayotte YT South Africa ZABahrain BH Gambia GM Mexico MX South Georgia & the GS

South Sandwich IslandsBangladesh BD Georgia GE Micronesia, Federated States of FM South Sudan SSBarbados BB Germany DE Moldova, Republic of MD Spain ESBelarus BY Ghana GH Monaco MC Sri Lanka LKBelgium BE Gibraltar GI Mongolia MN Sudan SDBelize BZ Greece GR Montenegro ME Suriname SRBenin BJ Greenland GL Montserrat MS Svalbard and Jan Mayen SJBermuda BM Grenada GD Morocco MA Swaziland SZBhutan BT Guadeloupe GP Mozambique MZ Sweden SEBolivia, Plurinational State of BO Guam GU Myanmar MM Switzerland CHBonaire, Sint Eustatius & SabaBQ Guatemala GT Namibia NA Syrian Arab Republic SYBosnia and Herzegovina BA Guernsey GG Nauru NR Taiwan, Province of China TWBotswana BW Guinea GN Nepal NP Tajikistan TJBouvet Island BV Guinea-Bissau GW Netherlands NL Tanzania, United Republic of TZBrazil BR Guyana GY New Caledonia NC Thailand THBritish Indian Ocean Territory IO Haiti HT New Zealand NZ Timor-Leste TLBrunei Darussalam BN Heard Island & McDonald Islands HM Nicaragua NI Togo TGBulgaria BG Holy See (Vatican City State) VA Niger NE Tokelau TKBurkina Faso BF Honduras HN Nigeria NG Tonga TOBurundi BI Hong Kong HK Niue NU Trinidad and Tobago TTCabo Verde CV Hungary HU Norfolk Island NF Tunisia TNCambodia KH Iceland IS Northern Mariana Islands MP Turkey TRCameroon CM India IN Norway NO Turkmenistan TMCanada CA Indonesia ID Oman OM Turks and Caicos Islands TCCayman Islands KY Iran, Islamic Republic of IR Pakistan PK Tuvalu TVCentral African Republic CF Iraq IQ Palau PW Uganda UGChad TD Ireland IE Palestine, State of PS Ukraine UAChile CL Isle of Man IM Panama PA United Arab Emirates AEChina CN Israel IL Papua New Guinea PG United Kingdom GBChristmas Island CX Italy IT Paraguay PY United States USCocos (Keeling) Islands CC Jamaica JM Peru PE United States Minor Outlying Islands UMColombia CO Japan JP Philippines PH Uruguay UYComoros KM Jersey JE Pitcairn PN Uzbekistan UZCongo CG Jordan JO Poland PL Vanuatu VUCongo, the Democratic Republic of the CD Kazakhstan KZ Portugal PT Venezuela, Bolivarian Republic of VECook Islands CK Kenya KE Puerto Rico PR Viet Nam VNCosta Rica CR Kiribati KI Qatar QA Virgin Islands, British VGCote d'Ivoire !Côte d'Ivoire CI Korea, Democratic People's Republic of KP Reunion !Réunion RE Virgin Islands, U.S. VICroatia HR Korea, Republic of KR Romania RO Wallis and Futuna WFCuba CU Kuwait KW Russian Federation RU Western Sahara EHCuracao !Curaçao CW Kyrgyzstan KG Rwanda RW Yemen YECyprus CY Lao People's Democratic Republic LA Saint Barthelemy !Saint Barthélemy BL Zambia ZMCzech Republic CZ Latvia LV Saint Helena, Ascension SH Zimbabwe ZW

and Tristan da CunhaDenmark DK Lebanon LB Saint Kitts and Nevis KNDjibouti DJ Lesotho LS Saint Lucia LCDominica DM Liberia LR Saint Martin (French part) MF

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C. New Other Details (please see guidelines overleaf)1. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees & whole time directors

(Please use the Annexure to fill in the details)

2. a. DIN of whole time directors (Please use the Annexure to fill in the details)

b. Aadhaar number (UID) of Promoters/Partners/Karta/Whole time Directors (Please use the Annexure to fill in the details)

Please fill in ENGLISH and in BLOCK LETTERS with black inkA. Identity Details (please see guidelines overleaf)

1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).

2. Date of Incorporation

Place of Incorporation

3. Registration No. (e.g. CIN)

Date of commencement of business

4. Status Please tick (�) � Private Ltd. Co. � Public Ltd. Co. � Body Corporate � Partnership � Trust / Charities / NGOs� FI � FII � HUF � AOP � Bank � Government Body � Non-Government Organisation� Defence Establishment � Body of Individuals � Society � LLP � Others (Please specify) ____________________________________

5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card

DECLARATION

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

NAME & SIGNATURE(S)

OF AUTHORISED

SIGNATORY

PHOTOGRAPH

Please affix

the recent passport

size photograph of Authorised

Signatory

and sign across it

Place:________________________________________ Date: ________________________

Application No.:Know Your Client (KYC)Application Form (For Non-Individuals Only)

d d / m m / y y y y

d d / m m / y y y y

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

2. Contact Details

Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD)Mobile (ISD) (STD) Fax (ISD) (STD)Email Id.

3. Proof of address to be submitted by Applicant for correspondence address. Please submit ANY ONE of the following valid documents & tick (�) against the document attached.� *Latest Telephone Bill (only Land Line) � *Latest Electricity Bill � *Latest Bank Account Statement � Registered Lease / Sale Agreement of Office Premises� Any other proof of address document (as listed overleaf). (Please specify)________________________________________________________________________________

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted

4. Registered Address (if different from above)

City / Town / Village Postal CodeState Country

City / Town / Village Postal CodeState Country

d d / m m / y y y y

FOR OFFICE USE ONLYAMC/Intermediary name OR codeKRChoksey Shares and Securities Pvt. Ltd. - POS Code: 1100010700Abhishek, C-5&6, 5th Floor, Dalia Industrial Estate, Link Road, Andheri (W), Mumbai 400 053.Tel.: 91-22-6696 5555 � Fax: 91-22-6691 9576

� Originals Verified and Self attested Document copies received Staff NameDesignation Date

For KRChoksey Shares and

Securities Pvt. Ltd.

Director/Authorised Signatory


�

�

5. Specify the proof of address submitted for registered address: ____________________________________________________________________________________________

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A. IMPORTANT POINTS:1. Self attested copy of PAN card is mandatory for all clients, including Promoters/

Partners/Karta/Trustees and whole time directors and persons authorized to dealin securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested andaccompanied by originals for verification. In case the original of any document isnot produced for verification, then the copies should be properly attested by entitiesauthorized for attesting the documents, as per the below mentioned list.

3. If any proof of identity or address is in a foreign language, then translation intoEnglish is required.

4. Name & address of the applicant mentioned on the KYC form, should match withthe documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both haveto be submitted.

6. Sole proprietor must make the application in his individual name & capacity.7. For non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA

guidelines), copy of passport/PIOCard/OCICard and overseas address proof ismandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors,their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC(Continuous Discharge Certificate) is to be submitted.

10. For opening an account with Depository participant or Mutual Fund, for a minor,photocopy of the School Leaving Certificate/Mark sheet issued by Higher SecondaryBoard/Passport of Minor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have beenentrusted with prominent public functions in a foreign country, e.g., Heads of Statesor of Governments, senior politicians, senior Government/judicial/military officers,senior executives of state owned corporations, important political party officials,etc.

B. Proof of Identity (POI): - List of documents admissible as Proof of Identity:1. PAN card with photograph. This is a mandatory requirement for all applicants except

those who are specifically exempt from obtaining PAN (listed in Section D).2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving

license.3. Identity card/ document with applicant’s Photo, issued by any of the following:

Central/State Government and its Departments, Statutory/Regulatory Authorities,Public Sector Undertakings, Scheduled Commercial Banks, Public FinancialInstitutions, Colleges affiliated to Universities, Professional Bodies such as ICAI,ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issuedby Banks.

C. Proof of Address (POA): - List of documents admissible as Proof of Address:

INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM(*Documents having an expiry date should be valid on the date of submission.)1. UID/Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement

of Residence/Driving License/Flat Maintenance bill/Insurance Copy.2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more

than 3 months old.3. Bank Account Statement/Passbook - Not more than 3 months old.4. Self-declaration by High Court and Supreme Court judges, giving the new address

in respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of Scheduled

Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

6. Identity card/document with address, issued by any of the following: Central/StateGovernment and its Departments, Statutory/Regulatory Authorities, Public SectorUndertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, BarCouncil etc.,to their Members.

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians(which are duly notarized and/or apostiled or consularised) that gives the registeredaddress should be taken.

8. The proof of address in the name of the spouse may be accepted.D. Exemptions/clarifications to PAN

(*Sufficient documentary evidence in support of such claims to be collected.)1. In case of transactions undertaken on behalf of Central Government and/or State

Government and by officials appointed by Courts e.g. Official liquidator, Courtreceiver etc.

2. Investors residing in the state of Sikkim.3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in

India.4. SIP of Mutual Funds upto Rs 50, 000/- p.a.5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial

Banks, Multilateral and Bilateral Development Financial Institutions, State IndustrialDevelopment Corporations, Insurance Companies registered with IRDA and PublicFinancial Institution as defined under section 4A of the Companies Act, 1956,Custodians shall verify the PAN card details with the original PAN card and provideduly certified copies of such verified PAN details to the intermediary.

E. List of people authorized to attest the documents:1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative

Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixedon the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banksregistered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /ConsulateGeneral in the country where the client resides are permitted to attest the documents.

Types of entity Documentary requirementsCorporate • Copy of the balance sheets for the last 2 financial years (to be submitted every year).

• Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in termsof SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).

• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.• Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.• Copies of the Memorandum and Articles of Association and certificate of incorporation.• Copy of the Board Resolution for investment in securities market.• Authorised signatories list with specimen signatures.

Partnership firm • Copy of the balance sheets for the last 2 financial years (to be submitted every year).• Certificate of registration (for registered partnership firms only).• Copy of partnership deed.• Authorised signatories list with specimen signatures.• Photograph, POI, POA, PAN of Partners.

Trust • Copy of the balance sheets for the last 2 financial years (to be submitted every year).• Certificate of registration (for registered trust only). Copy of Trust deed.• List of trustees certified by managing trustees/CA.• Photograph, POI, POA, PAN of Trustees.

HUF • PAN of HUF.• Deed of declaration of HUF/ List of coparceners.• Bank pass-book/bank statement in the name of HUF.• Photograph, POI, POA, PAN of Karta.

Unincorporated • Proof of Existence/Constitution document.Association or a • Resolution of the managing body & Power of Attorney granted to transact business on its behalf.body of individuals • Authorized signatories list with specimen signatures.Banks/Institutional Investors • Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years.

• Authorized signatories list with specimen signatures.Foreign Institutional • Copy of SEBI registration certificate.Investors (FII) • Authorized signatories list with specimen signatures.Army/ Government • Self-certification on letterhead.Bodies • Authorized signatories list with specimen signatures.Registered Society • Copy of Registration Certificate under Societies Registration Act • List of Managing Committee members.

• Committee resolution for persons authorised to act as authorised signatories with specimen signatures.• True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.

F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:

9

Annexure - A

Name: _____________________________________________________________________

Regd./Residential Address: ____________________________________________________

__________________________________________________________________________

Tel./Mobile No.: __________________________ DIN Number: ______________________

Unique Identification Number(UID) / AADHAAR if Any:

Relationship with Applicant: ___________________________ PAN: ___________________

Signature

across

Photograph

Please tick, if applicable: � Politically Exposed Person (PEP)

� Related to a Politically Exposed Person (RPEP)

� No

Name: _____________________________________________________________________


__________________________________________________________________________




Signature

across

Photograph



� No

Name: _____________________________________________________________________


__________________________________________________________________________




Signature

across

Photograph



� No

Name: _____________________________________________________________________


__________________________________________________________________________




Signature

across

Photograph



� No

Name of Applicant: ______________________________________ PAN of the Applicant:

Name, Company stamp & Signature of the Authorised Signatory(ies) Date

Details of Promoters / Partners / karta / Trustees and whole time directors forming a part of KYC Application Form for Non-Individuals

�

�

�

�

�

X X X X X X X X

X X X X X X X X

X X X X X X X X

X X X X X X X X

10

ANNEXURE – 3

TRADING ACCOUNT RELATED DETAILS

For Individuals & Non-individuals MANDATORY

BANK ACCOUNT(S) DETAILS

No. MICR No. Bank Name, Branch Add. & Tel. No. A/c Type (NRI/NRE/NRO) Account No. IFSC Code

(Savings/Current/Other)

1

2

Please provide Cancelled Cheque leaf for MICR & IFSC Code

*Shares bought by you will be transferred to your DP A/c stated by you at Sr. No. 1*

TRADING PREFERENCES

*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.

# If, in future, the client wants to trade on any new segment / new exchange, separate authorization / letter shouldbe taken from the client by the stock broker.

PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any

other authority against the applicant/constituent or its Partners/promoters/whole time

directors/authorized persons in charge of dealing in securities during the last 3 years:

DEALINGS THROUGH AUTHORISED PERSON AND OTHER STOCK BROKERS

If client is dealing through the Authorised Person, provide the following details:

Authorised Person’s Name BSE SEBI Reg. No.

Regd. Off. NSE SEBI Reg. No.

Tel. & Fax No. AP (NSE)

Website Remisier/AP

Whether dealing with any other stock broker/Authorised Person (if in case dealing with multiple stock brokers/Authorised Person, provide details of all)

Name of Name of Authorised Client Exchange

Stock Broker Person, if any Code

Details of disputes/dues pending from/to such stock broker/Authorised Person:

ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify): � YES � NO

Specify your Email id, if applicable:

DEPOSITORY ACCOUNT(S) DETAILS

Sr. No. Depository Participant Name Beneficiary name DP ID No. BO ID Depository Name

1* (NSDL/CDSL)

2 (NSDL/CDSL)

In case of NRE clients, please provide the PIS Permission No.................. Date.................issued by Branch.

RBI Reference No.: RDI approval Date:

Whether you wish to receive Rights & Obligations of stock broker, Authorised Person and client as prescribed by SEBI and Stock

Exchanges (including additional rights & obligations in case of internet/ wireless technology based trading); Rights and Obligations

of beneficial owner and depository participant as prescribed by SEBI and depositories; Uniform Risk Disclosure Documents (for

all segments/ exchanges); and Guidance Note detailing Do's and Don'ts for trading on stock exchanges (please specify):

� PHYSICAL

� ELECTRONIC

Ex. Segment

Cash

Derivatives

Currency Derivatives

SLBM

Commodity

BSE NSE

�

�

�

�

�

�

�

�

�

N.A.

11

NOMINATION DETAILS (FOR INDIVIDUAL ONLY)

� I / We wish to nominate � I / We do not wish to nominate

Name of Nominee Relation with Nominee

Address PAN No.

Tel. No.

If Nominee is a minor, details of Guardian Date of Birth

Name of Guardian

Address & Tel No. Signature of Guardian

Witnesses (Only applicable in case the account holder has made nomination)

Name Name

Address Address

Signature Signature

DECLARATION

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our nowledge 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 am/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 procedures

of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk

Disclosure Document'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We

have also been informed that the standard set of documents has been displayed for Information on KRChoksey Shares

& Securities Pvt Ltd's designated website: www.krchoksey.com

Name Signature of Client/(all) Authorised Signatory(ies)

Place Date�

INTRODUCER DETAILS (Optional)

Name of the Introducer Signature

Add. / Tel.

Status of the Introducer: Sub Broker / Remisier / Authorized Person / Existing Client / Others, please specify___________

OTHER DETAILS

1. Gross Annual Income Details (please specify):

Income Range per annum: � Below Rs 1 Lac � 1-5 Lac � 5-10 Lac � 10-25 Lac � 25 Lacs-1 Crore � > 1 Crore

(or) Net-worth as on (date)__________ (_________________________) (Net worth should not be older than

1 year)

2. Occupation (for individuals only) (please tick any one and give brief details): � Private Sector

� Public Sector � Government Service � Business � Professional � Agriculturist � Retired � Housewife

� Student � Others (Specify) ________________

3. Please tick, if applicable: � Politically Exposed Person (PEP) � Related to a Politically Exposed Person (RPEP)

(for non-individuals, please specify PEP/RPEP in Annexure A)

4. Any other information: ____________________________________________________________________

�

W1 W2

Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): � YES � NO

Number of years of Investment/Trading 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 company/firm/others: Provide details on Annexure-A attached.

Any other information

12

FOR OFFICE USE ONLY

UCC Code allotted to the Client:

Documents verified with Originals Client Interviewed / Approved by In person Verification done by

Name of the Employee

Employee Code

Branch Name

Designation of the employee

Date

Signature

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:

www.krchoksey.com, for the information of the clients.

Date:_____________ Signature of the Authorised Signatory Seal/Stamp of the stock broker

For KRChoksey Shares and Securities Pvt. Ltd.

�

INSTRUCTIONS/CHECK LIST

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 of assets.

Self declaration with relevant supporting documents.

*In respect of other clients, documents as per risk management policy of the stock broker need to be provided

by the client from time to time.

2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code

or/ and 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 ‘in-person’ verification through web camera at the branch office of

the stock broker/Authorised Person’s office.

b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’

verification. Further, considering the infeasibility of carrying 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 Embassy / Consulate General in the country where the client resides may be permitted.

5. For Non-individuals:

a. Form need to be initialized by all the authorized signatories.

b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in

securities on behalf of company/firm/others and their specimen signatures.

13

Policies and Procedures

A. Policy for Penny Stock

� A stock that trades at a relatively low price and market capitalization. These types of stocks are generally

considered to be highly speculative and high risk because of their lack of liquidity, large bid-ask spreads, small

capitalization and limited following and disclosure. Depending on the market condition and RMS policy of the

company RMS reserves the right to refuse to provide the limit in Penny stocks and losses if any on account of

such refusal shall be borne by client only.

B. Setting up client's exposure limit:

� The stock broker may from time to time impose and vary limits on the orders that the client can place through

the stock broker's trading system (including exposure limits, turnover limits, limits as to the number, value and/

or kind of securities in respect of which orders can be placed etc.). The client is aware and agrees that the stock

broker may need to vary or reduce the limits or impose new limits urgently on the basis of the stock broker's risk

perception and other factors considered relevant by the stock broker including but not limited to limits on

account of exchange/SEBI directions/limits (such as broker level/market level limits in security specific/volume

specific exposures etc.), and the stock broker may be unable to inform the client of such variation, reduction or

imposition in advance. The client agrees that the stock broker shall not be responsible for such variation, reduction

or imposition or the client's inability to route any order through the stock broker's trading system on account of

any such variation, reduction or imposition of limits. The client further agrees that the stock broker may at any

time, at its sole discretion and without prior notice, prohibit or restrict the client's ability to place orders or

trade in securities through the stock broker, or it may subject any order placed by the client to a review before

its entry into the trading systems and may refuse to execute/allow execution of orders due to but not limited to

the reason of lack of margin/securities or the order being outside the limits set by stock broker/exchange/SEBI

and any other reasons which the stock broker may deem appropriate in the circumstances. The client agrees

that the trade related losses, if any on account of such refusal or due to delay caused by such review, shall be

borne exclusively by the client alone.

� In case of exposure taken on the basis of shares margin the payment is required to be made before the exchange

pay in date otherwise it will be liable to be squared off after the pay in time or any time due to shortage of

margin or settlement obligations.

C. Applicable brokerage rate:

� Brokerage Rate is mutually decided between the Member and each client based on client's net worth, expected

trading volume etc. The maximum brokerage chargeable will be within the Rules & Regulations of the Exchanges.

� The applicable brokerage rate is mentioned in the KYC and any future change in the brokerage rate will be

communicated and with the consent of the client.

D. Imposition of penalty / delayed payment charges:

� Clients will be liable to pay late pay in/delayed payment charges for not making payment of their payin/margin

obligation on time as per the exchange requirement/schedule at the rate of upto 21% p.a. + GST (if any) or as

intimated seperately if revised.

� Further where the stock broker has to pay any fine or bear any punishment from any authority in connection

with / as a consequence of / in relation to any of the orders / trades / deals / actions of the client, the same shall

be borne by the client.

E. The right to sell client's securities or close clients' positions, without giving notice to the client, on account of

non-payment of client's dues (limited to settlement/margin obligation)(as per SEBI circular No. CIR/HO/MIRSD/

DOP/CIR/P/2019/75, dated 20th June, 2019)

SQUARE OFF POLICY

1. Open positions in CM segment may be squared off on 5th trading day from the settlement day (not applicable

for MTF clients) to the extent of due debit and unsettled obligation amount. However, the treatment shall be

based on the below scenarios presented.

For the clients who have not given POA to KRCSSPL for payin/margin purposes for their demat accounts -

Scenario 1 - Ledger Account is in debit for 3 continuous days from settlement date and Payment is made by

cheque on or after 3rd day of debit reckoned from settlement day and the securities remain unpaid on 5th

trading day from the settlement day due to unclear status of funds into the bank account of KRCSSPL, the

unpaid stocks shall be squared off on the 5th trading day from the settlement day.

Scenario 2 - Ledger Account is in debit on 5th trading day from the settlement day and clients existing delivery

stocks are sold on 4th day or 5th day of debit reckoned from settlement day and the securities sold are delivered

for payin by 5th day of debit reckoned from settlement day, then the unpaid stocks shall be transferred to the

MANDATORY

14

clients BO account on the 5th trading day from the settlement day.

For the clients who have given POA to KRCSSPL for payin/margin purposes for their demat accounts, the securities

shall be transferred to the client's BO account even upon receipt of funds through cheque on or before 5th

trading day from the settlement day.

2. In case of square off, securities available in unpaid securities account/client collateral account(s) may be sold

proportionate to the outstanding amount or based on liquidity/ depth in market/ risk towards the balance

securities/trades carried out by the client.

3. No fresh exposure will be allowed on square off day unless on receipt of clear funds / credit balance in ledger

from sale proceeds.

Ledger balance for all purposes will be considered on the basis of realized balances excluding unclear cheque

credit.

However, management at their sole discretion may take any informed decision to deviate from the aforementioned

policy in certain instances on a case to case basis.

F. Shortages in obligations arising out of internal netting of trades:

� Internal Shortage means one client has failed to give the delivery of the securities sold, which has resulted into

short delivery to other client(s).

a. In such an event where the stock is listed in BSE, the broker shall report to BSE for such default in payin of

securities by the client. Such shortage shall be taken care by the Exchange through Auction or close out by the

Exchange and the auction/close out price shall be debited to the defaulting client's funds ledger.

b. Where the stocks are not listed in BSE, the transaction shall stand closed out by adopting the methodology

where the defaulting client's fund ledgers would be debited with the

Closing price of securities as on T+2 day plus 10%.

G. Conditions under which a client may not be allowed to take further position or the broker may close the existing

position of a client (as per SEBI circular No. CIR/HO/MIRSD/DOP/CIR/P/2019/75, dated 20th June, 2019)

� We have margin based RMS system. Client may take exposure upto the amount of margin available with us.

Client may not be allowed to take position in case of non-availability/shortage of margin as per our RMS policy

of the company. The existing position of the client is also liable to square off/close out without giving notice due

to shortage of margin/ non making of payment for their payin obligation/outstanding debts. Intimation of cheques

deposited or to be deposited will not be considered in such cases.

H. Temporarily suspending or closing a client's account based at the client's request

� On the request of the client in writing, the client account can be suspended temporarily and same can be

activated on the written request of the client only. During the period client account is suspended, the market

transaction in the client account will be prohibited. However client shares/ledger balance settlement can take

place.

� On the request of the client in writing, the client account can be closed provided the client account is settled. If

the client wants to reopen the account in that case client has to again complete the KYC requirement.

I. Deregistering a Client

Notwithstanding anything to the contrary stated in the mandatory and voluntary client registration documents,

the stock broker shall be entitled to terminate the mandatory and voluntary client registration documents with

immediate effect in any of the following circumstances:

(i) If the action of the client are prima facie illegal / improper or such as to manipulate the price of any securities

or disturb the normal/proper functioning of securities or disturb the normal/proper functioning of the market,

either alone or in conjunction with others.

(ii) If there is any commencement of a legal process against the client under any law in force;

(iii) On the death/lunacy or other disability of the Client;

(iv) If the client being a partnership firm, has any steps taken by the Client and/or its partners for dissolution of

the partnership;

(v) If the Client suffers any adverse material change in his/her/its financial position or defaults in any other

agreement with the Stock broker;

(vi) If there is reasonable apprehension that the Client is unable to pay its debts or the Client has admitted its

inability to pay its debts, as they become payable;

(vii) If the Client is in breach of any term, condition or covenant of this mandatory and voluntary client registration

documents;

(viii) If the Client has made any material misrepresentation of facts, including (without limitation) in relation to the

Security;

15

(ix) If a receiver, administrator or liquidator has been appointed or allowed to be appointed of all or any part

of the undertaking of the Client;

(x) If the Client have taken or suffered to be taken any action for its reorganization, liquidation or dissolution;

(xi) If the Client has voluntarily or compulsorily become the subject of proceedings under any bankruptcy or

insolvency law or being a company, goes into liquidation or has a receiver appointed in respect of its assets

or refers itself to the Board for Industrial and Financial Reconstruction or under any other law providing

protection as a relief undertaking;

(xii) If any covenant or warranty of the Client is incorrect or untrue in any material respect;

J. Inactive Client account: Client account will be considered as inactive if the client does not trade for period of

one year. Calculation will be done at the beginning of every month and those clients who have not traded even

a single time will be considered as inactive, the shares/ credit ledger balance if any will be transferred to the

client within one week of the identifying the client as inactive. The client has to make written request for

reactivation of their account.

K. Policy on handling of Client's Securities:

� In case if the payin of funds is not received and credited to the stock broker's client bank account from the

client, then the Stock Broker shall hold the securities with them till 5th day from receipt of payout of

securities from the Exchange in the Client Unpaid Securities Account (CUSA) till the debit is not cleared by

the client.

� The Stock Broker shall transfer the securities received in payout partially or fully to the client's BO account

according to the client's outstanding amount getting realized partially or in full only by way of receipt of

clear funds, but considering the future obligations of unsettled transactions and risk obligation.

� Based on client instructions, securities (after applying hair cut) available in excess of the client's outstanding

trade related obligations may be transferred to client BO account as a part of the retention for actual

settlement of funds and collateral.

� Excess collateral held in "Client Collateral" account will be released to the clients once in every 30/90 days

as opted by clients through the Running Account Authorization letter provided in the client registration

document and in accordance with the retention norms of Exchanges as applicable from time to time.

The Broker may, however, at its discretion, transfer the unpaid securities to Client's BO account in case the

client is having BO account with the brokers DP division and has executed POA of the demat account for

transferring securities against obligation, in to the broker pool account.

L. Client Acceptance of Policies and Procedures stated hereinabove:

� I/We have fully understood the same and do hereby sign the same. These Policies and Procedures may be

amended / changed by the broker with client consent by 15 days notice through any one or more means or

methods. These Policies and Procedures shall always be read and shall be compulsorily referred to while

deciding any dispute / difference or claim between me / us and stock broker before any court of law /

judicial / adjudicating authority including arbitrator / mediator etc.

�

16

TARIFF SHEETMANDATORY

All Statutory Charges to be levied on the turnover are as follows:

Transaction charges: At Actuals Stamp Duty: At Actuals GST: At Actuals

Security Transation Tax: At Actuals SEBI Turnover Tax: At Actuals Clearing Charges: At Actuals

OTHER LEVIES AS PREVALENT FROM TIME TO TIME:

� If the client does not make a pay-in on T+2 basis or if any outstanding debit balance in the account, delayed

payment charges @ upto 21% p.a. will be levied on the client + GST (if any).

� Broking / DP Account Documentation Charges @ Rs.700/-.

� Cheque return charges at actuals.

� Rs. 15 per contract note will be charged (if applicable) for duplicate contract note

� Necessary charges for Contract notes / other Statement Dispatched if the client has opted for ECN and requested for physical

Contract notes.

TO BE FILLED UP BY HO

BROKERAGE SCHEDULE - DERIVATIVES/CURRENCY SEGMENT

Form Received in HO Form Accepted/Rejected

Form checked by

Client activated in E. N. on Rejection Rectified on

Opened by Date

Broking Account (if applicable)

Demat Account (if applicable)

Client type Group code

Area: Region:

Authorised Person Code RM

Mapped in Terminal no.: Introducer

Primary Trader/dealer Code Secondary Trader/dealer Code

Derivatives Segment Currency Derivatives

Normal Future Option For Bo Table no. Future Option For Bo Table no.

1st Leg % %

2nd Leg % %

Minimum Paise Paise

BROKERAGE SCHEDULE - CAPITAL MARKET SEGMENT

Capital Market Segment (cash) Capital Market Segment (delivery)

Trading Brokerage For Bo Use (Table no.) Brokerage For Bo Use (Table no.)

1st Leg % Default %

2nd Leg % Minimum Paise

Minimum %

A/c type (Please tick) Direct ODIN Online Out Station

Derivatives Segment

Capital Market Segment

Currency Derivatives Seg.

� Online/� Offline

Rms Limit

Normal Auto Sq. off

DEPOSITORY SCHEME

AMC: Deposit Link Scheme

SIGNATURE OF NP/AP/REMISSER SIGNATURE OF RM SIGNATURE OF CLIENT

�

Brokerage charged will not exceed the rates specified by SEBI/Exchange

• $

17

Annexure 2.3

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 8th 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 or a Special Executive Magistrate / Special Executive Officer under his/her official

seal.

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, Telephone Number(s), 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 first / sole applicant.

7. Strike off whichever option, in the account opening form, is not applicable.

Particular

Received Record

Checked Record

Account Opening

Record

Welcome Kit

Auditor Record

Date Name Signature

For Office use only

18

To,

KRChoksey Shares & Securities Pvt. Ltd.

5th Floor, Abhishek Bldg., Dalia Industrial Estate,

Off-Link Road, Andheri (West), Mumbai - 400 053.

Date: _______________________

Dear Sir / Madam,

� I / We wish to avail the BSDA facility for the new account for which we have submitted my / our account opening

form

� I / We wish to avail the BSDA facility for my / our below mentioned demat account number

� I / We hereby declare that I do not want to avail the BSDA (Basic Services Demat Account) facility for my below

mention demat account and I/We wish to continue with my current AMC scheme.

DP ID Client ID1 2 0 1 0 7 0 0

ACKNOWLEDGEMENT RECEIPTReceived BSDA declaration form from:

Signature

Sole/First Holder

Second Holder

Third Holder

( Please Tear here )

Date:

For KRChoksey Shares & Securities Pvt. Ltd.

(Authorised Signatory)

DP ID Client ID

Name

Address

1 2 0 1 0 7 0 0


Name PAN

Sole/First Holder

Second Holder

Third Holder

I/We have read and understood the regulatory (SEBI) guidelines for opening a Basic Services Demat Account and

undertake to comply with the aforesaid guidelines from time to time. I/we also undertake to comply with the guidelines

issued by any such authority for BSDA facility from time to time. I/We also agree that in case our demat account

opened under BSDA facility does not meet the eligibility for BSDA facility as per guideline issued by SEBI or any such

authority at any point of time, my / our BSDA account will be converted to regular demat account without further

reference to me/us and will be levied charges as applicable to regular accounts as informed by the DP.

I, the first / Sole holder also hereby declare that I do not have / propose to have any other demat account across

depositories as a first / sole holder.

Declaration for availing or cancellation of Basic Services Demat Account (BSDA) facility

�

�SH

�TH

19

Additional KYC Form for Opening a Demat Account (For Individual)

KRChoksey Shares & Securities Pvt. Ltd.5th Floor, Abhishek Bldg., Dalia Industrial Estate,

Off-Link Road, Andheri (West), Mumbai - 400 053.

(To be filled by the applicant in BLOCK LETTERS in English)I / We request you to open a demat account in my / our name as per the following details: -

Application No. Date

DP Internal Reference No.


(To be filled by the Depository Participant)

(Please tick whichever is applicable)

Status Sub – Status

� Individual � Individual Resident �Individual-Director � Individual Director’s Relative� Individual HUF / AOP � Individual Promoter � Individual Margin Trading A/C (MANTRA)� Minor � Others (specify)

� NRI � NRI Repatriable � NRI Non-Repatriable � NRI-Repatriable Promoter� NRI Non-Repatriable Promoter � NRI – Depository Receipts � Others (specify)

� Foreign National � Foreign - National � Foreign National - Depository Receipts � Others (specify)

Type of Account

(in case the account holder is minor)Details of Guardian

Guardian’s Name PAN

Relationship with the applicant

Account Statement Requirement � As per SEBI Regulation � Daily � Weekly � Fortnightly � Monthly

I / We 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 � No

I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID __________________________________________________________________________________________________________________________

� Yes � No

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of thenatural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

Holders Details

Sole / First Holder’s Name PAN

UID

Second Holder’s Name PAN

UID

Third Holder’s Name PAN

UID

I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other furtherinstruction from my/our end (If not marked, the default option would be ‘No’) � Yes � No

I/ We would like to share the email ID with the RTA � Yes � No

I / We would like to receive the Annual Report � Physical / � Electronic / � Both Physical and Electronic(Tick the applicable box. If not marked the default option would be in Physical)

I / We wish to receive dividend / interest directly in to my bank account as given below through ECS(If not marked, the default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time ] � Yes � No

Bank Details (Dividend Bank Details)

Bank Code (9 digit MICR code)

IFS Code (11 character)

Account number

Account type � Saving � Current � Others (specify)

Bank Name

Branch Name

Bank Branch Address

City State Country PIN

Inperson VerificationSignature: _______________

Name: __________________

Date: ___________________

Place: __________________

�

�SH

�TH

20

SMS Alert Facility � Yes MOBILE NO. +91______________________________________________________________[(Mandatory , if you are giving Power of Attorney ( POA)] (if POA is not granted & you do not wish to availof this facility, cancel this option).

� Yes. To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view hisISIN balances, transactions and value of the portfolio online.

� No

� Noeasi

Refer to Terms & Conditions givenas Annexure-2.4

(i) Photocopy of the cheque/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, (or)(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank.• In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document and it shall be self-certified

by the BO.MICR code starting with 000 will not be eligible for ECS.

Transactions Using Secured Texting Facility(TRUST).Refer to Terms and ConditionsAnnexure – 2.6

I/We wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.I/We have read and understood the Terms and Conditions prescribed by CDSL for the same.

Yes

No

I/We wish to register the following clearing member IDs under my/our belowmentioned BO ID registered for TRUST

Stock Exchange Clearing Member Clearing Member IDName/ID Name (Optional)

(Signatures should be preferably in black ink).

First/Sole Holder orGuardian (in case of Minor)

Name

Signature

Second Holder Third Holder


Director / Authorised Signatory

I / We hereby state that: [Select one of the options given below]

OPTION 1:

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though

I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with ____________________________(name

of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement

related transactions] effected through such Clearing Member / by PMS manager.

OPTION 2:

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS

agreement in favour of / with _______________________________________ (name of the attorney / Clearing Member / PMS

manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through

such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us

immediately on my / our request at any later date.

OTHER DETAILS

1. Gross Annual Income Details (please specify):

Income Range per annum: � Below Rs 1 Lac � 1-5 Lac � 5-10 Lac � 10-25 Lac � > 25 Lacs

Net-worth as on (date) (Rs.__________________) (Net worth should not be older than 1 year)

2. Occupation (please tick any one and give brief details): � Private Sector� Public Sector� Government Service

� Business� Professional � Agriculturist� Retired� Housewife� Student� Others (Specify) ________________

3. Please tick, if applicable: � Politically Exposed Person (PEP) � Related to a Politically Exposed Person (RPEP)

4. Any other information: _______________________________________________________________________________

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21

CDSL

Your Depository

NOMINATION FORMI/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:� I/We do not wish to nominate any one for this demat account.

� I/We nominate the following persons who is/are entitled to receive security balances lying in my/ouraccount, particulars where of are given below, in the event of my / our death.

Nominee details

Nomination Registration No. Dated

*Address

*City

*State

*Pin

*Country

Telephone No.

Fax No.

PAN

UID

E-mail ID

*Relationship with BO (if any)

Date of Birth (Mandatory if nominee is a minor)

*First Name

Middle Name

*Last Name

Name of Guardian of Nomine(if Nominee is a minor)

*First Name

Middle Name

*Last Name

Nominee Name: Nominee 1 Nominee 2 Nominee 3

*Address of the guardian of nominee

BO Account Details


Name of the Sole / First Holder

Name of Second Holder

Name of Third Holder

KRChoksey Shares & Securities Pvt. Ltd.5th Floor, Abhishek Bldg., Dalia Indu. Estate

Off-Link Road, Andheri (West) Mumbai - 400 053.

22



Details of the Witness (Other than account holder, nominee and guardian)

Names of Witness

Address of Witness

Signature of Witness

I / We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by theBye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on thedate of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form.I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable fortermination and suitable action.

First/Sole Holder or Guardian(in case of Minor)

Name

Signature


This nomination shall supersede any prior nomination made by me/us and also any testamentary document executed by me/us.

Place: _________________________ Date: _________________________

Note: Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining afterdistribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitledfor residual shares, if any.* Marked is Mandatory field

ACKNOWLEDGEMENT RECEIPTReceived nomination from:


DP ID Client ID

Name

Address

1 2 0 1 0 7 0 0

Note: One witness shall attest signature(s) / Thumb impression(s).

(To be filled by DP)

Nomination Form accepted and registered wide Registration No. ___________________________ dated ______________.

(Signatures should be preferably in blue ink).

Nomination in favour of

First Nominee

Second Nominee

Third Nominee

No Nomination � Does not wish to nominate

Registration No. Registered on

Age

Telephone No.

Fax No.

E-mail ID

*Relationship of the Guardianwith the Nominee

*Percentage of allocation ofsecurities*Residual Securities (Please tick any one nominee,if tick not marked the default will be first nominee)

*City

*State

*Country

*Pin

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KRChoksey Shares & Securities Pvt. Ltd.5th Floor, Abhishek Bldg., Dalia Indu. Estate


Additional KYC Form for Opening a Demat Account (For Non-Individuals)

(To be filled by the applicant in BLOCK LETTERS in English)I / We request you to open a Demat Account in my / our name as per the following details: -

Application No. Date

DP Internal Reference No.


(To be filled by the Depository Participant)

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of thenatural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

Holders Details

(Please tick whichever is applicable)Type of AccountSub – StatusStatus

� Body Corporate � Banks � Trust � Mutual Fund � OCB � FII� CM � FI � Clearing House � Other (Specify)

To be filled by the DP

Date of Incorporation

SEBI Registration No.(If Applicable)RBI Registration No.(If Applicable)

SEBI Registration Date

RBI Approval Date

Nationality � Indian � Others (specify)_______________________________

Name of Stock Exchange

Name of CC / CH

Clearing Member Id Trading member ID

Clearing Member Details (To be filled by CMs only)

I/ We wish to receive dividend / interest directly in to my bank account given below through ECS(if not marked, the default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time] � Yes � No

Account Statement Requirement � As per SEBI Regulation � Daily � Weekly � Fortnightly � Monthly

I / We 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 � No

I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID __________________________________________________________________________________________________________________________

� Yes � No

I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other furtherinstruction from my/our end (If not marked, the default option would be ‘No’) � Yes � No

I/ We would like to share the email ID with the RTA � Yes � No

I / We would like to receive the Annual Report � Physical / � Electronic / � Both Physical and Electronic(Tick the applicable box. If not marked the default option would be in Physical)

Sole / First Holder’s Name PAN

Search Name

Second Holder’s Name PAN

UID

Third Holder’s Name PAN

UID

Bank Details (Dividend Bank Details)

Bank Code (9 digit MICR code)

IFS Code (11 character)

Account number

Account type � Saving � Current � Others (specify)

Bank Name

Branch Name

Bank Branch Address

City State Country PIN

�

Inperson Verification

Signature: _______________

Name: __________________

Date: ___________________

Place: __________________

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I/We have received and read the document of ‘Rights and Obligation of BO-DP’ (DP-CM agreement for BSE Clearing Member Accounts) including theschedules thereto and the terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I /We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We furtheragree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination andsuitable action.

(Signatures should be preferably in black ink).In case of more authorised signatories, please add annexure.

First/Sole Authorised Signatory

Name

Designation

Signature

Second Authorised Signatory Third Authorised Signatory

(i) Photocopy of the cheque/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, (or)(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank.• In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document and it shall be self-certified

by the BO.MICR code starting with 000 will not be eligible for ECS.

SMS Alert Facility � Yes MOBILE NO. +91______________________________________________________________[(Mandatory , if you are giving Power of Attorney ( POA)] (if POA is not granted & you do not wish to availof this facility, cancel this option).

� Yes. To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view hisISIN balances, transactions and value of the portfolio online.

� No

� Noeasi

Refer to Terms & Conditions givenas Annexure-2.4

Transactions Using Secured Texting Facility(TRUST).Refer to Terms and ConditionsAnnexure – 2.6

I/We wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.I/We have read and understood the Terms and Conditions prescribed by CDSL for the same.

Yes

No

I/We wish to register the following clearing member IDs under my/our belowmentioned BO ID registered for TRUST

Stock Exchange Clearing Member Clearing Member IDName/ID Name (Optional)

I / We hereby state that: [Select one of the options given below]

OPTION 1:

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though

I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with ____________________________(name

of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement

related transactions] effected through such Clearing Member / by PMS manager.

OPTION 2:

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS

agreement in favour of / with _______________________________________ (name of the attorney / Clearing Member / PMS

manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through

such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us

immediately on my / our request at any later date.

OTHER DETAILS1. Gross Annual Income Details (please specify): Income Range per annum:� Below Rs 1 Lac � 1-5 Lac � 5-10 Lac � 10-25 Lac � 25 Lacs -1 Crore � > 1 Crore

2. Net-worth as on (date)__________ (_________________) (Net worth should not be older than 1 year)

3. Please tick If any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Directors is either Politically ExposedPerson (PEP) or Related to Politically Exposed Person (RPEP) �. Please provide details as per Annexure 2.2 A.

4. Any other information: ___________________________________________________________________



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Bo ID Trading ID1 2 0

CONSENT LETTER FOR EMAIL AND MOBILE ALERT FACILITIES

Date: _____________________

To,

KRCHOKSEY SHARES AND SECURITIES PVT. LTD.

Mumbai

Dear Sir/Madam,

Sub: Client & Family Members Declaration for Same Mobile Number & Email Id

This is with reference to my/our trading account opened with you; I/We request you to arrange facility of receiving

email and/or mobile alert facility issued by Exchange in compliance with regulation and guidelines issued by

concerned authorities from time to time. Further I/We hereby confirm that we hold below mentioned Client Accounts

with you. All these Client accounts are lying under a single family and hence for the purpose of convenience

Mobile Number ____________________ & Email ID _________________________________________________

Of Mr/Mrs _____________________________________ (Owner-Self) having client code __________________

are provided in all these client accounts.

We all who have signed below do not have any objection for the same.

We hereby declare that the details furnished above are true and correct and we undertake to inform you of any

changes therein immediately. In case of any of the above information is found to be false or misleading, we are

aware that we may be held liable for it.

Thanking you,

Signature of the Client (owner of Email id and Mobile No.)

Note: As per exchange circular No. NSE/INSP/32471 dated 31st May, 2016 'Family' for this purpose would mean

self, spouse, dependent children and dependent parents

VOLUNTARY

Client Code of the

Family Member

Name of the Family Member Relationship

with client

Signature of the Family Member

�

26

Annexure-2.6Terms and Conditions for availing Transaction Using Secured Texting (TRUST) Service offered by CDSL

1. Definitions:In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:i. “Depository" means Central Depository Services (India) Limited (CDSL)ii. TRUST means “Transactions Using Secured Texting” service offered by the Depository.iii. “Service Provider” means a cellular service provider(s) with whom the Depository has entered / shall enter into an arrangement

for providing the TRUST service to the BO.iv. “Service” means the service of providing facility to receive/give instructions through SMS on best effort basis as per the following

terms and conditions. The types of transaction that would normally qualify for this type of service would be informed by CDSLfrom time to time.

v. “Third Party" means the operators with whom the Service Provider is having / will have an arrangement for providing SMS to theBO.

2. The service will be provided to the BO at his / her request and at the discretion of the depository provided the BO has registered forthis facility with their mobile numbers through their DP or by any other mode as informed by CDSL from time to time . . Acceptanceof application shall be subject to the verification of the information provided by the BO to the Depository

3. The messages will be sent on best efforts basis by way of an SMS on the mobile no which has been provided by the BOs. HoweverDepository shall not be responsible if messages are not received or sent for any reason whatsoever, including but not limited to thefailure of the service provider or network.

4. The BO is responsible for promptly informing its DP in the prescribed manner any change in mobile number, or loss of handset onwhich the BO wants to send/receive messages generated under TRUST. In case the new number is not registered for TRUST in thedepository system, the messages generated under TRUST will continue to be sent to the last registered mobile number. The BOagrees to indemnify the depository for any loss or damage suffered by it on account of messages sent on such mobile number.

5. The BO agrees that SMS received by the Depository from the registered mobile number of the BO on the basis of which instructionsare executed in the depository system shall be conclusive evidence of such instructions having been issued by the BO. The DP / CDSLwill not be held liable for acting on SMS so received.

6. The BO shall be responsible for submitting response to the ‘Responsive SMS’ within the specified time period. Transactions for whichno positive or negative confirmation is received from the BO, will not be executed except for transaction for deregistration. Further,CDSL shall not be responsible for BOs not submitting the response to the said SMS within the time limit prescribed by CDSL.

7. The BO agrees that the signing of the TRUST registration form by all joint holders shall mean that the instructions executed on thebasis of SMS received from the registered mobile for TRUST shall be deemed to have been executed by all joint holders.

8. The BO agrees to ensure that the mobile number for TRUST facility and SMS alert (SMART) facility is the same. The BO agrees that ifhe is not registered for SMART, the DP shall register him for SMART and TRUST. If the mobile number provided for TRUST is differentfrom the mobile number recorded for SMART, the new mobile number would be updated for SMART as well as TRUST.

9. BOs are advised to check the status of their obligation from time to time and also advise the respective CMs to do so. In case of anyissues, the BO/CM should approach their DPs to ensure that the obligation is fulfilled through any other mode of delivery of transac-tions as may be informed / made available by CDSL from time to time including submission of Delivery Instruction Slips to the DP.

10. The BO acknowledges that CDSL will send the message for confirmation of a transaction to the BO only if the Clearing Member(registered by the BO for TRUST) enters the said transaction in CDSL system for execution through TRUST within prescribed timelimit.

11. The BO further acknowledges that the BO/CM shall not have any right to any claim against either the DP or Depository for losses, ifany, incurred due to non receipt of response on the responsive SMS or receipt of such response after the prescribed time period. Inthe event of any dispute relating to the date and time of receipt of such response, CDSL’s records shall be conclusive evidence andthe Parties agree that CDSL’s decision on the same shall be final and binding on both Parties.

12. The BO may request for deregistration from TRUST at any time by giving a notice in writing to its DP or by any other mode as specifiedby Depository in its operating instructions. The same shall be effected after entry of such request by the DP in CDSL system if therequest is received through the DP.

13. Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.14. The BO expressly authorises Depository to disclose to the Service Provider or any other third party, such BO information as may be

required by them to provide the services to the BO. Depository however, shall not be responsible and be held liable for any divul-gence or leakage of confidential BO information by such Service Providers or any other third party.

15. The BO takes the responsibility for the correctness of the information supplied by him to Depository through the use of the saidFacility or through any other means such as electronic mail or written communication.

16. The BO is solely responsible for ensuring that the mobile number is not misused and is kept safely and securely. The Depository willprocess requests originated from the registered Mobile as if submitted by the BO and Depository is not responsible for any claimmade by the BO informing that the same was not originated by him.

17. Indemnity:In consideration of providing the service, the BO agrees that the depository shall not be liable to indemnify the BO towards anydamages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever as a consequence of or arising out of interfer-ence with or misuse, improper or fraudulent use of the service by the BO.

18. Disclaimer:Depository shall be absolved of any liability in case:-a. There is loss of any information during processing or transmission or any unauthorized access by any other person or breach of

confidentiality.b. There is any lapse or failure on the part of the service providers or any third party affecting the said Facility and that Depository

makes no warranty as to the quality of the service provided by any such service provider.c. There is breach of confidentiality or security of the messages whether personal or otherwise transmitted through the Facility.

27

Annexure-2.4Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL

Definitions:In these Terms and 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 Act1956 and having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch officesand 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 forinvestors.

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 depository as specified by the depository from time to time.

4. SMS means “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(s) with whom the depository has entered / will be entering into an

arrangement for providing the SMS alerts to the BO.7. “Service” means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions.

Availability:1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be

available to those accountholders who have provided their mobile numbers to the depository through their DP. The ser-vices may be discontinued for a specific period / indefinite period, with or without issuing any prior notice for the purposeof security reasons or system maintenance or for such other reasons as may be warranted. The depository may also discon-tinue 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 the service provider.4. In case of joint 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 registration / modification.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 notintimated to the depository, the SMS alerts will continue to be sent to the last registered mobile phone number. The BOagrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobilenumber.

Receiving Alerts:1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to

any such number replaced and informed by the BO from time to time. Upon such registration / change, the depository shallmake every effort to update the change in mobile number within a reasonable period of time. The depository shall not beresponsible for any event of delay or loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if the mobile phone is in ‘ON’ and in a mode to receive the SMS.If the mobile phone is in ‘Off’’ mode i.e. unable to receive the alerts then the BO may not get / get after delay any alertssent during such period.

3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on many factorsincluding the infrastructure, connectivity of the service provider. The depository shall not be responsible for any non-delivery, delayed delivery or distortion of the alert in any way whatsoever.

4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and issusceptible to error, omission and/ or inaccuracy. In case the BO observes any error in the information provided in the alert,the BO shall inform the depository and/ or the DP immediately in writing and the depository will make best possible effortsto rectify the error as early as possible. The BO shall not hold the depository liable for any loss, damages, etc. that may beincurred/ suffered 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 de-pository may consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, email addressand mobile number for marketing offers between CDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorizedtransfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. TheBO may send an email to CDSL at [email protected]. The BO is advised not to inform the service provider aboutany such unauthorized debit to/ transfer of securities from his BO account by sending a SMS back to the service provideras 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 thedepository shall not be under any obligation to confirm the authenticity of the person(s) receiving the alert.

8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability ofthe service in any manner whatsoever.

9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BOshould immediately inform the DP in writing.

CDSL

Your Depository

________________________ ________________________ ________________________

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28

Fees: Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.Disclaimer:The depository shall make reasonable efforts to ensure that the BO’s personal information is kept confidential. The depository does not warrantythe confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or represen-tation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever andhowsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depositorygives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unautho-rized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneoususe/ misuse 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 tothe information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmlessand indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoeverwhich 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, improperor fraudulent use of the service by the BO.Amendments:The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shallbe binding on the BOs who are already registered as user of this service.Governing Law and Jurisdiction:Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts inMumbai.I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to theterms and conditions mentioned below. I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobilenumber.I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made bythe depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time.I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOswould be required to take up the matter with their DP.I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by thedepository for providing the service.I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).

BOID

Sole / First Holder’s Name :__________________________________________________________________________

Second Holder’s Name :__________________________________________________________________________

Third Holder’s Name :__________________________________________________________________________

Mobile Number on whichmessages 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 Sole / First Holder Second holder Third Holder

Place: _______________ Date: _______________

+91

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DEPOSITORY TARIFF STRUCTURE

Particulars IndividualAnnual Maintainence Charges 500/- P. A.Custody Charges NilDematerialisation (Incl. postal Charges) Rs. 40/-per request and Rs. 5 per additional certificateRematerialisation Rs. 40/- per requestTransaction ChargesOn Market / Early Payin Min Rs. 16/- per inst. or 0.04% whichever is higherOff Market Min Rs. 16/- per inst. or 0.04% whichever is higherInter Depository Min Rs. 16/- per inst. or 0.04% whichever is higherIncoming Charges for Off/Inter Depository NILPledge / Unpledge / Invocation Rs. 30/- per requestAd Hoc Statement (Per Account) Rs. 25/-Account Closing Charges NIL

SCHEME II - Gold

SCHEME I - Silver

Particulars IndividualAnnual Maintainence Charges 750/- P. A.Custody Charges NilDematerialisation (Incl. postal Charges) Rs. 40/-per request and Rs. 5/- per additional certificateRematerialisation Rs. 40/- per requestTransaction ChargesOn Market / Early Payin Min Rs. 16/- per inst. or 0.04% whichever is higherOff Market Min Rs. 16/- per inst. or 0.04% whichever is higherInter Depository Min Rs. 16/- per inst. or 0.04% whichever is higherIncoming Charges for Off/Inter Depository NILPledge / Unpledge / Invocation Rs. 30/- per requestAd Hoc Statement (Per Account) Rs. 25/-Account Closing Charges NIL

SCHEME III - BSDA SchemeParticulars IndividualAnnual Maintainence Charges 100/- Holding valuation between 50k to 2 lacs, NIL for Holding valuation below 50k.Custody Charges NilDematerialisation (Incl. postal Charges) Rs. 40/-per request and Rs. 5/- per additional certificateRematerialisation Rs. 40/- per requestTransaction ChargesOn Market / Early Payin Min Rs. 50/- per inst. or 0.04% whichever is higherOff Market Min Rs. 50/- per inst. or 0.04% whichever is higherInter Depository Min Rs. 50/- per inst. or 0.04% whichever is higherIncoming Charges for Off/Inter Depository NILPledge / Unpledge / Invocation Rs. 30/- per requestAd Hoc Statement (Per Account) Rs. 25/-Account Closing Charges NIL

First/Sole Holder Second Holder Third Holder

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30

Notes:1. Client can opt for other plan after the expiry of the plan selected earlier or the same plan will be renewed

automatically after the expiry.2. Dematerialization charges based on Registered A.D. charges.3. Late fees of Rs. 25/- per instruction would be charged, if the slips are given on the pay in day.4. Fees schedule is based on existing CDSL charges and is subject to changes at our discretion and advance

notice will be given to BO in writing.5. GST would be charged on all the above charges.


SCHEME IV - PlatinumParticulars IndividualAnnual Maintainence Charges 1000/-Custody Charges NilDematerialisation (Incl. postal Charges) Rs. 40/-per request and Rs. 5/- per additional certificateRematerialisation Rs. 40/- per requestTransaction Charges NilOn Market / Early Payin Rs. 6/- per ISINOff Market Min Rs. 16/- per inst. or 0.04% whichever is higherInter Depository Min Rs. 16/- per inst. or 0.04% whichever is higherIncoming Charges for Off/Inter Depository NILPledge / Unpledge / Invocation Rs. 30/- per requestAd Hoc Statement (Per Account) Rs. 25/-Account Closing Charges NIL

SCHEME V - Deposit SchemeParticulars IndividualOne Time Deposit 2000/-Annual Maintainance Charges NILCustody Charges NILDematerialisation (Incl. postal Charges) Rs. 40/-per request and Rs. 5/- per additional certificateRematerialisation Rs. 40/- per requestTransaction ChargesOn Market / Early Payin NILOff Market Min Rs. 16/- per inst. or 0.04% whichever is higherInter Depository Min Rs. 16/- per inst. or 0.04% whichever is higherIncoming Charges for Off/Inter Depository NILPledge / Unpledge / Invocation Rs. 30/- per requestAd Hoc Statement (Per Account) Rs. 25/-Account Closing Charges NIL

� �SH

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31

POWER OF ATTORNEY

TO ALL TO WHOM THESE PRESENT THAT, I/We, (1)________________________

(2)___________________________________________________(3)___________________________________________________

residing at/ having its registered office at ________________________________________________

_____________________________________________________________________________________________________

_____________________________________________________________________________________________________

Whereas I/we hold beneficial owner account number 12010700_________________________with

Central Depository Services (India) Limited (CDSL) through KRCHOKSEY SHARES & SECURITIES PVT.

LTD. registered with Securities and Exchange Board of India (SEBI) bearing Registration No. IN-DP-

425-2019 / bearing DP ID And Whereas I/ we am/ are investor engaged in buying and selling securities

through KRCHOKSEY SHARES & SECURITIES PVT. LTD. who is a stock broker registered with SEBI and a

member of BOMBAY STOCK EXCHANGE LIMITED and member of NATIONAL STOCK EXCHANGE OF

INDIA LIMITED bearing SEBI registration No. INZ 000181135

And Whereas due to exigency and paucity of time I/ we am/ are desirous of appointing KRCHOKSEY

SHARES & SECURITIES PVT. LTD. as my/our Constituted attorney to operate my / our beneficial owner

account on my/ our behalf for a limited purpose in the manner hereinafter appearing and subject to

conditions as provided herein. Now know you all and these presents witness that I/ we do hereby

nominate, constitute and appoint KRCHOKSEY SHARES & SECURITIES PVT. LTD (hereinafter referred

to as "the stock broker") as my true and lawful Attorney and authorize it to perform the following

functions on my behalf:

i. To transfer securities held in my/our aforementioned beneficial owner account(s) or any other

account informed by me in writing to the stock broker from time to time to the demat account Nos.

BSE PRINCIPAL Account No. 1201070000000384, BSE POOL Account No. 1201070000000399, BSE

Early Payin Account No.1100001000012583, NSE POOL Account NO 1201070000010863, NSE Early

Payin Account No. 1100001100016297, Client Collateral Account No. 1201070000537263, Collateral

Account No. 17118031 / IN301549, NSE SLB Early payin account no. 1100002300000178 of the

stock broker in accordance with the instructions of the Broker to the extent of my/our obligation

for payin/early pay-in/margin obligations in Cash, F&O, CDS and Mutual Fund segments in relation

to the trades executed by me / us from my / our trading account maintained with the Broker.

However, the said power will be restricted to only transfer of securities to the Clearing Member ID

allotted to the stock broker by any existing (BSE Clearing Member ID No. 385 and NSE Clearing

Member ID No. M50041 & NSE BROKER ID 09758) or any additional exchange that the stock broker

has joined/ will join as a member or to any Demat accounts linked to the said Clearing Member ID

provided that I/we have executed a mandatory and voluntary client registration documents with

the stock broker for such exchanges.

ii. To return to me/us, the securities that may have been received by the stock broker erroneously or

those securities that the stock broker was not entitled to receive from me

iii. To send consolidated summary of my/our scrip-wise buy and sell positions taken with average

rates to me / us by way of SMS / email / physical on a daily basis, notwithstanding any other

document to be disseminated as specified by SEBI from time to time.

iv. To apply for various products like mutual funds , Public Issues (Shares as well as debentures) right

offer of shares , tendering shares in open offer etc pursuant to oral/written/electronic instruction

Franking Required

1st

Hol

der

�

2nd

Hol

der

3rd

Hol

der

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32

given by me/us to the stock brokers.

I/We ratify the instructions given by the aforesaid stock broker to the depository participant named hereinabove in

the manner specified herein.

I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue

until it is revoked (without notice) in writing by me and that the said revocation shall be effective from the date on

which the revocation notice is received by the stock broker in his office at 1102, Stock Exchange Tower, Dalal Street,fort,

Mumbai- 400 001.

SIGNED AND DELIVERED by the withinnamed

Beneficial Owner /Bank Account Holders )

Name [1] ____________________________________________ ) _____________________________________

Name [2] ____________________________________________ ) _____________________________________

Name [3] ____________________________________________ ) _____________________________________

(Client ) in the presence of Witness for BO; )

Name [1] ____________________________________________ ) _____________________________________

Name [2] ____________________________________________ ) _____________________________________

�

We accept


Director / Authorised Signatory

1102, Stock Exchange Tower, Dalal Street, Fort, Mumbai - 400 001.

Place : MUMBAI.

Date : ___________________

If HUF, Co-parceners Signature

Co-parceners Name Co-parceners Signature

�SH

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W1

W2

33

CONSENT FORM FOR SHARING KYC DETAILS

1. PERSONAL DETAILS

Name:

Father’s/ Spouse Name:

Gender: � Male � Female � Others Date of Birth:

Profession: � Business � Service � Self-employed

Marital Status: � Single � Married

PAN: Aadhar:

Gross Annual Income Details (Please tick):

� Below 1 Lac � 1-5 Lacs � 5-10 Lacs � 10-25 Lacs � >25 Lacs (Specify) ______________________________________

� CORRESPONDENCE/LOCAL ADDRESS DETAILS

Address

Line 1*

Line 2

City/Town/Village: District:

State: PIN/Post Code:

� CURRENT/PERMANENT/OVERSEAS ADDRESS DETAILS � Same as Correspondence/Local Address details

Address

Line 1*

Line 2

City/Town/Village: District:

State: PIN/Post Code:

Country:

� CONTACT DETAILS

Tel. (Off) Tel. (Res) Mobile

Fax Email ID

9 1

Preferred Mode of Communication:

1. Telephone/Mobile � 2. E-mail �

2. PREFERRED PRODUCTS

� LAS � Mutual Fund � Pension Products � General Insurance � Life Insurance � Research� PMS � Investment Advisory � Any other Products

DECLARATION:I hereby � authorize � do not authorize ( tick whichever applicable) KRCSSPL for sharing of any of my information for the purpose ofoperation of the trading & demat account and/ or for marketing and offering of various products and services of KRCSSPL and /or anyof the product(s) of its group companies, holding companies, subsidiaries and affiliates.I hereby authorise KRCSSPL or its relevant group companies, holding companies, subsidiaries and affiliates as the case may be to contactme through any mode including making calls/sending SMS alerts on my registered mobile phone number or sending e-mails to my registerede-mail id for marketing related information.I hereby confirm that this declaration/consent shall supersede, substitute and replace any other consent/confirmation issued by me inthis regard previously and shall apply whether or not my registered mobile number has been registered on " DO not Call" registry.

�

Date: ___________________

DP ID: Client Code:

VOLUNTARY

X X X X X X X X

34

Voluntary Clauses

The Client and Stock Broker, in order to ensure smooth functioning of the operations agree to the terms and conditions stated herein

below:

1. RIGHT OF SET OFF

The Stock Broker shall have the right to set off the balances of the Client with the Stock Broker in any account(s) across Segments /

exchanges with respect to money and securities. All monies securities as admited by exchange which the Stock Broker may hold on

client’s account shall be held subject to a general lien for the discharge of the Client’s trade related obligations to the Stock Broker.

2. CLIENT INFORMATION

In addition to the information given in the Client Registration Form and supporting documents/proofs submitted, it is the responsibility

of the Client to ensure that, any change in the Client Registration Form or information provided to KRCSSPL by the Client, is updated

immediately, in writing, by providing the relevant proofs/documents.

Additionally, if any statutory authority seeks information/documents about the Client, KRCSSPL shall provide the same with or without

informing the Client. KRCSSPL, may from time to time, seek additional documents/information, to fulfill its regulatory responsibility

and the Client shall provide the same immediately. Failure to provide such information may result in KRCSSPL taking appropriate

action as it may deem fit.

In case the Client fails to update such change in the Client Registration Form information or fails to provide the information sought

for by KRCSSPL then KRCSSPL at its discretion may decide on the appropriate course of action, including but not limited to refusal of

further transactions of the Clients. The Client shall not hold KRCSSPL responsible for any consequential loss or damage and shall

indemnify KRCSSPL for the same

3. FUNDS/SECURITIES

KRCSSPL will receive funds/securities and/or disburse funds/securities only from/to the bank account/demat account given by the

Client in the Client Registration Form or subsequently submitted by it in writing to KRCSSPL, alongwith the applicable supporting

documents. KRCSSPL reserves the right not to accept funds/securities from any other bank/demat account and also payments made

through demand draft/pay order/cash. The Client shall not hold KRCSSPL responsible for any direct and/or trade related consequential

loss and/or trade related damage and/or trade related claims and will indemnify KRCSSPL from such consequential claims and/or

damage and/or loss.

Third Party Payments: KRCSSPL reserves the right not to accept payments from bank account not mentioned in the Client Registration

Form /updated in the Client DATABASE maintained with KRCSSPL.

Third Party Delivery of Securities: KRCSSPL reserves the right to accept deliveries only from such demat account where the Client is

the sole/first holder and the same is mentioned in the Client Registration Form and/or updated in the Client database maintained

with KRCSSPL. I/We hereby authorize you to use the balance in my/our trading account maintained with you, for setting off the

debits in my/our trading account on the basis of my/our instructions from time to time.

4. RISK PROFILING OF THE CLIENT

KRCSSPL will based on its risk management policy give exposure, equivalent to a pre-determined multiple/times of the net credit

balance in the ledgers (across all segments ), the value of collaterals given by the Client (after applying appropriate hair cut), track

record of the Client, market conditions and./or regulatory directives and thus may vary from Client to Client. KRCSSPL reserves the

right not to allow transactions in respect of certain Securities or Segments or orders/requests below and above certain value/quantity,

as may be notified by KRCSSPL from time to time.

5. RISK MANAGEMENT POLICY

All the Client trades will be as per the Risk Management Policy, including but not limited to, exposure available to the Clients,

collaterals accepted and its valuation after appropriate haircuts, square offs, applicable margins and payment of same, restriction in

trading in certain stocks, etc.

Summary of the risk management policy shall be made available on KRCSSPL's website and or on specific request made by the Client

in writing to the Head office of KRCSSPL.

6. RESEARCH REPORT

In case the Client receives any research reports and/or updates from KRCSSPL, the recommendations given by the Research team of

KRCSSPL are based on technical and fundamental analysis of the securities /sector/market and Client will take its own investment

decisions, whether they are on the basis of these recommendatory calls/reports or not

The Client acknowledges that, KRCSSPL shall not be liable to provide him with any legal, tax, investment or accounting advice or

advice regarding the suitability or profitability of a security or investment.

The Client also acknowledges that KRCSSPL's employees are not authorized to give any such advice and that the Client will not solicit

or rely upon any such advice from the KRCSSPL or any of its employees.

The Client agrees that in the event of KRCSSPL or any employee or official of KRCSSPL providing any information, recommendation or

advice to the Client, the Client may act upon the same at the sole risk and cost of the Client and KRCSSPL shall not be liable or

responsible for the same.

35

The Client assumes full responsibility with respect to his investment decisions and transactions.

KRCSSPL, its officers, directors, partners, employees, agents and affiliates will have no liability with respect to any investment decisions

or transactions of the Client.

7. CHARGES PAYABLE

KRCSSPL will automatically debit from the Client's ledger the following charges for services availed by the Client:

a) Broking / DP Account Documentation Charges @ Rs.700/-.

b) Delayed Payment Charges upto 21% p.a. + GST (if any), on the outstanding debit balance, in case the Client fails to settle the

transaction within T+2 day for equity segment and T+1 day for Derivative segment.

c) Cheque Bouncing Charges at actual.

The Client agrees to pay KRCSSPL brokerage, GST and other taxes and transaction expenses as they exist from time to time and as

they apply to the Client's account and transactions. A schedule of brokerage and taxes shall be provided by KRCSSPL to the Client at

the time of registration and any changes in brokerage will be with the consent of Client.

8. TELE TRADING FACILITY

KRCSSPL offers the facility of Tele-Trading, whereby the Client can call specific telephone numbers and place the orders. In case the

Client wishes to avail this facility, the same will be subject to the following:

1. The Client shall inform, in writing, its consent to avail this facility

2. In case of corporate Client, the Client shall intimate, in writing, the names of persons who will place orders on behalf of the

Clients

3. There will be two-level authorization, before the Client is allowed to place the orders. KRCSSPL may also seek additional

information from the Clients before allowing the Clients to place order through this facility

4. All orders have to be placed during market hours only.

5. The orders will be executed only if KRCSSPL is convinced about the identity of the Client.

6. The Client will be provided with a User Identification Number and Password only with which the Client can place the order

through this facility.

7. The Client should change the password immediately on receipt of the same as per the procedure prescribed by KRCSSPL.

8. It is the responsibility of the Client to ensure that the User Identification Number and password are kept confidential and

not misused by anybody.

9. All orders placed using this facility, after the verification process, shall be deemed to have been placed by the Client.

10. The Client should give all the relevant details, while placing the order, as sought by KRCSSPL, without any ambiguity.

11. KRCSSPL might record the conversations with the Client who uses this facility for placing the order and the Client agrees for

such recording.

12. The Client shall not disown any transactions, placed using this facility, for any reasons, including but not limited to

misuse of User Identification Number and password. The Client shall not hold KRCSSPL responsible for any direct

and / or consequential loss/damage and shall indemnify KRCSSPL from the same.

13. KRCSSPL reserves the right to change the telephone numbers, from time to time, and KRCSSPL will intimate the Client

about the same.

14. KRCSSPL reserves the right to withdraw this facility, at any point of time, after due intimation to the Client.

15. As proof of acceptance of the transaction, KRCSSPL shall provide either the recording of the conversation or the electronic

log generated by the system which the Client accepts as authentic and conclusive evidence.

9. Statement of Accounts in Digital format

KRCSSPL may send the statement of Trading Account, Demat statement of accounts/holding statement(s)/bills or other

Statement(s) related notices, circulars, amendments and records and documents by whatever name called (hereinafter referred

to as "Statement(s)")to the Client in physical and/or electronic form as opted by client.

Trading in Exchange is in Elecrtronic Mode: based on VSAT, leased line, ISDN, Modem and VPN, combination of technologies and

computer systems to place and route orders. I/we understood that there exists a possibility of communication failure or system

problems or slow or delayed response from system or trading halt or any break down in our back office/front end system/

network, which may be beyond your control and may result in delay in processing buy or sell Orders either in part or in full.

�

36

VOLUNTARYRUNNING ACCOUNT AUTHORISATION

To,

KRChoksey Shares & Securities Pvt. Ltd., Mumbai Date:_____________________________

Dear Sir,

I am / We are regularly trading with you for Cash/ Derivative / Currency Market in BSE/NSE/SLBM.

I/We hereby authorize you through this authorisation letter to do following on my behalf:

1. You can adjust any trade related amounts receivable from me /us against any credits standing into my /our

account or from my /our forthcoming pay-outs payable to me/us.

2. Further, I/We hereby give my/our consent to maintain a running account instead of settlement of trade related

financial debits/credits on a bill-to-bill basis and to settle the collaterals provided by me/us as per my/our

preference mentioned hereunder. I/We also request you to keep my/our funds and collateral with you to

meet my/our payin obligations in the succeeding settlements in the same segment as well as other segments

of BSE/NSE.

The actual settlement of funds and collateral shall be done by you at an exception of retention of Rs. 10000/

- in view of administrative difficulty to settle the account.

� Monthly or � Quarterly (Tick any one box)

3. Any excess securities available in your Client Collateral / Collateral account shall be returned by broker along

with funds after making necessary retention of funds and/or collateral as may be permitted by regulators

from time to time.

4. Further, I/we authorize you to deposit the securities available in your client collateral/ collateral account

with clearing member / stock exchange for margin purpose/s.

5. I/We shall bring to your notice, any discrepancy in the statements received upon settlement of accounts within

7 days from the receipt of such statements.

6. I/We have also noted that:-

a. This authorization shall be signed by me only and not by any power of attorney holder or by any authorized person.

b. I am/ We are also aware that this authorization can be revoked at any time at my/our own discretion

in writing.

Thanking you,

Yours faithfully,

Signature of the Client ________________________ Name of the Client: ______________________________�

VOLUNTARYUNDERTAKING FOR SERVICES BY WAY OF SMS ALERTS BY

TRADING MEMBER ON MOBILE / CELLULAR PHONES

To,

KRChoksey Shares & Securities Pvt. Ltd., Mumbai

Dear Sir,

I/We am/are having a trading account with your self for the purpose of trading on National Stock Exchange of

India Limited and/or Bombay Stock Exchange Limited as per the client mandatory & voluntary client registration

documents executed.

I/We am/are have regd. the mobile no. of various services being offered by the Trading Member.

In respect of investment/trading advisory services received from the trading member. I/We undertake to the

trading member and confirm to use our own judgement in taking a call on the said investment(s).

I/We am/are also undertake to the trading member and confirm that I/We execute trades in the identified

security(s) according to my/our financial strength/capability. I/We declare and agree that the trading member

shall not be responsible for any loss suffered by me or account of executing or omitting to execute any trades

in pursuance of the SMS alerts(s) and / or investment advises sent by the trading member.

I/We authorize to send consolidated summary of my/our scrip-wise buy and sell positions taken with average

rates to me/us by way of SMS on a daily basis. I/We hereby state that my/our number is not under Do Not disturb

directory and I am availing this services on our own will and there will be no financial obligation of BROKER in

case of legal disputes.

Thanking you,

Yours faithfully,


37

AUTHORISATION FOR ELECTRONIC CONTRACT NOTEDate :_____________________


Mumbai

Dear Sir,

I/We have been/shall be dealing through you as our broker on the Capital Market and/or Futures & Options Segments

and/or Currency. As my/our broker i.e. agent I/We direct and authorize you to carry out trading/dealings on my/our

behalf as per instructions given below.

I/We understand that, I/We have the option to receive the contract notes, Demat transaction/Holding statements,

Quarterly & Annual statement of funds & securities in physical form or electronic form.

I/We hereby consent to receive the contract note / trade confirmations of the trades executed by me, bills & account

statements thereof, notices, circulars, amendments and such other correspondence of documents in electronic

form duly authenticated by means of a digital signature as specified in the information Technology Act 2000 and the

Rules made there under, to any of my/our self created Email Ids mentioned below:

1 ………………………………………………………………………………………………………………

2 ………………………………………………………………………………………………………………

I/We agree not to hold you responsible for late/non-receipt of contract notes sent in electronic form for reason of

failure of email services, loss of connectivity & email in transit.

I/We agree that the log reports of your dispatching software shall be a conclusive proof of dispatch of contract

notes to me/us.

I/We also agree that non-receipt of bounce mail notification by you shall amount to delivery at my/our email

accounts(s) email id(s).

I/We understand that the Member shall fulfill its legal obligation if the aforesaid documents are sent electronically

to anyone of the said e-mail ids.

I/We also agree that non verification or not accessing the contract notes on regular basis from my/our part shall not

be a reason for disputing the contract note.

I/We understand that the Member shall not take cognizance of out-of office/out of station auto replies and I/We

shall be deemed to have received such electronic mails.

I/We understand that I am required to intimate any change in the email id/email account mentioned herein above

needs to be communicated by me through a physical letter to you.

I/We understand that I/We are liable to pay necessary charges if I/We are opting for ECN facility and require the

same in physical form in future. I/We also understand that on activation of this service. I/We shall not be receiving

any statements mentioned above in Physical mode.

Thanking you

Yours faithfully

Signature of the Client _____________________________________

Name of the Client: _______________________________________

Client Code: ____________________________________________

VOLUNTARY

�

To,KRChoksey Shares & Securities Pvt. Ltd.5th Floor, Abhishek Bldg., Dalia Indu. Estate


Sir,

Sub : Debiting CDSL Charges

I/We have registered with you in BSE/NSE having Client Code ________________________________.

I/We request you to debit demat charges of my CDSL BO Account No.______________________________

to my/our above mentioned account.

Thanking you,

Yours faithfully,


38



Dear Sir/ Madam,

I/We hereby give my/our consent to give me/us Alerts, Research Calls, Reports, News, Live Updates or any other

information on my Email ID given earlier for electronic communication and also on my Mobile

No.__________________________________.

I/We hereby also consent that the same shall not be treated as violation of DND or any other similar rules applicable

from time to time. The number may be given to the exchange database also. I/We further declare that the above

mentioned statement is true and correct.

Thanking You,

Yours faithfully,

[ ] SMS, Research calls, News, Live updates,

please tick to register for Mobile Alert SMS. _______________________

Signature of the Client

VOLUNTARYConsent letter for receiving Alerts, Trading Calls, Research Reports etc on Mobile

�



Dear Sir,

Sub: Auto square off in cash/Derivative segment

I/We desire to avail additional trading and delivery exposure limits calculated on the basis of my/our Collaterals heldwith KRCSSPL. I/we agree and permit you to square off my/our trades done by me/us/for me/us under margin at thestipulated time fixed by KRCSSPL as per the norms of Auto square off. These norms are either on time basis and oron MTM basis, which squares off trades on depletion to the extent of ____ % of my collaterals with KRCSSPL.{Collaterals are defined as + Ledger balances + Holding in DP (after haircut as applicable)}. As per SEBI circular No.CIR/HO/MIRSD/DOP/CIR/P/2019/75, dated 20th June, 2019

I/we am/are aware and I/we also understand that all my/our open positions for Intraday trading will be reversed/squared off, by me/us voluntarily before _________, failing which KRCSSPL shall attempt to close (Square off)positions that are still open after _________. However, there shall be many occassions where total square off cannotbe guaranteed due to various reasons. In view of the above, I/we shall not hold KRCSSPL responsible for any lossesor auction losses arising from the Margin positions that could not be squared off by the end of the day for squareoff on timer basis or during the day on MTM basis as stated above. The trade related liability if any, arising due tosuch non square will be borne by me/us at my/our cost and consequences .

I/we shall not hold KRCSSPL liable for losses caused directly or indirectly by government restrictions, Exchange ormarket rulings, suspension of trading, computer, communication, telephone or system failure, accident, powerfailure, equipment of software malfunction, strike, event of national emergency, war, prohibitive governmentalregulation, natural calamity or if any other force majeure cause which is beyond the reasonable control or any otherconditions beyond KRCSSPL control.

Thanking you,Yours truly,

______________________________________

Name, Seal, and signature of Sole / All holders

VOLUNTARY

�

Client Name Client Code

Name of Network

Partner

Received on

Limits Activated on

Approved by Network

Partner/Branch

Limits Activated by

Approved by Network

Compliance Head

Auto Square off/Liquidation of open position

39

FATCA/CRS DETAILS

Date: _______________

DP ID Client ID12010700 0 0

Sr. No. Details 1st Holder 2nd Holder 3rd Holder

1 Are You a Tax Resident of Country other than India?

2 Is your Country of Birth/Citizenship other than India?

3 If your Residence address/Mailing address/Telephone

No. other than in India?

4 Is the POA holder/person to whom signatory authority

is given, covered under any of the categories 1, 2 or 3

above?

If you have answered YES to any of above, please provide the below details

Sr. No. Details 1st Holder 2nd Holder 3rd Holder

1 Country of Residence

2 Nationality

3 Tax Identification No. or Reason for not providing TIN

4 Identification Type (TIN or Other, please specify)

5 Residence address for tax purposes (include City,

State, Country & Pin code)

6 Address Type

7 City of birth

8 Country of birth

Certification: I/We have understood the information requirements of this Form (read along with the FATCACRS

Instructions), and hereby certify that the information provided by me/us on this Form is true, correct, and complete.

I/We also confirm that I/We have read and understood the FATCACRS Terms and Conditions and hereby accept the

same.

I/We agree to indemnify KRChoksey Shares and Securities Pvt. Ltd. in respect of any false, misleading, inaccurate

and incomplete information regarding my/our "U.S. person" status for U.S. federal income tax purposes. or in

respect of any other information as may be required under applicable tax laws.

Client Code

The below information is required for all applicant(s) / guardian / PoA holder.

Yes No Yes No Yes No




� Residential� Business� Regd. Office



First / Guardian Applicant

Signature


Name

PAN

FATCA-CRS InstructionDetails under FATCACRS/Foreign Tax Laws: The Central Board of Direct Taxes has notified Rules 114F to 114H, aspart of the Income Tax Rules 1962, which Rules require Indian financial institutions to seek additional personal, taxand beneficial owner information and certain certifications and documentation from all our account holders. Incertain circumstances (including if we do not receive a valid self -certification from you) we may be obliged toshare information on your account with relevant tax authorities/appointed agencies. If you have any questionsabout your tax residency, please contact your tax advisor. Should there be any change in any information providedby you, please ensure you advise us promptly, i.e., within 30 days. Towards compliance, we may also be requiredto provide information to any institutions such as withholding agents for the purpose of ensuring appropriatewithholding from the account or any proceeds in relation thereto. As may be required by domestic or overseasregulators/ tax authorities, we may also be constrained to withhold and pay out any sums from your account orclose or suspend your account(s).

� �SH

�TH

40

FATCA/CRS Terms & Conditions

The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income-tax Rules, 1962, which Rules

require Indian Financial Institutions to seek additional personal, tax and beneficial owner information and certain

certifications and documentation from all our account holders. In relevant cases, information will have to be

reported to tax authorities / appointed agencies. Towards compliance, we may also be required to provide

information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding

from the account or any proceeds in relation thereto.

Towards compliance with tax information sharing laws, such as FATCA and CRS, we would be required to seek

additional personal, tax and beneficial owner information and certain certifications and documentation from our

account holders. Such information may be sought either at the time of account opening or any time subsequently.

As may be required by domestic or overseas regulators/ tax authorities, we may also be constrained to withhold

and pay out any sums from your account or close or suspend your account(s).

Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within

30 days from the occurrence of the change in information.

Please note that you may receive more than one request for information if you have multiple relationships with

KRChoksey Shares and Securities Pvt. Ltd. or its group entities. Therefore, it is important that you respond to our

request, even if you believe you have already supplied any previously requested information.

If you have any questions about your tax residency, please contact your tax advisor. If you are a US citizen or resident

or green card holder, please include United States in the foreign country information field along with the US Tax

Identification Number.

Foreign Account Tax Compliance provisions (commonly known as FATCA) are contained in the US Hire Act 2010.

In case customer has the following Indicia pertaining to a foreign country and yet declares self to be non-tax resident

in the respective country, customer to provide relevant Curing Documents as mentioned below:

FATCA & CRS Indicia

observed (ticked)

Documentation required for Cure of FATCA / CRS indicia

1. Self-certification that the account holder is neither a citizen of United States of

America nor a resident for tax purposes;

2. Non-US passport or any non-US government issued document evidencing

nationality or citizenship (refer list below) AND

3. Any one of the following documents:

• Certified Copy of “Certificate of Loss of Nationality”; or

• Reasonable explanation of why the customer does not have such a certificate

despite renouncing citizenship; or

• Reason the customer did not obtain U.S. citizenship at birth

U.S. Place of Birth


America nor a resident of any other country other than India; and

2. Documentary evidence (refer list below)

Residence/mailing address

in a country other than

India

Whether Indian telephone number is provided or not provided along with a foreign

country telephone number


America nor a resident of any other country other than India; and

2. Documentary evidence (refer list below)

Telephone number in a

country other than India

List of acceptable documentary evidence needed to establish the residence(s) for tax purposes:

1. Certificate of residence issued by an authorised Government body *

2. Valid Identification issued by authorised Government body * (e.g., Passport, National Identity Card, etc.)

* Government or agency thereof or a municipality of the country or territory in which the payee claims to be

a resident.

41

Declaration to be given by partnership on Letter head of the firmDate:



Dear Sir,

We refer to the trading account being opened/opened with you in the name _______________________________ and de-

clare and authorize you as under.

We recognize that a beneficiary account cannot be opened with a depository participant in the name of a partnership firm as

per Regulations. To facilitate the operation of the above trading account with you and for the purpose of completing the

securities transfer obligations pursuant to the trading operations, we authorize you to recognize the beneficiary account No.

____________________ with depository ______________________ opened as a joint account in the names of the partner of

the firm.

We agree that the obligations for shares purchased and /or sold by the firm will be handled and completed through transfer

to/from the above-mentioned account. We recognize and accept transfers made by you to the beneficiary account as com-

plete discharge of obligations by you in respect of trades executed in the above trading account of the firm.

We hereby authorize __________________________, partner in the firm to execute / sign and submit such documents, agree-

ments, deeds etc. as any be necessary to open the trading and demat accounts and engage in business with KRCHOKSEY

SHARES & SECURITIES PVT. LTD. and to place order for buying and selling of securities, sell, purchase, transfer, endorse, DP

Instruction, negotiate and do other things that may be necessary to engage in business on behalf of the partnership

Name of Partners (In Block Letters) Signatures

FORMAT

HUF DECLARATION

Date:__________________

I hereby request you to open out Demat account with you, for our HUF.Being Karta of my family, I hereby declare that following is the list of family members in our HUF, as on date ofApplication, i.e._______________________________________________________________________________ .

I hereby also declare that the particulars given by me as stated above are true to the best of my knowledge as ondate for making this Application to open Account.

I agree that any false/misleading information given by me or suppression of any material information will render mysaid account liable for termination and further action. Further, I agree that I will immediately intimate any death/sor birth/s in the family as it changes the constitution of the HUF.

Thanking you,

Yours truly,

Karta

(Affix stamp of HUF)

Sr. No. Name of Family Members Sex Relations Date of Birth Signature

FORMAT

�

42

FORMAT OF RESOLUTION

ON LETTERHEAD OF COMPANY

RESOLVED THAT the Company be registered as client with KRChoksey Shares and Securities Pvt. Ltd. Stock broker of

the National Stock Exchange of India Ltd. (NSE) and the Stock Exchange, Mumbai (BSE) and Depository Participant of

the Central Depository Services Ltd. For the purpose of trading in the securities at NSE/BSE and opening a Demat

account with the said member and the said member be and is hereby authorized to honor instructions given on behalf

of the Company by any of the under noted authorized signatories:

Who are authorized to sell, purchase, transfer, endorse, negotiate and/ or otherwise deal in securities and/ or derivative,

sign, execute and submit such application, undertakings, agreements, DP instructions and other requisite documents,

writings and deeds as may be deemed necessary or expedient to give effect to this resolution on behalf of the Company.

RESOLVED FURTHER THAT Mr. ______________________________________________________ and/or

Mr.__________________________Directiors / Authorized Signatories of the Company be and are hereby authorized

to sign, execute and submit such applications, undertakings, agreements, DP Instructions and other requite documents,

writings and deeds as may be deemed necessary or expedient to give effect to this resolution.

RESOLVED FURTHER THAT, the Common Seal of the Company is affixed, wherever necessary, in the presence of any

two directors or Managing Director or Company Secretary, who shall sign the same in token of their presence.

RESOLVED FURTHER THAT, the above resolution shall remain effective and in force till such time as a fresh resolution

canceling or amending the same is passed by the Board of Directors is furnished to

_______________________.

CERTIFIED TRUE COPY

________________

Managing Director

No. Name of Authorised person Specimen Signature

FORMAT

43

Date: ____________________

Name :_________________________________________

Client Code: _____________________________________

E-mail: _________________________________________

To,


Mumbai

Dear Sirs,

Sub.: Confirmation of Receipt of executed documents.

With reference to my registration as Client with you for National Stock Exchange of India Limited (NSE)/Bombay

Stock Exchange Limited (BSE). I hereby confirm that I have received, read & understood copies of the following

executed documents:

1. Copy of Risk Management Policy

2. Copy of Know Your Clients Form (KYC).

3. Risk Disclosure Documents (RDD).

4. Running Account Letter

5. Policies and Procedures

6. Guidance Note

7. Rights & Obligations (Broking & Dp)

8. Square off authorisation

9. Tariff Sheet

10. ECN Authorisation

11. All mandatory and voluntary client registration documents.

Thanking you,

Yours faithfully,

Signature of Client ________________________________________________________________

�


(To be filled up by KRChoksey Shares and Securities Pvt. Ltd.)

Name

Specimen Signature


1 2 0 1 0 7 0 0 0 0DP ID Client ID

Specimen Signature Card

� �SH

�TH

CONFIRMATION OF RECEIPT OF EXECUTED DOCUMENTS(IN CASE OF NON-INDIVIDUAL CLIENT ON LETTERHEAD)



Name of Sole/First Authorised Signatory

Name of Second Authorised Signatory

Name of Third Authorised Signatory

DP ID Client ID

Acknowledgement ReceiptApplication No. : Date :

We hereby acknowledge the receipt of the Account Opening Application Form:

(Please preserve this Acknowledgement Receipt)



KINDLY REGISTER YOUR DEMAT ACCOUNT WITH ‘www.cdslindia.com’ UNDER ‘EASI’FOR VIEWING OF HOLDING AND TRANSACTION STATEMENT FREE OF CHARGE.

1 2 0 1 0 7 0 0 0 0

44

THIS

PAGE IS

INTE

NTIONALL

Y

KEPT BLA

NK



Name of Sole/First Authorised Signatory

Name of Second Authorised Signatory

Name of Third Authorised Signatory

DP ID Client ID

Acknowledgement ReceiptApplication No. : Date :

We hereby acknowledge the receipt of the DIS:

(Please preserve this Acknowledgement Receipt)



KINDLY REGISTER YOUR DEMAT ACCOUNT WITH ‘www.cdslindia.com’ UNDER ‘EASI’FOR VIEWING OF HOLDING AND TRANSACTION STATEMENT FREE OF CHARGE.

1 2 0 1 0 7 0 0 0 0

45


CLIENT REGISTRATION KIT

APPLICATION NO:

For any grievance/dispute please contact KRChoksey Shares and Securities Pvt. Ltd. at the above address or email

id: [email protected], Tel:- 91-022-66965555. In case not satisfied with the response, please contact the

concerned exchange(s) for BSE {Email ID} [email protected] {Tel} 022 2272 8517 - NSE {Email ID} [email protected]

{Tel} 1800 266 0058 - CDSL -{Email ID} [email protected] {Tel} 1800 22 5533 - SEBI {Website} https://

scores.gov.in {Tel} 1800 266 7575 / 1800 22 7575

INDIVIDUAL NRE NRO HUF NON-INDIVIDUAL

(PART - A)

Name of stock broker/trading member KRChoksey Shares and Securities Pvt. Ltd. (KRCSSPL)

Regd. Office Address & Contact details: 1102, Stock Exchange Tower, Dalal Street, Mumbai 400 001, India.Tel.: 91-22-6653 5000 � Fax: 91-22-6633 8060

Corp. Office Address & Contact details: Abhishek, C-5&6, 5th Floor, Dalia Industrial Estate, Link Road,Andheri (W), Mumbai 400 053, IndiaTel.: 91-22-6696 5555 � Fax: 91-22-6691 9576

Email & Website [email protected] � www.krchoksey.com

SEBI Regn. No. INZ 000181135 � 31/05/2018

BSE Segment: Cash, F&O, Currency, SLBM & Commodities, NSE Segment: Cash & F&O, Currency & SLBM

BSE Clearing No.: 385 • NSE Code No.: 09758

Clearing Member Name for NSE F&O & NSE Curr. ICICI Bank Ltd.

SEBI Regn. of Clg. Member (NSE F&O & Currency) INZ000197438 � 06/09/2018

Clearing Member Address for NSE F&O & Curr. Empire Complex, 1st Floor, 414-Senapati Bapat Marg, Lower Parel (West), Mumbai - 400 013

DP Details IN-DP-425-2019 - DP ID: 10700 � 20/08/2019

CEO Name & Contact details Rajiv Choksey, 022 66535000 & [email protected]

Compliance Officer Name & Contact Prashant Shah , 022 66965555 & [email protected]

46


CLIENT REGISTRATION KIT

INDIVIDUAL NRE NRO HUF NON-INDIVIDUAL

CLIENT NAME: .........................................................................................................................................

CLIENT CODE: ............................................. BRANCH CODE: ................................................................

DP ID.: ................................................................ BO ID:.........................................................................

A/C OPENED IN: ................................................. A/C OPENED BY:.........................................................

APPLICATION NO:

(PART - A)

Name of stock broker/trading member KRChoksey Shares and Securities Pvt. Ltd. (KRCSSPL)

Regd. Office Address & Contact details: 1102, Stock Exchange Tower, Dalal Street, Mumbai 400 001, India.Tel.: 91-22-6653 5000 � Fax: 91-22-6633 8060

Corp. Office Address & Contact details: Abhishek, C-5&6, 5th Floor, Dalia Industrial Estate, Link Road,Andheri (W), Mumbai 400 053, IndiaTel.: 91-22-6696 5555 � Fax: 91-22-6691 9576

Email & Website [email protected] � www.krchoksey.com

SEBI Regn. No. INZ 000181135 � 31/05/2018

BSE Segment: Cash, F&O, Currency, SLBM & Commodities, NSE Segment: Cash & F&O, Currency & SLBM

BSE Clearing No.: 385 • NSE Code No.: 09758

Clearing Member Name for NSE F&O & NSE Curr. ICICI Bank Ltd.

SEBI Regn. of Clg. Member (NSE F&O & Currency) INZ000197438 � 06/09/2018

Clearing Member Address for NSE F&O & Curr. Empire Complex, 1st Floor, 414-Senapati Bapat Marg, Lower Parel (West), Mumbai - 400 013

DP Details IN-DP-425-2019 - DP ID: 10700 � 20/08/2019

CEO Name & Contact details Rajiv Choksey, 022 66535000 & [email protected]

Compliance Officer Name & Contact Prashant Shah , 022 66965555 & [email protected]

For any grievance/dispute please contact KRChoksey Shares and Securities Pvt. Ltd. at the above address or email

id: [email protected], Tel:- 91-022-66965555. In case not satisfied with the response, please contact the

concerned exchange(s) for BSE {Email ID} [email protected] {Tel} 022 2272 8517 - NSE {Email ID} [email protected]

{Tel} 1800 266 0058 - CDSL -{Email ID} [email protected] {Tel} 1800 22 5533 - SEBI {Website} https://

scores.gov.in {Tel} 1800 266 7575 / 1800 22 7575