Combined Reg Form B-Rvw1 - JK Securitiesjksecurities.com/jknew/download_forms/account opening... · 2019-06-22 · For non-residents and foreign nationals, (allowed to trade subject

A. Important Ponts : 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 deal in securities on behalf of company/ �rm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for veri�cation. In case the original of any document is not produced for veri�cation, then the copies should be properly attested by entities authorized 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 into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are di�erent, then proofs for both have to 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/PIO Card/OCI Card and overseas address proof is mandatory. 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 certi�ed copy of CDC (Continuous Discharge Certi�cate) is to be submitted. 10. For opening an account with Depository Participant or Mutual Fund for a minor, photocopy of the School Leaving Certi�cate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certi�cate must be provided. 11. Politically Exposed Persons (PEP) are de�ned as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/ judicial/ military o�cers, senior executives of state owned corporations, important political party o�cials, etc. 12. All communication shall be sent at the address of the Sole/First holder only. 13. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate

14. As per NSDL Circular No. NSDL/PI/2004/1622 dated September 07, 2004 & NSDL/PLICY/2012/007 dated August 13, 2012 pursuant to SEBI Circular No. MRD/DoP/Cir-29/2004 &CIR/MIRSD/ 09 /2012 dated August 13, 2012, a copy of any of the following documents may be accepted as proof of identity/proof of address (local/correspondence/ foreign address as the case may be)

Instructions related to nomination are as below: a. The nomination can be made only by individuals holding bene�ciary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, partnership �rm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form. b. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the bene�cial owner. c. The Nominee shall not be a trust, society, body corporate, partnership �rm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time. d. Nomination in respect of the bene�ciary owner account stands rescinded upon closure of the bene�ciary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities. e. Transfer of securities in favour of a Nominee shall be valid discharge by the depository and the participant against the legal heir. f. The cancellation of nomination can be made by individuals only holding bene�ciary owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, trust, body corporate, partnership �rm, karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the bene�ciary owner account is held jointly, all joint holders will sign the cancellation form. g. On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee.

B. Proof of Identity (POI) : List of documents admissible as Proof of Identity: 1. Unique Identi�cation No. (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 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 Financial Institutions, Colleges a�liated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

C. Proof of Address (POA) : List of documents admissible as Proof of Address:(*Documents having an expiry date should be valid on the date of submission.) 1. 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 O�cer/ 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/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges a�liated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council 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 registered address should be taken. 8. The proof of address in the name of the spouse may be accepted.

D. Exemptions/clari�cations to PAN(*Su�cient 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 o�cials appointed by Courts e.g. O�cial liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/�ling 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 Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as de�ned under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certi�ed copies of such veri�ed PAN details to the intermediary.

E. List of people authorized to attest the documents: 1. Notary Public, Gazetted O�cer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be a�xed on the copy). 2. In case of NRIs, authorized o�cials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

MembersNSE (National Stock Exchange of India Limited)BSE (Bombay Stock Exchange of India Limited)

MSEI (Metropolitan Stock Exchange of India LimitedDepository Participant

NSDL (National Securities Depository Limited)DP ID : IN300636 (NSDL)

CIN : U27204GJ1995PTC025974

Client Code

Trading No.

Receipt No.

Branch/Broker

Registration FormCLIENT REGISTRATION FORM FOR DEMAT & TRADING ACCOUNT (COMBINED FORM FOR NSE, BSE, MSEI & DP - NSDL)










Annexure - 1 Account Opening KitINDEX

Name of Stock Broker/Trading Member/Clearing Member : JK Securities Private LimitedSEBI Registration No. : NSE Cash - INB230823938, NSE F&0 - INF230823938, NSE CDS - INE230823938MSEI Cash - INB260823936, MSEI F&O - INF260823936, BSE Cash 6608, IN DP NSDL 63 98NSDL Registration No. : IN-DP-NSDL-63-98Depository Participant : NSDL - ID IN300636NSDL : [email protected] & Correspondence O�ce Address : Opp. People's Bank Park, Sardar Gunj Road, Anand 388001,Gujarat Ph :+912692 225040/41/42 Fax:+91 2692 240383 Website :www.jksecurities.com Compliance o�cer : Mr. Manish Shah +91 99789 14266, +91 2692 225005, [email protected] Director : Mr. Pranav Patel +91 2692 22 50 50 [email protected] any grievance/dispute please contact JK Securities Private Limited at the above address or email on [email protected] or Phone No. +91 90998 11000.In case not satis�ed with the response, please contact the Investor Grievance Cell/Arbitration (NSE) [email protected] and Phone No. +91 22 26598192 and (MSEI) at investorcomplaints@mcx_sx.com and Phone No. +91 22 67318933/9000BSE : [email protected], Phone No. : +91 22 22728097.

01

S. No. Page No.Name of the Documents

MANDATORY In - Person Checklist

MANDATORY Account Opening Form - CKYC Form

MANDATORY Account Opening Form - Annexure J (Bank Details, Segment, Sub Broker Details, Introducer Details, Tarrif Sheet

MANDATORY Demat Account Charge Structure (Options for issue of DIS Book, Basic Service Demat Account & Nomination Form - Form 10

VOLUNTARY Basic Information of AML & FATCA Form

MANDATORY Mobile & Email Declaration & FEMA Declaration, Concent Letter for Obtaining Welcome Kit Documents

VOLUNTARY MFSS Service System Facility

VOLUNTARY Authorisation Letter for ECN (Demat & Trading)

MANDATORY Policy & Procedures

VOLUNTARY Undertaking Authorization

VOLUNTARY Internet & Wireless Technology based Trading Facility

VOLUNTARY Running Account Authorization

VOLUNTARY Application for enabling SLB

VOLUNTARY Document Checklist

Supplimentary Booklet for Mandatory Documents as prescribed by SEBI & Exchanges Rights & Obligations DP Rights & Obligations of Stock Broker, Sub Broker & Client Internet & Wireless Technology based Trading Facility Risk Disclosure Document for Capital Market & Derivatives Segment Policy & Procedures of the Stock Broker Document detailing DOs & DON’Tts for Trading on Exchange Demat Account Charge Structure - Client Copy

04 - 07

08 - 10

11 - 14

15 - 19

20 - 22

23 - 24

25 - 26

27 - 28

29 - 33

34 - 35

36

37

38 - 42

44

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02

1. I/We do hereby con�rm the receipt of copy of the duly completed KYC documents including RDD, Rights 7 Obligations Guidance Note, Policies & Procedures and all such other documents executed by me/us as your client.2. I/We do hereby con�rm the receipt of the Tari� Sheet, Trading Code/Unique Client Code allotted to me/us including the E-mail ID furnished by me/us for the purpose of receiving electronic contract notes, ststement of accounts and such other documents and as such have noted the User ID and Password given to me/us for the operations of the same through your website.3. In case of non-receipt of the above or User ID & Password for tracking any transaction through your website : www.jksecurities.com or for any help assistance. I/We will promptly notify your compliance o�cer for Trading A/c : Manish Shah, on ID : [email protected] or Mob.: +91 99789 14266 or Tel.: +91 2692 225036/37 and for Demat A/c : Manish Shah, on ID : [email protected] or Mob.: +91 99789 14266 or Tel.: +91 2692 225036/374. I/We will periodically visit your website www.jksecurities.com for updation on various Policies/Forms/Declarations etc.5. I/We hereby declare that prior to transacting into the securities of Listed Stock Exchanges, I/we will ensure to meet Elegibility for acquiring or holding shares and �t and proper criteria as per SEBI circular No. CIR/MRD/DSA/01/2016 dated 1st January, 2016 under SECC Regulations, 2012 as may be amended from time to time.6. I/We do hereby acknowledge receipt of following Annexure 4 - Rights & Obligations of Stock Brokers and Clients Annexure 5 - Risk Disclosure Document for Capital Market & Derivatives Segments Annexure 6 - Guidance Note - Do’s & Don’ts for Trading on the Exchange(s) for Investors Documents describing signi�cant Policies & Procedures of Stock Broker (added by Stock Broker). Rights & Obligations of Bene�cial & Depository Participant as perscribed by SEBI and Depositories

Received the Combined Application from Mr./Ms.

as the �rst holder along with and

as the Second & Third Holders respectively for opening Depository/Trading Account. Please quote the DP ID & Client

ID allotted to you in all your future correspondence.

Date D D M M Y Y Y Y


ACKNOWLEDGEMENTRights & Obligations Acknowledgement (Brokers & DP)

ACKNOWLEDGEMENT SLIP

DP ID : IN300636 Client ID : Trading Code :

DP ID : IN300636 Client ID :

Authorised Signatory

Trading Code :

NameName(s) of Holder(s)

Sole/First Holder

Second Holder

Signature

Third Holder

JK SECURITIES PRIVATE LIMITEDOpp. People’s Bank Park, Sardargunj Road, Anand 388 001. Form No.

Form No.

01

01

01



















04

FOR OFFICE USE ONLY

INSTRUCTIONS/CHECK LIST

Allotted Unique Client Code

Sign (Authorised Signatory)

Date

Employee NameEmployee CodeEmployee DesignationDateSignature

Copy of ITR AcknowledgementIn case of salary income - Salary Slip, Copy of Form 16Copy of Demat Account Holding Statement Any other relevant documents substantiating ownership of assets

Copy of Annual AccountsNet Worth Certi�cateBank Account Statement for last 6 monthsSelf declaration with relavent supporting documents

Documents veri�ed with Originals

Client interviewed by In-Person Veri�cationdone by

I/We undertake that we have made the client aware of 'Policy and Procedures', tari� 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/her a copy of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', tari� sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the clients.

1. Additional documents in case of trading in derivatives segments - illustrative list:

NOTE : 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’ veri�cation through web camera at the branch o�ce of the Stock Broker/Sub-Broker’s o�ce. (b) In case of Non-Resident clients, employees at the Stock Broker's local o�ce, overseas can do ‘In- Person' veri�cation. Further, considering the infeasibility of carrying out 'In-person' veri�cation of the Non-Resident clients by the Stock Broker's sta�, 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/�rm/others and their specimen signatures.

Seal/Stamp of the Stock Broker

Annexure - 2 Instructions/Check list for �lling KYC Form





05















06










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

Copy of the balance sheets for the last 2 �nancial 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 terms of SEBI takeover Regulations, duly certi�ed 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 certi�cate of incorporation. Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures.

Copy of the balance sheets for the last 2 �nancial years (to be submitted every year). Certi�cate of registration (for registered partnership �rms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners.

Copy of the balance sheets for the last 2 �nancial years (to be submitted every year). Certi�cate of registration (for registered trust only). Copy of Trust deed. List of trustees certi�ed by managing trustees/CA. Photograph, POI, POA, PAN of Trustees.

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.

Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures.

Copy of the constitution/registration or annual report/balance sheet for the last 2 �nancial years. Authorized signatories list with specimen signatures.

Copy of SEBI registration certi�cate. Authorized signatories list with specimen signatures.

Self-certi�cation on letterhead. Authorized signatories list with specimen signatures.

Copy of Registration Certi�cate 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 certi�ed by the Chairman/Secretary.

Corporate

Partnership Firm

Trust

HUF

Unincorporated association or a body of individuals

Banks/ InstitutionalInvestors

Foreign Institutional Investors (FII)

Army/Government Bodies

Registered Society

Types of entity Documentary requirements

07










08

Important Instructions :

FOR OFFICE USE ONLY :(To be �lled by �nancial institution)

Application Type*

Account Type*KYC Number (Mandatory for KYC Update request)

New Update

Normal SmallSimpli�ed (for low risk customers)

A) Fields marked with ‘*’ are mandatory �elds.B) Please �ll the form in English and in BLOCK letters.C) Please �ll 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 code is available at the end.G) KYC number of applicant is mandatory for update application.H) For particular section update, please tick (√) in the box available before the section number and strike o� the sections not required to be updated.

CENTRAL KYC REGISTRYKnow Your Customer (KYC) Application Form for Individual

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

02. TICK IF APPLICABLE Residence for tax purposes in jurisdiction(s) outside India (Please refer Instruction B at the end)

03. PROOF OF IDENTITY (Pol*) (Please refer Instruction C at the end)

Per�xName* (Same as ID proof )Maiden Name (if any*)Father/Spouse Name*Mother Name*Date of Birth*Gender*Marital Status*Citizenship*Residential Status*

Occupation Type*

ADDITIONAL DETAILS REQUIRED* (Mandatory only if Section 2 is ticked)ISO 3166 Country Code of Jurisdiction of Residence*Tax Identi�cation Number or equivalent (if issued by jurisdiction)*Place/City of Birth* ISO 3166 Country Code of Birth*

(Certi�ed copy of any one of the following Proof of Identity(Pol) needs to be submitted) A - Passport 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 noti�ed by the central government) Identi�cation Number B - Simpli�ed Measures Account - Document Type Code Identi�cation Number

First Name

M - MaleD D M M Y Y Y Y

F - Female T - TransgenderMarried Unmarried OthersIN - Indian Others (ISO 3166 Country Code )Resident Individual Non Resident IndianForeign National Person of Indian OriginS - Service ( Private SectorO - Others ( Professional

Public SectorSelf Employed

Government Sector )Retired Housewife Student )

B - BusinessX - Not Categorised

Last NameMiddle Name

D D M M Y Y Y Y

D D M M Y Y Y Y

Signature

02










09

04. PROOF OF ADDRESS (PoA)*

05. CONTACT DETAILS (All communications will be sent on provided Mobile No./Email ID) (Please refer to instruction F at the end)

04.1 CURRENT/PERMANENT/OVERSEAS ADDRESS DETAILS (Please see Instruction D at the end)(Certi�ed copy of any one of the following Proof of Identity(Pol) needs to be submitted)

Address Type*Proof of Address*

AddressLine 1*Line 2Line 3 City/Town Village*District* Pin/Post Code* State/U.T. Code* ISO 3166 Country Code*

Residential/Business ResidentialPassportVoter Identity Card

Driving LicenceNREGA Job Card

Business Registered O�ce Unspeci�edUID (AADHAAR)Others

Simpli�ed Measures Account - Document Type Code

04.2 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 �ll ‘Annexure A1’)

Line 1*Line 2Line 3 City/Town Village*District* Pin/Post Code* State/U.T. Code* ISO 3166 Country Code*

04.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable of Section 2 is ticked)Same as Current/Permanent/Overseas Address Details Same as Correspondence/Local Address Details

Line 1*Line 2Line 3 City/Town Village*District* Pin/Post Code* State/U.T. Code* ISO 3166 Country Code*

Tel. (O�)FAX

Tel. (Res)Email ID

Mobile

06. DETAILS OF RELATED PERSON (In case of additional related persons, please �ll ‘Annexure B1’) (Please refer to instruction G at the end)

Addition of Related PersonKYC No. of Related Person (if available*)Related Person Type*

Deletion of Related Person

Guardian of Minor Assignee Authorized Representative

Per�xName*

(If KYC number and name are provided, below details of section 6 are optional)

First Name Last NameMiddle Name

PROOF OF IDENTITY (PoI) OF RELATED PERSON* (Please see instruction H at the end) A - Passport 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 noti�ed by the central government) Identi�cation Number B - Simpli�ed Measures Account - Document Type Code Identi�cation Number

D D M M Y Y Y Y

D D M M Y Y Y Y










10

07. REMARKS (If any)

08. APPLICANT DECLARATION

09. ATTESTATION/FOR OFFICE USE ONLY

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 above information is found to be false or untrue or misleading or misinterpreting,I am aware that I may be held liable

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

Date : Place :

Documents Received Certi�ed Copies

DateEmp. NameEmp. CodeEmp. DesignationEmp. Branch

JK SecuritiesPrivate LimitedCKYC Code : IN0195 NDML Code : P0670

Opp. People's Bank Park, Sardargunj Road,Anand 388001, GujaratT : +912692 225040/41/42F : +91 2692 240383W : www.jksecurities.com

D D M M Y Y Y Y

D D M M Y Y Y YSignature/Thumb Impression

of the Applicant

Signature (Authorised Signatory)

03










11

Private SectorPublic ServiceGovt. ServiceBusinessProfessional

D D M M Y Y Y Y

Annexure - J Part - IIAccount Opening Form (for Individuals)

AgriculturistRetiredHousewifeStudentOther (specify)

UndergraduatePost GraduateOther

GraduateProfessional





Private SectorPublic SectorGovt. ServiceBusinessProfessional


Private SectorPublic SectorGovt. ServiceBusinessProfessional


JK Securities Private LimitedDP ID - IN 300636Opp. People’s Bank Park, Sardargunj Road, Anand 388 001T : +91 2692 225037/38 F : +91 2692 240383 Cilent ID

Demat No.

I/ We request you to open a depository & trading account in my/ our name as per following details Date

A. Details of Account Holder(s)

Account Holder(s) Sole/ First Holder Second Holder Third HolderName

Brief detailsEducationalQuali�cation

PANOccupation(please tick any one and give brief details)

B. For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned below

Name PAN

Ordinary Resident

NRI - Repatriable

NRI - Non Repatriable

Quali�ed Foreign Investor

Foreign National

Promoter

Margin

Others (please specify)

C. Type of Account

E. Please tick, if applicable

Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

D. Bank Details

2. Bank Account Number3. Bank Name

5. MICR Code6. IFSC Code

4. Branch Address

1. Bank Account Type Savings Account

City/ Town/ Village

State

PIN Code

Country

Current Account Other (please specify)

D D M M Y Y Y YRBI Approval DateRBI Approval Reference Number

D D M M Y Y Y Y

F. In case of NRIs/ Foreign Nationals

RBI Approval DateRBI Approval Reference Number

I/We wish to make a nomination.(Details are provided in FORM 10)

I/We do not wish to make a nomination.

G. Nomination Option

OTHER DETAILS

YYYYMMDD

Below ₹ 1 lac

Net Worth (Net Worth Should not be older than 1 year) Amount Date

₹ 1 - 5 lac ₹ 5 - 10 lac ₹ 10 - 25 lac More than ₹ 25 lac

H. Gross Annual Income Details Income Range per annum (please tick any one)

I. Occupation

Private SectorPublic ServiceGovt. Sector

BusinessProfessionalAgruculturist

RetiredHousewifeStudent

Other (specify)

J. Depository Details

Depository Participant Name :

Depository : NSDL CDSL

Bene�ciary Name :

DP ID : Bene�ciary ID :

K. Trading Preferences*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck o� by the client.

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

Segments

Cash

F & O

CurrencyDerivatives

Cash

F & O

Cash

F & O

Exchange

BSE

MSEI

MFSS

SLB

NSE

12

04

04

04

04

04

04

04

04

04

P. Standing Instructions

1. I/ We authorise you to receive credits automatically in to my/ our account2. Account to be operated through Power of Attorney (PoA)3. SMS Alert facility : (Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form)

Physical Form04. Mode of receiving Statement of Account

Sr. No Holder Yes No 01 Sole/ First Holder 02 Second Holder 03 Third Holder

Yes NoYes No

Electronic Form (Read Note 4 and ensure that eMail ID is provided in KYC Application Form)

Q. Guardian Details (where sole holder is a minor) For account of a minor, two KYC Application Forms must be �lled i.e. one for the guardian and another for the minor (to be signed by the guardian)

Guardian NamePANRelationship of Guardian with minor

Yes No

• Whether you wish to receive Physical Contract Note or Electronic Contract Note (ECN) (Please Specify) :• Specify your email ID, if applicable :• Whether you wish to avail of the facility of internet trading/wireless technology (Please specify) :• Number of years of Investment/Trading experience : • In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorised to deal in securities on behalf of company/�rm/others :• Any other information :

Name of the Introducer : FIRST NAME MIDDLE NAME LAST NAMEStatus of the Introducer : Sub-Broker/Remisier/Authorised Person/Existing Client/Others (Please Specify) Address & Contact No. of the Introducer : Signature of the Introducer :

N. Additional Details (Physical or Electronic)

O. Introducer Details

L. 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:

If client is dealing through the sub-broker, provide the following details:Sub-Broker’s Name :SEBI Registration No. :Registered O�ce Address :Telephone : Fax : Website :

Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers,please provide details of all) :Name of Stock Broker :Name of Sub-Broker, if any :Client Code : Exchange :Details of disputed/dues pending from/to such stock broker/sub-broker :

M. Dealings through Sub-Brokers and other Stock Brokers

13

14

Tari� Sheet

Signature of the Applicant


Account OpeningIntraday

DeliveryBUY

% Min % Min % Min

SELL

Intraday

BUY

% Min % Min

SELL

Anyday

BUY

% Min % Min

SELL

Intraday

BUY

Delivery

0.1%

0.00325% 0.0019% 0.0011% 0.05%

Rs. 175Rs. 25

0.04% 0.00010% 0.001%Rs. 1 pertrade

0.010% 0.002%

0.025% 0.01% 0.05%

Jobbing

Delivery Jobbing

SELL

Anyday

BUY SELL

NIL Account Closing NIL

NSE & BSECash Segment

IndexFuture

EquityFuture

Index & EquityOption

CurrencyOption

Sales of Futuresin securities

Sales of Optionsin securities

SecurityTransactionTax*

StampDuty

TurnoverCharge*

GST

* As per Government Rules Pledge Charges Rs. 35/- per transaction

Minimum Contract Charges(Per Contract) Statutory Charges (PoA)

NSECash

CGST 9% SGST 9% IGST 18%

BSECash

NSEFuture

CDSFuture

NSEOption

CDSOption

SEBITurnoverCharges

BSEClearingCharges

CurrencyFuture

Communications between JK Securities Pvt. Ltd. & it’s Sub Brokers

05

₹ 3,000 Non BSDA 10 yrs AMC without e-communication without Margin.

₹ 2,000 Non BSDA 10 yrs AMC with e-communication without Margin.

₹ 30,000 Non BSDA 10 yrs AMC without e-communication with Margin. AMC ₹ 1,500

₹ 25,000 Non BSDA 10 yrs AMC with e-communication with Margin. AMC ₹ 1,000

15

DP COPYW.E.F : 01/06/2019

Schedule ‘A’Charges : (for Bene�cial Owner)

JK Securities Private LimitedDP ID - IN 300636 / IN300999 / IN302381Opp. People’s Bank Park, Sardargunj Road, Anand 388 001T : +91 2692 225037/38 F : +91 2692 240383

Charge Type

₹ 10 per certificate + ₹ 50 Postal Charges (Payable upfront).

NIL NIL NILBSDA

Account Opening/ Closing/Custody Charge

NIL - Value of holding isup to ₹ 50,000

₹ 100 - Value of holding isfrom ₹ 50,001 - ₹ 2,00,000

Non BSDA (Payable up front) BSDA (Payable up front)

NIL

₹ 30 per transaction or 0.04% of value oftransaction, whichever is higher for clienttrading through other brokers

₹ 100 per transaction or 0.04% of value oftransaction, whichever is higher for client trading through other brokers

₹ 100 per transaction or 0.04%of value of transaction,whichever is higher iftransferred to other DP clients

₹ 500 Non BSDA per annum without e-communication

₹ 350 Non BSDA per annum with e-communication

₹ 250 or ₹ 300 - Value of holding is above ₹ 2,00,000

Annual Maintenance Charge

₹ 18 per transaction or 0.02%of the value of transactionwhichever is higher iftransferred withinJK Securities Pvt. Ltd.

₹ 30 per transaction or 0.04%of the value of transactiontwhichever is higher iftransferred to other DP clients

₹ 25 per transaction or 0.04% of the value of transaction whichever is higher (Payable up front)

DeMat/ MF Conversion

₹ 1,500per annum.AMC for Corporate Account

₹ 30 per certificate + ₹ 50 Postal Charges + NSDL Charges.NIL

ReMat Charge

₹ 18 per transaction for clients trading through JK Securities Private Limited.

Transaction ChargeBuy Market Transfer

Sell Market Transfer

₹ 750 per quarterSpeed-E Charges

₹ 125 per freeze instructionSpeed-E A/c Freeze Charges

O� Market Transfer Receipt

Debit (Payable Upfront)

Inter DepositotyTransaction Charge

₹ 100 per transaction or 0.01% of the value of transaction whichever is higher (Payable up front)

Pledge Creation Charge

NILPledge Closure/Invocation Charge

** All applicable government taxes will be levied separately. (GST 18%)

Slip Book Issuance (Payable Upfront)₹ 50 from second issuance

DeMat Rejection₹ 25 per Rejection.

Modi�cation Charges (Payable Upfront)₹ 25 per Account per Day

Statement Charges (Payable Upfront)₹ 10 per request (Physical Copy)

Late Fee (Payable Upfront)₹ 50 per Instruction.

First Holder Third HolderSecond Holder

06 02 02

16

FOR NEW ACCOUNTOptions for opening Basic Services Demat Account (BSDA)

Sole/First Holder

Second Holder

Third Holder

Name PAN

Date D D M M Y Y Y YTo,

JK Securities Private Limited DP ID - IN 300636Opp. People’s Bank Park, Sardargunj Road, Anand 388 001T : +91 2692 225040/41/42 F : +91 2692 240383

I/we wish to opt for BSDA I/we DO NOT wish to opt for BSDA

With reference to my / our application for opening a depository account, I/ We request you to open my / our depository account as a BSDA as per the following details:

With reference to my / our application for opening a depository account, I/ We have read and understood the Securities and Exchange Board of India’s guidelines for facility for a BSDA. However, I/We do not wish to open my/our depository account as BSDA and request you to open my/our depository account as regular account.

I/We have read and understood the Securities and Exchange Board of India’s guidelines for facility for a BSDA. I/We hereby declare that I/we am/are eligible to open a depository account as a BSDA holder and undertake to comply with the requirements speci�ed by Securities and Exchange Board of India (SEBI) or any such authority for such facility from time to time. I/We also understand that in case I/We at any point of time do not meet the eligibility as a BSDA holder, my / our aforesaid account is liable to be converted to regular account.

Signature(s) of Account Holder(s)Sole/First Holder Second Holder Third Holder

Option for issuance of DIS book alongwith account opening(to be �lled by persons seeking to open a depository account who have given Power of Attorney to operate the depository

account to a Stock Broker/ Portfolio Manager and do not intend to open a Basic Services DeMat Account)

Option 1 I/ We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.

Option 2 I/ We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued to me/ us immediately on my/ our request at any later date.

Sole/ First Holder

Sole/ First Holder

Second Holder

Second Holder

Third Holder

Third Holder

Bene�cial Owner

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Signature with DateName

07

03

03

08 04 04

17

Nomination Details I/ We wish to make a nomination and do hereby nominate the following person in whom all rights and/ or amount payable in respect of securities held in the Depository by me/ us in the said bene�ciary owner account shall vest in the event of my/ our death

Nomination can be made upon three nominees in the account Details of 1st Nominee

01 Name of Nominee(s) (Mr./Mrs.)

Details of 2nd Nominee Details of 3rd Nominee

05 Mobile/Telephone No. of Nominee(s)

11 Mobile/Telephone No. of Guardian

08 Date of Birth (in case of Minor Nominee(s))

09 Name of Guardian (Mr./Mrs.)(in case of Minor Nominee(s))

06 Email ID of Nominee(s)

Sr. Nos. 08-14 should be �lled only if the Nominee(s) is a Minor

12 Email ID of Guardian

13 Relationship of Guardian with Nominee

Sole First Holder/Guardian

Name(s) of Holder(s) Signature(s) of Holder(s)

03 Relationship with the Applicant (If any)

04 Address of the Nominee(s)

PIN Code

10 Address of the Guardian(s)

PIN Code

07 Nominee Identi�cation details(Please tick any one of the following andprovide details of same)

PAN

AADHAR

Proof of Identity

Photograph & Signature

Savings Bank Account No.

Demat Account ID

07 Guardian Identi�cation details(Please tick any one of the following andprovide details of same)

PAN

AADHAR

Proof of Identity

Photograph & Signature

Savings Bank Account No.

Demat Account ID

Signature of Witness for Nomination

Second Holder (Mr./Mrs.)

Third Holder (Mr./Mrs.)

Name of the Witness Address Signature of Witness

Date : __________

02Share of eachNominee

% % %(If not applicable, pleasespecify percentage) Any odd lot after division shall be transferred to the �rst nominee mentioned in the form

Equally

I/ We wish to make a nomination (as per details given below)

I/ We wish to cancel the nomination made by me/us earlier and consequently all rightsand liabilities in respect to bene�ciary ownership in the securities held by me/us in thesaid account shall vest in me/us (strike o� the nomination details below)

FORM 10 (DEMAT & TRADING)FOR NOMINATION/CANCELLATION OF NOMINATION

(To be �lled in by individual applying singly or jointly)

Date D D M M Y Y Y YDP ID Client ID

09

05

05

INSTRUCTIONS1. The nomination can be made only by individuals hold-ing bene�ciary owner accounts on their own behalf singly or jointly. Non-individuals including society, trust, body corporate, partnership �rm, karta of Hindu Undivid-ed Family, holder of Power of Attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form.2. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the bene�cial owner.3. The nominee shall not be a trust, society, body corpo-rate, partnership �rm, karta of Hindu Undivided Family or a Power of Attorney holder. A non-resident Indian can be a Nominee, subject to the Exchange controls in force, from time to time.4. Nomination in respect of the bene�ciary owner account stands rescinded upon closure of the bene�ciary owner account. Similarly, the nomination is respect to the securities shall stand terminated upon transfer of the securities.5. Transfer of securities in favour of a Nominee shall be valid discharge by the Depository and the Participant against the legal heir.6. The calcellation of nomination can be made by individ-uals only holding bene�ciary owner accounts on their own behalf singly or jointlyby the same persons who made the original nomination. Non-individuals includ-ing society, trust, body corporate, partnership �rm, karta of Hindu Undivided Family, holder of Power of Attorney cannot cancel the nomination. If the bene�ciary owner account is held jointly, all joint holders will sign the cancellation form.7. On cancellation of the nomination, the nomination shall stand rescinded and the Depository shall not be under any obligation to transfer the securities in favour of the Nominee.8. Nomination can be made up to three nominees in a Demat account. In case of multiple nominees, the client must specify the percentage of share for each nominee that shall total upto hunderd percent. In the event of the bene�ciary owner not indicating any percentage of allocation/share for each of the nominees, the default option shall be to settle the claims equally amongst all the nominees.9. On request of Substitution of existing nominees by the bene�cial owner, the earlier nomination shall stand rescinded. Hence details of nominees as mentioned in the FORM 10 at time of substitution will be considered. Therefore please mention the complete details of all the nominees.10. Copy of any proof of identity must be accompanied by original for veri�cation or duly attested by any author-

ized for attesting the documents, as provided in Annex-ure D.11. Saving Bank Account details shall only be considered if the account is maintained with the same participant.

DECLARATION FOR DEMAT ACCOUNTThe Rules & Regulations of the Depository and Deposito-ry Participants pertaining to an account which are in force now have been read by me/us and I/we have under-stood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. In case of non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMS regula-tions. I/We acknowledge the receipt of copy of Document “Rights & Obligations of the BO and DP”.

DECLARATION FOR TRADING ACCOUNT1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above informa-tion 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 con�rm having read/ been explained and under-stood the contents of the document on Policy & Proce-dures of the stock broker and the tari� sheet.3. I/We further con�rm having read and understood the contents of ‘Rights & 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 docu-ments has been displayed for information on stock broker’s designated website, if any, i.e. www.jksecuri-ties.com

18

NOTES :1. All communication shall be sent at the address of the Sole/First Holder only.2. In case of addition/modi�cation of Signature, separate annexure should be attached.3. Thumb impressions and signatures other than English or Hindi or any of other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notry Public or a Special Executive Magistrate.4. For receiving Statement of Account in electronic form : a) Client must ensure the con�dentiality of the password of the email account. b) Client must promptly inform the Participant if the email address has changed. c) Client may opt to terminate this facility by giving 10 days prior notice. Similarly Participant may also terminate this facility by giving 10 days prior notice.5. Strike o� whichever is not applicable.

Photograph of First Holder

For Individuals

Any one Singly

For Non-Individuals

NameName(s) of Holder(s)Sole/First Holder/Guardian in caseSole Holder is Minor)(Mr./Mrs.)/First Signatory

Second Holder/ (Mr./Mrs.)Second Signatory

Third Holder/ (Mr./Mrs.)Third Signatory

PoA Holder in case of PoA

Mode of Operation for Sole/First Holder (In case of joint holdings, all the holders must sign)

Signature

Photograph of Second Holder Photograph of Third Holder

Jointly by

As per resolution

Other (please specify)

19

10

06

06

20

BASIC INFORMATION ABOUT AML MEASURES FOR GENERAL GUIDANCE OF CLIENTS

Background :In response to mounting concern over money laundering world wide, G-7 Summit as held in Paris in the year 1989, a policy making body having Sacretariat Organisation for Economic Co-operation and Development (OECD) was established, to work for generating necessary political will/willingness to bring about national legislative and regulatory reforms to combat money laundering and terrorist �nancing.

Objectives:The brief objectives of these provisions is to establish general framework for the legal �ght against money launder-ing, terrorism, �nancial crimes and corruption.- Ensuring that �nancial institutions are not vulnerable to in�ltration or abuse by organized crime groups.- Building capacity to �ght terrorism and trace terrorist money.- Meeting binding international obligations and avoiding the risk of sanctions or other actions by the international community.- Avoid becoming heaven for criminals.- Securing a more transparent and stable �nancial system that is attractive to foreign investors.

What is money laundering?- To concealing or hiding �nancial assets with a view to use it without detection of its source that illegal activity which produced it.- Through money laundering, the launder transforms the monetory proceeds derived from criminal activity into funds with an apparent legal source.- It is the process by which criminals try to hide and disguise the true source/origin and ownership of proceeds of their illegal/criminal activities.- It may be conversion of illegally earned money insert in the �nancial system and make such money look clean.- The term ‘Money Laundering’ is also used in relation to �nancing of terrorist activity (where funds may/may not originate from crime).- It is a medium through which dirty money insert in the �nancial system and make such money look clean.- Money is circulated around the �nancial system in such a way that its anccestry gets hidden.

Activities that can be considered as Illegal/Criminal Activity :Corruption Bribery Counterfeiting and ForgerySmuggling Extortion ProstitutionGambling Robbery FraudKidnapping Tax Evasion Drug Tra�cking

Various stages of Money Laundering :1. Placement : It is a initial stage in which money from criminal activities is placed in �nancial institution. It may be through various methods viz. arranging or breaking up currency transactions in to portions which falls below reporting threshold for speci�c purpose to avoid reporting requirements.2. Layering : It is a process of conducting a complex series of �nancial transactions with a purpose of hiding origin of money and hindering any attempt to trace the funds. It may include multiple trades for security, purchase of �nan-cial product such as Life Insurance or purchase of legitimate businesses.3. Integration : Last and �nal stage in the re-injection of the laundered proceeds back in to the economy in such a way that they re-enter the �nancial system as normal business funds.

Consequences of Money Laundering :Finances terrorism Encourage crimeEndangers society at large Weakening of macro economic factors of countryA�ects the integrity of the �nancial system Government control on economy reducesWeakening of Law & Order

Indian Framework :India has also framed ‘The Prevention of Money Laundering Act, 2002’ (PMLA) which came into e�ect w.e.f. 01.07.2005. A separate Foreign Intellegence Unit (FIU) is also established as a central monitoring agency/central repository to combat Money Laundering. Necessary noti�cations/rules/guidelines/circulars/recommendations etc. are also issued and being issued by

FATCAForeign Account Tax Compliance Act-Individual

FATCA Declaration Form for Individual Applicants/Investors

Annexure to Common Application Form No. : for :

First/Sole Applicant Second Applicant Third Applicant Guardian Power of Attorny Holder

The below information is required for all applicant(s), guardian(s), Power of Attorney. Please tick above box as applicable and submit a separte form(s) for each category

FATCA-CRS Details For Individuals & HUF (Mandetory)Non Individual investors should mandetorily �ll separate FATCA-CRS Annexure

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

21

Category

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

In case any ofapplicant being Resident/Tax Payer in more than one country, provide Tax Identi�cation Number for each country separately

First Applicant/Guardian Second Applicant Third Applicant

1. Full Name of Applicant

2. Demat & Trading ID

3. Gender (Please tick whichever is applicable)

4. PAN Number

5. Are you a Tax Resident of country other than India?6. Is your Country of Birth/ Citizenship other than India?

Yes No Yes No Yes No


7. Is your Residence Address/ Mailing Address/ Telephone No. other than India?


8. Is the PoA Holder/person to whom signatory authority is given, covered under any of the categories 1, 2 or 3 above?


Country of Tax Residence

City of Birth

Country of Birth

Tax Identi�cation Number

Residence Address for Tax purposes (include City, State, Country & Pin Code)

Address Type

Residential/Business

Residential

Business

Registered O�ce


Residential

Business

Registered O�ce


Residential

Business

Registered O�ce

Male Female Male Female Male Female

Date PlaceD D M M Y Y Y Y

FATCA Foreign Account Tax Compliance Act - IndividualDECLARATION

I/We hereby declare that all the particulars given herein are true, correct and complete to the best of my knowledge & belief. I/We further agree not to hold JK Securities Private Limited, its Directors, their Employees, Authorised Persons & Sub-Brokers liable for any consequences/losses/costs/damages in case of any of the above particulars being false, incorrect or incomplete or in any case of my/our not intimating/delay in intimating any changes to the above particulars. I/We hereby authorize JK Securities Private Limited to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us, to any Indian or Foreign Governmental or Statutory or Judicial Authorities/Agencies. the Tax/revenue Authorities, other Investigation Agencies and SEBI registered intermediaries without any obligation of advising me/us of the same. I/We hereby agree to provide any additional information/documentation that may be required in connection with this application.

Certi�cation : I/We have understood the information requirements of this Form (read along with the FATCA-CRS Instructions), stated in pages and hereby certify that the information provided by me/us on this Form is true, correct and complete. I/We also con�rm that I/We have read and understood the FATCA-CRS Terms & Conditions and hereby accept the same.

I/We agree to indemnify JK Securities Private Limited 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.

FATCA InstructionsDetails under FATCA-CRS/Foreign Tax Laws

Towards compliance with Tax Information Sharing Laws, such as FATCA and CRS, we would be required to seek additional personal, tax and bene�cial owner information and certain certi�cations and documentation from our account holders. Such information may be sought either at the time of account opening or any time subsequently. In certain circumstances (including if we do not receive a valid self-certi�cation from you) we may be obliged to share information on your account with relevant tax authorities. If you have any questions about your tax residency, please contact your tax advisor. Should there be any change in any information provided by you, please ensure you advise us promptly, i.e. within 30 days. Towards compliance with such laws, 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. 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).

If you are a US citizen or resident or greencard holder, please include United States in the foreign country information �eld along with your US Tax Identi�cation Number. Foreign Account Tax Compliance provisions (commonly known as FATCA) are contained in the US Hire Act 2010.

It is mandatory to supply a TIN or functional equivalent in the country in which you are tax resident issues such identiti�ers. If no TIN is yet available or has not yet been issued, please provide an explanation and attach this to the form.

22

Name of First/Sole Applicant/Guardian

Signature of First/Sole Applicant/Guardian

Name of Second Applicant

Signature of Second Applicant

Name of Third Applicant

Signature of Third Applicant

11 07 07


Mobile & Email ID Declaration

23

DP ID :

Trading Code Client Name

Name of First Holder

Details

Mobile No.

Email ID

Relationship with the person whose Mobile Number/Email IDis provided (Tick wherever applicable)

Client ID :

Name of Second Holder

Details

Mobile No.

Email ID


Spouse Dependent ChildSelf Dependent ParentI do not have mobile number

Spouse Dependent ChildSelf Dependent ParentI do not have email ID





Name of Third Holder

Signature of First Holder

Signature of Second Holder

Signature of Third Holder

I wish to receive e-Statement Yes

Details

Mobile No.

Email ID


No

12

08

08

be placed etc.).

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 client's trade history / experience, if available, client’s �nancial capacity and / or credit worthiness limits on account of the Exchange/SEBI directions/limits (such as broker level/market level limits in security speci�c/volume speci�c exposures etc.) and the Stock Broker may be unable to inform the client of such variation, reduction or imposition or the clients 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 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. Sometimes client's sauda go to IOC (immediate orcancel) instead of normal trading if broker terminals is on square o� mode.

The client agrees that the losses, if any on account of such refusal or due to delay caused by such review, shall be borne exclusively by the client.

3. Policy on Brokerage Rate and Other Charges

• Brokerage shall be applied as per the rates agreed upon with the client in the KYC at the time of registration of the client through a mentioned document between the client and JKSPL.

• The brokerage charged to the clients will not be more than the maximum brokerage permissible as per the rules, regulations and bye-laws of the relevant Exchange / SEBI.

• In consideration of providing broking services, the client agrees to pay to the Member, brokerage and statutory levies as are prevailing from time to time and as they apply to the client's account, transactions and to the stock broking services that Member renders to the client.

• The brokerage and other charges (including taxes thereon) shall be communicated to the client at the time of registration and any variation thereon would be mutually agreed from time to time.

• A schedule of fee and commission, applicable service taxes and other transaction expenses shall also be provided to the client from time to time, upon request.

4. Imposition of penalty / delayed payment charges

As per the Exposure Limit section outlined earlier in the document, client shall maintain adequate margin / settle the obligation / top-up the margin by scheduled date. In case client fails to settle the dues in time, the Company reserves its right to levy late pay in / delayed payment charges at 21% p.a. calculated on daily basis on shortfall amount till the date of actual realization of money. for not making payment of their pay-in / margin obligation on time as per the Exchange requirement / schedule and

The above levy is only a penal measure in case of a client default in meeting settlement and margin obligation and should not be construed as funding arrangement by the client; and the client cannot demand continuation of service on a permanent basis citing levy of delayed payment charges. Further all �nes/penalties and charges levied upon the client due to its acts/deeds or transactions will be recovered by the stock broker directly from the clients accounts.

The client agrees that the Stock Broker may impose �nes/penalties for any orders/trades/deals/actions of the client which are contrary to the Client Registration documents/Rights and Obligations document/rules/ regulations/bye laws of the Exchange or any other law for the time being in force, at such rates and in such form as it may deem �t.

Further where the Stock Broker has to pay any �ne 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.

The Company provides exposure against the upfront margin received in the form of cash/collateral from the client and the client also has the prerogative to demand withdrawal of cash or collaterals at his discretion, subject to surplus margin in place. The Company shall not pay any interest or other bene�t to the client for maintaining cash balances or depositing collateral margins with the Company except for the corporate bene�t received on such collateral securities, if any.

5. Liquidation Policy(The right to sell client’s securities or close client’s positions, without giving notice to the client, on account of non-payment of clients dues)

Without prejudice to the Stock Broker’s other rights (including the right to refer the matter to arbitration), the Stock Broker shall be entitled to liquidate/close out all or any of the clients positions without giving notice to the client for non-payment of margins or other lawful amounts including the pay in obligation ,lawful outstanding debts, etc to the extent of client’s settlement/margin obligation only. The proceeds of such liquidation/close out, if any, would be adjusted against the clients liabilities/lawful obligations. The client would be required to make good the shortfall, if any post liquidation, immediately on being intimated of the same by the Member.

The client shall ensure timely availability of funds/ securities in form and manner at a designated time and in designated bank and depository accounts(s), for meeting his/her/its pay in obligation of funds and securities. Any and all losses and �nancial charges on account of such liquidations/closing out shall be charged to & borne by the client. In case of securities lying in a client margin account/client bene�ciary account and having corporate actions like bonus/stock split, the bene�t of the same for margin or other purpose will be given when the shares are actually received in the Stock Broker's designated depository account.

In case the payment of the margin, settlement obligation is made by the client through a bank instrument, the Stock Broker shall be at liberty to give the bene�t/credit for the same only on the realization of the funds from the said bank instrument. Where the margin is made available by way of securities the Stock Broker is empowered to decline its acceptance as margin and/ or to accept it at such reduced value as the Stock Broker may deem �t by applying haircuts or by valuing it by marking it to market or by any other approved method as the Stock Broker may deem �t in its absolute discretion.

The Stock Broker has the right but not the obligation, to cancel all pending orders and to sell/close/liquidate all open positions/securities/shares at the pre-de�ned square o� time or when Mark to Market (M-T-M) percentage reaches or crosses stipulated margin percentage, whichever is earlier. The Stock Broker will have sole discretion to decide the stipulated margin percentage depending upon the market condition. In the event of such square o�, the client agrees to bear all the losses based on actual executed prices, the client shall also be solely liable for all and any penalties and charges levied by the Exchange(s).

6. Close out in case of internal shortageThe client hereby agrees that if he/she/it has short

delivered any securities against his/her/its pay-in obligationwhich resulted in internal shortages i.e. buy position of another client of the Stock Broker and could not be auctioned in the market then close out price will be higher of the trade day’s closing rate or 10% above the closing price on settlement (pay-in pay-out) day or such other percentage (%) as may be revised by the Stock Broker from time to time.

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

The stock broker 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.

A. For nonpayment or erosion of margins or other amounts, lawful outstanding debits etc. and adjust the proceeds of such liquidation/closeout, if any, against the client's liabilities/ lawful obligations.

B. Any order which is executed without the required margin in the Client's account or thebroker exposure is more than 90% and above so no fresh trade will be taken.

C. The client hereby authorizes the Stock Broker to square up all his outstanding positions at the discretion of the Stock broker which are non marked for delivery 15 minutes before the closing time of normal market or if the client's margin is evaporated by 90% in any of exchanges/the Stock Broker reserves the right to square o� positions by giving adequate notice to the client.

D. Under certain market conditions it may be di�cult or impossible to liquidate a position in the market at a reasonable price or at all when there are no outstanding orders either on the buy side or sell side, or if trading is halted in a security due to any action on account of unusual trading activity or stock hitting circuit �lter or for any other reason as prescribed or instructed by SEBI.

E. The Stock Broker is entitled to disabled/ freeze the account or trading facility/any other service if, in the opinion of the stock broker, the client has committed a crime, fraud or has acted in contradiction of this client registration documents or/evade/violate any loss rules regulations directions of a lawful authority whether Indian or foreign or if the stock broker so apprehends.

F. Any pro�t/loss arising out of this transactions shall be at the risk of and borne by the client.

inability to pay its debts as they become payable; • If the client is in breach of any term, condition or covenant of the Member Client registration documents/Rights and Obligations Document; • If the client has made any material misrepresentation of facts or if any covenant or warranty of the client is incorrect or untrue in any material respect;

10. Treatment of inactive accounts

In case the Trading account of the client is not operated by the client for a continuous period of one year the same will be considered to be ‘ Inactive Account’ . Such Inactive account may be reactivated for trading on receipt of application for re-activation from the client along with necessary supporting documents. JKSPL employee may carry out “In person” veri�cation of the Inactive client and shall validate the supporting documents submitted by the client with the originals.

11. Client’s accpeptance of policies and procedures ststed herein above

I/We have thoroughly read and fully understood the same and do hereby sign and agree not to call into question the validity, enforce ability and applicability or any provision/clause of this document under any circumstances whet so ever. This policies may be

amended/changed unilaterally by the stock broker provied the change is informed to me/us through any one or more means/methods such as post/speed post/ courier/ registered post/ registered ad./ facsimile/ telegram/ email/ voice mail/ telephone (telephone includes such devices as mobile phone etc.) including SMS on the mobile phone for any other similar device/ by messaging on the computer screen of the client’s computer/ informing the client through the employee/ agent/ sub brokers/ authorised person of the stock broker/ by publishing or displaying it on the website of stock broker/ making it available as download from the website of the stock broker/ broadcast/ news paper advertisement etc. or any other suitable or applicable mode or manner. I/We agree that the delivery shall be complete when communication is given to the postal department/ courier company/ the email/ voice mail/ SMS service provider etc./ when displayed on stock broker’s website by the stock broker and I/We agree to abide by the same. These policies and procedures always be read along with other provisions of the KYC mandatory documents and shall compulsarily refer to while deciding any disputes/ di�erences or claim between me/us and stock broker before any court of law/ arbitrator or mediator/ judicial/ adjudicating authority etc.

8. Temporarily suspending or closing a client’s account at the client’s request

The client account can be suspended temporarily, on receipt of speci�c formal communication from the client. During the period the client account is suspended, the market transaction in the client account will be prohibited. However, at the time of making such request, the client has to ensure that the trading account has been duly settled (both for securities as well as funds). The Member shall also settle the funds and securities due to client, if any, within such period as prescribed by exchange for settlement of account.

Such accounts shall be re-activated and any new requests for orders to trade shall be accepted from such clients only on receipt of formal communication from the client requesting re-activation of account in order to enable the client to trade along with completion of all required formalities of KYC including up dation thereof, if necessary.

The account may be suspended on following condition also • On notices received from statutory, Government or Local authorities and Income Tax, Service Tax, a Judicial or a Quasi Judicial authority, etc. • Where a client is reported to or known to have expired.

The client shall be entitled to close his trading account and terminate the client registration documents/ relationship under the rights and obligations prescribed by SEBI which has been entered into between the client and the Stock Broker without giving any reasons to the Member.. Notwithstanding any such termination, all rights, liabilities and obligations of the client arising out of or in respect of transactions entered into prior to the termination shall continue to subsist and vest in / be binding on the client.

At the time of making such request, the client has to ensure that all the open positions, if any, taken by the client are closed and the trading account has been duly settled (both for securities as well as funds). The Member shall settle the funds and securities due to client, if any, latest within a period of seven days from the date of closure of such account.

If the client wants to re-open the account, the client has to complete the applicable client registration process including due completion of applicable Know Your Customer (“KYC”) requirement.

9. De-registering a client

The Member shall be entitled to close a client’s trading account and terminate the Member-Client registration documents/Relationship under the rights and obligations prescribed by SEBI without giving any reasons to the client, after giving formal notice in writing of not less than one month to the client. The account shall be deemed to have been closed e�ective 30th day from the date of receipt of such termination notice by the client. Notwithstanding any such termination, all rights, liabilities and obligations of both, the client and the Member, arising out of or in respect of transactions entered into prior to the termination shall continue to subsist and vest in/be binding on both, the client and the Member.

The client has to ensure that all the open positions, if any, taken by the client are closed and the trading account has been duly settled (both for securities as well as funds). The Member shall settle the funds and securities due to client, if any, latest within a period of seven days from the date of closure of such account.

The Member recommends the client not to undertake any further trading during the notice period and any trades of urgent nature would be undertaken by the Member against receipt of funds and/or securities prior to execution of such orders.

Notwithstanding anything to the contrary stated above or in the Client registration documents/Rights and Obligations Document, the Stock Broker shall be entitled to terminate the relationship under the rights and obligations prescribed by SEBI/Client registration documents with immediate e�ect in any of the following circumstances: • If the actions 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. • If there is any commencement of a legal process against the client under any law in force or the client is banned from accessing �nancial markets by any regulator or any such adverse orders is passed against the client; • On the death/lunacy or other disability of the client; • If the client being a partnership �rm, has any steps taken by the client and/or its partners for dissolution of the partnership; • If the client su�ers any adverse material change in his /her/its �nancial position or defaults in any other client registration documents with the Stock Broker; • If there is reasonable apprehension that the client is unable to pay its debts or the client has admitted its

1. Policy for Penny Stock / Securities

A Security that trades at a relatively low price (generally such securities are trading below face value of the security) and has small market capitalization is a penny stock. These types of stocks are generally considered to be highly speculative & high risk because of their lack of liquidity, large bid-ask spreads, small capitalization and limited following and disclosure.

The Company recommends that its clients desist from trading in any penny stocks in view of the associated risk element while dealing in such stocks. Further, the client is also required to adhere to Exchange/Members' guidelines and due diligence while trading in such stocks. Also SEBI/Exchange from time to time issues directives necessitating additional due diligence for dealing in such stock(s).

Depending on the market condition, applicable regulatory guidelines and applicable risk policy of the Company, the Company at its sole discretion, may impose certain restrictions and/ or conditions (on case to case basis) including but not limited to refusal, wholly or partly, for trading in penny stocks.

These restrictions/ conditions include but are not limited to the following : • Restrictions on trading, either wholly or partly, in certain security(ies) or category of security(ies) contracts viz. • illiquid stocks / stocks having low liquidity, • illiquid options / far month options / long dated options, • securities listed in Z, T, TS, S, B group and/or securities listed in BE, IL, BT or EQ series on NSE, • any other securities/ contracts which as per the perception of the Company are volatile or subject to market manipulation or has concentration risk at client level or at the Company level, • acceptance or partial acceptance of an order for buy and/or sell. Such acceptance may require execution in a controlled environment (for e.g. from centralized desk instead of from designated dealing area or electronic platform); • cancellation of orders of the above securities contracts received from clients before execution or after partial execution without assigning any reasons thereof;

• Requirement to obtain appropriate declarations from the client before/after accepting such orders.

The Company shall : • not be responsible for non-execution / delay in execution of such orders and consequential opportunity loss or �nancial loss to the client • have the discretion to place such restrictions, notwithstanding the fact that the client has adequate credit balance or margin available in his account and/or the client had previously purchased or sold such securities/contracts through the Company itself; • have the right to revise the list of such securities/contracts on a periodic basis.

Client can obtain the information about the updated list of securities from the Relationship Manager / Dealing o�ce

100% margin will be taken from the client and these shares will not be taken to as Margin deposit.

May require compulsory settlement/advance payment of expected settlement value/delivery of securities for settlement prior to acceptance/placement of order(s) as well, the order being for securities which are not in the permitted list of the stock broker/exchange(s) as assessed by the Broker

2. Setting up client’s exposure limits

Margin based limit/exposures will be set for clients for transacting in Cash and F&O segment. While computing the available margin, clear credit lying in client's settlement and margin ledger, securities held in client's bene�ciary account with Member may be considered.

Margin can be paid in form of cash and approved collateral. Collateral will be valued on daily basis at latest/previous day's closing price and appropriate hair-cut shall be applicable. List of approved collaterals /securities along with applicable haircut, is subject to revision from time to time based on Exchange approved list, market volatility, quality of collateral and internal guidelines; and same can be obtained from the Relationship Manager/Dealing O�ce.

The Stock Broker may from time to time impose & 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

24

Date D D M M Y Y Y YTo,

JK Securities Private LimitedOpp. People’s Bank Park, Sardargunj Road, Anand 388 001T : +91 2692 225037/38 F : +91 2692 240383

Dear Sir,

I/We, undersigned have submitted request for opening new Demat/Trading Account as per Exchange Rules & Regulations you are required to provide me physical copy of following standard documents forming part of Account Opening Kit.

a. Rights & Obligations of Stock Broker, Sub Broker & Client for trading on Exchanges (including Rights & Obligations in case of Internet/Wireless Technology based Trading)

b. Rights & Obligations of bene�tial owner and Depository Participant as perscribed by SEBI & Depositories.

C. Uniform Risk Disclosure Documents (for all Segments/ Exchange) and

d. Guidance Note detailing Do’s and Don’ts for trading on Stock Exchanges

In this regard as per circular issued by SEBI/Exchanges, I/We hereby give consent to provide above mentioned documents in following manner.

Send documents in Physical Form Send Documents in Electronic Form on mail ID registered in account

Consent Letter for obtaining Welcome Kit Documents

Signature of First/Sole Applicant/Guardian Signature of Second Applicant Signature of Third Applicant

D D M M Y Y Y Y

To,JK Securities Private LimitedOpp. People’s Bank Park,Sardargunj Road, Anand- 388001

Dear Sir/Ma’am,

I/We are having an NRI Demat Account Number with you in the name of

(First Holder Name).

I/We declare that I/we have complied and will continue to comply with FEMA reguations.

Declaration of FEMA Regulation (compliance for NRI)

DateName

Address


From,

13 09 09

14 10 10

D D M M Y Y Y Y

I/We _________________________________________ desirous of being registered as your client for the purpose of participating in the MFSS.

I/We am/are interested in availing the MFSS facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the MFSS Exchange.

I/We am/are willing to abide by the operating guidelines at terms and conditions speci�ed by the Exchange from time to time in this regard including the terms and conditions speci�ed by the Exchange with respect to MFSS since 2009. I/We shall also comply with all the Know Your Client (KYC) and Anti Money Laundering (AML) requirements as may be speci�ed by the Exchange.

I/We shall ensure also compliance with the requirements as may be spedi�ed from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI).

I/We shall read and understand the contents of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual Fund Scheme with respect to which I/We choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.

I/We therefore request you to register me/us as your client for participating in the MFSS.

Thanking you,

Yours faithfully,

Mutual Fund Service System Facility

DateTo ____________________________________________________________

Sir/Madam

Subject : Mutual Fund Service System (MFSS) Facility



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15

1. Pre-requisites for becoming Investor/Client for the New MFSS facility 1.1. The client who is desirous of investing in units of mutual fund schemes through the New MFSS. 1.2. The Client intends to execute his instruction for the subscription /redemption of units of Mutual Fund Schemes throughthe Participant ofthe New MFSS. 1.3. The client has satis�ed itself of the capacity of the Participant to deal in Mutual Fund units and wishes to execute its instruction through the Participant and the client shall from time to time continue to satisfy itself of such capability of theParticipant before executing transacting through the Participant. 1.4. The Client has approached to the Participant with the application for availing the New MFSS facility. 1.5. The client has submitted relevant KYC (Know Your Client) details to theParticipants

2.Tenms and Conditions 2.1. The client shall be bound by circulars issued by NSEIL from time to time including the Circulars issued by NSEIL since 2009 onwards and circulars issued thereafter and circulars issued there under by SEBI and relevant noti�cations of Government authorities as may be in force from time to time. 2.2. The client shall notify the Participant in writing if there is any change in the information in the 'client registration form' provided by the client to the Participant at the time registering as a client for participating in the New MFSS or at any time thereafter. 2.3. The client shall submit to the Participant a completed application form in the manner prescribed format for the purpose of placing a order with the Participant. 2.4. The client has read and understood the risks involved in investing in Mutual Fund Schemes. 2.5. The client shall be wholly responsiblefor all his investment decisions and instruction. 2.6. The client shall ensure continuous compliance with the requirements of NSEIL, SEBI and AMFl. 2.7. The Client shall pay to the Participant feesand statutory levies as are prevailing from time to time and as they apply to the Client's account, transactions and to the services that Participant renders to the

Client. 2.8. The client will furnish information to theParticipant in writing, if any winding up petition or insolvency petition has been �led or any winding up or insolvency order or decree or award is passed against him or if any litigation which may have material bearing on his capacity has been �led against him. 2.9. In the event of non-performance of theobligation by the Participant, the client is not entitled to claim any compensation either from the Investor Protection Fund or from any fund ofNSEILorNSCCL. 2.10. ln case of any dispute between the Participants and the investors arising out of the MFSS facility, NSEIL and/or NSCCL agrees to extend the necessary support for the speedy redressal of the disputes.

I have read & understood the above and Iagree to abide by the same.



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be placed etc.).































































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AUTHORIZATION LETTER FORELECTRONIC COMMUNICATION (DEMAT)


To,


Dear Sir

Sub : Mandate to issue Holding & Transaction statement, Bills and Ledger in electronic/digital form.

I/ We hereby opt for receipt of Holding & Transaction statement, Bills and Ledger in electronic/digital format as well as any other notices also in electronically.

For the above purpose please take my following e-mail ID on your record for sending the Holding & Transaction statement, Bills and Ledger and other communication to me/us.

e-mail id :

I/ We agree not to hold you responsible for late/non receipt of Holding & Transaction statement, Bills and Ledger send in electronic form, for any reason including not limited to failure of email servers, loss of connectivity, email in transit etc. I/We agree that the log reports of your dispatching software shall be conclusive proof of dispatch of Holding & Transaction statement, Bills and Ledger and any other electronic communication to me/us.

I/ We here by accept to the terms and condition as mentioned herein below: a. I/We am/are aware that I / We will not receive the transaction statements in paper form. b. I/We will take all the necessary steps to ensure con�dentiality and secrecy of the login name and password of the internet/email account. c. I/We am/are aware that the transaction statement may be accessed by other entities in case the con�dentiality/ secrecy of the login name and password is compromised. d. In case transaction statements are sent by email, I/We shall immediately inform the DP about change in email address, if any e. In case, the DP is not able to provide transaction statement to its Clients by email or on website due to any reason (including bounced emails), the DP should ensure that the transaction statement is provided to the me/us in paper form as per the time schedule stipulated in the Bye Laws & Business Rules of NSDL. f. I/We am/are desirous of receiving transaction statements in paper form, DPs shall be duty bound to provide the same.

DP and Client(s) shall have the right to terminate such service provided a written notice is given at least 10 days in advance to the other party. I/We undertake to check the Holding & Transaction statement, Bills and Ledger in digital form. My/Our non veri�cation or not accessing the statement's or bills on regular basis shall not be a reason for disputing at any time. I/We further agree to indemnify you and keep you indemnify against all losses, damages and actions which you may su�er or face as a consequence of adhering to and carrying out my/ our direction given above.

Thanking You

Yours faithfully,

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Name

Demat A/c No.

Address

17 11 11

be placed etc.).































































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AUTHORIZATION LETTERFOR ELECTRONIC COMMUNICATION (TRADING)


Name :

Address :

Client ID :

To,M/S JK Securities Private LimitedOpp. People’s Bank Park, Sardargunj Rd., Anand

Dear Sir,

Sub. : Mandate to issue contracts in electronic/digital format

I hereby opt for receipt of contract notes in electronic/digital format as well as all other communications including but not limited to account statement, holding statement, trade order con�rmations and any other notices also in electronically.

For the above purpose please take my following e-mail ID on your record for sending the contract notes and other communication to me.

E-mail ID :

I agree that non receipt of bounced mail noti�cation by you shall amount to delivery at my email ID. I further agree to indemnify you and keep you indemnify against all losses, damages and actions which you may su�er or face as a consequence of adhering to and carrying out my direction given above.

I hereby accept to the terms and conditions as mentioned herein below

1. The digital contract notes will be issued in digital form in compliance with the guidelines issued by SEBI/ Exchange from time to time2. Digital contract notes will be mailed to e-mail address provided to us in the format as may be prescribed by the exchange from time to time.3. Digital contract notes will also be available at URL www.jksecurities.com4. Client can view the digital contract notes on URL by using the user name & password5. In case of any failure in system or errors in digital contract notes, contract notes will be issued in physical form which shall be binding on the client.

I hereby undertake to check the contract notes and bring discrepancies to your notice preferably within 24 hours of receipt of such contract notes. My non veri�cation or not accessing the contract notes on regular basis shall not be the reason for disputing the contract notes any time.

Thank you

Yours faithfully


18

be placed etc.).

















































29















Policies and Procedures as per SEBI CircularMRISD/SE/Cir-19/2009 dated December 3, 2009

be placed etc.).































































30

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31

be placed etc.).































































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be placed etc.).

































































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be placed etc.).































































7. Indemni�cation : I hereby indemnify and hold JKSPL, its Directors and employees harmless from and against all claims, demands, actions, proceedings, losses, damages, liabilities, charges and/or expenses that are occasioned or may be occasioned to the JKSPL directly or indirectly, relating to bad delivery of shares/ securities and/or third party delivery, whether authorized or unauthorized and fake/forged/stolen shares/ securities/transfer documents introduced or that may be introduced by or through me during the course of my dealings/operations on the Exchange(s) and/ or proof of address, identity and other supporting documents provided by me at the time of registration and/ or subsequently.

8. Not a Member Or Sub Broker Of a Recognised Stock Exchange : I further undertake that whenever I purchase/sell any securities through my depository account, I will report such transactions on a daily basis to dealing branch/ authorized Dealer. I also state and undertake that I have complied and shall continue to comply with all the FEMA regulations from time to time. I undertake and con�rm that I am not a Member or sub-broker or employee or Authorized person of a Member of the National Stock Exchange of India Ltd. or The Bombay Stock Exchange Ltd. or any other recognized Stock Exchange and in the event of becoming Member or sub-broker or employee or Authorized person of a Member of a recognized Stock Exchange(s) in future, I shall not execute trades throughJKSPL.

1. Order Placement Instructions : I understand that you require written instructions from me for placing / modifying / cancelling orders. However, since it is not practical for me to give written instructions for placing/modifying/cancelling order. Even If I have facility to trade online through Internet and wireless technology, I may have to place orders by physically visiting/calling/Emailing the Call centre/branch speci�ed for the said purpose by JKSPL in case of breakdown of internet connectivity or other similar reasons. I hereby request you to kindly accept my verbal orders/instructions, in person or over phone and execute the same. I understand the risk associated with placement of verbal orders and accept the same. I shall not disown orders under the plea that the same were not placed by me provided I am sent ECN/Physical contract notes or trade con�rmations through SMS and other modes. I indemnify JKSPL and its employees against all losses, damages, actions which you may su�er or face, as a consequence of adhering to and carrying out my instructions for orders placed verbally.

2. Errors and Omissions : I understand and agree that inadvertent errors may occur, while executing orders placed by me. In such circumstances JKSPL shall make all reasonable e�orts to rectify the same and ensure that the I am not put to any monetary loss. I understand and agree that I shall not hold JKSPL responsible beyond this and claim additional damages/loss. I understand and agree that my request to modify or cancel the order shall not be deemed to have been executed unless and until the same is con�rmed by JKSPL

3. No Market Manipulation : I undertake not to execute transactions, either singly or in concert with other clients, which may be viewed as manipulative trades viz. arti�cially raising, depressing or maintaining the price, creation of arti�cial volume, synchronized trades, cross trades, self trades, etc or which could be termed as manipulative or fraudulent trades by SEBI/ Exchanges. In case I am found to be indulging in such activities, JKSPL has every right to inform the Exchange/SEBI/other regulatory authority of the same and suspend/close my trading account.

4. Not To Act As Unregistered Sub Broker : I undertake not to act as unregistered Sub-broker and deal only for myself and not on behalf of other clients In

case I wish to deal for other clients also, I undertake to apply to SEBI through JKSPL to obtain a sub broker registration. In case JKSPL perceives that I am acting as an unregistered sub broker, JKSPL has the right to immediately suspend my trading account and close all open positions and adjust the credits (across all segments) against the dues owed by me to JKSPL without the requirement of any notice from JKSPL. Further, JKSPL has the right to inform the concerned regulatory authorities about the same. In aforesaid eventuality, I agree and undertake to indemnify JKSPL from any loss/ damage/claim arising out of such activity.

5. Not Debarred By Any Regulator : I con�rm and declare that there is no bar on me imposed by any Exchange or any Regulatory and/or Statutory authority to deal in securities directly or indirectly. I agree to inform JKSPL, in writing, of any regulatory action taken by any Exchange or Regulatory/Statutory authority on me in future. In case I fail to inform the same and JKSPL on its own comes to know of such action, JKSPL has the right to suspend/close my trading account and refuse to deal with me. Also, JKSPL can at its sole discretion, close all the open positions and liquidate collaterals to the extent of debit balances, without giving any notice to me.

6. PMLA Declaration : I declare that I have read and understood the contents and the provisions of the PMLA Act, 2002, which were also explained to me by JKSPL o�cials. I further declare that I shall adhere to all the provisions of PMLA Act, 2002.I further undertake and con�rm that a. I do not have any links with any known criminals b. I am a genuine person and not involved or indulge knowingly or assisted, directly or indirectly, in any process or activity connected with the proceeds of crime nor I am a party to it. The investment money is derived from proper means and does not involve any black or Hawala money in any manner.

Undertaking/AuthorisationWith respect to Member-Constituent Relationship and

Mandatory and Voluntary (Optional) Documents executed between us, I/We do hereby authorize JKSPL to do the following

34

be placed etc.).































































Date

Applicant’s Signature

Applicant’s Name D D M M Y Y Y Y

35

7. Indemni�cation : I hereby indemnify and hold JKSPL, its Directors and employees harmless from and against all claims, demands, actions, proceedings, losses, damages, liabilities, charges and/or expenses that are occasioned or may be occasioned to the JKSPL directly or indirectly, relating to bad delivery of shares/ securities and/or third party delivery, whether authorized or unauthorized and fake/forged/stolen shares/ securities/transfer documents introduced or that may be introduced by or through me during the course of my dealings/operations on the Exchange(s) and/ or proof of address, identity and other supporting documents provided by me at the time of registration and/ or subsequently.

8. Not a Member Or Sub Broker Of a Recognised Stock Exchange : I further undertake that whenever I purchase/sell any securities through my depository account, I will report such transactions on a daily basis to dealing branch/ authorized Dealer. I also state and undertake that I have complied and shall continue to comply with all the FEMA regulations from time to time. I undertake and con�rm that I am not a Member or sub-broker or employee or Authorized person of a Member of the National Stock Exchange of India Ltd. or The Bombay Stock Exchange Ltd. or any other recognized Stock Exchange and in the event of becoming Member or sub-broker or employee or Authorized person of a Member of a recognized Stock Exchange(s) in future, I shall not execute trades throughJKSPL.

1. Order Placement Instructions : I understand that you require written instructions from me for placing / modifying / cancelling orders. However, since it is not practical for me to give written instructions for placing/modifying/cancelling order. Even If I have facility to trade online through Internet and wireless technology, I may have to place orders by physically visiting/calling/Emailing the Call centre/branch speci�ed for the said purpose by JKSPL in case of breakdown of internet connectivity or other similar reasons. I hereby request you to kindly accept my verbal orders/instructions, in person or over phone and execute the same. I understand the risk associated with placement of verbal orders and accept the same. I shall not disown orders under the plea that the same were not placed by me provided I am sent ECN/Physical contract notes or trade con�rmations through SMS and other modes. I indemnify JKSPL and its employees against all losses, damages, actions which you may su�er or face, as a consequence of adhering to and carrying out my instructions for orders placed verbally.

2. Errors and Omissions : I understand and agree that inadvertent errors may occur, while executing orders placed by me. In such circumstances JKSPL shall make all reasonable e�orts to rectify the same and ensure that the I am not put to any monetary loss. I understand and agree that I shall not hold JKSPL responsible beyond this and claim additional damages/loss. I understand and agree that my request to modify or cancel the order shall not be deemed to have been executed unless and until the same is con�rmed by JKSPL

3. No Market Manipulation : I undertake not to execute transactions, either singly or in concert with other clients, which may be viewed as manipulative trades viz. arti�cially raising, depressing or maintaining the price, creation of arti�cial volume, synchronized trades, cross trades, self trades, etc or which could be termed as manipulative or fraudulent trades by SEBI/ Exchanges. In case I am found to be indulging in such activities, JKSPL has every right to inform the Exchange/SEBI/other regulatory authority of the same and suspend/close my trading account.

4. Not To Act As Unregistered Sub Broker : I undertake not to act as unregistered Sub-broker and deal only for myself and not on behalf of other clients In

case I wish to deal for other clients also, I undertake to apply to SEBI through JKSPL to obtain a sub broker registration. In case JKSPL perceives that I am acting as an unregistered sub broker, JKSPL has the right to immediately suspend my trading account and close all open positions and adjust the credits (across all segments) against the dues owed by me to JKSPL without the requirement of any notice from JKSPL. Further, JKSPL has the right to inform the concerned regulatory authorities about the same. In aforesaid eventuality, I agree and undertake to indemnify JKSPL from any loss/ damage/claim arising out of such activity.

5. Not Debarred By Any Regulator : I con�rm and declare that there is no bar on me imposed by any Exchange or any Regulatory and/or Statutory authority to deal in securities directly or indirectly. I agree to inform JKSPL, in writing, of any regulatory action taken by any Exchange or Regulatory/Statutory authority on me in future. In case I fail to inform the same and JKSPL on its own comes to know of such action, JKSPL has the right to suspend/close my trading account and refuse to deal with me. Also, JKSPL can at its sole discretion, close all the open positions and liquidate collaterals to the extent of debit balances, without giving any notice to me.

6. PMLA Declaration : I declare that I have read and understood the contents and the provisions of the PMLA Act, 2002, which were also explained to me by JKSPL o�cials. I further declare that I shall adhere to all the provisions of PMLA Act, 2002.I further undertake and con�rm that a. I do not have any links with any known criminals b. I am a genuine person and not involved or indulge knowingly or assisted, directly or indirectly, in any process or activity connected with the proceeds of crime nor I am a party to it. The investment money is derived from proper means and does not involve any black or Hawala money in any manner.

20

RIGHTS OF THE PARTICIPANT 9. In consideration of the Participant providing full-�edged securities lending and borrowing under the SLBS, the Participant shall be entitled for charges, fees, other levies and /or any such other charges, subject to such limits as may be permitted by the AI in its Circulars from time to time.

10. Margins : The Participant is empowered to call upon its Client to pay such margins as may be speci�ed by the AI from time to time.

11. Recovery : The Participant shall be entitled to recover from the Client the loss or charges, fees, other levies and /or any such other charges that has been paid by the Participant to the AI or imposed by the AI on account of its Client arising out of default or transactions under the SLBS whether current or past that are e�ected by the Client in meeting its obligations by adjusting margins and other deposits, if any, available with the Participant against the Client's liabilities / obligations.

OBLIGATIONS OF THE PARTICIPANT 12. The Participant has satis�ed itself about the genuineness and �nancial soundness of the Client and the objectives relevant to the services to be provided and is therefore, agreeable to facilitating such participation subject to the terms and conditions contained herein. 13. Issue of Con�rmation Memo : The Participant shall, upon execution of the Client’s transaction on the order matching platform of the AI,issue the con�rmation memo in the speci�ed format or such other documents to the Client within such time as may be prescribed by the AI from time to time. 14. Money / Securities to be kept in separate account : The Participant agrees that the money / securities deposited by the Client shall be kept in a separate bank account / settlement demat account, distinct from its own account or accounts of any other Clients, and shall not be used by the Participant for itself or for any other Clients or for any purpose other than the purposes mentioned in the SEBI Scheme, Circulars of SEBI, SLBS and Circulars issued there under and/or the Rules, Byelaws, Regulations of the AI as a Clearing Corporation and as in force from time to time. 15. Update on Settlement Process : The Participant agrees to inform and keep the Client apprised about securities lending and borrowingsettlement cycles, delivery/payment schedules and any changes therein from time to time.

16. Compliance with Know Your Client NormsThe Participant undertakes to maintain the “Know Your Client” details of the Client as mentioned in the ClientRegistration Form or any other information pertaining to the Client in con�dence and that it shall not disclose the same to any person / authority except to the AI or as required under any law / regulatory requirements or in compliance with any decree, order or direction of any Court, Tribunal, SEBI or other authority duly empowered in law; Provided however that the Participant may so disclose information about its Client to any person or authority with the express permission of the Client.

17. Reconciliation of Account : The Participant and the Client shall agree to reconcile their accounts regularly with reference to the transactions under the SLBS.

18. Return of Securities and Lending Fees : Where the Client is a lender unless otherwise agreed upon between the Participant and the Client - a) The Participant shall ensure the return of securities to the Client by transferring the same to the Client’s account within such time as may be prescribed by the AI. b) The Participant shall ensure the return of the lending fees to the Client within such time as may be prescribed by the AI.

19. Delivery of Securities : Where Client is a borrower unless otherwise agreed upon between the Participant and the Client – The Participant shall ensure the delivery of securities to the Client by transferring the same to the Client’s account within such time as may be prescribed by the AI.

RIGHTS OF THE CLIENT 20. Where the Client is the lender unless otherwise agreed upon between the Participant and the Client - a) The Client shall be entitled to receive the securities lent or �nancial compensation in lieu thereof, computed in such manner as may be speci�ed by the AI from time to time. b) The Client shall be entitled to receive lender’s fee for the securities lent. 21. Where the Client is the borrower unless otherwise agreed upon between the Participant and the Client - a) The Client shall be entitled to receive securities borrowed or �nancial compensation in lieu thereof, computed in such manner as may be speci�ed by the AI from time to time.

b) The Client shall be entitled to receive from the Participant, the collateral in case the Client has deposited securities approved by the AI as collateral. 22. Notwithstanding any other provisions of the said Agreement and this Rights & Obligations Document, the Client shall be entitled to have all the rights that are conferred on it from time to time under the SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under.

OBLIGATION OF THE CLIENT 23. Abide by Law & Acquaintance to Law : The Participant declares that it has brought the contents of the SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under from time to time, and the terms and conditions of the said Agreement to the notice of the Client and the Client agrees to comply with and adhere to the same. 24. Update & Comply with the Settlement Process : Notwithstanding anything contained in Clause 15 hereto, the Client shall at all times make its own inquiries and keep itself updated on all settlement cycles, delivery/payment schedules and changes therein, and it shall be the responsibility of the Client to comply with such schedules/procedures of the AI. 25. Processing Charges : The Client agrees to pay the Participant, processing charges and statutory levies prevailing from time to time or any other charges for the services provided by the Participant. The Participant agrees that it shall not charge processing charges / fees beyond the maximum limit permissible under the SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under from time to time.

26. Change in Client Registration Form : The Client agrees to immediately notify the Participant in writing whenever there is any change of informationin the details provided by the Client to the Participant at the time of its registration with the Participant andalso as provided in the said relevant documentation/s required for participating in SLBS.

27. Authorized Representative : The Client agrees to be bound by the instructions issued by its authorized representative, if any, in accordance with the letter authorizing the said representative to deal on its behalf.

28. Return of Securities : The Client shall return the equivalent number of securities of the same type and class borrowed by it within the time speci�ed by the AI in the Circulars issued from time to time. 29. Payment of Margins : The Client agrees to pay such margins as may be speci�ed by the Participant in accordance with the requirement of AI or

SEBI from time to time.

30. Exposure / Position Limits : The Client agrees to abide by the exposure / position limits, if any, set by the Participant or the AI or SEBI from time to time.

31. Securities lent to be Unencumbered : The Client agrees and warrants that the securities lent are free from lien, charge, pledge or any encumbrance(s)of whatsoever nature.

32. Collateral : At the discretion of the Participant, where the Client deposits the required collateral with the Participant, the same shall be free from any encumbrance(s) of whatsoever nature or defect in the title. If any encumbrance(s) or defect in the title is found subsequently, such collateral shall be immediately replaced by the Client.

33. Insolvency : The Client agrees to immediately furnish information to the Participant in writing, if any winding up petition or insolvency petition has been �led or any winding up or insolvency order or decree or award is passed against it or if any litigation which may have material adverse bearing on its net worth has been �led against it.

34. Cancellation of Transactions : Notwithstanding anything contained in the said Agreement, the AI shall be entitled to cancel transactions under the SLBS, either on an application by a Participant or suo moto or under regulatory directions, and in such event, the transactions done on behalf of the Client shall ipso facto stand cancelled, and neither the AI nor the Participant shall be liable to compensate the Client for any loss whatsoever (including opportunity loss) arising out of such cancellation.

35. Discontinuation of SLBS and Participation in SLBS : The AI shall be entitled to discontinue the SLBS or the participation of the Participant in the SLBS at any time at its discretion. Such discontinuation may be subject to such terms and conditions as may be speci�ed by the AI from time to time.

ARBITRATION 36. The Participant and the Client shall co-operate with each other and / or the AI in redressing their grievances in respect of transactions under the SLBS.

37. All disputes and di�erences or questions arising out of or in relation to this agreement including

obligations, failure or breach thereof by any of the parties and/or of any matter whatsoever arising out of this agreement shall in the �rst instance be resolved mutually by the parties. If the parties fail to resolve the same mutually, then the same shall be referred to and decided by arbitration in accordance with the procedures as prescribed by the AI under the SLBS and the Circulars issued there under.

GOVERNING LAW AND JURISDICTION 38. In relation to any legal action or proceedings to which the AI is a party, the Participant as well as the Client irrevocably submit to the exclusive

jurisdiction of the courts of Mumbai, India and waive any objection to such proceedings on grounds of venue or on the grounds that the proceedings have been brought in an inconvenient forum. 39. In relation to any legal action or proceedings to which AI is not a party, the parties irrevocably submit to the jurisdiction of any competent court of law where the Client ordinarily resides at the time of execution of the transactions under the SLBS.

1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use of wireless technology that shall include the use of devices such as mobile phone, laptop with data card, etc. which use Internet Protocol (IP). The stock broker shall comply with all requirements applicable to internet based trading/securities trading using wireless technology as may be speci�ed by SEBI & the Exchanges from time to time. 2. The client is desirous of investing/trading in securities and for this purpose, the client is desirous of using either the internet based trading facility or the facility for securities trading through use of wireless technology. The Stock broker shall provide the Stock broker’s IBT Service to the Client, and the Client shall avail of the Stock broker’s IBT Service, on and subject to SEBI/Exchanges Provisions and the terms and conditions speci�ed on the Stock broker’s IBT Web Site provided that they are in line with the norms prescribed by Exchanges/SEBI.

3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilities associated with securities trading through wireless technology/internet/smart order routing or any other technology should be brought to the notice of the client by the stock broker.

4. The stock broker shall make the client aware that the Stock Broker’s IBT system itself generates the initial password and its password policy as stipulated in line with norms prescribed by Exchanges/SEBI.

5. The Client shall be responsible for keeping the Username and Password con�dential and secure and shall be solely responsible for all orders entered and transactions done by any person whosoever through the Stock broker’s IBT System using the Client’s Username and/or Password whether or not such person was authorized to do so. Also the client is aware that authentication technologies and strict security measures are required for the internet trading/ securities trading through wireless technology through order routed system and undertakes to ensure that the password of the client and/or his authorized representative are not revealed to any third party including employees and dealers of the stock broker

6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers security �aw in Stock Broker’s IBT System, discovers/ suspects discrepancies/ unauthorized access through his username/password/account with full details of such unauthorized use, the date, the manner and the transactions e�ected pursuant to such unauthorized use, etc.

7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the internet/securities trading through wireless technology and Client shall be fully liable and responsible for any and all acts done in the Client’s Username/password in any manner whatsoever.

8. The stock broker shall send the order/trade con�rmation through email to the client at his request. The client is aware that the order/ trade con�rmation is also provided on the web portal. In case client is trading using wireless technology, the stock broker shall send the order/trade con�rmation on the device of the client.

9. The client is aware that trading over the internet involves many uncertain factors and complex hardware, software, systems, communication lines, peripherals, etc. are susceptible to interruptions and dislocations. The Stock broker and the Exchange do not make any representation or warranty that the Stock broker’s IBT Service will be available to the Client at all times without any interruption.

10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension, interruption, non-availability or malfunctioning of the Stock broker’s IBT System or Service or the Exchange’s service or systems or non-execution of his orders due to any link/system failure at the Client/Stock brokers/Exchange end for any reason beyond the control of the stock broker/Exchanges.

Internet & Wireless Technology Based Trading Facility Provided by Stock Brokers to Clients

(All the clauses mentioned in the ‘Rights And Obligations’ document(s)shall be applicable. Additionally, the clauses mentioned herein shall also be applicable.)



36

21

D D M M Y Y Y Y

To,JK Securities Private LimitedOpp. People’s Bank Park,Sardargunj Road, Anand- 388001

Dear Sir,

I/We are dealing through you as a client in Capital Market and/or Future & Option, Currency Derivatives Segment and in order to facilitate ease of operations and up front requirement of margin for trade under the aforesaid client code. I/We would like to authorize JK Securities Private Limited (further referred to as “JKSPL”) to settle my accounts of funds and securities and accordance to the updated guidelines in force given from SEBI (Ref. Circular: NSE/ INSP/ 24849 dated 29th October 2013 and Circular Ref No 1552 dated 30th October 2013. BSE Notice No. 20091204-7 dated 4th December 2009 & 20100203-30 3rd February 2010) I have read and understood the same. In this regard, I/we con�rm the following:1. I/We hereby authorise JKSPL to settle across segments and across stock exchanges.2. In respect of Derivatives Market, I/We authorise JKSPL to retain Additional Margin Requirement of Maximum up to 125 % of Margin Requirement on the day of settlement to take care of any margin obligation arising in next �ve days.3. I/We also acknowledge and con�rm that JKSPL to settle my fund and securities account once in every Calendar Quarter or once in a Calendar Month or such other higher period as allowed by SEBI/Stock Exchange from time to time except the funds given towards collaterals/margin in form of Bank Guarantee and/or Fixed Deposit Receipt.4. I/We request you to retain securities with you for my/our margin/pay-in/other-future obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing Corporation, unless I/We instruct you to transfer the same to my/our account.5. I/We con�rm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in writing within seven working days from the date of receipt of funds/securities or statement of account or statement related to it, as the case may be at your registered o�ce. 6. In case, I/ We have an outstanding obligation on the settlement date towards any/all the segment, exchange; you may retain the requisite securities, fund towards such obligation and may also retain the funds expected to be required to meet necessary margin obligation.7. I/We con�rm you that I can revoke the above mentioned authority anytime in writing to you8. By considering the administrative/operational di�culties in settling the account for regular trading clients, I request you to kindly retain an amount of upto Rs. 10,000, while settling the account.

Yours faithfully,

Running Account Authorisation Form

DateName

Address

37

Signature of the Applicant Name of the Applicant Client Code

Ref. Circular : NSE / INSP/ 24849 dated 29th October 2013 and Circular Ref no 1552 dated 30th October 2013Ref. No. : MCX_SX / INSP / 1552 / 2013 dated 30th October 2013



























22

38



























APPLICATION FOR ENABLING SLB SEGMENT


To,


I am registered as a client vide above mentioned client code. I am desirous of carrying out transactions in securities Lending and Borrowing Scheme ( hereinafter referred to as “SLBS” ) in terms of Securities Lending Scheme, 1997 (hereinafter referred to as “SEBI Scheme”) and SEBI Circular No MRD/DoP/SE/Dep/Cir-14/2007 dated 20th December 2007 (hereinafter referred to as “SEBI’s Circular”) NSCCL’s Circular No. 100 dated October 25 , 2010 (hereinafter “NSCCL” Circular ) And any circulars which are in force for time being with regard to SLBS segment.

I state that I have perused SEBI’s Scheme, SEBI’s Circular, NSCCL’s Circular and any circulars which are in force.

I agree to execute necessary agreement and abide by all the terms and conditions of the said agreement as well as SEBI’s Circular, NSCCL’s Circular and any Circulars are in force.

Thanking you,

Name of the Client :

Signature of Client : 23

1. The Securities and Exchange Board of India (“SEBI”) has formulated and issued the Securities Lending Scheme, 1997 (“SEBI Scheme”) and SEBI Circular No MRD/DoP/SE/Dep/Cir-14/2007 dated 20th December 2007 for facilitating lending and borrowing of securities through an “Approved Intermediary” registered with SEBI.

2. The National Securities Clearing Corporation is an Approved Intermediary (“AI”) registered under the SEBI Scheme and is, therefore, authorized to facilitate lending & borrowing of securities in accordance with the SEBI Scheme and Circulars of SEBI issued from time to time. Accordingly, the AI has framed the Securities Lending & Borrowing Scheme (hereinafter referred to as “SLBS”) for facilitating lending & borrowing of securities through persons registered as “Participants”.

3. SEBI, thereafter, vide its Circular No. CIR/NRD/DP/19/2014 dated June 3, 2014 (“SEBI Circular”) has modi�ed the framework of Securities Lending & Borrowing. Under the said SEBI Circular, AI shall enter into an agreement with its Clearing Member/Participant (“Agreement”) for the purpose of facilitating Securities Lending & Borrowing and which shall specify the rights, responsibilities and obligations of the AI and the Clearing Member/ Participant (“Participant”). The said Agreement shall also de�ne the exact role of AI/Participant vis-à-vis the Client of Participant. As per the said SEBI Circular, AI is also required to frame rights & obligations document laying down the rights & obligations of the Participant and its Client for the purpose of Securities Lending & Borrowing. The said rights and obligations document shall be mandatory and binding on the Participant. Accordingly, the AI has framed this rights & obligations document laying down the rights and obligations of Participant as well as of its Client (“Rights & Obligations Document”).

4. Securities Lending and Borrowing can be undertaken by the Participant either on their own account or on account of its Client registered with them. Any person(s) who meets the eligibility criteria as may be speci�ed by the AI for the Clients under the SLBS, shall be eligible to participate in the SLBS by submitting duly signed relevant documentation/s to the Participant that it is desirous of participating in the SLBS. The Participant on the receipt of said relevant documentation/s from its Client, shall provide this Rights & Obligations Document to its Client which will be duly acknowledged by the Client of having read,

understood and to agreeing to abide by the same prior to the execution of trade in the SLBS. The terms and conditions of this Rights & Obligations Document shall be binding on the Participant as well as on its Client.

5. All the transactions under the SLBS by the Client shall be strictly in accordance with SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under and the Rules, Byelaws, Regulations of the AI as a Clearing Corporation as applicable and the terms and conditions of the said Agreement. In the event of any con�ict or contradiction between the provisions of the SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under and the Rules, Byelaws, Regulations of the AI as a Clearing Corporation as applicable and the terms & conditions of the said Agreement and this Rights & Obligations Document, the provisions of the SEBI Scheme, Circulars of SEBI, SLBS and the Circulars issued there under, the Rules, Byelaws and Regulations of the AI as a Clearing Corporation and the terms & conditions of the said Agreement shall prevail over this Rights & Obligations Document. The provisions of this Rights & Obligations Document are in addition thereto and not in derogation thereof.

6. The Participant has made the Client aware of and the Client has understood the precise nature of the Participant’s liability towards the Client under SLBS including any limitations on the liability and the capacity in which the Participant acts.

7. Subject to the SEBI Scheme, Circulars of SEBI, SLBS and Circulars issued there under, and/or the Rules, Byelaws, Regulations of the AI as a Clearing Corporation as applicable and as in force from time to time, the rights and obligations of the Participant as well as its Client shall be hereto as under.

8. Unless the context otherwise requires, the words and expressions used herein shall have the same meaning as de�ned in Securities Contracts (Regulation) Act, 1956 or Securities and Exchange Board of India Act, 1992 or Securities Lending Scheme, 1997 or Depositories Act, 1996 or the rules & regulations made there under respectively or Circulars of SEBI or SLBS and the Circulars issued there under and the Rules, Byelaws and Regulations of the AI as a Clearing Corporation.

Documents of Rights & Obligations of the Clearing Member/Participant & its Client in relation to the Securities Lending & Borrowing Scheme

39




































40



























41


















42



























Client’s Name :

Client’s Signature :

For JK Securities Pvt. Ltd. :

Authorised Signatory :

Witness Name :

Witness Signature :

Entered by :

Authorised by :

Witness Name :

Witness Signature :

FOR OFFICE USE ONLY

24

43

FOR OFFICE USE ONLYChecklist of documents received for opening the account

Allotted Unique Client Code

Signed all placesWitnessed properlyStamped properlyReference givenIn-person veri�cation

Electricity BillTelephone BillDP Con�rmation LetterAuthority LetterUID NumberAuthority LetterPassport size PhotographDeclarationemail ID or contactOther :Limit :

RemarksRemarks ParticularsParticulars

PAN CardDriving LicenseRation CardPassportBank Pass Book

Seal/Stamp of the Stock Broker

JK Securities Private Limited

Opp. People’s Bank Park, Sardargunj Rd.,Anand 388 001.T : +91 2692 225040/41/42F : +91 2692 240383

SEBI Reg. No : INB230823938 NSE CashSEBI Reg. No : INF230823938 NSE F&OSEBI Reg. No : INE230823938 NSE CDSSEBI Reg. No : INB260823936 MSEI CashSEBI Reg. No : INF260823936 MSEI F&O

IL&FS Securities Services Limited(Clearing member for NSE CDS and F&O)

IL & FS House, Raheja Vihar,Chandivali, Andheri (East)Mumbai 400 072T : +91 22 28570965F : +91 22 2857093

SEBI Reg. No. INE231308334 NSE CDS(Clearing Member for NSE Currency Derivatives Segment)

SEBI Reg. No. INF261476735 MSEI F&O

Signature (Authorised Signatory)


RemarksEnclosures



























44

FOR OFFICE USE ONLYDocument Checklist to be �lled in by JK employee at the time of Account Opening



























New DEMAT Account being openedfor an Individual or Jointly

New DEMAT Account being openedfor Non-Residents (NRE / NRO)

New Account being openedfor HUF (NSE / DEMAT)

Proof of Identity (POI) :(PAN & UID must be submitted)

Passport size photo (latest)

PAN card with photograph mandatory

PAN card verify document

UID (Aadhaar Card)

Driving Licence

Voter ID card

All Document’s Self – attested

Proof of Identity (POI) :


PAN card with photograph mandatory

All Document’s Self - attested

Proof of Address (NRE / NRO) :

Pass port with arrival stamp/ OCI / Drivers License / Bank Pass Book with latest entry

Proof of Address Local (Any One) :

Ratio Card / Voters Identity Card / Driving License / Telephone Bill or Electricity Bill or Gas Bill (Not More than 3 month old)

Bank Account Passbook with latest entry or

Bank statement on plain paper with original stamp & signature (Not more than 3 month old)

UID (Aadhaar Card)

Original Cancelled Cheque with MICR & IFSC code


PAN of HUF

Deed of declaration of HUF / List of coparceners

Bank Pass Book / Bank Statement in the name of HUF

HUF Cheque Original or Cancelled

PAN card & Address of Karta (Ration Card / Passport / Drivers License / Aadhaar Card / Election card / Bank Passbook or Telephone Bill or Electricity Bill (Not more than 3 month old)

All Document’s Self – attested with Karta Stamp

Proof of Address (Any one) :

Ration Card / Passport / Voters Identity Card / Drivers License

Telephone Bill or Electricity Bill or Gas Bill (Not More than 3 month old)

Bank Account Passbook with latest entry or

Bank statement on plain paper with original stamp & signature (Not more than 3 month old / for F&O last 6 month)

Original Cancelled Cheque with MICR and IFSC code

UID (Aadhaar Card)

Form and Document Veri�cation :

All Document’s Self – attested

PAN Veri�cation stamped

Veri�ed with original stamp on all photocopy

FATCA Form

FEMA Declaration Form (If NRE/NRO Acc.)

Tax identi�cation number(If NRE/NRO Acc.)

E statement / ECN Form

Declaration for mobile No. & Email

Consent letter for Welcome kit

Running Account Authorization

Brokerage Mentioned

BRANCH MANAGER / AUTHORISED PERSON BACK OFFICE EXECUTIVE

Name :

Signature : Date :

Name :

Signature : Date :

45

FOR OFFICE USE ONLYProcess List for Account Opening

REJECTION MEMO



























FORM RECEIVED AND CHECKED BY

INPERSON VERIFICATION BY

DATA ENTRY OF FORM IN SYSTEM BY

TRADING (AGREEMENT DATE)

DEMAT

ACCOUNT VERIFICATION BY

TRADING

DEMAT

CKYC DATA ENTRY BY

CKYC VERIFICATION BY

NDML DATA ENTTRY BY

NDML VARIFICATION BY

POA REGISTERED BY

UCC UPLOADED BY

MAPIN TO RMS BY

MAPIN TO ONLINE TRADING BY

WELCOME KIT SENT BY

DESCRIPTION

DATE OFQUERY

QUERY SOLUTION DATE : APPROVED BY :

WHO WASINFORMED

DATE & TIMEOF INFORMING

SOURCE SIGNDESCRIPTION

DATE(DD/MM/YYYY)

TIME NAME SIGN





















































Anand (Corporate O�ce) : +91 2692 225080/81/82/83/84/85/86/87/88/89/90 Ahmedabad : +91 79 26585010/70Baroda : +91 265 6582333/444 Borsad : +91 2696 222168, 224457 Godhra : +91 2672 249791/92/93/94

Jalna (Maharashtra) : +91 2482 234729/30/31 Nadiad : +91 268 2565499, 2569812 Umreth : +91 2692 278747/57Vallabh Vidyanagar : +91 2692 233660/61, 232374 Vaso : +91 268 2585631/33

www.jksecurities.com [email protected]