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PART-CExhibits

Exhibit-1

Client Registration Form/Documents

IAccount Opening Kit

IIKnow Your Client (KYC) Application Form Revised

IIITrading Account Related Details

IVRights and Obligations

VRisk Disclosure Document

VIGuidance note

Exhibit-2

CONTRACT NOTE FORMAT

IContract Note Format For CM Segment

IIContract Note Format For F & O Segment

IIIContract Note Format For CD Segment

IVContract Note Format For Debt Segment

VContract Note Format For Negotiated Trade in Debt Segment

VICommon Contract Note Format For CM, F&O and CD Segment across all Exchanges

VIIClarification on Brokerage, Statutory Levies and Regulatory Levies & Charges

Exhibit-3DAILY MARGIN STATEMENT FORMAT

IDaily Margin Statement

Exhibit-4Investors Alerts

Exhibit-5Internal Audit of Trading Members

ICertificate For Internal Audit

IIRevised format of Internal Audit Report specifying the minimum scope to be covered.

IIIRevised sample size & Points to be noted

Exhibit-6List of common violations and applicable penalties in respect of violations observed during inspections or otherwise in CM Segment, WDM, F&O segments and CD Segment)

Indicative list of penalties/actions to be initiated regarding audit observations in Internal Audit Reports

Exhibit-1

Annexure IAccount Opening Kit ( NSE/INSP/18677 )

Annexure-IIKnow Your Client (KYC) Application Form Revised ) (NSE/INSP/25392)

Annexure-IIITrading Account Related Details

Annexure-IVRights and Obligations

Annexure-VRisk Disclosure Document

Annexure-VIGuidance note

EXHIBIT-2I) CONTRACT NOTE FORMAT FOR CM SEGMENTCONTRACT NOTE

(Capital Market Segment of NSE) (Pursuant to Regulation 3.5)

NAME OF THE MEMBER, THE MEMBER code, LOGO of THE MEMBERSEBI REGistration no. ADDRESS, telephone no, FAX NO

name of the compliance officer, email and telephone no. Email ID for Investor complaint

Dealing office address, Telephone no, Fax no

CONTRACT NOTE NO.TRADE DATESETTLEMENT NO.SETTLEMENT DATE

To

Name of the Constituent

Address of the Constituent

Unique Client Code No.

Trading Code No. of the Constituent

PAN of Constituent

Sir/ Madam,

I / We have this day done by your order and on your account the following transactions:

Order

No.Order

TimeTrade No.Trade

TimeSecurity descriptionQuantity Bought for youQuantity Sold for youGross Rate Per Security

(Rs)Gross Total

(Rs)Brokerage*

(Total)

(Rs)Service

Tax*

(Total)

(Rs)Securities Transaction Tax * (Total)

(Rs)Net Total

(Rs)

OTHER LEVIES, (AS APPLICABLE): Net amount due to us/you-Rs._____ (in words)

* Alternatively, these details may be furnished separately as Annexure to the Contract Note.Brokerage has been charged as stated and has been at rates not exceeding the official scale of brokerage permitted by the Exchange and indicated separately.

This contract shall be governed and is subject to the Rules, Bye-laws and Regulations and Circulars of National Stock Exchange of India Limited and Securities and Exchange Board of India from time to time.

The Exchange provides Complaint Resolution, Arbitration and Appellate arbitration facilities at the Regional Arbitration Centres (RAC). The client may approach its nearest centre, details of which are available on http://www.nseindia.com/invest/content/about_arbitration.htm.

Date:

Yours faithfully,

Place:

For ________________(Name of Trading Member)

(PAN No. and Service Tax No. of Trading Member)

Name & Signature of Partner / Proprietor / Authorized Signatory

II) CONTRACT NOTE FORMAT FOR F&O SEGMENT

Contract Note

(Futures & Options Segment of NSE) (Pursuant to Regulation 3.6)

NAME OF THE MEMBER, THE MEMBER code, LOGO of THE MEMBERSEBI REGistration no. ADDRESS, telephone no, FAX NO

name of the compliance officer, email and telephone no. Email ID for Investor complaint

Dealing office address, Telephone no, Fax no

CONTRACT NOTE NO.TRADE DATE

To

Name of the Constituent

Address of the Constituent

Unique Client Code No.

Trading Code No. of the Constituent

PAN of Constituent

Sir/ Madam,

I / We have this day done by your order and on your account the following transactions:

Order

No.Order

TimeTrade

No.Trade

TimeContract descriptionQuantity Bought for youQuantity Sold for youGross Rate Per Unit

(Rs)Gross Total

(Rs)Brokerage*

(Total)

(Rs)Service

Tax*

(Total)

(Rs)Securities Transaction Tax * (Total)

(Rs)Net Total

(Rs)

OTHER LEVIES, (AS APPLICABLE): Net amount due to us/you-Rs._____ (in words)

* Alternatively, these details may be furnished separately as Annexure to the Contract Note.Brokerage has been charged as stated and has been at rates not exceeding the official scale of brokerage permitted by the Exchange and indicated separately.

This contract shall be governed and is subject to the Rules, Bye-laws and Regulations and Circulars of National Stock Exchange of India Limited and Securities and Exchange Board of India from time to time.

The Exchange provides Complaint Resolution, Arbitration and Appellate arbitration facilities at the Regional Arbitration Centres (RAC). The client may approach its nearest centre, details of which are available on http://www.nseindia.com/invest/content/about_arbitration.htm.

Date:

Yours faithfully,

Place:

For ________________(Name of Trading Member)

(PAN No. and Service Tax No. of Trading Member)

Name & Signature of Partner / Proprietor / Authorized Signatory

III) CONTRACT NOTE FORMAT FOR CD SEGMENTContract Note

(Currency Derivatives Segment of NSE) (Pursuant to Regulation 3.6)NAME OF THE MEMBER, THE MEMBER code, LOGO of THE MEMBERSEBI REGistration no. ADDRESS, telephone no, FAX NO

name of the compliance officer, email and telephone no. Email ID for Investor complaint

Dealing office address, Telephone no, Fax no

CONTRACT NOTE NO.TRADE DATE

To

Name of the Constituent

Address of the Constituent

Unique Client Code No.

Trading Code No. of the Constituent

PAN of Constituent

Sir/ Madam,

I / We have this day done by your order and on your account the following transactions:

Order

No.Order

TimeTrade

No.Trade

TimeContract descriptionQuantity Bought for youQuantity Sold for youGross Rate Per Unit

(Rs)Gross Total

(Rs)Brokerage*

(Total)

(Rs)Service

Tax*

(Total)

(Rs)Net Total

(Rs)

OTHER LEVIES, (AS APPLICABLE): Net amount due to us/you-Rs._____ (in words)

* Alternatively, these details may be furnished separately as Annexure to the Contract Note.Brokerage has been charged as stated and has been at rates not exceeding the official scale of brokerage permitted by the Exchange and indicated separately.

This contract shall be governed and is subject to the Rules, Bye-laws and Regulations and Circulars of National Stock Exchange of India Limited and Securities and Exchange Board of India from time to time.

The Exchange provides Complaint Resolution, Arbitration and Appellate arbitration facilities at the Regional Arbitration Centres (RAC). The client may approach its nearest centre, details of which are available on http://www.nseindia.com/invest/content/about_arbitration.htm.

Date:

Yours faithfully,

Place:

For ________________(Name of Trading Member)

(PAN No. and Service Tax No. of Trading Member)

Name & Signature of Partner / Proprietor / Authorized SignatoryIV) CONTRACT NOTE FORMAT FOR DEBT SEGMENTContract Note

(Debt Segment of NSE) (Pursuant to Regulation 3.5)NAME OF THE MEMBER, THE MEMBERcode, LOGO of THE MEMBERSEBI REGistration no. ADDRESS, telephone no, FAX NO

name of the compliance officer, email and telephone no. Email ID for Investor complaint

Dealing office address, Telephone no, Fax no

CONTRACT NOTE NO.TRADE DATESETTLEMENT NO.SETTLEMENT DATE

To

Name of the Constituent

Address of the Constituent

Unique Client Cod