GREENBUCKS COMTRADE (P) LTD

Main Office: S-193, School Block, Shakarpur, Delhi-110092Ph.: 011-4324000 (30 Lines) Fax: 011-43204021

Corporate Office:

B-161, Lok Vihar, Pitampura, New Delhi-110034Ph.: 011-40414141 (30 Lines), Fax: 011-40414199E-mail: [email protected], Website: www.greenbucksonline.com

PhotographSign across

the Photograph

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GREENBUCKS COMTRADE (P) LTD.Member : MCX/NCDEX/NSEL

GREENBUCKS SECURITIES (P) LTD.Member : NSE/BSE/USE/MCX-SX, DP-CDSL

BUSINESS ASSOCIATES REGISTRATION FORM

(A) DETAILS OF BUSINESS ASSOCIATES

Name

Business Name

EXCHANGE/SEGMENT NSE CM NSE FO NSE CDS BSE CMBSE FO MCX NCDEX NSEL

Type of Registration Sub Broker: NSE CM BSE CM

A. P. : NSE CM NSE FO NSE CDS

BSE CM BSE FO

MCX NCDEX NSEL

Organization Type Individual HUF Proprietorship LLP

Company Partnership Others (Pl. Specify) _____________

Date of Birth/Date of Incorp. PAN

Father’s Name

Father’s Occupation

D D M M Y Y Y Y

Office Address (Location of Terminal ) (Please Attach Proof)

Pin

Residential Address PRESENT (PL. ATTACH PROOF)

Pin

Permanent Address (PL. ATTACH PROOF)

Pin

Office Ph. No.

Residence Ph. No. Mobile

E-mail

Fax

Address

City

State

Address

City

State

Address

City

State

0

0

0

0

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Bank Detail (Please attach Proof)

A/c No.

A/c Type

Bank Name

Branch Address

IFSC Code

Qualification (Please attach proof)

Matriculation HSC Graduate Post Graduate

Other (Please Specify) _______________________________________________________________________

r Current r Savings r CC r OD

IF EMPLOYED

Name of Employer

Office Address

City Pin Code

State Country

Telephone No. Fax No.

OCCUPATION DETAILS (Tick whichever is applicable)

Occupation Employed Self Employed Business Professional House Wife Others

Annual Income in last three years

Year 1 (FY_______________)

Year 2 (FY_______________)

Year 3 (FY_______________)

IF SELF EMPLOYED / BUSINESS / PROFESSIONAL / OTHERS

Name of the establishment

Office Address

City Pin Code

State Country

Telephone No. Fax No.

Experience

Capital Market Commodity Market SPOT Trading

Currency Market Depository

Others (Pls specify)

Current Client Base

Retail HNI

Corporate Others (Pls. Specify)

Volume (per day in Cr.) (Expected / Current)

Delivery (CM) Intraday (CM)

Derivatives (FO) Commodities

Currency SPOT

Net worth (pls Attach Proof)

M M Y Y M M Y Y

M M Y Y

M M Y Y

M M Y Y

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(B) OPERATIONAL DETAILS

Operation in Charge

Name Age

Edu. Qualification NCFM Certified : YES / NO

Experience Mobile No.

Telephone No. Fax

Email Id

No. of Branches Number of Staff Dealer Others

Office Space (Mandatory) Rented

(Pls attach proof, For all the Location) Owned

Mode of connectivity V sat Leased Line P2P Lease Internet

(C) COMMERCIAL TERMS & CONDITIONS

Deposit (Interest Free) ` 1,00,000/-

Exposure Terms (Limit) As per Risk Management Policy

F&O Margin Cash & Non Cash % As per Risk Management Policy

CTCL License Charges NOW – FREE

ODIN Client – ` 800/Segment/Month

ODIN Diet – ̀ 500/Segment/Month

Connectivity Charges Internet : FREE ,

VSAT/P2P Lease/Leased Line – Charges as per Service Provider

Connectivity Software ODIN / NOW

Associate Sharing/Payout Percentage OR Fixed

(** All Statutory /Regulatory ASSOCIATE PERCENTAGE SHARING :

Charges will be collected Extra.

(No sharing on DP Income)

Area : __________________Sq.ft.

Equity & Currency: ** ( % wise )

Intraday : % | Delivery : %

Futures : % | Options : Per Lot

Currency : Per Lot | MPS : Paise

Commodity:

MCX : % NCDEX : % SPOT : %

Equity & Currency: ** (if Sharing then minimum brokerage to the end

client shall not be less than)



Currency : Per Lot | MPS : Paise

Commodity:


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FIXED:

Equity & Currency: **



Currency : Per Lot | MPS : Paisa

Commodity:


MINIMUM MONTHLY COMMITMENT :

Brokerage : ___________________ (In ̀ ) to the Company

Turnover : ____________________ (In Crore)

Remarks : ____________________________________________________

if any ____________________________________________________

Advance Brokerage (If any)

Amount : `________________________

Period of Agreement : _________________________

Periodicity : Monthly One Time

Turnover Limit : _________________________

Applicable Segment: NSE CM NSE FO NSE CDS

BSE CM BSE FO

MCX NCDEX NSEL (D) OTHER DETAILS

Previous Broker’s Name(Pl. obtain NOC, If any)

NCFM / BSE / NISM

Certificate Details

NSE Cash: Reg. No. : _________________

Name ________________________ F’Name : _________________

Validity : _____/____/_____ PAN : _________________

NSE F&O: Reg. No. : _________________

Name ________________________ F’Name : _________________

Validity : _____/____/_____ PAN : _________________

BSE Cash: Reg. No. : _________________

Name ________________________ F’Name : _________________

Validity : _____/____/_____ PAN : _________________

BSE F&O: Reg. No. : _________________

Name ________________________ F’Name : _________________

Validity : _____/____/_____ PAN : _________________

NISM/ Others: Reg. No. : _________________

Name ________________________ F’Name : _________________

Validity : _____/____/_____ PAN : _________________

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APPLICATION, DECLARATION & UNDERTAKING

I/ We hereby declare that all the above information and particulars given by me/ us in this application are true and fairto the best of my/ our knowledge and belief. I/ we agree to immediately inform you if there is any change in any changein any of the information given in this application. I/ We also declare and agree that if any of the above statement isfound to be incorrect or false or any information or particulars have been suppressed or omitted there from. I/ We am/are liable to be debarred from doing business in the cash and derivative segments. I/ We also agree to furnish suchfurther information as you or the Exchange may require from me/ us from time to time and I/ we agree that if I/ We failto give such information, you shall have the right cancel my/ our registration and you or the Exchange shall have theright to debar, me/ us from doing business in the Cash/ Derivative Segments of the Exchanges. I have read andunderstood the above commercial terms and conditions of GREENBUCKS SECURITIES (P) LTD/ GREENBUCKS

COMTRADE (P) LTD. and I/ We agree to abide by the rules and regulations of GREENBUCKS SECURITIES (P) LTD/

GREENBUCKS COMTRADE (P) LTD. that may be in force from time to time.

________________ ____________________________________________ ____________________

Date Name of Business Associates Signature

CONFIDENTIAL

Requirement of ClientRegistration Form Capital Market _________ DP_________ Commodity / SPOT __________

Fund Payout to Client On Demand only

Communication

(Contract Notes /Ledger /

Reporting/All others) Electronic/Digital Only

Shares Payout to Client Direct On Demand

A/c Opening Charges (Capital Market + Commodity)*- ̀ 500/- (Including One year DP AMC)

DP - NILAgreement Charges ( as per Actual) wil be charged separately

Details of any action taken bySEBI/FMC or any other authority

Date of Training Date of commencement(Trading/Back Off. Etc.) of Business

Convicted of any Crime YES NO

/ Under trial

Sign Board Size

Verified by

Approved by

Name Signature

BROKERAGE & OTHER TERMS

D D M M Y Y Y Y D D M M Y Y Y Y

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NOTE : If any information required to be given does not fit in the space provided in the form, an Annexure may be used.

Date of Incorporation

ROC/SEBI/Other Regn. No.

Networth in Figures : .......................................................

Date of Commencement of Business

Nature of Business

Networth in Words: ....................................................................................

Name of AuthorizedPerson

Designation

Res. Address

Tele/Fax

Qualification

Experience

P.A.N.

Signature

Name of Promoters/

Wholetime Directors/

Directors/Partners

Designation

Res. Address

Tele/Fax

Qualification

Experience

P.A.N.

Signature

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photograph

here and

sign

across

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photograph

here and

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across

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photograph

here and

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across

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here and

sign

across

D D M M Y Y Y Y D D M M Y Y Y Y

ADDITIONAL INFORMATION TO BE PROVIDED BY NON-INDIVIDUAL APPLICANT

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GREENBUCKS COMTRADE (P) LTD.

GREENBUCKS SECURITIES (P) LTD.

Main Office: S-193, School Block, Shakarpur, Delhi-110092

Corporate Office: B-161, Lok Vihar, Pitampura, New Delhi-110034

RE.: Recommendation of Mr./Ms./M/s. ___________________________as a Business Associates.

Dear Sir,

I/We understand that Mr./Ms./M/s. ______________________ having place of business at _______________________is known to us for well over ______ years and he has got good financial background, moral character and integrity.

I/We have visited his/their office at _______________________________________________________________ and/or residence at _______________________________________ on __/__/____ (date) and in my/our opinion he is a fitand proper person to be registered as our Business Associates.

My/Our Comments regarding above mentioned proposed Business Associates are as follows:

_________________________________________________________________________________________________

_________________________________________________________________________________________________

_________________________________________________________________________________________________

Reason(s) for recommendation:

1. ______________________________________________________________

2. ______________________________________________________________

I/We hereby recommend his/her/their application for granting registration for carrying on Commodities, shares & secu-rities business and other products offered by us as Business Associates. We also wish to state that whatever theinformation that has been submitted is true to the best of my/our knowledge and if at a later date any materialinformation comes to our knowledge subsequent to the submission of this application, we undertake to keep informedabout the same.

Yours faithfully,

(Signature of Recommending Officer)

Name

EMP Code Branch

Designation

[Please Check the List of Document to be submitted along with the Application Form.]

Verified by

Approved by

Name Signature

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LIST OF DOCUMENTS REQUIRED FOR THE APPLICATION

SUB-BROKER AUTHORISED PERSON

PAN CARD PAN CARD PAN CARD PAN CARD PAN CARD

ADRESS PROOF ADRESS PROOF ADRESS PROOF ADRESS PROOF ADRESS PROOF

EDUCATION EDUCATION EDUCATION EDUCATION EDUCATIONPROOF PROOF PROOF PROOF PROOF(Min 12th Pass) (Min 12th Pass) (Min 10th Pass) (Min 10th Pass) (Min 10th Pass)

Reference Letter Reference Letter Undertaking Undertaking 2B(ii) AP-3(on Letter Head) (on Letter Head)

Form-B Form-B Reference Letter Reference Letter AP-4

Reference Letter Reference Letterfrom Bank from Bank

Declaration on Declaration onon Letter Head on Letter Head

Confirmation Confirmationon Letter Head on Letter Head

Annexure-O Annexure-Oon Letter Head on Letter Head

NSE BSE NSE BSE MCX

REGISTRATION CHARGES SCHEDULE

Rs. 13236 Rs. 13236 Rs. 6618 Rs. 4418(Rs. 11030+2206) (Rs. 11030+2206) (Rs. 2206+2206 (Rs. 2206+2206)

+2206)

PROCESSING FEE

Rs. 2500 in favor of Greenbucks Securities (P) Ltd. For NSE and BSE Rs. 2500 in favor ofG r e e n b u c k sComtrade (P) Ltd.For MCX

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FORM

AT

FORM

AT

FORMAT OF BOARD RESOLUTION ON THE LETTER HEAD OF THE COMPANY

CERTIFIED TRUE COPY OF RESOLUTION PASSED AT THE MEETING OF THE BOARD OF DIRECTORS OF................................................ LTD. AND HAVING ITS REGISTERED OFFICE ..........................................................HELD ON ............................. DAY OF .................. 20 ............... AT ...................................... A.M. / P. M.

RESOLVED THAT consent of the board of directors of the company be and is hereby accorded to undertake stockbroking related activities and to enter into a member Authorised Person/Sub-Broker/Franchisee agreement with"Greenbucks Comtrade (P) Ltd./Greenbucks Securities (P) Ltd." vide its object no. ................................ of thememorandum and articles of association of the company.

RESOLVED FURTHER THAT "Greenbucks Comtrade (P) Ltd./Greenbucks Securities (P) Ltd." be and is herebyauthorized to accept the oral / written instructions of Mr. ................................................ and / or mr. ........................for the activities to be carried out by the Company under the member Authorised Person/Sub-Broker/Franchiseeagreement and for the appointment of approved users for operating the Trading terminal provided by "Greenbucks

Comtrade (P) Ltd./Greenbucks Securities (P) Ltd."

RESOLVED FURTHER that Mr. ................................ and / or Mr. ........................................ directors of the companybe and are hereby authorized to sign, execute and submit such applications, undertakings, agreements and otherrequisite documents, writings and deeds as may be deemed necessary or expedient to give effect to this resolution.

For .............................. Ltd.

Director

SAMPLE REFERENCE LETTER FROM THE BANKER

To, Date : ...................

GREENBUCKS SECURITIES (P) LTD.

Regd. Office: S-193, School Block, Shakarpur, Delhi-110092

Corporate Office: B-161, Lok Vihar, Pitampura, New Delhi-110034

Dear Sir,

Sub. : Saving / Current Account No. ................................... in the name of Mr. / Ms. / M/s.

........................................................................

This is to inform you that Mr. / Ms. /M/s. ............................. has Saving / Current account with......................................... Bank ................. Branch since........................ the conduct of the above account hasbeen good and satisfactory.

For .................................... bank

Manager

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CHECKLIST

(TO BE FILLED UP BY HEAD OFFICE)

No. Type Head Office

YES NO

1. Proof of Identity

Voter ID Passport PAN Driving License

2. How is the identity of the BA verified?

BA visited the office Branch personal visited the BA

3. Address Proof (Residential)

Voter ID Driving License Passport Ration card Telephone Bill

Electricity Bill Bank Passbook Latest Bank Statement

4. Address Proof (Office)

Voter ID Driving License Passport Ration Card Telephone Bill

Electricity Bill Bank Passbook Latest Bank Statement

5. Bank Proof

Copy of Bank Statement/ Pass Book A cancelled cheque leaf

6. Does address proof match with the office address given by BA?

7. Does address proof match with the residential address given by BA?

8. Has the address proof of the BA verified?

9. All the documents collected are verified with the original

10. Scan copy of the documents/ proofs received?

11. Form is complete with all respects

12. Processing fees received?

13. Security Deposit received?

14. Exchange/ Registration Charges received?

A. P. MCX

15. AP-3

16. AP-4

17. All pages of the agreement duly signed and stamped by the BA?

A. P. NCDEX

18. Annexure 3

19. Annexure 4


A. P. NSE

21. Undertaking

22. Reference Letter


A. P. BSE

24. Undertaking 2B



Sub-Broker NSE/ BSE


28. Form-B

29. Reference Letter from Bank

30. Declaration

31. Confirmation Letter

32. Annexure-O


(BA refers to Business Associate)

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Documents

GREENBUCKS COMTRADE (P) LTD