Powered by Lakshmishree Investment And Securities Pvt. Ltd.G) KYC number of applicant is mandatory for update application. H) For particular section update, please tick ( ) in the

LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD

CIN NUMBER : U74110MH2005PTC157942

Registered

Office

Unit No. 401, 4th Floor, Marathon Icon

Nextgen Campus, Ganpatrao Kadam

Marg, Opposite Peninsula Corporate

Park, Lower Parel, Mumbai - 400 013

Phone : 022 43431818

Website : www.lakshmishree.com

Correspondence

Office

Unit No. 401, 4th Floor, Marathon Icon

Nextgen Campus, Ganpatrao Kadam

Marg, Opposite Peninsula Corporate

Park, Lower Parel, Mumbai - 400 013

Phone : 022 43431818

Website : www.lakshmishree.com

Compliance

Officer

Trading Shobha Sharma

Phone: +91 9235395868 [email protected] DP

CEO Details

Mr. Salil Kumar Shah

Phone : +91 9044039910

[email protected]

Member

National Stock Exchange of India Ltd . (NSE) Bombay Stock Exchange Ltd. (BSE)

Multi Commodity Exchange of India Ltd.(MCX)

National Commodity & Derivatives Exchange Ltd.

(NCDEX)

Depository

Participant Central Depository Services India Ltd. (CDSL)

CDSL Commodities Repository Limited (CCRL)

Exchange Segment Member ID SEBI

Registration No NSE – CM

12817

INZ000170330

NSE - F&O

NSE – CD

NSE - Commodities

BSE – CM

3281 BSE - F&O

BSE – CD

BSE - Commodities

MCX – Commodities 55910

NCDEX- Commodities 01253

Depository SEBI Registration No. CDSL IN-DP-CDSL-490-2008

CCRL 12059100

Research Analysts Regi. No. INH000002681

For any grievance/dispute please contact Lakshmishree Investment & Securities Pvt. Ltd.(LISPL) at the above address or

mail at:- [email protected] and call us at our phone no. +91 9044039907/08/09 & +91 9235395868

In case you are not satisfied with the response, please contact the concerned Exchange(s)/Depository(ies):

Exchange /

Depository

Contacts

National Stock Exchange of India Limited, Phone : 022-26598190 • Email : [email protected]

Bombay Stock Exchange Limited, Phone : 022-22728097 • Email : [email protected]

Multi Commodity Exchange of India Ltd. Phone : +91-22-6731888, 6649 4000 • Email : [email protected]

National Commodity & Derivatives Exchange Ltd., Phone : +91-22-66406084 • Email : [email protected]

Central Depository Services India Limited, Toll Free no. : 1800-200-5533 •

Email : [email protected]

You may also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance,

please contact SEBI Office on Toll Free Helpline at 1800 22 7575/18002667575

FO

R O

FF

ICE

US

E O

NL

Y Client Name / Sole Holder

Second Holder Name ( for DP

Account)

Third Holder Name (for DP

Account)

Client Trading Code / DP Code

1 2 0 5 9 1 0 0

Introducer Name & Code

Documents Verified by Name Signature

KYC Entered by

mailto:[email protected]



This KIT is valid for opening Trading Account and Demat Account with Lakshmishree Investment & Securities Pvt Ltd.

Clients desirous of opening both or any can utilise the relevant segments of this KIT.

The Trading Code for same desired Segments of the respective Exchanges and Demat account number will be provided on successful generation of the same.

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Sl. Name of the Document Brief Significance of the Document Pg No.

1 Document Checklist It contains detailed Checklist for Documents required 3

2 Central KYC Registry Know Your Customer (KYC) Application Form | Individual 4-5

3 Know Your Client Form (Individual)

KYC Form captures the basic information about the Client (Trading & Demat)

6-7

4 Additional KYC Form Additional KYC related details for Trading & Demat Account / Trading

Preference. 8-9

5 Disclosure of Proprietory Trading Disclosure of Proprietory Trading by broker to client. 10

6 Nomination Form Nominee Details For Trading And Demat Account 11

7 FATCA / Client

Acknowledgement

Declaration pertaining to foreign tax liability / Acknowledgement to LISPL

from Client 12

8 Tariff Sheet (Trading & Demat) Document detailing the rate / amount of brokerage & other charges 13

9 Policies & Procedures Document describing significant policies and procedures of member with

respect to dealing with clients (Investment & Securities) 14-18

10 Policies & Procedures Document describing significant policies and procedures of member with

respect to dealing with clients (Commodities) 19-20

11 Rights & Obligations of

Members, Authorised Persons and Clients

Document stating the Rights & Obligations of Member, Authorised Person

and Client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading)

Cli

ent

Cop

y 12 Risk Disclosure Document

(RDD)

Document detailing risks associated with dealing in the Equity market &

Commodities Market.

13 Do's and Don’t for the investors. Document detailing do's and don’t for trading on Equity exchange, for the education of the investors.

14 Rights & Obligation of Beneficial

Owner & Depository Participant

Document detailing rights and obligations of beneficial owner and

depository participant

15 Other Disclosure Terms and Conditions for availing Transaction Using Secured Texting (TRUST) Service offered by CDSL. / Terms And Conditions-cum-Registration

/ Modification Form for receiving SMS Alerts from CDSL

Voluntary Documents as provided by Lakshmishree Investment & Securities Pvt. Ltd..

16 Questionnaire Questionnaire Towards Risk Profiling of Client 10

16 Power of Attorney (POA) Authority to operate Demat Account & other powers given for

smooth operation 21

17 ECN Mandate / Authority Letter for

Running Account.

It contains authority given to the member towards providing various

statements in electronic 22

18 Common Mobile & Email ID &

Declaration on Open Interest Position

Declartion of common Email ID / Mobile Number by Client /

Declaration on Open Interest Position. 23

19 Undertaking for Securities Collateral Undertaking for Securities Collateral (Securities &Commodities) 24-25

20 Letter of Authority & Declaration /

Margin Trading Facility

Document describing significant Policies and procedures of the stock

broker. / Consent to avail Margin Trading Facility 26-29

21 Other Disclosure Option Form for Issue of DIS Booklet 30

22 BSE STAR MF / Running A/c MF Investor Form for Mutual Fund / In contains authority given to the

member towords providing various statement in electronic / It contains

the authorisation by the client to the member to maintain running

account of funds / securities / MF

31-32

ACCOUNT OPENING KIT – INDEX

MANDATORY KYC DOCUMENTS - CHECKLIST

No. Acceptable Documents (Copies of all documents to be self attested) Please Tick

1 PAN Card Account Holder & Joint Holder's (if any)

2 Photograph One Colored Front Face Photograph (Passport Size)

3 Additional Proof of

Identity (Any One) (If Pan card not visible OR

Pan card sign & signature in KYC from are different)

1. Aadhar Card

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

3. Voter ID (front & back)

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

5. Other (Please specify)

4

Proof of Address (Any One) Permanent / Correspondence

1. Aadhar Card

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

3. Voter ID (front & back)

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

5. Bank Statement / Passbook with complete address of client (not more than 3 months old)

6. Banker’s Verification Letter

7. Electricity Bill (not more than 2 months old)

8. Residence Landline Telephone Bill (not more than 2 months old)

9. Registered Flat Sale Agreement of Residence

10. Registered Lease / Leave & License Agreement

5 Bank Proof With MICR / IFSC Code (1st Holder only)

1. Cancelled Personalized Original Cheque Leaf

2. Bank Statement / Passbook with original cheque leaf (not more than 3 months old)

3. Banker’s Certificate on letter head of the Bank (Original)

6 Demat Proof (Any One) (1st Holder only)

1. Client Master (Duly attested by DP)

2. DP Statement / Transaction cum Holding Statement

7 Proof of Income (Any One) (1st Holder only) (Mandatory for F & O / Currency / Commodities Segments)

1. Copy of ITR Acknowledgement

2. In case of salary income - Salary Slip, Copy of Form 16

3. Net-worth certificate (Not more than 1 year old)

4. Copy of Demat Account Holding Statement

5. Bank Account Statement for last 6 months reflecting income

6 . Any other relevant documents substantiating ownership of assets

IMPORTANT GENERAL INSTRUCTIONS FOR COMPLETING THE CLIENT REGISTRATION FORM

1. Please ensure that form is complete in all respects. Strike off whichever option is not applicable. 2. Please fill all information in capital letters and in blue / black ink only. 3. In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature. 4. Name & Address of the client mentioned in the KYC form, should match with the documentary proof submitted. 5. Email ID & Mobile Number is mandatory for account related passwords and transaction details. 6. Original documents are to be produced for verification at the time of submission of the form. 7. All supportive documents are to be self attested by Client. 8. Sole proprietor must make the application in his individual name & capacity. 9. Please remit cheque of Rs. (600 + GST = 708.00) for account opening charges along with Life Time Demat AMC of Demat scheme selected in favour of "Lakshmishree Investment & Securities Pvt. Ltd." only.

( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

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

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED* ISO 3166 Country Code of Jurisdiction of Residence*

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

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

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

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

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

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.F) List of two character ISO 3166 country codes is 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 off the sections not required to be updated.

Married

Resident IndividualForeign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-ServiceO-OthersB-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

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

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code Identification Number

X- Not Categorised

Address Type*Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS

7. REMARKS (If any)

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

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

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

Tel. (Off)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

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

State* ZIP / Post Code* ISO 3166 Country Code*

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

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

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

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date : Place :

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

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

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Employee Signature][Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

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

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

Line 2 City / Town / Village*

Line 1*

Line 3

Line 2 City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code Identification Number

KYC APPLICATION FORM FOR TRADING AND DEMAT A/C - INDIVIDUAL

FIRST HOLDER Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)

A. IDENTITY DETAILS

1 Name of the Applicant

2 Name of Father/Spouse

3 Mother Maiden Name

4 a.Gender b. Marital Status c. Date of Birth

Male Female Transgender Single Married Other D D M M Y Y Y Y

5 a. Nationality b. Status Resident Individual Non Resident Foreign National

Indian Other ___________

6 a. PAN, copy attached b. UID/Aadhaar

7 Specify Identity proof submitted Id Proof for PAN exempt Cases (DP A/c only)

B. ADDRESS DETAILS

1

Correspondence Address

City/Town/Village PIN Code

State Country

2 Contact Details

Telephone (office) Telephone (Res)

Fax No. Mobile No.

Email ID

3 Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (□) against the document attached

□ Passport □ *Latest - Telephone Bill (only Land Line) □ Ration Card □ Registered Lease/Sale Agreement of Residence □ Driving License □ Voter Identity

Card □ *Latest Bank A/c Statement Passbook □ *Latest Electricity Bill □ *Latest Gas Bill □ Others (Please specify)____________________

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

3

Permanent Address (if different from

above. Mandatory for Non- Resident

Applicant to specify overseas address)


State Country





DECLARATION SIGNATURE OF APPLICANT

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

Place Date

( 2)

For Office Use Only

(Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received Details of Employee /

Intermediary Documents verified with Originals by Client interviewed By & In-

Person Verification done by

Seal / Stamp of the Intermediary

Staff Name

Empl. / Int Code &

Designation

Signature

Date

Affix recent

passport size

Photograph

and Sign

across it

( 1)

KYC APPLICATION FORM FOR TRADING AND DEMAT A/C - INDIVIDUAL

SECOND HOLDER Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)

A. IDENTITY DETAILS

1 Name of the Applicant

2 Name of Father/Spouse

3 Mother Maiden Name

4 a.Gender b. Marital Status c. Date of Birth

Male Female Transgender Single Married Other D D M M Y Y Y Y

5 a. Nationality b. Status Resident Individual Non Resident Foreign National

Indian Other ___________

6 a. PAN, copy attached b. UID/Aadhaar

7 Specify Identity proof submitted Id Proof for PAN exempt Cases (DP A/c only)

B. ADDRESS DETAILS

1

Correspondence Address


State Country

2 Contact Details

Telephone (office) Telephone (Res)

Fax No. Mobile No.

Email ID





3

Permanent Address (if different from

above. Mandatory for Non- Resident

Applicant to specify overseas address)


State Country





DECLARATION SIGNATURE OF APPLICANT

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

Place Date

( 2)

For Office Use Only (Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received Details of Employee /

Intermediary Documents verified with Originals by Client interviewed By & In-

Person Verification done by

Seal / Stamp of the Intermediary

Staff Name

Empl. / Int Code &

Designation

Signature

Date

Affix recent

passport size

Photograph

and Sign

across it

( 1)

ADDITIONAL KYC RELATED DETAILS FOR TRADING & DEMAT A/C

BANK DETAILS (Mandatory) Primary Secondary, if any

Bank Account Type Saving Current Other (specify) Saving Current Other (specify)

Bank A/c No.

Bank Name

Branch Address / City

MICR Code

IFSC Code

DP DETAILS

Sr.# Particulars Primary DP Details Secondary DP Details

1 DP CDSL NSDL

2 DP Name Lakshmishree Investment & Securities Pvt Ltd.

3 DP ID 1 2 0 5 9 1 0 0 Provide Proof

4 Beneficary Name

5 BO/Client ID

TRADING PREFERENCE (PLEASE SIGN AGAINST THE SEGMENT) Please sign in the relevant boxes where you wish to trade. The exchange / segment not chosen should be struck off by the client itself.

Segment NSE BSE MCX NCDEX

Cash Market ( 3) ( 3)

Futures & Options ( 3) ( 3)

Currency Derivatives ( 3)

Commodity Derivatives

( 3) ( 3) ( 3) ( 3)

StAR MF ( 3)

PAST ACTION Details of any action /proceedings initiated/pending/taken by SEBI/Stock Exchange/any other authority against the applicant/ constituent or its Partners / Promoters / Wholetime Director / Authorised Persons in-charge of dealing in securities during the last 3 years

No Yes – If yes, provide details

DEALINGS THROUGH AUTHORISE PERSON AND OTHER STOCK BROKERS / COMMODITIES BROKER

If Client is dealing through the Authorise Person provide the following details:

Authorise Person Name: SEBI Registration number

Registered office address

Mobile No. Email ID Whether dealing with any other stock broker/Authorise Person (if case dealing with multiple stock brokers/ Authorise Person,

provide details of all)

Name of stock broker: Name of Authorise Person, if any

Client Code Exchange

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

OTHER DETAILS

Experience Number of years of Investment / Trading Experience

1n

d H

old

er

1

Gross Annual Income Details (Please tick ( )

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore > 1 Crore

Net-worth (Not older then 1 year) Amount _______________ As on (Date)

2 Occupation Private Sector Service Business Professional Public Sector Government Service Agriculturist

Retired Housewife Forex Dealer Student Others (Please specify)_________________________

Nature of Business / Profession :

3 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

2n

d H

old

er

1

Gross Annual Income Details (Please tick ( )

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore > 1 Crore

Net-worth (Not older then 1 year) Amount _______________ As on (Date)

2 Occupation Private Sector Service Business Professional Public Sector Government Service Agriculturist

Retired Housewife Forex Dealer Student Others (Please specify)_________________________

Nature of Business / Profession :

3 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

Standing Instructions / Preferences / Other Details

1 I / We authorise you to receive credits automatically into my / our demat account Yes No

2 Account to be operated through Power of Attorney Yes No

3 SMS Alert Facility (Mandatory , if you are giving Power of Attorney ( POA). (Ensure that the mobile number is provided in the KYC Application

From also.) _________________________________________________________________________ Yes No

4 Mobile No. belongs to Self Family Member

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

6 I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID_________________________________ Yes No

7 Email ID belongs to Self Family Member

8 I/We wish to receive dividend / interest directly in to my bank account as given below through ECS (If not marked, the default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time]

Yes No

9 Pledge Processing Flag Yes No 10 Basic Service Demat A/c Yes No 11 Email Download by RTAS Yes No

12 Rajiv Gandhi Equity Saving Scheme Yes No 13 Annual Reports From RTAS Physical Electronic Both

GUARDIAN’S DETAILS (same in line with KYC Form – must be filled up where Sole Holder is MINOR)

1 Guardian Name

2 Guardian Address

City/Toun/Village PIN Code

State Country

3 Relationship with Minor 4 Guardian’s PAN

5 Contact Details of

Guardian

Telephone (Office) Telephone (Res.)

Fax No Mobile No.

Email ID

6A Gross Annual Income Income Range per Annum (Plz tick)

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore

> 1 Crore

6B Net-worth in ₹ (*Net worth should not be older than 1 year) ________________ As on (Date)

7 a. Gender b.Marital Status C. Date of Birth d. Nationality Male Female other Single Married Indian Other please specify (if other)---

e. Status

Ind. Resident

Non Resident

Foreign National

f. Occupation

Private Sector Service Business Professional

Public Sector Government Service Agriculturist

Retired Housewife Forex Dealer

Student Others (Please specify)_________________________ 8 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify): Physical Electonic

Specify your Email id, if applicable: ____________________________________________________________________

Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Yes No

Number of years of Investment/Trading Experience

INTRODUCER DETAILS (Mandatory in case of Authorised Person)

Introducer’s Name First Name Middle Name Surname Introducer’s Address

Introducer’s Status Remisier Authorised Person Existing Client Other___________

Signature

Phone No.

DECLARATION For both Demat and Trading Account

1. 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.

2. The Rules and Regulations of the Depository and Depository Participant pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force form time to time for such account. I/we further agree that any false/misleading information given by me/us or suppression of any material fact will render my/our account liable for termination and further action.

3. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 4. I/We further confirm having received, read and understood the contents of the ‘Rights and Obligations’ and ‘Risk Disclosure Document’. I/We do hereby agree

to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker’s designated website.

Client Signature (1st Holder) Client Signature (2nd Holder) Client Signature (3rd Holder)

( 4)

( 4)

( 4)

I / We undertake that I / we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I / We have also made the client aware of ‘Right and Obligations’ document(s) RDD and Guidance Note. I/We have given/sent him a copy of all the KYC document. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and all the Non-Mandatory documents would be duly intimated to the clients. I/We also undertake that any change in ‘Right and Obligations’ and RDD would be made available on my / our website, if any. For the information of the clients.

Singature of Authorised Signatory Seal /stamp of Lakshmishree Investment & Securities Pvt. Ltd.

Affix recent

passport size Photograph

and Sign

across it

QUESTIONNAIRE TOWARDS RISK PROFILING OF CLIENTS

IDENTIFYING YOUR INVESTMENT RISK (From Investment &Trading Perspective)

1. Familiarity with the Commodities / Stock Investment (Tick the applicable)

Not Familiar at all Somewhat familiar Fairly familiar Very familiar

2. Stock Investment Longevity (Tick the applicable) Less than 1 year Within 1-3 years Within 3-5 years More than 5 years

3. Approximate percentage of your current Investment in Commodities / Stock (Tick the applicable) Above 75% Between 50% to 75% Between 10% to 25% Less than 10%

4. Your experience in Commodities / Stock Market (Tick the applicable)

Highly Experienced Very Experienced No Experience

5. Do you deal in (Tick the applicable).

Bullion Energy Metals Agri Other

6. Are you (Tick the applicable).

Hedger Speculator Arbitragers Agricultures

7. Legal Actions (Tick the applicable).

Yes ____________________ No

8. Quantum of bearable loss (Tick the applicable).

Minimum amount of Capital Loss Moderate Capital Loss High Capital Loss

9. Source of deployment of funds, whether borrowed (Tick the applicable).

Yes Name of Lender ______________ and amount borrowed Rs. _____ No

ADDITIONAL INFORMATION

1 1. Details of the family member / group Companies being the promoter / Employee of the listed Company (Tick the applicable)

Yes Name of the listed Company ___________________________ No

2 2. Details of the family member / group Companies registered with SEBI (Tick the applicable)

Yes Mention details ___________________________________________________ No

3 3. Details of the family members / relatives having trading account with LISPL (Tick the applicable)

Yes Client Code ________________________ Name _________________________ No 3. Additional Comments (to be filled by Client)

(Please write down any additional comments you may have relevant to determining your Risk Profile

_______________________________________________________________________________

_______________________________________________________________________________

Signature ( 5)________________________

Disclosure of proprietory trading by broker to client

With reference to the SEBI Circular No. SEBI/MRD/SE/Cir-42/2003 dated Nov. 19, 2003 intended to increase the transparency in the dealing between the trading member and their clients, all trading members are required to disclose to its/their clients

whether they do client based business or proprietary trading as well.

Pursuant to the above, we wish to inform you that Lakshmishree Investment & Securities Pvt. Ltd. at present does trade on proprietary account in the cash, Derivatives, Commodity and Currency segment at NSE/BSE/MCX/NCDEX.

I/We _________________________________________________________________________________________

having client code _________________________________ with M/s Lakshmishree Investment & Securities Pvt.

Ltd. acknowledge receipt and Understanding of the above.

Signature ( 6)_________________________ Name _________________________

Client Code ___________

VOLUNTARY

NOMINEE DETAILS FOR TRADING AND DEMAT ACCOUNT I/We wish to nominate I/We do not wish to nominate

BO Account Details DP ID 1 2 0 5 9 1 0 0 Client ID

Trading Code

Name of the Sole / First Holder Name of Second Holder Name of Third Holder

Nomination Details Nominee Name : Nominee 1 Nominee 2 Nominee 3

*First Name:

Middle Name:

*Last Name

*Address:

*City:

*State:

*Pin:

*Country:

Telephone No:

Fax No:

PAN No:

UID :

Email ID:

*Relationship with the BO

Date of birth (mandatory if Nominee is a minor):

Name of the Guardian of Nominee (if the nominee is minor):

*First Name:

*Middle Name:

*Last Name:

*Address of the Guardian of nominee:

*City:

*State:

*Country:

*Pin:

Age

Relationship of the Guardian with the Nominee:

Percentage of allocation of securities:

Residual Securities [please tick any one nominee. If tick not marked default will be first nominee]:

Note : Residual securities: In case of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any.

First/Sole Holder Second Holder Third Holder

Specimen Signature

( 7)

( 7)

( 7) This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us. Note: One witness shall attest signature(s) / thumb impression(s)

Details of the Witness:- Names of Witness

Address of witness

Signature of Witness

FOR OFFICE USE ONLY (To Be Filled By Depository Participant)

DP ID 1 2 0 5 9 1 0 0 Client ID

Nomination form accepted and registered wide Registration No. _____________________

____________________________ Signature of the Authorised Signatory Seal / Stamp of the Stock Broker

FATCA / CRS DECLARATION / SELF CERTIFICATION First / Sole Holder Second Holder (if any) Third Holder (if any)

1 Are you a U.S. Person? (Refer note below)

No Yes No Yes No Yes

2 Specify country of residence for tax purpose (Tax Residency)

Indian Other Indian Other Indian Other

3 Specify country of citizenship

Indian Other Indian Other Indian Other

US Person means: In case of individuals, U.S. person means a citizen or resident of the United States. Persons who would qualify as U.S. persons could be born in United States, born outside the United States of a US parent, Naturalized citizen, Green Card Holders, tax residents. Note : If you are U.S. Person and / or if your tax residency / nationally / citizenship is other than India, then please provide declaration / self certification under FATCA / CRS. This declaration form can be download from our website : www.lakshmishree.com.

ACKNOWLEDGEMENT TO LAKSHMISHREE INVESTMENT & SECURITIES PVT. LTD. FROM CLIENT

To,

Lakshmishree Investment & Securities Pvt Ltd. 401, Marathon Icon, Marathon nextgen Campus, Ganpatrao Kadam Marg, Opp. Peninsula Corporate Park, Lower Parel, Mumbai – 400013

I / We hereby confirm that I / We have gone through all the relevant clauses at the time of excution of KYC and has sought the relevant clarification wherever required from the officials of LISPL.

Moreover please arrange to provide the following documents in Electronic via E-mail Physical

Sl. No. Brief Description of the Document

1. Right and Obligations of Stock & Commodity Brokers, Authorised Person and Clients

Cli

ent

Cop

y

2. Right and Obligations of Beneficiary Owner and Depository Participant as prescribed by SEBI & Depository.

3. Stock & Commodity Internet and Wireless technology based trading facility provided by Broker to

Client.

4. Risk and Disclosure document for Security & Commodity Market.

5. Guidance note – Do’s and Don’t for trading on Exchange(s) for Investors.

6. Terms and Conditions for aviating Transaction Using Secured Texting (TRUST) Service offered by

CDSL.

7. Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL

8. Executed Copy of KYC

For __________________________________________

Client Code : __________________________________ BO ID : 12059100___________________

Client’s Signature ( 8)______________________________

(should be signed with Rubber Stamp, if applicable)

Note: The standard documents (Client Copy) are also available in vernacular language on our Website:

www.lakshmishree.com and can be downloaded at any point of time for reference.

http://www.lakshmishree.com/

Tariff Sheet (For Trading ) A. BROKERAGE NSE BSE

Min. Per Trade Min. Per Trade

Capital Market Segment

Square up Brokerage

@ 17 Per Trade @ 17 Per Trade

Delivery Brokerage @ 17 Per Trade @ 17 Per Trade

Future & Options

Segment

Futures @ 17 Per Trade

Options (per lot) @ 17 Per Trade

Delivery Brokerage @ 17 Per Trade

Currency Derivative

Segment

Futures @ 17 Per Trade

Options (per lot) @ 17 Per Trade

B. BROKERAGE (Commodities) MCX NCDEX NSE BSE

Min. Per Trade Min. Per Trade Min. Per Trade Min. Per Trade

Commodities Derivative

Segment

Futures @ 17 Per Trade @ 17 Per Trade @ 17 Per Trade @ 17 Per Trade

Options (per lot) @ 17 Per Trade @ 17 Per Trade @ 17 Per Trade @ 17 Per Trade

LIST OF CHARGES ON ACTUAL BASIS

C. OTHER CHARGES 1. Transaction Charges 2. GST on Brokerage / Trading charges / Transaction Charges 3. Stamp Duty

4. SEBI Turnover Charges 5. Securities Transaction Charges 6. Investor Protection Fund (CDS only)

7. Commodity Transaction Charges 10. Min Contract Note charges Rs. 30/-(Commodities)

8. Other Charges (If any) 9. Min Contract Note charges Rs. 15/- (Equity)

Date : _____________________ Signature of Client: ( 9)______________________

SCHEDULE OF DEMAT CHARGES (Effective from 01/08/2019) Sr. No. Activity Fees

1 Account Opening NIL

2 Annual Maintenance Charges For Individual Rs. 350/-

For Corporate Rs. 750/- + (GST)

3 Transaction Fee ** A) Buy NIL

B) Sell [Rs. 15/- (Minimum) - 25/- (Maximum) + (GST)

4 Dematerialization ** Rs. 3/- per certificate (Minimum Rs. 15) + (GST)

5 Rematerialization ** Rs. 20/- per certificate + (GST)

6 Creation of Pledge ** Rs. 0.02% of Value Mim 50/- Per Trn. + (GST)

7 Close of Pledge ** Rs. 0.02% of Value Mim 50/- Per Trn. + (GST)

8 Invocation on Pledge ** Rs. 0.02% of Value Mim 25/- Per Trn. + (GST)

Out of Pocket Expenses

Dematerialization of share mailing charges Rs. 75/- per Dispatch

Rematerialization of share mailing charges Rs. 75/- per Dispatch

Delivery instruction through fax will be charges Rs. 5/- per instruction extra

Rejection charges on failure of delivery Rs. 50/- per instruction.

Modification of client Master Rs. 100/- per instance. Rs. 25/- for additional Client Master.

Delivery instruction accepted within 24 hours of execution date will be at client’s sole risks.

For weekly and fortnight statement charge extra Rs. 5/- per page Postage / Courier Charges will be extra.

Taxes and other govt. levies will be charged extra as applicable from time to time. Note:- ** Non refundable and transaction charges as per Schedule.


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POLICIES AND PROCEDURE ( INVESTMENT & SECURITIES )

A. Refusal of orders/restrictions on trading in penny stocks and illiquid stocks: We define Penny stocks as those stocks where the market price is below or close to par, with the company financials being wea k

with indicators such as loss, accumulated losses, low sales revenue, low or negative net-worth, signs of inactivity in the company,

which are having very less value. Lakshmishree Investment & Securities Pvt. Ltd. (LISPL) may from time to time

identify such stocks and put trading restriction on the trades in such penny stocks. In addition to these stocks LISPL may also

include other stocks in the list of restricted stocks such as stocks in Z category, Trade to Trade Settlement or TS category, the

scrips which are included in the list of illiquid scrips by the exchange/s or any other scrip which LISPL deem fit for the

purpose putting trading restriction. The restriction on above stocks may be as to the price, quantity or mode of placement of

orders. Accordingly LISPL reserves the right to disable certain scrips for trading on online trading facility/authorised

person/branch trading terminals or put quantity or price restrictions while putting trade orders.In such case, client may be

allowed to place the trades subject to certain restrictions, through LISPL's centralized dealing desk after enhanced due diligence of

the orders. In case of clients using internet trading facility, they may not find the scrip name or may not be able to place any order

in the scrip, if such scrip is one of the restricted scrips. A client can enquire with LISPL's dealer or customer service

executive about any trading restriction on any scrip. The above referred restrictions are placed on the trading activities of the

client as these stocks are exposed to price rigging and other market manipulative activities. Further, LISPL as a member of the

stock exchanges is expected to have proper surveillance and monitoring mechanism on the trading activities of their clients,

particularly on penny and illiquid scrips. Clients may note that LISPL shall have right to reject the orders placed by the Client

and/or put circuit breakers to discourage trades getting executed at unrealistic prices from the current market price of the

security or prohibit the Client from trading in illiquid securities which creates artificial liquidity or manipulates prices or to

discourage Client from cross/ synchronized trading and LISPL shall not be liable for any loss arising out of non acceptance or

rejection of the Client orders for any such reason if the Client fails to give sufficient reason for placing such orders.

B. Client dealing: Margin trading facility is provided in NSE cash segment. The margin facility will be carried on the basis of interest payable every

month.

C. Setting up client's exposure limits:-

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

trading system (including exposure limits, turnover limits, limits as to the number, value and/or kind of securities in respect of

which orders can be placed etc.). The client is aware and agrees that the stock broker may need to vary or reduce the limits or

impose new limits urgently on the basis of the stock broker's risk perception and other factors considered relevant by the stock

broker including but not limited to limits on account of exchange/SEBI directions/limits (such as broker level/market level limits in

security specific/volume specific exposures etc.), and the stock broker may be unable to inform the client of such variation,

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

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

reduction or imposition of limits. The client further agrees that the stock broker may at any time, at its sole discretion and without

prior notice, prohibit or restrict the client's ability to place orders or trade in securities through the stock broker, or it may subject to

any order placed by the client to a review before its entry into the trading systems and may refuse to execute/allow execution of

orders due to but not limited to the reason of lack of margin/securities or the order being outside the limits set by stock

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

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

alone. We have margin based RMS system. Total deposits of the clients are uploaded in the system and client may take exposure

on the basis of margin applicable for respective security as per VAR based margining system of the stock exchange and/or margin

defined by RMS based on their risk perception. Client may take benefit of “credit for sale” i.e. benefit of share held as margin by

selling the same by selecting Delivery option through order entry window on the trading platform, the value of share sold will be

added with the value of deposit and on the basis of that client may take fresh exposure. Realization of the funds from the said bank

instrument etc, at in case of exposure taken on the basis of shares margin the payment is required to be made before the exchange

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

D. Applicable brokerage rate: - Brokerage will be charged within the limits prescribed by SEBI/Exchange. Brokerage will be charged to the client based on the

brokerage rates specified in the account opening form or as per the product/scheme opted by the client from time to time.

However, any increase in brokerage rate either be done with the consent of the client in writing or at the discretion of LISPL

by giving 15 days advance notice to the client. The brokerage rate shall be within the permissible limit set by

SEBI/Exchanges.

E. Delayed Payment Charges: In order to comply with the above requirement, the following policies and procedures are prescribed by Lakshmishree Investment

& Securities Pvt Ltd ( herein referred as LISPL or the company) and shall be subject to any charge from time to time in future and

would be applicable to authorised persons and all clients of the company. Imposition of penalty/delayed payment charges by either

party, specifying the rate and the period (this must not result in funding by the broker in contravention of the applicable laws).

Delayed payment charges / charges on Exposure against collaterals: Pursuant to Exchange bye-laws, the Member broker is

currently required to make pay-in of funds to the Exchange by T+2 morning and arrange delivery of securities to the Exchange

latest by T+2 morning. Further Member broker is also required to maintain adequate upfront margins with the Exchange to avail

exposure for trading. The Exchanges have also defined the ratios in which the cash and collaterals are to be deposited and

MANDATORY

maintained by the Member broker. In addition the Exchange required the member broker to deposit some of the margins like

MTM, in Cash only. In order to manage its working capital, LISPL requires fullest cooperation of the clients in meeting their

respective obligation towards pay-in and margins. LISPL may therefore charge a delayed payment penalty, on monthly basis on

account of delays/ failure by the client in meeting the pay-in obligations on the scheduled date and also where the clients take

exposure in F&O segment by depositing collaterals in a ratio which is disproportionate to the Cash versus collaterals ratios

prescribed by the Exchanges, While levying delayed payment charges on the debit balance in the running account of a client,

LISPL, may not consider any credit balance in the other family or group account of the client. If the client fails to make payment of

the amount due within the time frame specified by LISPL, it shall be entitled to levy such charges by way of penalty payment

charges 24% + (Applicable GST) per annum on account due. This levy is only penal measure in case client defaults in meeting

settlement and margin obligations and should not be construed as funding arrangement by the client and further the client cannot

demand continuation of service on a permanent basis by citing this levy of delayed payment charges.

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

payment of client's dues: Without prejudice to the stock brokers other right (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 position without giving notice to the client for non payment of margins or

other amounts including the pay in obligation, outstanding debts etc and adjust the proceeds of such liquidation/close out, if any,

against the clients liabilities/obligations. The client shall ensure timely availability of funds/securities in form and manner at

designated time and in designated bank and depository account(s), for meeting his/her/its pay in obligation of funds and

securities. Any and all losses and financial charges on account of such liquidations/ closing out shall be charged to & born by the

client. In cases of securities lying in margin account/client beneficiary account and having corporate actions like Bonus, Stock

split, Right issue etc, for margin or other purpose the benefit of shares due to received under Bonus, Stock split, Right issue etc

will be given when the shares is actually received in the stock broker’s designated demat account.

In case the payment of the margin / security is made by the client through a bank instrument, the stock broker shall be at liberty to

give the benefit / credit for the same only on the absolute discretion of the stock broker. Where the margin / security is made

available by way of securities or any other property, the stock broker is empowered to decline its acceptance as margin / security

&/ or to accept it at such reduced value as the stock broker may deem fit by applying haircuts or by valuing it by marking it to

market or by any other method as the stock broker may deem fit in its absolute discretion. Company on best effort basis will try

and inform the client and give him reasonable time for payment. However it will be the r espons ib i l i ty of c l ient to

track his margins/obligations by going through margin statements sent to the client on daily basis. 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-defined square off 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 referred stipulated margin percentage depending upon the

market condition. In the event of such square off, 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).

G. Shortage in obligations arising out of internal netting of trades:-

Stock broker shall not be obliged to deliver any security or pay any money to the client unless and until the same has been received

by the stock broker from the exchange, the clearing corporation / clearing house or other company or entity liable to make the

payment and the client has fulfilled his/her/its obligations first The policy and procedure for settlement of shortage in obligations

arising out of internal netting of trades is as under. 1. The Short delivering client is debited by an amount equivalent to 20% above of closing rate of day prior to Paying/Payout Day.

The securities delivered short are purchased from market on T+2 day and the purchase consideration (inclusive of all statutory

taxes & levies) is debited to the short delivering seller client along with reversal entry of provisionally amount debited earlier.

2. If securities cannot be purchased from market due to any force majeure condition, the short delivering seller is debited at the

closing rate on T+2 day or Auction day on Exchange +10% where the delivery is matched partially or fully at the Exchange

Clearing, the delivery and debits/credits shall be as per Exchange Debits and Credits.

3. In cases of securities having corporate actions all cases of short delivery of cum transactions which cannot be auctioned on cum

basis or where the cum basis auction payout is after the book closure/record date, would be compulsory closed out at higher

Of 10% above the official closing price on the auction day or the highest traded price from first trading day of the settlement

till the auction day.

H. Physical Settlement of Future & Option Contracts:-

with reference to SEBI Circular No.SEBI/HO/MRD/DP/CIR/P/P/2018/67 dated 11.04.2018, all client having positions in respect of contracts identified by Exchange shall be physically settled:

All open futures positions after close of trading on expiry day

All in-the-money contracts which are exercised and assigned

The current facility of do-not-exercise provided for Close to Money (CTM) option contracts shall continue to be applicable in

respect of stocks which are identified for physical settlement. In respect of option contracts where buyer has opted for do-not-

exercise such contracts shall not be exercised. The settlement obligations shall be computed as under

a. Unexpired Futures

Long futures shall result into a buy (security receivable) positions

Short futures shall result into a sell (security deliverable) positions

b. In-the-money call options

Long call exercised shall result into a buy (security receivable) positions Short call assigned shall result into a sell (security deliverable) positions

c. In-the-money put options

Long put exercised shall result into a sell (security deliverable) positions

Short put assigned shall result into a buy (security receivable) positions The quantity to be delivered/ received shall be equivalent to the market lot * number of contracts which result into physical

settlement

The settlement obligation value shall be computed as under a. Futures – Settlement obligations shall be computed at futures final settlement price of the respective contract. (The

difference between previous day settlement price/trade price and final settlement price on the expiry date shall be cash

settled along with daily MTM on T+1 basis as currently being done) Options – Settlement obligation shall be computed at respective strike prices of the option contracts.

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

position of a client.:- Under following circumstance a client may not be allowed to take further position and if required the existing position in his

account may also be closed ;

1. If there is a continuous debit balance in client account

2. If there is insufficient margin in client’s account requires to maintain his open position If the client is not

responding satisfactorily to the company/ regulatory enquiry on trades undertaken by him explaining the

rationale for transaction or fails to provide documents to prove beneficial ownership of shares, submit proof of

income/ net worth etc.

3. If there is an order by SEBI or any other appropriate authority debarring the client account.

4. In case the scrip or member limits ar breached or likely to be breached in the derivatives market segment

5. In Case of dormant / inactive account and

6. At the discretion of the company by giving written notice to the client

I. KYC & DP related 1. Client code activation duly filled and with proper document is within 96 hrs of the application received

2. Client can be deactivated from trading on written request, provided the client account is settled. If the clients want to reopen the account he has to complete the KYC requirement again.

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

A client can request for temporary suspending or for permanently closing his account. For permanent closure, client has to give a notice of one month and clear the dues, if any, in his account. Client account may be suspended by the company at

any time:

1. On Directions received from any regulatory authorities.

2. If client is not responding to the queries raised by the company related to his trade activities.

3. If there is not a single active demat account linked to trading account.

4. Due to any other non compliance observed in the account.

K. Deregistering a client :- Notwithstanding anything to the contrary stated in the agreement, the stock broker shall be entitled to terminate the

agreement with immediate effect in any of the following circumstances:

I. 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.

II. If there is any commencement of a legal process against the client under any law in force;

III. On the death/lunacy or other disability of the Client. IV. If the client being a partnership firm, has any steps taken by the Client and/or its partners for dissolution of the

partnership.

V. If the Client suffers any adverse material change in his/her/its financial position or defaults in any other agreement with the Stock broker;

VI. If there is reasonable apprehension that the Client is unable to pay its debts or the Client has admitted its inability to

pay its debts, as they become payable;

VII. If the Client is in breach of any term, condition or covenant of this Agreement; VIII. If the Client has made any material misrepresentation of facts, including (without limitation) in relation to the

Security;

IX. If a receiver, administrator or liquidator has been appointed or allowed to be appointed of all or any part of the undertaking of the Client;

X. If the Client has taken or suffered to be taken any action for its reorganization, liquidation or dissolution;

XI. If the Client has voluntarily or compulsorily become the subject of proceedings under any bankruptcy or insolvency

law or being a company, goes into liquidation or has a receiver

XII. If any covenant or warranty of the Client is incorrect or untrue in any material respect; XIII. On the order from the Appropriate authority.

XIV. In accordance with the provision of arrangement entered into with the client

L. Inactive Client account: - Client account will be considered as inactive if the client does not trade for period OF SIX MONTHS. Calculation will be done at the beginning of every month and those clients who have not traded even a single time will be considered as

inactive, the shares/ credit ledger balance if any will be transferred to the client within one week of the identifying the

client as inactive. The client has to make written request for reactivation of their account With updated documents.

M. No Interest on Security / Fund Deposit:-

Securities deposited with our organization will always be interest free and same will be adjusted from any outstanding

dues in client account.

N. Obligation from Connection failure Trading in Exchange is in Electronic Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of

technologies and computer systems to place and route orders. There exists a possibility of communication failure or

system problems or slow or delayed response from system or trading halt or any break down in our back office/ front end system, or any such other problems/glitch whereby not being able to establish access to the trading system/network,

which may be beyond our control and may result in delay in processing or not processing buy or sell Orders either in part

or in full. We shall not be responsible for any such failure or in squaring off the trades 15 minutes before the market closes client shall be ready for delivery and fund obligations. Future notifications and ruling of exchange and SEBI will

be intimated and incorporated in this document from the date of implementations.

O. Actual settlement of funds and securities:- As per SEBI circular MIRSD/ SE /Cir-19/2009 dated Dec 03, 2009, Exchange Circular NSE/INSP/13606 dated Dec 03, 2009,

clarification circulars NSE/INSP/14048 dated Feb 03, 2010 and NSE/INSP/21651 dated Sep 07, 2012, the settlement of funds

and / or securities shall be done within 1 working day of the payout, unless client specifically authorizes the trading member in

writing to maintain a running account to be Settled quarterly/monthly as per preference of the client. We will retain an amount

of Rs 10000 of all active client only after taking the written consent of the client. We will retain additional margin

requirement of maximum up to 125% of margin requirement on the day of settlement to take care any margin obligation

arising in next 5 days in Derivative segment. In equity segment, we will retain maximum 200% of the aroused obligation on

the day of settlement. For Debit Clients, we will retain Stock to the maximum of 200% of Debit Amount without Haircut.

Payment mode form any other account will be treated as “Third party”. In this circumstance, third party funds and securities

will be accepted towards settlement and/or margin obiligation.

P. Penal Charges that may debited to the client’s account: LISPL reserve the right to debit client’s ledger for any penal chargers that may be charged by the Exchanges/

depositories on LISPL on the client level for any default/ violation of exchange guidelines/ requirements occuring due to

omission or commission of any act on the part of the client .

This may include penalty for:

Shortly delivery of securities

Violation of client level position limit

Shortfall in Margin Payment

Client Code modification LISPL shall have the right to recover such charges like any other trade dues payable by the client recover the same by selling his securities

Q. Third Party funds and securities: Lakshmishree Investment & Securities Pvt Ltd. requires all its clients to make payout of funds & securities from the

account held in their name towards their settlement and margin obligation. Similarly, payout of funds will be made in client name and securities will transfer only to demat account held in client name & registration with LISPL. Proof

regarding account being held in client’s name i.e. copy of cheque book/bank statement in case of funds and copy of DP

master in case of securities needs to be provided by the client. Receipt of funds/securities will be accepted only from these accounts. Payment made from any other account will be treated as “third party”. In no circumstance,third funds and

securities will be accepted toward settlement and/or margin obligation. In case if LISPL observes that payment of funds

and securities toward payin/margin obligation has been met from third party account, LISPL reserves right not to give

credit of fund/ securities to client given and return the same to the source account from where funds/securities were received. Client will be solely liable on account of any shortfalls on meeting payin/margin obligation in this regard.

Wherever, client gives POA on demat account to LISPL, LISPL treats the securities lying in the accounts as securities

margin. Therefore, client needs to ensure that only securities belonging to the client are retained in the accounts and appropriate proof regarding purchase/gift etc. needs to be provided to LISPL. In absence of the same, LISPL reserves

right to transfer the securities to source account from where securities were transferred to POA demat account. In case

client transfers securities to POA account from third party account and sell the securities, LISPL reserves the right withhold the payout till client obtains NOC from the account hold from whose account shares were transferred for sale.

R. Additional Risk/Obligation/ Liability Statement in the case of trading through Wireless Technology. These terms contained in the present are in additional to and concurrent with term of right and obligation prescribe the SEBI wide its circular no. MIRSD/16/2011 dated august 22, 2011 as amended from time to time. Following are the

additional feature, risk responsibilities, obligation and liabilities associated with the securities trading using wireless

technology to CLIENT who wish to avail any such facilities from the Stock Broker/ MEMBER.

S. Securities Trading using Wireless Technologies (STWT) The CLIENT agrees that the MEMBER shall not be liable or responsible for non-execution of the order of the CLIENT

due to any link/system failure at the CLIENT/MEMBER/EXCHANGE end.

The stock exchange may cancel a trade su-moto without giving any reason thereof. In the event of such cancellation, MEMBER shall be entitled to cancel relative contact(s) with CLIENT.

The Information Regarding order and trade confirmation shall be provided on the device of the client in case of securities

trading through the use of wireless technology. The Client is aware that as it may not be possible to give detailed information on a hand held device e.g mobile phones

etc. minimum information would be given with the address of the internet website/ webpage where detailed information

would be available.

T. Client Acceptance of Policies and Procedures stated here in above: I/We have fully understood the same and do hereby sign the same and agree not to call into question the validity,

enforceability and applicability of any provision/clauses of this document in any circumstances what so ever. These

Policies and Procedures may be amended / changed unilaterally by the broker, provided the change is informed to me / us with through any one or more means or methods. I/we agree never to challenge the same on any grounds including

delayed receipt / non receipt or any other reasons

Whatsoever These Policies and Procedures shall always be read along with the agreement and shall be compulsorily referred to while deciding any dispute / difference or claim between me / us and stock broker before any court of law /

judicial / adjudicating authority including arbitrator / mediator etc.


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POLICIES AND PROCEDURE ( COMMODITY )

1. Setting up Client's exposure limits:- LISPL may from time to time impose and vary limits on the orders that the client can place through its trading system (including exposure limits, turnover limits, limits as to the number, value in respect of which orders can be placed etc.). The client is aware and agrees that LISPL may need to vary or reduce the limits or impose new limits urgently on the basis of its risk perception and other factors considered relevant by it including but not limited to limits on account of exchange / SEBI directions etc.

2. Applicable brokerage rate. The Commodity broker is entitles to charge brokerage within the limits imposed by exchange. However brokerage and other charges as agreed by the Client is indicated and duly signed by the client under brokerage slab. If there is any upward revision of brokerage, the same will be informed to the client with 15 days prior notice. For any downward movement, the same would be done on immediate basis post intimation to Client.

3. Imposition of penalty / delayed payment charges by either party, specifying the rate and the period ( this must not result in funding by the broker in contravention of the applicable laws):- The client agrees that any amounts which are overdue from the client towards trading or on account of any other reason to LISPL will be charged with delayed payment charges at the maximum rate of 24% p.a.+ GST Applicable. The client agrees that LISPL may impose fines/ penalties for any orders/trades/deals/actions of the client which are contrary to this agreement/Rules/Regulation/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 fit. Further where the Commodity broker has to pay any fine or bear any punishment from any authority in connection with / as a consequence of / in relation to any of the order/trades/deals/actions of the client the same shall be borne in actual by the client.

4. The right to sell clients' securities or close clients' positions, without giving notice to the clients , on account of non-payment of client's dues ( this shall be limited to the extent of settlement /margin obligation):- The client shall ensure timely availability of funds in designated form and manner for meeting his/her/its pay in obligation of funds. LISPL shall not be responsible for any claim/loss/damage arising out of non availability of funds by the client for meeting the pay in obligation of either funds. LISPL has the right but not the obligation, to cancel all pending orders and to sell/close/liquidate all open positions commodities at the pre-defined square off time or when Mark to Market loss (M-T-M) reaches the speculated % or margin available with the broker is not sufficient to cover the risk or the client have not taken any steps either to replenish the margin or reduce the Mark to Market loss. LISPL have the sole discretion to decide referred stipulated margin percentage depending upon the market condition. In the event of such square off, the client agrees to bear all the losses based on actual executed prices. In case open position (ie. short /long) gets converted into delivery due to non square off because of any reason whatsoever, the client agrees to provide funds to fulfill the payin obligation failing which the client will have to face auctions or internal close outs, in addition to this, the client will have to pay penalties and charges levied by the exchange in actual and losses. If any without prejudice to the foregoing, the client shall also be solely liable for all any penalties and charges levied by the exchange(s). Notwithstanding anything to the contrary in the agreement or elsewhere, if the client fails to maintain or provide the required margin/fund/security or to meet the funds/margins pay in obligations for the orders/trades/deals of the client within the prescribed time and form, the LISPL shall have the right without any further notice or communication to the client to take any one or more of the following steps: I. To withhold any payout of funds .

ii. To withhold /disable the trading/dealing facility to the client. iii. To liquidate one or more security(s) of the client by selling the same in such manner and at such rate which LISPL may

deem fit in its absolute discretion. iv. To liquidate / square off partially or fully the position of sales & / or purchase in any one or more commodities

contracts in such manner and at such rate which LISPL may decide in its absolute discretion.

v. To take any other steps which in the given circumstances, LISPL may deem fit. 5. Shortages in obligations arising out of internal netting of trades. LISPL shall not be obliged to deliver any commodities

or pay any money to the client unless and until the same has been received by it from the exchange, the clearing corporation/clearing house or other company or entity liable to make the payment and the client has fulfilled his/her/its obligations first. The policy and procedure for settlement of shortages in obligations arising out of internal netting of trades is as under: The commodities delivered short are purchase from the market and the purchase consideration (including all statutory charges and levies) along with a penalty is debited to the short delivery seller client. LISPL shall have the right to adopt a policy of its choice for internal auctions arising out of internal netting of trades and charge to

default seller and compensate the impacted purchaser as per the policy. The current procedure for internal auction may be

amended from time to time with prospective effect and will be published on the website.

6. 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 client is not entitled to trade without adequate margin / security and that it shall be his/her/its responsibility to ascertain before hand the margin / security requirements for his/her/its orders/trades/deals and to ensure that

MANDATORY

the required margin/ security is made available in such form and manner as may be required by LISPL. If the client's order is executed despite a shortfall in the available margin, the client shall, whether or not LISPL intimates such shortfall in the margin to the client, make up the shortfall suo moto immediately. The client further agrees that he/ she/it shall be responsible for all orders (including any orders that may be executed without the required margin in the client's account) & / or any claim / loss / damage arising out of the non-availability / shortage of margin / security required by the Commodity broker & / or exchange & /or quantum & or percentage of the margin & / or security required to be deposited / made available from time to time. The margin/security deposited by the client with LISPL is not eligible for any interest.

7) Temporarily suspending or closing a client's account at the client's request and:- Closure request from the client is obtained

in the prescribed format, specifying the reasons for closure. The form should be duly signed by the client. The same is forwarded

to the Head Office where it is processed after the signatures are being verified. Any pending settlements in the existing code are

also thoroughly cross verified. An exit interview over telephone may also be taken from the HO end. Then the exiting code is

deactivated in BO software as well in the Exchange records. Closure intimation is sent to the client either through E-mail or

though post. Interdepartmental intimation is also sent in such cases if required. LISPL is entitled to disable / deregister the trading

facility/client , if in the opinion of LISPL, the client has committed a crime / fraud or has acted in contradiction of this agreement

or / is likely to evade/ violate any laws, rules regulations, directions of a lawful authority whether Indian or foreign or if the LISPL

so apprehends 8) Deregistering a client. Notwithstanding anything to the contrary stated in the agreement, LISPL shall be entitled to

terminate the agreement with immediate effect in any of the following circumstances: i. If the action of the Client are prima facie illegal/improper or such as to manipulate the price of any commodities or disturb

the normal / proper functioning of the market, either alone or in conjunction with others.

ii. If there is any commencement of a legal process against the Client under any law in force;

iii. On the death/lunacy or other disability of the client; iv. If a receiver, administrator or liquidator has been appointed or allowed to be appointed or allowed to be appointed of all

or any part of the undertaking of the client; v. If the client has voluntarily or compulsorily become the subject of proceedings under any bankruptcy or insolvency law

or being a company, goes into liquidation or has a receiver appointed in respect of its assets or refers itself to the Board for Industrial and Financial Reconstruction or under any other law providing protection as a relief undertaking;

vi. If the Client being a partnership firm, if any steps have been taken by the Client and /or its partners for dissolution of the partnership;

vii. If the Client have taken or suffered to be taken any action for its reorganization, liquidation or dissolution. viii. If the Client has made any material misrepresentation of facts, including(without limitation)in relation to the Security; ix. If there is reasonable apprehension that the Client is unable to pay its debts or has admitted it inability to pay its debts,

as they become payable. If the Client suffers any adverse material change in his /her/its financial position or defaults in any other agreement with the Commodity broker.

x. If the Client is in breach of any term, conditions or covenant of this Agreement.

If any covenant or warranty of the client is incorrect or untrue in any material respect.


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POA FOR PAY-IN OF SECURITIES FOR THE PURPOSE OF SETTLEMENT

TO ALL TO WHOM THESE PRESENTS SHALL COME I/WE _____________________________________________(Name of the BO), India, Indian Inhabitant SEND GREETING.

Whereas I hold a Beneficiary Account No. 12059100___________________ (BO-ID) with Central Depositary Services (India) Limited, through Lakshmishree Investment & Securities Pvt Ltd bearing DP-ID 12059100 (DP SEBI Registration No. IN-DP-CDSL-490-2008)

And Whereas I am / We are engaged in buying and selling of securities through Lakshmishree Investment & Securities Pvt Ltd. A member of NSE, BSE and bearing SEBI registration no. (NSE/BSE: INZ000170330)

And Whereas due to exigency and paucity of time, I am / We are desirous of appointing an agent/attorney to operate the aforesaid beneficiary account of my behalf for a Limited purpose in the hereinafter appearing.

WE KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I /WE THE ABOVE NAMED DO HEREBY NOMINATE CONSTITUTE/AND APPOINT Lakshmishree Investment & Securities Pvt Ltd. As my / our true and lawful attorney (hereinafter referred to as the attorney) for me/our and on my/our behalf and in my/our name to do instruct the aforesaid purpose of Depository Participant to debit securities and /or to transfer securities from the aforesaid account for the purpose of the delivering the same to the clearing house of the recognize stock exchange toward any segment in respect of securities sold by me through them.

This authority is restricted to the settlement obligation/Margin Obligation arising out of the transaction effected by me/our through Lakshmishree Investment & Securities Pvt Ltd. And I / We ratify the instructions given by the aforesaid Clearing Member to the of Depository Participant to transfer securities held in my /our aforementioned beneficial owner account (s) or any other account informed by me / us in writing to the stock broker from time to time to the following demat account No’s- List of Demat Accounts (NSE Pool / BSE Principal / Client Margin / NSE & BSE Early Paying):- 12059100 00002790, 12059100 00017558, 12059100 00000128, 12059100 00139638, 12059100 00187868, 11000011 00017252, 11000010 00023249.

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On the stock broker maintained for the purpose of settlement of trades and margin obligation arising out of trades executed by me/us on any recognized stock exchange through the stock broker. However the said power will be restricted to only transfer of securities to the Clearing member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined /will join as a member or to the margin account or any demat account linked to the said Clearing Member ID provided that I/We have executed a Client Member Agreement with the stock broker for such exchanges. It is agreed that Stock Broker would return to the client(s), the securities that may have been received by it erroneously or those securities that it was not entitled to receive from the client(s). It is authorized to the Depository Participant to send consolidated summary of Client's scrip-wise buy and sell positions taken with average rates to the client by way of SMS / email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time. I / We further agree and confirm that the powers and authorities conferred by this Power of Attorney is binding me / us until. I / we intimate you (Lakshmishree Investment & Securities Pvt. Ltd.) to withdraw this authority.

Signed and Delivered by

Client-Name and Signature Lakshmishree Investment & Securities Pvt. Ltd.

Name ___________________ _______________ _________________ Name _______________

Signature ( 14)_ ____________ ( 14)_______________ ( 14)_______________ Signature________________

(All Joint Holder must be signed)

Please go through the terms and conditions of agreement and risk disclosure documents carefully before signing

Witness-Name and Signature Witness- Name and Signature Name _______________________________________ Name _______________________________________

Address_______________________________________ Address_______________________________________

Signature______________________________________ Signature______________________________________

Place ________________________ Date ___/____/__________ Attestation by Notary Public:

The foregoing instrument was executed before me on the ________________ day of _______________20____________ by____________

VOLUNTARY

ECN MANDATE

MANDATE TO ISSUE CONTRACT NOTES, DAILY MARGIN STATEMENT, QUARTERLY STATEMENT AND DEMAT HOLDING & TRANSACTION

STATEMENT, BILL Etc. IN ELECTRONIC FORMAT Date:___________________

To, M/s Lakshmishree Investment & Securities Pvt Ltd

401, Marathon Icon, Marathon nextgen Campus, Ganpatrao Kadam Marg, Opp. Peninsula Corporate Park, Lower Parel, Mumbai – 400013

Dear Sir,

I/ We request you to send me/us contract notes/ demat statement/transaction statement and other document through Email on my/our designated email address _______________________________________________

I / We will completely rely on the log reports of your software as a conclusive proof and will inform you if any change

in my/our email Id in future through written consent.

I / We hereby also accept the stated statement Non receipt of bounced mail shall amount to delivery of contract note at

the email

[The above declaration has been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same]

(The above lines must be reproduced in own handwriting of the client.)

Thank you

Signature:- ( 15)_______________________________________

Client Name:_______________________________ Client Code:_____________ BOID :12059100____________

Mobile number___________________________________

Terms and conditions :

Terms and conditions for availing the facility of the electronic Contract Notes, Daily statement pertaining to settlement & Quarterly statement digitally signed and Demat holding and transaction statement are as follows. 1. The client will ensure availability of the above mentioned e-mail Id at all times. 2. Non-receipt of bounced e-mail notification by LISPL can be safely taken of having been received. 3. The client shall update for any change in e-mail ID through a duly executed physical letter. 4. Electronic Contract Notes, Daily marging statement , Quarterly statement and Demat holding and transaction statements will also be

available on URL http://backoffice.lakshmishree.com/shrdbms/userlogin.ss 5. Client can view the electronic contract Notes, Daily marging statement , Quarterly statement and Demat holding and transaction statements

on URL by using the username & password. 6. Electronic Contract Notes will be archived at an interval of 15 days, if the client intends to view the electronic contract Notes for a period

prior to 15 days, client may request for the same in writing. 7. In case of any failure in system or errors the same will be issued in physical form, which shall be binding on the client. 8. Mandate can be revoked at any time with the issuance of physical letter.

STANDING INSTRUCTION TO MAINTAIN RUNNING ACCOUNT (VOLUNTARY) I / We request you to maintain my / our accounts for funds and

securities on running accounts basis instead of ‘bill to bill’

settlement basis across all segments and exchanges, unless I/we

specifically request you for a payout of available free funds or

securities in the account. You may settle the accounts at Monthly Quarterly [Tick ()]whichever is applicable, else the option will

be considered as Quarterly) or at such other intervals as SEBI /

Stock exchanges may specify fron time to time. I / We futher

authorize you to retain securities and / or fund as may be permitted

by Stock Exchanges / SEBI from time to time or towards other

unbilled services and / or charges applicable on my account, while setting the accounts. I / We futher authorize you to also retain fund /

Securities for an amount of upto Rs. 10,000/- (ten Thousand Only) or ____________ any other sum as may be permitted by SEBI /

Stock Exchange from time to time, & In case client is active only in

Commodity Segment such accounts with credit balances of Rs.

50000/- or lesser may be automatically retained and transfer of funds

to the bank account may not be made as per SEBI circular

MIRSD/SE/Cir19/2009 & Exchange Circular Nos.

MCX/INSP/325/2016. while settling my / our account. I / we

understand and agree that on interest will not be payable on the

amount of fund retained by you as above. I / We agree that

Lakshmishree Investment & Securities Pvt. Ltd. shall not be liable

for any claim for loss or loss of profit or for any consequential,

incidental, special or exemplary damages, or otherwise, caused by

retention of such securities / funds. The standing instruction /

authorization for maintaining my / our account as running account shall remain valid until revoked in writing, addressed to you.

Client Signature : ( 16)___________________

VOLUNTARY

http://backoffice.lakshmishree.com/shrdbms/userlogin.ss

DECLARATION FOR MOBILE NUMBER AND EMAIL ID

(Mandatory if E-mail ID or Mobile No. is already registered with us)

Date:- _____________________

To,

M/s Lakshmishree Investment & Securities Pvt. Ltd 401, Marathon Icon, Marathon nextgen Campus, Ganpatrao Kadam Marg,

Opp. Peninsula Corporate Park, Lower Parel, Mumbai – 400013

Subject : Common Mobile number / Email ID for Trading account and Demat accounts.

Dear sir,

I , Mr/Mrs/M/s ___________________________________________________ would like to confirm that the mobile number

__________________ and Email ID ____________________________________________________ is registered in my name. I am your registered client having trading code as ______________ and demat account number as 12059100______________.

Upon understanding from you that my/our mobile number/email id is registered with some of the clients who have trading and

/ or demat accounts with you. I have to state that this in my full knowledge and I have consented to the below clients who are my relative/s to state my Mobile Number/Email ID is their KYCs to which I have no objection. All the transactions in their

accounts are not only done as per their respective instructions but they are well conveyed by us of all the SMS/Email belonging

to them which are sent by you to us on our above mobile number/email id.

All these below clients also do not have any objection to the same, in consent they have also signed:

Sr.

No.

Client Name Trading

Code

Demat A/c Relation Signature

1.

2.

3.

4.

5.

However, in case of any further regulatory requirements, I/we undertake to abide upon hearing form you.

Thanking you.

Name : __________________________

Address : __________________________ __________________________


DECLARATION ON OPEN INTEREST POSITION To, M/s Lakshmishree Investment & Securities Pvt. Ltd.

401, Marathon Icon, Marathon nextgen Campus, Ganpatrao Kadam Marg, Opp. Peninsula Corporate Park, Lower Parel,

Mumbai – 400013 Subject : My/Our request for trading in commodity forward contracts/commodity derivatives on NCDEX/MCX as your client

Dear Sir, I/We, the undersigned, have taken cognizance of NCDEX circular no. NCDEX/TRADING 114/2006/247 dated September 28, 2006 and MCX circular no. MCX/338/2006 dated August 21, 2006 and on the guidelines provided by the respective exchanges for calculation of net open positions permitted in any commodity and I/we hereby undertake to comply with the same. I/We hereby declare and undertake that we will not exceed the position limits prescribed from time to time by respective exchanges or Securities and Exchange Board of India and such position limits will be calculated in accordance with the contents of above stated circulars of NCDEX and MCX as modified from time to time. I/We undertake to inform you and keep you informed if I/any of our partners/directors/karta/trustee or any of the partnership firms/companies/HUFs/ Trusts in which I or any of above such person is a partner/director/karta/ trustee, takes or holds any position in any commodity forward contract/commodity derivative on respective exchanges through you or through any other member(s) of respective exchanges, to enable you to restrict our position limit as prescribed by the above referred circulars of respective exchanges as modified from time to time. I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/us as your clients on respective exchanges only on the basis of our above assurances and undertaking. Yours faithfully,

Signature ( 18)_____________________________ Client Code: ________________________

Voluntary

Note : the close relatives ONLY to be

included are – Spouse, Dependent

Children and Dependent Parents.

VOLUNTARY

UNDERTAKING FOR SECURITIES COLLATERAL

I/We do hereby solemnly affirm and declare as under:

1. That during the course of my / our trading investing through M/s. Lakshmishree Investment & Securities Pvt. Ltd.

(LISPL) on the National Stock Exchange of India ltd ( NSE) / Bombay stock Exchange (BSE), securities shall be

provided by me /us and be accepted at its terms as collateral for maintenance of margins / providing trading limits on any or the exchange segment.

2. The securities transferred by me / us to LISPL. shall be from beneficial account held in my name /joint name and any

transfer of securities from any other beneficial owner account (referred as third party henceforth) shall not be acceptable.

3. That I/We undertake to provide/ facilitate necessary written authorization from the third party for effecting account with LISPL.

4. That I / We hereby authorize LISPL to utilize any such securities retained in my account with LISPL in any exchange with you in any in any exchange/segment toward collateral.

5. That I / We hereby authorize LISPL to deposit/pledge these securities with a clearing house/clearing

member/custodian/bank or other such entity that shall be accepting these securities to provide or adjust for case limit / margin.

6. That these securities shall be valued at current market prices and credit (referred as collateral amount) shall be assigned only after applying the due hair-cut percentage which shall vary from security.

7. That I / We undertake to replenish any shortfall in the value of securities in the form of additional securities and/or cash, as is acceptable to LISPL by the start of the next trading session from the time of LISPL intimating me / us on

such shortfall either verbally or / our in writing.

8. That I / We hereby authorize LISPL to dispose/liquidate my securities to meet any shortfall in margin and /or adjust any outstanding dues in my / our account with LISPL.

9. That I / We have given the above authority to LISPL with free consent and without any pressure, threat or coercion from any corner whatsoever.

10. That I / We shall intimate LISPL at least 5 working days in advance for any release of securities from its custody

/from such entity with which those securities may have been deposited / pledged. I/We accept that LISPL shall not be releasing the securities pending any outstanding positions and dues in my / our account with LISPL.

11. That I / We shall intimate LISPL at least 2 days in advance, but under no circumstance later than “ T ”day ( ‘T ‘ refers to a sale transaction date) to adjust my / our securities with you against my / our sale obligation in the same

securities in any exchange – segment. I / We here by undertake to fulfill any shortfall in the collateral amounts

arising out of such adjusting of securities before the scheduled securities pay –in- date at the exchange, failing which LISPL will abide by the auction rules of the exchanges.

12. That in future I / We shall not make any claim from LISPL in any manner whatsoever for any losses and costs arising

of shortage in securities pay-in mentioned in point 10 & 11 and delay in releasing my / our securities due to reasons

associated with depository participant/clearing house/custodian clearing member/ bank of any such entity as referred in point 5 above

13. That this is my / our true irrevocable statement and shall communicate to apply until my / our trading rights with

LISPL is terminated and /or until all my obligations and dues are completely fulfilled and settled to the satisfaction of

LISPL.

( 19)________________________ Name & Signature of the Client

VOLUNTARY

UNDERTAKING FOR COMMODITY

With reference to my/our registration as your Client and the execution of Member and Client Agreement of trading in NCDEX/ MCX/ NSE / BSE, I/We hereby unconditionally and irrevocably undertake and agree that:

LISPL may not place my/our order unless required initial margin has been upfront paid to them. I/We will pay additional/maintenance margin as and when required by LISPL in respect of positions taken by me/us. Any margin paid will be so reckoned only when in acceptable form (as stipulated by Exchange/SEBI from time to time).

Excess Margins deposited towards one exchange may be adjusted, on a running basis, towards margin requirement/ debit balance in same / other Exchange where I/We have the client account.

LISPL may pledge securities received from me/ us towards margins to the Commodity Exchange(s) / NCCL / MCXCCL Clearing House/Corporation or their custodian appointed by them for the purpose of margin to facilitate my/ our transaction in the normal course of business. Further, LISPL shall release the securities to me/ us on my/ our request only if the same is releasable to me/ us.

To accept my/our order placement / modification / cancellation verbally and confirm about the same verbally. Hence, LISPL is advised not to send me/us any order confirmation / cancellation / modification / trade confirmation slip, etc.

To deliver contract notes/ statement of accounts/ cheques to my /our person /office which will be sufficiently deemed to have been personally delivered to me / us. These may also be sent to me /us ECN By Email at my/ our own risk.

LISPL can/may pass on me/us any penalty imposed/loss suffered together with incidental expenses due to my/ our violating any of the requirements/stipulations of NCDEX/MCX/NSE/BSE or any other regulatory authority including but not limited to my/our disturbing fair price determination in the market or resorting to unfair trade practices.

I/We will be extending all co-operation to LISPL in their endeavour towards Anti-Money Laundering. LISPL may initiate any enquiry against me/us and/or my/our transactions any time without any legal implication whatsoever against them. I/We understand that information about me/us and my/our transactions may be reported by LISPL to FlU/concerned authorities without any intimation to us and have no objection to the same.

LISPL and its directors, officers, employees, and agents shall not be responsible or liable for any loss suffered or which may be suffered by me/ us, arising from any delay or failure in the transmission, receipt, execution or confirmation of orders due to any breakdown, interruption or failure of transmission of the Internet, computer network, software, hardware, other computer devices, Internet system and any problem arising from my/our side.

LISPL and/or its agents will not be liable for losses caused directly or indirectly by government restriction, Exchange or market rulings, suspension of trading, computer, communication, telephone or system failure, war, earthquakes, flood, accident, power failure, equipment or software malfunction, strikes or any other conditions beyond its control.

I/we undertake to reconcile your Statement of account on receipt with my/our records and will not hold you responsible for differences, if they are not informed to you within reasonable time.

LISPL may restrict my/our trading as per their risk management and/or due diligence policies or any other reason inspite of my/our having paid full margin. I/We will comply to their requirements then which may include submission of updated documents, undertaking new agreements, etc.

I/We shall not hold LISPL or any of its employee/official/agent/affiliate responsible or liable for any information, recommendation or advice with respect to any investment/trading decision or transaction, and if so acted upon by me/us, the same shall be at my/our sole risk and cost.

Any expenditure incidental to my/our taking or giving of deliveries (of commodities) shall be borne by me /us.

I / We can revoke the above mentioned authority at any time.

( 20)________________________ Name & Signature of the Client

VOLUNTARY

LETTER OF AUTHORITY & DECLARATION

I/We are dealing in securities with M/s Lakshmishree Investment & Securities Pvt. Ltd. (LISPL) at NSE/BSE/MCX/NCDEX in

Cash, Derivative & Currency and Commoditise Segment in order to facilitate ease of operations, I/We authorize LISPL as under :

1. I/We authorize LISPL to set off outstanding in any of our accounts against credits available or arising in any other accounts

maintained with LISPL irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of

the Exchange or in any other exchanges and/or against the value of cash margin or collateral shares provided to LISPL by us.

2. I/We hereby authorize LISPL not to provide me / us Order Confirmation / Modification / Cancellation Slips and Trade

Confirmation Slips to avoid unnecessary paper work. I/We shall get the required details from contract notes issued by LISPL.

If it is required additionally, I/We confirm that levy of charges as per broker policy on the physical issuance of the contract

note and other documents.

3. I/We hereby authorize LISPL to keep all the securities which we give you in margin including the payout of securities received

by us for meeting margin / other obligation in stock exchange in whatever manner which may include pledging of shares in

favour of bank and / or taking loan against the same of meeting margin/ pay - in obligation on our behalf or for giving the same

as margin to the Stock Exchange or otherwise.

4. I/We request you to retain credit balance in any of my/our account and to use the idle funds towards our margin/future obligations at any or both the Exchanges unless I/We instruct you otherwise. I/We also authorize LISPL to debit the necessary

demat charged from time to time, for keeping the shares in your client demat beneficiary account on my/our behalf.

5. I/ We request LISPL to retain Securities in your Demat account for my/ our margin/future obligations at all Exchanges,

unless I/We instruct LISPL to transfer the same to my/our account. I/We request LISPL to consider my/our telephonic

instructions for order placing/order modification/order cancellation as a written instruction and give me/us all the confirmation

on telephone unless instructed otherwise in writing. I/We am/are getting required details from contracts issued by LISPL.

6. I/We shall not hold LISPL or any of its employee/official/agent/affiliate responsible or liable for any information,

recommendation or advice with respect to any investment/trading decision or transaction, and if so acted upon by me/us, the

same shall be at my/our sole risk and cost.

7. LISPL may restrict my/our trading as per their risk management and/or due diligence policies or any other reason inspite of

my/our having paid full margin. I/We will comply to their requirements then which may include submission of updated

documents, undertaking, financial etc.

8. LISPL and its directors, officers, employees, and agents shall not be responsible or liable for any losses suffered or which may

be suffered by me/ us, arising from any delay or failure in the transmission, receipt, execution or confirmation of orders due to any breakdown, interruption or failure of transmission of the Internet, computer network, software, hardware, other computer

devices, Internet system and any problem arising from my/our side.

9. LISPL and/or its agents will not be liable for losses caused directly or indirectly by government restriction, Exchange or

market rulings, suspension of trading, computer, communication, telephone or system failure, war, earthquakes, flood, accident,

power failure, equipment or software malfunction, strikes or any other conditions beyond its control.

10. I/We do hereby confirm that I/we shall not deposit any third party cheque towards meeting my/our obligation for the trades

executed by me/us and hence shall not hold LISPL against any such credit.

11. It shall be my/our responsibility to check the data provided through SMS Alert Service or Email services with the actual

Contract Notes/Financial Ledgers given by LISPL. The messages flashed shall be merely reminders for my/our convenience

that I/we shall take all my/our actions based on the normal confirmation received by me/us. I/we agree to inform LISPL

of any changes in the mobile number on which the updates are required.

12. I/We undertake that I/we shall not hold LISPL, its Directors or Officers liable towards my/our acceptance of any lucrative

offer of fixed return on investment without the knowledge of the Company and the onus to bring the same to the notice of

the Company lies with me/us.

13. I/We undertake that if any claim or dispute arises between us in respect of any transactions, contracts, etc. entered into on

my/our account, I/We shall be bound to refer it to Arbitration as per the Rules, Bye-Laws and Regulations and conventions

of the SEBI and/or exchange(s) which are applicable to me/us.

VOLUNTARY

14. I/We agree to abide by client level position limit and authorize LISPL not to increase my/our open position beyond the stipulated limit, and if inadvertently exceeded, to actually reduce and bring it within acceptable limits. I/We further authorize

LISPL to debit my/our ledger for any penalty imposed on you for my/our violation towards position limit.

15. I/ We will not plant any false or misleading news which may induce sale or purchase of Shares/Securities.

16. I / We will not sell, deal or pledge any of the stolen or counterfeit security whether in physical or dematerialized form. I/We will

not act in such a manner amounting to manipulation of the price of a security.

17. I/ We will not advance or agree to advance any money to any person thereby inducing any other person to offer to buy any

security.

18. I / We will not introduce any kind of money acquired illegally in the financial system. I / We will submit the necessary

documents / information required under the PMLA and/ or any other statute.

19. I / We will not carry out any unfair trade practices such as Synchronized deals, Structured deals, Circular Trading.

20. I/We request that LISPL may send/dispatch me/us contract notes other documents through E-mail on my/our Designated e-mail

address ____________________________________________________.

I / We will completely rely on the log reports of your dispatching software as a conclusive proof of dispatch of e-mail to me/us and

will not dispute the same.

21. I/We will inform LISPL the change my/ our my e-mail, if any, in future either by regd. post or through a digitally Signed e-mail.

22. Trading of all Exchanges is in Electronic Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of

technologies and computer systems to place and route orders. I / We understand that there exists a possibility of communication failure or system problems or slow or delayed response from system or trading halt, of any such other problem/glitch whereby not

being able to establish access to the trading system/ network, which may be beyond your control and may result in delay in

processing or note processing buy or sell Orders either in part or in full. I/ We agree that I/ We shall be fully liable and responsible

for any such problems / fault.

23. I/We confirm that I/we will never sublet the trading terminal on any term of connectivity, from my/our place to any other place

without your prior approval.

24. I/We agree for inter-settlement transfer of securities towards settlements.

25. I/We agree for & authorize LISPL to with hold funds pay-out towards all the applicable margins and debits.

26. All fine / penalties and charges levied upon LISPL due to my/our acts/deeds or transactions may be recovered by LISPL from my

account.

27. I/We have a Trading as well as depository relationship with... .......................................................................... Please debit the

charges relevant with depository services from my/our trading account on monthly basis. I/We also agree to maintain the adequate

balance in my / our trading account / pay adequate advance fee for the said reasons.

28. I / We can revoke the above mentioned authority at any time.

Yours faithfully,

Client Code……………………………. Client Signature ( 21)……………………………………

Consent to avail Margin Trading Facility

To,

LAKSHMISHREE INVESTMENT AND SECURITIES PVT LTD (LISPL), 401 MARATHAN ICON, G. K. MARG LOWER PAREL, MUMBAI-

400013

Dear Sir, I/We am/are registered client with you and having Trading code ………………………….. & DEMAT A/c No…………………………………………..willing to avail margin Trading Facility (MTF) offered by you. I/We hereby confirm that I /we had read and understood & agree with the right and obligation as prescribed by NSE & BSE. Also I/We had received hard copy of Right & Obligation as prescribed by NSE & BSE separately from you. The same is also available on the company website www.lakshmishree.com from where we can see and download the same in future if any change done.

Signature 22)……………………………….…… 22)……………………………………… 22)…………………………………….. Further, I/We undertake, authorize, confirm and agree the term & Condition prescribed by LISPL for Margin Trading Facility as given below…………….

1. The initial margin payable by the client to LISPL shall be in the form of cash, cash equivalent or Group 1 equity shares, with appropriate hair cut as specified in SEBI master Circular No. SEBI/HO /MRD/DP/CIR/P/2016/135 dated December 16, 2016. Such margin can be changed from time to time or may be decided by the management of LISPL. Such margin prescribed by LISPL may be higher than the quantum prescribed by regulatory provisions. The client shall pay applicable initial margin or such other margins as are considered necessary by the stock broker or as may be directed by SEBI / exchange(s) from time to time as applicable to margin trading segment in which the client trades.

2. As per SEBI circular No. CIR/MRD/DP/54/2017 dated June 13, 2017, Equity Shares that are classified as “Group I Security” by SEBI only shall be eligible for MTF. LISPL, at its discretion, may not provide funding under MTF to certain equity shares though classified to be “Group I Security” by SEBI. Equity shares shortlisted by SEBI/EXCHANGE for funding (Approved List) shall be as displayed on LISPL website

WWW.LAKSHMISHREE.COM from time to time. In order to avail of margin facility, the minimum initial margin required to be provided by the Clients, as prescribed by SEBI/Stock Exchanges, is as under: VaR + 3 times of applicable ELM in case of F & O Stocks (i.e., stocks available for trading in the F&O Segment. VaR + 5 times of applicable ELM in case of stocks other than F & O Stocks. VaR and ELM shall mean VaR and ELM as applicable to respective stocks in the cash segment.

3. Leverage & exposure: LISPL shall provide exposure to client based on exposure limit as prescribed by SEBI/exchange(s) from time to time. However based on market conditions and the risk perception about the market, LISPL may set the exposure limit on the basis of available collaterals which may comprise of ledger balance and stocks (after suitable margin haircut). In case overall position in particular scrip or across all scrip has reached the particular limit, then client may not be allowed to take further position. Collateral provided by client towards margin shall be free from any lien and be totally unencumbered.

4. Initial margin, increased margin, margin shortage, margin calls, maximum allowable exposure, maximum stock specific exposure, trade confirmation, square off intimation and such other information in relation to MTF shall be communicated electronically through one or many or all of the following modes, viz email, SMS & telephone calls.

5. The margin requirement of client may be changed due to but not limited to, the following Factors -, market volatility, risk management policy of

LISPL. LISPL will communicate / advice the parameters for the calculation of the margin / collateral requirement as rate(s)/Percentage(s) of the

haircut and/or as VAR / ELM requirement through any one or more means or methods such as by messaging on the computer screen of the client’s

computer by informing the client through employees / agents of LISPL, by publishing /displaying it on the website of LISPL/ making it available as a

download from the website of LISPL; or any other suitable or applicable mode or manner. The client shall monitor his /her / i ts position (including

valuation of collaterals) on his / her / its own and provide the require / deficit margin / collateral as required from time to time whether or not any

margin call or such other separate communication to that effect is sent by LISPL To the client and / or whether or not such communication is received

by the client to avoid any liquidation.

6. The client agrees that LISPL shall not be responsible for variation, reduction or imposition or the client’s inability to create any position through

LISPL‘s trading system on account of any such variation, reduction or imposition of limits. The client further agrees that LISPL may at anytime, at its

sole discretion and without prior notice prohibit or restrict the client’s ability to create position in securities through LISPL or it may liquidate the

position/sell shares or subject any position by the client to a review before its creation and may refuse to create position due to the reason of lack of

margin/collateral market perception and any other such reasons which LISPL may deem appropriate in the circumstances. The client agrees that the

financial charges and losses, if any on account of such refusal, liquidation or due to delay caused by such review under MTF or otherwise, shall be

borne exclusively by the client alone.

7. In addition to powers granted by way of power of attorney of executed at the time of account opening, the client hereby authorize LISPL to transfer or

pledge the stock held in the demat account with LISPL. LISPL has a right to lien and / or pledge the securities / collaterals and its corporate benefits, if

any, lying in demat account of client, or the securities bought by the client under the margin trading facility and shall continue to hold / pledge till the

amount due in respect of the said transaction including the dues to LISPL is paid in full by the client.

8. Margin requirement on shares purchased under MTF shall be computed by grossing applicable margin i.e., minimum initial margin plus increased margin, if any, on each stock and shortage computed accordingly by deducting available margin from gross margin. Collateral shares and shares purchased under MTF (Funded Shares) shall be marked to market daily for the purpose of computing the margin/shortage of margin.

9. Applicable minimum initial margin and increased margin, if any, shall be kept supplied at all times by the clients in respect of the stocks purchased under the MTF. Client shall pay any shortage in the required margin immediately on receiving demand (margin call) and in any

http://www.lakshmishree.com/

case not later than 09.30 A.M on the trade day following the day of making the margin call (prescribed time) failing which LISPL shall be at liberty to

liquidate the funded shares and/or collateral shares to recover the dues outstanding in the account of the clients. In case of extreme volatility in the market, LISPL may demand payment of margin forthwith and prescribed time for making margin payment shall be construed accordingly. Decision of LISPL in relation to market volatility shall be final and binding without LISPL having to provide any reason for the decision to the Client.

10. If required margin is not provided within the prescribed time, client shall be treated as Client in margin default. LISPL shall not be obliged to notify the Client in margin default of the liquidation of shares, ahead of liquidation. LISPL shall be obliged to liquidate shares proportionate to the shortage in

margin. 11. Client in margin default shall continue to be in margin default, until the required margin is furnished in full to eliminate the shortage. Partial payment

of margin or a change in the required margin shall not extend the time stipulated for making margin payment which will run from the time of making margin call to the Client.

12. In case margin is reduced by an amount equal to applicable ELM component of the total margin due to market volatility within a trading day (i.e. available margin becomes equal to or less than applicable VAR margin), LISPL reserves the right to liquidate the collaterals and/or funded shares forthwith without prior notice to the Client.

13. MTF Clients purchasing shares not specified in LISPL Approved List of Group 1 securities shall be required to 100% margin upfront for such

purchases. 14. If any shares are delisted from Group 1 Approved List, Client shall be required to make payment of full purchase consideration against such shares on

receiving margin call within the prescribed time, failing which LISPL shall be at liberty sell such shares without further notice to the Client. 15. If a Client is debarred by orders of lawful authority from trading in the securities market, LISPL shall liquidate collateral and funded shares of the

Client to recover its dues to the full extent forthwith. 16. In case of death of a Client, LISPL shall be entitled to liquidate the collateral and funded shares under MTF and recover the unpaid outstanding due. 17. Any loss arising from liquidation of the shares shall be charged to the account of Client. Client shall forthwith pay LISPL any unpaid dues outstanding

in the account after liquidation of the shares. 18. LISPL reserves the right to withdraw MTF with respect to any Client without assigning any reason after giving a reasonable notice to the Client in

which case dues if any outstanding in the account of the Client shall become payable immediately. Failure to make payment of the outstanding dues shall result in liquidation of collateral and/or funded shares held in Client’s account.

19. Client may terminate the MTF account after paying all dues in the MTF account. 20. The stocks deposited as margin collateral and funded stock shall be identifiable separately and no compiling shall be permitted for the purpose of

computing funding amount. 21. LISPL may at its option allow Client to buy further shares under MTF on the basis of increase in the value of collateral shares, subject to applicable

hair cut. Further purchase shall not be permitted on the basis of increase in the market value of funded shares. 22. IPF shall not be available for transactions done on the Stock Exchange, through MTF, in case of any losses suffered in connection with the MTF

availed by the client. 23. LISPL shall restrict the maximum gross exposure as well as individual stock-wise exposure of a client under the MTF at any point in time according to

its internal policies and market views without assigning any reasons to the client. Furnishing applicable margin shall not by itself entitle the Client to seek exposure beyond the limit restricted by LISPL.

24. Admitting Clients for MTF shall be at the discretion of the Stock Broker/Trading Member. Clients request for admission to MTF may be disallowed without assigning any reason.

25. By agreeing to avail of MTF, the Client shall be deemed to have authorized LISPL to retain and/or pledge the shares purchased under MTF (funded shares) and collateral shares provided as margin till the amount due in respect of the purchase and all other dues are paid in full by the Client.

26. LISPL shall maintain separate ledgers for funds and securities of the client availing of MTF. 27. Client agree to pay interest at the rate of 24 % p.a (plus taxes, if any applicable) on debit arising out the exposure availed by the client (i.e the amount

finance by LISPL),compounded monthly any charges as mutually agreed from time to time. 28. Until full payment of the outstanding dues in the MTF A/c is made by the client, collateral shares and funded shares, as far as may be required, shall be

retained in the DEMAT A/c of LISPL, separately identified as collateral shares and funded shares. 29. Daily margin statement sent to the MTF Clients shall identify margin/collateral for MTF transaction separately. 30. Margin Trading Account where there is no transaction for 90 days and no dues outstanding from the client shall be settled immediately. 31. In case Client does not opt for MTF, all dues on account of purchase of shares, accrued /accruing, shall be payable immediately/on or after T+7 failing

which LISPL shall sell the shares to liquidate /reduce the dues and remaining unpaid dues, if any, shall become payable forthwith.

32. Any disputes arising between the client and LISPL in connection with the margin trading facility or anything incidental or ancillary therewith, the

client shall raise/report the same to LISPL not later than within 24 hours of receipt of contract note for the disputed transaction, shall have the same

treatment as normal trades and will be covered under the investor grievance redressal, mechanism, arbitration mechanism of the stock exchange.

Signature 23)……………………………….…… 23)……………………………………… 23)…………………………………….

OPTION FORM FOR ISSUE OF DIS BOOKLET

DATE

DP ID 1 2 0 5 9 1 0 0 CLIENT ID

First Holder Name

Second Holder Name

Third Holder Name

TO, LAKSHMISHREE INVESTMENT & SECURITIES PVT. LTD. 401, Marathon Icon, Marathon nextgen Campus, Ganpatrao Kadam Marg, Opp. Peninsula Corporate Park, Lower Parel,

Mumbai – 400013 Dear Sir / Madam, I / We hereby state that: [Select one of the options given below]

OPTION 1:

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though I / we have issued a Power of Attorney (POA) in favour of LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member.

Yours faithfully First/Sole Holder Second Joint Holder Third Joint Holder

NAME

SIGNATURES

( 24)_________________________ ( 24)_________________________ ( 24)________________________

OR OPTION 2:

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA agreement in favour of / with LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD. for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later date.

Yours faithfully First/Sole Holder Second Joint Holder Third Joint Holder

NAME

SIGNATURES

( 24)_________________________ ( 24)_________________________ ( 24)________________________

BSE StAR MF

(Letter to be provided by the Investor to the MFI)

To Date: ________________

Lakshmishree Investment & Securities Pvt. Ltd.

Sir,

Sub: BSE StAR MF

I/We __________________________________ am/are registered as your client with Client Code No. _________ and have

executed the Trading Member and Client Agreement for the purpose of trading in the Capital Market segment of Bombay Stock Exchange Ltd. (Exchange).

I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual

Funds Schemes permitted to be dealt with on the BSE StAR MF. For the purpose of availing this facility, I/we state that Know Your Client details as submitted by me/us for the stock

broking may be considered for the purpose of BSE StAR MF and I/we further confirm that the details contained in same

remain unchanged as on date. I/We are willing to abide by the terms and conditions as mentioned in the Circular dated December 2, 2009 and as may be

specified by the Exchange from time to time in this regard.

I/We shall ensure also compliance with the requirements as may be specified 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 of the Scheme Information Document and Key Information

Memorandum, addenda issued regarding each Mutual Fund Schemes 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 BSE StAR MF.

Thanking you, Client Signature : ( 25)___________________ Yours faithfully,

STANDING INSTRUCTION TO MAINTAIN RUNNING ACCOUNT with respect to MF transactions (VOLUNTARY) I / We request you to maintain my / our accounts for funds and

securities on running accounts basis instead of ‘bill to bill’

settlement basis across exchanges, unless I/we specifically request

you for a payout of available free funds or securities in the account

I/We may settle the accounts at Monthly Quarterly [Tick ()] whichever is applicable, else the option will be considered as

Quarterly) or at such other intervals as SEBI / Stock exchanges may

specify from time to time.. I / We further authorize you to retain

securities and / or fund as may be permitted by Stock Exchanges /

SEBI from time to time or towards other unbilled services and / or

charges applicable on my account, while setting the accounts.

I /We confirm you that I will bring to your notice any dispute

arising from the statement of accounts or settlement so made to LISPL in writing within 7 working days from the date of receipt of

funds/ units or statement, as the case may

LISPL shall transfer the credit funds/ units lying with LISPL on

client request within one working day of the request if the same are

lying with him and within three working days from the request if the

same are lying with the Clearing Member / Clearing Corporation. I / We agree that Lakshmishree Investment & Securities Pvt. Ltd.

shall not be liable for any claim for loss or loss of profit or for any

consequential, incidental, special or exemplary damages, or

otherwise, caused by retention of such securities / funds.

This Standing Instruction shall remain valid till

____/_____/__________.

The standing instruction / authorization for maintaining my / our

account as running account shall remain valid until revoked in

writing, addressed to you.


VOLUNTARY

Unit Holder Information

Name of the First Applicant :

Date of Birth :

Father Name : Mother Name :

Name of Guardian : PAN :

Contact Address :

City : Pincode : State : Country :

Tel.(Off) : Tel.(Res) : Email :

Fax (Off) : Fax (Res) : Mobile :

Income Tax Slab/Networth : Occupation Details

Place of Birth : Country of Tax Residence :

Tax Id No. :

Politically exposed person / Related to Politically exposed person etc.? Yes No

Mode of Holding : Occupation :

Name of Second Applicant :

Date of Birth :



Tax Id No. :


Name of Third Applicant :

Date of Birth :



Tax Id No. :


Overseas Address :

(In case of NRI investor)

City : Pincode : Country :

Bank Mandate Details

Name of Bank : Branch :

A/C No. : A/c Type : IFSC Code:

Bank Address :

City : Pincode : State : Country :

Nomination Details

Nominee Name : Relationship :

Guardian Name (If Nominee is Minor) :

Nominee Address :

City : Pincode : State :

Declaration and Signature

Date : Place :

1st applicant Signature : 2nd applicant Signature : 3rd applicant Signature :

Broker/Agent Code ARN: EUIN:SUB-BROKER:

I/We confirm that details provided by me/us are true and correct. The ARN holder has disclosed to me/us all the

commission (In the form of trail commission or any other mode), payable to him for the different competing

Schemes of various Mutual Fund From amongst which the scheme is being recommended to me/us.

PAN Number : KYC:

PAN Number : KYC:

PAN Number : KYC:

Other Details of Sole/ 1st Applicant