Trading & Depository Application
Trading & Depository Application
Trading & Depository Application
&
DEPOSITORY
APPLICATION
DP / TRADING ACCOUNT OPENING FORM - FOR INDIVIDUALS
TABLE OF CONTENTS
MANDATORY DOCUMENTS
DOCUMENT SIGNIFICANCE PAGE NUMBER
Account Opening Form a) KYC Form – Document captures the basic information about the
4-10
constituent and an Instruction / Check list
b) Document captures the additional information about the constituent
relevant to Demat / Trading Account and an Instruction / check list
DP Rate Card / Tariff Sheet for Details of the Transaction Charges / Brokerage and other charges 11 -13
Trading Account levied on the client for maintaining DP / Trading account
OPTIONAL DOCUMENTS
Acknowledgment letter Acknowledgment indicating receipt of documents by the client 14
Authorization for running Letter of authority / request to Navia Markets Ltd
account/ request letter 15
Internet based Trading Internet & Wireless Technology based Trading Facility provided to Client 16
MCX ECN Decleration Electronic contract note decleration for MCX 17
Power of Attorney(POA) Power of Attorney(POA) 18 - 20
QUICK CHECK LIST
Print 17 pages (4th Page to 20th page) and affix 17 signature. Select the depository you wish to open your demat account.
DP Account Opened by more than one holder, separate KYC forms for each individual should be attached. (pages 4)
Paste Passport size Photograph - 2 nos. on Page 4 & page 5 and sign across
For Derivative Segment Any one of the document as per SECTION ‘ F ’ is mandatory
SECTION B PROOF OF IDENTITY (POI) – LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF IDENTITY (Self Attested)
1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
2. PAN card with photograph.
3. Identity card/document with applicant’s photo issued by any of the following: Central/State Government and its Departments, Statutory
/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to
Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.
SECTION C PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF ADDRESS (Self Attested)
Note: Documents having an expiry date should be valid on the date of submission
1. Passport/ Voters Identity Card/Aadhaar card/Ration Card/Registered Lease or Sale Agreement of Residence/ Driving License/ Flat
Maintenance bill/ Insurance Copy.
2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill – Not more than 3 months old.
3. Bank Account Statement/Passbook – Not more than 3 months old.
4. Self declaration by High Court and Supreme Court Judges, giving the new address in respect of their own accounts.
5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co- Operative Bank /
Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents
issued by any Govt. or Statutory Authority.
6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments,
Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated
to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
7. For FII/Sub account, Power of Attorney given by FII / Sub-Account to the Custodians (which are duly notarized and /or apostiled or
consularised) that gives the registered address should be taken.
8. The proof of address in the name of the spouse may be accepted.
22
SECTION D EXEMPTIONS / CLARIFICATIONS TO PAN
(Note: Sufficient documentary evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts
e.g. Official liquidator, Court receiver etc.
2. Investors residing in the State of Sikkim (subject to the continued exemption granted by Government).
3. UN Entities/Multiateral agencies exempted from paying taxes / filing tax returns in India.
4. SIP of Mutual Funds upto ` 50,000/- p.a.
5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial
Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial institution as defined
under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly
certified copies of such verified PAN details to the intermediary.
3
UCC :
Select the Depository you wish to open your demat account.
CDSL ★ NSDL
Annexure J
PART I - KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Individuals)
Navia Markets Ltd, NSDL DP ID: IN300378. CDSL : 12086500
Ganga Griha, 4th & 5th floor, No. 9,Nungambakkam High Road, Chennai - 600 034.
Please fill this form in ENGLISH and in BLOCK LETTERS
A. IDENTITY DETAILS
PAN card
6 Specify the proof of identity submitted Any other (Please specify;___________________________________ )
B. ADDRESS DETAILS
Correspondence Address Residence Address
1 Residence / Correspondence
Address
4
Annexure – J
PART II – ACCOUNT OPENING FORM (FOR INDIVIDUALS)
Navia Markets Ltd, DP ID-NSDL : IN300378, CDSL :12086500
Date :
Ganga Griha,4th&5th Floor,No.9,Nungambakkam High Road,
Chennai–600034
Signature
Sign
s across
Details of Account holder(s): 3/17 photograph
A)
Account
holder(s) Sole/ First Holder Second Holder Third Holder
Name
PAN
Occupation Private Sector Agriculturist Private Sector Agriculturist Private Sector Agriculturist
(please tick Public Sector Retired Public Sector Retired Public Sector Retired
any one and Government Government Government
give brief Service Housewife Service Housewife Service Housewife
details) Business Student Business Student Business Student
a) Name NA b) PAN
C) Type of account
Ordinary Resident NRI-Repatriable NRI-Non Repatriable
Qualified Foreign Investor Foreign National
Margin Others (Please specify) Promoter
BSDA Yes NO RGESS Yes No (IF yes download declaration form from www.Tradeplusonline.com and submit)
PIS ACCOUNT NO :
5
G) ADDITIONAL BANK DETAILS FOR TRADING ACCOUNT
SECONDARY BANK NAME - FOR TRADING ACCOUNT
BRANCH ADDRESS
BANK ACCOUNT NO.
ACCOUNT TYPE SAVINGS CURRENT OTHERS - Incase of NRI/NRE/NRO
MICR NUMBER: IFSC CODE
H) DEPOSITORY ACCOUNT(S) DETAILS
DEPOSITORY PARTICIPANT NAME NAVIA MARKETS LTD
DEPOSITORY NAME (NSDL /CDSL ) :Tick DP CDSL DP ID :12086500 NSDL DP ID : IN300378 ✔
BENEFICIARY NAME: BENEFICIARY ID (BO ID):
I) TRADING PREFERENCES
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
if in future, the client wants to trade on any new segment / new exchange, separate authorization/ letter should be taken
from the client by the stock broker.
EXCHANGES SEGMENTS
CM Segment (Equity ) Sign(4a/17) s
J) PAST ACTIONS
NA
Website: NA NA
Whether dealing with any other Stock broker /AP (in case dealing with multiple stock brokers /AP, Provide details of all)
NA
NA NA NA
6
L) ADDITIONAL DETAILS
Whether you wish to avail facility of the internet trading / Wireless Trading(Please specify) :
In case of non-individuals, name designation, PAN, UID, Signature, Residential Address and Photographs of persons
authorized to deal in securities on behalf of company / firm / others:
N) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
O) Standing Instructions
1 I/We authorise you to receive credits automatically into my/our account. ✔ Yes
No
3 Third Holder
Mode of receiving Physical Form
Statement of Account [Tick
any one] Electronic Form [Read Note 4 and ensure that email ID is provided in KYC Application Form].
Yes
4 Standing Instruction for Auto Pledge Confirmation. No
Physical
5 I/We wish to receive WelcomeKit and other standard documents by ✔ Email
Guardian Name NA
PAN
7
R) Nomination Option
I/We wish to make a nomination. [As per details given below]
✔
I/We wish
I/We to wish
do not canceltothe nomination
make made by me/Nomination
a Nomination. us earlier andRegistration
consequentlyNo all rights and liabilities in respectDate
of beneficiary ownership
in the securities held by me / us in the said account shall vest in me/ us. [Strike off the nomination details below]
Nomination Details
I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all securities held in the Depository by me /
us in the said beneficiary owner account in the event of my / our death.
Nomination can be made upto three Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
nominees in the account.
1 Name of the nominee(s) (Mr./Ms.)
PIN Code
5 Mobile/Telephone No. of nominee(s)
6 Email ID of nominee(s)
7 Nominee Identification details –
[Please tick any one of following and
provide details of same]
PIN Code
11 Mobile/Telephone no. of Guardian
12 Email ID of Guardian
13 Relationship of Guardian with
nominee
14 Guardian Identification details –
[Please tick any one of following and
provide details of same]
9
8
S) FATCA ( Foreign Account Tax compliance Act ) Declaration
Place of birth Country of birth
Is your country of Tax Residency other than India YES NO
If yes, please specify the details of all countries where you hold tax residency and its TAX Identification
Number & Type
Country of Tax Residency # Tax Payer Identification Number / Identification Type
S.No. TIN or other please specify
Functional Equivalent
1
2
3
# To include all countries other than India, where investor is Citizen/Resident/Green Card Holder /Tax Resident
in those respective countries especially of USA.
1. I, hereby declare that the data 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 mentioned information is found to be false or untrue or
misleading or misrepresentating, I am aware that i maybe held liable for it.
2. I confirm having read, been explained and understood the contents of the documents on Policy & Procedure of the stock broker,
the tariff sheet and all voluntary / non mandatory documents.
3. I further, confirm having read and understood the contents of the Rights & Obligation document, Risk disclousre document, Do's
& Dont's and Terms & conditions.. I do hereby agree to be bound by such provisions as outlined in these documents. I have also
been informed that these standard set of documents have been displayed for information on the stock brokers designated
website, if any
4. The rules and regulations of the Depository and Depository Participants 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
from time to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of
my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above
information is found to be false or untrue or misleading or misrepresenting, I am/ we are aware that I/we may be held liable for
it. In case non- resident account, I/we also declare that I/we have complied and will continue to comply with FEMA
regulations. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and
Depository Participant”.
Second Holder(Mr./Ms.)
(5/17) s
9
the securities in favour of the Nominee.
VIII. Nomination can be made upto three nominees in a demat account. in case of multiple nominees, the client must specify the percentage of
share of each nominee that shall total upto hundred percent. in the event of the beneficiary owner not indicating any percentage of
allocation/share for each of the nominees, the default option shall be to settle the claims equally amongst all the nominees.
IX. On request of substitution of existing nominees by the beneficial owner, the earlier nomination shall stand rescinded. hence, details of
nominees as mentioned in the form 10 at the time of substitution will be considered. therefore, please mention the complete details of all
nominees.
X Copy of any proof of identity must be accompanied by original for verification or duly attested by any entity authorized for attesting the
document, as provided in annexure d.
XI Savings bank account details shall be considered if the account is maintained with the same participant.
XII. Dp id and client id shall be provided where demat details is required to be provided.
NA
Legal Name _________________________________________________
NA
Trade Name_ _________________________________________________
NA
GSTIN (GST registration number) ________________________________
NA
Date of Registration ____________________________________________
Signature :
10
(DP RATE CARD ANNEXURE A)
Account Opening Charges & AMC (Please tick appropriate AMC Scheme)
LIFE TIME AMC – Individual Resident Clients ` 900/- Life Time AMC – 10 Years Period
with Broking Accounts ` 500/- Life Time AMC – 5 Years Period
LIFE TIME AMC – INDIVIDUAL NON RESIDENT CLIENTS ` 2,500/- Life Time AMC – 10 Years Period
Demat Rejection ` 35/- per rejection (up to 5 certificate) More than 5 Certificates
` 3/- + ` 35/- (Minimum Charges)
Conversion Request (Mutual Fund) Charges
11
Terms & Condition for Life Time AMC:
1) Life Time AMC for resident Indian individual is for a period of 5 years or 10 years depending on the scheme chosen by the client.
2) For the 10 year life time AMC scheme for resident Indian individual, the AMC charge is ൠ 900/- for first one year and balance 9 years
are offered FREE. For the 5 year life time AMC scheme for ` resident Indian individual, the AMC charge is ൠ 500/- for first one year and
balance 4 years are offered FREE. On expiry of the 10 year AMC scheme the client will be automatically renewed on the 5 year AMC
scheme for resident clients.
3) For the 10 year life time AMC scheme for Non resident Indian indivdual, the AMC charge is ൠ 2500/- for first one year and balance 9
years are offered FREE. On expiry of the 10 year AMC scheme the client will be automatically renewed on the 10 year scheme.
4) This AMC is exclusive of Goods and Service Tax and others levies as per Govt. of India.
5) Existing account holder can opt for this scheme. Adjustment of Existing AMC will be done till the current quarter.
Quarterly means Jan-Mar,Apr-June,July-Sept.and Oct-December,Balance amount can be paid and convert in to this Scheme.
1. Any extra statement would be charged @ `15/- per statement of first 10 pages, thereafter it would be charges @
`2/- per page
2. The AMC is charged for one year and will be automatically renewed at the end of the year at the prevailing rates,unless Navia
Markets Ltd receives written communication in the prescribed format.
3. Transaction cum billing statements will be sent on a monthly basis provided there is a transaction.
4. Goods and ServiceTax applicable would be levied.
5. Demand Drafts should be in favour of “Navia Markets Ltd” payable at “Chennai” only. No outstation cheques will be accepted
other than our branches located.
6. Any Advance payments Over and above the actual amount due can also be made. Any such Higher amount paid than the actual
amount payable shall be adjusted against the bills raised from time to time. No interest is applicable for advance payments.
7. Cheque bounce charges will be applied based on charges as determined by bankers plus `. 10/- as handling charges
8. In case of delay in the payment of charges, the demat account can be frozen for all operations till such time Until dues are
cleared.
9. “All market instructions for transfer must be received latest by 4.00 p.m. on the previous working day prior to the pay-in day as
per SEBI Guideline. All off market instructions for transfer must be received atleast 24 hours before the execution date. Late
instructions would be accepted with the Late fee `.50/- per instruction and at the account holder's sole risk and responsibility”.
10. Charges are subject to revision at the company's sole discretion and as per revisions in NSDL/CDSL charges.
11. Any service not quoted above will be charged separately.
12. In case of Annual Maintenance Charges is not received for the accounts having NIL Holding and No transaction during
the year, Annual Physical statement will be sent for the first year. If the account remains Nil Holding and No Transaction
even after one year,Dispatch of Annual Physical statement will be discontinued.
(Sign.7/17) s s s
(First / Holder) (Second/Holder) (Third/Holder)
12
TARIFF SHEET
I would like to subscribe to the Navia Markets Ltd Trading plans and request Navia Markets Ltd to apply any applicable monthly subscription
tariff as per the terms and conditions of Tradeplus Infinity Plan of Navia Markets Ltd. I hereby authorize Navia MarketsLtd to debit my
Subscription Management Portal (SMP) ledger for the subscription amount as per terms and conditions of TRADEPLUS INFINITY PLAN.
EQUITY SEGMENT : NSE & BSE
RI Delivery % subject to minimum of paise per share
Intraday % subject to minimum of paise per share
Delivery % subject to minimum of paise per share
NRI/FN Intraday % subject to minimum of paise per share
EQUITY / CURRENCY / COMMODITY DERIVATIVE SEGMENT
Future segment % subject to minimum of paise per share
RI Options Segment ₹ % subject to minimum of paise per share
Non Resident % subject to minimum of paise per share
Currency Options ₹ per lot
Commodity Future % subject to minimum of paise per share
Currency Future ₹ per lot
NRI / FN Equity F/O
STATUTORY CHARGES
In addition to the above monthly subscription charges, the following statutory charges will also be levied
Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the subscription management
portal. KYC modification charge of Rs. 100 + taxes would be applicable
Auction/Closed Out process as per Policy and Procedures. Penalty charges on Auction/ Closed out 1% on the value.Delayed Payment
Charges 24% p.a. – Monthly basis will be charged.
CLIENT'S NAME
DATE (DD/MM/YY)
13
ACKNOWLEDGEMENT
To,
Navia Markets Ltd
“Ganga Griha” 4th and 5th Floor,
No.9 Nungambakkam High Road,
Chennai – 600 034.
CLIENT'S NAME
Date: ( DD/MM/YYYY )
CLIENT'S SIGNATURE (9/17) s
1.Preference 1:
2.Preference 2:
3.Preference 3:
Note: The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers
have pricing. For more details on fancy numbers and pricing please visit https ://www.tradeplusonline.com/kyc-fancy-numbers.aspx If all
the 3 preference numbers are not available/used then we reserve the right to allot a number of our choice. If you have chosen a fancy number
but have not purchased the same, then we will allot a number of our choice.
14
AUTHORIZATION FOR RUNNING ACCOUNT -(Optional Document)
I am a registered client with you, and dealing in Equity Market / Equity & Currency Derivative Markets / Commodity Derivatives Market
and have a client code as mentioned below.I am aware that payout/dividend received/credited from the exchange(s) against settlement of
transactions as per settlement cycle is available within the prescribed time of the payout from the Exchange.It is difficult for me to make
available the required funds on every pay in of funds obligation/margin obligation.Hence,I request you to maintain my account on a
running basis and retain the payout received/credit balance in my account for my future obligation/margin obligation or other liabilities
unless, I instruct otherwise. I hereby authorized you to debit/credit/transfer the amounts between the various segments either on the same
exchange and/or exchanges to meet my obligation or various dues payable to you/Exchange(s).
If, payment of funds is required,I shall request you in writing/email or through the web option for funds withdrawal on the web login.
Further, it may be noted that,if required I may revoke this authorization at any time after giving request in writing.This running account
authorization would continue until it is revoked by me. The actual settlement of funds shall be done at least once in Quarterly
Monthly (Tick the the applicable option) if the balance available in my equity/cuurency trading account is more than Rs.10,000/- the
settlement will happen on the balance amount after retaining Rs.10,000/- in my trading account. If the balance available in my commodity
trading account is more than Rs.50,000/- the settlement will happen on the balance amount after retaining Rs.50,000/- in my trading
account.
I/We hereby authorize you to debit charges for depository services or other advisory services,to my/our trading account
While settling the account, if i have an outstanding obligation/s on the settlement date, you may retain the requisite funds towards such
obligations and may also retain the funds expected to be required to meet margin obligations for the next 5 trading days, calculated in the
manner as specified by the exchanges.I shall bring any dispute arising from the statement of account or settlement so made to your notice
within 7 working days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such
communication, the statement/ settlement of running account shall be considered as final as agreed and accepted by me.
Your's faithfully,
Consent for Receiving Statement of Accounts and other Reports through Email
I hereby authorize Navia Markets Ltd to issue Statement of Accounts, Margin Statements and other reports to my
email id based on my consent. Further, I will intimate any change in my email id immediately to Navia Markets Ltd
through letter or other modes prescribed. Further, I hereby confirm that non- receipt of bounced mail notification
shall amount to delivery of the statement of accounts, margin statements and other reports at the email id provided
below. I hereby confirm my email id as :
s
Client's Signature (11/17 )
AUTHORIZATION FOR ACCOUNT MODIFICATION
If I were to add/modify/remove any of my details including brokerage plans with Navia Markets Ltd, I authorize you to carry it out based on
my request sent through an email to support@tradeplusonline.com from my registered email address or intimation through an interface
provided by you , whereto I have been allowed secured access. If you feel the need to do so, then at your own discretion, you may put in
place appropriate mechanism to confirm the request before or after its execution by way of a call from recorded line, or otherwise, personal
meeting, SMS or other such modes as you may deem fit.
CLIENT'S NAME
15
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY
PROVIDED BY STOCK BROKERS TO CLIENT
( All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable, additionally,
the clauses mentioned herein shall also be applicable )
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
CLIENT'S NAME
Date: ( DD/MM/YYYY )
CLIENT'S SIGNATURE (13/17) s
16
ELECTRONIC CONTRACT NOTE (ECN) – DECLARATION
To,
Navia Markets Ltd
th
“Ganga Griha”, 4 Floor,
No.9, Nungambakkam High Road,
Chennai – 600 034.
Dear Sir,
1. I am aware that the Member has to provide physical contract note in respect to all the trades placed by me unless I
myself want the same in the electronic form.
2. I am aware that the Member has to provide electronic contract note for my convenience on my request only.
3. Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive
physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic con- tract note pertaining to
all the trades carried out / ordered by me.
4. I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email
operations.
5. My email id is ____________________________________________________________. This has been created by me
and not by someone else.
6. I am aware that this declaration form should be in English or in any other Indian language known to me.
[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 -- please re-write the underlined lines above in your
own handwriting in the box provided below)
Yours faithfully,
CLIENT’S NAME: CLIENT’S SIGNATURE (14/17) X
17
POWER OF ATTORNEY
The “Principal (S)”, More Fully Described In The Schedule Here To And in Favour Of NAVIA MARKETS LIMITED, a company incorporated under
the provisions of the Companies Act,1956, having its registered office at ‘Ganga Griha’, 4th & 5th Floor, No.9, Nungambakkam High Road,
Nungambakkam, Chennai - 600 034 and/or the Managing Director or Director(s) and/or any other authorized officer(s) who may be
stationed at Chennai.
RESPECTIVELY from time to time and for the time being of NAVIA MARKETS LIMITED at the above place viz., CHENNAI and/or any one or
more of them severally hereinafter referred to as “AGENT” WITNESSETH as follows:
WHEREAS
1.1 The AGENT is engaged in the business of stock broking, custody, investment advisory services and other investment services.
1.2 The PRINCIPAL(S) wish to participate in trading, web brokerage facilities, depository facilities and/or other services being offered by the
AGENT (or any of it assigns) and for that purpose to facilitate proper execution of all transactions for and behalf of the PRINCIPAL(S), The
PRINCIPAL(S) is/are desirous of appointing the AGENT as the PRINCIPAL(S) attorney and confer upon the AGENT all the powers hereinafter
stated.
1. To make necessary application(s) on the PRINCIPAL(S) behalf to any Officials or Authorities in India, including but not limited to, the Central
Government and/or the Reserve Bank of India and/or the Income Tax Authorities and/or Securities and Exchange Board of India in
connection with PRINCIPAL(S) purchase/sale/ transfer holding and continuing to hold Securities, and to represent the PRINCIPAL(S) in all
respects before such authority or authorities and establish without encumbrance the ownership of the securities in the name of the
PRINCIPAL(S)
2. Pursuant to the PRINCIPAL(s) instruction, to acquire by subscribing to or by purchase of securities and to sell, transfer and endorse the
securities (including but not limited to Initial Public Offerings, Buy Back offers, rights issue etc.,) or redeem the same either through Internet
(using the identifications Number issued by any Mutual Fund from time to time) or otherwise, and/or to sign and to execute all transfer
deeds whether as transferor or transferee and such other instruments, applications and papers as may be necessary for the purpose of
acquiring or transferring/redeeming the same, marking pledge/Lien on such securities and for transferring the investments in the units of
Mutual Fund from one scheme to another or between Mutual Funds, to make applications for , or to renounce and sign renunciation forms in
respect of bonds/debentures, rights shares and additional shares of any Company/ Body/ Authority and to receive and hold such rights or
additional shares bonds or debentures.
3. The term “ Securities” under this agreement shall have the same meaning as assigned there to under Section 2 of the Securities Contracts
(Regulation) Act, 1956 and shall include any securities, derivatives and other instruments which are tradable on any of the Exchange as well
as such units of Unit Trust of India and/or other mutual funds, whether listed or unlisted, government securities, debt instruments,
negotiable instruments, unlisted securities, certificates of deposit, participation certificates, commercial paper, money market
instruments, securities debt instruments investments in bank and/or company deposits and other instruments and investments as may be
specified by the Member from time to time.
4. To receive and hold certificate, title documents, account statements and other documents and writings pertaining to the securities
mentioned above and/or amount invested, advanced or expended by the PRINCIPAL(S) or on behalf of the PRINCIPAL(S) and to
acknowledge the receipt of the same.
5. To operate and to give delivery/receipt instructions, borrowing and lending instructions, pledge instructions, pledge closure
instructions and to do all such other things that may be necessary in the course of business relating to operation of new
Dematerialized (“demat”) account and/or existing Demat Account No._________________________and Trading Account No.-
_______________________or towards the obligation for transactions done on the National Stock Exchange, the Stock
Exchange, Mumbai and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions.
(15/17)
s s s
Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder
18
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13. The Stock Broker would return to the client(s), the securities or fund that may have been received by it erroneously or
those securities or fund that it was not entitled to receive from the client(s).
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and the DEPOSITORY PARTICIPANT
(16/17)
(16/17
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19
AND I hereby agree that the AGENT shall excercise the powers and authorities conferred under the above Power of Attorney only pursuant to
the instructions in that behalf given by the PRINCIPAL(S), which instructions may given orally, over the telephone, through the Internet,
electronically or in any other manner acceptable to the AGENT and such instructions given by the PRINCIPAL (S) , shall be deemed to have been
given by the PRINCIPAL(S) and such recording or other record of such instructions by the AGENT shall be admissible in evidence and shall not be
questioned by the PRINCIPAL(S) and shall be conclusive and binding against the PRINCIPAL(S).
AND this Power of Attorney shall be revoked by the PRINCIPAL(S) at any time without any notice. However such revocation shall not be
applicable for any outstanding settlement obligation arising out of the trades carried out of prior to receiving the request from PRINCIPAL(S) for
the revocation of the Power of Attorney.
AND the PRINCIPAL (S) hereby agree that all such acts done by the PRINCIPAL (S) above mentioned attorney shall be deemed to be acts done by
the PRINCIPAL(S) and if necessary shall be ratified by the PRINCIPAL(S) on the instructions of the said attorney.
AND The PRINCIPAL (S) DO HEREBY CONFIRM AND DECLARE THAT this Power of Attorney shall be valid, effective operative and revocable
immediately (and shall not be affected by my disability or lack of mental competence) and shall remain in force till the termination of the
Memberclient Agreement or any mandatory agreements that I have entered into with the AGENT and satisfaction in full of all the obligations
under the same, and the cessation of this authority shall not affect or impair any act thereto done in excercise of these presents.
AND THE PRINCIPAL (S) DO HEREBY CONFIRM THAT non-judicial stamp paper attached to this document be deemed to be part of this Power of
Attorney.
SCHEDULE
Notes
(Please fill in your name (and other information as per the instruction below) in the same order of sequence as given in the respective account
type)
Name Name
Address Address
In witness whereof the principal(S) has/ have executed this power of attorney at
(17/17)
s s s
Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder
20