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Know Your Client Form

CLIENT REGISTRATION FORM

Depository Participant : Central Depository Services (India) Limited (CDSL)

1. Additional KYC Form for Opening a Demat Account (For Individual & Non-Individual) 1 - 42. Terms & Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL 5 - 6

(SMS Alerts will be sent by CDSL to BOs for all debit[s] (Annexure 2.4)3. Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and 7 - 8

Depositories4. Option Form for Issue of DIS Booklet 95. Tariff Sheet 106. Power of Attorney 11 - 12

INDEX

S. No. Name of the Document Page No.

Instructions to the Applicants (BOs) for account opening

th1. Signatures can be in English or Hindi or any of the other languages contained in the 8 Schedule of the Constitution of India. Thumb

impressions and signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a

Special Executive Magistrate / Special Executive Officer under his/her official seal.

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public / Special Executive Magistrate / Special

Executive Officer are to be provided in case of attestation done by them.

4. In case of additional signatures (for accounts other than individuals), separate annexures should be attached to the account opening

form.

5. In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self-certified copy thereof, must be lodged

along with the application.

6. All correspondence / queries shall be addressed to the first / sole applicant.

7. Strike off whichever option, in the account opening form, is not applicable.

For Individuals & Non-Individuals

TRADEDEAL FINANCIAL SERVICES PRIVATE LIMITED

Additional KYC Form for Opening a Demat Account

Application No.

DP Internal Reference No.

Date 2 0

DP ID

(To be filled by the applicant in in English)I / We request you to open a demat account in my / our name as per following details :

BLOCK LETTERS

1 2 0 7 9 5 0 0 Client ID

Status

Individual Resident

Individual Director's Relative

Individual PromoterIndividual Margin Trading A/c. (MANTRA)

Individual Director

Individual HUF / AOP

Minor

Individual

NRI Repatriable

NRI Repatriable Promoter

NRI - Depository Receipts

Foreign National

NRI Non-Repatriable

NRI Non-Repatriable Promoter

Others (Specify)

NRI

Foreign National Foreign National-Depository Receipts Others (Specify)

--

Holders Details

Sole/First Holder's Name

Second Holder's Name

Third Holder's Name

PAN

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in thename of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., shouldbe mentioned above.

Type of Account (Please tick whichever is applicable) (For Individual)

(To be filled by Depository Participant)

Sub-Status

Others (Specify) ________________________

DP ID : SEBI Registration No. : Regi Address: A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower, 100ft Anand Nagar Road, Satellite, Ahmedabad - 380 015, Gujarat. Ph. : 079-4006 9003;Correspondence Address (Operations Site): Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar-364 001, Gujarat. Phone No. 0278-3005905, 6, 7; Fax No. 0278-3005903 Website: www.tradedealonline.com Grievance ID: [email protected]; [email protected];

12079500 IN-DP-CDSL-719-2014

UID

PAN

UID

PAN

UID

Status

SEBI Registration No.(If applicable)

IndianNationality Others (Specify)

Type of Account (Please tick whichever is applicable) (For Non-Individual)

Sub-Status

Body Corporate Banks Trust Mutual Fund OCB FIITo be filled by the DP

Clearing House FI Others (Specify) __________________CM

RBI Registration No.(If applicable)

SEBI Registration Date

RBI Approval Date

1

(Erstwhile Ashtavinayak Stock Broking Private Limited)

Depository Participant : Central Depository Services (India) Limited (CDSL) CDSL YourDepository

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

I / We would like to share the email ID with the RTA Yes No

I / We would like to receive the Annual Report Physical / Electronic / Both Physical and Electronic

(Tick the applicable box. If not marked the default option would be in Physical)

Bank Details [Dividend Bank Details]

Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)Photocopy of the Bank Statement having name and address of the BO Photocopy of the Passbook having name and address of the BO, (or)Letter from the Bank.

In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.

(i)(ii)(iii)(iv)

PinCityCountry

Account Number

Account Type

State

Bank Code (9 digit MICR Code)

Bank Name

Branch Name

Bank Branch Address

Saving Current Others (specify) _____________________________

IFS Code (11 character)

I / We request you to send Electronic Transaction-cum-Holding Statement at the Email ID _______________________________________________________________________ Yes No

Details of Guardian (in case the account holder is minor) (For Individual)

Guardian's Name

Relationship with the applicant

PAN

I/We instruct the DP to receive each and every credit in my / our account (If not marked the defualt option would be "Yes")

Account StatementRequirement

Yes No

Daily Weekly Fortnightly MonthlyAs per SEBI Regulations

(Automatic Credit)

I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other further instruction from my/our end (If not marked, the default option would be 'No') Yes No

Clearing Member Details (To be filled by CMs only) (For Non-Individual)

Name of Stock Exchange

Name of CC / CH

Clearing Member ID Trading Member ID

Net Worth as on (Date) : Rs.- -

(Net worth should not be older than 1 year)

Other Details GrossAnnual IncomeDetails

Income Range per annum for Individuals:

Up to Rs. 1,00,000 1,00,000 to 5,00,000 5,00,000 to 10,00,000

Rs. 10,00,000 to Rs. 25,00,000 More than Rs. 25,00,000

Rs. Rs. Rs. Rs.

D D M M Y Y Y Y

Income Range per annum :

Up to Rs.1,00,000 Rs. 1,00,000 to Rs. 5,00,000 Rs. 5,00,000 to Rs. 10,00,000

Rs. 10,00,000 to Rs. 25,00,000 Rs. 25,00,000 to Rs. 1,00,00,000 More than Rs. 1,00,00,000

for Non-Individuals

2

SMS Alert FacilityRefer to Terms &

Conditions given as Annexure-2.4

easi

MOBILE NO. +91

[(Mandatory, If you are giving Power of Attorney (POA) ](If POA is not granted & you do not wish to avail of this facility, cancel this option.)

To register for asi, please visit our website: www.cdslindia.com asi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

ee

No

No

Yes

Yes

Transactions UsingSecured Texting Facility

(TRUST)Refer to Terms &

ConditionsAnnexure 2.6

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Conditions prescribed by CDSL for the Same. No

Yes

I / We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST

Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)

I/We the sole holder/Joint holders/Guardian (in case of minor) hereby declare that :

I/We do not wish to nominate any one for this demat account.

I/We nominate the following person who is entitled to receive security balances lying in my/our account,

Particulars whereof are given below, in the event of my/our death.

Nomination Details (For Individual)

Nomination Registration No. Dated

Private / Public Sector

Others (Please Specify)

Please Tick, if applicable :

Government Service Business Professional

Agriculture Retired Housewife Student

Occupation(For Individuals)

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

Any other information:

Full Name of the Nominee

Address

City

Country

Telephone No.

E-mail ID

Relationship with BO (if any)

Date of Birth (Mandatory If nominee is a minor)

State

Pincode

Fax No.

D D M M Y Y Y Y

PAN UID

Full Name of Guardian of Nominee

Address

City

Country

Telephone No.

E-mail ID

Relationship of Guardian with Nominee

State

Pincode

Fax No.

As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I / We appoint following person to act as Guardian :

Please tick If any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Director is either Politically Exposed Person (PEP) or Related to Politically Exposed Person (PEP). Please provide details as per Annexure 2.2 A

Age

Age 3

This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

Note : Two witnesses shall attest signature (s) / thumb impression (s)

Name of Witness

Address of Witness

Signature of Witness

First Witness Second Witness

Details of the Witness

Signatures

First / Sole Holder /First Authorised Signatory

or Guardian (in case of Minor)

Second Joint Holder / Second Authorised Signatory

[1] [1] [1]

Signatures should be preferably in black ink.Reference: CDSL - DP Operating Instructions – September 2015

Name

Third Third Authorised Signatory

Joint Holder /

I / We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time.I/We have received and read the document of 'Rights and Obligation of BO-DP' (DP-CM agreement for BSE Clearing Member Accounts) including the schedules thereto and the terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.

Details of Politically Exposed Persons (PEP)/ Related to Politically Exposed Person (RPEP). (For Non-Individuals)

Name of the Authorized signatories /Promoters/Partners / Karta/ Trustees /Whole Time Directors

Relation with the holder (i.e. promoters, whole time directors etc.

Sr.No.

Please tick the relevant option.

Name of Holder

PAN of the Holder

1

Annexure - 2.2 A

2

3

4

5

6

Politically Exposed Persons (PEP) Related to Politically Exposed Person (RPEP)

- -Date : 2 04

Designation

DEFINITIONS :In these Terms and Conditions the terms shall have following

meaning unless indicated otherwise :1. "Depository" means Central Depository Services (India)

Limited a company incorporated in India under the CompaniesAct 1956 and having its registered office at 17th Floor, P. J.Towers, Dalal Street, Fort, Mumbai 400001 and all its branchoffices and includes its successors and assigns.

2. 'DP' means Depository Participant of CDSL. The term covers alltypes of DPs who are allowed to open demat accounts forinvestors.

3. 'BO' means an entity that has opened a demat accoun with thedepository. The term covers all types of demat accounts, whichcan be opened with a depository as specified by the depositoryfrom time to time.

4. SMS means "Short Messaging Service"5. "Alerts" means a customized SMS sent to the BO over the said

mobile phone number.6. "Service Provider" means a cellular service provider(s) with

whom the depository has entered / will be entering into anarrangement for providing the SMS alerts to the BO.

7. "Service" means the service of providing SMS alerts to the BOon best effort basis as per these terms and conditions.

AVAILABILITY :1. The service will be provided to the BO at his/her request and at

the discretion of the depository. The service will be available tothose account holders who have provided their mobilenumbers to the depository through their DP. The services maybe discontinued for a specific period / indefinite period, with orwithout issuing any prior notice for the purpose of securityreasons or system maintenance or for such other reasons asmay be warranted. The depository may also discontinue theservice at any time without giving prior notice for any reasonwhatsoever.

2. The service is currently available to the BOs who are residing inIndia.

3. The alerts will be provided to the BOs only if they remain withinthe range of the service provider's service area or within therange forming part of the roaming network of the serviceprovider.

4. In case of joint accounts and non-individual accounts theservice will be available, only to one mobile number i. e. to themobile number as submitted at the time of registration /modification.

5. The BO is responsible for promptly intimating to the depositoryin the prescribed manner any change in mobile number, or lossof handset, on which the BO wants to receive the alerts from thedepository. In case of change in mobile number not intimated tothe depository, the SMS alerts will continue to be sent to the lastregistered mobile phone number. The BO agrees to indemnifythe depository for any loss or damage suffered by it on accountof SMS alerts sent on such mobile number.

RECEIVING ALERTS :1. The depository shall send the alerts to the mobile phone

number provided by the BO while registering for the service or

to any such number replaced and informed by the BO from time to time. Upon such registration / change, the depository shall make every effort to update the change in mobile number within a reasonable period of time. The depository shall not be responsible for any event of delay or loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if themobile phone is in 'ON' and in a mode to receive the SMS. If themobile phone is in 'Off' mode i.e. unable to receive the alertsthen the BO may not get / get after delay any alerts sent duringsuch period.

3. The BO also acknowledges that the readability, accuracy andtimeliness of providing the service depend on many factorsincluding the infrastructure, connectivity of the service provider.The depository shall not be responsible for any non-delivery,delayed delivery or distortion of the alert in any waywhatsoever.

4. The BO further acknowledges that the service provided to himis an additional facility provided for his convenience and issusceptible to error, omission and/or inaccuracy. In case theBO observes any error in the information provided in the alert,the BO shall inform the depository and/or the DP immediately inwriting and the depository will make best possible efforts torectify the error as early as possible. The BO shall not hold thedepository liable for any loss, damages, etc. that may beincurred/suffered by the BO on account of opting to avail SMSalerts facility.

5. The BO authorizes the depository to send any message suchas promotional, greeting or any other message that thedepository may consider appropriate, to the BO. The BOagrees to an ongoing confirmation for use of name, emailaddress and mobile number for marketing offfers betweenCDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing of anyunauthorized debit to his BO account/ unauthorized transfer ofsecurities from his BO account, immediately, which may cometo his knowledge on receiving SMS alerts. The BO may send anemail to CDSL at [email protected]. The BO isadvised not to inform the service provider about any suchunauthorized debit to / transfer of securities from his BOaccount by sending a SMS back to the service provider as thereis no reverse communication between the service provider andthe depository.

7. The information sent as an alert on the mobile phone numbershall be deemed to have been received by the BO and thedepository shall not be under any obligation to confirm theauthenticity of the person(s)receiving the alert.

8. The depository will make best efforts to provide the service. TheBO cannot hold the depository liable for non-availability of theservice in any manner whatsoever.

9. If the BO finds that the information such as mobile number etc.,has been changed with out proper authorization, the BO shouldimmediately inform the DP in writing.

Terms and Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL

[SMS Alerts will be sent by CDSL to BOs for all debits]


Annexure : 2.4

Reference No. :

5

FEES :Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.DISCLAIMER :The depository shall make reasonable efforts to ensure that the BO's personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS Alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use/misuse of such information by any third person.LIABILITY AND INDEMNITY :The Depository shall not be liable for any breach of confidentially by the service provider or by any third person due to unauthorized access to the information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceeding, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

AMENDMENTS :The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shall be binding on the BOs who are already registered as user of this service.GOVERNING LAW AND JURISDICTION :Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai. I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the terms and conditions mentioned below. I/We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobile number.I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from time to time. I/We further undertake to pay fee/charges as may be levied by the depository from time to time. I/We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to take up the matter with their DP.I/We am/are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the depository for providing the service.I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).

1 2 0 7 9 5 0 0

+91

BOID :

(Please write your 8 digit Client ID)

Sole / First Holder's Name :

Second Holder's Name :

Third Holder's Name :Mobile Number on whichmessages are to be sent :

(Please write only the mobile number without prefixing country code or zero )

The mobile number is registered in the name of :

E-mail ID :(Please write only ONE valid email ID on which communication; if any, is to be sent)

Place Date : 2 0

Name

Signatures

First/Sole Holder Second Joint Holder Third Joint Holder

[2] [2] [2]

Terms and Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL

[SMS Alerts will be sent by CDSL to BOs for all debits]


Annexure : 2.4

6

General Clause1. The Beneficial Owner and the Depository participant (DP) shall

be bound by the provisions of the Depositories Act, 1996, SEBI(Depositories and Participants) Regulations, 1996, Rules andRegulations of Securities and Exchange Board of India (SEBI),Circulars / Notifications / Guidelines issued there under, ByeLaws and Business Rules/Operating Instructions issued by theDepositories and relevant notifications of GovernmentAuthorities as may be in force from time to time.

2. The DP shall open/activate demat account of a beneficial ownerin the depository system only after receipt of complete Accountopening form, KYC and supporting documents as specified bySEBI from time to time.

Beneficial Owner information3. The DP shall maintain all the details of the beneficial owner(s) as

mentioned in the account opening form, supporting documents submitted by them and/or any other information pertaining to the beneficial owner confidentially and shall not disclose the same to any person except as required by any statutory, legal or regulatory authority in this regard.

4. The Beneficial Owner shall immediately notify the DP in writing, ifthere is any change in details provided in the account opening form as submitted to the DP at the time of opening the demat account or furnished to the DP from time to time.

Fees/Charges/Tariff5. The Beneficial Owner shall pay such charges to the DP for the

purpose of holding and transfer of securities in dematerializedform and for availing depository services as may be agreed tofrom time to time between the DP and the Beneficial Owner asset out in the Tariff Sheet provided by the DP. It may be informedto the Beneficial Owner that "no charges are payable foropening of demat accounts”

6. In case of Basic Services Demat Accounts, the DP shall adhereto the charge structure as laid down under the relevant SEBIand/or Depository circulars/directions/notifications issued fromtime to time.

7. The DP shall not increase any charges/tariff agreed uponunless it has given a notice in writing of not less than thirty daysto the Beneficial Owner regarding the same.

Dematerialization8. The Beneficial Owner shall have the right to get the securities,

which have been admitted on the Depositories, dematerializedin the form and manner laid down under the Bye Laws,Business Rules and Operating Instructions of the depositories.

Separate Accounts9. The DP shall open separate accounts in the name of each of the

beneficial owners and securities of each beneficial owner shallbe segregated and shall not be mixed up with the securities ofother beneficial owners and/or DP's own securities held indematerialized form.

10. The DP shall not facilitate the Beneficial Owner to create orpermit any pledge and /or hypothecation or any other interest orencumbrance over all or any of such securities submitted for

dematerialization and/or held in demat account except in the form and manner prescribed in the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996 and Bye-Laws/Operating Instructions/Business Rules of the Depositories.

Transfer of Securities11. The DP shall effect transfer to and from the demat accounts of

the Beneficial Owner only on the basis of an order, instruction, direction or mandate duly authorized by the Beneficial Owner and the DP shall maintain the original documents and the audit trail of such authorizations.

12. The Beneficial Owner reserves the right to give standinginstructions with regard to the crediting of securities in hisdemat account and the DP shall act according to suchinstructions.

Statement of account13. The DP shall provide statements of accounts to the beneficial

owner in such form and manner and at such time as agreed withthe Beneficial Owner and as specified by SEBI/depository inthis regard.

14. However, if there is no transaction in the demat account, or if thebalance has become Nil during the year, the DP shall send onephysical statement of holding annually to such BOs and shallresume sending the transaction statement as and when there isa transaction in the account.

15. The DP may provide the services of issuing the statement ofdemat accounts in an electronic mode if the Beneficial Ownerso desires. The DP will furnish to the Beneficial Owner thestatement of demat accounts under its digital signature, asgoverned under the Information Technology Act, 2000.However if the DP does not have the facility of providing thestatement of demat account in the electronic mode, then theParticipant shall be obliged to forward the statement of demataccounts in physical form.

16. In case of Basic Services Demat Accounts, the DP shall sendthe transaction statements as mandated by SEBI and/orDepository from time to time.

Manner of Closure of Demat account17. The DP shall have the right to close the demat account of the

Beneficial Owner, for any reasons whatsoever, provided the DPhas given a notice in writing of not less than thirty days to theBeneficial Owner as well as to the Depository. Similarly, theBeneficial Owner shall have the right to close his/her demataccount held with the DP provided no charges are payable byhim/her to the DP. In such an event, the Beneficial Owner shallspecify whether the balances in their demat account should betransferred to another demat account of the Beneficial Ownerheld with another DP or to rematerialize the security balancesheld.

18. Based on the instructions of the Beneficial Owner, the DP shallinitiate the procedure for transferring such security balances orrematerialize such security balances within a period of thirty

Rights and Obligations of Beneficial Owner and Depository Participant

as prescribed by SEBI and Depositories


7

days as per procedure specified from time to time by the depository. Provided further, closure of demat account shall not affect the rights, liabilities and obligations of either the Beneficial Owner or the DP and shall continue to bind the parties to their satisfactory completion.

Default in payment of charges19. In event of Beneficial Owner committing a default in the

payment of any amount provided in Clause 5 & 6 within a periodof thirty days from the date of demand, without prejudice to theright of the DP to close the demat account of the BeneficialOwner, the DP may charge interest at a rate as specified by theDepository from time to time for the period of such default.

20. In case the Beneficial Owner has failed to make the payment ofany of the amounts as provided in Clause 5&6 specified above,the DP after giving two days notice to the Beneficial Owner shallhave the right to stop processing of instructions of theBeneficial Owner till such time he makes the payment alongwith interest, if any.

Liability of the Depository21. As per Section 16 of Depositories Act, 1996,

1. Without prejudice to the provisions of any other law for thetime being in force, any loss caused to the beneficial ownerdue to the negligence of the depository or the participant,the depository shall indemnify such beneficial owner.

2. Where the loss due to the negligence of the participantunder Clause (1) above, is indemnified by the depository,the depository shall have the right to recover the same fromsuch participant.

Freezing/ Defreezing of accounts22. The Beneficial Owner may exercise the right to

freeze/defreeze his/her demat account maintained with the DPin accordance with the procedure and subject to the restrictionslaid down under the Bye Laws and Business Rules/OperatingInstructions.

23. The DP or the Depository shall have the right tofreeze/defreeze the accounts of the Beneficial Owners onreceipt of instructions received from any regulator or court orany statutory authority.

Redressal of Investor grievance24. The DP shall redress all grievances of the Beneficial Owner

against the DP within a period of thirty days from the date ofreceipt of the complaint.

Authorized representative25. If the Beneficial Owner is a body corporate or a legal entity, it

shall, along with the account opening form, furnish to the DP, alist of officials authorized by it, who shall represent and interacton its behalf with the Participant. Any change in such listincluding additions, deletions or alterations thereto shall beforthwith communicated to the Participant.

Law and Jurisdiction26. In addition to the specific rights set out in this document, the DP

and the Beneficial owner shall be entitled to exercise any otherrights which the DP or the Beneficial Owner may have under theRules, Bye Laws and Regulations of the respective Depositoryin which the demat account is opened and circulars/noticesissued there under or Rules and Regulations of SEBI.

27. The provisions of this document shall always be subject toGovernment notification, any rules, regulations, guidelines andcirculars/ notices issued by SEBI and Rules, Regulations andBye-laws of the relevant Depository, where the BeneficialOwner maintains his/ her account, that may be in force fromtime to time.

28. The Beneficial Owner and the DP shall abide by the arbitrationand conciliation procedure prescribed under the Bye-laws ofthe depository and that such procedure shall be applicable toany disputes between the DP and the Beneficial Owner.

29. Words and expressions which are used in this document butwhich are not defined herein shall unless the context otherwiserequires, have the same meanings as assigned thereto in theRules, Bye-laws and Regulations and circulars/notices issuedthere under by the depository and /or SEBI

30. Any changes in the rights and obligations which are specifiedby SEBI/Depositories shall also be brought to the notice of theclients at once.

31. If the rights and obligations of the parties hereto are altered byvirtue of change in Rules and regulations of SEBI or Bye-laws,Rules and Regulations of the relevant Depository, where theBeneficial Owner maintains his/her account, such changesshall be deemed to have been incorporated herein inmodification of the rights and obligations of the partiesmentioned in this document.

Name

Signatures


[3] [3] [3]

Rights and Obligations of Beneficial Owner and Depository Participant

as prescribed by SEBI and Depositories


8

Date

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) / executed PMS agreement in favor of / with TradeDeal Financial Private Limited for executing

delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS

manager.

Yours faithfully,

I / We hereby state that : (select one of the options given below)

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS agreement in

favor of / with TradeDeal Financial for executing delivery instructions for setting stock exchange trades [settlement related

transactions] effected through such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be

issued to me / us immediately on my / our request at any later date.

Yours faithfully,

OPTION 2 :

Private Limited

OPTION FORM FOR ISSUE OF DIS BOOKLET

DP ID Client ID

Sole/First Holder Name

Second Holder Name

Third Holder Name

1 2 0 7 9 5 0 0

Dear Sir / Madam,


OR

Name

Signatures


[4] [4] [4]

Name

Signatures


[4] [4] [4]

To,

TradeDeal Financial Services Private Limited

Satellite, Ahmedabad - 380 015, Gujarat.

Correspondence Address (Operations Site): Office No. 104, Plot No. 1891, Shukan Complex,

Rupani Circle to Atabhai Chowk, Bhavnagar - 364 001, Gujarat

Regi Address: A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower, 100ft Anand Nagar Road,

9

POWER OF ATTORNEYTo be executed on the stamp paper of Rs.100/-) (Voluntary Document)

TO ALL TO WHOM THESE PRESENTS SHALL COME

I/We,_______________________________________________________________________________________________ (an ind iv idua l / a par tnersh ip f i rm / an HUF/ a company/ t rus t /an assoc ia t ion) , executed through Mr./Mrs./M/s.______________________________________________________________________________________ (Partner in case of Partnership firm/Karta in case of HUF/Authorised Person in case of Company/Trustee(s) in case of trust/Members in case ofassociation), residing /having office/having Registered Office at ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ SEND GREETINGS.Whereas I/We hold a Beneficiary account no. ____________________________________ (BO-ID) with Central Depository Services (India) Limited, through TRADEDEAL FINANCIAL SERVICES PRIVATE LIMITED incorporated as a company under the Companies Act 1956 and having its Registered Office at A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower, 100ft Anand Nagar Road, Satellite, Ahmedabad, Gujarat-380015 and Operational site address of main DP at Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar – 364 001, Gujarat (hereinafter referred to as the "TFSPL" which term wherever the context so permits includes its successors and assigns) bearing DP-ID 12079500 and SEBI Registration No. IN-DP-CDSL-719-2014.And Whereas I/We am /are, investor engaged in buying and selling of securities through TFSPL, a member of National Stock Exchange of India Limited, Bombay Stock Exchange Limited, and Member of Metropolitan Stock Exchange of India Ltd. bearing SEBI Registration No. INZ000008730.And Whereas due to exigency and paucity of time, I/We am/are desirous of appointing an agent/attorney to operate the aforesaid beneficiary account on my/our behalf for a limited purpose in the manner hereinafter appearing:NOW KNOW I/WE ALL AND THESE PRESENTS WITNESSTH THAT I/WE THE ABOVENAMED DO HEREBY NOMINATE, CONSTITUTE/ AND APPOINT TFSPL as my /our true and lawful attorney (hereinafter referred to as the attorney) for me/us and on my/our behalf and in my/our name to do instruct the aforesaid Depository Participant to debit securities and/or to transfer securities from the aforesaid account for the purpose of delivering the same to the clearing house of the recognized stock exchange toward any segment in respect of securities sold by me/us through them.POA executed in favour of the Stock Broker/Stock Broker & Depository Participant by the client should be limited to the following:1. Transfer of securities held in my/our beneficial owner account(s) towards recognized stock exchanges related margin / deliveryobligations arising out of trades executed by the Client(s) on the recognized stock exchanges through the TFSPL.2. Pledge the securities in favour of TFSPL for the limited purpose of meeting my/our margin requirements in connection with the tradesexecuted by the clients on the recognized stock exchanges through the TFSPL. Necessary audit trail should be available with the TFSPL for such transactions.3. To apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of shares, tendering shares inopen offers etc. pursuant to the instructions of the Client(s). However, a proper audit trail should be maintained by the TFSPL to prove that the necessary application/act was made/done pursuant to receipt of instruction from Client.In addition to above, Attorney agrees to return to me/us, 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 me/us. I/We shall ratify the instructions given by the attorney to the Depository Participant named herein above in the manner specified therein. I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) in writing by me/us and that the said revocation shall be effective from the date on which the revocation request is received by the TFSPL at its Operational site address of main DP at Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar – 364 001, Gujarat. As per SEBI Circular No. CIR/MRD/DMS/13/2010 dated April. 23, 2010, the list of Demat Accounts where securities can move is listed as per schedule I

Sr. No.

Depository Participant Name Demat Account No. Exchange Name

Segment Type of Account

1. TFSPL 1207950000000101 BSE Cash Segment Client Beneficiary A/c

2. TFSPL 1207950000000089 BSE Future & Option Segment Client Margin A/c 3. TFSPL 1207950000000017 NSE Cash Segment Client Beneficiary A/c 4. TFSPL 1207950000000074 NSE Future & Option Segment Client Margin A/c 5. TFSPL 1207950000000061 NSE Currency Segment Client Margin A/c 6. TFSPL 1207950000000040 MSEI Currency Segment Client Margin A/c 7. BOI Shareholding Limited 1100001000022872 BSE Early Pay In Account Clearing Member 8. National Securities Clearing

Corporation Limited 1100001100019342 NSE Early Pay In Account Clearing Member

9. TFSPL 1207950000000171 BSE Cash Segment Pool Account 10. TFSPL 1207950000000186 BSE Cash Segment Principal Account 11. TFSPL 1207950000000167 NSE Cash Segment Pool Account 11

No. DD/MM/YY YY

Common Seal(In case of Company)THE COMMON SEAL of the within named____________________________________ ____________________________________________________________has been affixed hereto pursuant to the Resolution passed by its Board of Directors at its meeting held on ___________ in the presence of ______________________, _____________ of the company, who have subscribed their signatures hereto in token thereof

(IN CASE OF HUF, CO-PARCENERS SIGNATURE IS REQU IRED)

Sr. Name of the Co - parceners Date of Birth Gender Relationship Signature

IN WITNESS WHEREOF I/We have hereunto set and subscribed our respective hands to this writing on _________________

Signed & delivered I/We accept By within named Beneficial Owner(s)

Name

Signatures

First/Sole Holder or Guardian (in case of Minor)

Second Joint Holder Third Joint Holder

[6] [6] [6]

Witness Name: Witness Name:

Signature: Signature:

Address: Address:

In the presence of Witnesses:

Common Seal

Signed for & on behalf of Name: TRADEDEAL FINANCIAL SERVICES PRIVATE LIMITED Registered Office Address: A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower,100ft Anand Nagar Road, Satellite, Ahmedabad, Gujarat-380015; Operational site address of main DP: Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar – 364 001, Gujarat Signature: For, TradeDeal Financial Services Pvt. Ltd. (Erstwhile Ashtavinayak Stock Broking Pvt. Ltd.)

__________________________________ Director/Authorised Signatory/Compliance Officer

In the presence of Witnesses:

Witness Name: Witness Name:

Signature: Signature:

Address: Address:

12

Date:_______________ 13

Name

Signatures


[7] [7] [7]

THIS S

PACE IS IN

TENTIONALLY

LEFT B

LANK

14

- - 2 0

We hereby acknowledge the receipt of the Account Opening Application Form:

Name of the Sole/First Holder

Name of Second Holder

Name of Third Holder

Depository Participant Seal and Signature

Application No. : Date :

Received OPTION FORM FOR ISSUE / NON-ISSUE OF DIS BOOKLET Form:

Depository Participant Seal and Signature

DP ID Client ID

Name of the Sole/First Holder

Name of Second Joint Holder

Name of Third Joint Holder

1 2 0 7 9 5 0 0

For Individuals & Non-IndividualsACKNOWLEDGEMENT RECEIPT

ACKNOWLEDGEMENT RECEIPT

RECEIPT OF ACCOUNT OPENING FORM (KYC FORM)

From : ______________________________

Dear Sir,

Re. : Account Opening Form (KYC Form) No.__________

This has reference to my/our captioned Account Opening Form (KYC Form) which I/We have submitted to you duly filled up along with all the supporting documents.

I/we hereby acknowledge the receipt of copy of the following documents from you.

1. All Executed Client Registration Form (Know Your Client Form) 2. Rights & Obligations

3. Tariff Sheet 4. PMLA Policy 5. Certified xerox copy of POA

BO ID 1 2 0 7 9 5 0 0

Name

Signatures


To,


Satellite, Ahmedabad - 380 015, Gujarat.Correspondence Address (Operations Site): Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar - 364 001, Gujarat


FOR HEAD OFFICE USE ONLY

Received By : Checked By :

Name :

Sign :

Date :

Name :

Sign :

Date :

Verified By : Authorised By :

Name :

Sign :

Date :

Name :

Sign :

Date :

DP ID Client ID1 2 0 7 9 5 0 0

I / We hereby confirm that I am / We are non - resident indian / s foreign national/s individual / s.

I / We also confirm that :

I / We have complied with FEMA (erstwhile FERA) regulations and I / We would continue to comply with FEMA /FERA regulations.

FEMA DECLARATION

FEMA DECLARATIONS : [In case of NRI(s) / Foreign National(s)]

Name

Signatures


[8] [8] [8]


To,


Satellite, Ahmedabad - 380 015, Gujarat.

Correspondence Address (Operations Site): Office No. 104, Plot No. 1891, Shukan Complex,

Rupani Circle to Atabhai Chowk, Bhavnagar - 364 001, Gujarat


Form No.

client registration form - trade deal · types of dps who are allowed to open demat accounts for...

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