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Account Opening Registration Kit (Non-Individual)

Index of Documents

Eastwind Capital Advisors Pvt. Ltd.

SR. No.

1.

2.

4.

5.

Name of the Documents

Application Form Application to avail advisory services

Brief Significance of the Document Page No.

Know your client (KYC) Form

1-1

2-3

3.Investment AdvisorsAgreement 4-8

Tariff Sheet 9-9

Risk Profile 10-13

6. FATCA/CRS declaration 14-15

This document contains basic information about the client

This document lists the terms & conditions & disclosure etc. related to the ‘Investment Advisory Agreement’ between the investment advisor & the client.

This document lists the information related to fees /charges for the investment advisory services

This document consists of questions to help us understand the risk profile of the client i.e. the ability and willingness to take risks.

In case of any grievances or disputes, please send an email to ig@eastwind.in or call 033-4054-1759. You can even visit the address mentioned above.

To lodge your grievance with SEBI, please go to: http://scores.gov.in. In case of any queries, feedback or assistance you can contact SEBI on their toll-free helpline at 1800227575/18002667575.

FATCA (Foreign Account Tax Compliance Act)Declaration Form

SEBI Registration No. & Date INA300005439 DT. 25.08.2016 (valid till 24/08/2021)

Registered Office 59, 2nd Floor, GEL Church Complex, Main Road, Ranchi - 834001, Jharkhand, India.

Correspondence Office 703, A wing, Kanakia Wall Street, Chakala,Andheri (East), Mumbai - 400093, India.

Compliance Officer Name, Phone No., Email ID

Name: Mr. Mohan Kumar Phone No.: 7677822220Email ID: mohan@eastwind.in

Eastwind Capital Advisors Pvt. Ltd. A/803, Kanakia Wall Street8th Floor, Andheri Kurla RoadChakala, Andheri EastMumbai - 400093

Sub: Application to avail Investment Advisors Services

Dear Sir/Madam,

We are aware that M/s. Eastwind Capital Advisors Pvt. Ltd. is a SEBI registered Investment Advisor having registration no. INA300005439.

We are desirous of obtaining 'Investment Advisory Services' from EASTWIND. In this connection We have read and understood the terms and conditions of the agreement & Disclosures for Investment Advisors Services provided by you. We agree, understand and accept the same and request you to activate Investment Advisor services. We wish to invest an amount of Rs._______________________________________

_____________________________________________________(amount in words)

Our KYC details are registered with KRA and are correct and up to date and be treated as our KYC details.

Name: ________________________________

Sign & Stamp _____________________________

Date: ___/___/_______

Our KYC is Enclosed.

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Eastwind Capital Advisors Pvt. Ltd.

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

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Investment Advisors Agreement between Client and Advisor

THIS agreement ("Agreement") is made at _________ on this ______ day of _______________20___

BETWEEN:

Eastwind Capital Advisors Private Limited [PAN AABCE7598M], a Company, incorporated under the provisions of the Companies Act, 1956, having its Corporate office at 703-803, Wing A, Kanakia Wall Street, Chakala, Andheri, Mumbai - 400093 hereinafter called "EASTWIND" (which expression shall, unless repugnant to the context or meaning thereof, be deemed to mean and include its successors and assigns) of the ONE PART.

AND

M/s. __________________________________________________________________________________________,

[PAN ________________________________], a HUF/Partnership firm/LLP/Company registered/incorporated

under the relevant Act having its office/registered office at___________________________________________

__________________________________________________________________________________________ (Hereinafter referred to as “the Client”, which expression shall unless it be repugnant to the context or meaning thereof be deemed to mean and include its successors, executors, administrators and permitted assigns) of the SECOND PART.

"Parties" means EASTWIND and the Client; and "Party" shall be construed accordingly.

WHEREAS:I. EASTWIND is a SEBI registered Investment Adviser under the SEBI (Investment Advisors) Regulations

2013, bearing registration No. INA300005439.ii. The CLIENT has satisfied itself of the capability of EASTWIND to provide Investment advice and is

desirous of obtaining Investment Advisory Services from EASTWIND as per the request letter submitted by the CLIENT.

iii. EASTWIND has set up a website viz. www.eastwind.in (the "Site") for the purposes of, inter alia, providing investment advice or availing Investment Advisory Services.

1. APPOINTMENT OF EASTWIND AS INVESTMENT ADVISOR The Client hereby appoints EASTWIND to provide investment advisor on a non-exclusive basis from time to time in accordance with the terms stipulated under this Agreement and key obligations and responsibilities cast under the SEBI (Investment Advisors) Regulations, 2013 and subject to disclosures as mentioned, while providing the Services to the Client.

2. SCOPE OF INVESTMENT ADVISORY SERVICESa. EASTWIND shall review and analyze the Client's investment and risk profile, investment objectives

and Client's current financial situation based upon information provided by Client.b. EASTWIND shall make recommendations to Client with respect of the Client Account on an ongoing

basis with respect to the amount of funds to be invested by Client in various financial assets,

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Sign & Stamp _________________________

c. The client will at all times exercise its own independent judgment in using any of the information and reports provided by EASTWIND and that the client will conduct separate suitability of the product for a particular financial situation, circumstances, attitudes, motivations and preferences. EASTWIND does not guarantee or represent to assess a client's current state of mind nor may predict a client's future state of mind or behaviour.

d. The client agrees that there is no obligation /compulsion to buy or invest in investment advice through EASTWIND, the client may invest in the securities at the client's discretion through any other product distributor or service provider.

3. CLIENT'S RESPONSIBILITIESa. Client agrees to furnish to EASTWIND account opening forms and other documents, including a

written statement of his/her/its investment objectives, and restrictions, as EASTWIND may reasonably require.

b. Client acknowledges that EASTWIND services to Client depend upon the information EASTWINDhas concerning Client's net worth, income, investment goals and objectives, ability to assume risk, income needs, tax situation and estate plan, and any other information given through the risk profile or any other document. Client is responsible for the accuracy and completeness of all informationprovided to EASTWIND and agrees that EASTWIND is not responsible for any losses, costs, damages or claims caused by Client's failure to provide such information to EASTWIND.

c. Client also agrees to give EASTWIND prompt written notice of any modifications, changes or investment restrictions applicable to the account and to notify EASTWIND if Client deems any investments recommended or made for the account to be in violation of such investment objectives or restrictions. Client acknowledges that tax considerations may not generally be a factor while giving recommendations on individual securities and that it is Client's responsibility to check tax implications unless specifically agreed upon.

4. EASTWIND RESPONSIBILITIESa. EASTWIND shall disclose all conflicts of interests to the clients and shall not receive any

consideration by way of remuneration in any other form from any person other than the client being advised. It shall maintain an arms-length relationship between its activities as an investment adviser and other activities, if any.

b. EASTWIND shall not divulge any confidential information about its client, which has come to its knowledge, without taking prior permission of its clients, except where such disclosures are required to be made in compliance with any law for the time being in force. The Client hereby expressly consents that any such personal data/information and account information or records of the Client may be used by EASTWIND and any recipient of such information from EASTWIND for marketing financial services or related products or opportunities from EASTWIND or any Affiliate;

c. EASTWIND shall not enter into transactions on its own account which is contrary to its advice given to clients for a period of fifteen days from the day of such advice & shall make adequate disclosures of relevant material information while dealing with its clients.

5. CHARGES AND FEESNotwithstanding anything contained in this Agreement, the Client shall solely be liable to pay the fees for the services availed through EASTWIND as mentioned in Annexure 1 or as amended from time to time. The CLIENT shall also pay any applicable taxes, levies or duties, including GST that may be levied pursuant to this Agreement.

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Sign & Stamp _________________________

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Details

Address

Electronic Mail

Phone No.

EASTWIND CAPITALADVISORS PVT. LTD.

59, 2nd Floor, GEL ChurchComplex, Main Road, Ranchi - 834001,Jharkhand, India.

biu@eastwind.in

033 4054 1767 / 022 6270 1276

Client

9. TERMINATION/MODIFICATIONEither party shall be entitled to terminate this Agreement forthwith by giving 1 month notice in writing to the other party.

10. LAW AND ARBITRATIONIn case of any dispute, the investment adviser shall co-operate in redressing grievance of the client in respect of advisory services. If the client is not satisfied with the resolution of the Investment adviser, it can also lodge complaint with SEBI through SEBI SCORES portal https://scores.gov.in. Any dispute, controversy or claims arising out of or relating to this Agreement or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the provisions of the Indian Arbitration andConciliation Act, 1996. The arbitral tribunal shall compose of a sole arbitrator appointed by EASTWIND. The place of arbitration shall be Kolkata.

Disclosures1. Investment Advisory (IA) services shall be provided by EASTWIND, segregated from and at an arm's

length relationship with the other activities, if any, of EASTWIND.

2. Investment Advisory services shall be provided only after entering into an agreement and after assessing the risk profile and suitability of the product.

3. Advisory services shall be provided by the EASTWIND only after:-a) Completing the risk profiling and know-your client (KYC) form in the manner prescribed by

EASTWIND.

6. INDEMNITIESWithout prejudice to the right of indemnity available to EASTWIND under any law, the Client agrees to indemnify and hold harmless EASTWIND to the full extent against any and all lawful claims, losses, damages, liabilities, costs and expenses as incurred in connection with investigation of, preparation for and defence of any pending or threatened claim and any litigation or other proceeding arising out of or related to any actual or proposed acts done or not done or EASTWIND's engagement hereunder.

7. SEVERABILITYIf any provision of this Agreement is held invalid or unenforceable, the remainder of this Agreement shall nevertheless remain in full force and effect.

8. NOTICEUnless otherwise provided herein or agreed to in writing by the Parties, all notices or other

Investment Advisor

Sign & Stamp _________________________

b) Updating the risk profiling and know-your client (KYC) information periodically as required by EASTWIND.

4. There will be no obligation to avail the stock broking, depository and distribution or other services offered by EASTWIND or its Associate/Group Companies or through any other entity as recommended by EASTWIND.

5. Any fees and charges, payable for the execution/distribution services availed, must be paid directly to the respective service provider and EASTWIND has no role to play in it.

6. EASTWIND shall risk rank the products it offers to clients based on various factors as per its internal policies.

7. Before executing on our advice, collect all the information about the products, risk factors, performance track records etc. and go through all the relevant information about the product being advised and sought requisite clarification and understood the same.

8. EASTWIND shall not receive any consideration by way of remuneration or compensation or in any other form, whatsoever, from any person other than the client being advised in respect of the underlying products or securities for which advice is provided to the client. EASTWIND will not receive any benefit in case based on its recommendations any services from affiliates/associates of EASTWIND or other market intermediaries is availed/opted.

9. EASTWIND shall maintain complete confidentiality of all information provided and shall not disclose any such information, without prior consent except if such disclosure is required to be made in compliance with any applicable law or regulatory direction.

10. The advices are based on the facts, figures and information that are considered true, correct, reliable and accurate. The information is obtained from publicly available media or other sources believed to be reliable.

11. Material Information, Disciplinary history, AffiliationEASTWIND is owned by Narnolia Capital Advisors Private Ltd. which is NBFC registered with RBI. Narnolia Capital Advisors Private Ltd is owned by Narnolia Securities Limited under the Promotership of Mr. Krishnanand Narnolia. Details of associate entities of Eastwind Capital Advisors Private Ltd. areavailable on the website at www.eastwind.inThere is no pending regulatory matter against EASTWIND as on date. No disciplinary action has been taken against the Company by any regulatory/statutory authority.

Conflict of interesta) Narnolia Financial Advisors Ltd., a company registered, governed and incorporated under the

Companies Act, 1956, is a SEBI registered Stock Broker having SEBI Registration No. INZ000166737 and offers services as stock broker, Depository participant, Merchant Banker, Portfolio Manager, Research Analyst, distributor of mutual funds and other permitted third party financial products with no financial liability and is one of the affiliates/Associate Company of EASTWIND.

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Sign & Stamp _________________________

b) EASTWIND, its associates, their directors and the employees may from time to time, effect or have effected an own account transaction in, or deal as principal or agent in or for the securities mentioned while rendering advices. They may perform or seek to perform other services for, or solicit other business from, any company referred to in this report. Each of these entities functions as a separate, distinct and independent of each other. The recipient should take this into account before interpretingthe document.

IN WITNESS WHEREOF the parties hereto have caused this Agreement on the day and the year first above written and at the places as mentioned hereinabove.

For East Wind Capital Advisors Private Limited Name ______________________________________

_________________________________________ Sign & Stamp ________________________________Name: - Mr. Mohan Kumar

Witness Witness

Name____________________________________ Name ______________________________________

Address _________________________________ Address ____________________________________

_________________________________________ ____________________________________________

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For Eastwind Capital Advisors Pvt. Ltd Name __________________________________________

_____________________________________Authorised Signatory

_______________________________________________Signature

Annexure 1 (Tariff Sheet)

Types of Fee

Advisory Fee(Fixed on assets under advisory)

Fee (%)

Advisory Fee(Performance Based)

Hurdle Rate 10%, If Profit Above 10%

12.50% profit sharingon total profit

Accounting & Other Charges At Actual

Termination Fee NIL

Terms and Conditions:1. Performance based fee will be charged based on Daily Average Asset Under advisory. On Exit, during the ongoing

financial year, the Performance based Fees will be charged on a pro-rata basis.

a. Profit sharing is applicable on total profit above hurdle, for example - Rs. 100 reaches Rs. 115(above hurdle). Then profit sharing will be 12.50% of Rs. 15 i.e. Rs.1.87

b. Profit sharing amount is subject to return above hurdle, for example if Rs. 100 reaches Rs. 111 then profit sharing applicable will be Rs. 1.375(Rs.11*12.50%). So, total return to customer is Rs. 109.63, in that case the profit sharing will be only Re.1(and not Rs.1.375) and total return to customer will be Rs. 110 (ensuring profit sharing subject to above hurdle)

c. Return will be calculated on quarterly basis

2. Franking, Notarization charges, Audit Fees and Legal Fees would be chargeable on a monthly basis (in arrears) based on Daily Average NAV under advisory for the month.

3. Any Taxes and other statutory levies in respect of the Client's advisory shall be charged at actual.

Risk Profiling of Client - Non Individual

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The Company is required to make enquiries with regards to your investment objectives including your risk profile, financial situation and particular needs.

A key consideration in understanding your investment requirements is your attitude to and tolerance of risk.

The following questionnaire have been prepared to help you consider the various investment risks and to understand how they impact on your personal circumstances. The questions define your attitude to security and level of risk you are prepared to accept for your investments.

Please take the time to answer the questions as they will assist us to develop an appropriate investment strategy that will meet your financial and lifestyle objectives.

Please note that you may decline to provide the information requested, but you should note that Company’s recommendations and obligations will be limited accordingly and you will need to determine whether the advice provided suits your individual circumstances.

1. Number of year since Incorporation/registration

(A) More than 10 years

(B) 5 years to 10 years

(C) 1 year to Less than 5 years

(D) Less than 1 year

2. Latest Networth as per last audited balance sheet:

(A) Less than Rs. 50 lakhs

(B) Rs. 50 lakhs to Less than Rs. 2 Crores

(C) Rs. 2 crores to Rs. 5 crores

(D) More than Rs. 5 crores (Enclose documentary support)

3. Profit after Tax (PAT) for last 3 years:

(A) Less than Rs. 5 lakhs

(B) Rs. 5 lakhs to less than Rs. 25 lakhs

(C) Rs. 25 lakhs to Rs. 1 crore

(D) More than Rs. 1 crore(Enclose documentary support)

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4.How long have you been investing, not counting your home or bank type deposits?

(A) This is my/our first investment

(B) Less than 3 years

(C) 3 years to 5 years

(D) More than 5 years

5. Existing Liabilities/Borrowings

(A) Nil

(B) Rs. 1 lakh to Less than Rs. 10 lakhs

(C) Rs. 10 lakhs to Rs. 50 lakhs

(D) More than Rs. 50 lakhs

6. Value of Existing investments/ assets:-

(A) Less than Rs. 5 lakhs

(B) Rs. 5 lakhs to Less than Rs. 25 lakhs

(C) Rs. 25 lakhs to Rs. 100 lakhs

(D) Above Rs. 100 lakhs

7. What kind of investments do you currently own?

(A) Mainly money market or fixed-income securities (e.g. cash, bonds).

(B) Mainly fixed-income securities with some equity securities.

(C) Slightly heavier weighting in equities than fixed-income.

(D) Mainly aggressive equities with some fixed income.

8. What is your investment objective/purpose?

(A) Preserve Capital and generate income

(B) Generate moderate capital growth with your income

(C) Generate long term capital growth, no need regular income

(D) Generate aggressive capital growth over the long term , no need regular income

(Enclose documentary support)

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10. To know your risk appetite/tolerance, please inform what would you do If a few months after investing, the value of your investments declines by say 20%

(A) Cut losses immediately & liquidate all investments. Capital preservation is paramount.

(B) Cut your losses and transfer investments to safer asset classes.

(C) You are ok with volatility and accept decline in portfolio value as a part of investing. You would Keep your investments as they are.

(D) You would add to your investments to bring the average buying price lower. You are confident about your investments and are not perturbed by notional losses

11. To know your risk appetite/tolerance, please inform what would you do If your investment fell by more than 6% over a short period of time:

(A) Sell all the remaining investment.

(B) Sell a portion of the remaining investment.

(C) Hold your investments and sell nothing

(D) Invest more funds. You can tolerate short term losses in expectation of future growth

Sign & Stamp __________________________________

Name: __________________________________

Date: ____/____/________

Conservative Score grid 14You are an investor who is prepared to accept lower returns with lower levels of risk in order to preserve your capital. The negative effects of taxation and inflation will not be concern to you, provided your initial investment is protected. As a conservative investor, you might expect your portfolio to be allocated up to 15% in growth assets, with the remainder in defensive assets.

Moderate Score grid 15-24You are an investor who would like to invest in both income and growth assets. You will be comfortable with calculated risks to achieve good returns; however, you require an investment strategy that adequately deals with the effects of inflation and tax. As a moderate investor, you might expect your portfolio to be allocated up to 35% in growth assets, with the remainder in defensive assets.

Balanced Score grid 25-34You are an investor who is comfortable with a high volatility and high level of risk in order to achieve higher returns over long term. Your objective is to accumulate assets over long term by primarily investing in growth assets. As an aggressive investor you might expect your portfolio to be allocated up to 65% in growth assets.

Aggressive Score grid > 34You are an investor who is comfortable with a higher level of risk in order to achieve potentially higher returns. Capital security is secondary to potential wealth accumulation. As a high growth investor, you might expect your portfolio to be allocated < 65% in growth assets over long term.

Risk ProfileBased on the Score card of Risk Profile Questionere your risk profile is as below:

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Below is the score-card that we will use to determine your risk profile, which in turn shall determine your

asset allocation mix.

For Office Use Only

Risk Profile RemarksRecommendation

Investment Risk Profile Acceptance DeclarationWe confirm that the details recorded in the "Risk Profile Determination Questionnaire" are correct and reflect our true financial position and understanding and investment risk profile.

We confirm that we have read and understood our agreed Risk Profile Selection and would like this profile applied to our funds available for investment.

Sign & Stamp

Date:

_____/_____/________

Question No. A B22222222222

11111111111

123456789

1011

C33333333333

D Score44444444444

Total Score

Eastwind Capital Advisors Pvt. Ltd.

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Eastwind Capital Advisors Pvt. Ltd.

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Signature with stamp

Date:

To,Eastwind Capital Advisors Pvt. Ltd.A/803, Kanakia Wall Street8th Floor, Andheri Kurla RoadChakala, Andheri EastMumbai - 400093.

Dear Sir/Madam,

We hereby acknowledge that We have read and understood the terms and conditions of the Investment advisor agreement, fee structure, disclosure, Conflict of interest & other documents executed between us and EASTWIND Capital Advisors Private Ltd. for availing the Investment Advisor services rendered by the Company and received a copy of the abovementioned documents.

Name ___________________________________

Sign & Stamp ____________________________