account opening kit - hedge equities non...passport/ voters identity card/ ration card/ registered...

Annexure - 1

ACCOUNT OPENING KIT INDEX

S. No. Page No.

1.

Name of the Document Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Account Opening Form A. KYC form - Document captures the basic information about the constituent and an instruction/check list.B. Document captures the additional information about the constituent relevant to trading account and an instruction/check list.

Tariff sheet2

3

Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) (to be added by the stock broker).

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

4

5

Terms and conditions forTrading through Internet

Email consent to receive contractnote and trade confirmations

6

Receipt of contract notes/statements electronically

9

Running Account Authorization Authorization to maintain a running account

8

7

Information relation to PMLA, 2002

10

General terms and conditions governing use ofwebsite, Detailing Electronic payment gateway fornet banking, material information on the website

Information provided by client in relation toPrevention of Money Laundering Act

Consent to debit DP Charges Consent to debit the Trading Account for the DPcharges and the penalties levied in the Demat account

01 - 04

05 - 07

08

09 - 12

17 - 18

13

14

19

20

16

15

Ph: Fax: Website:

Registered office address:

Ph: Fax: Website:

Correspondence office address:

Compliance officer name ph no. email id:

CEO name

Name of stock broker/trading member/clearing member/ Depository Participant :

SEBI Registration

No. and date:

For any grievance/dispute please contact stock broker HEDGE EQUITIES LTD. at the above address or email id- [email protected] and Phone no. 0484 30 40 400 In case not satisfied with the response, please contact the concerned exchange(s) at NSE: [email protected] Phone no. 022-26598190, BSE : [email protected] Phone no. 022-22728097, MCX-SX : [email protected] Phone no. 022-6731 8933 / 9000

Hedge Equities Ltd.

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025

www.hedgeequities.com

www.hedgeequities.com

ph no. email id:

Sini Ralph

N. Bhuvanendran

[email protected] 30 40 400

0484 30 40 400 [email protected]

Member NSE (Sebi Registration No.: INB/INF/INE 231295438) 24-03-2008 Memb. Code 12954Member BSE (Sebi Registration No.: INB 011295434) 24-03-2008 Memb. Code 3234Member MCX-SX (Sebi Registration No.: INE 261295438, 30-09-2008 Memb. Code 45400Clearing Member IL & FS Securities Service Ltd.,Reg. Of.IL & FS House, Raheja ViharChandivali, Andheri (East), Mumbai - 400072, Sebi Registration No.: INE261313337CDSL DP : IN - DP - CDSL - 471-2008 DP ID 12057300, 10-07-2008

0484 - 304 0400 0484 - 304 0404

022-43489100 022-43489111

Power of Attorney agreement POA provided by BO to Hedge for thepurpose of settlement/margin obligation

Account Opening Form

Regd Office: B 302 TRADE SQUARE, MEHRA COMPOUND, SAKINAKA KURLA ROAD, ANDHERI EAST,MUMBAI - 400 072

1

1

Additional KYC Details Detaling additional KYC Details of the applicant

Mutual Fund System FacilityAvailing the trading facility of the exchange for the purpose of dealing in the units of mutual funds schemes permitted to be dealt with on the MFSS in NSE and BSE star MF


INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM

A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters /Partners/ Kart/ Trustees and whole time directors and persons authorized to deal in securities on behalf of company /firm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 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. C. Proof of Address (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity 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.

2


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. D. Exemptions/clarifications to PAN (*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. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 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. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

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F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity Documentary requirements

Corporate Copy of the balance sheets for the last 2 financial years (to be submitted every year).Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation.Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures.

Partnership firm Copy of the balance sheets for the last 2 financial years (to be submitted every year).Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/CA.Photograph, POI, POA, PAN of Trustees.

Trust PAN of HUF. Deed of declaration of HUF/ List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta.

Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures.

Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures.

Unincorporated association or a body of individuals

Banks/Institutional Investors

Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures.

HUF

Copy of SEBI registration certificate. Authorized signatories list with specimen signatures

Foreign Institutional Investors (FII).

Self-certification on letterhead. Authorized signatories list with specimen signatures.

Army/ Government Bodies

Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.

Registered Society

4


Annexure - 2

KNOW YOUR CLIENT (KYC) APPLICATION FORMPhotograph of

authorised signatory (ies)please affix the recent

passport size photographand sign across it

(Please fill this form in ENGLISH and in BLOCK LETTERS.)

FOR NON INDIVIDUALS

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025, Kerala Tel : 0484 3040400

Application form for opening a trading / demat account

I / We request you to open a trading / demat account in my / our name as per the following details

Client code DP ID 1 2 0 5 7 3 0 0 Client ID

Trading & Demat A/c Trading A/c Demat A/c DP Intnl. Ref. No.

Date D D M M YY Y Y(To be filled by H.O)

A. IDENTITY DETAILS

Name of the Applicant

PAN

B. ADDRESS DETAILSAddress for correspondence

Country

City/Town/Village StatePIN Tel (Off) Tel (Res)

Mobile Fax E-mail IDSpecify the proof of Address submitted for correspondence Address Registered Address (If different from above)

City/Town/VillageCountryState PIN

Specify the proof of Address submitted for Registered Address

Middle NameFirst Name Last Name

Status (Please tick any one)

(1/19)

Date of Incorporation D D M M YY Y Y Place of Incorporation

Date of Commencement of business D D M M YY Y YReg. No.(e.g.CIN)

Private Limited Co. Public Limited Co. Body Corporate

Partnership Trust Charities NGO’s FI FII HUF AOPBank Government Body Non-Government Organization Defence Establishment

BOI Society LLP Others (please specify) ____________________________

C. OTHER DETAILS Gross Annual Income Details (Please Specify) : Income range per annum

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac 25 Lac -1 Crore > 1 CroreNet-Worth as on (date) D D M M YY Y YNet-Worth as on (date) Net Worth (In Lacs) (*Net Worth should not be older than 1 yr.)

Regd Office: B 302 TRADE SQUARE, MEHRA COMPOUND, SAKINAKA KURLA ROAD, ANDHERI EAST, MUMBAI - 400 072

5

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


Annexure - 3

TRADING

For Non Individual

A. BANK ACCOUNT (S) DETAILS

MICR / Bank code IFS code

Bank Account No.

Account Type

Bank NameBranch address

Current

B. DEPOSITORY ACCOUNT (S) DETAILS

Beneficiary Name

Depository Participant Name Depository Name NSDL CDSL

DP ID Beneficiary ID

C. 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.

D. PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years ...............................................

Exchange Segments

NSE

Cash

F & O

Currency

Others: ..................................................................................................................................................

PIN

(2/19)

(3/19)

(4/19)

(6/19)

BSE Cash

MCX-SX Currency

(5/19)

& DP RELATED BANK ACCOUNT DETAILS

6


DECLARATION1. I/We hereby declare that the details furnished above are true and correct to the best of my/our

knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disclosure Document'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker's designated website, if any.

Place:.............................................. Date:................................................

F. ADDITIONAL DETAILS

G. INTRODUCER DETAILS (optional)Name of the Introducer

Status of the Introducer Sub-broker Remisier Authorized Person Existing Client Othersplease specify

Address of Introducer

Phone Signature of the introducer

Whether you wish to receive physical contract note or Electronic Contract Note

(ECN) (please specify):

Whether you wish to avail of the facility of internet trading/ wireless technology (please specify):

Specify your Email id, if applicable:

Number of years of Investment/Trading Experience:

(7/19)

Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)

Client Code

Name of stock broker Name of Sub-Broker, if any

Details of disputes/dues pending from/to such stock broker/sub- broker

Exchange

E . DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERSIf client is dealing through the sub-broker, provide the following details:

Registered office address:Sub-broker's Name SEBI Registration number

Phone Fax Website

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UCC Code allotted to the Client: ………………………………........................................…..

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

for Hedge Equities Ltd.

Authorised Signatory

Date………………………… Seal/Stamp of the stock broker/Dp

SCHEDULE OF CHARGES FOR TRADING ACCOUNT

Brokerage Slab

Daily Square up

Brokerage Slab

Brokerage Slab

Daily Square up

Daily Square up

Settlement square up

Delivery based

Slab % Minimum

Future % Minimum

Same as above Same as above

Option % (Maximum 2.5%) Minimum per lot (Maximum Rs. 100/-)

Brokerage Slab

Daily Square up

Maximum Minimum

STATUTORY CHARGES

Stamp charge, Securities Transaction Tax, Transaction Tax, Service Tax, Service Tax on Transaction TaxEducational CESS etc. are applicable as per rules

CashSegment

DERIVATIVE SEGMENT : SLAB%

FOR FUTURE (STRIKE)

DERIVATIVE SEGMENT : SLAB%

FOR OPTIONS (PREMIUM)

CURRENCY SEGMENT :SLAB%

FOR CURRENCY

First/Sole Holder

Signature

Name

(8/19)

8

Whereas the client intends to open securities trading accounts with Hedge Equities Ltd.(hereinafter referred as Hedge) for the purpose of trading in capital market segment, futures and options and currency derivative segments of the National Stock Exchange of India Ltd. capital market segment of The Bombay Stock Exchange Ltd; and the MCX Stock Exchange Ltd. and mutual fund transactions facilities offered by SEBI recognized stock exchange and whereas for the purpose of more fully and conveniently availing of the services agreed to be provided by Hedge and also the additional services that may be made available by Hedge from time to time, the client, on its own free will and volition, agrees to accept and be bound by the following terms and conditions. The client understands that the Terms and conditions are voluntary i.e, non mandatory in nature but on their acceptance, these shall constitute the contract between the parties and bind them fully and be enforceable by each party against the other.1. EXECUTION OF ORDERS(a) The CLIENT confirms and agrees that p l a c i n g a n order with the Member including a market order, does not guarantee execution of the order. The MEMBER has t h e absolute right to reject any order that may be made by the CLIENT for any reason whatsoever including for the breach of the requirement of maintaining the prescribed Margin in the CLIENT account or the Bank account.(b) The CLIENT agrees that if, under any circumstances or for any reason, the market closes before the acceptance of the order by the Exchange, the order may be rejected. The CLIENT agrees further, that the MEMBER may reject orders if the same are rejected by the Exchange for any reason. In case of rejection of an order due to rejection by the Exchange, the CLIENT agrees that the order shall remain declined and shall not be reprocessed, in any event.(c)The MEMBER may, at its sole discretion, reject any order placed on the website, through phone, or in any other manner for any reason including, but not limited to, the non availability of funds in the trading account of the CLIENT, non availability of the securities in the Demat account of the CLIENT with the designated Depos i to ry Participant, insufficiency of margin amount if the CLIENT opts for Intra- Day margin trading, suspension of scrip for trading activities by or on the Exchange, or applicabil i ty of circuit breaker to a scrip in which orders are placed or insufficient bids or offers in any particular security. The Client further understands and agrees that MEMBER shall have right to reject the orders placed by the Client and/or put circuit breakers to discourage trades g e t t i n g executed at unrealistic prices from the current market price of the security or prohibit the Client from trading in illiquid securities which creates artificial liquidity or


VOLUNTARY TERMS AND CONDITIONS

manipulates prices or to discourage Client from cross / synchronised trading and MEMBER shall not be liable for any loss arising out of non acceptance or rejection of the Client orders by the MEMBER for any such reason if the Client fails to give sufficient reason for placing such orders.(d) The CLIENT is aware that the Electronic Trading System either at the Exchange or in the MEMBER'S office is vulnerable to disruptions, breakdown or failures. In the event of non-execution of trade orders or trade cancellation due to the happening of such events or vulnerabilities due to failure/disruption/ breakdown of system or link, the CLIENT may not be able to execute the desired transactions In such an event the MEMBER does not accept responsibility for the losses, costs, expenses or damages that may be incurred by the CLIENT due to such eventualities. 2. CANCELLATION OR MODIFICATION OF ORDERSThe CLIENT confirms and agrees that: (a) The execution of order cancellations or modifications is not guaranteed. Cancellation of orders is possible only if the original order remains pending at the Exchanges. Market orders are subject to Immediate execution. The CLIENT shall not presume that an order has been executed or cancelled or modified and the CLIENT is required to verify the status of his /its orders with the trade confirmations by the MEMBER. (b) Unless otherwise specified by the MEMBER, any order not executed at the end of the day shall stand cancelled.© In the event of trade cancellation due to such events or vulnerabilities, MEMBER shall be entitled to cancel relative contract(s) with the CLIENT At times, due to unforeseen circumstances the MEMBER may not be able to execute the desired transactions (either the CLIENTS own transactions or transactions for enforcing margins as provided in this agreement) on a timely basis.The MEMBER does not accept responsibility for any losses that the CLIENT may incur on such eventualities beyond the control of the MEMBER.(d) The MEMBER shall have right to reject any order based on its risk perceptions.3. DELAYED REPORTING OF TRANSACTIONS:The CLIENT confirms and agrees that:(a) If trades or transactions are reported late to the MEMBER on account of any problems at the Exchange or for whatsoever reason, the CLIENT in turn will be subject to late reporting of transactions.(b) In addition, any errors reported to the CLIENT for any reason whatsoever will stand subsequently corrected to

9


reflect the transaction that was effected in the market.4. ADJUSTMENT OF BALANCESThe CLIENT or a Constituent of the "Family" of the CLIENT (for the purposes of this agreement "Family" shall hereinafter mean all the individuals, group companies, firms, entities and other persons as notified to the MEMBER from time to time) who may be registered as a CLIENT with the MEMBER under one or more of the following segment(s):(a) as a Broking CLIENT for dealing in securities on one or more segment(s) of National Stock Exchange of India Limited and /Bombay stock exchange, MCX - SX (b) as a CLIENT holding depository account with Hedge Equities Ltd.(c) as a CLIENT registered under the - Portfolio Management Scheme of Hedge Equities Ltd.(d) or for any other product or service that may be offered and availed in future.agree that the account of the CLIENT or that of any constituent of the "Family" refers to and includes any account(s) in any of the above segments or Exchange, taken individually or collectively including account(s) opened by the Member after the signing of this agreement.The CLIENT confirms and agrees to adjust the balances in its account with the balances in the accounts of his Family as per the terms communicated to the MEMBER.

5. MEMBER CLIENT COMMUNICATION(a) The CLIENT confirms and agrees to the form of Communication Documents which may be sent by electronic delivery between the parties may be in the form of an electronic mail (including any auto replies from the system of the MEMBER), an electronic mail attachment, or in the form of an available download from the web site. The MEMBER shall be deemed to have fulfilled any legal obligation to deliver to the CLIENT any such document if sent via electronic delivery, provided however that the notice of termination specified in the Terms herein, shall be in writing.b) Electronic Communication of Documents:(I) The CLIENT confirms, agrees and authorizes the Member to send the contract note / trade confirmations of the trades executed, bills and account statements or such other data relating to his trading account with the MEMBER and also authorises Depository Participant to send all bills and/or transactions statements, communication and information through electronic mail to his / her / its email address maintained at Hedge Equities Ltd. / or such other designated email address as may be intimated by the Client to the Member. The CLIENT agrees that the MEMBER fulfils its legal obligation to deliver to the CLIENT any such document if sent via electronic delivery. The Client agrees that the log

report generated by the system at the time of sending of the contract notes or other documents shall be treated as the acknowledgment and confirmation of receipt of contract notes and such other documents by the Client. The CLIENT understands that it is his / her / its responsibility to review, upon first receipt, whether delivered to CLIENT by mail, by e-mail (including any auto replies from the system of the MEMBER), or other electronic means, all confirmations, statements, notices, contracts, bills and other communications. All information contained therein shall be binding upon the CLIENT, if the CLIENT does not object, either in writing or via electronic mail, within twenty four hours after any such document is sent to the CLIENT. In all cases, the MEMBER reserves the right to determine the validity of the CLIENTS objection to the transaction. The Member, may on request by the Client, send hard copies of the contract notes or such other documents. Further non-receipt of b o u n c e d mail notification by the Member shall amount to delivery of contract note at the Email ID of the Client.(ii) The Member may at any time amend the margin requirements, the list of approved securities accepted as margin, or such other terms of the agreement by modifying or rescinding any of the existing provisions o r conditions or by adding any new provision or condition, by conspicuously posting notice of such amendment on its web site. The Member shall not be required to communicate any modification or rescission individually to the Client either through physical or electronic form, and any separate notice of amendment or modification is deemed to be waived by the Client. The continued use of the services of the Member after such notice will constitute acknowledgment and acceptance of such amendment. These terms (as amended or modified from time to time) represent the entire agreement between the Client and the Member concerning the subject matter hereof.(c) Change of AddressUnless the CLIENT informs the MEMBER of the change of the address for communication in writing, all notices, circulars, communication or mail sent to the existing address shall be deemed to have been received by the CLIENT irrespective of whether they are actually received or not.6. ADDRESS FOR COMPLAINT/ INVESTOR GRIEVANCES AND COMMUNICATIONThe Client understands and confirms to send all the Complainants and queries in case of any grievance or complaint arising out of and in the course of trading in securities Client will send the complaint on the email address at [email protected]. Alternatively the Client shall send the written complaint marked to Investor Grievance Cell, Hedge Equities Ltd., Hedge House, Mamangalam, Palarivattom, Kochi - 682 025The Client further understands and agrees that MEMBER

10


may take 7 working days time to reply on such complainant / query.

All notices or communications other than above and excluding instructions to carry out trades, shall be sent in any one or more or all of the following ways(a) by post(b) by registered post (c) by express delivery post(d) by telegram(e) by affixing it on the door at the last known business or residential address(f) by communication to the party on the last known telephone number or on the recorded machine of such number.(g) By advertising it in atleast one prominent daily news paper having circulation in the area where the last known business or residential address of the Respondent is situated.(h) by sending a email to the Client on the mail address by the MEMBER,(I) by electronic mail or sending a message through trading system.

7. DISPUTE RESOLUTION(a) The CLIENT agrees and confirms that except or the claims/disputes which are subject to the Rules and Regulations of the respective Exchanges on which the trades have been executed, any and all claims and disputes arising out of or in connection with this Agreement or its performance shall be settled by arbitration by a single arbitrator to be appointed by the MEMBER. The parties agree that the arbitration shall be held at such place within India as the MEMBER may in its sole discretion specify at the time of, or at any time prior or subsequent to, the reference to arbitration. The Courts at the place specified by the MEMBER for holding the arbitration proceedings or, if law does not permit the same, the Courts at the city in which the MEMBER'S concerned office is situated, shall have exclusive jurisdiction in relation to this Agreement, the arbitration and all matters arising in connection herewith and therewith. The arbitration shall be governed by the provisions of the Arbitration and Contiliation Act, 1996.8. JURISDICTION(a) The Member and the CLIENT declare and agree that the transactions executed on the Exchange are subject to the Rules, Byelaws and Regulations and circulars issued hereunder of the Exchange and all parties to such trade shall have submitted to the jurisdiction of such court as may be specified by the Bye laws and regulations of the Exchange for the purpose of giving effect to the provisions of the Rules, Byelaws and Regulations of the Exchange

and the circulars issued thereunder.(b) The MEMBER hereby agrees that it shall ensure faster settlement of any arbitration proceedings arising out of the transactions entered into between the MEMBER and the CLIENT and that it shall be liable to implement the arbitration awards made in such proceedings.© This service does not constitute an offer to sell or a solicitation of an offer to buy any shares, securities or other instruments to any person in any jurisdiction where it is unlawful to make such an offer or solicitation. This service is not intended to be any form of an investment advertisement, investment advice or investment information and has not been registered under any securities law of any foreign jurisdiction and is only for the information of any person in any jurisdiction where it may be lawful to offer such a service. Further, no information on www.hedgeequities.com is to be construed as a representation with respect to shares, securities or other investments regarding the legality of an investment therein under the respective applicable investment or similar laws or regulations of any person or entity accessing www.hedgeequities.com9. PROPRIETARY TRADING:The CLIENT confirms and acknowledge that the MEMBER undertakes Proprietary trading in addition to CLIENT based trading.The CLIENT confirms having read and understood the terms and conditions of the MEMBER CLIENT agreement and those relating to various services and products and accepts and agrees to be bound by the terms and conditions including those excluding / limiting the MEMBER'S and Exchanges' liabilities.10. RESEARCH / TRADING RECOMMENDATION:Client understands that the Member carries out fundamental and trading research / notes / trading calls / technical calls, particularly on companies, industry, stock markets, commodity markets and economy from time to time (collectively hereinafter referred to as "material"). Client may request the Member to provide such material through email or by access to the website of the Member or through SMS or any other mode on a voluntary basis by paying charges specified by the Member which shall be levied and debited to the Ledger Account of the Client maintained by the Member from time to time. Client understands and agrees that by agreeing to receive such material, Client is aware that said material is only for personal information of the Client and that the same shall not be reproduced or redistributed to any other person. Further Client understands and confirms that said material is not an offer or the solicitation of an offer to buy any security and by sending this material on request, Member or any of its officers, directors, personnel and employees shall not be liable for any loss, damage of any nature, including but not limited to direct, indirect,

11


(9/19)

punitive, special, exemplary, consequential, as also any loss of profit in any way arising from the use of this material in any manner. Client is aware that the investments discussed in the said material may not be suitable for all investors. Client shall, therefore, before dealing and/or transacting in any of the products referred to in the said material, make own investigation, seek appropriate professional advice. Client shall be fully responsible/ liable for all decisions on investments / disinvestments taken by him/her/it on the basis of the said material. Client understands, confirms and agree that Member may discontinue providing such material and that Member shall have no responsibility to update any information provided to the Client nor does Member represents that the information provided in the said material is complete. Further by providing such material Member is not acting as a portfolio or financial adviser nor does Member assumes any fiduciary duties.11.RECORDING OF CONVERSATION:The client is aware and agrees that Hedge may tape record the conversation between the client/clients representative and hedge, whether over the telephone or in person. Hedge may produce before competent authorities, voluntarily or on such production being required by such authorities, recorded conversation or transcript thereof or both as valid evidence of the content of the conversation so recorded.12.ELECTRONIC PAYMENT GATEWAY FOR NET BANKING SERVICES:Hedge may provide on its internet trading website, without additional cost to the Client, access to Electronic Payment Gateways provided by various banks for facilitating transfer of funds from client’s bank account to the account of the to client with Hedge. Client understands that Hedge is only providing access to the electronic fund transfer facility provided by the banker of the client through Hedge’s website by means of an interface and is not liable or responsible for the proper functioning or otherwise of the Gateway or for any transaction errors, losses, malfunctioning or hacking of the system by unscrupulous elements, frauds, and/or any incidental or consequential clients arising their out. Client undertakes not to make Hedge a party to any litigation, client, dispute, difference or complaint that the client may initiate in respect of, arising out of or in connection with any transactions on the Gateway and agrees that Hedge’s liability shall at all time be limited to to the amount

actually received in its account by Electronic transfer from client’s account with the bank.13.INTERNET/ WIRELESS TECHNOLOGY BASED TRADING FACILITY:13.1. Hedge offers internet and Mobile trading facility for transaction in securities on the concerned exchanges including faci l i t ies for onl ine application of IPO/FPO/NFO/Bond issues or any other issues of securities or services to apply/purchase/ redeem/ sale/ buyback or otherwise deal in the units of mutual funds (hereinafter referred to as “the internet/wireless trading system”) through exchange approved software. The client can route its orders to Hedge over the internet/Mobile/Laptop with data card or any other devices which use internet protocol for purchasing, selling and dealing in securities. The client may avail for such trading facility provided by Hedge by complying with the formalities prescribed thereof.13.2. Non-usage of internet/wireless trading facility: if the client does not use the internet/wireless trading facility for continues period of three months or such other period as Hedge may notify, the facility may be deactivated without notice and the client shall comply with the prescribed formalities for reactivating the facility. Trades can, however, be executed at all time by placing orders off-line with the concerned branches of Hedge.13.3. The client understands and agrees that Hedge as different product of the internet trading/wireless trading softwares which have been approved by the exchanges and the client shall be allotted such product as may be chosen by him. The client also understand and agrees that depending on the trading activity of the client, Hedge shall have the exclusive right and liberty to change the product version allotted to the client and allot a different product version of the internet Trading/Wireless Trading facility.13.4. Orders of the client subject to review by Hedge: the client agrees that the Hedge may, or being suspicious of any of the transactions, review any order placed by a client, which may cause delays in the processing of the client’s order or may result in rejection of such orders.I/we here by confirm to have read and understood the terms and conditions as mentioned above and agree to abide by the same.

12


Consent to debit the trading account for theDP charges and the penalties levied in the Demat account

Date:ToHedge Equities Ltd.B 302 Trade Square, Mehra Compound, Near DSK Madhuban, Sakinaka Kurla RoadAndheri East, Mumbai - 400072

Sir,

My Unique Client Code is _____________________

Yours faithfully,

Client’s Name______________________ (11/19)

My Demat A/c No. is 12057300_______________

I / We have a trading account as well as a Demat account with Hedge Equities Ltd., For the convenience of payment of all the charges,pertaining to my demat account, I/we hereby request you to debit my trading account with all the DP account charges, as and when the bill is raised by Hedge Equities Ltd. (Depository Participant )

Further, I understand that in case of any non-compliance of the Bye Laws, Rules and Regulations as laid down by SEBI / Exchanges and / or the Depositories, and for any other matters that may be decided by Hedge Equities Ltd. from time to time, Hedge Equities Ltd.may charge penalty on me. Such penalty amount shall be directly debited to my account. I/We hereby request you to debit my trading account for the amount of penalty charged in my demat account with you.

VOLUNTRY

ACKNOWLEDGMENT

I / we hereby confirm and acknowledge the receipt of the following documents

1. Right and Obligations : Document stating the Rights and Obligations of Stock Broker/ Trading Member, Sub Broker/ Authorised Person and Client for Trading or Exchange (Including additional Rights and Obligations in case of Internet / Wireless technology based trading)

2. Risk Disclosure Document (RDD) : Document detailing risks associated with dealing in the securities market .

3. Policy and Procedures : This document contains the policies and procedures of Hedge Equities Limited for cash, F&O and Currency Segments.

4. Right and Obligations of Beneficial Owners and Depository Participants : Document stating the Rights and Obligations of Beneficial Owners and Depository Participants.

5. Guidance note : Document Detailing do’s & Don't’s for trading on exchange, for the education of the investor.

First/Sole Holder Second Holder Third Holder

Signature (10/19) (1/6)1/6)

13

(RUNNING ACCOUNT AUTHORISATION)

Date.................................

To

Hedge Equities Ltd.

Hedge House, Mamangalam,

Palarivattom, Kochi - 682 025

I/We are dealing through you as a client in Capital Market, Future & Option and/or currency segment and in order to facilitate ease of operations and up front requirement of margin for trade. I/We authorize you as under:

1. I/We request you to maintain running balance in my account & retain the credit balance in any of my/our account and to use the unused funds towards my/our margin/pay-in/other future obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing corporation unless I/weinstruct you otherwise.

2. I/We request you to retain securities with you for my/our margin/pay-in/other-future obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing corporation, unless I/We instruct you to transfer the same to my/our account.

3. I/We request you to settle my fund and securities account Once in every calendar Quarter or Once in a calendar Month or such other higher period as allowed by SEBI/Stock Exchange time to time except the funds given towards collaterals/margin in form of Bank Guarantee and/or Fixed Deposit Receipt.

4. In case I/We have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the exchanges.

5. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in writing within 7 working days from the date of receipt of funds/securities or statement of account or statement related to it, as the case may be at your registered office. After that I/We shall have no right to dispute the transaction, funds and/or securities ever and agree that you shall not be liable for any incidental loss/damage caused due to retention of funds and/or securities.

6. I/We request you to hold the amount upto Rs.10,000/- before issuing the compulsory quarterly /monthly settlement of fund.

Thanking you

Yours faithfully,

Client Name:

Client Code:(12/19)

VOLUNTRY

7. I/We confirm you that I can revoke the above mentioned authority at any time by giving notice in writing to you.

Account Opening Form14


Sir,

Sub: Mutual Fund Service System facility in NSE &BSE

I/We ________________________________ am/are registered as your client with Client Code No. _________ in the Capital Market segment of National Stock Exchange of India Ltd.and Bombay Stock Exchange Ltd .

I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the MFSS in NSE and BSE Star MF.

For the purpose of availing the MFSS in NSE and BSE Star MF facility, I/we state that Know Your Client details as submitted by me/us for the stock broking may be considered for the purpose of MFSS in NSE and BSE Star MF and I/we further confirm that the details contained in same remain unchanged as on date.

I/We are willing to abide by the terms and conditions as mentioned in the NSE Circular dated November 24, 2009 and BSE Circular dated December 2, 2009 and as may be specified by the Exchanges from time to time in this regard.

I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI).

I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandumaddenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.

I/We therefore request you to register me/us as your client for participating in the MFSS in NSE and BSE Star MF.

VOLUNTRY

Mutual Fund Service System facility Annexure - 3

ToHedge Equities LtdHedge House,Mamangalam,Palarivattom, Kochi-682 025 Date:

Thanking you,Yours faithfully

(13/19)

15


Voluntary information provided by the client in relation to the Prevention of Money Laundering Act, 2002

Name of the Client :If Business / Profession : Nature of business :

Industry : Details of the Relatives, having account with Hedge Equities Ltd.:

Name Relationship UCC

Name Entity Type UCCNature of Business RelationshipDetails of the Relatives, having account with Hedge Equities Ltd.:

I / We hereby submit and agree to submit every year following documents to Hedge Equities Ltd., before the due date as prescribed by Hedge Equities Ltd.:

1. Profit and Loss Account & Capital Account2. Balance Sheet3. Self attested copy of Income Tax Return (If return not available, please furnish Form 16 )

I / We confirm that I will immediately inform Hedge Equities Ltd. in case I am convicted under any grounds or any action is taken against me / us by any authority. Do you intend to invest in the stock market with : Own Funds Borrowed FundsIf Borrowed Funds, then please specify Sources of funds :

Sources Amount (Rs.)

Certificate / Opinion Report from the Banker / Financial Institution confirming that there has been no default in the client’s account to be attached.

I / We hereby declare that I/we am/are beneficial owner of the Trading / On-line account opened with Hedge Equities Ltd.

Name & Signature of Client

Low Risk Medium Risk High RiskClient Category

Signature

NameVerified By

(14/19)

16


Annexure - 4

Additional KYC Form for Opening a Demat Account

(Please fill this form in ENGLISH and in BLOCK LETTERS.)

FOR NON INDIVIDUALS

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025, Kerala Tel : 0484 3040400

I / We request you to open a demat account in my / our name as per the following details

DP ID 1 2 0 5 7 3 0 0 Client ID

Date D D M M YY Y Y(To be filled by H.O)

A. HOLDERS DETAILS

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

Name *

Type of Account (Please tick whichever is applicable)Status Sub – Status

Body Corporate Trust Bank

Others (please specify) ____________________________

Mutual Fund CM To be filled by the DP

________________________

SEBI Registration No. (If Applicable)

RBI Registration No. (If Applicable)

SEBI Registration date

RBI Approval date

D D M M Y Y Y Y

D D M M Y Y Y Y

Nationality Indian Others (specify) ______________________

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

[Automatic Credit]Yes No

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID

I / We wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes’)

Yes No

Yes No

Sole/First Holder’s Name

Second Holder’s Name

Third Holder’s Name

SearchName PAN

PAN

PAN

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

Yes NoI / We would like to share the email ID with the RTA

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 Physical)

17

Regd Office: B 302 TRADE SQUARE, MEHRA COMPOUND, SAKINAKA KURLA ROAD, ANDHERI EAST, MUMBAI - 400 072


Clearing Member Details (To be filled by CMs only)Name of Stock ExchangeName of CC / CHClearing Member Id Trading member ID

Sole / First Authorised Signatory Second Authorised Signatory Third Authorised Signatory

Sign

ature

Desig

natio

nNa

me

(In case of more authorised signatories, please add annexure)(Signatures should be preferably in black ink).

Acknowledgement ReceiptApplication No.: Date:

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

Name of the Sole / First Holder

Name of the Second Holder

Name of the Third Holder

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 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.

18

(15/19) (2/6) (2/6)

(17/19)

(4/6)

(4/6)

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025, Kerala

(16/19)(3/6)

(3/6)

VOLUNTARY POA ID 2205730000000016

Account Opening Form19


VOLUNTARY

Form BForm for Subscription for contract notes / A/C information on E-mail and SMS

E-mail Registration

SMS Alert Facility (Refer to terms & conditions given as annexure 2.4)

I/We agree that any change in Mobile number shall be communicated by me/us through a physical letter to the trading member/depository participant.

(This form may be submitted at the nearest branch or sub broker’s office of Hedge Equities Ltd. or Hedge Equities Ltd., Hedge House, Mamangalam, Palarivattom, Kochi - 682 025. Tel : 0484 30 40 400

Client Name

Client Code

(18/19) (5/6)signature of 2nd holder

(5/6)signature of 3rd holder

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

To register for easi, please visit our website www.cdslindia.comEasi allows a BO to view his/her ISIN balances, Transactions and values of the portfolio onlineEasi

I/We confirm having opted the statement of transactions/holdings/digitally signed contract notes/ confirmations/account statements/bills or other reports, account modification, statement(s) pertaining to the above mentioned BO/Trading account in electronic mode in lieu of physical copy(ies). I/We further confirm that I/We wish to receive or continue to receive the electronic statement of transactions/ account modification/holdings/digitally signed contract notes/confirmations/account statements/bills or other reports, Statement(s) related circulars, notices, amendments and such other correspondence, documents, records by whatever name called (hereafter referred to as “Statement(s)” issued from time to time in electronic form, subject to the terms and conditions prescribed by SEBI, the respective Stock Exchanges/Depository and Hedge Equities Ltd. duly authenticated by means of a digital signatures as specified in the Information Technology Act 2000 and the rules made thereunder, to my / Our email ID mentioned with this application of the First/ sole holder, which email address has been generated by me / us

I /We further hereby agree that Hedge Equities Ltd shall fulfill the legal obligation, if the above statement(s) are sent electronically to my/our email ID. I/We further agree that you shall not be responsible for the non receipt of the electronic statement of transactions/holdings/account modification/digitally signed contract notes / confirmations / account statements/ bills or other reports, Statement(s) related circulars, notices, amendments and such other correspondence, due to any change in the address not intimated to you in writing. I/We agree that any change in email id / or any other instruction shall be communicated by me/us through a physical letter to the trading member/depository participant.

NoYes

NoYesI/We request you to send customized Alert message through SMS with respect to transaction/confirmations/information relating to my/our Account to the mobile number which is registered with this application of the first holder. Further I understand that these services will be provided free initially. In future it may be discontinued as a FREE service and charges for this service if levied, will be formally communicated well in advance for re-subscription.

BOID 12057300

Transactions using

Secured Texting

Facility (Trust). Refer to

Terms & Conditions

Annexure 2.6

I/ We wish to avail the TRUST facility using the Mobile number registered for sms alert facility.I have read an understood the terms and conditions prescribed by CDSL for the same.

Yes NoI / We wish to register the following clearing member IDs under my /our below mentionedBO ID Registerd for TRUST

Stock ExchangeName/ID

Clearing MemberName

Clearing Member ID(Optional)

20

Note :

a. Stamp charges are applicable while registering Power Of Attorney (POA)b. Taxes, levies & other statutory charges shall be charged as per rulesc. All charges & dues will be debited to the trading account of sole/joint demat account holder(s)maintained with Hedge Equities Ltd.d. Actual Postage/courier charges shall be levied for all communications.e. Additional printout of statement will be charged @Rs.25/- per statement per accountf. Any Services which is not mentioned above will be charged separately as per the rates applicable from time to time

Regd Office: B 302 Trade Square, Mehra Compound, Sakinaka Kurla Road, Andheri East, Mumbai - 400 072

(19/19) (6/6) (6/6)

21 Account Opening Form