depository account details (transactions would be generally routed through the below demat account.)...

INDEX

NSDL - Version 14.1 2

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

Sr. No. Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI, DEPOSITORY & EXCHANGES

4-518-21

10-12

Know Your Client (KYC) Application Form

Name of the Document

2.

1Account Opening Form-Checklist & Instructions1. This Document provides Instructions & Checklist relevant to opening oftrading & demat account

This Document captures the basic information about the client/Joint Holder for Demat Account

6-9Account Opening Form for Trading & Depository3. This Document captures the additional information about the clientrelevant for opening trading & demat account.

Policies and Procedures4. This Document describes significant policies and procedures adoptedby the Stock Broker.

Page No.

Registered Office Address

Correspondence Office Address :

Address

:

Processing Office :

10th Floor, Beta Building, Lodha iThink Techno Campus, Off. JVLR, Opp. Kanjurmarg Station, Kanjurmarg (East),Mumbai - 400 042, Maharashtra. | Tel: 022 - 6115 0000. | Fax: 022 - 6748 1899 | Website: www.sharekhan.com

Plot No.1012, Devidayal Compound, Kanjur Village Road, Near Crompton & Greaves Ltd. Kanjurmarg (East),Mumbai - 400 042, Maharashtra. | Tel: 022 - 6128 1700 | Fax: 022 - 6693 0305 | Website: www.sharekhan.com

3rd Floor, Bay City Centre, 309, Ponnamallee High Road, Above Maruti Kapico Show room, Near PachiyappasCollege, Chennai- 600010 | Tel: 044-49105050 / 28362900 / 28363160 / 49035050 / 49035051 | Website: www.sharekhan.com

Registered Office Address

Correspondence Office Address :

Address

:

Processing Office :

SHAREKHAN LIMITED

EXCHANGE SEGMENT SEBIREGISTRATION NO.

SEBIREGISTRATION NO.

DATE

F&O

CURRENCYDERIVATIVECURRENCYDERIVATIVE

CASHBSE INB011073351INF011073351

28.12.199902.06.2000

INE011073351 28.11.2013

F&O


CASHNSE INB231073330INF231073330

30.11.200630.11.2006

INE231073330 25.08.2008

F&O


CASHMSEI INB261073333INF261073333

05.02.201305.02.2013

INE261073333 30.09.2008

Compliance Officer: Tel. No : 022 - 6115 0000, E-mail ID:[email protected] Name: Tel No. : 022 - 6115 0000, E-mail ID: [email protected]

[email protected]/

(3) - [email protected] or contact at 022 - 2499 4200(4) - [email protected] or contact at 022 - 2272 3333

- Login in through SEBI SCORES to address your grievences(6) - [email protected] or contact at 022 - 6112 9000 / Ext. 9028

Mrs. Namita Godbole,

Mr. Tarun ShahFor any grievance/dispute, please contact Sharekhan Limited at the above address or e-mailat [email protected]/[email protected] 1800-2275-00. In case you are not satisfied with the response, please contact the concernedExchange(s)asprovidedbelow:(1) - [email protected] at 1800-2200-58(2) - [email protected] or contact at 022 -2272 8097

(5)

,

NSEBSENSDLCDSLSEBIMSEI

,

NSEBSENSDLCDSLSEBIMSEI

IMPORTANT NOTESignature of First Holder/Client/Applicant - Signature of Second Holder - Signature of Third Holder -Signature of Witness -

(8) (4) (4)(2)

IMPORTANT NOTE(8) (4) (4)

(2)

Profile Sheet This Document enables us to know your interest in the stock market sothat we can serve you better

22

5.

6.

8.

Mandate for maintaining the account onrunning account basis

This Document enables you to maintain your account on a runningaccount basis.

Power of Attorney This Document confers specific rights on Sharekhan for operating yourDemat account and for transferring the shares for margin/ pay-in purposeand also authorises Sharekhan to act based on the instructions given by you

13

14-15

9. Tariff Sheet This Document provides schedule of fees applicable for demat Account 23

SIP Mandate 16-177. This Document authorises Sharekhan to place SIP request withRTA / AMCs on behalf of the client

BRANCH STAMP & DATEBRANCH STAMP & DATE H O STAMP & DATE


FOR INTERNAL USE ONLY

FOR SHAREKHAN BRANCHES ONLYFOR SHAREKHAN BRANCHES ONLY

Client Name:Branch Inward DateRe-Inward DateRe-Inward DateRe-Inward Date

Executive Name:Form No.:KYC Pick-up dateIPV & DocumentVerification DateIPV & DocumentVerification Date

Objection (Inward:1) Date of Objection Raised:



Sales Co-od Emp CodeSales Co-od Name

Signature

CENTRAL KYC REGISTRY | KNOW YOUR CUSTOMER (KYC) APPLICATION FORM | INDIVIDUAL

Registered office address : 10th Floor, Beta Building, Lodha iThink Techno Campus, Off. JVLR, Opp. Kanjurmarg Station, Kanjurmarg (East),Mumbai - 400 042, Maharashtra. | Tel: 022 - 6115 0000 | Fax: 022 - 6748 1899 | Website: www.sharekhan.com

Registered office address :

SHAREKHAN LIMITED

Country Land Mark

For office use only(To be filled by financial institution)

Application Type*

KYC Number

Account Type*

New Update

Normal Simplified (for low risk customers) Small

(Mandatory for KYC update request)

Fields marked with ‘*’ are mandatory fields

1. PERSONAL DETAILS (Please fill the form in English and in BLOCK letters)1. PERSONAL DETAILS

Prefix First Name Middle Name Last NameName* (Same as ID proof)

S-ServiceO-OthersB-BusinessX-Not Categorised (Please Specify ____________________________________)

S-ServiceO-OthersB-BusinessX-Not Categorised

Private SectorProfessional

Public SectorSelf Employed

Government SectorRetired Housewife Student

Occupation Type*

Signature

PHOTO

4. PROOF OF ADDRESS (PoA)* (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILSAddress Type* Residential / Business Residential Business Registered Office UnspecifiedProof of Address* Passport Driving Licence UID (Aadhaar) Others please specify

3. PROOF OF IDENTITY (Pol)* (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

Voter Identity Card NREGA Job Card Simplifed Measures Account - Document Type code

Line 1*

Line 2

Line 3

District*

City / Town / Village*

Pin / Post Code*

Address

State

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS *4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS

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

Line 1*

Line 2

Line 3

District*


Pin / Post Code*State

Maiden Name (If any*)Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

F- Female T-TransgenderM - MaleGender*

Person of Indian OriginForeign National

Citizenship* IN-Indian Others ___________________

Residential Status* Resident Individual Non Resident Indian

D D M M Y Y Y YDate of Birth*

Marital Status* Married Unmarried Others _______________________________

B - UID (Aadhaar)

Identification Number

Passport Expiry Date D D M M Y Y Y Y

Driving Licence Expiry Date D D M M Y Y Y Y

A- PAN Card

C- Voter ID Card

Identification NumberH- Simplified Measures Account - Document Type code

E- Passport Number

F- Driving Licence

G- Others (any document notified by the central government

D- NREGA Job Card

Email ID _________________________________________________________________

2. CONTACT DETAILS (All communications will be sent on provided Mobile no. / Email-ID)2. CONTACT DETAILS

Tel. (Off)FaxTel. (Res)

Mobile

Country Land Mark

(1)

4

Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*)

6. DETAILS OF RELATED PERSON (In case of additional related persons, ple ase fill ‘Annexure B1’)6. DETAILS OF RELATED PERSON

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

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

7. REMARKS (If any) Mobile no. / Email-ID)7. REMARKS

Prefix First Name Middle Name Last Name

8. TIONAPPLICANT DECLARA8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY9. ATTESTATION / FOR OFFICE USE ONLY

Date : Place :_______________________D D M M Y Y Y Y

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

PROOF OF IDENTITY [PoI] OF RELATED PERSON*

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

Employee Signature Institution Stamp & Signature of Authorised Signatory

SHAREKHAN LIMITED

Originals Verified & Self -Attested Document Copies Received.This is certify that I have carried out in-person verification in respect of the client mentioned in the KYC form.

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES*

Line 1*

Line 2

Line 3

State


Country Zip / Post Code*

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

Important Instructions:

A) Fields marked with ‘*’ are mandatory fields.

B) Please fill the form in English and in BLOCK letters.

C) Please fill the date in DD-MM-YYYY format.

D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

F) List of two character ISO 3166 country codes is available at the end.

G) KYC number of applicant is mandatory for update application.

H) For particular section update, please tick (P) in the box available before the section number and strike off the sections not required to be updated.

Signature of Applicant

B - UID (Aadhaar)




A- PAN Card

C- Voter ID Card


E- Passport Number

F- Driving Licence


D- NREGA Job Card

5. RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA5. RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

ADDITIONAL DETAILS REQUIRED*(Mandatory only if section 4.3 is ticked)

Country of Jurisdiction of Residence*

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

______________________ Country of Birth* ____________________ Place/City of Birth* ______________________

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

(2)

IN0344

5

ACCOUNT OPENING FORM FOR TRADING & DEPOSITORYONLINE OFFLINE


Consent to avail of the facility of internet trading / wireless technology Yes No6.

Mode of receiving Annual Reports & Statement of Accounts Physical Electronic Both Physical & Electronic(For all online clients or if not ticked, the default option would be Electronic) (Applicable for Demat Account)

7.

Mode of receiving Contract Notes & Statement of Accounts Physical Electronic(For all online clients or if not ticked, the default option would be Electronic) (Applicable for Trading Account)

8.

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly9.

Client-ID (to be filled by DP) Client Code/S2K ID

I/We request you to open a Trading & Demat Account Trading Account (Please fill all the details in CAPITAL LETTERS only)

A. TYPE OF ACCOUNT INDIVIDUAL (Please tick whichever is applicable)A. TYPE OF ACCOUNT INDIVIDUAL

o Resident o Promoter o Margin o Others (specify) ______________________

B. DETAILS OF ACCOUNT HOLDERS (In Case of Partnership / LLP / AOP/ Trust / HUF, the account would be in the name of partner or trustee or karta)B. DETAILS OF ACCOUNT HOLDERS (In Case of Partnership / LLP / AOP/ Trust / HUF, the account would be in the name of partner or trustee or karta)

First Holder/Client

Second Holder

Third Holder

Preferred user ID: (1)Preferred user ID: (2) (3)

C.STANDING INSTRUCTIONS

Group Code & Name: Remiser Code & Name :

Consent to receive credits automatically into my/our Account. (If not ticked, the default option would be “Yes”) Yes No

Account to be operated through power of attorney (POA)

Consent to share the email ID with the RTA

Consent to send Electronic Transaction-cum-Holding Statement at Sole/First Holder’s email id stated in the KYC

Sr. No. Authorisations Please Relevant�Please Relevant�

2.

Yes No3.

4. Yes No

5. Yes No

CityI N 3 0 0 5 1 3

D. BANK ACCOUNT DETAILS

Default Bank (Through which payout transactions would be generally routed)Default Bank ( Additional Bank

Name & Address :

MICR Code

IFSC Code

Saving Current Other:

Account No.

Account Type

Name & Address :

MICR Code

IFSC Code

Saving Current Other:

Account No.

Account Type

Details of any action/proceedings initiated /pending/taken by SEBI/Stock Exchange/any other authority against the Client during thelast 3 years for violation of securities law/other economic offences (including action taken against relatives/associates) ________________

1. Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off / mentioned as NA.2. In future, if you need to trade in any additional Segment/Exchange, not opted above, separate authorisation letter will be required.3. In case of trading in Derivatives it is compulsory to submit proof of Financial Details.

E. DEPOSITORY ACCOUNT DETAILS (Transactions would be generally routed through the below demat account.)E. DEPOSITORY ACCOUNT DETAILS (

Depository : NSDL CDSL DP Name:

Beneficiary Name: DP ID : BO ID:

(Default for Payout)

F. INVESTMENT/TRADING EXPERIENCE & PREFERENCE

No Prior Investment Experience Years in Equities Years In Derivatives Years in other Investment Related Field

G. STOCK EXCHANGES ON WHICH YOU WISH TO TRADE

(3)

Currency DerivativesBSE, NSE & MSEI

Cash F&O

I have knowledge of trading in derivatives segment and amaware of risks associated therein

I have knowledge of trading in currency derivatives segmentand am aware of risks associated therein

(4) (5)

Page with Signature

Consent to receive standard account opening documents in electronic form Yes No1.


Gross Income RangePer Annum (Rs. in Lakhs)Gross Income RangePer Annum (Rs. in Lakhs)

5-10

10-25 25-1cr

<1 1-5

> 1cr

Details in case of Employed/Business/Professional (Nameof Employer/Establishment &Address & Nature of Business)

Details in case of Employed/Business/Professional

Amount (Rs.) _____________As on date d d m m y y y y

FIRST HOLDER SECOND HOLDER THIRD HOLDER

Networth : (should not beolder than 1 year)Networth

Name & Add. :_____________________________________________________________________Nature :_____________________

Additional Details,if applicable.(Please tick one or more as applicable)

Additional Details,if applicable.

Any other information

Politically Exposed Person(PEP)Related to a Politically ExposedPerson (RPEP) Bureaucrat

Current/Former MP, MLA or MLCPoliticianCivil Servant

Current/Former Head of State

5-10

10-25 25-1cr

<1 1-5

> 1cr

5-10

10-25 25-1cr

<1 1-5

> 1cr



Name & Add. :_____________________________________________________________________Nature :_____________________

Name & Add. :________________________________________________________________________Nature :______________________







Mobile Number Declaration(*Family to strictly include spouse,dependent children and dependentparents only. Kindly tick relevant option)

Mobile Number Declaration I hereby declare that the Mobilenumber as per KRA KYC belongs to

Dependent Children

Yes No

Family*(specify relation)Family*(specify relation)Self ORSpouseDependent Parents

Consent for SMS Alert facilityFamily PAN

I hereby declare that the Mobilenumber as per KRA KYC belongs to

Dependent Children

Yes No



I hereby declare that the Mobilenumber as per KRA KYC belongs to

Dependent Children

Yes No



Email ID Declaration(*Family to strictly include spouse,dependent children and dependentparents only. Kindly tick relevant option)

Email ID Declaration I hereby declare that the Email IDas per KRA KYC belongs to

Dependent ChildrenFamily*(specify relation)Family*(specify relation)Self OR

SpouseDependent Parents

Family PAN

I hereby declare that the Email IDas per KRA KYC belongs to



Family PAN

I hereby declare that the Email IDas per KRA KYC belongs to



Family PAN

Is your Tax Residency/Countryof Birth/Citizenship/Nationalityother than India?

Is your Tax Residency/Countryof Birth/Citizenship/Nationalityother than India?

Yes No (If Yes, please specify) Yes No (If Yes, please specify) Yes No (If Yes, please specify)

FATCA Declaration

#To include all countries other than India, where investor is Citizen/Resident/Green Card Holder/Tax Resident in those respective countries especially of USA.*Incase tax identification number is not available, kindly provide its functional equivalent

If yes, please indicate all countries in which your are resident for tax purpose and the associated Tax ID number below:

Country of Tax Residency#Tax Identification Number*Identification Type




Not PEP / Related to PEP Not PEP / Related to PEP Not PEP / Related to PEP

Country of Birth _______________Citizenship ___________________Nationality ___________________



Sources of Wealth / Income

Ancestral PropertyOthers (Please specify) _____

Gift

Prize MoneyRental Income RoyaltySalary Business


Gift



Gift


Name & Address of the Introducer:

_______________ Mobile No. / Tel. No. :

Driving Licence Voter ID

Status of the Introducer: Sub-broker/ Remisier/ Authorised Person/ Existing Client/ Director or Employee of Trading Member/ any otherPerson (Please Specify) _______________

Proof of Identity (POI) : PAN No. Passport No.

Signature:

H. INTRODUCER DETAILS (Optional)

NSDL - Version 14.1

Scheme A (TC 100) Scheme B (Tc108) Scheme C (TC119) Scheme D (TC117)** Scheme E (TC120) Scheme F(TC101)

8

J. DEALINGS THROUGH SUB-BROKERS/AUTHORISED PERSON & OTHER STOCK BROKERS No Yes (If yes, please mention details below)J. DEALINGS THROUGH SUB-BROKERS/AUTHORISED PERSON & OTHER STOCK BROKERS No Yes

Whether Employee / Agent / Approved user / Authorised Person / Sub Broker of any other *Trading / Clearing Member: (*Member in equity orcommodity Exchange/s) Yes No Name of Member _______________ (Please provide consent letter from such Trading/Clearing Member)

Whether Declared Defaulter/debarred/suspended By SEBI/FMC/RBI/ANY Other Recognized Stock Exchange/Commodity Exchange: Yes No

Whether Broker of any Exchange Yes No Name of Exchange/s_____________ (Please provide consent letter from such Exchange/s)

Details of disputes / dues pending from / to such Stock Broker / Sub-broker / Authorised Person: ................................................................................

Whether registered with any other Stock Broker / Sub-broker/AuthorisedPerson (If registered with multiple StockBroker/Sub-broker, provide all details)

Name of Broker: Name of Sub Broker/AP :

Name of Exchange: Client Code No.:

Name of Sub-broker/ Authorised Person :

Registration No: NSE BSE MSEI

R.O. Address: Tel.: Fax: Website:

K. NOMINATION ( Depository A/c only Trading A/c only All) * PAN Mandatory for Nomination in Trading A/cK. NOMINATION ( Depository A/c only Trading A/c only All)

I/We wish to make a nomination and do hereby nominate the following person who is entitled to receive securities / fund / Mutual fund unitsbalances lying in my/our account, particulars whereof are provided on page no. 8, in the event of my/our death our death.

I/ We do not wish to nominate any one for this Demat Account, Trading Account & Mutual Fund.

Option 1 : I/we wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.Option 2 : I/we do not wish to receive the Delivery Instruction Slip ( DIS) booklet with account opening. However, the DIS booklet should be issued

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

L. OPTION FOR ISSUANCE OF DIS BOOKLET (*Please refer to the details in Tariff Sheet)

I. DP TARIFF SCHEME (“Schedule A" effective from 20th, December 2010) - (Scheme Details on Page 23)I. DP TARIFF SCHEME

Consent to avail BSDA facility for new Demat account for which I/we have submitted the account opening form Yes No

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

Name of the Nominee (Mr./Mrs.)

Relationship DOB: PAN

UID: Email ID:

Tel.: Fax No: Mobile No.:

Demat account details of nominee DP ID Client ID

Name of the Nominee (Mr./Mrs.)d d m m y y y y

Address

Photographof NomineeSignature of

acrossPhotograph

Nominee /Guardian

Copy of any proof of ID : Signature of Nominee :

Name of the Guardian (Mr./Mrs.)Relationship DOB: PAN

UID: Email ID:

Tel.: Fax No: Mobile No.:

Demat account details of nominee DP ID Client ID

Name of the Guardian (Mr./Mrs.)d d m m y y y y

Address

Photographof GuardianSignature of

acrossPhotograph

Guardian

Copy of any proof of ID : Signature of :Guardian

(To be filled by DP) Nomination Form accepted and registered wide Registration No. _____________________ dated ______________.This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

Name of Witness for Nomination Address of Witness Signature of Witness

1

2


DECLARATION

(Page with Signature)

• Delivery Handling Charges (DHC) would be levied on each sale transaction in case if the value of brokerage levied is less than Rs 16/-.The value of DHC would be difference of Rs 16/- and the brokerage charged. • Expiry handling charges would be charged as applicable

•• •

Statutory cost will be charged as per Exchange / Regulatory Authorities • Trade Tiger access charges applicable from time to timeKYC Registration Agency (KRA) charges will be levied as applicable. Please refer the details of default brokerage, standard brokerage on optionsegments and schedule of charges in the Policy and Procedures.

M. BROKERAGE STRUCTURE

Minimum Brokerage will be 0.01 paisa per share applicable for futures segment & 0.01 paisa per quantity applicable for currency futures segment

Minimum amount per lot would be applicable as per the details provided in the policy and procedures.

Cash Segment

Min. Rupees/Paisa Per Share

Min. Rupees/Paisa Per Share(Percentage)

First LegSecond Leg (Same day Sq. off)

Delivery Brokerage

Next day square off

Derivatives Segment

Options Segment(Percentage)

HOptions Segment(Percentage)

HFutures Segment(Percentage)

Futures Segment(Percentage)

Currency Derivatives SegmentCurrency Derivatives Segment

Options Segment(Percentage)

HOptions Segment(Percentage)

HFutures Segment(Percentage)

Futures Segment(Percentage)

Default Brokerage

NA NA NA NA

NANA

Date:__________________________ Place:______________________

(6)

Name(s) of holder(s)/client Specimen Signature of holder(s)/client

Sole/First Holder/Guardian

Second Holder

Third Holder

(3)

(3)

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

2. I/we confirm having read, explained and understood the contents of policies and procedures, terms & conditions governing Stock Broker, RiskDisclosure Documents & Do's & Don't's for trading on the Exchanges, Rights and Obligations applicable for Stock Brokers, Sub-Brokers & Clientsas well as Rights and Obligations applicable for the Beneficial Owner & Depository Participants & the tariff sheet, as available on the website onthe company. I am further aware that a copy of terms & conditions governing Stock Broker, Risk Disclosure Document, Do's & Don't's for tradingon the Exchanges and Rights and Obligations applicable for Stock Brokers, Sub-Brokers & Clients as well as Rights and Obligations applicable forthe Beneficial Owner & Depository Participants will be received by me/us in electronic form on the email ID provided by me / us in the KYCDocument.

3. I/we have read and agree to be bound by the Rules, Regulations, bye laws, circulars and guidelines issued by SEBI, Exchanges, Stock Broker,AMFI, Mutual Funds, Depository and Depository Participant pertaining to my trading and demat account, as are in force from time to time.

4. I/We understand that the Stock Broker is relying on this information for the purpose of determining the status of the applicants named above incompliance with CRS/FATCA. The Stock Broker is not able to offer any tax advice on CRS or FATCA or its impact on the applicants and I/We shallseek advice from professional tax advisor for any tax questions. Further, I/We agree to submit a new form within 30 days if any information orcertification on this form gets changed. I/We agree, as may be required by Regulatory authorities, Stock Broker shall be required to comply toreport, reportable details to CBDT or close or suspend my account.

5. I/we confirm having read and understood the guidelines pertaining to BSDA and is eligible to open a depository account as a BSDA holder. I willcomply with the said guidelines and that in case my/our Demat Account opened under BSDA facility does not meet the eligibility for BSDA facilityas per guidelines issued by SEBI or any such authority at any point of time, my / our BSDA account will be converted to Regular Demat Accountwithout further reference to me / us and will be levied charges as applicable to regular accounts (applicable only if consented for BSDA facility).

6. I, the holder of Aadhaar number as mentioned in the KYC, hereby agree & give my consent to Sharekhan Ltd. to obtain my Aadhaar number,Name and Fingerprint/ Iris for authentication with UIDAL. Sharekhan Ltd has informed me that my identity information would only be used forAccount Opening purpose and also informed that my biometrics will not be stored / shared and will be submitted to CIDR only for the purpose ofauthentication.

MSEI

Sharekhan as a SEBI registered intermediary is mandated to follow the rules regulations circulars of the exchanges and SEBI issued from timeand operates through well defined procedures and policies.The following policies have been mandated by SEBI to be made available to the clients. It should not be construed that these are the only policies followedbySharekhan.(A) Refusal of orders forPennyStocks

(B) SettingUpClient's exposureLimits

(C) ApplicableBrokerage

Scheduleof charges

Penny stocks are scrips which have a very low value and may or may not be illiquid. Most times there would be very few buyers /sellers for suchscrips. The exchange (NSE, BSE and ) releases a list of such scrips and they are termed as illiquid securities. Sharekhan retains the right toterm a particular scrip as illiquid/penny stock based on the parameters it deems fit. These parameters may include, the past volume of the scrip,the volatility in the scrip among others, whether trading in a particular scrip falls within the purview of fraudulent trades or trades deemed to befraudulent under the SEBI - prohibition of fraudulent and unfair trade practices relating to securities market regulation 2003.Sharekhan reserves the right to facilitate clients for placing orders with regards to the penny stocks or illiquid scrips as described above.Sharekhan is not under any obligation to push orders which are in the nature of penny stocks/ illiquid scrips. Sharekhan does not encourage tradesinpenny stock.Sharekhanmaypermit trades in apennyor illiquid scrip subject to certain conditions, such conditionsmay include

- Submission of a declaration, by the client, such declaration would include the reasons for entering into the said transaction and also whether theclient hasabidedby theall the relevant regulations.

- In case of a buy transaction the client may be asked to deposit the full value of scrip which the clients intends to purchase, in case of saletransaction, the scripwill necessarily be transferred toSharekhan'smargin account prior toplacing the saleorder.

- Assessmentof thepast trading patternor recordsof the client prior togivingpermission- Conducting inperson verificationof the said client to establish thegenuinenessof the intended trade.

Sharekhan reserves the right to refuse toplace suchorderswhether or not the client fulfills theaforementionedconditions.

Exposure is allowed to the clients based on the margin available in form of funds or approved securities valued after deducting an appropriatehaircut. Client is liable to pay applicable initial margins, withholding margins, special margins or such other margins as are considered necessary bythe Exchange. Further Sharekhan at it's discretion may collect such additional margin or may further reduce the margin subject to extantregulations. Clients are supposed to maintain sufficient balance with Sharekhan pre trade depending on the channel through which they trade.Sharekhan may levy additional margins or relax the margins earlier imposed based on factors such as, client level positions, volatility in aparticular stock or the market in general. Though it shall be our endeavor to ensure that a proper notice is sent to the clients, this may notalways be possible taking into consideration the market scenario. Exposure allowed to clients may wary, basis the clients past tradingperformance, quality of collateral, market circumstances and dynamics and other such factors.Clients may trade themselves through the internet or may trade through the sub-broker or branch. For clients who trade through the internet, theexposure limit may be ascertained by them on the trading portal. Clients executing trades through subbroker or branches may check theirexposurepositionswith the sub-broker/Branch.Sharekhan shall not be responsible for any variation, reduction or imposition or the Client's inability to route any order through the Stock broker'swebsite onaccount of any such variation, reductionor impositionof limits. Sharekhanmayat any time, at its sole discretionandwithout prior notice,prohibit or restrict theClient's ability toplaceordersor trade in securities basedoncertain risk parameters.

The brokerage applicable shall be as agreed upon from time to time. In case of any modification in the brokerage rate, the client shall confirm thesame as required by Sharekhan. The client agrees to pay to Sharekhan, brokerage, Exchange related charges, statutory levies and any othercharges (including but not limited to security handling charges on settlement) as are prevailing from time to time and as they apply to the client'saccount, transactions and with respect to the services opted by the client and thereby rendered by Sharekhan. Sharekhan does not chargebrokerage more than the maximum brokerage permissible as per the rules and regulations and bye laws of the Exchanges/SEBI. However theminimum brokerage as stipulated by the exchanges will be levied. The brokerage shall be charged as a percentage of the value of the trade oras a flat fee or otherwise, together with the statutory levies as may be applicable from time to time on the same. In addition to the brokeragecharged the following charges will also be levied.

1. Account opening fees2. SEBI turnover fees asapplicable3. ExchangeTransaction chargesasapplicable4. Securities Transaction Tax (STT)* :- The STT rates will vary with regards to trades done on delivery basis, non delivery basis and trades done in

thederivative segment .5. Service tax*6. Stampduty :- Statewise stampduty asapplicablewill be levied.7. EducationCessandhigherEducationCess*8. In addition to theaboveSharekhanshall debit thedemat charges to the tradingaccount.9. In case there are any bank charges or any other charges levied by the exchange or any other authority on account of any violation done by the

client, the sameshall be charged to

Sharekhan as a SEBI registered intermediary is mandated to follow the rules regulations circulars of the exchanges and SEBI issued from timeand operates through well defined procedures and policies.The following policies have been mandated by SEBI to be made available to the clients. It should not be construed that these are the only policies followedbySharekhan.(A) Refusal of orders forPennyStocks

(B) SettingUpClient's exposureLimits

(C) ApplicableBrokerage

Scheduleof charges

POLICY AND PROCEDURES


(TO BE HANDED OVER TO CLIENT)

10. DeliveryHandlingCharges (DHC)wouldbe leviedoneachsale transaction in case if the valueof brokerage levied is less thanRs16/-.The valueof DHCwouldbedifferenceof Rs16/- and thebrokerage charged.

11. In case where the brokerage levied as a percentage on the value of the shares/ contract is less than the minimum brokerage payable pershare/contract. The client will be charged such minimum rate of brokerage per share instead of the percentage. *These are governmentlevies and are subject to change from time to time and will be charged in addition to the brokerage as applicable All the above charges would besubject to change from time to time. Such changes shall be displayed on the website or such other URL used by Sharekhan from time totime.

Delay pay-in charges are levied to clients for nonpayment or delay in payment of their fund obligation on time which may be due on account of charges, margins or any other sum due to Sharekhan.Clients are required to pay margins before placing any trades. Clients are allowed to place margins in form of funds or securities. Exposure is givento the client based on the stocks submitted by the client towards margin to Sharekhan. Appropriate haircut is applied on such stocks. They arethen expected to make the full payment for the purchase on the settlement date. In case there is a debit balance in the clients account, thesame shall be liable for the delayed payment charges. The calculation of these charges is an automated process. The charges to be leviedwould be up to 2 % per month. These charges have been introduced so that they act as a deterrent for delaying the payment of funds.In case where any penalty / charges /fees / taxes etc. of whatever nature, is levied on Sharekhan on account of trades or orders placed by clients,such penalty /charges /fees / taxes etc. shall be debited to the client's account. No interest will be paid on the credit balance lying in the clientaccount or funds retained formarginsetc.

Margin collection – Margin is collected upfront from the client's i.e prior to executing any trades. Based on the margin thus available with Sharekhan- exposure is given to the client. The applicable margin may vary and the client may be asked to replenish the margin by tendering additional fundsor securities.In accordancewithExchangeguidelines, Sharekhan retains the right to squareoff thepositionwithout givinganynotice to the client.

- The client agrees to pay for the shares purchased through Sharekhan before the pay-in date in order to enable Sharekhan to make the requisitepay-in to the exchange. In case the client fails to make the payment, Sharekhan may liquidate the securities in the clients account in order to ensurethat adequate credit is received for the sharespurchased. This squareoff maybedoneonorbefore the5thday from the settlement date.

- The client also agrees to maintain adequate margin for the positions taken in any segment. However in case the credit available is lower than theminimummargin required, the client's positionswouldbe liquidated in amanner that the there is no shortfall of margin.

- Sharekhan shall endeavor to ensure that adequate prior information is given to the client for such liquidation. It shall inform the client through themobile number and or email id updated with Sharekhan. For clients to whom a login and password is given to access their account on the websitewww.sharekhan.com, or such other URL that may be provided by Sharekhan from time to time, where they are required to login and check the limitstatement uploaded therein. It shall be the clients' responsibility to ensure that adequate credit balance is available in the account.

- The above guidelines may be changed based on the discretion of Sharekhan and in terms of the market conditions. In cases where the market isvolatile and there is a sudden spurt in scrip price then Sharekhan may square off position without any notice due to the paucity of time and othersuch circumstances

- Whenever Sharekhan endeavors that the positions are to be liquidated, it shall not be responsible for any liabilities in case the same cannot be

In case thebrokerage rate is not specifiedon thebrokerage chart within theKYC, thedefault brokerageasmentionedbelowwill beapplicable.

D. Imposition of Penalty / Delayed payment charges by either party, specifying the rate and period.

E. Right to sell client's securities or close client's positions,without givingnotice to the client onaccount of nonpaymentof client's dues:–

In case thebrokerage rate is not specifiedon thebrokerage chart within theKYC, thedefault brokerageasmentionedbelowwill beapplicable.

D. Imposition of Penalty / Delayed payment charges by either party, specifying the rate and period.

E. Right to sell client's securities or close client's positions,without givingnotice to the client onaccount of nonpaymentof client's dues:–

Cash Market Brokerage

First LegSecond Leg(Same day Sq.off)

Delivery Brokerage

%

0.100.10

0.50

Min. Paise PerShare

Min. Paise PerShare

5

5

10

Futures %

0.100.02

0.10

Derivatives Segment

First LegSame day square off

Next day square off

Options %

2.502.50

2.50

In case of futures, the minimum brokerage of 0.01paise per share will be charged.

In case of currency futures, the minimum brokerage of 0.01paise per quantity willbe charged.

In case of futures options, minimum brokerage will be Rs. 100/- per lot or the abovewhichever is higher.

In case of currency options, minimum brokerage will be Rs. 30/- per lotor the above whichever is higher.

Currency Derivatives

0.10Nil

0.10

2.50Nil

2.50

Futures % Options %

Default Brokerage

Standard BrokerageIndex / Stock Options Segment Currency Options Segment

Percentage Min. amount per lot Min. amount per lot

2.5021.501

0.50

250225200175

150

30252015

10


liquidated.- Thepriority of thepositions tobesquaredoff, i.e. whichpositions tobesquaredoff first, wouldbeat thediscretionof Sharekhan.

a) LowerMargin scrip'swill be squaredoff first.b) Only futurespositionwill be squaredoff (optionposition tobesquareoff manually)c) In case where there is a position in cash and derivative segment, futures positions would be squared off first then cash positions would be

squareoff in case shortfall still exist.

a) In the event where overall position in any scrip or derivative contract has reached the limit prescribed by regulators or exchanges. Forexample, in case of NRI clients where the PIS Limits are prescribed by RBI are breached or in case of Exchange wise, scrip wise limitprescribedbyExchanges for derivative contracts arebreached. In all such cases the clientmaynot bepermitted to takeadditional positions

b) Sharekhanhas the right to stoporblock the client to trade in casewhere there is adebit balance inhis/her account.c) Sharekhan retains the right toblock the client to takeaposition in certain specified scripsbasis the riskmanagement systemsof Sharekhan.d) In case where Sharekhan is apprehensive the client to be an entity debarred by any regulatory authority, it shall retain the right to stop the

tradingactivities of sucha client.e) In case where Sharekhan perceives risk with regards to any regulatory action or with regards to delay or non payment of margin or any other

obligationSharekhanmay temporaryblockor suspend the tradesof such clients.f) In case where the client's account is dormant for a period of more than 1 year Sharekhan may mark such clients as inactive, and trades in the

futuresandoptions segment / Cash segmentwill be restricted till the receipt of the request from the clients for activating theaccount.g) In casewhere suspicious transactionsareobserved, includingbut not limited tooff market transactions.h) In casewhere clients arenot reachable at their contact detailsmentioned in the client registration formor in the clientmaster changes form.i) In casewhereunprofessional, or unruly behavior of the client is observed.j) In case of any ongoing dispute with the client, we may not permit the client to take further positions and may even close out his open

positions.k) Further in case of clients breaching the risk parameters mentioned in point H above we may close the clients' positions without any

intimation.In the event of death or insolvency of the client, winding up or liquidation or the client otherwise becoming incapable of receiving and paying for ordelivering or transferring securities which the client has ordered to be bought or sold, the Stock Broker may close out the transaction of the clientand the client or his legal representative as the case shall be would be liable for any losses, costs and be entitled to any surplus which may resulttherefrom.

Sharekhanmay follow the followingpriority for squaring-off positions :-

F. Shortages inobligationsarisingout of internal nettingof trades

G. Conditions under which a client may not be allowed to take further position or the broker may close existing position of a client /Temporarysuspendingor closea client's account at the client's request andDeregisteringa client

Internal ShortagePolicyBSE has a window wherein internal short deliveries can get auctioned as per the normal auction process. Internal short deliveries are notcovered by the Auction conducted on the NSE. It is due to this limitation on the NSE we follow the procedure as mentioned below:

1. The client may not receive shares on T+2 in case there is an internal shortage situation within Sharekhan, i.e. the buyer and seller are bothSharekhan clients and the seller defaults in delivery due to which the buyer may not receive the shares.

2. In case of an internal shortage, firstly, as on the payin day, the defaulting seller would be debited with an amount being the closing price as onTday or T+1 day, whichever is higher plus 30% for the default till such time the auction process can completed.

3. In case there is an internal shortage in BSE, the exchange conducts an auction through which the shares would be purchased and delivered tothe buyer. The seller would be debited at the rate at which the exchange would have purchased these shares. Additionally, brokerage,statutory costs and other incidental charges including penalty for non-delivery may be debited to the client. In case, the exchange is unable topurchase these shares, the exchange will inform Sharekhan of a close out rate, at which the buyer would be allowed credit and the seller wouldbe debited for the same amount. In case of any corporate action for internal shortages, if original trade was executed at cum-rate, thenSharekhan will repurchase the shares at ex-rate in its Internal Shortage a/c. The amount / quantity of corporate action, as applicable will bedebited to the Seller's a/c and will be credited to the Buyer's account. In case of securities being delisted from trading / unable to buy onaccount of corporate action, Sharekhan will close out internal shortages at last traded price / last traded cum rate price + 10% (credit tobuyer & debit to seller).

4. In case there is an internal shortage in NSE, Sharekhan purchases the shares from the normal market and provides the shares to the buyer,on receipt of delivery. The defaulting seller would be debited with the rate at which these shares were purchased, including the brokerage,statutory charges and other incidental charges including penalty if any. In case of non receipt of delivery to purchase the shares, the buyerwould be offered credit at a close out rate applicable on T+4 day + 3% or and the new seller would be debited at the same rate. In case whereSharekhan is unable to purchase the shares on account of the scrip being in buying circuit, the position would then be closed out on theclosing price of the exchange on T+2 at the circuit percentage of 2 days (Maximum upto 20%). In case of any corporate action for internalshortages, if original trade was executed at the cum-rate, then Sharekhan will repurchase the shares at ex-rate in its Internal Shortage a/c.The amount / quantity of corporate action, as applicable will be debited to the Seller's a/c and will be credited to the Buyer's account. In caseof securities being delisted from trading / unable to buy on account of corporate action, Sharekhan will close out internal shortages at lasttraded price / last traded cum rate price+10%(credit to buyer & debit to seller).

5. Sharekhan may also levy charges on the defaulting seller for non-delivery of stocks within the stipulated time.

Sharekhanmay follow the followingpriority for squaring-off positions :-

F. Shortages inobligationsarisingout of internal nettingof trades

G. Conditions under which a client may not be allowed to take further position or the broker may close existing position of a client /Temporarysuspendingor closea client's account at the client's request andDeregisteringa client

Internal ShortagePolicy


MANDATE FOR MAINTAINING THE ACCOUNT ON RUNNING ACCOUNT BASIS

Dear Sir,

Notwithstanding anything contrary contained in any of the document or correspondence, I hereby severally give mandate to you for maintenance of myaccount with you on running account basis. This mandate shall be applicable to all segments across exchanges maintained with you including Mutual fundsavailed throughNSEMFSSand /orBSESTARMFor suchother platformandwithout limitation to securities/funds/currencies/units of mutual funds.

This mandate is voluntarily given by me/us as it is cumbersome for me to settle the accounts with you frequently. This will facilitate me in my transactionsthrough you. I also request you to consider the balances in my funds, securities, mutual fund units and currency account with you for the purpose ofmargins/any other obligations due to you.

In view of the above it would be proper for you to release the funds, mutual fund units and securities due to me on my specific request, either written ororal. You may debit the charges of holding units/securities to my account with you.

Further, I, authorise Sharekhan Limited to retain such amount of funds payable to me, not exceeding Rs. 10,000/- (Rupees ten thousand only) duringany monthly/quarterly settlement of my account. I, Further agree that my account shall be deemed to have been settled as per SEBI/Exchangeguidelines for respective quarter notwithstanding the said retention by Sharekhan Limited.

I hereby agree to settle my funds/securities/mutual funds account on *Monthly/Quarterly basis as per SEBI guidelines. Further, I hereby declare that Iretain the right to revoke this authorization at anytime.

Yours faithfully,

Date : __________________________

Place : _________________________

To,Sharekhan Limited, 10th Floor, Beta Building, Lodha iThink Techno Campus, Off. JVLR, Opp. Kanjurmarg Station, Kanjurmarg (E), Mumbai - 400 042.

MANDATE FOR MAINTAINING THE ACCOUNT ON RUNNING ACCOUNT BASIS (Voluntary)

Signature of Client

(7)

* Kindly tick relevant option. If not struck off, the option will be considered as “Quarterly”.

Page with Signature


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 alsomade the client aware of ‘Rights and Obligations' document(s), RDD and terms and conditions and handed over a copy of the same. I/ We undertakethat any change in the ‘Policy and Procedures', tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/ We alsoundertake that any change in the ‘Rights and Obligations’, Terms and Conditions and RDD would be made available on my/ our website, if any, for theinformation of the clients.

Date:_________________________ Seal/ Stamp of Sharekhan Limited (Name & Signature of the Authorised Signatory)

FOR OFFICE PURPOSES:

UCC Code allotted to the Client: (As mention on page no. 6 on account opening form)

Name of the Staff/Sub-Broker/Authorised Person

Name of the Staff/Sub-Broker/Authorised Person

Documents verified with Originals Client Interviewed By In-Person Verification done by

Staff Code

Designation of the Staff

Date

Signature

Staff Code

Designation of the Staff

Date

Signature

Outlet Name Code

Employee Name Code

Remisier Name Code

Referring Employee Name

Name of Corporate

FOR OFFICE USE ONLY

POWER OF ATTORNEY (Voluntary)


This Power of Attorney (POA) is executed by the persons mentioned inthe Schedule to the POA as per page no. 48 in favour of “SHAREKHANLIMITED”, a company incorporated under the provisions of theCompanies Act, 1956 in India (hereinafter referred to as 'SKL', anexpression deemed to mean and include its successors and assigns)and having its registered office at 10th Floor, Beta Building, iThinkLodha Techno Campus, Kanjur Marg – East, Mumbai – 400 042 andprocessing office at 3rd Floor, Bay City Centre, 309, Ponnamallee HighRoad, Above Maruti Kapico Show room, Near Pachiyappas College,Chennai- 600010.

WHEREAS SKL is a member of the National Stock Exchange of IndiaLimited (“NSE”), Bombay Stock Exchange Limited (“BSE”) andMetropolitan Stock Exchange of India Limited (“MSEI”) on the CapitalMarket Segment, Futures & Options Segment and CurrencyDerivatives Segments.

WHEREAS SKL is also a “Depository Participant” registered with(NSDL) bearing Regn No. IN-DP-NSDL-233-2003 /

AND WHEREAS SKL is registered with Association of Mutual Funds inIndia (AMFI) as Mutual Fund Distributor having Registration no. ARN20669.

AND WHEREAS I/We wish to avail or I/We am/ are a client availing of theservices offered by SKL and have entered into agreement(s) with SKLfor transacting in securities with / without On-Line trading / E-broking &web based necessary documents/ facilities and/ or services throughits website www.sharekhan.com or any other website used for offeringsaid Services. Details of my/ our Trading and Demat account with SKLare provided in Schedule to this POA.

Whereas in the course of availing the services and for meeting thesettlement obligations thereof on the Exchanges, I/We do herebynominate, constitute and appoint M/s. Sharekhan Limited (MemberBroker), hereinafter referred to as Sharekhan acting through theirDirectors and/or duly authorized staff for the purpose, as my/our trueand lawful attorneys for my depository account with Sharekhan Limited(Depository Participant) as provided in the Schedule to the POA toexecute and perform severally the following acts, deeds, matters andthings, provided the attorney complies with all the applicableconditions of all or any of their services offered by them in theircapacity as Stock Brokers.

1. To have and exercise the powers and / or authority, and to do and/ or execute the acts, deeds matters and things specified inagreement between Sharekhan and the Client as may beapplicable in relation to the transactions executed by the client

2. To operate depository account/(s) for the purpose oftransferring any collateral to the margin account and honoringdelivery obligations, for any transaction executed with SharekhanLimited which is registered as a Depository Participant and astock broker registered with the Securities and Exchange Boardof India (SEBI).

3. To sign instructions on my behalf with respect to debit/credit/ thedepository account/(s) for the credit or benefit of my/our accountwith Sharekhan, for the transactions carried by me/us withSharekhan.

4. To issue instructions relating, executing delivery/receiptinstructions, pledge creation instructions, pledge closureinstruction, lending and borrowing instructions, to operate thedepository account by issue and receipt of instructions for the

above mentioned purposes and such other authorization given byme/us severally on behalf of all of us, or all/ any of us jointly, inany electronic form, in any format and at any time either throughthe portal of the Sharekhan or through the internet or any other

(CDSL) bearingRegn No. IN-DP-CDSL-271-2004

electronic mode, will be a valid instruction to Sharekhan. Further

Sharekhan would be the validly constituted attorney to intimatethe same to the Depository Participant for the purposes ofdebiting or crediting my account opened with the DepositoryParticipant(s).

5. To validate on my/our behalf any such instruction so given to theDepository Participant(s), in written / physical or any other formas may be required by the concerned depository participant.

6. For these purposes and to this extent, Sharekhan is empoweredby me/us, to affix their signatures to any document, form or anyother record, being a delivery instruction given by me/us to thesaid depository participant, as required by the concerneddepository.

7. I/We also undertake to pay such demat charges/fees and suchother charges incurred by the Sharekhan under this power ofattorney and that I/We further authorize Sharekhan to debitmy/our account with Sharekhan with the said charges as andwhen the same becomes due for payment and I/We herebyundertake to pay the same immediately ondemand made bySharekhan.

8. To register this Power of Attorney with the Depository Participantand/ or with any other party concerned as is require within theparameters of this Power of Attorney

9. To sign all applications, apply for, subscribe to or enter intocorrespondence with respect to any Initial Public Offers/Offers forSale of Securities of the companies /Units of mutual fund, AssetManagement company or any other “Investment Products”offered through the website www.sharekhan.com (owned bySharekhan Limited) or any other means as per the instructionsmade available to them by me/us by electronic mail or through thewebsite or any other mode as specified on the websiteorotherwise.

10. To make payment to any party with respect to the aforesaidproducts mentioned in point 9 above on my/our behalf to fulfillthe transaction requested by me/us.

11. To enter into correspondence with any party with respect to anytransaction in any Investment Products.

12. To forward all such applications placed through the website to theonline-IPO module of the concerned Exchange or owner/issuerof “Investment Product”.

13. To receive intimation from the Exchange and any other partyregarding the allocation / allotment / rejection / regret of thesecurities or such other “Investment Product” applications/(Voluntar y)subscript ions/withdrawal or any othercommunications.

14. To authorize Sharekhan to invest on behalf of me/us and to holdthe mutual fund /asset management company(ies) based on therequest given by me/us. I confirm not to hold such mutualfund/asset management company /Sharekhan liable for anytransaction processed on the based on my/our request Tocorrespond with and give notice to the corresponding assetmanagement company / body corporate(s)/issuer/registrar andtransfer agent of securities including giving instructions withregard to nomination/change in investment plans/any otherchanges that may be necessitated,pursuant to the authorizationgiven by me to Sharekhan in this regard.

15. To deposit/transfer on allotment, the securities, debentures,units of the mutual funds and/or all other investments productsapplied through sharekhan, on allotment, to my/our BeneficiaryOwnership Demat Account opened for the purpose with the Sharekhan-DP.

(Voluntary)

16. To do all other acts and things as may be necessary to effect thesubscription/purchase /redemption or any other transaction in anyInvestment Product for which services availed from Sharekhan.

17. To debit my Trading account towards monies/fees/charges etc.payable to Sharekhan / service provider / any of theaffiliates/subsidiaries of Sharekhan by vir tue of I/Weusing/subscribing to any of the facilities/services provided either bySharekhan or through a Third Party service provider or by any othersecurity or financial instrument on behalf of me/us thoughSharekhan or any third party. To bind ourselves with respect to any

18. In case of any erroneous transfer done by the attorney, the attorneymay return the same to my account as soon it comes to their notice.

19. To send the consolidated summary of client wise scrip wise buy andsell position with average rates by email or SMS.

20. To authorize Sharekhan to transfer the securities to any of the demataccounts of Sharekhan mentioned in Schedule to the POA.

21. We, the joint holders (first, second, third holders) of demat accountagree, ratify and confirm to bind ourselves to any instructions given

by the first holder of the demat account, being the tradingaccount holder, as herein above mentioned, who shall be theexclusive beneficiary of the transactions carried out pursuantto this Power of Attorney, the Director/s and/or AuthorisedSignatories, who have in token thereof, subscribed theirsignature thereto.That the Power of Attorney herein referred to is revocable atany time by giving notice in writing to SKL subject to suchrevocation shall not be applicable for any outstandingsettlement obligation arising out of the trades carried out priorto receiving request for revocation of POA.I/we agree that Sharekhan is entitled to credit the proceeds ofany instruction. This document shall be subject to the jurisdictionof the courts in Mumbai.

In witness whereof I/we have executed this revocable Power ofAttorney on the day, date and year herein as mentioned.

Sharekhan Designated Demat Account Nos.

IN WITNESS WHEREOF I/We have hereunto set and subscribed my/our respective hands to these presents the day and the year herein above writtenSigned and Delivered

First / Sole Holder(Trading Account Client)

Second Holder

Third Holder

Demat Account No.

Name Address

DP Name

Sharekhan Limited

Sharekhan Limited

NSCCL

BOI – Shareholding Ltd.

MSEI

DP id

IN 300513

12036000

11000011

11000010

11000028

Client id

13377988, 14972568, 14972576 , 14972592, 10000578, 14972584, 14972550,

00056193, 00000076, 00063384, 01669790

00016512

00014903

00001042

17801389, 20993448, 20978552

SIGNATURE

Sole / First Holder Second Holder Third Holder

(8) (4) (4)

We hereby agree to exercise the powers conferred upon us in terms of the clauses mentioned here in above.For Sharekhan Limited

Authorised SignatoryDate:___________________

(HO purpose only)

CLIENT'S WITNESS TO THE POWER OF ATTORNEY (For and on behalf of the client)

Witness 1

Name_____________________________________

Address___________________________________

_________________________________________

Signature__________________________________

Witness 2

Name_____________________________________

Address___________________________________

_________________________________________

Signature__________________________________


Schedule to the POA


Date :

To,

Sharekhan Ltd.10 Floor, Beta Building, iThink Lodha Techno Campus,Kanjur Marg - East, Mumbai - 400 042.

th

Ref. Customer id _______________ PAN ________________________________

Dear Sir / Madam,

Sub: Systematic Investment Plan (SIP) Mandate

I/We, Mr. / Mrs. / Ms. / M/s. _______________________________________________________hereby request Sharekhan

to kindly commence the following SIP (s) for the above mentioned customer id.

I/We, further authorize Sharekhan to place the SIP request with the aforesaid Asset Management Company (ies) and to sign such

documents / authorizations on my/our behalf for giving effect to the said transactions.

Option(Growth /Dividend)

Option(Growth /Dividend)

SIPInstallmentAmount(Rs.)

SIPInstallmentAmount(Rs.)

Frequency(Monthly /Quarterly /Half yearly)

Frequency(Monthly /Quarterly /Half yearly)

Period inMonthsPeriod inMonths

Yours truly,

Signature of the client Name of the Client

Employee Code: _______________ Employee Name: _____________________________________________

Sr.No.Sr.No.

Scheme NameScheme NameSchemeCodeSchemeCode

Page with Signature

SIP StartDate

SIP StartDate

1

2

3

4

I/We confirm that I/We are eligible to invest in mutual funds as per the existing applicable rules and regulations prescribed bySEBI / AMC / RTAs and Sharekhan.

I/We hereby further confirm having read the applicable terms and conditions mentioned on the website and such other applicable terms andconditions as would be laid down by Sharekhan Limited or various Asset Management Companies (AMCs) / Registrar and Transfer Agents(RTAs) from time to time and shall abide by the same at all times. I/We agree that it shall be my/our responsibility for regularly reviewing theseTerms and Conditions, including amendments as may be posted on the website of the company and shall be deemed to have accepted theamended Terms and Conditions by continuing to use the Services.

You are requested to process my/our SIP request as above.

Note - AUTO SWEEP - Yes No (Please select “Yes” for automatic allocation of funds from trading account To Mutual Fund account)Note - AUTO SWEEP - Yes No

NSDL - Version 14.1

Mutual Fund AMC wise Monthly*SIP Date :

* [email protected] weekly and Quarterly SIP dates please coordinate with

1 To 27

1 To 27

1 To 28

1

1

1

1

1

7

1

1

3

7

1

1

1

5

1

1

1

1

2

3

5

1

1

1

1

14

10

10

7

7

7

5

7

7

5

5

10

7

15

7

10

7

5

10

10

15

7

7

5

7

10

15

10

15

14

21

10

10

17

15

10

15

14

25

10

15

14

15

18

20

25

14

10

10

15

15

25

15

20

21

20

15

26

25

15

25

21

15

21

21

25

28

20

20

15

25

20

20

25

25

20

20

28

25

28

25

25

25

Mutual Fund Name Date1 Date2 Date3 Date4 Date5 Date6 Date7

Axis Mutual Fund

Birla Mutual Fund

BNP Paribas Mutual Fund

BOI AXA Mutual Fund

Canara Robeco Mutual Fund

DSP Black Rock Mutual Fund

Edelweiss Mutual Fund

Franklin Templeton MutualFund

HDFC Mutual Fund

HSBC Mutual Fund

ICICI Prudential Mutual Fund

IDFC Mutual Fund

IIFL Mutual Fund

JM Financial Mutual Fund

JPMorgan Mutual Fund

Kotak Mahindra Mutual Fund

L&T Mutual Fund

LIC Mutual Fund

Mirae Asset Mutual Fund

Motilal Oswal Mutual Fund

PRINCIPAL Mutual Fund

Reliance Mutual Fund

Religare Mutual Fund

SBI Mutual Fund

Sundaram Mutual Fund

Tata Mutual Fund

Taurus Mutual Fund

UTI Mutual Fund

17




SHAREKHAN LIMITED

Country Land Mark


Application Type*

KYC Number

Account Type*

New Update











Occupation Type*

Signature

PHOTO





Line 1*

Line 2

Line 3

District*


Pin / Post Code*

Address

State



Line 1*

Line 2

Line 3

District*





Mother Name*







B - UID (Aadhaar)




A- PAN Card

C- Voter ID Card


E- Passport Number

F- Driving Licence


D- NREGA Job Card

Email ID ________________________________________________________________



Mobile

Country Land Mark

(1)

18





Name*









Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code


SHAREKHAN LIMITED



Line 1*

Line 2

Line 3

State














B - UID (Aadhaar)




A- PAN Card

C- Voter ID Card


E- Passport Number

F- Driving Licence


D- NREGA Job Card

5. RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIAADDITIONAL DETAILS REQUIRED*(Mandatory only if section 4.3 is ticked)





(2)

19

IN0344




SHAREKHAN LIMITED

Country Land Mark


Application Type*

KYC Number

Account Type*

New Update











Occupation Type*

Signature

PHOTO





Line 1*

Line 2

Line 3

District*


Pin / Post Code*

Address

State



Line 1*

Line 2

Line 3

District*





Mother Name*







B - UID (Aadhaar)




A- PAN Card

C- Voter ID Card


E- Passport Number

F- Driving Licence


D- NREGA Job Card



Mobile

Country Land Mark

(1)

20

Email ID ________________________________________________________________





Name*









Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code


SHAREKHAN LIMITED



Line 1*

Line 2

Line 3

State














B - UID (Aadhaar)




A- PAN Card

C- Voter ID Card


E- Passport Number

F- Driving Licence


D- NREGA Job Card

5. RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA5. RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIAADDITIONAL DETAILS REQUIRED*(Mandatory only if section 4.3 is ticked)





(2)

21

IN0344

Sr. OptionNo. Questions A B C D E F

1 How would you like to trade with Sharekhan? Internet Phone/Branch Both

2 Have you been investing or trading in the stock market? Yes No

3 Do you trade in Cash market or Derivative market? Cash Derivative Both None

4 What is your frequency of your investing / trading? Many times a day Once a day Many times Week Once a Week

5 What is your current portfolio size? Below 5-25 25-50 50 Lacs(Total investment in Shares and Mutual Funds) 5 Lacs Lacs Lacs

6 How much more do you plan to invest in stock Below 5-25 25-50 50 Lacsmarket in the next 2 years? 5 Lacs Lacs Lacs

7 In which range would your annual income fall in to? Below 5 Lacs 5-25 Lacs 25-50 Lacs 50 Lacs

8 What is your existing mode of transaction?

9 Do you have a Relationship Manager allocated to you?

No Portfolioand above

and above

and above

None

No BrokerInternet based account Non Internet account

Yes No None

Once a month or more

(Voluntary)

10 Would you like to undergo free education? Investments Trading strategies based on technical analysis

11 How long have you been New 1 to 5 yearsinvesting in stocks? 5 to 10 years More than 10 years

12 What is your source of stock market information? TV channels: CNBC NDTV PROFIT Others (Specify)______

Newspaper: Economic Times Others (Specify)____________

Sharekhan Research Magazines Other research magazines

Friends/Relatives Broker Others (Specify)______________

13 What is your marketstock preference? Market preference Stock preference

Speculator High risk return

Regular investor Bluechip

Occasional investment Stocks valued less than Rs10

Trader Stocks recommended by Sharekhan research

Stocks recommended by other research houses

PROFILE SHEETDear Customer,Please select product that you wish to avail of:Also, please answer a few questions to help us serve you better

PROFILE SHEET

ICICISecurities

KotakSecurities

HDFCSecurities

RelianceMoney

AngelBroking

Anand Rathi

IndiaInfoline

MotilalOswal Indiabulls Geojit Religare Any other________

Other Brokerage Firmyou are trading withplease tick the

No Brokerage Firm

PMS Mutual Fund InsuranceOther Product Interest IPO

Name of The Executive: Executive Code:

Name of The Manager: Manager Code:

City: Lead Source:

Margin ( ): Account Opening Charges:

FOR OFFICE USE ONLY

Approved By Name : Designation:

Signature With Stamp

Signature:In case of waiver of account opening fee

FOR OFFICE USEProfiling Code

1 2 3 4 5 6 7 8 9



*AMC Free for the first year**This Scheme is valid for 10 years from the date of execution and then would be converted to TC 100.

Note: 1. 2. 3.

5.

Sharekhan reserves the right to revise the tariff by providing 30 days notice & this will be binding on all. Any service not quoted above will be charged separately. Transactionstatement : Will be sent as per NSDL requirements at no extra cost. Every extra Statement shall be charged at Rs.10. If the number of pages exceeds 10 then every additional page will becharged at the rate of Rs.3 per page. 4. All charges are exclusive of Service Tax and stamp paper. In case of non payment of DP charge, ShareKhan may levy interest.

Note: 1. 2. 3.

5.

*OPTION FORM FOR ISSUE OF DIS BOOKLETOption 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 favour of/with Sharekhan Ltd (name of the attorney/clearing Member/PMS Manager) for executing delivery instructions for setting stock exchange trades [settlementrelated transactions] effected through such Clearing Member/by PMS Manager.

Option 2 : I/We do not require Delivery Instruction Slip (DIS) for the time being, since I/We have issued a POA/executed PMS agreement in favour of/with Sharekhan Ltd (name of theattorney/clearing Member/PMS Manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such ClearingMember/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.

*OPTION FORM FOR ISSUE OF DIS BOOKLET

TARIFF SHEET FOR DEMAT ACCOUNT Sharekhan Limited - NSDL (IN300513)

“Schedule A" effective from 20th, December 2010

Scheme A Scheme BClient ID:

Transaction type Scheme A (TC 100) Scheme C (TC119)

AccountOpening

AnnualMaintenanceCharges

Rs. 400 p.a*(DP Account, POA& Dig. ContractNotes Mandatory)

Sales - ThroughSharekhan

Nil

Purchases

Brokerage

Minimum Brokerageof Rs. 16/ Per scripsettlement delivery(sell)

Sales - Not throughSharekhan/ Offmarkettransfer/IDT

0.03% of thevalue of

(Min.Rs.30)transact

on.

Scheme ChoosenScheme D

Deposit Nil

Scheme EScheme C

Scheme D (TC117)**

Rs. 6 Per transaction

0.03% of the valueof(Min.Rs.30)

transaction.

Rs. 2999 (refund ofRs. 2000 on

closure)deposit

Nil(DP Account, POA &Dig. Contract NotesMandatory)

Scheme E (TC120)


transaction.

Nil

Rs. 100 p.a*(DP Account, POA &Dig. Contract NotesMandatory)

0.03% of the valueof transaction.(Min.Rs.29)

Rs. 350 p.a*(DP Account, POA &Dig.Contract NotesMandatory)

Rs. 6 Per transaction


transaction.

NilNil

Rs.500 p.a(without POA & Dig.Contract Notes)


Nil

Minimum Brokerageof Rs. 16/ Per scripsettlement delivery(sell)

Scheme B (Tc108)

AMC 400 AMC 500 AMC 350 One Time 2999 IPO 100

N.AN.AN.A

Trading Client Code / Trading Application No. { _____________ }

Oth

er C

harg

es

Nil

Nil (Stamp paper / KRA charges as applicable)

Dematerialisation Rs.5 per certificate (Min. Rs.50 per request)

Rematerialisation/Repurchase

Rs. 50 per certificate or Rs. 50 for every hundred securities (Per request)

Freeze/De-freeze

Stock Lending& Borrowing

Pledge Creation 0.03% of the value of the transaction (Min Rs.100) (Per transaction)

0.02% of the value of the transaction (Min Rs.100) (Per request)

Rs.25 (Per request)

Advance Rs.500 (Advance which will be adjusted Against billing (Optional)

Client Masterchanges request Nil Nil Nil Nil Nil

Scheme

BSDA

Nil

Nil (Value of holdingupto Rs. 50,000)Rs. 100 p.a. (Value of holdingfrom Rs. 50,001 toRs. 200,000)


N.A


Rs. 30 per request

Scheme F

Scheme F (Tc101)

Nil

Rs.500 p.a


N.A

Plain DP


Nil


SHAREKHAN LIMITED10th Floor, Beta Building, Kanjurmarg (East), Mumbai - 400 042.Lodha iThink Techno Campus, Off. JVLR,

Acknowledgment Slip

Name of 1st Holder Name of 2nd Holder Name of 3rd Holder

Application No.

Executive Name : Executive Sign :

Outlet Name : Outlet Code :

For all queries, please call 1800 22 7500 / 3970 7500 (Local Call Charges) / 022 - 6115 0000 (If you are in Mumbai)

Note : “Kindly DO NOT handover Cash / Shares to the sales executive for any reason whatsoever.For DP Inquires & Queries email at [email protected] & Broking Queries email at [email protected]

Date : ____ / ____ / ________

SharekhanSeal and Signature

SharekhanSeal and Signature

Received Cheque No. _____________ Amount _____________ Bank Name __________________________________________________

Received Cheque No. _____________ Amount _____________ Bank Name __________________________________________________

Received the application from the following holder/s for opening a trading & depository account. Please quote the Client Code, DP ID & Client ID allotted to you in all your future correspondence.