geojit financial services - account opening kit index ...geojit financial services ltd. corporate...

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Annexure - 1

ACCOUNT OPENING KITINDEX

Sl.No. Name of the Document Brief Significance of the Document Page NoMANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

A. (a) Instruction and Check list for individual account opening 02(b) CKYC Instruction and Check list for individual 03-04(c) CKYC form- Document captures the basic information about the constituent

– First Holder 05-08(d) CKYC form- Document captures the basic information about the constituent

– Second Holder 09-101 Account Opening Form (e) CKYC form- Document captures the basic information about the constituent

- Third Holder 11-12B. Additional information about the constituent relevant to trading & Demat Account 13-19

2 Tariff Sheet Document detailing the rate/amount of brokerage and other charges levied on theclient for trading on the stock exchange(s)/commodity exchange(s) 20-21

3 Rights and Obligations of Stock Document stating the Rights & Obligations of stock broker/member of commodityBrokers/Member/Authorised exchange/sub-broker/Authorised person and client for trading on exchanges (includingperson, Sub-broker and Clients additional rights & obligations in case of internet/wireless technology based trading). 39-53

4 Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities/commodity market. 54-575 Guidance Note of the investors. Document detailing do’s and don’ts for trading on stock exchange/commodity

exchange for the education of the investors 58-616 Policies and Procedures Document describing significant policies and procedures of the stock broker/

member of commodity Exchange 62-64VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER7 Schedule of charges for Charges for availing Depository Services 22

Depository Services8 Power of Attorney for Broking and Power of Attorney in favour of Geojit to operate client’s

Other Products & Services demat account/mutual fund/IPO 23-25(Stamp Rs.100/-)

9 Running Account Authorization by client to retain funds/securities in trading account to meetsettlement obligations 26

10 NRI Undertaking for NRE PIS Account To create awareness about RBI rules and regulations 2711 Undertaking from clients For availing exposure against demat holdings on the Equity derivatives and 27

on the F&O segment Commodity derivatives12 Undertaking for NRO Non-PIS Account Investing under Non-Repatriation Basis 2813 Declaration of Non - Declaration of shares under Non-Repatriation Basis 29-30

repatriation Basis NRO Shares14 Client Authorisation to Third Party Client authorisation to a third party to operate trading account 3115 Regular Service Demat Undertaking for availing Regular Service Demat Account 32

Account-Undertaking16 ECN Consent Consent to receive documents related to trading account in electronic form 3317 Acknowledgement Receipt of Booklet viz. RDD, Rights and Obligations, Do’s and Don’t’s 34

and Policies and Procedures18 Disclosure Disclosure by Geojit 3419 Addendum for opening Addendum for opening e-Insurance Account 35-36

e-Insurance Account20 NACH Authorization to debit funds from client designated bank A/C to meeting funds for

systematic SIPs 3721 Rights and Obligations of Rights and Obligations of demat account holder - Mandatory if demat A/c is with 65-67

demat account holder GEOJIT22 Additional rights and obligations for To avail value added products and services from Geojit 68-85

stock broking, commodity transactionand other products and services

23 NACH Agreement NACH Agreement 8624 Customer Awareness Document (AML) To create awareness about Prevention of Money Laundering Act 2002 87-88

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INSTRUCTIONS/ CHECK LIST1. Additional documents in case of trading in F&O/Commodity derivatives segments - illustrative list: Copy of

ITR Acknowledgement Copy of Annual Accounts

In case of salary income - Salary Slip, Copy of Form 16. Net worth certificate.Copy of demat account holding statement. Bank account statement for last 6 months.

Any other relevant documents substantiating ownership of assets.Self declaration with relevant supportingdocuments.*In respect of other clients, documents as per risk management policy of the stock broker/member need tobe provided by the client from time to time.

2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Codeor/and IFSC Code of the bank should be submitted.

3. Mobile number of trading account holder is mandatory for commodity trading.4. For individuals:

a. Stock broker/member has an option of doing ‘in-person’ verification through web camera at the branchoffice of the stock broker/sub-broker/member/authorised person’s office.

b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’verification. Further, considering the infeasibility of carrying out ‘In-person’ verification of the non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Public, Court,Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the clientresides may be permitted.

5. For receiving Statement of Account in electronic form:a. Client must ensure the confidentiality of the password of the email account.b. Client must promptly inform the Participant if the email address has changed.c. Client may opt to terminate this facility by giving 15 days prior notice. Similarly, Participant may also

terminate this facility by giving 15 days prior notice.6. Politically Exposed Persons [PEP] are defined as individuals who are or have been entrusted with prominent

public functions, 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.

Geojit Financial Services Ltd. Corporate Identity Number: L67120KL1994PLC008403 GST Number: 32AABCG1935E1Z6Registration No. & DateStock Broker: INZ000104737 / 09-05-2017NSE Member Code:13372 BSE Member Code:328 MSEI Member Code:1102NCDEX Member Code: 1243 MCX Member Code: 55920 NMCE Member Code: CL0531Port Folio Manager : Reg no. INP000003203, Date : 16.02.2012Depository NSDL/CDSL IN - DP-325-2017 Date: 06.06.2017Investment Adviser INA200002817, Date : 20.03.2015Research Analyst INH200000345, Date : 20.04.2015AMFI reg. no & date ARN 0098 , Date: 09.05.2012Reg. Office/Correspondence Address: 34/659-P, Civil Line Road, Padivattom, Kochi-682024, Phone: 0484-290100, Fax: 0484-2979695, Website: www.geojit.comCEO name, phone no & email id: Mr. C J George, 0484 2901000, [email protected] any grievance/dispute please contact Geojit Financial Services Ltd. at the above address or email id [email protected] andphone: 91-484-2901000. In case not satisfied with the response, please contact the concerned exchange(s) at the contact details given below:Exchange Department Email ID Phone No.National Stock Exchange of India Ltd Investor Grievance Cell [email protected] 022-26598190Bombay Stock Exchange Ltd Investor Services [email protected] 022-22728138Metropolitan Stock Exchange of India Ltd Investor Complaints [email protected] 022 61129000 Ext. 9028National Commodities & Derivative Investor Grievances [email protected] 022-6640 6789Exchange of India Ltd (NCDEX)Multi Commodity Exchange of Arbitration & IG [email protected] 022-6731 8888India Ltd. (MCX)National Multi Commodity Grievance Redressal [email protected] 079-4008 6037Exchange of India Ltd (NMCE)

You can also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI Office on Toll FreeHelpline at 1800 22 7575 / 1800 266 7575.

Compliance Officer Name/phone/e-mail idZacharia K [email protected]

Indu K0484- [email protected]

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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 () in the box available before the section number and strike off the

sections not required to be updated.General Instructions:

1 Fields marked with ‘*’ are mandatory fields.2 Tick () wherever applicable.3 Self-Certification of documents is mandatory.4 Please fill the form in English and in BLOCK Letters.5 Please fill all dates in DD-MM-YYYY format.6 Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian

Motor Vehicle, 1988 and ISO 3166 country code respectively list of which is available at the end.7 KYC number of applicant is mandatory for updation of KYC details.8 For particular section update, please tick () in the box available before the section number and strike off the

sections not required to be updated.Other Instructions:If any proof of identity or address is in a foreign language, then translation into English is required.A Clarification / Guidelines on filling ‘Personal Details’ section

1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc.). The name should match the name as mentionedin the Proof of Identity submitted failing which the application is liable to be rejected.

2 Either father’s name or spouse’s name is to be mandatorily furnished.B Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India

1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction.However, if the said jurisdiction has issued a high integrity number with an equivalent level of identification(a “Functional equivalent”), the same may be reported. Examples of that type of number for individual include,a social security/insurance number, citizen/personal identification/services code/number, and residentregistration number)

C Clarification / Guidelines on filling ‘Proof of Identity [PoI]’ section1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.2 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

D Clarification / Guidelines on filling ‘Proof of Address [PoA] - Current / Permanent / Overseas Address details’ section1 PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in force.2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses.

E Clarification / Guidelines on filling ‘Proof of Address [PoA] - Correspondence / Local Address details’ section1 To be filled only in case the PoA is not the local address or address where the customer is currently residing.

No separate PoA is required to be submitted.2 In case of multiple correspondence / local addresses, Please fill ‘Annexure A1’

F Clarification / Guidelines on filling ‘Contact details’ section1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention

91-9999999999).2 Do not add ‘0’ in the beginning of Mobile number.

G Clarification / Guidelines on filling ‘Related Person details’ section1 Provide KYC number of related person if available.

H Clarification / Guidelines on filling ‘Related Person details – Proof of Identity [PoI] of Related Person’ section1 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

CENTRAL KYC REGISTRY | INSTRUCTIONS / CHECK LIST / GUIDELINES FOR FILLING INDIVIDUAL KYC APPLICATION FORM

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PAN

For IndividualsAnnexure - 3TRADING AND DEMAT ACCOUNT RELATED DETAILS

I/We request you to open the following account(s) in my/our name as per the following details.(Please tick only one of the following options)

Trading Account and NSDL Demat Account Trading Account only Trading Account and CDSL Demat Account NSDL Demat Account only CDSL Demat Account only

A. NAME OF THE APPLICANT

DP Holder NameSole/First Holder Details Sole/Second Holder Details Sole/Third Holder Details

SMS Facility(This facility is made mandatory to register Power of Attorney in demat account. Ensure that the mobile number is provided in the KYC Application Form.)

Yes No Yes No Yes No

Gross AnnualIncome Details (pleasespecify) Income Rangeper annum

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac 25-50 Lac 50 Lacs to 1 Crore 1-5 Crore 5-10 Crore > 10 Crore



If Mobile #/Email id usedbelongs to a different person,specify the dependentrelationship & PAN (Mark“SELF” in case of own Mobile#/Email id) (TICK correct one)

Mobile

Please tick,if applicable

Self SpouseDependent ChildDependent Parent



EmailSelf SpouseDependent ChildDependent Parent



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



Name of Employer/Establi-shment with full addressDesignation

Mobile (Mobile Number is mandatory for commodity trading)** EmailC. GUARDIAN DETAILS (In case the Sole Holder is a minor) - Applicable for Demat Account onlyName

Date of Birth* (of Minor)Relationship (if any) D D M M Y Y Y YAddress (Submit validProof of Address)

I/We authorise you to receive credits automatically into my/our account Yes NoAccount to be operated through Power of Attorney (PoA) (If yes, ensure SMS alert facility is opted.) Yes NoDownload of Email ID to Issuer/R&T Agent Yes NoI/We authorise you to send all communications/statements through the e-mail only* Yes NoI/ We request you to enable my / our Depository account with Flag "Standing Instruction for Auto Pledge Confirmation” Yes NoI/We would like to receive the copy of the KYC & Standard Documents:- Physical Mode Electronic Mode*Address for communication / Corporate Benefits (Default option is Local Address) Local/Permanent Address Correspondence Address/Foreign Address*If you require the document through electronic mode please ensure that you have registered your email id with us. All communication shall be sent at the email lD/correspondence address of the Sole/First holder only. Read Instruction 5 in page no.2 and ensure that email ID is provided in KYC Application Form. Please ensure thecorrectness of e-mail address in the KYC Application Form.**Applicable only for commodity trading

DP IDs: NSDL: IN300239 IN301637 CDSL: 12048900

Trading Account Holder Name

Net-worth as on date (shouldnot be older than one year)

I declare that I don’t have (In the case of trading account holder)

Type of Trading Account Ordinary Resident NRI-Repatriable Others (please specify) .......NRI-Non-Repatriable

Type of Demat Account Ordinary Resident NRI-Repatriable Margin Promoter Others (please specify) ............NRI-Non-Repatriable

Client ID (To be filled by Participant)

OR

D. STANDING INSTRUCTIONS

B. OTHER DETAILS

Booklet Version-11

Goods & Service Tax No.

D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y

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If, you do not wish to trade on any Exchange and any of its segment, please mention here ––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––

E. BANK DETAILS TRADING ACCOUNT DEMAT ACCOUNTBank A/c No. In case of NRIs, give PIS bank account detailsseparately for trading A/C* (In case of NRIs NRE/NRO SB A/C No)

Bank Sub-type Savings Account Current Account Others …….. Savings Account Current Account NRE NRO

Bank Name (Full name)

In case of NRIs,RBI Reference No.*

H. DEPOSITORY ACCOUNT DETAILS (In case of other DP Account Holder, Demat master or recent holding statement issued by DP bearing name of the client)Depository Depository Name Beneficiary DP ID Beneficiary ID

Participant Name (NSDL/CDSL) Name (BO ID)

Copy of Salary Net Worth Bank Statement Holding Others, please specifyTax Return Certificate Certificate for the last 6 months Statement ......................................

G. DOCUMENTARY EVIDENCE OF FINANCIAL DETAILS FOR DERIVATIVE CLIENTS (For Derivatives Trading)

Bank Branch Address(Write as per themanner discribed)

Building/Tower/Appartment/Palace/Chamber/MansionBuilding/Tower/Appartment/Palace/Chamber/Mansion

Street/Road/Marg/Lane/Avenue/RastaStreet/Road/Marg/Lane/Avenue/Rasta

Area NameArea Name

City NameCity Name

PIN CODEPIN CODE

MICR Number

IFSC Number

Name of Client as in Bank

F. TRADING PREFERENCE*Please sign in the relevant boxes where you wish to trade. Please strike off the segment not choosen by you.

Exchanges SegmentsCash F&O

NSE +BSE +MSEI Currency Derivative Mutual Fund

(Full signature required) (Full signature required)


I. REPOSITORY/DEPOSITORY ACCOUNT DETAILS FOR COMMODITYDepository Depository Name Beneficiary DP ID Beneficiary ID

Participant Name (Comtrack/Comris) Name (BO ID)

(Full signature required)

MCX NCDEX NMCE


Date of Consent for trading Date of Consent for trading Date of Consent for tradingD D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y

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L. ADDITIONAL DETAILSWhether you wish to receive Electronic ContractNote or Physical Contract Note (ECN) please specifyWhether you wish to avail of the facility ofinternet trading/ wireless technology(please specify)SMS and email alerts to investors by stockexchanges. (Please tick whichever isapplicable. If not ticked, assumed ‘NotRequired’)

Electronic Contact Note (ECN) Physical Contact Note

Yes No

SMS Email Not Required

K. DEALINGS THROUGH SUB-BROKERS/AUTHORISED PERSON (AP)/OTHER STOCK BROKERS/MEMBERS

Any other information

Investment/Trading Experience Years in Capital Market Years in Commodities No prior experience

If client is dealingthrough the sub-broker/AP, provide thefollowing

Sub-broker’s/AP’s Name:

Registeredoffice address

NSE SEBI Registration number/AP Registration number

Phone Website

BSE SEBI Registration number/AP Registration number

Whether dealing withany other stock broker/AP/sub-broker/member(in case dealing withmultiple stock brokers/sub-brokers/members)provide details of all ina separate sheet Details of disputes/dues pending from/to such stock broker/sub- broker/AP/member

Name of stock broker

Client Code

Name of Sub-Broker, if any

Exchange

Name of Member

Client Code Exchange

Name of AP, if any

(If ECN, please fill the consent letter page no. 33)*

* Applicable only for commodity client

J. PAST REGULATORY ACTIONSDetails of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/ Commodity exchange any otherauthority and conviction by any court in India or abroad against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years

N. RELATIVE OF GEOJIT FINANCIAL SERVICES EMPLOYEE (For Trading)

Parent Parent-in-law Sibling Spouse Child

Are you a relative ofGeojit Financial Services employee?

Yes No

If yes, please indicate your relationshipwith the employeeEmployee code :

Employee name :

M. INTRODUCER DETAILS (optional)Name of the Introducer (Surname) (Name) (Middle Name)

Status of the Introducer Sub-broker–––––––––––––––––– Remiser––––––––––––––––––– Authorized Person––––––––––––––––––– Existing Client––––––––––––––––––– Others, please specify –––––––––––––––––––

Addresof theIntroducer

Phone Number

Signature of the Introducer

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Q. NOMINATION DETAILS FOR DEMAT/TRADING ACCOUNT HOLDERPlease use separate sheet if the nominee is different for different segment (Trading and Demat account)

(Please read the instruction given below before filling)

NSDL (FORM 10) / CDSL (Annexure 3:2)(To be filled in by individual applying singly or jointly)

I/We wish to make a nomination. (As per details given below) I/We do not wish to make a nomination (Strike off the nomination details below)

Nomination DetailsFor Depository Account: I/We wish to make a nomination and do hereby nominate the following person(s)

who shall receive all securities held in the Depository by me / us in the saidbeneficiary owner account in the eventof my / our death.

For Trading Account: I/We wish to make a nomination and do hereby nominate the following person(s)who shall receive all my/our securities/funds held with the broker in the event ofmy / our death.

Nomination can be made upto threenominees in the demat account Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee

1 Name of the nominee(s)(Mr./Ms.)

2 Share of eachnominee

Equally (If not equally pleasespecify percentage)

% % %

3 *Residual Securities (Pleasetick any one nominee. If ticknot marked default will befirst nominee)

5 Address of Nominee(s)

Pin Code Pin Code Pin Code

4 Relationship with applicant (If any)

6 Mobile/Telephone No. of Nominee(s)

7 Email ID for Nominee(s)

8 Nominee Identification details -(Please tick any one of followingand provide details of same)

Photograph & Signature PAN Aadhaar Proof

of Identity Demat Account IDSr. Nos. 9-15 should be filled only if nominee(s) is a minor:

10 Name of the Guardian(s)(Mr./Ms.)(in case of minor nominee(s)

11 Relationship of Guardian withNominee (If any)

9 Date of Birth (in case of minor nominee(s) D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y

FIRST NAME

MIDDLE NAME

LAST NAME

FIRST NAME

MIDDLE NAME

LAST NAME

FIRST NAME

MIDDLE NAME

LAST NAME

FIRST NAME

MIDDLE NAME

LAST NAME

FIRST NAME

MIDDLE NAME

LAST NAME

FIRST NAME

MIDDLE NAME

LAST NAME

*Note: For CDSL Residual securities : incase of multiple nominees, please choose any one nominee who will be credited with residualsecurities remaining after distribution of securities as per percentage of allocation, if you fail to choose one such nominee, the firstnominee will be marked as nominee entitled for residual shares, if any.For NSDL : Any odd lot after division shall be transferred to the first nominee mentioned in the form.

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Notes:1. The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body

corporate and partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly, all joint holders will signthe nomination form.

2. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.3. The Nominee(s) shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian

can be a Nominee, subject to the exchange controls in force, from time to time.4. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account. Similarly, the nomination in respect of the

securities shall stand terminated upon transfer of the securities.5. Transfer of securities in favour of a Nominee(s) shall be valid discharge by the depository and the Participant against the legal heir.6. The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own behalf singly or jointly by the same persons who made

the original nomination. Non- individuals including society, trust, body corporate and partnership firm, karta of Hindu Undivided Family, holder of power of attorneycannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.

7. On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee(s).8. Nomination can be made upto three nominees in a demat account. In case of multiple nominees, the Client must specify the percentage of share for each nominee that

shall total upto hundred percent. In the event of the beneficiary owner not indicating any percentage of allocation/share for each of the nominees, the default option shallbe to settle the claims equally amongst all the nominees.

9. On request of Substitution of existing nominees by the beneficial owner, the earlier nomination shall stand rescinded. Hence, details of nominees as mentioned in the FORM10 at the time of substitution will be considered. Therefore, please mention the complete details of all the nominees.

10. Copy of any proof of identity must be accompanied by original for verification or duly attested by any entity authorized for attesting the documents.11. Savings bank account details shall only be considered if the account is maintained with the same participant.12. DP ID and client ID shall be provided where demat details is required to be provided.

(To be filled by DP)Nomination form accepted and registered wide Registration No............................................................................. Dated .........................................

For Depository Participant(Authorised Signatory)

12 Address of Guardian(s)

Pin Code Pin Code Pin Code

13 Mobile/Telephone No. of Guardian(s)

14 Email ID for Guardian(s)

15 Guardian Identification details -(Please tick any one of followingand provide details of same)

Photograph & Signature PAN Aadhaar Proof

of Identity Demat Account ID

Name of Trading Account Holder Signature :(Full signaturerequired)

Name(s) of Holder(s) Signature(s) of holderSole/First Holder/ Guardian (In casesole holder is minor) (Mr. /Ms.)

Second Holder (Mr. /Ms.)

Third Holder (Mr. /Ms.)

Signature of Witness for NominationName of the Witness Address Signature of Witness

Date D D M M Y Y Y Y

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R. DECLARATION1. The rules and regulations of the Depository and Depository Participants/Capital Market/Commodity market pertaining to an

account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by andto be bound by the rules as are in force from time to time for such accounts. I/We hereby declare that the details furnishedabove are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changestherein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, Iam/we are aware that I / we may be held liable for it. In case of nonresident account, I/we also declare that I / we havecomplied and will continue to comply with FEMA regulations.

2. I/we understand and acknowledge the fact that I/we am/are at liberty to withdraw all or any of the information provided by me/us and the same shall be made by me/us in writing. I/we confirm and accept that such withdrawal shall entitle you to withdrawall or any of the services provided to me/us under the account opening documentation.

3. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stockbroker/commodity member, Additional Rights and Obligations of Stock Broker/Commodity Member/Sub-broker/AuthorisedPerson, Other Products& Services and the tariff sheet.

4. I/We further confirm having read and understood the contents of the “Standard KYC Documents”a) Rights and Obligations of stock broker, sub-broker and client for trading on Stock Exchanges [including additional rights

& obligations in case of internet/wireless technology based trading];b) Rights and Obligations of member, authorized persons and client for trading on Commodity Exchanges [including

additional rights & obligations in case of internet/wireless technology based trading];c) Uniform Risk Disclosure Documents [For all segments/exchanges] ;d) Guidance note detailing Do’s and Don’ts for trading on stock exchanges;e) Guidance note detailing Do’s and Don’ts for trading on commodity exchanges;I have also been informed that the above mentioned documents [a, b, c,d,e] in the vernacular languages are available in our website.

5. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that thestandard set of documents has been displayed for information on stock broker’s designated website.

6. [In the case of clients who have opened only DP accounts] I/We confirm having read and understood the contents of theStandard Documents.• Rights and Obligations of beneficial owner and depository participant as prescribed by SEBI and Depositories.

7. I/We declare that in case of my/our receiving direct/indirect funding from Warehouse Service Providers (WSPs), I/We shallnot trade on behalf of such WSPs/ their Key Managerial Personnel including their whole time directors and their relatives*, /entities owned or controlled by promoters/management of such WSP/Group concerns/associates, directly or indirectly /persons ‘acting in concert’*(as defined in the Companies Act 2013)

(Please tick if applicable) In the context of the above, I/We are providing the list of WSPs (Annexure) from whom I/We arereceiving direct/ indirect funding. I/We undertake to inform Geojit immediately in case of any change in the informationprovided in the Annexure

8. I/We understand that, if I/we have signed the NACH mandate, it is applicable for Equity and Mutual Fund SIPs, Marginpayments, collecting of MTM debit for derivative trades and for collecting charges on depository services as agreed by mewhile enrolling as a client of Geojit. I/We further confirm having read and understood the terms and conditions applicable tothe NACH mandate given in the standard documents.

Place :

Date:

Name of Trading Account Holder Signature :(Fullsignaturerequired)

Name ofDemat Account

Holder(s)

Name of First Holder/ Sole / Guardian(in case of minor) (Mr. / Mrs.)

Name of Second Holder(Mr. / Mrs.)

Name of Third Holder(Mr. / Mrs.)

Signature(s)

(Full signature required) (Full signature required) (Full signature required)

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DETAILS OF LEAD GENERATOR FOR TRADING BENEFITSEmployee name

Employee Code Lead ID

UCC Code allotted to the Client

Documents verified with Originals Client Interviewed by

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 awareof ‘Rights and Obligations’ document (s), RDD, Guidance Note. I/We also made the client aware of Geojit additional Rights & Obligations and Customer AwarenessDocumentation (PMLA). I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and allthe 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 madeavailable on my/our website, if any, for the information of the clients.

Signature of the Branch Manager/Authorised Signatory Seal/Stamp of Authorized IntermediaryDate : (Branch/Sub-broker/Authorised Person)

FOR OFFICE USE ONLY

DP ID : IN300239 IN301637 12048900 Not Applicable

Name of the Employee

Employee Code

Designation of the employee

Date

SignaturePlace

CLIENT DUE DILIGENCE CHECKLIST1 . Confirmed that the Client has been verified against the SEBI debarred list.2 . Confirmed that the Client has been verified against the UN Sanctions list.3 . The identity of the client does not match with those in the SEBI debarred list or the UN Sanctions list.

Does not Match Does Match (tick whichever is applicable)4 . Action taken if the name is found matching

........................................................................................................................................................................................................................

........................................................................................................................................................................................................................

........................................................................................................................................................................................................................

FOR HO USE ONLY

In case of FPI Clients Onlya) IOSCO database verified. Confirmed that client is a resident of a country whose Securities Market Regulator is an

Appendix- A signatory to IOSCO’s Multilateral Memorandum of Understanding (MMOU) (tick whichever is applicable)OR

b) Confirmed that the client is a resident of a country who is a signatory to bilateral Memorandum of Understanding withSEBI (tick whichever is applicable)

c) Checked the High Risk and Non-cooperative jurisdictions of the FATF Public Statements and confirmed that the clientis not resident in a country falling within the High Risk and Non-cooperative jurisdictions of the FATF Statement (tickwhichever is applicable)(Notes: (i) If either (a) & (b) above or (c) above indicates “No”, the account shall not be opened)

Yes No

Yes No

Yes No

Name of Verifying Employee : ………….........……………………………………………….....………………….

Employee Code : …………........………………… Date Verified : ………….....……………

Signature : ………….........……………………………………………….....………………….

20

SCHEDULE OF CHARGES FOR CASH, F&O AND CURRENCY TRADING CLIENTS

Offline Online (Not applicable for NRI clients)

MandatoryTARIFF SHEET

*EQUITY CASH SEGMENT

0.50% 0-25 Lac 0.05%25-50 Lac 0.04%50 Lac - 1 Cr 0.035%1 Cr & Above 0.03%

Delivery Brokerage Intraday Brokerage Daily Volume0.3% 0.03%Delivery Brokerage Intraday Brokerage

*DERIVATIVE SEGMENT

0-25 Lac 0.05% 0-10 Lac 0.05%25-50 Lac 0.04% 10-50 Lac 0.04%50 Lac to 1 Cr 0.035% 50 Lac to 2 Cr 0.03%1 Cr & Above 0.03% 2 Cr to 5 Cr 0.025%

5 Cr and Above 0.02%

Stock Futures Index Futures

0.03% Rs 125 Rs 150 Same as offlineper lot per lot

Futures Options (Lot wise) CurrencyIntraday Carry Forward

Options (Lot wise)Intraday Carry ForwardRs 150 per lot Rs 200 per lotCurrencyInstrument SymbolFUTCUR EURINR 12.50 (applicable on both sides)FUTCUR GBPINR 15.00 (applicable on both sides)FUTCUR JPYINR 10.00 (applicable on both sides)FUTCUR & USDINR 10.00 (applicable on both sides)OPTCUR

Brokerage per lot (Rs.)

Minimum Brokerage of Online trades.Rs 20/- per contract or 1 paise per share whichever is higher. Bothsubject to maximum of Rs 0.25 per share/debenture or 2.5% of thecontract price per share/debenture whichever is higher.In case the contract note is delivered by post then Rs 20/- per contractor 5 paise per share whichever is higher. Both subject to maximum ofRs 0.25 per share/debenture or 2.5% of the contract price per share/debenture whichever is higher.Minimum Brokerage of derivative segment both offlineand online trades.Rs 50/- per order for every off line order (executed) using the branch setup in Currency and F&O segment.Both subject to maximum of 2.5% of premium amount or 100 Rs perlot whichever is higher.Brokerage in Expiry/Exercise/ Assignment of Derivative contracts:Nil

SCHEDULE OF CHARGES FOR NRI CLIENTS:Separate sheet attached

The Brokerage for Interest Rate Futures segment (IRF) = 0.02% on thevalue of the contract.Minimum Brokerage of Offline trades.DCN+POA Clients: Rs.20 per order for every order (executed), Rs.20 per Scripor 1 paise per share whichever is higher, round off to two decimal places.NON-DCN/NON-POA Clients: Rs.20 per order for every order(executed), Rs 30/- per scrip or 5 paise per share whichever is higher,round off to two decimal places.Contract wise Rs.30/- Minimum applicable to Rajasthan/ UP/Delhi/Punjab/Gujarat/ WB/MP/Jammu & Kashmir states.Both subject to maximum of Rs 0.25 per share/debenture or 2.5% ofthe contract price per share/debenture whichever is higher.

Statutory Charges (Applicable to Offline andOnline Clients as the case may be)Securities Transaction Tax (STT)Delivery in Cash 0.10%Intraday in Cash only on selling side 0.025%Futures only on selling side 0.01%Options only on selling side 0.05%Sale of an option, where option is exercised 0.125%Goods & Service Tax (GST) 18%*Exchange Levy As applicable fromStamp Duty time to time

*Miscellaneous ChargesSMS Alert Service (Trading Recommendations) Rs 100/- per monthPrinted Statement Request Rs 50/- per request (through ordinary post)Cheque Bounce/Cancellation Rs 250/-Interest on delayed Payments 21.24% per annum. Subject to change

Geojit reserves the right to revise brokerage structure & other statutory charges as applicable under respective laws by display of the same onthe trading website/customer care/direct communication. Old rate will be applicable for existing clients submitting this booklet as part of KYCupdation.

Signature of Trading Account Holder

*Inter-Settlement Charges (For Clients who have Demat Account with Geojit)Regular Service Demat Account (RSDA) Basic Service Demat Account (BSDA)ElectronicCommunication

PhysicalCommunication

ElectronicCommunication

PhysicalCommunication

0.02% subject to aminimum of Rs.15/-and maximum ofRs.40/- per transaction.




*Inter- Settlement Charges ( For Clients who do not have Demat Account with Geojit)Who avail electronic communication Who avail physical communication

0.02% subject to a minimum of Rs.15/-and maximum of Rs.40/- per transaction.

0.02% subject to a minimum of Rs.20/-and maximum of Rs.40/- per transaction.*All charges are exclusive of taxes, Levies and other statutory charges

21

SCHEDULE OF CHARGES FOR COMMODITY TRADINGMandatory

1. BROKERAGE

Brokerage

GENERAL BROKERAGE DETAILSTrading / Intra DayBuy & Sell (Each Leg) Del ivery

CommodityDerivatives 0.10% 0.50%

Brokerage

SPECIAL BROKERAGE DETAILSTrading / Intra DayBuy & Sell (Each Leg) Del ivery

CommodityDerivatives

Note:

1. The above rates are exclusive of Stamp Duty and GST which will be charged extra at the rate prevailing fromtime to time. Further it is exclusive of Exchange Transaction Charges and SEBI turnover fees.

2. All statutory liabilities on account of any State or Central Government taxes, as applicable on the Commoditiesshall be the responsibility of the client, and the same is not covered in the above schedule.

3. In case of delivery contracts in Futures, the Warehouse, delivery allocation, clearing and forwarding charges,Exchange charges and applicable GST and other Levies would be charged at actuals, in addition to abovereferred charges.

4. Penal charges from the exchanges towards margin shortages, position limit violations, failure / non-settlementof delivery obligations etc. shall applicable at actuals.

5. Geojit shall exercise right over the commodities in the beneficiary account, in event of non-settlement of theabove charges /obligations by the client, for purpose of realisation of dues of exchange or Geojit.

6. The General Rates as mentioned here shall be applied unless the Special Rates as may be agreed by the Clientand the same are mentioned above.

7. Minimum brokerage of Rs. 50/- per day or the agreed brokerage, whichever is higher will be applicable.

8. For post / counter, Rs.20/- will be charge per instance.

9. For Internet and Wireless technology based trading facility, additional charges with regard to software accessetc. will be applicable as per the terms agreed at relevant point in time.

10. Any request for additional / duplicate copies of contracts and statements besides the scheduled dispatch will becharged at Rs.100/- per request.

11. Late / delayed payment charges will be levied @ 21.24% p.a. (subject to change).

12. For cheque cancellations / bounce, Rs.250/- (inclusive of service tax) will be charged.

Geojit Financial Services Ltd., reserves the right to revise brokerage structure, statutory charges as applicable, underrespective laws, and the other charges by display of the same on the trading website/customer care site / intranetportal or through e-mails/letters.

Signature of the Clients (Full signature required)

Commodity Option Rs. 150/Lot Rs.250/LotOption Carry forward

Statutory Charges (Applicable to Offline and Online Clients as the case may be)

Securities Transaction Tax (STT)Options only on selling side 0.05%Sale of an option, where option is exercised 0.125%

*All charges are exclusive of taxes, Levies and other statutory charges

Commodities Transaction Tax (CTT)Futures only on selling side 0.01%

Goods & Service Tax (GST) 18%*Exchange Levy

As applicable fromStamp Duty time to timeRisk Management Fee (For NCDEX Group A Commodity)

22

SCHEDULE OF CHARGES-DEPOSITORY SERVICESDescription of ChargesAccount Opening ChargeDematerialisation ChargesRematerialisation Charges

Custody Charges

Regular Services Demat Account (RSDA)Nil(Statutory Charges applicable)Nil + Courier charges @ Rs.35/- per requestRs.10 for every hundred securities or part thereof;}or Rs.10 per certificate, whichever is higher}+courier charges Rs.35 per scrip. This is subjectto a maximum of Rs.5 Lakh per requestNil

Basic Services Demat Account (BSDA)Nil( Statutory Charges applicable )Nil + Courier charges @ Rs.35/- per requestRs.10 for every hundred securities or part thereof;}or Rs.10 per certificate, whichever is higher}+courier charges Rs.35 per scrip. This is subjectto a maximum of Rs.5 Lakh per requestNil

Transaction Charges{Late Submission of DIS i.e received on pay-in day, will be charged Rs.25/- per transaction}A – Market Trades

a) For transaction through Geojit Debit(Sales)

Credit (Purchase)b) For transaction through other brokers

Debit (Sales)CreditB – Off Market TradesDebit (Sales)

Credit

0.02 % subject to a minimum of Rs.15/- andmaximum of Rs.40/- per transaction, if thedelivery is through POA/Speed-e with DCN0.02% subject to a minimum of Rs.20/- andmaximum of Rs.40/- per transaction, if thedelivery is through DIS or POA without DCN

Nil0.02% subject to a minimum of Rs.50/- andmaximum of Rs.100/- per TransactionNil0.02 % subject to a minimum of Rs.20/- andmaximum of Rs.40/- per transaction, if thereceiving demat accounts is with Geojit.Ifthe receiving demat account is outsideGeojit, then 0.02% subject to a minimum ofRs.50/- and maximum of Rs.100/- pertransactionNil

0.05% subject to a minimum of Rs.50/- andRs. 75/- maximum per transaction if thedelivery is through POA/Speed-e with DCN0.05% subject to a minimum of Rs.75/-andmaximum Rs.100/- per transaction for Non DCNclients

Nil0.05% subject to a minimum of Rs.100/- andmaximum of Rs.150/- per transactionNil0.05 % subject to a minimum of Rs.50/- andmaximum of Rs.75/- per transaction, if thereceiving demat accounts is with Geojit.Ifthe receiving demat account is outsideGeojit, then 0.05% subject to a minimum ofRs.100/- and maximum of Rs.150/- pertransactionNil

Pledge ChargesPledge creationPledge closurePledge Invocation

Rs.50/- per transactionNilRs.50/- per transaction

Rs.100/- per transactionNilRs.100 per transaction

Annual Maintenance Charges (AMC)i. Resident Accounts

Resident Accounts using electroniccommunication (DCN)

ii. NRIs Accountsiii. NRI Accounts using electronic

communication (DCN)Speed-e AdvanceSpeed-e AMC

iv. Corporate Account

Rs.600/-Rs.450/- (For new clients, the first FY AMCwill be Rs.600/- )Rs.2000/-Rs.750/- (For new clients, the first FY AMC willbe Rs.2000/- )Rs.1000/- for clients who trade with other brokersRs.100/-

Rs.1250/-

BSDA Type 1: Nil for holding value tillRs.50,000/-

BSDA Type 2: Rs.100/- p.a. for holding valuefrom Rs.50,001 to Rs.2,00,000/-

Holding value above Rs.2,00,000/- the tarifffor RSDA will be applicable.

Note : All charges are exclusive of taxes, levies and other statutory charges. Charges are collected upfront by Cash/local cheque/DD or it will be debited to trading account of Sole/Joint demat account holder maintained

with Geojit. Interest of 13% p.a would be charged on the dues amount from the due date. For BSDA account value of holding will be determined on a daily basis ,account will be levied higher applicable AMC on value of holding

exceeding prescribed limit from the next day of exceeding such limit. As and when an existing BSDA account becomes RSDA or vice versa, the charges pertaining to the account, as mentioned above, will be

applicable from that day onwards.

(Full signature required)(Sole /First Holder Signature) (Third Holder Signature)(Second Holder Signature) (Full signature required) (Full signature required)

Mandatory

Additional printout of statements will be charged @Rs.25/- per statement per account

23

On Stamp paper of Rs.100Non-mandatory

POWER OF ATTORNEY FOR BROKING AND OTHER PRODUCTS & SERVICES(Not applicable for commodity trading)

THIS POWER OF ATTORNEY MADE AT _________________________THIS__________________

DAY OF_________20___ BY: _______________________________________________ an Indian, residing at

____________________________________________________________________________________________________

(hereinafter referred to as the “ Client” or “ Holder”) which expression shall, unless repugnant to the

context or meaning thereof, be deemed to mean and include its executors, administrators, successors and assigns;

AND *

1) _______________________________________________ an Indian, residing at ______________________________________

______________________________________________________________________________________________________________________________________

2) _________________________________________________ an Indian, residing at _______________________________________

______________________________________________________________________________________________________________________________________

3) _______________________________________________ an Indian, residing at ______________________________________

______________________________________________________________________________________________________________________________________

with Demat Account in the following manner a) DP ID______________________ client ID ___________________b) DPID_________________________ client ID ______________________ c) DPID_________________________client ID ___________________ [hereinafter referred to as the “Demat Account Holder” or “ Joint Demat AccountHolders*” as the case may be (*only when the Demat a/c is in joint names)], which expression shall, unlessrepugnant to the context or meaning thereof, be deemed to mean and include its executors, administrators, successorsand assigns of the First Part, IN FAVOUR OF Geojit Financial Services Limited , a company incorporated under theprovisions of the Companies Act, 1956, (hereinafter referred to as “Geojit “) having its registered office at Civil LineRoad, Padivattom, Kochi – 682024, which expression shall, unless repugnant to the context or meaning thereof, bedeemed to mean and include its executors, administrators, successors and assigns by way of amalgamation and/ormerger and registered as a stock broker of National Stock Exchange of India Ltd. (NSE) [SEBI registration number INZ000104737 in the Capital Market Segment with CMBP ID IN506594 & Pool account number 10000004/IN300239,1204890000000319, NSCCL(MFSS) 1100001100017837, NSCCL (MFSS) CM BP ID IN565576], BSE Ltd. [SEBIregistration number INZ000104737 in the Capital Market Segment with CMBP ID IN603287 & Pool accountnumber 10324155/ IN300239, 1204890000000283], Metropolitan Stock Exchange of India Ltd. (MSEI) [SEBIRegistration Number INZ000104737 in the Capital Market Segment with CMBP ID IN473978 & Pool accountnumber 14219233/IN300239, 1204890000144856], of the Second Part.

WHEREAS :1. Geojit, in its capacity as a stockbroker entered into a Member Client Agreement(s) (the said “Agreement”) for

providing the trading facilities on National Stock Exchange of India Ltd. (NSE) and Bombay Stock ExchangeLimited (BSE) (collectively with the exchange) and for investment in various investment products in the natureof Mutual Funds, Bonds, IPOs, etc.;

2. The Client is desirous of availing such trading facilities and products & services provided/ to be provided byGeojit online and or offline /and the MT Facility, subject to the terms and conditions stipulated by Geojit andsuch other terms as may be amended from time to time on its website or otherwise under the said Agreement;

3. The Joint Demat Account Holders, hold jointly with the Holder a demat account with a Geojit, a depositoryparticipant (“DP”)

First Holder in Demat A/c Second Holder in Demat A/c Third Holder in Demat A/c (Full signature required) (Full signature required) (Full signature required)

24

4. As a consideration for providing the trading facility and also for availing the products & services to theHolder to transact under the said Agreement and to facilitate execution of all transactions, online and/oroffline, the Holder and/or Joint Demat Account Holders agree to provide the power to Geojit to execute,confirm and complete all transactions of all deals for and on behalf of the said Parties and to give effect tothe terms of the said Agreement and/or other deeds/ agreements executed in favour of Geojit and/or itsaffiliate concerns NOW THEREFORE THIS POWER OF ATTORNEY WITNESSETH THAT: We, the Partiesof the First Part, do hereby nominate, appoint and constitute Geojit as our true and lawful attorneys to do,execute and perform or cause to be done, executed and performed, the following acts, deeds and things orany of them for and on my/our behalf namely:

AUTHORIZATION TO GEOJIT1. To operate demat accounts, with the said DP, in the name(s) of “Holder” and “Joint Demat Account Holders”

so far as reasonably practical to facilitate the transactions for purchase and sale of securities on the Exchangesin the name of the Holder and other products & services or combination there of having the Holder as the sole/#first holder or any other holder, as Geojit may deem fit in its sole discretion with the said DP.(# delete if notapplicable)

2. To sign and execute necessary documents, forms, agreements, undertakings, confirmations, declarationetc. andto accept terms & conditions, on my/our behalf for the purpose of operating such Demat Account(s).

3. To operate the Demat Accounts maintained with Geojit to meet all obligations of the Holder in terms of thesaid Agreement/s for transactions done/to be done on instructions of the Holder and to give other instructionsrelating to the Demat Account(s), for matters concerning the transaction in securities. In event the designatedDemat Accounts with Geojit for carrying out transactions is closed or transferred, for any reason whatsoever,and the Holder instructs Geojit, in such manner as may be acceptable to Geojit, for substitution of new DematAccounts in place of the demat Account as designated, all the terms and conditions of these presents shalllikewise extend and apply to all such new/substituted Demat Accounts. This Power of Attorney would bedeemed to extend to any Demat account opened by us in addition, substitution or replacement of the Demataccount that gets linked to the Investment account with Geojit. This Power of Attorney would also be deemedto extend to block/mark lien on securities in the aforesaid Demat Account(s) or any other demat account(s) asmay be opened from time to time in pursuance of these presents and/or to credit the Demat Account(s) withsecurities due to us.

4. We, the joint demat account holders, do hereby understand, agree and acknowledge that, by virtue of suchjoint holder ship, our names may also be required to be entered in the relevant application/ instruction formsthat are being submitted for the purposes stated herein on behalf of the holder. We fully agree to suchnaming in the forms and further agree to hold Geojit harmless in any related queries by any Authorities orRegulators and also not to raise any claim or dispute against Geojit for such filling up of names.

5. To authorize, to instruct the said DP to debit our Demat Account(s), towards securities due to Geojit, andto discharge all obligation in this regard on our behalf to Geojit arising as a result of Agreement/s betweenGeojit and me/us. I/We hereby agree that the instruction of Geojit to the said DP to transfer the securitiesout of my/our Demat Account to the Demat Account of Geojit shall be deemed to have been my/ ourinstructions and the said DP have no necessity to enquire about the obligations towards which suchtransfers are effected by Geojit or any third party service provider.

6. To debit trading account/investment account towards monies/ fees/ charges /securities, etc. payable /dueto Geojit, in relation to transactions in securities executed through Geojit, while carrying out the transactionfor payment or otherwise or for subscribing to any products, services, facilitated by Geojit or any thirdparty service provider, only debiting of investment account will be pursuant to the receipt of instructionfrom the client.

7. To do all things necessary for and incidental to availing /repayment of dues for such transactions insecurities executed by the Holder including pledging of scrips, stocks, securities, bonds, debentures,mutual fund units, units of any collective investment scheme or any other security or financial instrumenton behalf of me/us through Geojit for margins or other obligations or liabilities or releasing the pledge/lien/block on the securities.

8. To apply for, redeem, and to do all things necessary, relevant and ancillary in this regards, for variousinvestment products in the nature of Mutual Fund, Bonds, Insurance Policies, IPO’s etc. and to effectnecessary payment for the same pursuant to the receipt of instruction from the client.

9. We expressly authorise Geojit to deposit/pledge securities in my/our Demat Account as collaterals withthe exchange(s), in connection with to trades executed by me/us on the stock exchange through Geojit, ifGeojit so desires to avail exposure against the said collaterals.

First Holder in Demat A/c Second Holder in Demat A/c Third Holder in Demat A/c (Full signature required) (Full signature required) (Full signature required)

25

10. This PoA is executed on the firm understanding received from Geojit that, Geojit would return the securitiesor funds that would have been received by Geojit erroneously or without authority from me/us.

11 . AND GENERALLY to do or cause to be done every other acts, deeds, matter or thing, as Geojit may deemnecessary or expedient for the purpose of or in relation to these presents.We hereby declare that all and every receipts made, executed or done for the aforesaid Products andServices by virtue of these presents shall be as good, valid and effectual to all intents and purposeswhatsoever as if the same had been made, executed or done by us in our own name(s).We hereby ratify and confirm and agree to ratify and confirm all that Geojit or any of their respectiveOfficers shall do or cause to be done in or concerning the premises by virtue of these presents.

12. It is specifically made clear herein that this Power of Attorney shall be cancelled or revoked at any timewithout any notice from my/our side. However such cancellation or revocation shall not be applicable tothose obligations arising out of the trades carried out prior to receiving request for cancellation or revocationof the POA. Such obligations owed by me/us shall be carried out by Geojit at its Liberty, for which I/weshall not raise any objection.

13. It is also made clear hereby that, by virtue of me/us executing this Power of Attorny, Geojit may send aconsolidated summary of my/our scrip-wise buy and sell positions taken with average rates by way of anSMS/email on a daily basis, in addition to the normal documents being received from Geojit.

1) Name of Demat Account Holder: Demat Account No:

First Holder Signature :

Third Holder Signature :

Second Holder Signature :


















Name of the Trading Account Holder:

Trade Code:

Signature of the Trading Account Holder


26

NON - MANDATORY

RUNNING ACCOUNT AUTHORISATION

FOR RESIDENT INDIVIDUAL / NRO CLIENTS

I / we maintaining a trading account with Geojit FinancialServices Ltd. hereby authorise Geojit Financial ServicesLtd. 34/659 – P, Civil Line Road, Padivattom, Kochi –682 024 to operate my / our account on Running accountbasis.

I / we hereby authorise Geojit for the following withregard to my / our trading account for transactions inthe Commodities/Securities markets that I / we haveopted for and where Geojit continues holdingmembership.

1. To effect transfer of my / our credit balances in oneexchange segment to the ledger or the credit of sameand/or other exchange as may be applicable to meetthe margin and/or settlement obligations on my /our accounts as necessitated.

I / we hereby declare that I / we have read andunderstood the general guidelines issued byexchanges to members on releasing funds andcollateral payouts. However, being fully aware ofthe same, I / we have authorised Geojit to retain /utilise credits as mentioned above, for operationalconvenience.

2. To retain settlement credits in my / our accountand to settle / release the credits or any such amountonly on receipt of specific advice / instruction thatcan either be oral or in writing. The above isapplicable to funds, securities, bank guarantees(BG), warehouse receipts – electronic / physical,demat commodity units (hereinafter collectivelyreferred as collateral) On request, Geojit shalltransfer funds lying in credit with Geojit within oneworking day, and collateral other than BG withinthree working days.

3. To retain and utilise the financial ledger credits(amounts) towards my / our obligations arising oftrades executed through Geojit at any exchange –segment in my / our account. To retain and utilisethe collateral towards my / our trading limits andmargin obligations arising of trades executedthrough Geojit at any Exchange segment in my /our account. I / we understand herein that Geojitshall retain the absolute discretion on the

acceptable list / mode of collaterals alongside theapplicable haircut on them.

4. I / we understand that in respect of any derivativemarket transaction, apart from margin liability as onthe date of settlement, trading member may retainadditional margins (maximum upto the percentageprescribed under the prevailing guidelines as perExchanges / SEBI) to take care of any marginobligation arising in next days.

5. I/we authorize Geojit to maintain a sum of Rs.10000towards charges on my Demat account and on otherservices. In case there is no trading transactionduring the month or quarter funds will be fullysettled.

6. I / we have opted to have settlement of funds andcollaterals on a periodic basis and not to have acontract wise / bill wise / settlement wise transfer offunds and securities between me / us and Geojit.

7. I / we am /are aware of my / our account is maintainedon a Running account basis. The actual settlementof funds and collateral shall however be done byGeojit, at least once at such periodicity as prescribedby the Exchanges / SEBI.

8. This authorisation will be valid until it is revokedby me / us. I / we understand that the revocation ofauthorization shall be applicable immediately onreceipt of request by Geojit at Head Office. It isunderstood that my / our account would beoperated on a contract wise / bill wise / settlementwise basis and all rights and obligations shall beapplicable accordingly, once the authorisation isrevoked.

9. I / we shall not make any claim whatsoever uponGeojit for Geojit standing guided by thisauthorisation in favour of maintaining my / ouraccount on Running Account basis.

10. I/We shall prefer settlement of fund/securities oncein A calender quarter or A calendar month (tick any one). Such settlement will be done by Geojiton any day at its discretion in a calendar month orquarter as the case may be.

(Full signature required)Date................................................................Name and Signature of the Client

27

To,Geojit Financial Services Ltd.34/659-P, Civil Line Road, Padivattom, Kochi-682024.

Sub: Submission of contract note to PIS Bank

Dear Sir,

I, Mr./Ms. ……………...................................................…….................................................................………...., aged ............…....…………,S/D/W/ of ……...................................................................................................., residing at…………………..……………………………………

…….............………………………................................................................................................hereby agree and undertakes as follows:1. Whereas I have registered with M/s. Geojit Financial Services Ltd., 34/659-P, Civil Line Road, Padivattom, Kochi-682024. as an

NRI client as per the agreement executed on ………………… To be able to trade on the Indian Stock Exchanges.2. Whereas the Securities and Exchange Board of India (SEBI) and the Reserve Bank of India (RBI) have promulgated special rules

and regulations applicable to NRIs who trade on Indian Stock Exchanges.I hereby agree and undertake the following :

3. I agree to submit the Contract notes to my Bank …………………………………...…………………………………………. Branch, within 24hrs of said trades.

4. I understand and agree to abide by the SEBI/RBI rule that prohibits me from short-selling securities and netting of trades.5. I understand and agree to abide by the RBI regulation which requires that my PIS bank account be fully pre-funded. I undertake

to always ensure that my PIS bank account tied to my trading account will have clear credit balance to cover the combined valueof the stock/s to be purchased brokerage and all applicable statutory charges before executing trades.

6. I undertake to abide by all other rules applicable to my trading in the Indian Stock Exchanges as an NRI, either existing or enjoined at a later date.7. In the event of my committing a breach of any of the above described regulations, Geojit shall be at liberty to deactivate my

trading account and I shall not raise any claim or dispute against Geojit, for the said action.

Place:........................................Date : ........................................ (Name & Signature of the Client/ Authorised Signatory)

MANDATORY FOR NRI CLIENTS

NRI UNDERTAKING FOR NRE PIS ACCOUNT


I, Mr./Ms. ………...........................................................................................................................……………………………..aged………….............................................…S,D,W of……………................................................……………………,residingat………............................ ……...........................….. hereby undertakes as follows:1. Whereas I have registered with Geojit Financial Services (GEOJIT), as a client with client code ………….................…2. Whereas I have opted to avail exposure against holdings (of approved scrips as per GEOJIT policy) in the Equity derivative and

Commodity derivative segment. I am aware and agree that trading in Equity derivative and Commodity derivative involves dailysettlement of MTM losses and a failure on my part to remit the same may result in the sale of the holdings by GEOJIT.

3. I am also aware that the markets can be volatile as a result of which I may be called upon to pay additional margins by GEOJIT. Iunderstand and affirm that in the event of my failure to meet such enhanced margin requirements, within the time frame stipulatedby GEOJIT, it (GEOJIT) can close out my positions and still if any outstanding amount are found payable to GEOJIT the same shallbe recovered by selling the said holdings from my DP Account. The timing and choice of shares and its price shall be at thediscretion of GEOJIT.

4. That in the event of the happening of the above, I shall not raise any claim or dispute against GEOJIT.

Place……………………………Date………………………….. Name and Signature of the Client

NON - MANDATORYFOR RESIDENT INDIVIDUAL

UNDERTAKING FROM CLIENTS ON THE EQUITY DERIVATIVE AND COMMODITY DERIVATIVE SEGMENTFOR AVAILING EXPOSURE AGAINST HOLDINGS


28

Mandatory for NRI Clients Trading under NRO

FOR NRO NON-PIS CLIENTSNRI UNDERTAKING - INVESTING UNDER NON - REPATRIATION BASIS

To,Geojit Financial Services Ltd.34/659-P Civil Line Road, PadivattomKochi - 682024.Sub: Undertaking as an NRI trading under NRO status

Dear Sir

I, Mr./Ms. ………………………….….......………….......................................................................... aged .......................

S/D/W of ................................................................................ residing at………………..………………..............................

………………………………………………………………………………...........…………………………………………………….here by agree and undertake as follows:1. Whereas, I have registered with M/s Geojit Financial Services Ltd., 34/659-P, Civil Line Road, Padivattom,

Kochi -682024 as an NRI Client under NRO status(Non – Repatriation basis)as per the KYC Terms and Conditions& Rights and Obligations executed on ................. to trade on the Stock Exchanges in India.

2. Whereas, the Securities and Exchange Board of India (SEBI) and Reserve Bank of India (RBI) have promulgatedspecial rules and regulations applicable to NRIs who trade on Indian Stock Exchanges.

3. I affirm and agree to abide by the SEBI/RBI rules that prohibit short -selling securities and netting of trades.4. I affirm and agree that the Sale / Maturity proceeds of the securities or units acquired shall be credited to my

NRO account irrespective of the type of account from which the considerations for acquisition were paid.5. I affirm and agree that the amount invested under this scheme and the capital appreciation thereon shall not be

allowed to be repatriated abroad under any circumstances.6. I affirm and agree that Geojit shall calculate and deduct the applicable taxes as per the prevailing tax norms in

India and shall pay only the net amount after taxes to my NRO account for which TDS certificate shall be issued.7. I shall intimate Geojit and give a suitable declaration of the cost and date of purchase of the securities held by me.8. Further, I shall intimate Geojit about any change in the status of security holdings on account of corporate

actions or otherwise (IPO/FPO, Rights, Buy back, ESOPs, off market transfers etc) to facilitate proper capitalgains computations.

9. I shall, on demand, provide the proof of cost and date of acquisition of the shares so declared. Geojit shall havethe right to disallow selling of shares for which I have not given complete declaration.

10. I understand and agree that Geojit can outsource the tax calculations and other related activities to a third partywho may have access to my account/transactions besides levy service charges for providing such services.

11. I undertake and agree that I shall be entirely liable for any tax liabilities that arise on account of the transactionsexecuted through Geojit and that I shall cooperate with Geojit in this regard.

12. I undertake and agree to pay in full all the dues, losses, liabilities, charges, taxes, fees, interest, penalty, fine, etc.that may arise on account of my trading activities with Geojit.

13. I undertake to abide by all the applicable rules, regulations, laws, notifications, circulars under FEMA, RBI,SEBI, Income Tax, government, ministries, etc.for NRO trading in the Stock Exchanges in India as an NRI,existing or as announced from time to time.

14. In the event of my committing a breach of any of the above described regulations, Geojit shall be at liberty todeactivate my NRO trading account and I shall not raise any claim or dispute against Geojit , for the saidaction.

15. I undertake and agree that in case I do not opt for receiving contract notes and other communications via emailor in case where I have opted for receiving contract notes and other communication by email but Geojit isunable to send the same by email ( where the reason is beyond Geojits control) the additional charges applicablefor sending contract notes/other communication in physical form, additional Demat AMC charges as well asany other related charges will be applied to my account.

Place: ........................................

Date: ........................................... (Name & Signature of the Client/ Authorised Signatory)


29

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31

Photo of theAuthorized person

Signature of theAuthorized personacross the photo

Any one of the following documents may be submitted as Proof of Identity:Passport CopyDriving LicensePan Copy

Place: Date:

Name: Signature of the Client

Non-mandatory


Address of the authorised person :

Landline number of authorised person :

Mobile number of authorised person :

Email ID of authorised person :

PAN of the authorised person :

Date of birth of the authorised person : DD MM YYYY

(full signature required)

TRADING - CLIENT AUTHORIZATION TO THIRD PARTY(Minor cannot be appointed)

ToGeojit Financial Services Limited34/659-P, Civil Line Road, Padivattom, Kochi-682024

I/We _______________________________________________________________________________ Indian Resident/NRI, aged _____________________________

years, S/o /D/o _________________________________________________ residing at ____________________________________________________

____________________________________________________________________________________________________________________________________________

being a client of Geojit Financial Services Ltd. with Trade Code ____________________ do hereby nominate, appoint and

authorize Mr./Mrs./Ms. ___________________________________________ aged ______ years S/o / d/o ____________________________________

residing at _____________________________________________________________________________________________________________________________________________________

________________________________________________________ hereinafter referred to as “Authorised Person” whose signature isappended below, to act for me, as my attorney, in my name and on my behalf to do, execute and perform or caused to be doneall or any of the acts or things as envisaged in the Agreements executed by me with Geojit Financial Services Ltd. and such things,hereinafter specifically mentioned.1. To do transactions on my behalf in shares, securities, derivative contract and all other Products and/or services offered by Geojit.2. To present cheques to meet the payment obligations arising out of the transactions done on my behalf and in my account.3. To receive cheques on my behalf with regard to this.4. To subscribe / unsubscribe to the Products and/or services introduced or offered by Geojit from time to time.I request Geojit to act on the instructions of the Authorised Person. I agree, and undertake that Geojit shall not be heldresponsible / liable for actions / inactions arising out of the said instructions.I shall indemnify Geojit for any costs, losses, expenses, penalties and outgoings including legal fees and expenses incurred orsuffered by Geojit due to such authorization.I agree and understand that Geojit does not have any means such as biometric passwords, etc. to confirm / authenticate theauthorized person acting under this Authorization.I agree and confirm that the said authorization shall be cancelled or revoked only upon furnishing an advance written notice of 30(thirty) days to Geojit which notice shall bear an acknowledgement of receipt by Geojit in writing specifically addressed to me.I hereby ratify and confirm and agree to ratify and confirm all acts, deeds or the trades done or cause to be done by the AuthorisedPerson under this authority and shall be construed as acts, deeds or trades done by me.Name of the Authorized Person (Self Certified Proof of Identity of the Authorized person to be submitted alongwith the saidAuthorization)

(Singature of authorised person)

FOR RESIDENT INDIVIDUAL / NRI CLIENTS

32

NON - MANDATORY

DECLARATION OF TYPES OF DEPOSITORY SERVICES

We, at Geojit Financial Services Ltd., offer Regular Services Demat Accounts (RSDA) withnormal depository services and Basic Services Demat Account (BSDA)* with limitedDepository Services.

Both the services have different features as detailed below:

Regular Services Demat Account (RSDA)

Lower Transaction Charges

Statement on demand with no additionalcharges

24/7 Customer Care support throughourcustomer care website: www.geojit.com

Email alert on transactions carried out intheaccount

Free Monthly Transaction Statements.

Multiple Accounts facility for samepersonas first holder across all DPs andDepositories

Call Centre Support from MondaytoSaturday

Basic Services Demat Account (BSDA)

Higher Transaction Charges.(Seetheattached for Charges)

Only two Statements are free of cost.Rs25/- per additional physical Statementrequest

Not eligible for Customer Care support

No email alerts on transactions.

Free Quarterly Transaction Statements.

Only one account across all DPsandDepositories is permitted

No Call Centre Support

*BSDA eligibility: Only accounts with a holding value that is less than Rs 2,00,000 areeligible for BSDA and the investor should have only one DP Account across thedepositories.

You may opt for our Regular Services Demat Account (RSDA) with the features listedabove even if your account is eligible for BSDA account status.

After reading the above, I/we hereby affirm that my/our account be classified as RSDA.

Sole/First Holder Joint Holder-1 Joint Holder-2

(Full signature required) (Full signature required) (Full signature required)

Signature(s):

Date :

Place :

33

ELECTRONIC CONTRACT NOTE (ECN) - DECLARATION

To,Geojit Financial Services Ltd.34/659-P, Civil Line Road, Padivattom, Kochi-682024. Phone: 0484-2901000

Dear Sir,

I, ........................................................................................................................................ a client with MemberM/s. .................................................................................. of ...................................................................... Exchangeundertake as follows:

1. I am aware that the Member has to provide physical contract note in respect of all the trades placed by meunless I myself want the same in electronic form.

2. I am aware that the Member has to provide electronic contract note for my convenience on my request only.3. Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive

physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertainingto all the trades carried out / ordered by me.

4. I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email operations.5. My email id is* ....................................................................................... This has been created by me and not

by someone else.6. I am aware that this declaration form should be in English or in any other language known to me.7. I am aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract

note at the above e-mail ID.The above declaration and the guidelines on ECN have been read and understood by me. I am aware of the riskinvolved in dispensing with the physical contract note, and do hereby take full responsibility for the same.*(The email id must be written in own handwriting of the client.)

Client Name : ..............................................................................................

Unique Client Code : ..............................................................................................

PAN : ..............................................................................................

Address : ..............................................................................................

..............................................................................................

..............................................................................................

Signature of the client :

Date : .....................................

Place : .....................................

BRANCH USE

Verification of the client signature done by : ..............................................................................................

Employee Name : ..............................................................................................

Employee Code : ..............................................................................................

Designation : ..............................................................................................

Employee Signature :

Date : .....................................

Non-Mandatory


34

ACKNOWLEDGEMENT

Geojit Financial Services Limited34/659-P, Civil Line Road, Padivattom, Kochi-682024

Dear Sir,

I hereby acknowledge receipt of the standard KYC documents (Mandatory and Non-mandatory) set from you:-

1. Rights and Obligations of Stock Broker, Sub-brokers and Clients

2. Rights and Obligations of Member, Authorised Person and Clients

3. Risk Disclosure Document (RDD) of securities and commodity market

4. Rights & Obligation of Depository Participants & Beneficial Owner

5. Guidance note on securities market- Do’s and Don’ts for investors

6. Guidance note on commodity market- Do’s and Don’ts for investors

7. Geojit Policies and Procedures

8. Additional Rights and Obligations of Stock-broker/Member/Sub-broker/Authorised Person and Client.

9. Authorisation to debit funds from client designated bank account to meeting fund or systematic SIPs.

I state that I have read and understood all above documents and these documents are binding upon me.

I also acknowledge receipt of following document.

1. Customer awareness document on PMLA

Thanking you,

Signature of the Client : Date: ..................................

Note: The above mentioned standard set of KYC documents, which are part of the Stock broking, commodity anddepository account opening kit is made available in our website www.geojit.com in 15 regional languagesfor your ease reference.


Clients are requested to make payments to “Geojit Financial Services Ltd.” by Cheques/Account transfers. In case ofDemand Drafts / Pay-Orders, client to substantiate that the same is drawn favouring Geojit Financial Services Ltd.wtih his/her/their permission and knowledge. The Demand Drafts/Payorders must be accompanied by DD Slip orBank Letter or Bank Statement etc. clearly showing that DD is issued from Client’s Bank account only.

CASH RECEIPTS & PAYMENTS STRICTLY NOT ALLOWED

Disclosures

1. In line with industry standards & practice and our business requirements, our employees areincentivized, financially or otherwise, for the business generated through various financial products& services offered. However, we do not have an incentive structure that encourages sale of productsthat are in conflict with your interests. Earnest efforts have been made to introduce the mostcomprehensive products & services, keeping our client’s best interest in mind. This disclosure isbeing made voluntarily, towards our initiative to eliminate conflict of interest situations.

2. We do not offer any products with guaranteed returns.

3. Geojit disclose herewith that it currently does not undertake proprietary trading.

35

I wish to apply for an e-Insurance Account (eIA) Type of account Resident NRI

First Name:

Middle Name:

Last Name:

Father’s/Spouse Name:

Gender Male Female Others Date of Birth D M M Y Y Y Y

PAN & / or UID

ID Proof Submitted

DOB Document Submitted

Proof of Address

AUTHORISED REPRESENTATIVE DETAILS

First Name:

Middle Name:

Last Name:

Gender Male Female Others Date of Birth D M M Y Y Y Y

PAN & / or UID

Relationship with eIA Applicant

Address Same as eIA Applicant Permanent Correspondence Others

D

D

Telephone Mobile

Email ID

Do you want to notify Authorised Representative about his / her appointment? Yes No(If none of the option is selected, it will be considered as YES)

(An Authorised Representative is a person appointed by e-Insurance Account holder who can access e-Insurance Account in theevent of the holder’s demise or in his incapacity to access the e-Insurance Account)

Geojit Financial Services Ltd. (Formerly known as Geojit BNP Paribas Financial Services Ltd.)Approved Person Regn. No. - IRDA/IR1/2014/03934/659-P, Civil Line Road, Padivattom, Kochi-682024. Phone: 0484-2901000

Account Opening(Scan Based) Serial No.

Booklet No. G 107

ADDENDUM FOR OPENING E-INSURANCE ACCOUNT

PTO