trading account opening formofficers, senior executives of state owned corporations, important...

TRADING ACCOUNT OPENING FORMTABLE OF CONTENTS

DOCUMENT SIGNIFICANCE PAGE No.MANDATORY DOCUMENTS

KYC (Account Opening Form)a) KYC form - Document captures the basic information about the constituent and aninstruction/check list.b) Document captures the additional information about the constituent relevant totrading account and an instruction /check list

3 - 4

Tariff Sheet Document detailing the rate/amount of brokerage and other charges that will be leviedon the client for trading 8

Acknowledgement Letter andDisclosure

Acknowledgement indicating receipt of documents by the client. Disclosure documentregarding client based trading. 9

OPTIONAL DOCUMENTS

Authorization of running account /request letter Letter or authority / request to Astha Credit & Securities (P) Ltd. 10

Authorization Electronic ContractNotes Letter of Authorization Electronic Contract Notes (ECN) - Declaration 11

Internet based Trading Letter of Authorization for Internet based Trading (IBT) and Account Modification 12

QUICK CHECKLIST

1. Attach copy of passport photograph on page 3 and sign across

2. Do Sign in all areas marked with serial numbers.

3. Photocopy of PAN card and address proof with signature

4. Photocopy of latest 3 months bank statement

5. Initial margin cheque (In Favor of 'Astha Credit & Securities Pvt Ltd.')

6. Hand-written declaration 'on page 10'

Astha Credit & Securities (P) Ltd. (Trading Clearing Member :NSE)F-01, Usha Preet, 138/42,Malviya Nagar,Bhopal(MP) 462003Contact No : +91-9926765473,+91-755-4268-555, Email id:- [email protected]

Exchange Registration No

NSE CASH (National Stock Exchange-CAPITAL MARKET) SEBI Registration No: NSE (Cash) : INZ000187932

NSE F&O (National Stock Exchange- FUTURE & OPTION) SEBI Registration No : NSE (F&O) : INZ000187932

MCX (Multi Commodity Exchange- FUTURE & OPTION) SEBI Registration No : MCX(F&O) : INZ000187932

REGISTERED OFFICE& CORRESPONDENCE OFFICE ADDRESS: Astha Credit & Securities (P) Ltd.

F - 01, Usha Preet - 138/42, Malviya Nagar,Bhopal ( M.P.) - 462003 ,Contact No:+91-755-426-8-555,Email id:- [email protected] , [email protected]

COMPLIANCE OFFICER CHIEF EXECUTIVE OFFICER ( CEO )

Name : Satish Chandra GuptaPhone : 0755 - 4220794, E-mail : [email protected]

Name : Satish Chandra GuptaPhone : 0755 - 4220794,E-mail : [email protected]

For any grievance/dispute please contact Astha Credit & Securities (P) Ltd. At : F - 01, Usha Preet - 138/42, Malviya Nagar, Bhopal (M.P.) - 462003 Phone : +91-755-4268-555, Email : [email protected], website:www.asthatrade.com In case not satisfied with the

response please contact the concerned exchange(s) at

Exchange Name Email id Phone No

NSE [email protected] 022-26598190

MCX [email protected] 022-67318888

INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORMA. IMPORTANT POINTS:1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole timedirectors and persons authorized to deal in securities on behalf of company/firm/others.2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals forverification. In case the original of any document is not produced for verification, then the copies should be properly attestedby entities authorized for attesting the documents, as per the below mentioned list.3. If any proof of identity or address is in a foreign language, then translation into English is required.4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.5. If correspondence & permanent address are different, then proofs for both have to be submitted.6. Sole proprietor must make the application in his individual name & capacity.7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/P10Card/OCI Card and overseas address proof is mandatory.8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to besubmitted.10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School LeavingCertificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent publicfunctions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ militaryofficers, senior executives of state owned corporations, important political party officials, etc.

B. Proof of Identity (POI): - List of documents admissible as Proof of Identity:1. Unique Identification Number (UID)(Aadhaar)/ Passport/Voter ID card/ Driving license.2. PAN card with photograph.3. Identity card/ document with applicant's Photo, issued by any of the following: Central/State Government and itsDepartments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public FinancialInstitutions, Colleges affiliated to Universities, Professional Bodies such as ICAI,ICWAI, ICSI, Bar Council etc., to their Members;and Credit cards/Debit cards issued by Banks.

C. Proof of Address (P0A):- List of documents admissible as Proof of Address: (*Documents having an expiry dateshould be valid on the date of submission.)1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ FlatMaintenance bill/Insurance Copy.2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.3. Bank Account Statement/Passbook -- Not more than 3 months old.4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-OperativeBank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the LegislativeAssembly/Parliament/Documents issued by any Govt. or Statutory Authority.6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments,Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI,ICSI, Bar Council etc., to their Members.7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostilkdor consularised)that gives the registered address should be taken.8. The proof of address in the name of the spouse may be accepted.

D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.)1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed byCourts e.g. Official liquidator, Court receiver etc.2. Investors residing in the state of Sikkim.3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.4. SIP of Mutual Funds upto Rs 50, 000/-5. In case of institutional clients, namely, Fils, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and BilateralDevelopment Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA andPublic Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN carddetails with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

E. List of people authorized to attest the documents:1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks(Name, Designation &Seal should be affixed on the copy).2. In case of NRls, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public,Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest thedocuments. F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI &POA, as mentioned below:

Annesure 3 TRADING ACCOUNT RELATED DETAILS

(For Individuals & Non-Individuals)

A. BANK ACCOUNT DETAILS [Please enclose, Copy of a Cancelled cheque leaf / Pass Book / bankStatement containing name of the constituent]

Branch Address Bank A/C No.A/C type ( Saving/

Current / Other in caseod NRI / NRE / NRO)

Bank Name MICR No. IFSC Code

Note: Please provide the above details with Care as the same ahall be used for Payment throughNEFT / RTGS

B. DEPOSITORY ACCOUNT DETAILS [Please enclose, Demat Master or Recent Holding Statement issued by DPbearing name of the client. ]

Name of DP Name of the depository Benificiary Name DP ID No. DP ID NO. / BO ID NO.

NSDL CDSL

NSDL CDSL

C. TRADING PREFERENCES

Please sign in the relavent boxes where you wish to Trade.The segment not chosen should be sturck of by the client .

Exchanges Segment Signature Segment Signature

NSE Cash Future & Options

MCX Future Options

# If in future the client wants to trade on any new segments/new exchange, separate authorisationletter should be submitted by the client to the stock broker.

D. PAST ACTIONS

Details of any action / proceedings initiated / pending / taken by SEBI /Stock Exchange / any other authority against the applicant / constituent orits partner / promoters / Wholetime Director / authorised person in chargeof dealing in securities during the last three years. [Please specify in thecol. below ]

NO ACTION

E) Gross Annual Income Details Income Range per annum (please tick any one)

Below 1 lac ☑ 1-5 lac 5-10 lac 10-25 lac More than 25 lac

F. DEALING THROUGH SUB-BROKER & OTHER STOCK BROKER'S

If client is dealing through the sub-broker, provide the following detailsSub-Broker Name SEBI Reg. No.:

Regd. Office Address

Tel. No. : Fax No. : Website :

Website : Whether dealing with any other stock broker / sub-broker (if case dealing with multiple stock brokers / sub-brokers provide details of all.Stock Broker Name

Name of Sub-broker if any

Client Code Exchange

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

G. NOMINATIONS DETAILS ( For individuals only)

I / We wish to Nominate I / We do not wish to NominateName of the Nominee Relationship with Nominee

PAN of the Nominee Date of Birth of Nominee ____ / ____ /________

Nominee Address

Contact Number

If Nominee is a Minor Details of GuardianName of the Guardian

Guardian Address

Contact Number Signature of guardian

WITNESS (Only Applicable in case the account holder has made nomination)Witness Name Witness Name

Witness Signature Witness Signature

Address Address

DECLARATION

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

2. I / We confirm having read / been explained and understood the contents of the Documents on policy & procedures of the stock brokers and thetariff sheet.

3. I / We further confirm having read & understood the contents of the 'Mandatory as well as Voluntary'. 'Rights & Obligation' document(s) and 'RiskDisclosure Document. I / We do hereby agree to be bound by such provisions as outlined in these document. I / We have also been informed thatthe standard set of documents has been displayed for information on stock brokers designated website, if any.

Date : Place :

Signatory (ies)

TARIFF SHEET

BROKERAGE STRUCTURE ( NSE )

NSE Cash Market Segment In terms of Percentage ( % ) In terms Of Paisa

Intraday 0.01% one paisa

Delivery 0.10% 10 Paisa

NSE Derivatives Segment In terms of Percentage ( % ) In terms Of Paisa / Per Lot

NSE Future 0.01 1 paisa

NSE Option RS 10 (Buy) + RS 30 (Sell) RS 10 (Buy) + RS 30 (Sell)

MCX Commodity Segment In terms of Percentage ( % ) In terms Of Paisa / Per Lot

MCX Future 0.01 1 paisa

MCX Option RS 10 (Buy) + RS 30 (Sell) RS 10 (Buy) + RS 30 (Sell)

Minimum Brokerage is Rs.30 per contract note in Both segment.

ASTHA CREDIT & SECURITIES (P) LTD.

Client's Name : Date :30/03/19

- _____________________________________

For Office Use Only

Clients' Trading Account Number ________________________________________________

ACKNOWLEDGEMENT

ToAstha Credit & Securities (P) Ltd.F-01, Usha Preet -138/42,Malviya Nagar, Bhopal ( M.P.) - 462003

Dear Sir or Madam, I/We hereby acknowledge receipt of the following documents

1. Rights and Obligations of Stock Brokers, Sub-brokers and Clients (including additional rights & obligations in case of internet / wirelesstechnology based trading).2. Risk Disclosure Document for Capital Market , Derivatives Segments and MCX Commodity Segment.3. Rights and Obligations of beneficial owner and depository participant as prescribed by SEBI and depositories.4. Guidance Note - Do's and Don'ts for Trading on the Exchange(s) for Investors5. Policies and Procedures Document pursuant to the SEBI circular dated December 03, 2009.6. Internet & Wireless Technology Based Trading Facility Provided by Members To client .7. Additional voluntary rights and obligations as mutually agreed between Stock Brokers and Clients.8. General Terms and Conditions governing Securities trading and broking services of Astha Credit & Securities Pvt ltd.9. We acknowledge the brokerage calculator provided to us and is acceptable to us : -

- We agree to pay Rs 200 per crore as Other charges For NSE Future only- We agree to pay Rs.390 per crore as transaction charges which includes exchange transaction charges and clearing charges

for MCX Commodity Segment.- Other charges included Futures clearing charges. call-n-trade charges and software charges including Mobile app.- All other statuary levies, taxes and brokerage shall be in addition to above.

I/We understand that the Voluntary documents executed by me/us are out of my/our own free will. I/We hereby confirm that I/We have clearlyunderstood and agree to abide by the Terms and Conditions described by Astha Credit & Securities Pvt Ltd. I/We also understand that these Termsand Conditions can be changed by Astha Credit & Securities Pvt Ltd.from time to time with prior notice of 7 days and subject to posting of theamendments and modification therein on it's website and their application with prospective effect. As per RMS policy – All intraday as well aspositional holding will be Auto square up at 80% MTM loss by the system regardless of the fact that the squared-off position could be less or morethan 80% MTM loss. I understood and agreed to this. I/We state that I have read and understood all above documents and these documents arebinding upon me.

Yours faithfully,

CLIENT'S NAME

- Date (DD / MM / YY)

KYC FORM RECEIPT

ToAstha Credit & Securities (P) Ltd.F-01, Usha Preet - 138/42,Malviya Nagar, Bhopal ( M.P.) -462003

Subject: Acknowledgment of Receipt of Copy KYC/F&O/RDD

Dear sir

with Trading codeThis is to Acknowledgment that I/We From(KYC) Rights and Obligations(R&O), Risk Disclosure Document(RDD), Guidance Note, Policies and Procedures,

Teriff sheet and copy of other documentary executed by me /us as a Client for NSE(CASH+F&O) These all documents already send on yourEmail id I/We hereby declare that I/We have the full intimation of trading code and email id for the purpose of receiving electroniccontract note and other.

CLIENT'S NAME

Date (DD / MM / YY)

AUTHORIZATION FOR RUNNING ACCOUNT

ToAstha Credit & Securities (P) Ltd.F-01, Usha Preet - 138/42,Malviya Nagar, Bhopal ( M.P.) - 462003

I am a registered client with you, and am dealing in Capital Market/ Derivative Market/ Currency Segment / MCXCommodity segment(s),and have a Astha Credit & Securities Pvt. Ltd. client code as mentioned below.

I am aware that payout / dividend received / credited from the exchange(s) against settlement of transaction as persettlement cycle is available within 1 working day of the payout from the Exchange. It is difficult for me to make availablethe required funds on every pay-in of funds obligation / margin obligation, hence I request you to maintain my account ona running basis and retain the payout received / credit balance in my account for my future obligation / margin obligationor other liabilities unless I instruct otherwise.

I hereby further authorize you to debit / credit / transfer the amounts between the various segments either on the sameExchange and / or Exchanges to meet my/our obligation or various dues payable to you / Exchange(s).

If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the weblogin. Further it may be noted that if required I may revoke this authorization at any time after giving request in writing.

This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be doneat least once in the preference period selected below:

QUARTERLY MONTHLY

While settling the account having outstanding obligations on the settlement date, you may retain the requisite fundstowards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5trading days, calculated in the manner specified by the exchanges.

I shall bring any dispute arising from the statement of account or settlement so made to your notice within 30 workingdays from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such communicationthe statement / settlement of running account shall be considered as final as agreed and accepted by me

Yours faithfully,

CLIENT'S NAME

Date (DD / MM / YY)

LETTER FOR AUTHORIZATION FOR ELECTRONIC CONTRACT NOTES

ToAstha Credit & Securities (P) Ltd.F-01, Usha Preet - 138/42,Malviya Nagar, Bhopal ( M.P.) - 462003

Sub Authorization for Electronic Contract Notes

I have been/shall be dealing through you as my broker on the Capital Market and/or Futures & Options and/or MCX Commodity Segment / CurrencySegment. and/or Interest Rate Futures Segments. As my broker i.e. agent I direct and authorize you to carry out trading/dealings on my behalf as perinstructions given below.

I understand that, I have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I hereby opt to receivecontract notes in electronic form. I understand that for the above purpose, you are required to take from the client "An appropriate e-mail account" foryou to send the electronic contract notes.Accordingly, please take the following email account /email id on your record for sending the contract notes tome:

EMAIL ID :-

I also agree that non-receipt of bounced mail notification by you shall amount to delivery at my email account / email id.

I agree not to hold you responsible for late/non-receipt of contract notes sent in electronic form and any other communication for any reason includingbut not limited to failure of email services, loss of connectivity, email in transit etc.

I agree that the log reports of your dispatching software shall be a conclusive proof of dispatch of contract notes to me and such dispatch shall bedeemed to mean receipt by me and shall not be disputed by me on account of any non-receipt/delayed receipt for any reason whatsoever.

I understand that I am required to intimate any change in the email id/email account mentioned herein above needs to be communicated by me througha physical letter to you, provided however that if I am an internet client then in that event the request for change in email id/email account can be madeby me through a secured access using client specific user id and password. Please treat this authorization as written ratification of my verbaldirections/authorizations given and carried out by you earlier. I shall be liable for all losses, damages and actions which may arise as a consequence ofyour adhering to and carrying out my directions given above.

I understand that, you shall send physical copy of the contract note within 24 hours if you received a bounced email.

This has been created by me and not by someone else.I am aware that this declaration form should be in English or in any other Indian language known to me.This declaration is valid until the date mentioned below.

[The above declaration has been read and understood by me. I am aware ofthe risk involved in dispensing with the physical contract note, and dohereby take full responsibility for the same]

(The above lines must be reproduced in own handwriting of the client in the box provided below)

Yours faithfully,

CLIENT'S NAME

Date (DD / MM / YY)

INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITYPROVIDED BY STOCK BROKERS TO CLIENT (ALL THE CLAUSES

MENTIONED IN THE 'RIGHTS AND OBLIGATIONS' DOCUMENT(S) SHALL BEAPPLICABLE. ADDITIONALLY, THE CLAUSES MENTIONED HEREIN SHALL

ALSO BE APPLICABLE)

To 1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use of wireless technology that shallinclude the use of devices such as mobile phone, laptop with data card, etc. which use Internet Protocol (IP). The stock broker shall comply with allrequirements applicable to internet based trading/ securities trading using wireless technology as may be pacified by SEBI & the Exchanges fromtime to time.

2. The client is desirous of investing/ trading in securities and for this purpose, the client is desirous of using either the internet based tradingfacility or the facility for securities trading through use of wireless technology. The Stock broker shall provide the Stock broker's IBT Service to theClient, and the Client shall avail of the Stock broker's IBT Service, on and subject to SEBI/ Exchanges Provisions and the terms and conditionsspecified on the Stock broker's IBT Web Site provided that they are in line with the norms prescribed by Exchanges/ SEBI.

3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilities associated with securities tradingthrough wireless technology/ internet/ smart order routing or any other technology should be brought to the notice of the client by the stockbroker.

4. The stock broker shall make the client aware that the Stock Broker's IBT system itself generates the initial password and its password policy asstipulated in line with norms prescribed by Exchanges/ SEBI.

5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible for all ordersentered and transactions done by any person whosoever through the Stock broker's IBT System using the Client's Username and/ or Passwordwhether or not such person was authorized to do so. Also the client is aware that authentication technologies and strict security measures arerequired for the internet trading/securities trading through wireless technology through order routed system and undertakes to ensure that thepass word of the client and/ or his authorized representative are not revealed to any third party including employees and dealers of the stockbroker.

6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers security flaw in Stock Broker's IBT System,discovers/ suspects discrepancies/ unauthorized access through his username/ password/ account with full details of such unauthorized use, thedate, the manner and the transactions effected pursuant to such unauthorized use, etc..

7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the internet/ securities tradingthrough wireless technology and Client shall be fully liable and responsible for any and all acts done in the Client's Username/ password in anymanner whatsoever.

8. The stock broker shall send the order/ trade confirmation through email to the client at his request. The client is aware that the order/ tradeconfirmation is also provided on the web portal. In case client is trading using wireless technology, the stock broker shall send the order/ tradeconfirmation on the device of the client.

9. The client is aware that trading over the internet involves many uncertain factors and complex hardware, software, systems, communicationlines, peripherals, etc. are susceptible to interruptions and dislocations. The Stock broker and the Exchange do not make any representation orwarranty that the Stock broker's IBT Service will be available to the Client at all times without any interruption.

10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension, interruption, non-availability ormalfunctioning of the Stock broker's IBT System or Service or the Exchange's service or systems or non-execution of his orders due to any link/system failure at the Client/ Stock brokers/ Exchange end for any reason beyond the control of the stock broker/ Exchanges.

CLIENT'S NAME

Date (DD / MM / YY)

AUTHORIZATION FOR ACCOUNT MODIFICATION

ToIf I/we were to add/modify/remove any of my detail including brokerage plans with Astha Credit & Securities (P) Ltd., I/we authorize you to carry it outbased on my request sent through an email to [email protected] from my registered email address or intimation through an interfaceprovided by you, whereto I have been allowed secured access.If you feel the need to do so, then at your own discretion, you may put in place appropriate mechanism to confirm the request before or after itsexecution by way of a call from a recorded line, or otherwise, personal meeting, SMS or other such other mode as you may deem fit

CLIENT'S NAME

Date (DD / MM / YY)

FATCA-CRS Declaration & Supplementary KYC InformationDECLARATION FORM FOR INDIVIDUALS

Please consult a tax professional for further guidance regarding your tax residency for FATCA& CRS compliance

1. PAN a m j p b 3 6 3 8 c

2.Name :BRAJENDRA SINGH BHATI

3. Are you a Politically Exposed Person [PEP] Yes No 4. Are you Related to a PEP YesNo

5. Are you a tax resident (i.e., are you assessed for Tax) in any other country outside India?Yes No If ‘YES’, please provide the following details for ALL countries ( other than India) in which you are

a Resident for tax purposes i.e., where you are a Citizen / Resident / Green Card Holder / TaxResident in the respective countries

Sr.No.Country ofTaxResidency

Tax IdentificationNumber or FunctionalEquivalent

IdentificationType [TIN or other,please specify]

If TIN is not available, please(tick þ the reason A, B or C [asdefined below]

1 Reason A B C 2 Reason A B C

=>Reason A :- The country where the Account Holder is liable to pay tax does not issueTax Identification Numbers to its residents. => Reason B :- The Account Holder is otherwise unable to obtain a TIN or equivalentnumber. (Please explain below why you are unable to obtain a TIN in the table below if you have selected this reason)

12.

=> Reason C :- No TIN required. (Select this reason Only if the authorities of therespective country of tax residence do not require the TIN to be disclosed)Declaration: I hereby confirm that the information provided here in above is true correct and completeto the best of my knowledge and belief and that I shall be responsible to the reportingagency which relies on this information for compliance with FATCA and CRS.I also o fi thatI have read and understood the FATCA & CRS Terms and Conditions below and herebyaccept the same. I hereby authorize you, the Mutual Fund /AMC/ RTA/ broker/DP or anyother intermediary to disclose, share, rely, remit in any form, mode or manner, all / anyof the information provided by me, including all changes, updates to such information asand when provided by me to / any of the Mutual Fund, its Sponsor, Asset ManagementCompany, trustees, Brokers/DPS /any other intermediary, their employees / RTAs ('theAuthorized Parties') to any Indian or foreign governmental or statutory or judicialauthorities / agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax / revenue authorities in India or outside India wherever it is legally requiredand other investigation agencies without any obliga tion of advising me of the same.Further, I authorize to share the given information to other SEBIRegistered Intermediaries/ and / or to any other regulated intermediaries registered withany other authorities / regulator/s including RBI IRDA / PFRDA to facilitate singlesubmission / update & for other relevant purposes. I also undertake to keep you informedin writing about any changes / modification to the above information in future and alsoundertake to provide any other additional information by domestic or overseas regulators/tax authorities. I/We authorize the Mutual Fund/AMC/RTA to provide relevant informationto upstream payers to enable withholding to occur and pay out any sums from myaccount or close or suspend my account(s) without any obligation of advising me of thesame

Client's Signature : Date: 30/03/19

Self Declaration

As per SEBI Circular No SEBI/HO/CDMRD/DNPMP/CIR/P/2019/08 dated “

I/We ...................................................... declare that

Categorise the participants in the following six categories:

i. Farmers/FPOs: It includes participants such as farmers, farmers’cooperatives,

Famers Producers Organisations (FPOs) and such entities of like nature.

ii. Value chain participants (VCPs

Commercial users as Dal and Flour Millers, Importers, Exporters, Physical Market

Traders, Stockists, Cash & Carry participants, Produces, SMEs/MSMEs &

Wholesalers etc., but exclude farmers/F

iii. Proprietary traders: It includes the members of stock exchanges trading in their

proprietary account.

iv. Domestic financial institutional investors

Funds (MFs), Portfolio Managers, Alternative Investment

Insurance Companies and Pension Funds etc., which are allowed to trade in

commodity derivatives.

v. Foreign participants: It includes participants such as Eligible Foreign Entities

(EFEs), NRIs etc. which are allowed to trade in commod

vi. Others: All other participants which cannot be classified in the above categories

Self Declaration for Commodity derivatives

SEBI/HO/CDMRD/DNPMP/CIR/P/2019/08 dated “

. declare that I belongs to Category Others

Categorise the participants in the following six categories:

It includes participants such as farmers, farmers’cooperatives,


participants (VCPs): It includes participants such as Processors,



Wholesalers etc., but exclude farmers/FPOs.

It includes the members of stock exchanges trading in their

Domestic financial institutional investors: It includes participants such as Mutual

Funds (MFs), Portfolio Managers, Alternative Investment Funds (AIFs), Banks,


It includes participants such as Eligible Foreign Entities

(EFEs), NRIs etc. which are allowed to trade in commodity derivatives markets.

All other participants which cannot be classified in the above categories

for Commodity derivatives

SEBI/HO/CDMRD/DNPMP/CIR/P/2019/08 dated “January 04, 2019”.

Others

It includes participants such as farmers, farmers’cooperatives,


It includes participants such as Processors,



It includes the members of stock exchanges trading in their

It includes participants such as Mutual

Funds (AIFs), Banks,


It includes participants such as Eligible Foreign Entities

ity derivatives markets.

All other participants which cannot be classified in the above categories

Sno Commodity Categorise

1 ALUMINIUM Others

2 BRASS Others

3 CARDAMOMO Others

4 CASTORSEED Others

5 COPPER Others

6 COTTON Others

7 CPO Others

8 CRUDEOIL Others

9 GOLD Others

10 LEAD Others

11 MENTHAOIL Others

12 NATURALGAS Others

13 NICKEL Others

14 PEPPER Others

15 RBDPMOLEIN Others

16 SILVER Others

17 ZINC Others

Client’s-Signature

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