trading depository application - tradeplus _demat_form.pdf · sign all areas highlighted with ‘...

TRADING

&

DEPOSITORY

APPLICATION

DP / TRADING ACCOUNT OPENING FORM - FOR INDIVIDUALS

1

“TRADEPLUS” is the online brand of Navia Markets Ltd

QUICK CHECK LIST

REGISTERED OFFICE ADDRESS CORRESPONDENCE OFFICE ADDRESS

“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com

“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com /[email protected]

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Print 19 pages (4th Page to 22nd page) and affix 16 signatures

DP Account Opened by more than one holder, separate KYC forms for each individual should be attached. (pages 4)

Paste Passport size Photograph on Page 4 and sign across

Sign all areas highlighted with ‘ ’ symbol

Enclose Photocopy of PAN CARD and address Proof with self attestation

Enclose Cancelled Cheque leaf to confirm your bank details

Fill the nomination details and affix the photo of Nominee and also obtain the signature of NOMINEE in page No.8

In case, Nominee is Minor, affix the photo of Guardian and also obtain the signature of Guardian in Page No.9

COMPLIANCE OFFICER DETAILS SEBI REGISTRATION NUMBERS

S KrishnamurthyPh: [email protected]

NSE CM / F&O / CD :INB / F/ E230770833BSE CM / F&O : INB / F010770833NSDL : IN DP NSDL - 37 -97

S K HozefaPh: [email protected]

Name : IL&FS Securities Services LtdNSE F&O : INF231133630 BSE F&O : INF011133834NSE CD : INE231308334

CEO DETAILS CLEARING MEMBER DETAILS

For any grievance / dispute , please contact Navia Markets Ltd at the above address and / or email us to :[email protected] and / or Contact us on (Phone No): +91-44-28214171. In case, if you are not satisfied with the response, please contact the concerned exchange (s) at National Stock Exchange of India Ltd at ([email protected] and Phone No : +91 -22 - 26598190 ) and BSE Ltd, at (is@bseindia .com and Phone No : +91 - 22 - 22728097) and National Securities Depository Ltd.,(NSDL) at [email protected] and Phone No.+91-22-2499 4200. We are not engaged in Proprietary Trading

Mandate Instruction form for NACH DEBIT

TABLE OF CONTENTSMANDATORY DOCUMENTS

DOCUMENT SIGNIFICANCE PAGE NUMBER

OPTIONAL DOCUMENTS

Account Opening Form a) KYC Form – Document captures the basic information about the 2-12 constituent and an Instruction / Check list b) Document captures the additional information about the constituent relevant to Demat / Trading Account and an Instruction / check list

DP Rate Card / Tariff Sheet for Details of the Transaction Charges / Brokerage and other charges 13-15 levied on the client for maintaining DP / Trading accountTrading Account

Acknowledgment letter Acknowledgment indicating receipt of documents by the client 16

Authorization for running Letter of authority / request to Navia Markets Ltd 17account/ request letter

Internet based Trading Internet & Wireless Technology based Trading Facility provided to Client 1 8

Power of Attorney(POA) Power of Attorney(POA) 19 - 21

22Form for NACH DEBIT

For Derivative Segment Any one of the document as per SECTION ‘ F ’ is mandatory

INSTRUCTION FOR FILLING THIS KYC FORM

SECTION A

SECTION B

SECTION C

IMPORTANT POINTS

PROOF OF IDENTITY (POI) – LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF IDENTITY (Self Attested)

PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF ADDRESS (Self Attested)

Note: Documents having an expiry date should be valid on the date of submission

1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2. PAN card with photograph.

3. Identity card/document with applicant’s photo issued by any of the following: Central/State Government and its Departments, Statutory

/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to

Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

1. Passport/ Voters Identity Card/Aadhaar card/Ration Card/Registered Lease or Sale Agreement of Residence/ Driving License/ Flat

Maintenance bill/ Insurance Copy.

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill – Not more than 3 months old.

3. Bank Account Statement/Passbook – Not more than 3 months old.

4. Self declaration by High Court and Supreme Court Judges, giving the new address in respect of their own accounts.

5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co- Operative Bank /

Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents

issued by any Govt. or Statutory Authority.

6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments,

Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated

to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

7. For FII/Sub account, Power of Attorney given by FII / Sub-Account to the Custodians (which are duly notarized and /or apostiled or

consularised) that gives the registered address should be taken.

8. The proof of address in the name of the spouse may be accepted.

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1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and

persons authorized to deal in securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the

original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the

documents, as per the below mentioned list.

3. If any proof of identity or address is in a regional/foreign language, then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For Non Residents and Foreign Nationals (allowed to trade subject to RBI and FEMA Guidelines), copy of Passport / PIO Card / OCI Card

and overseas address proof is mandatory.

8. For Foreign entities, CIN is optional; and in the absence of DIN No. for the directors, their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

10. For Opening an account with Depository Participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate / Mark

Sheet issued by Higher Secondary Board / Passport of Minor / Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign

country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of

state owned corporations, important political party officials, etc.

SECTION D EXEMPTIONS / CLARIFICATIONS TO PAN

(Note: Sufficient documentary evidence in support of such claims to be collected.)

SECTION E LIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name,

Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court

Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

SECTION G

SECTION H

ADDITIONAL DOCUMENTS

KRA REGISTRATION

Apart from the above documents, the following documents are mandatory to open a trading account

1. Proof of Bank account Number of the constituent: Copy of cancelled cheque or Bank Pass Book or Bank Statement not later than last

three months. Please ensure the name of the constituent, MICR Code and IFSC Code of the bank available in the proof

2. DP Client Master or Recent Holding Statement issued by DP bearing Name of the Client in the statement.

If you have already processed your identity using a KYC System with any broker, depository participant or other registered

intermediary in India, you are exempted from the following :

a) Providing Proof of Identity

b) Providing Proof of Address

Please ensure that your address and identity detail which was registered by the intermediary is up to date. If you feel that it may be incorrect,

or you have updated your address in the last 12 months, please provide the above proofs to ensure that your account is opened on time. You

can check if you are in the KRA System by visiting and entering your PAN number. CAMS KRA - https://camskra.com/

KARVY KRA - http://www.karvykra.com/ CDSL KRA - https://www.cvlkra.com/ NSE KRA - https://www.nsekra.com/Launch/kra_index.aspx

NDML KRA - https://kra.ndml.in.

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SECTION F ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENT - ANY ONE

In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. (All document should be self attested by the client)

1. Copy of ITR Acknowledgment 2. Copy of Annual Accounts 3. Copy of Form 16 in case of Salary Income 4. Net worth Certificate 5. Salary Slip - Last three months 6. Copy of Demat Account Holding Statement 7. Bank Account statement for last 6 Months 8. Self Declaration with relevant supporting documents 9. Any other relevant documents substantiating ownership of Assets.

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts

e.g. Official liquidator, Court receiver etc.

2. Investors residing in the State of Sikkim (subject to the continued exemption granted by Government).

3. UN Entities/Multiateral agencies exempted from paying taxes / filing tax returns in India.

4. SIP of Mutual Funds upto ̀ 50,000/- p.a.

5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

3 a) Gender

4. a) Nationality

5 a) PAN

6 Specify the proof of identity submitted

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Annexure JPART I - KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Individuals)

M Y Y Y YD D M

NAVIA MARKETS LTD (DP-ID:IN300378)Ganga Griha, 4th & 5th Floor, 9 Nungambakkam High Road, Chennai 600 034

Please fill this form in ENGLISH and in BLOCK LETTERS

A. IDENTITY DETAILS

B. ADDRESS DETAILS

C. DECLARATION

1 Name of the Applicant

2

1 Residence / Correspondence Address

2 Specify the proof of address submitted for Residence / correspondence address

3 Contact Details

4 Permanent Address (If different from above. Mandatory for Non-Resident Applicant to specify overseas address)

MaleFemale

IndianOther

(Please specify,___________________ )

SingleMarried

Sign(1/16 )

Resident IndividualNon ResidentForeign National

PhotographPlease affix your recentpassport size photograph

b) Marital status c) Date of Birth

b) Status

b) Aadhaar Number, if any

Correspondence Address

City/town/village

Tel. (Off.)

Residence Address

PAN cardAny other (Please specify;___________________________________ )

Signature Acrossphotograph

PIN Code

CountryState

Tel. (Res.)

Fax No. Mobile No.

Email ID

City/town/village

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

PIN Code

Signature of the Applicant (2/16 )___________________________________

State Country

s

s

Email ID belongs to Me My Family Mobile No. belongs to Me My Family( Spouse , Dependent Children / Parent)

Specify the proof of address submitted for Permanent Address

Father's / Husband's Name (with Surname)

Mother's Name (with Surname)

Place

Date

D D M M Y Y Y Y

D D M M Y Y Y Y

FOR OFFICE USE ONLY

Sr.No.

Particulars

Name:..........................Signature of the Authorised Signatory

Seal/Stamp of theintermediary

Date

1 Originals verified and Self-Attested Document copies received

a) Name of the person doing IPV

b) Designation

c) Name of Organization

d) Signature

e) Date

In-Person-Verification (IPV) details:2

5

Employee Code

BSDA Yes NO RGESS Yes No (IF yes download declaration form from www.Tradeplusonline.com and submit)

Annexure – JPART II – ACCOUNT OPENING FORM (FOR INDIVIDUALS)

Navia Markets Ltd (DP ID: IN300378)GANGA GRIHA, 4th & 5th FLOOR,9, NUNGAMBAKKAM HIGH ROAD, CHENNAI – 600 034

Date

Client –ID(To be filled by Participant)

Details of Account holder(s):A)

B)

C)

D)D)

E)

Accountholder(s)

Name

PAN

Occupation(please tickany one andgive briefdetails)

Brief details:

Ordinary Resident

Qualified Foreign Investor

Margin

For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name

of the natural persons, the name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc.,

should be mentioned below:

a) Name

NRI-Repatriable

Foreign National

Others (Please specify)

NRI-Non Repatriable

Promoter

In case of NRIs/ Foreign Nationals

RBI Approval Reference Number

RBI Approval date

Gross Annual Income Details

Income Range per annum (please tick any one)

Type of account

Private Sector Agriculturist

Business Student

Professional Professional Professional

Business Student Business Student

Public Sector RetiredGovernmentService

GovernmentService

GovernmentService

Public Sector Retired Public Sector Retired

Private Sector Agriculturist Private Sector Agriculturist

Sole/ First Holder Second Holder Third Holder

Housewife Housewife Housewife




Below `1 lac ` 1- 5 lac ` 5- 10 lac

`10-25 lac More than ` 25 lac

b) PAN

BANK DETAILS

.

:

F) TRADING / DEMAT ACCOUNT RELATED DETAILS

6

SAVINGS

CITY/TOWN / VILLAGE PINCODE

CURRENT OTHERS - Please Specily

BANK ACCOUNT NO

PRIMARY BANK NAME FOR DP / TRADING

.

ACCOUNT TYPE

PIS ACCOUNT NO

BRANCH ADDRESS

COUNTRYSTATE

I FSC CODE MICR NUMBER

SECONDARY BANK NAME - FOR TRADING ACCOUNT

BRANCH ADDRESS

BANK ACCOUNT NO.

ACCOUNT TYPE

DEPOSITORY PARTICIPANT NAME

DEPOSITORY NAME (NSDL /CDSL ) :

BENEFICIARY NAME:

SAVINGS

MICR NUMBER: IFSC CODE

OTHERS - Incase of NRI/NRE/NRO

DEPOSITORY ACCOUNT(S) DETAILS

DP ID : IN300378

BENEFICIARY ID (BO ID):

CURRENT

ADDITIONAL BANK DETAILS FOR TRADING ACCOUNTG)

H)

TRADING PREFERENCES

Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.

if in future, the client wants to trade on any new segment / new exchange, separate authorization/ letter should be taken

from the client by the stock broker.

EXCHANGES SEGMENTS

National Stock Exchange of India Ltd (NSE)

Bombay Stock Exchange of India Ltd (BSE)

CM Segment (Equity )

Equity Derivative Segment (F&O )

Currency Derivative Segment (CD)

Mutual Fund Scheme System (MFSS)

CM Segment (Equity )

Equity Derivative Segment (F&O )

Currency Derivative Segment (CD)

BSE STAR MUTUAL FUND SYSTEM

Sign(3a/16)

Sign(3b/16)

Sign(3c/16)

Sign(3d/16)

Sign(3e/16)

Sign(3f/16)

Sign(3g/16)

Sign(3h/16)

PAST ACTIONS

1

2

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s

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s

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s

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I)

J)

DEALING THROUGH SUB- BROKERS AND OTHER STOCK BROKERS(If client is dealing through any other Sub-Broker , Provide the following details)

Sub-Broker Name SEBI Reg No.

Registered Office Address: Fax:

Whether dealing with any other Stock broker /Sub-Broker (in case dealing with multiple stock brokers /sub broker, Provide details of all)

Name of Stock Broker

Exchange

Name of Sub-Broker Client Code :

Details of disputes / dues pending from/ to Stock Broker/ Sub- Brocker

Phone No:

K)

7

NAVIA MARKETS LTD

NSDL

Website:

INTRODUCER DETAILS ( optional )

Name of the introducer Status of Introducer Sub-Broker Remisier Authorised Person Existing Client Others ( please specify )

Signature of Introducer

Address and phone no of the introducer

Email ID :Whether you wish to receive Physical Contract Note

or Electronic Contract Note ( ECN ) ( Please Specify ) If you wish to receive ECN ( write in capital letters )

ADDITIONAL DETAILS

Whether you wish to avail facility of the internet trading / Wireless Trading(Please specify) :

Any other Information:

In case of non-individuals, name designation, PAN, UID, Signature, Residential Address and Photographs of persons authorized to deal in securities on behalf of company / firm / others:

Number of Years of Investment / Trading Experience:

L)

M)

I/We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening

I/We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued to me/ us immediately on my/ our request at any later date.

Option for Issue of DIS booklet (please tick any one)

Option 1

Option 2

N) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

1 I/We authorise you to receive credits automatically into my/our account.

2 Account to be operated through Power of Attorney (PoA)

Mode of receivingStatement of Account [Tickany one]

Physical Form

Electronic Form [Read Note 4 and ensure that email ID is provided in KYC Application Form].

1 Sole/First Holder

2 Second Holder

3 Third Holder

Sr. No. Holder Yes No

O) Standing Instructions

Yes

No

Yes

No

Guardian Name

PAN

Relationship of guardian withminor

Q)

P)

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I/We wish to make a nomination.[As per details given below]

1 Name of the Nominee (Mr./Ms.)

I/We wish to make a nomination and do hereby nominate the following person in whom all rights and / or amount payable inrespect of securities held in the Depository by me / us in the said beneficiary owner account shall vest in the event of my / ourdeath.

I/We do not wish to make a nomination.[Strike off the nomination details below]

R) Nomination Option

2 Relationship with the Applicant (if any)

3 Address of Nominee

City/town/village PIN Code

State Country

4 Contact Details of nominee Tel. (Off.)

Fax No. Mobile No.

Email ID

Tel. (Res.)

5. Nominee Identification details (please tick any one from (a) to (f) and provide details of the same)

Sr. Nos. 6-11 should be filled only if nominee is a minor:

Photograph of Nominee

(Signature of Nominee

across photograph)

Demat account details of Nominee

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

DP ID

Client ID

Photograph

(a) (i) (ii) X Signature of Nominee

Bank Account Number

(b)

(c)

(d)

(e)

(f)

Signature

PAN of Nominee

Aadhaar number of Nominee

Savings bank account number of Nominee, if maintained with the same ParticipantCopy of any proof of identity document (accompanied byoriginal for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)

7 Name of Guardian (Mr./Ms.) (in case of minor nominee)

s

9

Demat account details of guardianDP ID

Client ID

Bank Account Number

(c)

(d)

(e)

(f)

Aadhaar number of guardian

Savings bank account number of guardian, if maintained with the same ParticipantCopy of any proof of identity document (accompanied byoriginal for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)

FATCA ( Foreign Account Tax compliance Act ) Declaration

Is your country of Tax Residency other than India

If yes, please specify the details of all countries where you hold tax residency and its TAX Identification

Number & Type

Place of birth

YES NO

Country of birth

1

2

3

# to include all countries other than India, where investor is Citizen/Resident/Green Card Holder /Tax Resident in those respective countries especially of USA.

Country of Tax Residency #S.No.Tax Payer Identification Number /

Functional EquivalentIdentification Type

TIN or other please specify

Name

Signature

Address

Name

Signature

Address

S)

City/town/village PIN Code

State Country

Tel. (Off.)

Fax No. Mobile No.

Email ID

Tel. (Res.)9 Contact Details of Guardian

10 Relationship of Guardian with nominee

8 Address of Guardian

11. Guardian Identification details (please tick any one from (a) to (f) and provide details of the same)

Photograph of guardian

(Signature of guardian

across photograph)

Photograph

(a) (i) (ii) X Signature of guardian

Signature

(b) PAN of guardian

s

10

Name(s) of holder(s)

Sole/ First Holder/

Guardian (in case sole

holder is minor) (Mr./Ms.)

Second Holder(Mr./Ms.)

Third Holder (Mr./Ms.)

Signature(s) of holder

s

s

s

(4/16)

(4/16)

(4/16)

DECLARATION

1.

2.

3.

4. The rules and regulations of the Depository and Depository Participants 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 and to be bound by the rules as are in force from time

to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of my/our

knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information

is found to be false or untrue or misleading or misrepresenting, I am/ we are aware that I/we may be held liable for it. In case non-

resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. I/we

acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

11

Place _________________ Date _________________

Authorized SignatoryDATE: Seal/Stamp of the Stock Broker

(DD /MM /Y Y Y Y)

We undertake that, we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents. We have

also made the client aware of 'Rights and Obligations' document (s), RDD, and Guidance Note. We have given/sent him a copy of all the

KYC documents. We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non mandatory documents would be

duly intimated to the clients. We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on our

website, if any, for the information of the clients.

For Navia Markets Limited

Documents Verified with Originals Client Interviewed by

Name of the Employee

Employee Code

Designation of the Employee

Name of the Organization

Signature

Date

UCC CODE ALLOTTED TO THE CLIENT

FOR OFFICE USE ONLY

12

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(DP RATE CARD ANNEXURE A)

Account Opening Charges & AMC (Please tick appropriate AMC Scheme)

Account Opening Charges NIL

LIFE TIME AMC – Individual Resident Clients ` 900/- Life Time AMC – 10 Years Period

with Broking Accounts

` 500/- Life Time AMC – 5 Years Period

LIFE TIME AMC – INDIVIDUAL NON RESIDENT CLIENTS ` 2,500/- Life Time AMC – 10 Years Period

Annual Maintenance Charges for Non Resident Clients ` 1,000/- p.a.

Annual Maintenance Charges for Resident Individual ClientsWithout Broking Account / Corporate Clients

` 50/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges ` 5/- per certificate plus `50/- (Minimum Charges)

` 200/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges NRI

` 30/- per certificate plus `200/- (Minimum Charges) ` 15/- per certificate for every hundred shares or part thereofRemat Charges subject to maximum fee of ` 5,00,000 or a flat fee of `.15/- Per certificate whichever is higher plus handling charges ` 50/- No rematerialization fee for Govt. Securities.

` 35/- per rejection (up to 5 certificate) More than 5 Certificates

` 3/- + ` 35/- (Minimum Charges)

Conversion Request (Mutual Fund) Charges

Conversion request charges ` 50/- per CRF

Conversion request charges for NRI Clients ` 200/- per CRF

Transaction Charges

Market buying(Receipts) off Marker Credit & InterDepository Receipts NIL

Market Selling (Debits) through Navia Markets Ltd with 0.02% of Transaction Value, subject to Minimum of `15/-POA(POA issued in favouring NML) per Transaction & Maximum of ` 200/-

Market Selling(Debits) through Navia Markets Ltd. 0.02% of Transaction Value, subject to Minimum of `20/-With out POA Per Transaction & Maximum of ` 200/- Market Selling(Debits) other than Navia Markets Ltd. OFF 0.04% of Transaction Value, subject to Minimum of ` 30/-Markets Debits & Inter Depository Debits Per Transaction

Inter Settlement Transfer ` 15/- per Transaction for non POA

Failed Transaction ` 15/- per Transaction

Pledge & Securities Lending and Borrowing

Pledge Creation 0.02% of the value of the securities pledged, subject to minimum of `50/- per Transaction.

Pledge Closure & Invocation 0.02% of the value of the securities pledged, subject to minimum of ` 50/- per Transaction.

Securities Borrowing ` 50/- per Transaction

Modification Charges `100/- for every change of address / Bank Details

(Sign.5/16)

(First / Holder) (Second/Holder) (Third/Holder)

s s s

Demat & Remat Charges

13

` 1,000/- p.a.

Demat Rejection

1) Life Time means 10 Years Period / 5 Year Period depends on the scheme chosen by the client.2) AMC Calculated as : For Resident Individual : ` 900/- p.a. for first one year and balance 9 years FREE For AMC, For NRI's (Individual) & Foreign nationals: ` 2500/-p.a. for first one year and balance years FREE for AMC, For Resident Individual : ` 500/- P.a. for first one year and balance 4 years FREE FUR AMC.3) This AMC is exclusive of Service Tax and Others levies as per Govt. of India.4) Existing account holder can opt for this scheme Adjustment of Existing AMC will be done till the current quarterly.

Quarterly means Jan-Mar, Apr-June, July-Sept and Oct-December, Balance amount can be paid and convert to this scheme.

Terms & Condition for Life Time AMC:

Terms & Condition

1. Any extra statement would be charged @ `15/- per statement of first 10 pages, thereafter it would be charges @ ̀ 2/- per page

2. The AMC is charged for one year and will be automatically renewed at the end of the year at the prevailing rates,unless Navia Markets Ltd receives written communication in the prescribed format.3. Transaction cum billing statements will be sent on a monthly basis provided there is a transaction. 4. Service Tax an applicable would be levied.5. Demand Drafts should be in favour of “Navia Markets Ltd” payable at “Chennai” only. No outstation cheques will be accepted other than our branches located.6. Any Advance payments Over and above the actual amount due can also be made. Any such Higher amount paid than the actual amount payable shall be adjusted against the bills raised from time to time. No interest is applicable for advance payments.7. Cheque bounce charges will be applied based on charges as determined by bankers plus ̀ . 10/- as handling charges8. In case of delay in the payment of charges, the demat account can be frozen for all operations till such time Until dues are cleared.9. “All market instructions for transfer must be received latest by 4.00 p.m. on the previous working day prior to the pay-in day as per SEBI Guideline. All off market instructions for transfer must be received atleast 24 hours before the execution date. Late instructions would be accepted with the Late fee ̀ .50/- per instruction and at the account holder's sole risk and responsibility”.10. Charges are subject to revision at the company's sole discretion and as per revisions in NSDL charges.11. Any service not quoted above will be charged separately.

(Sign.6/15)

(First / Holder) (Second/Holder) (Third/Holder)

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TARIFF SHEET

I would like to subscribe to the Navia Markets Ltd Trading plans and request Navia Markets Ltd to apply any applicable monthly subscription

tariff as per the terms and conditions of Tradeplus Infinity Plan of Navia Markets Ltd. I hereby authorize Navia MarketsLtd to debit my

Subscription Management Portal (SMP) ledger for the subscription amount as per terms and conditions of TRADEPLUS INFINITY PLAN.

EQUITY SEGMENT : NSE & BSE

Delivery Brokerage

Intraday Brokerage

Resident clients: 0.1% with minimum of 1 paisa whichever is higherNRI Clients: 0.5% with minimum of 1 paisa whichever is higher

0.01% with minimum of 1 paisa whichever is higher.

EQUITY DERIVATIVE SEGMENT : NSE & BSE

Infinity Options Plan- ` 99/- per month

Default Brokerage 0.01% minimum of 1paisa whichever is higher

Default Brokerage ` 20- per lotInfinity Currency Plan- ` 99/- per month

Options Segment

Currency F&O Segment

Future Segments Infinity Futures Plan- ` 799/- per month

Default Brokerage ` 60- per lot

CURRENCY DERIVATIVE: NSE & BSE

CLIENT'S NAME

CLIENT'S SIGNATURE (7/16)

DATE (DD/MM/YY)

s

STATUTORY CHARGES

In addition to the above monthly subscription charges, the following statutory charges will also be levied

Security Transaction Tax Stamp Duty

Service Tax

Transaction charges Education and Higher education Cess

SEBI Turnover charges

Electronic Contract Notes ( ECN) is free. Physical Contract Note copies are charged at ̀ 50/- per contract note.

Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the subscription management portal.

Depository participant charges as per Rate card of DP.

Auction/Closed Out process as per Policy and Procedures. Penalty charges on Auction/ Closed out 1% on the value.Delayed Payment Charges 24% p.a. – Monthly basis will be charged.

Cheque Bounce Charges – 1% of cheque value subject to minimum of ̀ 250/- and maximum of ̀ 1000/- Modification charges- ̀ 100/- for every address details modification including bank updates etc.,Terms and conditions can be subject to change.

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SMS charges Rs.99/- will be charged on monthly basis.

Payin Charges : Atom PG Transfers - Rs.9/- per transaction / Cheque Payment - Rs.15/- per transaction.

Note: The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers

have pricing. For more details on fancy numbers and pricing please visit https ://www.tradeplusonline.com/kyc-fancy-numbers.aspx If all

the 3 preference numbers are not available/used then we reserve the right to allot a number of our choice. If you have chosen a fancy number

but have not purchased the same, then we will allot a number of our choice.

ACKNOWLEDGEMENT

To,Navia Markets Ltd “Ganga Griha” 4th and 5th Floor,No.9 Nungambakkam High Road,Chennai – 600 034.

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

1.Rights and Obligations of Stock Broker/Trading Member, Sub-Brokers and Client.2.Risk Disclosure Document for Capital Market and Derivative Segments,3.Guidence Note- Do's and Don'ts for Trading on the Exchange (s) for investors4.Internet and wireless Technology based Trading facility provided by Stock Broker to clients.5. Policies and procedure pursuant to the SEBI circular dated December 03, 2009.6. Additional policies and procedure7. Terms and conditions of Subscription Management Portal (SMP)8. Authorization for Running account settlement.9. Tariff sheet.

I understand that the voluntary documents executed by me are out of my own free will. I hereby confirm that I have clearly understood and agree to abide by the Terms and Conditions described by Navia Markets Ltd . I also understand that these Terms and Conditions can be changed by Navia Markets Ltd from time to time with prior notice of 7 days and subject to posting of the amendments and modifications therein on its website and their applicability with prospective effect.

I state that I have read and understood all above documents including the Terms and Conditions governing brokingservices of Navia Markets Ltd and agree to abide by the same.

My Trade Plus Account My Number

MY ACCOUNT MY NUMBER is a unique proposition which gives the freedom to choose the number of your choice for the account open by you. The chosen account number may be a specific pattern, a lucky number favorite combination or just something simple to remember. Your Trade Plus account number is 8 digit number of which you can select 8 digit basis your preference OR choose the desired SUM of digits. Please give us your 3 preference

1.Preference 1:

2.Preference 2:

3.Preference 3:

CLIENT'S NAME


Date: ( DD/MM/YYYY )

s

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AUTHORIZATION FOR RUNNING ACCOUNT

I am a registered client with you, and am dealing in Capital Market/Derivative Markets, and have a Navia Markets Ltd client code as mentioned below.

I am aware that payout/dividend received/credited from the exchange(s) against settlement of transactions as per settlement cycle is available within the prescribed time of the payout from the Exchange. It is difficult for me to make available the required funds on every pay-in of funds obligation/ margin obligation. Hence, I request you to maintain my account on a running basis and retain the payout received/ credit balance in my account for my future obligation/ margin obligation or other liabilities unless I instruct otherwise. Further, I hereby authorized you to debit/ credit / transfer the amounts between the various segments either on the same exchange and /or exchanges to meet my 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 web login. 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 done at least once in a quarter/month if the balance available in my account is more than ̀ 10,000/- and settlement will happen on the balance amount after retaining ̀ 10,000/- in my trading account.

I/We hereby authorize you to debit charges for depository services or other advisory services, to my/our trading account.

I/We hereby authorize you to transfer the funds between segments / between exchanges enrolled by me / us (Equity Futures & Options , Currency Futures and if any segment introduced by NSE / BSE and signed opted for the specific segment) .

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

I shall bring any dispute arising from the statement of account or settlement so made to your notice within 7 working days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such communication the statement/ settlement of running account shall be considered as final as agreed and accepted by me.

AUTHORIZATION FOR ACCOUNT MODIFICATION

If I were to add/modify/remove any of my details including brokerage plans with Navia Markets Ltd, I authorize you to carry it out based on my request sent through an email to [email protected] from my registered email address or intimation through an interface provided 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 its execution by way of a call from recorded line, or otherwise, personal meeting, SMS or other such other mode as you may deem fit.

Your's faithfully,

CLIENT'S NAME


CLIENT CODE : (UCC)Date: ( DD/MM/YYYY )

s

Date: ( DD/MM/YYYY )

CLIENT'S NAME

CLIENT'S SIGNATURE (11/16) s

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Consent for Receiving Statement of Accounts and other Reports through Email

I hereby authorize Navia Markets Ltd to issue Statement of Accounts, Margin Statements and other reports to my

email id based on my consent. Further, I will intimate any change in my email id immediately to Navia Markets Ltd

through letter or other modes prescribed. Further, I hereby confirm that non- receipt of bounced mail notification

shall amount to delivery of the statement of accounts, margin statements and other reports at the email id provided

below. I hereby confirm my email id as :

Client's Signature (10/16 )s

( All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable, additionally, the clauses mentioned herein shall also be applicable )

INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

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CLIENT'S NAME

CLIENT'S SIGNATURE (12/16) Date: ( DD/MM/YYYY )s

The “Principal (S)”, More Fully Described In The Schedule Here To And in Favour Of NAVIA MARKETS LIMITED, a company incorporated under

the provisions of the Companies Act,1956, having its registered office at ‘Ganga Griha’, 4th & 5th Floor, No.9, Nungambakkam High Road,

Nungambakkam, Chennai - 600 034 and/or the Managing Director or Director(s) and/or any other authorized officer(s) who may be

stationed at Chennai.

RESPECTIVELY from time to time and for the time being of NAVIA MARKETS LIMITED at the above place viz., CHENNAI and/or any one or

more of them severally hereinafter referred to as “AGENT” WITNESSETH as follows:

WHEREAS

1.1 The AGENT is engaged in the business of stock broking, custody, investment advisory services and other investment services.

1.2 The PRINCIPAL(S) wish to participate in trading, web brokerage facilities, depository facilities and/or other services being offered by the

AGENT (or any of it assigns) and for that purpose to facilitate proper execution of all transactions for and behalf of the PRINCIPAL(S), The

PRINCIPAL(S) is/are desirous of appointing the AGENT as the PRINCIPAL(S) attorney and confer upon the AGENT all the powers hereinafter

stated.

To make necessary application(s) on the PRINCIPAL(S) behalf to any Officials or Authorities in India, including but not limited to, the Central

Government and/or the Reserve Bank of India and/or the Income Tax Authorities and/or Securities and Exchange Board of India in

connection with PRINCIPAL(S) purchase/sale/ transfer holding and continuing to hold Securities, and to represent the PRINCIPAL(S) in all

respects before such authority or authorities and establish without encumbrance the ownership of the securities in the name of the

PRINCIPAL(S)

Pursuant to the PRINCIPAL(s) instruction, to acquire by subscribing to or by purchase of securities and to sell, transfer and endorse the

securities (including but not limited to Initial Public Offerings, Buy Back offers, rights issue etc.,) or redeem the same either through Internet

(using the identifications Number issued by any Mutual Fund from time to time) or otherwise, and/or to sign and to execute all transfer

deeds whether as transferor or transferee and such other instruments, applications and papers as may be necessary for the purpose of

acquiring or transferring/redeeming the same, marking pledge/Lien on such securities and for transferring the investments in the units of

Mutual Fund from one scheme to another or between Mutual Funds, to make applications for , or to renounce and sign renunciation forms in

respect of bonds/debentures, rights shares and additional shares of any Company/ Body/ Authority and to receive and hold such rights or

additional shares bonds or debentures.

The term “ Securities” under this agreement shall have the same meaning as assigned there to under Section 2 of the Securities Contracts

(Regulation) Act, 1956 and shall include any securities, derivatives and other instruments which are tradable on any of the Exchange as well

as such units of Unit Trust of India and/or other mutual funds, whether listed or unlisted, government securities, debt instruments,

negotiable instruments, unlisted securities, certificates of deposit, participation certificates, commercial paper, money market

instruments, securities debt instruments investments in bank and/or company deposits and other instruments and investments as may be

specified by the Member from time to time.

To receive and hold certificate, title documents, account statements and other documents and writings pertaining to the securities

mentioned above and/or amount invested, advanced or expended by the PRINCIPAL(S) or on behalf of the PRINCIPAL(S) and to

acknowledge the receipt of the same.

To operate and to give delivery/receipt instructions, borrowing and lending instructions, pledge instructions, pledge closure

instructions and to do all such other things that may be necessary in the course of business relating to operation of new

Dematerialized (“demat”) account and/or existing Demat Account No._________________________and Trading Account No.-

_______________________or towards the obligation for transactions done on the National Stock Exchange, the Stock

Exchange, Mumbai and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions.

(13/16)

POWER OF ATTORNEY

Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder

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2.

1.

3.

s s s

4.

5.

To do all that is necessary to operate the PRINCIPAL (S) new and/or existing Bank Account (more fully described in the schedule hereto) and

to operate, block and /or debit the said bank account, to draw, accept, endorse, negotiate, retire, pay cheque or other negotiable

instruments which the AGENT may deem necessary or proper relating to the PRINCIPAL (S) affairs in respect of the said bank account, as the

case may be towards the PRINCIPAL (S) obligations for transactions done on the National Stock Exchange the Stock Exchange , Mumbai

and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions and to give instructions

relating to the said account.

To credit the demat account(s) with any securities that are to be delivered to the PRINCIPAL (S) /borrowed by the PRINCIPAL (S).

To demand, received and give good and effectual receipt(s) and discharge(s) for all or any dividends, Interest, bonuses or any other sum(s )

and/or income arising from the shares, debentures units and other investments and to sign and endorse pay orders. Dividend / i n t e r e s t

warrants or certificates, receive all debts. Sums of money, principal, interest, dividend or other dues of whatever nature or account which

are now or at any time any be due and payable and belong to the PRINCIPAL (S) on any account(s).

For the purpose of the aforesaid to sign contracts, agreements, transfers, acceptances, receipts, acquaintances or other instruments,

documents and forms, to accept and carry out correspondence with such person(s) or authority /authorities or department(s) and to do all

lawful acts requisite for effecting the same.

And for all or any purpose aforesaid to appoint from time to time a substitute or substitutes and to revoke such substitution but so that the

appointment of any such substitute shall not affect or prejudice the rights or powers of the Attorney to act hereunder and the Attorney may

continue to do so notwithstanding such appointments.

To do or omit to do all such acts and things as the AGENT may in its discretion consider to be necessary or desirable in order to exercise its

powers hereunder or to comply with any laws, orders rules, regulations or directions of any government or regulatory or other authorities.

To do all that is necessary to operate the PRINCIPAL(s) demat account, to transfer the securities, as the case may be towards the obligations

for the transactions done on the Exchanges, and to transfer the Unencumbered securities in the Principal(s) demat account for the purpose

of Margin / Margin reporting to the exchanges of National Stock Exchange (NSE) and Bombay Stock

Exchange (BSE) and any other Exchanges in India.

6.

7.

8.

9.

10.

11.

12.

(14/16)

Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder

s s s

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AND where as the PRINCIPAL(S), and AGENT agree to transfer the securities to the National Securities Clearing corporation LTD ( NSCCL - CC ) CM BP ID : IN565576, to the Indian Clearing Corporation LTD (ICCL ) CM BP ID : IN 620031, and to the following Demat accounts of the AGENT and the DEPOSITORY PARTICIPANT.

S

No.

NAME OF THE STOCK

BROKER

DP ACCOUNT NO. OF

THE STOCK BROKERPURPOSE OF DEMAT ACCOUNT

AND I hereby agree that the AGENT shall excercise the powers and authorities conferred under the above Power of Attorney only pursuant to the instructions in that behalf given by the PRINCIPAL(S), which instructions may given orally, over the telephone, through the Internet, electronically or in any other manner acceptable to the AGENT and such instructions given by the PRINCIPAL (S) , shall be deemed to have been given by the PRINCIPAL(S) and such recording or other record of such instructions by the AGENT shall be admissible in evidence and shall not be questioned by the PRINCIPAL(S) and shall be conclusive and binding against the PRINCIPAL(S).

AND this Power of Attorney shall be revoked by the PRINCIPAL(S) at any time without any notice. However such revocation shall not be applicable for any outstanding settlement obligation arising out of the trades carried out of prior to receiving the request from PRINCIPAL(S) for the revocation of the Power of Attorney.

AND the PRINCIPAL (S) hereby agree that all such acts done by the PRINCIPAL (S) above mentioned attorney shall be deemed to be acts done by the PRINCIPAL(S) and if necessary shall be ratified by the PRINCIPAL(S) on the instructions of the said attorney.

AND The PRINCIPAL (S) DO HEREBY CONFIRM AND DECLARE THAT this Power of Attorney shall be valid, effective operative and revocable immediately (and shall not be affected by my disability or lack of mental competence) and shall remain in force till the termination of the Memberclient Agreement or any mandatory agreements that I have entered into with the AGENT and satisfaction in full of all the obligations under the same, and the cessation of this authority shall not affect or impair any act thereto done in excercise of these presents.

AND THE PRINCIPAL (S) DO HEREBY CONFIRM THAT non-judicial stamp paper attached to this document be deemed to be part of this Power of Attorney.

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SCHEDULENotes

(Please fill in your name (and other information as per the instruction below) in the same order of sequence as given in the respective account type)

1. In case of Operation the Trading Account

Bank Account Number

Date of opening

Name of bank and branch

Bank account particulars presently opened and operated by the principal (S): (Will be filled by NAVIA if the principal chooses to open his online bank a/c with banks associated with NAVIA)

1.1 In case of Operation of bank a/c

Trading Account No. DP Client ID

Signature of First/Sole Holder

s

(15/16)

Signature of Second Holder Signature of Third Holder

ss

Principal Number 1

Name

Address

Principal Number 2

Name

Address

In witness whereof the principal(S) has/ have executed this power of attorney at

_______________(place) on this ______________day of _____________two thousand _____________

Mandate instruction Form for NACH DEBIT

THIS FORM IS IMPORTANT

From

To

Or Until Cancelled

Signature primary Account holder

Name as in bank records





(16/16 )

UMRN Date

Tick ( ( Sponsor Bank code Utility Code

CREATE

MODIFY

CANCEL

I/ We hereby authorize

Bank A/c number

SB/CA / CC/ SB - NRE / SB - NRO / OTHERS to debit ( tick )

With Bank IFSC or MICR

An Amount of Rupees

FREQUENCY Monthly Qtly H-Yrly Yrly As & when presented DEBIT TYPE Fixed Amount Maximum Amount

Phone No. Reference 1

Reference 2 Email ID

PERIOD

INDB0000098 INDB00459000027590

NAVIA MARKETS LTD

`10,000/-Ten Thousand only

I/We hereby Declare that the particulars given on this mandate are correct and complete . If the transaction is delayed or not effected all for reasons of incomplete or incorrect informations . I/We would not hold this utility / service provider/ participating Bank responsible . I/We have read the option invitation letter and agree to dischange the responsibility expected of me/ us as participant/ under the scheme. I/We authorize use of above mentioned contact details for the purpose of this specific mandate instruction processing . I/We hereby confirm adherence to terms on this mandate.

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AcknowledgementNavia Markets Ltd (DP ID: IN300378)

Ganga Griha, 4th & 5th Floor, 9, Nungambakkam High Road, Chennai – 600 034.

Date: Participant Stamp & Signature

s s s