Client Name: Client Code: Addendum to Client Registration Form

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "Client Name: Client Code: Addendum to Client Registration Form"

Transcription

1 BHAVIK RAJESH KHANDHAR SHARE & STOCK BROKERS PVT. LTD. MEMBER: BOMBAY STOCK ECHANGE LIMITED & NATIONAL STOCK ECHANGE OF INDIA LIMITED Dealing Office: 278, Jeevan Udyog, 2nd Floor, Above Khadi Bhandar, D.N. Rd., Mumbai Tel.: (3 Lines), Fax: MANDATORY Client Name: Client Code: Financial details of the constituent Below 1 Lac 1-5 lacs 5-10 Lacs Lacs >25 Lacs Addendum to Client Registration Form (Attach copy of any one of following in support of financial details) Illustrative list of documents;- 1. Copy of ITR Acknowledgement 2. Copy of Annual Accounts 3. Copy of Form 16 in case of salary income 4. Net worth certificate 5. Salary Slip 6. Bank account statement for last 6 months 7. Copy of demat account Holding statement. 8. Any other relevant documents substantiating ownership of assets. 9. Self declaration along with relevant supporting. 2. Settlement of Funds & Securities will be done atleast once in a calendar quarter/ months. Statements of accounts of Funds & Securities shall be send once in a Quarter/Month at the time of Settlement. Above Statement can be send to me on my ID OR Delivery of the documents can also be send by Post / Courier / Hand delivery. Trading Preference (please write these details in your own hand writing) A. Stock Exchanges and segment on which you wish to trade (if the member is registered for such Exchanges): Sr. No. Exchange Segment Signature of client 1 BSE Cash 2 NSE Cash 3 NSE F&O Details of any action taken by SEBI/Stock exchange/any other authority for violation of securities laws/other economic offences during last 3 years 1

2 MANDATORY Policies and Procedures (Mandatory) of Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. a. Refusal of orders for penny stocks: Although, the term 'Penny Stock' has not been defined by BSE/ NSE or any stock exchanges, SEBI a penny stock generally refers to a stock which has following mentioned characteristics: Has small market capitalization; Trades at a price less than its face value; Has unsound fundamentals; Is illiquid (A list if illiquid securities is jointly released by NSE & BSE from time to time.) Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. recognizes that it is client's privilege to choose shares in which he/she would like to trade. However, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. like to have special attention to dealing in "Penny stocks". To this end, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. may refuse to execute any clients orders in penny stocks without assigning any reason for the same. Any large order for purchase or sale of "Penny stocks" should be referred to head of dealing department, such orders can be put in the market for execution. Clients must ensure that trading in "Penny stock" doesn't result in creation of artificial volume or false or misleading appearance of trading. Further, clients should ensure that trading in "Penny stock" doesn't operate as a device to inflate or depress or cause fluctuations in the price of such stock. Clients are expected not to place orders in penny stocks at prices which are substantially different from the prevailing market prices. Any such order is liable to be rejected at the sole discretion of Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. In case of sale of penny stocks, client should ensure delivery of shares to Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. before the pay-in date. b. Setting up client's exposure limit: Exposure limit for each client is determined by the Risk management Department based on Networth information, client's financial capacity, prevailing market conditions and Margin deposited by client in the form of funds/securities with the Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. These limits may be set exchange-wise, segment-wise, & scrip-wise. Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. retains the discretion to set and modify from time to time any clients exposure limit decided as above. The limits are determined by Risk Management Department based on the above criteria and payment history of the client in consultation with Sales/Sales trader. Whenever, any client has taken over or wants to take exposure in any security, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. may call for appropriate margins in the form of early payin of shares or funds before or after execution of trades in the Cash segment. In case of any margin shortfall, the clients are told to reduce the position immediately or requested to deposit extra margin to meet the shortfall. Otherwise, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. may refuse to trade on behalf of such client in its own discretion. c. Applicable brokerage rate: Brokerage will be charged within the limits prescribed by SEBI/Exchange. d. Imposition of penalty / delayed payment charges by either party, Specifying the rate and the period: Penalty and other charges levied by Exchanges pertaining to trading of the client shall be recovered from the respective client. 2

3 If there is delay on part of client in satisfying his/her margin obligation or settlement obligations, then, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. shall levy interest at the rate of 12% p.a. on such shortage amount for the delayed period on such client. Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. shall recover such delayed payment charges from the client by debiting the client's account. No interest or charges will be paid by Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. to any client in respect of retention of funds or securities towards meeting future settlement obligations and in respect of running account authorizations. e. Right to sell clients' securities or close clients' positions, without giving notice to the client, on account of non payment of client's Dues: Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. has the right to close out/ liquidate or square off any open position of the client (limited to the extent of settlement /margin obligation) without giving any prior notice, all or any of the client's positions as well as securities / collaterals placed as margins for non-payments of margin or other amounts due from such client in respect of settlement or any other dues that are recoverable from the client by Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. The proceeds of the same shall be adjusted against the client's liabilities / obligations. Any loss or financial charges on account of such close-out /liquidation shall be debited to the client's account. f. Shortages in obligations arising out of internal netting of trades: To determine the net obligation of a broker / trading cum clearing member (for securities and funds) in a settlement, clearing house does the netting of trades at the broker level. It is possible that a broker's net obligation towards clearing house may be nil but due to default by one or more clients in satisfying their obligations towards the broker, the broker internally might have shortages to fulfill its obligation towards the other client(s). In such situation, Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. shall endeavor to collect the securities from the selling client and deliver it to the purchasing client within 48 hours of the settlement date. In case the selling client is unable to deliver the securities within 48 hours, then Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. shall attempt to purchase the security from the market and deliver it to the purchasing client. If Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. is unable to obtain the securities from the market, then the transaction will be closed out as per the auction rate prescribed by the Exchange for that scrip and the closing amount will be credited to the purchasing client and same will be debited to the selling client. g. Conditions under which a client may not be allowed to take further position or the broker may close the existing position of the client Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. shall have absolute discretion and authority to limit client's volume of business or to close any existing position of a client without giving any prior notice to the client under following mentioned conditions: Extreme volatility in the market or in particular scrip or in the F&O segment. If there is shortfall in the margin deposited by client with Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. If there is insider trading restrictions on the client. If there are any unforeseen adverse market conditions or any natural calamities affecting the operation of market. If there are any restrictions imposed by Exchange or Regulator on the volume of trading outstanding positions of contracts. If the client is undertaking any illegal trading practice or the client is suspected to be indulging in money laundering activities. If Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. has reached its limit in that scrip. 3

4 If the clients has breached the client-wise limit. If the client has taken or intends to take new position in a security which is in the ban period. If due to abnormal shortfall in the market, if market are closed. h. Temporarily suspending or closing a client's account based at the Client's request: Any client desirous of temporarily suspending his or her trading account has to give such request in writing to the management. After management's approval, any further dealing in such client's account will be blocked. Whenever, any suspended account wants to resume trading, request in writing should be made to management and management may ask for updated financial information & other details for reactivating such account. After receiving necessary documents, details etc. and approval from the management, client is reactivated & is allowed to carry out transaction. Similarly, any client desirous of closing his/her account permanently is required to inform in writing and the decision in this regard is taken by management. After necessary approval from the management, the client code is deactivated. Only after scrutinizing the compliance requirements and "no pending queries" confirmation is taken, securities and funds accounts are settled. i. Deregistering a Client Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. may, in its absolute discretion, decide to deregister a particular client. The illustrative circumstances under which Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. may deregister a client are given below: SEBI or any other regulatory body has passed an order against such client, prohibiting or suspending such client from participating in the securities market. Such client has been indicated by a regulatory body or any government enforcement agency in case of market manipulation or insider trading or any other case involving violation of any law, rule, regulation, guideline or circular governing securities market. Such client is suspected of indulging in illegal or criminal activities including fraud or money laundering. Such client's name appears in the UN list of prohibiting entities or SEBI debarred list. Such client's account has been lying dormant for a long time or client is not traceable. Such client has declared insolvent or any legal proceedings to declare him/her as such have been intended. Such client has been irregular in fulfilling obligations towards margin or settlement dues. Such client has a tainted reputation and any business relationship with such clients is likely to tarnish the reputation of Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. or may act as detriment to Bhavik Rajesh Khandhar Share & Stock Brokers Pvt. Ltd. prospects. Any outstanding dues in the client's account will be communicated and collected from the client and the client will be liable to pay such dues immediately on receiving such communication. j. Inactive Client Account Client account will be considered as inactive if the client does not trade for the period one year (last financial year). The client has to make written request for reactivation of the trading account, with recent proofs and any upgradation in KYC form. (Signature of the constituent) 4

5 VOLUNTARY RUNNING ACCOUNT AUTHORISATION Financial Year: 20 /20 From: Date : To, BHAVIK RAJESH KHANDHAR SHARE & STOCK BROKERS PVT. LTD. 278, Jeevan Udyog, 2nd Floor, Above Khadi Bhandar, D.N. Road, Mumbai Dear Sir, Notwithstanding anything contrary contained in the agreement between us. (I/We hereby request you to maintain my account) We refer to my/our account with you for transaction on BSE and NSE in cash and Derivatives Segments. I/We understand the transaction confirmations, Contracts/Bills would be processed exchange wise segment wise. However for the ease of fund movement. I/we hereby request you to maintain a single financial account and securities account on running account basis in your books for both the exchanges and both the segments. This would facilitate easy fund movement and avoid any delay in payment to/from between us. This would also lead to better reconciliation and convenience. I/we also request you to consider the balance in my/our running funds and securities account with you for the purpose of margins/ any other obligations due to you. I/We also request you to hold back my/our purchase delivery in the unlikely event of continuing debit in my/our account. We also request you to retain our pay out if any beyond statuary time limit as may be applicable from time to time to be adjusted against future debits unless otherwise specified in writing by us. In specific cases we would also instrust you either in writing or orally to hold back our purchase deliveries in your pool account for our intended sale. In view of the above it would be proper for you to release the funds and securities due to me/our specific request, either written or oral. You may charge the cost of holding securities to my/our account with you. I/We am/are doing business/dealings only for me/us. I/We will not issue any further contract notes, whatsoever to anybody in relation to my dealings with you. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in writing within 7 working days from the date of receipt of funds/securities or statement of account or statement related to it, as the case may be at your registered office. After that I/We shall have no right to dispute the transaction, funds and/or securities ever and agree that you shall not be liable for any incidental loss/damage caused due to retention of funds and/or securities. I/We confirm you that I can revoke the above mentioned authority any time by giving you in writing. I have noted the following :- 1) This authorization must be renewed at least once a year. 2) The authorization shall be signed by me only and not by any power of attorney holder or by any authorized person. Thanking you, Yours faithfully, Signature of the Client Name of the Client : Client Code : 5

Policies and Procedures (Mandatory) of GEPL Capital Pvt. Ltd. (GEPL)

Policies and Procedures (Mandatory) of GEPL Capital Pvt. Ltd. (GEPL) Policies and Procedures (Mandatory) of GEPL Capital Pvt. Ltd. (GEPL) a. Refusal of orders for Penny Stocks Although, the term Penny Stock has not been defined by BSE / NSE or any other stock exchange or

More information

Policies and Procedures (Mandatory)

Policies and Procedures (Mandatory) Policies and Procedures (Mandatory) - H J Securities Private Limited. Refusal of orders for Penny Stocks Although, the term Penny Stock has not been defined by BSE / NSE or any other stock exchange or

More information

POLICIES AND PROCEDURES (including INACTIVE CLIENT POLICY)

POLICIES AND PROCEDURES (including INACTIVE CLIENT POLICY) POLICIES AND PROCEDURES (including INACTIVE CLIENT POLICY) This document outlines various policies and procedures framed and followed by HARSHAD H GANDHI SEC PVT LTD ("Stock Broker") with respect to its

More information

POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF OYSTER FINCAP PVT. LTD.

POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF OYSTER FINCAP PVT. LTD. POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF OYSTER FINCAP PVT. LTD. (MANDATORY DOCUMENT DEALING WITH POLICIES AND PROCEDURES FOR INVESTING, TRADING AND DEALING IN DIFFERENT SEGMENTS OF DIFFERENT EXCHANGE

More information

AUTHORITY TO RETAIN FUNDS/SECURITIES TOWARDS MARGIN IN CASH SEGMENT, F&O SEGMENT AND ANY OTHER SEGMENT

AUTHORITY TO RETAIN FUNDS/SECURITIES TOWARDS MARGIN IN CASH SEGMENT, F&O SEGMENT AND ANY OTHER SEGMENT Dated : SUB : AUTHORITY TO RETAIN FUNDS/SECURITIES TOWARDS MARGIN IN CASH SEGMENT, F&O SEGMENT AND ANY OTHER SEGMENT I/We, am/are, registered with you as a Client for execution of trades from time to time

More information

Revised Policies and Procedures

Revised Policies and Procedures Revised Policies and Procedures a. Refusal of Orders for penny stocks: Penny stocks are low-priced shares of small companies which are traded infrequently. It may be difficult to sell penny stocks once

More information

We are enclosing an addendum, which will form part of your executed Client Registration Kit with Sankalp Share Brokers Pvt. Ltd.

We are enclosing an addendum, which will form part of your executed Client Registration Kit with Sankalp Share Brokers Pvt. Ltd. To The Investors, Dear Sir / Madam Subject : Addendum to Stock Broker and Client Agreement In an effort to bring further transparency and uniformly in dealings between trading clients and the stock brokers,

More information

O. J. FINANCIAL SERVICES LTD. (STOCK BROKER NSE) SOME POLICIES & PROCEDURES

O. J. FINANCIAL SERVICES LTD. (STOCK BROKER NSE) SOME POLICIES & PROCEDURES O. J. FINANCIAL SERVICES LTD. (STOCK BROKER NSE) SOME POLICIES & PROCEDURES 1. Refusal of order for penny stocks: Clients may note that all the stock and securities listed on the Stock Exchange are not

More information

ADWEALTH STOCK BROKING PVT LTD

ADWEALTH STOCK BROKING PVT LTD ADWEALTH STOCK BROKING PVT LTD POLICIES & PROCEDURES 1. Refusal of orders for penny / illiquid stock The Stock Broker shall have the absolute discretion, from time to time, to refuse/partially refuse/accept

More information

POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF INDIA INFOLINE LIMITED

POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF INDIA INFOLINE LIMITED Certain applicable policies and procedures of IIFL significant to Trading Account of the client POLICIES AND PROCEDURES APPLICABLE TO CLIENTS OF INDIA INFOLINE LIMITED 1. REFUSAL OF ORDERS FOR PENNY STOCKS

More information

NCJ Share & Stock Broker Ltd.

NCJ Share & Stock Broker Ltd. BACKGROUND:, a Trading Member of National Stock Exchange of India Ltd. As per the requirement of Exchange & SEBI, Company has designed a Risk Management Policy for extending trading facility to its clients

More information

POLICIES & PROCEDURES

POLICIES & PROCEDURES POLICIES & PROCEDURES 1. Refusal of order for penny / illiquid Stock The stock broker may from time to time limit (quantify/value)/ refuse order in one or more securities due to various reasons including

More information

POLICY AND PROCEDURE FOR AVAILING SECURITIES TRADING SERVICES THROUGH SAL SECURITIES PRIVATE LIMITED

POLICY AND PROCEDURE FOR AVAILING SECURITIES TRADING SERVICES THROUGH SAL SECURITIES PRIVATE LIMITED POLICY AND PROCEDURE FOR AVAILING SECURITIES TRADING SERVICES THROUGH SAL SECURITIES PRIVATE LIMITED The client is desirous to open a trading account with SAL Securities Private Limited (hereinafter referred

More information

POLICY AND PROCEDURES FOR CLIENT DEALINGS

POLICY AND PROCEDURES FOR CLIENT DEALINGS POLICY AND PROCEDURES FOR CLIENT DEALINGS 1. Mandatory Document : This is a mandatory / compulsory document from Broker and requires your utmost care, attention and understanding. This is an additional

More information

Policies and Procedures Pursuant to SEBI s Circular MISRD/SE/Cir-19/2009 dated December 3, 2009

Policies and Procedures Pursuant to SEBI s Circular MISRD/SE/Cir-19/2009 dated December 3, 2009 Policies and Procedures Pursuant to SEBI s Circular MISRD/SE/Cir-19/2009 dated December 3, 2009 This Policy and Procedure document of Reliance Securities Limited (RSL) contains important information on

More information

POLICIES & PROCEDURES. 1. Refusal of orders for penny / illiquid stock

POLICIES & PROCEDURES. 1. Refusal of orders for penny / illiquid stock POLICIES & PROCEDURES 1. Refusal of orders for penny / illiquid stock The broker may from time to time limit (quantity/ value) / refuse orders in one or more securities due to various reasons including

More information

POLICY AND PROCEDURES

POLICY AND PROCEDURES This is a mandatory /compulsory document from Broker and requires your utmost care, attention and understanding. This is an additional requirements from Broker which if contravenes any rules, regulations,

More information

Risk Management & Surveillance Policy BEZEL STOCK BROKERS

Risk Management & Surveillance Policy BEZEL STOCK BROKERS Risk Management & Surveillance Policy BEZEL STOCK BROKERS 1. Preface Risk Management is an integral part of any organization. We need to deal with various kind of risk like Credit Risk, Market Risk, Default

More information

Policies and procedures Governing Trading Through Interactive Brokers (India) Private Limited and its Affiliates.

Policies and procedures Governing Trading Through Interactive Brokers (India) Private Limited and its Affiliates. Policies and procedures Governing Trading Through Interactive Brokers (India) Private Limited and its Affiliates. A. Registration of Clients and Due Diligence A KYC policy is already in place and the staff

More information

MI STOCK BROKING PVT LTD

MI STOCK BROKING PVT LTD INTRODUCTION MI STOCK BROKING PVT LTD Policies and procedures are a set of documents that describe an organization's policies for operation and the procedures necessary to fulfill the policies. They are

More information

The client is aware and agrees that SATCO may need to vary or reduce the limits or impose new limits urgently on

The client is aware and agrees that SATCO may need to vary or reduce the limits or impose new limits urgently on POLICIES AND PROCEDURES a) Penny Stocks : Penny Stock - A stock that trades at a relatively low price and market capitalization. These types of stocks are generally considered to be highly speculative

More information

SHCIL SERVICES LTD. SSL Online Trading - Frequently Asked Questions (FAQ s) - Guidelines.

SHCIL SERVICES LTD. SSL Online Trading - Frequently Asked Questions (FAQ s) - Guidelines. SHCIL SERVICES LTD. SSL Online Trading - Frequently Asked Questions (FAQ s) - Guidelines. What is an SSL Online Trading account? An SSL Online Trading account allows you to integrate your Trading account

More information

Raga Shares Trading Pvt. Ltd. Raga Complex, Behind Amrit Complex, Corporation Road, Jabalpur (M.P.)

Raga Shares Trading Pvt. Ltd. Raga Complex, Behind Amrit Complex, Corporation Road, Jabalpur (M.P.) Procedures 1. Client Registration & Document Maintenance We follow a well-structured procedure for registration of client, which is as follows- 1. Introduction of Client: - Clients comes into our contact

More information

This Document is Mandatory COMBINED RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET/CASH SEGMENT, FUTURES & OPTIONS AND CURRENCY DERIVATIVES SEGMENTS

This Document is Mandatory COMBINED RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET/CASH SEGMENT, FUTURES & OPTIONS AND CURRENCY DERIVATIVES SEGMENTS This Document is Mandatory COMBINED RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET/CASH SEGMENT, FUTURES & OPTIONS AND CURRENCY DERIVATIVES SEGMENTS This document is issued by the member of the National Stock

More information

POLICY ON SURVEILLANCE OF TRANSACTION ALERTS

POLICY ON SURVEILLANCE OF TRANSACTION ALERTS POLICY ON SURVEILLANCE OF TRANSACTION ALERTS Background Leading Stock exchanges Bombay Stock Exchange Limited ( BSE ) and National Stock Exchange of India Limited ( NSE ) have put in place a mechanism

More information

RISK MANAGEMENT POLICY

RISK MANAGEMENT POLICY RISK MANAGEMENT POLICY The following document describes the risk management policy followed by RKSV. Please read it carefully as it pertains to your trading activity. The policy is applicable to all the

More information

TRIPARTITE AGREEMENT BETWEEN STOCK BROKER, SUB - BROKER AND CLIENT

TRIPARTITE AGREEMENT BETWEEN STOCK BROKER, SUB - BROKER AND CLIENT TRIPARTITE AGREEMENT BETWEEN STOCK BROKER, SUB - BROKER AND CLIENT This Agreement (hereinafter referred to as Agreement ) is entered into on this day of 20, by and between M/s. First Global Stockbroking

More information

To be Franked for Rs. 500/- POWER OF ATTORNEY

To be Franked for Rs. 500/- POWER OF ATTORNEY To be Franked for Rs. 500/- POWER OF ATTORNEY x KNOW ALL BY THESE PRESENTS THAT I/We x x x an Individual (Resident Indian(s)/Non resident Indian(s)/Person (s) of Indian Origin) HUF/Trust/ Partnership/Club/Company/OCB/AOP/Bank/Sole-

More information

ASE CAPITAL MARKETS LTD.

ASE CAPITAL MARKETS LTD. Informantion Regarding Memeber ASE CAPITAL MARKETS LTD. (A Subsidiary of Ahmedabad Stock Exchange Ltd.) Member : Bombay Stock Exchange Ltd. (BSE) National Stock Exchange of India Ltd. (NSE) MC Stock Exchange

More information

BROKERAGE ACCOUNT AGREEMENT

BROKERAGE ACCOUNT AGREEMENT www.efghermes.com BROKERAGE ACCOUNT AGREEMENT One Region. One Investment Bank Egypt Emirates Jordan Kuwait Lebanon Oman Qatar Saudi Arabia Syria Date (DD/MM/YYYY) MCD Number Client Type Individual Non-Individual

More information

Commodity Futures Trading Account Opening Form

Commodity Futures Trading Account Opening Form Commodity Futures Trading Account Opening Form Note 1: Every column must be filled in Note 2: Columns which are not applicable should be marked NA and also initialed. Note 3: Each page of this form must

More information

Association of National Exchanges Members of India

Association of National Exchanges Members of India November 19, 2014 Securities and Exchange Board of India Plot No. C-4-A, 'G'Block, BKC Bandra (East), Mumbai 400 051 Kind Attention:- Mr. S. V. Murali Dhar Rao - Executive Director Dear Sir, Sub: Suggestions

More information

POLICIES AND PROCEDURES (Reference para 8 of SEBI Circular No. MIRSD/SE/CIR-19/2009 dated December 03, 2009)

POLICIES AND PROCEDURES (Reference para 8 of SEBI Circular No. MIRSD/SE/CIR-19/2009 dated December 03, 2009) POLICIES AND PROCEDURES (Reference para 8 of SEBI Circular No. MIRSD/SE/CIR-19/2009 dated December 03, 2009) A. Refusal of orders/restrictions on trading in penny stocks and illiquid stocks Edelweiss may

More information

Registration Form for DCB Business Internet Banking

Registration Form for DCB Business Internet Banking Registration Form for DCB Business Internet Banking Branch : Account Name: Corporate ID (Customer ID) : 1. Account Holder's Declaration, Request and We: (a) Maintain an account with the DCB Bank Limited

More information

Authorization for Systematic Investment in Equities Authorization to India Infoline Ltd.

Authorization for Systematic Investment in Equities Authorization to India Infoline Ltd. Authorization for Systematic Investment in Equities Authorization to India Infoline Ltd. I/We would like to make systematic investment in securities through India Infoline Ltd. (IIFL). For the said purpose,

More information

Application Form for Opening a Demat Account

Application Form for Opening a Demat Account CENTRAL BANK OF INDIA Branch Depository Participant Name/Address Application Form for Opening a Demat Account Individual NRI Foreign National (To be filled by the Depository Participant) Application No.

More information

Additional Rights and Obligations of Stock Brokers and Clients (Execution of this document is voluntary)

Additional Rights and Obligations of Stock Brokers and Clients (Execution of this document is voluntary) This document forms part of and should be read in conjunction with Broking Account Opening Kit Part 3 - Voluntary Documents Additional Rights and Obligations of Stock Brokers and Clients (Execution of

More information

Brokers and Agents Registration Rules, 2001 (Pakistan)

Brokers and Agents Registration Rules, 2001 (Pakistan) Brokers and Agents Registration Rules, 2001 (Pakistan) S. R. O. 299 (I) /2001. In exercise of the powers conferred by clause (b) of section 43 of the Securities and Exchange Commission of Pakistan Act,

More information

Stock Holding Corporation of India Limited

Stock Holding Corporation of India Limited (To be filled by the Depository Participant) Application No. DP Internal Reference No. DP ID Stock Holding Corporation of India Limited Regd. Office : 301, Centre Point, Dr. Babasaheb Ambedkar Road, Parel,

More information

ACCOUNT OPENING FORM TRADING ACCOUNT RELATED DETAILS - MANDATORY

ACCOUNT OPENING FORM TRADING ACCOUNT RELATED DETAILS - MANDATORY ACCOUNT OPENING FORM TRADING ACCOUNT RELATED DETAILS - MANDATORY Julius Baer Wealth Advisors (India) Private Limited (formerly Merrill Lynch Wealth Advisors Private Limited) Registered & Main Office: 8th

More information

Contract Specifications of E-GOLD (Demat Gold Units) Mondays through Fridays (except Exchange specified holidays)

Contract Specifications of E-GOLD (Demat Gold Units) Mondays through Fridays (except Exchange specified holidays) Contract Specifications of E-GOLD (Demat Gold Units) Annexure 1 Commodity Details Commodity Contract Symbol E-GOLD (Demat Gold units) E-GOLD Daily contract Daily contract for trading in Demat E-GOLD units

More information

Reliance Securities A Reliance Capital Company

Reliance Securities A Reliance Capital Company Reliance Securities A Reliance Capital Company Risk Management Policy April 25, 2013 SEBI, vide its circular ref. no. SEBI/MRD/DoP/SE/Cir-07/2005 dated February 23, 2005 has advised the Stock Exchanges

More information

Dubai Financial Market Rules for DVP Clearing and Settlement. ( DVP Rules )

Dubai Financial Market Rules for DVP Clearing and Settlement. ( DVP Rules ) Dubai Financial Market Rules for DVP Clearing and Settlement ( DVP Rules ) 20/04/2011 Table of Contents DEFINITIONS... 3 1 CLEARING AND SETTLEMENT... 5 2 TRANSFERS OF SECURITIES ARISING FROM LATE CONFIRMATION...

More information

PKC STOCK BROKING PVT. LTD. RISK MANAGEMENT SYSTEM

PKC STOCK BROKING PVT. LTD. RISK MANAGEMENT SYSTEM RMS stands for Risk Management System i.e. to manage the risk of the Company / clients from the volatility of the stock market The Company has a system of online risk management (including upfront real-time

More information

SANKALP SHARE BROKERS PVT. LTD..

SANKALP SHARE BROKERS PVT. LTD.. SANKALP SHARE BROKERS PVT. LTD.. 1. Registration of Clients : INTERNAL CONTROLS All clients in our Company are allowed to trade only after they have completed the Registration process including the filling

More information

NATIONAL SECURITIES CLEARING CORPORATION LIMITED (FUTURES & OPTIONS) REGULATIONS INDEX

NATIONAL SECURITIES CLEARING CORPORATION LIMITED (FUTURES & OPTIONS) REGULATIONS INDEX NATIONAL SECURITIES CLEARING CORPORATION LIMITED (FUTURES & OPTIONS) REGULATIONS INDEX INTRODUCTION... APPLICABILITY... 1 DEFINITIONS... 1.1 AMERCIAN STYLE OPTION CONTRACT... 1.2 ASSIGNMENT... 1.3 AT THE

More information

SUPPLEMENTAL AGREEMENT BETWEEN STOCK BROKER AND CLIENT

SUPPLEMENTAL AGREEMENT BETWEEN STOCK BROKER AND CLIENT SUPPLEMENTAL AGREEMENT BETWEEN STOCK BROKER AND CLIENT THIS SUPPLEMENTAL AGREEMENT entered into on this day of 200_, to the AGREEMENTS BETWEEN STOCK BROKER AND CLIENT for Cash and Derivatives Segment of

More information

Serendib Stock Brokers (Private) Limited

Serendib Stock Brokers (Private) Limited Serendib Stock Brokers (Private) Limited No. 156,3 rd Floor, Walukarama Road, Colombo 03. Tel: 011 2565635 Fax: 011 2565604 E mail: info@serendibsb.com KNOW YOUR CUSTOMER (KYC) PROFILE (For Individuals)

More information

Bank of Baroda (New Zealand) Ltd.

Bank of Baroda (New Zealand) Ltd. APPLICATION FOR OPENING INDIVIDUAL ACCOUNT (Current/Savings/Term Deposit) The Branch Manager 114, Dominion Road, Mt. Eden Branch: AUCKLAND Email: aucknz@bankofbaroda.com Phone: +64 9 632 1020 Fax: +64

More information

¼ããÀ ããè¾ã ¹ãÆãä ã¼ãîãä ã ããõà ãäìããä ã½ã¾ã ºããñ Ã

¼ããÀ ããè¾ã ¹ãÆãä ã¼ãîãä ã ããõà ãäìããä ã½ã¾ã ºããñ à CIRCULAR CIR/MRD/DP/ 20 /2012 August 02, 2012 The Managing Director and CEO The Managing Director Bombay Stock Exchange Limited National Stock Exchange of India Ltd. Phiroze Jeejeebhoy Towers Exchange

More information

Share Secured Visa Credit Card Agreement. 10.99% when you open your accounts, based on your credit worthiness.

Share Secured Visa Credit Card Agreement. 10.99% when you open your accounts, based on your credit worthiness. Share Secured Visa Credit Card Agreement Interest Rates and Interest Charges ANNUAL PERCENTAGE RATE (APR) for Purchases APR for Balance Transfers 10.99% 10.99% when you open your accounts, based on your

More information

PRODUCT DISCLOSURE STATEMENT

PRODUCT DISCLOSURE STATEMENT PRODUCT DISCLOSURE STATEMENT Margin FX Contracts and CFDs Issuer: Goldland Capital Group Pty Ltd ABN 76 162 331 311 Australian Financial Services Licence No. 436416 Date: 8 September 2015 Page 1 TABLE

More information

PKC STOCK BROKING PVT. LTD.

PKC STOCK BROKING PVT. LTD. PKC STOCK BROKING PVT. LTD. Regd. Office: Martin Burn House, 5th Floor, Room No. 11 1, R. N. Mukherjee Road, Kolkata - 700 001 Phone No.: 2243-5545 I 5015 I 5385 Fax No.: 2243 5235 E-mail: pkcstockbroking@yahoo.co.in

More information

1. Terms and Conditions

1. Terms and Conditions TRADING AGREEMENT The Trading Agreement (hereinafter referred to as the Agreement ) is made and entered into by and between Simple Trading Corporation Limited (hereinafter referred to as Simple Trade )

More information

BOC CREDIT CARD (INTERNATIONAL) LIMITED TERMS & CONDITIONS OF BOC EXPRESS CASH INSTALMENT LOAN

BOC CREDIT CARD (INTERNATIONAL) LIMITED TERMS & CONDITIONS OF BOC EXPRESS CASH INSTALMENT LOAN BOC CREDIT CARD (INTERNATIONAL) LIMITED TERMS & CONDITIONS OF BOC EXPRESS CASH INSTALMENT LOAN Successful applicant ( Borrower ) of the approved BOC Express Cash Instalment Loan shall be subject to the

More information

Terms and Conditions

Terms and Conditions Terms and Conditions 1. TABLE OF CONTENTS 1. TABLE OF CONTENTS 2. SERVICES OFFERED TO THE CUSTOMER 3. EXECUTION-ONLY ARRANGEMENTS 4. YOUR INVESTMENT OBJECTIVES 5. RESTRICTIONS ON TYPES OF INVESTMENT 6.

More information

CHAPTER-8 RIGHTS AND LIABILITIES OF TRADING MEMBERS, SUB-BROKERS AND CLIENTS

CHAPTER-8 RIGHTS AND LIABILITIES OF TRADING MEMBERS, SUB-BROKERS AND CLIENTS RIGHTS AND LIABILITIES OF TRADING MEMBERS, SUB-BROKERS AND CLIENTS 8.1 Agreement With Sub-brokers and Clients Every trading member shall enter into an agreement in writing with each of his sub-brokers

More information

Sun Life Financial Inc.

Sun Life Financial Inc. Sun Life Financial Inc. Canadian Dividend Reinvestment and Share Purchase Plan AMENDED AND RESTATED OFFERING CIRCULAR Table of Contents Parts of this Offering Circular... 1 Notice to Non-Registered Beneficial

More information

THE GAZETTE OF INDIA EXTRAORDINARY PART III SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, APRIL 5, 2013 SECURITIES AND EXCHANGE BOARD OF INDIA

THE GAZETTE OF INDIA EXTRAORDINARY PART III SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, APRIL 5, 2013 SECURITIES AND EXCHANGE BOARD OF INDIA THE GAZETTE OF INDIA EXTRAORDINARY PART III SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, APRIL 5, 2013 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 5 th April, 2013 SECURITIES AND EXCHANGE

More information

ELECTRONIC TRADING FACILITIES SUPPLEMENTAL TERMS AND CONDITIONS OF TRADING

ELECTRONIC TRADING FACILITIES SUPPLEMENTAL TERMS AND CONDITIONS OF TRADING ELECTRONIC TRADING FACILITIES SUPPLEMENTAL TERMS AND CONDITIONS OF TRADING This Supplemental Terms and Conditions of Trading is supplemental to and forms part of the terms and conditions set out in the

More information

CONTRACT FOR DIFFERENCE ( CFD ): MANDATE GENERAL TERMS AND CONDITIONS

CONTRACT FOR DIFFERENCE ( CFD ): MANDATE GENERAL TERMS AND CONDITIONS ONLINE SECURITIES LIMITED 1 st Floor Roland Garros The Campus 57 Sloane Str, Bryanston 2191 PO Box 1899 Witkoppen Tel: 011 996 5200 Fax: 011 996 5499 Website: www.psgonline.co.za CONTRACT FOR DIFFERENCE

More information

PROCEDURE FOR LINKING OF EXISTING BANK / DEMAT ACCOUNT TO YOUR ICICIDIRECT.COM TRADING ACCOUNT

PROCEDURE FOR LINKING OF EXISTING BANK / DEMAT ACCOUNT TO YOUR ICICIDIRECT.COM TRADING ACCOUNT PROCEDURE FOR LINKING OF EXISTING BANK / DEMAT ACCOUNT TO YOUR ICICIDIRECT.COM TRADING ACCOUNT INSTRUCTIONS TO FILL THE FORM: 1. First Holder of bank/ demat account (to be linked) and the ICICIdirect.com

More information

Client Acknowledgement. Risk Warning Notice for CFDs

Client Acknowledgement. Risk Warning Notice for CFDs Please read this document fully. IMPORTANT NOTICE Client Acknowledgement Clients (including account applicants) of CMC Markets Singapore Pte. Ltd. ( CMC Markets ) should be aware of the risks involved

More information

DOCUMENTS REQUIRED FOR SUB-BROKER REGISTRATION (NSE) :

DOCUMENTS REQUIRED FOR SUB-BROKER REGISTRATION (NSE) : DOCUMENTS REQUIRED FOR SUB-BROKER REGISTRATION (NSE) : For Individual FORM B FORM C AGREEMENT (on Rs 100 Stamp Paper) BANK LETTER CA/CS/LAWYER/NOTARY LETTER DECLARATION ABOUT NON CONVICITION DEALING DIRECTLY

More information

APPENDIX FOR FUTURES TRADING

APPENDIX FOR FUTURES TRADING APPENDIX FOR FUTURES TRADING This Appendix sets out the Terms and Conditions for Futures trading which apply where the Client opens or maintains a Futures Account with ICBCIS. The Client requests and authorizes

More information

CONTRACT FOR DIFFERENCE ( CFD ): MANDATE GENERAL TERMS AND CONDITIONS

CONTRACT FOR DIFFERENCE ( CFD ): MANDATE GENERAL TERMS AND CONDITIONS CONTRACT FOR DIFFERENCE ( CFD ): MANDATE GENERAL TERMS AND CONDITIONS 1. Terms of Business The Client accepts this Agreements electronically and acknowledges that he/she understands the content of the

More information

CREDIT CARD AGREEMENT AND DISCLOSURE STATEMENT

CREDIT CARD AGREEMENT AND DISCLOSURE STATEMENT CREDIT CARD AGREEMENT AND DISCLOSURE STATEMENT THIS IS YOUR CREDIT CARD AGREEMENT AND IT INCLUDES NECESSARY FEDERAL TRUTH-IN- LENDING DISCLOSURE STATEMENTS, WORLD MASTERCARD, MASTERCARD PLATINUM, MASTERCARD

More information

NOTIFICATION. (1) These rules may be called the Brokers and Agents Registration Rules, 2001 (2) They shall come into force at once.

NOTIFICATION. (1) These rules may be called the Brokers and Agents Registration Rules, 2001 (2) They shall come into force at once. SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN Islamabad May 10, 2001. NOTIFICATION S. R. O. 299 (1) /2001: In exercise of the powers conferred by clause (b) of section 43 of the Securities and Exchange

More information

Trading, Collaterised Accounts Terms & Conditions

Trading, Collaterised Accounts Terms & Conditions Trading, Collaterised Accounts Terms & Conditions CB/ST/V1/2012 1. PURPOSE 1.1 You (i.e. the Applicant) shall use the Collaterised Trading Facility ( the Facility ) only to deal in securities ( Securities

More information

CREDIT CARD AGREEMENT AND DISCLOSURE

CREDIT CARD AGREEMENT AND DISCLOSURE M-115600 CREDIT CARD AGREEMENT AND DISCLOSURE This Agreement establishes the terms and conditions of your credit card agreement with the Credit Union. In this agreement, the words you and your mean any

More information

INTRODUCING BROKER MEMBERSHIP AGREEMENT

INTRODUCING BROKER MEMBERSHIP AGREEMENT MERCANTILE EXCHANGE OF MADAGASCAR SA INTRODUCING BROKER MEMBERSHIP AGREEMENT www.mexmadagascar.com This Introducing Membership Agreement is entered in to and executed at, on... BETWEEN MERCANTILE EXCHANGE

More information

¼ããÀ ããè¾ã ¹ãÆãä ã¼ãîãä ã ããõà ãäìããä ã½ã¾ã ºããñ Ã

¼ããÀ ããè¾ã ¹ãÆãä ã¼ãîãä ã ããõà ãäìããä ã½ã¾ã ºããñ à CIRCULAR CIR/MRD/DMS/13/2010 April 23, 2010 To The Managing Directors of Stock Exchanges and Depositories Dear Sir(s), Sub: Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker/

More information

POLICY STATEMENT Q-22

POLICY STATEMENT Q-22 POLICY STATEMENT Q-22 DISCLOSURE DOCUMENT FOR COMMODITY FUTURES CONTRACTS, FOR OPTIONS TRADED ON A RECOGNIZED MARKET AND FOR EXCHANGE-TRADED COMMODITY FUTURES OPTIONS 1. In the case of commodity futures

More information

MCX-SX CLEARING CORPORATION LIMITED MCX-SX CLEARING CORPORATION (CAPITAL MARKET SEGMENT) REGULATIONS

MCX-SX CLEARING CORPORATION LIMITED MCX-SX CLEARING CORPORATION (CAPITAL MARKET SEGMENT) REGULATIONS MCX-SX CLEARING CORPORATION LIMITED MCX-SX CLEARING CORPORATION (CAPITAL MARKET SEGMENT) REGULATIONS Registered Office Exchange Square, CTS No 255, Suren Road, Chakala, Andheri (East), Mumbai - 400 093

More information

PART B - TRADING REGULATIONS CONTENTS Pg. Nos.

PART B - TRADING REGULATIONS CONTENTS Pg. Nos. PART B - TRADING REGULATIONS CONTENTS Pg. Nos. 1. DEFINITIONS... 1.1 BUYER... 1.2 CHAIRMAN... 1.3 CLEARING BANK... 1.4 CLEARING HOUSE... 1.5 CLEARING MEMBER... 1.6 DELIVERING MEMBER... 1.7 RECEIVING MEMBER...

More information

Nationality: Passport No: Occupation: Tel No: Fax No: Email: Nationality: Passport No: Occupation: Tel No: Fax No: Email:

Nationality: Passport No: Occupation: Tel No: Fax No: Email: Nationality: Passport No: Occupation: Tel No: Fax No: Email: Foundation Order Form No. 35 Barrack Road, Suite 202, P.O. Box 2391, Belize City, Belize, C.A. 1. Jurisdiction 2. Foundation Name 1. a. Please give three (3) names, in order of preference: b. Purpose of

More information

RULES & REGULATIONS TABLE OF CONTENTS

RULES & REGULATIONS TABLE OF CONTENTS RULES & REGULATIONS TABLE OF CONTENTS DOCUMENT SIGNIFICANCE PAGE NUMBER MANDATORY DOCUMENTS Rights and Obligations Risk Disclosure Document Guidance Note Policies and Procedures Terms and Conditions Document

More information

AGANANG LOCAL MUNICIPALITY. Credit Control and Debt Collection Policy. Credit control and debt collection policy

AGANANG LOCAL MUNICIPALITY. Credit Control and Debt Collection Policy. Credit control and debt collection policy AGANANG LOCAL MUNICIPALITY Credit Control and Debt Collection Policy 1 1. PREAMBLE Whereas Section 96(a) of the Local Government: Municipal Systems Act, No 32 of 2000 (hereinafter referred to as the Systems

More information

SECTION 14 RISK MANAGEMENT

SECTION 14 RISK MANAGEMENT SECTION 14 RISK MANAGEMENT 14.1 POSITION LIMITS DERIVATIVES MARKET CONTRACTS AND DERIVATIVES CCP CONTRACTS... 3 14.1.1 ASX Clear may prescribe Position Limits... 3 14.1.2 Breach of Position Limits... 4

More information

Modules Functionality Description. BSE UCC File,NSE UCC File Generate. Download Feedback of Activatin. Script group/category. Script group haircut

Modules Functionality Description. BSE UCC File,NSE UCC File Generate. Download Feedback of Activatin. Script group/category. Script group haircut Module Details Modules Functionality Description Registration Module Application Inward & Rejction Handelling Application process Client Code Creation KYC KRA Data Upload UCC Upload UCC FeedBack Client

More information

BUSINESS CARD APPLICATION FORM COMPANY SECTION BUSINESS CARD APPLICATION FORM EMPLOYEE SECTION. Company Name (legal): Company Name:

BUSINESS CARD APPLICATION FORM COMPANY SECTION BUSINESS CARD APPLICATION FORM EMPLOYEE SECTION. Company Name (legal): Company Name: BUSINESS CARD APPLICATION FORM EMPLOYEE SECTION Company Name: Employee Name: Title (Mr, Ms, Mrs): ID/PP/DP# Country/Date of Birth: Nationality: Sex: Male Female Name on Card: Mailing Address: Telephone

More information

Global Market Trading on Hong Kong Stock Exchange

Global Market Trading on Hong Kong Stock Exchange Global Market Trading on Hong Kong Stock Exchange Why Invest in Hong Kong Markets? Efficient, Sound and Transparent Regulatory Framework Facilitates raising of funds and trading in securities Provides

More information

EDUCATOR VISA CONSUMER CREDIT CARD AGREEMENT

EDUCATOR VISA CONSUMER CREDIT CARD AGREEMENT EDUCATOR VISA CONSUMER CREDIT CARD AGREEMENT In this Agreement, Agreement means this Consumer Credit Card Agreement. Disclosure means the Credit Card Account Opening Disclosure. The Account Opening Disclosure

More information

SANKALP SHARE BROKERS (P) LTD. MEMBERS : NATIONAL STOCK EXCHANGE OF INDIA LTD. BSE LIMITED CENTRAL DEPOSITORY SERVICES (INDIA) LIMITED

SANKALP SHARE BROKERS (P) LTD. MEMBERS : NATIONAL STOCK EXCHANGE OF INDIA LTD. BSE LIMITED CENTRAL DEPOSITORY SERVICES (INDIA) LIMITED SANKALP SHARE BROKERS (P) LTD. MEMBERS : NATIONAL STOCK EXCHANGE OF INDIA LTD. BSE LIMITED CENTRAL DEPOSITORY SERVICES (INDIA) LIMITED CLIENT REGISTRATION KIT CLIENT CODE CLIENT ID CLIENT NAME DATE OF

More information

Application form Residential and buy-to-let secured loans

Application form Residential and buy-to-let secured loans Together is a trading style of Blemain Finance Limited Application form Residential and buy-to-let secured loans Section 1: Loan details Loan Details Repayment type: (capital & Interest or interest only)

More information

VISA CARDHOLDER AGREEMENT

VISA CARDHOLDER AGREEMENT VISA CARDHOLDER AGREEMENT In this agreement, the words you and your mean the cardholder or holders and anyone else you authorize to use the credit card account. The words we, us or our mean Eastman Credit

More information

Securities Businessperson (Stock Broker, Securities Dealer and Market Maker) Regulations, 2064 (2008)

Securities Businessperson (Stock Broker, Securities Dealer and Market Maker) Regulations, 2064 (2008) Securities Businessperson (Stock Broker, Securities Dealer and Market Maker) Regulations, 2064 (2008) In exercise of the power conferred by Section 116 of Securities Related Act, 2063 (2007), Securities

More information

VISA: % This APR will vary with the market based on the Prime Rate. VISA Gold: % This APR will vary with the market based on the Prime Rate.

VISA: % This APR will vary with the market based on the Prime Rate. VISA Gold: % This APR will vary with the market based on the Prime Rate. KEMBA CREDIT UNION, INC P O BOX 14090 CINCINNATI, OH 45250 (800) 825-3622 FAX (513) 762-1619 (513) 762-5070 CREDIT CARD AGREEMENT AND FEDERAL DISCLOSURE STATEMENT THIS IS YOUR CREDIT CARD AGREEMENT AND

More information

Do you need a credit licence? An introduction to consumer credit licensing

Do you need a credit licence? An introduction to consumer credit licensing Do you need a credit licence? An introduction to consumer credit licensing July 2008 Do you need a credit licence? To comply with the requirements of the Consumer Credit Act 1974, you must have a credit

More information

FNB SHARE INVESTING TAX FREE SHARES ACCOUNT MANDATE

FNB SHARE INVESTING TAX FREE SHARES ACCOUNT MANDATE First National Bank a division of FirstRand Bank Limited Reg. No. 1929/001225/06 An Authorised Financial Services and Credit Provider (NCRCP20) 6 th Floor, 2 First Place, Simmonds Street, Johannesburg,

More information

CUSTOMER FUNDS PROTECTION AT NEWEDGE BROKER INDIA PRIVATE LIMITED

CUSTOMER FUNDS PROTECTION AT NEWEDGE BROKER INDIA PRIVATE LIMITED NEWEDGE CUSTOMER FUNDS PROTECTION AT NEWEDGE BROKER INDIA PRIVATE LIMITED May 2014 OVERVIEW The foundation for protecting customer property when customer s trade is three-fold: Segregation Capital Requirements

More information

Agreement for Setting up Margin Trading Account (Updated to July 16, 2013)

Agreement for Setting up Margin Trading Account (Updated to July 16, 2013) Agreement for Setting up Margin Trading Account (Updated to July 16, 2013) I/We hereby acknowledge that I/we have received and fully understood the explanation provided by your company regarding the margin

More information

Ali Husain Rajabali Limited Page # 1 of 9 Corporate TREC Holder: The Karachi Stock Exchange (Guarantee) Ltd.

Ali Husain Rajabali Limited Page # 1 of 9 Corporate TREC Holder: The Karachi Stock Exchange (Guarantee) Ltd. Ali Husain Rajabali Limited Page # 1 of 9 90-91, Stock Exchange Building, Stock Exchange Road Karachi-74000 Phone : 32417601 3 Fax: 32420485 Broker Registration No : BRK-125 TRADING ACCOUNT OPENING FORM

More information

Terms and conditions of the smart + Trading Account from AXA Self Investor

Terms and conditions of the smart + Trading Account from AXA Self Investor Terms and conditions of the smart + Trading Account from AXA Self Investor Terms and conditions of the smart + Trading Account 02 Introduction These Terms and conditions of the smart + Trading Account

More information

SECURITIES MARGIN TRADING ACCOUNT

SECURITIES MARGIN TRADING ACCOUNT 香 港 聯 合 交 易 所 參 與 者 Exchange Participant of The Stock Exchange of Hong Kong Limited 香 港 德 輔 道 中 308 漩 富 衛 金 融 中 心 1304 室 1304,13/F, FWD Financial Centre, 308 Des Voeux Road Central, Hong Kong. 電 話 Tel:

More information

Investing in Offshore Securities Agreement & Risk Disclosure Statement for Investing in Offshore Securities 1

Investing in Offshore Securities Agreement & Risk Disclosure Statement for Investing in Offshore Securities 1 Investing in Offshore Securities Agreement & Risk Disclosure Statement for Investing in Offshore Securities 1 This agreement is made at Maybank Kim Eng Securities (Thailand) PCL. This agreement is made

More information

www.moneyboomerang.co.uk Money Boomerang Limited Adamson House, Towers Business Park, Didsbury, Manchester, M20 2YY Tel: 0161 955 4740

www.moneyboomerang.co.uk Money Boomerang Limited Adamson House, Towers Business Park, Didsbury, Manchester, M20 2YY Tel: 0161 955 4740 : Claim Reference Dear MIS-SOLD MORTGAGE CLAIM Thank you for contacting Money Boomerang. We are specialists in claiming back mis-sold Mortgages! Please find enclosed a Form of Authority / Mis-sold Mortgage

More information

Company Introductory Form

Company Introductory Form 1of 3 First Capital Equities ( Private) Limited No.347/1/1, Dr. Colvin R De Silva Mawatha, Colombo 02, Sri Lanka Tel: +94 11 2145000 Fax: +94 11 5736264 As a full member of the Colombo Stock Exchange,

More information

Mashreq Gold Account Opening Form

Mashreq Gold Account Opening Form Mashreq Gold Account Opening Form FOR THE PRIVILEGED FEW 20553-MGMAIGoldProposition-AccountOpeningForm.indd 1 Personal Details Personal details of Primary Account Holder Name Mr. Mrs. Ms. (as per passport)

More information

Branch Address :- Branch :... COMMODITY MARKET SEGMENT CLIENT REGISTRATION FORM & MEMBER-CLIENT AGREEMENT

Branch Address :- Branch :... COMMODITY MARKET SEGMENT CLIENT REGISTRATION FORM & MEMBER-CLIENT AGREEMENT Sl. No. Branch Address :- Branch :... Client Code :... Date of commencement of operations:... KARVY COMMODITIES BROKING PVT. LTD. MCX MEMBERSHIP NO. : 10775 NCDEX MEMBERSHIP NO. : 00236 COMMODITY MARKET

More information