UAE EXCHANGE & FINANCE LTD

Transcription

1 UAE EXCHANGE & FINANCE LTD As a Corporate Member of the National Stock Exchange of India Ltd., MCX Stock Exchange Ltd. and a Depository Participant of the Central Depository Services (India) Ltd., we facilitate Online Stock Trading Services through Trading Terminals and the Internet along with Depository Services. Working strictly within the parameters set by the regulators we offer stock broking & other related services COVER to the investing public at very competitive rates. We are recognized and appreciated for our inimitable service standards and quality assurance in the field of Financial Services. We provide: Online Trading Depository Service IPO PAN Services Internet Trading Mutual Funds Free SMS Updates Infrastructure Bonds Account Opening Form - Equity and Demat Client Code Branch Internet Beneficiary ID Client Name Branch Change in Branch Date : Your Trustworthy Trading Partner

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3 Sl. No Name of the Document 1 Account Opening Form ANNEXURE 1 INDEX Brief Significance of the Document MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES Document captures the additional information about the constituent relevant to trading account. Page No Rights and Obligations Document stating the Rights & Obligations of stock broker/trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). AD Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market. AD Guidance note Document detailing do's and don'ts for trading on exchange, for the education of the investors. AD Policies and Procedures Document describing significant policies and procedures of the stock broker AD Additional Information related to Demat Account Nomination form DP-BO Agreement 9 SMART form 10 EASI NOC & Tariff sheet Document captures additional information related to demat account Document captures the information about nominee Agreement between depository participant & beneficial owner Terms and conditions-cum-registration / modification form for receiving SMS alerts from CDSL Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) Running Account Authorisation Form Power Of Attorney Acknowledgement :- VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER Document giving authorisation to broker in order to facilitate for ease of operations Document appointing broker as a power of attorney I have received a copy of all the mandatory and non mandatory documents listed above Signature of the Client Trading Member (Equity & Currency Derivatives) : UAE Exchange and Finance Limited SEBI Registration No : INB / INE / INE /IN-DP-CDSL Registered Office Address : 63, Artillery Road, Ulsoor, Bangalore Administrative Office Address : Second Floor, Habeeb Tower, M G Road, Cochin Tel : /97, Fax : Website : CEO : Dr. B R Shetty. Tel : /97, Id : hq.nse@uaeexchange.co.in Compliance Officer : Mr. Sreenish T. S. Tel : /97, Id : compliance@uaeexchange.co.in Clearing Member (Currency Derivatives) : IL & FS Securities Services Limited SEBI Registration No : INE /INE For any grievance/dispute please contact UAE Exchange and Finance Limited at the above address or Id : grievances@uaeexchange.co.in In case not satisfied with the response, please contact the concerned exchange(s) at NSE : Id : ignse@nse.co.in, Tel : MCX-SX : Id : investorcomplaints@mcx-sx.com, Tel :

4 ANNEXURE 3 TRADING ACCOUNT RELATED DETAILS Bank Account Details 1 Bank Name (Through which transactions will generally be routed) 2 Branch Name 3 Branch Address 4 MICR Code IFS Code 5 Account Number Savings / Current / NRI / Others (Please submit a certificate from the banker/a cancelled cheque leaf/copy of pass book or statement containing name of the constituent to prove the account. Follow the same procedure to provide additional bank details) Depository Account Details 6 DP Name & Address 7 BO Name 8 BO Account Number NSDL CDSL I N Trading Preference Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck of by the client 1 A B Stock Exchanges and Market Segments on which you wish to trade National Stock Exchange of India Ltd. MCX Stock Exchange Ltd. Capital Market Segment Currency Derivatives Segment MFSS Currency Derivatives Segment Please sign here Please sign here Please sign here Please sign here (Please enclose documentary evidence of Financial Details if opted for Currency Derivatives Segment. If, in future, the client wants to trade on any new segment/new exchange, separate authourization/letter should be taken from the client by the stock brocker) 2 3 Investment / Trading Experience No Prior Experience Stock... Yrs Derivatives... Yrs Other Investments... Yrs My Risk Appetite Low Medium High Past Actions Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years. Attach additional sheets if required Dealings Through Sub-brokers And Other Stock Brokers If client is dealing through any Stock brocker/ sub-broker, provide the following details: (if case dealing with multiple stock brokers / sub brokers, provide details of all in the same format) Stock Broker/Sub Broker Name SEBI Registration number Registered office addres Phone Fax Website -2-

5 Details of dispute/dues pending from/ to such stock broker/sub broker Client Code Exchange Additional Details I wish to receive Contract Note, Daily Margin Statement and all other Documents through: Physical Mode Electronic Mode 1 Please specify if applicable 2 I wish to avail of the facility of Internet Trading Wireless Technology In case of non-individuals name, designation, PAN, UID, signature, residential address and 3 photographs of persons authorised to deal in securities on behalf of company/firm/others: (If applicable, attach additional sheets and necessary enclosures) 4 Any Other Information :... Introducer Details Introduced by Sub Broker/Remisier/Authourised Person/Existing Client/Others: Specify Name of the Introducer: Signature of the Introducer: x PAN of Introducer : Address of the Introducer: Phone No. of the Introducer Declaration :- 1. 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. 2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disclosure Document'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker's designated website, if any. Place: Date Signature of The Applicant For Office Purpose Unique Client Code Interviewed & Checked by Name & Designation Signature Branch/Dealing office ID Processed by UCI Upload Date Authorised by We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the nonmandatory documents. We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. We have given/sent him/her 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 UAE Exchange & Finance Limited Authorised Signatory -3- Date

6 Application No. DP Internal Reference No. DP ID ANNEXURE 4 ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT UAE EXCHANGE & FINANCE LTD. Registered Office: 63, Artillery Road, Ulsoor, Bangalore Administrative Office: Second Floor, Habeeb Tower, M G Road, Kochi Client ID (To be filled by the applicant in BLOCK LETTERS in English) I/We request you to open a demat account in my/ our name as per following details:- Holders Details Sole/First Holder's Name Second Holder's Name Third Holder's Name PAN PAN PAN Name* * In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above. Status Individual Sub-Status Individual Resident Individual Director s Relative Individual Promoter Individual Margin Trading A/C (MANTRA) Individual-Director Individual HUF / AOP Minor Others(specify) NRI NRI Repatriable NRI Non-Repatriable Foreign National NRI Repatriable Promoter NRI Non-Repatriable Promoter NRI Depository Receipts Others(specify) Foreign National Foreign National - Depository Receipts Others (specify) Guardian Details (If Sole Holder is a Minor) [Enclose PAN and Address Proof] Guardian's Name Relationship Address City Country Telephone No PAN / UID No. ID State Pin Code Fax No -4-

7 Declaration by NRI / Foreign National I/We have complied with and will continue to comply with FEMA regulations and other applicable laws. Foreign Address City Country State Pin Code RBI Reference No & Date Signature (In black ink only) First / Sole Holder Second Holder Third Holder I / We instruct the DP to receive each and every credit in my / our account (If not marked, the default option would be `Yes ) Account Statement Requirement [Automatic Credit] As per SEBI Regulation Daily Weekly Fortnightly Monthly I / We request you to send Electronic Transaction-cum-Holding Statement at the ID: Yes No Yes No Do you wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes ) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No Bank Account Details (Through which transactions will generally be routed) 1 2 Bank Name Branch Name 3 Branch Address 4 MICR Code IFS Code 5 Account Number Savings / Current / NRI / Others (Please submit a certificate from the banker/a cancelled cheque leaf/copy of pass book or statement containing name of the constituent to prove the account.) SMS Alert Facility Refer to Terms & Conditions given as Annexure Easi MOBILE No. +91 [(Mandatory, if you are giving Power of Attorney ( POA)] (if POA is not granted & you do not wish to avail of this facility, cancel this option). To register for easi, please visit our website Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online. -5-

8 I/We have read the terms & conditions DP-BO agreement and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action. Name First / Sole Holder or Guardian (in case of Minor) Second Holder Third Holder Signature (Signatures should be preferably in black ink) Name* *In case of Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, should be mentioned above. FOR OFFICE USE ONLY Entered in BO Released in CDAS Authorised by Name Signature ENCLOSURES 1. Identity : PAN Card 2. Address : 3. Bank : 4. Others : Passport Banker's Certificate ( Please specify) Driving Licence Voter ID Ration Card Pass Book Latest Statement Cheque Name & Designation of Employee Employee Code Signature -6-

9 ANNEXURE 4.1 NOMINATION FORM I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that [Strike out what is not applicable.] [Signatures of all account holders should be obtained on this form]: I/We do not wish to nominate any one for this trading/demat account. I/We nominate the following person who is entitled to receive security balances lying in my / our account, particulars whereof are given below, in the event of the death of the sole holder or the death of all the Joint holders. BO Account Details DP ID Client ID Please affix Recent Passport Size Photograph of the Nominee and sign across Trading Code Name of the Sole / First Holder Name of the Second Holder Name of the Third Holder Nominee Details Name Address (Including City, State and Country) Telephone No. ID Relationship with BO Date of Birth (ddmmyyyy) (If any) (If nominee is a minor) As the nominee is a minor as on date I/We appoint following person to act as guardian : Name Relationship Address (Including City, State and Country) Pin Code Phone To receive the securities in this account on behalf of the nominee in the event of the death of the Sole Holder / Joint Holders. This nomination shall supersede any prior nomination made by me/us and also any testamentary document executed by me/us. Place : Date : Name Specimen Signature Mr./Ms. Mr./Ms. (First Name) (Middle name) (Last Name) PAN Pin Code (First Name) (Middle name) (Last Name) Age First / Sole Holder Second Holder Third Holder Note : Two witnesses shall attest signature(s) / Thumb impression(s). Details of the Witness First Witness Name of the Witness Second Witness Address of Witness Signature of Witness x x Nomination accepted and registered vide Registration No. dated For and on behalf of UAE Exchange & Finance Ltd. -7- Authorised signatory

10 ANNEXURE 4.2 AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE DEPOSITORY PARTICIPANT This Agreement is made and entered into at this day of 20 between UAE Exchange & Finance Ltd. having its Regd.Office at No.63, Artillery Road, Ulsoor, Bangalore hereinafter called "the Participant" of the One Part; AND Mr./Ms., having his/her residence/its office/ registered office at., hereinafter called the "Beneficial Owner" of the Other Part. WHEREAS the Beneficial Owner is desirous of opening a beneficial owner's account with the Participant and the Participant has agreed to open an account in the name of the Beneficial Owner and render services to the Beneficial Owner as a participant, on the terms and conditions recorded hereinbelow: NOW THIS AGREEMENT WITNESSETH AND IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS: General Clause 1. The parties hereto agree to abide by the provisions of the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996, Bye Laws and Operating Instructions issued by CDSL from time to time in the same manner and to the same extent as if the same were set out herein and formed part of this Agreement. Fees, Charges and deposits 2. The Participant shall be entitled to change or revise the fees, charges or deposits from time to time provided however that no increase therein shall be effected by the Participant unless the Participant shall have given at least one month's notice in writing to the Beneficial Owner in that behalf. In case the Beneficial Owner committing a default in the payment of any such amount payable to the Participant on their respective due dates or within fifteen days of the same being demanded (where no such due date is specified), the Participant shall be entitled to charge interest on the amount remaining outstanding or unpaid not exceeding 18% per annum or part thereof. On such continued default, the Participant after giving two days notice to the Beneficial Owner shall have a right to stop processing of instructions of Beneficial Owners till such time he makes the payment along with interest if any. Statement of Account 3.1 The Participant shall furnish to the Beneficial Owner a statement of his/its account at the end of every month if there has been even a single entry or transaction during that month, and in any event once at the end of each quarter. 1 [The statement of accounts to be provided to the Beneficial Owner under this Agreement shall be in the form specified in Operating Instructions or as communicated by CDSL from time to time.] The Participant shall furnish such statements at such shorter periods as may be required by the Beneficial Owner on payment of such charges by the Beneficial Owner as may be specified by the Participant. 2 [3.2 It is agreed that if a Participant is providing the services of issuing the statement of accounts in an electronic mode and if the Beneficial Owner is desirous of availing such services from the Participant, then the Participant will furnish to the Beneficial Owner the statement of accounts under its digital signature, as governed under the Information Technology Act, Provided however that in the event of the Beneficial Owner requiring a physical copy of the statement of accounts, despite receiving the same in the electronic mode, then irrespective of having forwarded the same via electronic mode, the Participant shall be obliged to provide a physical copy thereof to the BO. 3.3 It is agreed and understood between the parties that if the Participant does not have the facility of providing the statement of account in the electronic mode, then the Participant shall be obliged to forward the statement of account only in physical form.] Beneficial Owner shall intimate change of particulars 4. The Participant shall not be liable or responsible for any loss that may be caused to the Beneficial Owner by reason of his/its failure to intimate change in the particulars furnished to the Participant from time to time, unless notified by the Beneficial Owner.3[Depository] not liable for claims against Beneficial Owner 5. CDSL shall not be liable to the Beneficial Owner in any manner towards losses, liabilities and/ or expenses arising from the claims of third parties or for any fees, charges, taxes, duties, levies or penalties levied, imposed or demanded by any Central, State, statutory or revenue authority in respect of securities credited (First/Second/Third Holder) Signature of the Beneficial Owner : -8- For and on behalf of UAE Exchange & Finance Ltd. Authorised Signatory

11 Authorised Representative 6. Where the Beneficial Owner is a body corporate or a legal entity, it shall, simultaneously with the execution of the Agreement furnish to the Participant, a list of officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change in such list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant. Closure of Account 7. The Beneficial Owner, may, at any time terminate this Agreement by calling upon the Participant to close his/its account with the Participant in the manner and on the terms and conditions set out in the Bye Laws and the procedure laid down in the Operating Instructions. In the event of termination of this Agreement the Beneficial Owner shall either get the securities transferred to some other account or get the same rematerialised. Stamp Duty 8. Any stamp duty (including interest or penalty levied thereon) payable on the Agreement and/or on any deed, document or writing executed in pursuance hereof between the parties hereto shall be borne and paid by the Beneficial Owner. Force Majeure 9. Notwithstanding anything contained herein or in the Bye Laws, neither party hereto shall be liable to indemnify or compensate the other for any breach, non-performance or delay in performance of any obligations under the Agreement or for any harm, loss, damage or injury caused to the other due to causes reasonably beyond its control including but not limited to tide, storm, cyclone, flood, lightning, earthquake, fire, blast, explosion or any other act of God, war, rebellion, revolution, insurrection, embargo or sanction, blockade, riot, civil commotion, labour action or unrest including strike, lock-out or boycott, interruption or failure of any utility service, enemy action, criminal conspiracy, act of terrorism or vandalism, sabotage, or intrusion, or any other irresistible force or compulsion. Service of Notice 10. Any notice or communication required to be given under this agreement shall be in writing, and shall be legally effective only when it is delivered to the addressee at the last known address in the manner prescribed in the operating instructions. Arbitration 11. The parties hereto shall, in respect of all disputes and differences that may arise between them, abide by the provisions relating to arbitration and conciliation specified under the Bye Laws. Jurisdiction 12. The parties hereto agree to submit to the exclusive jurisdiction of the courts in Mumbai. Governing Law 13. The Agreement shall be governed by and construed in accordance with the laws in force in India. All be governed by and construed in accordance with the laws in force in India. IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/ seals to this Agreement in duplicate on the day, month, year and place first hereinabove mentioned. Signed and delivered by For and on behalf of UAE Exchange & Finance Ltd. Authorised Signatory Name of the Signatory: Signed and delivered by Name : Address : (Signature of Witness) First holder (For and on behalf of BO) Second holder Third holder Name : Address : (Signature of Witness) -9-

12 ANNEXURE 4.3 TERMS AND CONDITIONS-CUM-REGISTRATION / MODIFICATION FORM FOR RECEIVING SMS ALERTS FROM CDSL [SMS ALERTS WILL BE SENT BY CDSL TO BOS FOR ALL DEBITS AND FOR ALL CREDITS AS WELL] Definitions: In these Terms and Conditions the terms shall have following meaning unless indicated otherwise: 1. "Depository" means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai and all its branch offices and includes its successors and assigns. 2. DP means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors. 3. BO means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be opened with a depository as specified by the depository from time to time. 4. SMS means Short Messaging Service 5. Alerts means a customized SMS sent to the BO over the said mobile phone number. 6. Service Provider means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for providing the SMS alerts to the BO. 7. Service means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions. Availability: 1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be available to those accountholders who have provided their mobile numbers to the depository through their DP. The services may be discontinued for a specific period / indefinite period, with or without issuing any prior notice for the purpose of security reasons or system maintenance or for such other reasons as may be warranted. The depository may also discontinue the service at any time without giving prior notice for any reason whatsoever. 2. The service is currently available to the BOs who are residing in India. 3. The alerts will be provided to the BOs only if they remain within the range of the service provider s service area or within the range forming part of the roaming network of the service provider. 4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as submitted at the time of registration / modification. 5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the BO wants to receive the alerts from the depository. In case of change in mobile number not intimated to the depository, the SMS alerts will continue to be sent to the last registered mobile phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobile number. Receiving Alerts: 1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such number replaced and informed by the BO from time to time. Upon such registration / change, the depository shall make every effort to update the change in mobile number within a reasonable period of time. The depository shall not be responsible for any event of delay or loss of message in this regard. 2. The BO acknowledges that the alerts will be received only if the mobile phone is in ON and in a mode to receive the SMS. If the mobile phone is in Off mode i.e. unable to receive the alerts then the BO may not get / get after delay any alerts sent during such period. 3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on many factors including the infrastructure, connectivity of the service provider. The depository shall not be responsible for any non-delivery, delayed delivery or distortion of the alert in any way whatsoever. 4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptible to error, omission and/ or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the depository and/ or the DP immediately in writing and the depository will make best possible efforts to rectify the error as early as possible. The BO shall not hold the depository liable for any loss, damages, etc. that may be incurred/ suffered by the BO on account of opting to avail SMS alerts facility. 5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the depository may consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, address and mobile number for marketing offers between CDSL and any other entity. 6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. The BO may send an to CDSL at complaints@cdslindia.com. The BO is advised not to inform the service provider about any such unauthorized debit to/transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository. 7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO and the depository shall not be under any obligation to confirm the authenticity of the person(s) receiving the alert. -10-

13 8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner whatsoever. 9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BO should immediately inform the DP in writing. Fees: Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO. Disclaimer: The depository shall make reasonable efforts to ensure that the BO s personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use/ misuse of such information by any third person. Liability and Indemnity: The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorized access to the information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO. Amendments: The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shall be binding on the BOs who are already registered as user of this service. Governing Law and Jurisdiction: Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai. I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the terms and conditions mentioned below. I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobile number. I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time. I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to take up the matter with their DP. I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the depository for providing the service. I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable) BO ID (Please write your 8 digit DPID) Sole / First Holder s Name (Please write your 8 digit Client ID) : Second Holder's Name : Third Holder's Name Mobile Number on which Messages are to be sent : +91 (Please write only the mobile number without prefixing country code or zero) The mobile number is registered in the name of: ID: Signatures: (Please write only ONE valid ID on which communication, if any, is to be sent) Sole / First Holder Second holder Third Holder Place: Date: -11-

14 EASI NO OBJECTION CERTIFICATE To UAE Exchange & Finance Ltd. (DP ID : ) Dear Sir / Madam, Sub : Subscription to CDSLs Internet based service easi (electronic access to securities information) I/We are registered for CDSL s Internet based services easi. As easi provides a facility to view print download account statement and transaction statement details, I/ We opt not to receive the transaction statement henceforth in physical form. I/ We are aware that you shall send us a physical statement of account at least once a quarter. However, if account statement/transaction statement is required by me/us in physical form at such intervals as specified by me, I / We agree to make payment of the necessary fees / charges, if any, as may be specified by you from time to time. Thanking You Name Signature (In black ink only) Date First / Sole Holder Second Holder Third Holder FEE STRUCTURE FOR DEPOSITORY SERVICES / TRADING ACCOUNT Account Opening Charges Dematerialization Charges Custody Charges Transaction Charges - DP : NIL : NIL : NIL : Rs. 15/- per transaction Market & Off Market Trades Debit (Sales) - DP : Rs. 15/- per transaction Credit (Purchase) - DP : Nil Pledge Charges Pledge creation : Rs.50/- per transaction Pledge closure/invocation : Rs. 100/- per transaction Annual Maintenance Charges Resident Accounts : Rs 100/- per quarter NRI Clients : Rs 225/- per quarter Corporate Clients : Rs 500/- per quarter Rematerialisation : Rs.10/-per certificate (Payable upfront annually by default or 4 quarterly installments on request) 1. Stamp Charges are payable wherever required 2. Service Tax, other Government levies and folio charges at prevailing rates 3. Brokerage Intraday upto 0.08%, Delivery upto 0.75%, Minimum per share = upto 5paise, Minimum per Contract Note = Rs.10/-(subject to change with volume/ scheme opted) 4. Stationery / Courier Charges at actual will be charged 5. All Charges are debited / collected upfront by cheque 6. Late Delivery of Slips will be charged Rs 30/- per transaction 7. Pay in Delay Charges upto 0.2% per clearing day Name Signature (In black ink only) First / Sole Holder Second Holder Third Holder -12-

15 (VOLUNTARY DOCUMENT) RUNNING ACCOUNT AUTHORISATION FORM Date I,... is dealing through you as a client in Capital Market/Currency Derivatives Segment and in order to facilitate ease of operations; hereby authorise/request you to maintain my accounts, both funds and securities, with you on a running account basis. Understand that I am liable to pay advance margin as stipulated by you failing which my orders will be rejected. Hereby authorise/request you to retain my funds and securities payout with you, unless and until requested otherwise, and utilize the same towards my margin/future payin obligations at any segment(s) of any exchange(s). Hereby authorise you to intimate me through an sms/ to my registered mobile number/ address, whenever a payout/margin is released or whenever I am to be intimated on trade/bill details, scrip rates, margin calls etc. Understand that I am bound to clear any dues on the respective due dates, and on my failure to do so, you shall be entitled to liquidate any of my positions on any day after the due date, considering the security held and the nature of debit amount, and that I am subject to penalty as per company rules on delay/non fulfillment of my settlement obligations, if any, until the date of clearing or liquidation. Any and all losses and financial charges on account of any such liquidation shall be charged to and borne by me. Hereby authorise you to debit charges payable to Depository Participant for providing depository services and to the parties concerned for any such services rendered in connection with my financial investments. Hereby declare that I indent to place, modify or cancel orders over phone, through or in writing which shall be binding on me and UAE EXCHANGE AND FINANCE LIMITED is authorized to act upon the orders received through any of these modes. Hereby confirm that this authority may be revoked any time by giving an intimation in writing. Thanking you, Yours faithfully, Actual Settlement Preference Monthly / Quarterely Client Code Client Name Signature of the Client -13-

16 (VOLUNTARY DOCUMENT) POWER OF ATTORNEY TO ALL TO WHOM THESE PRESENTS SHALL COME I/We Mr. /Ms. /M/s. an individual/a sole proprietary concern/ a body corporate /trust, having his/her/its residence/place of business at SENDS GREETINGS. Whereas I/We hold a beneficiary account no with Central Depository Services India Limited, through M/s. UAE EXCHANGE AND FINANCE LIMITED a depository participant bearing SEBI Registration no. IN-DP-CDSL and bearing DP ID (hereinafter referred to as the UAEFL-DP) Whereas I/We am/are an investor engaged in buying and selling of securities, through M/s. UAE EXCHANGE AND FINANCE LIMITED, a member of National Stock Exchange of India Limited (hereinafter referred to as the UAEFL-CM), bearing SEBI registration no. INB and holding Demat accounts with CDSL bearing account no s , , and holding Demat accounts with NSDL bearing account no s. IN , IN (hereinafter referred to as the said accounts of UAEFL-CM) NOW KNOW ALL MEN BY THESE PRESENT WITNESSTH THAT I/WE THE ABOVENAMED DO HEREBY APPOINT UAEFL-CM, a company incorporated under the Companies Act, 1956 having their registered office at No:63, Artillery Road, Ulsoor, Bangalore and administrative office at 2nd floor, Habeeb Tower, M G Road, Cochin as my/our true and lawful attorney(hereinafter referred to as the Attorney) to do, execute and perform the following acts, deeds, matters and things for and on my/our behalf and in my/our name:- 1. To instruct UAEFL-DP to transfer securities held in my aforesaid account to the said accounts of UAEFL- CM towards stock exchange related margin/delivery/settlement obligations arising out of trades executed in any segment of the exchange by me through UAEFL-CM. 2. To instruct UAEFL-DP to pledge securities and/or transfer securities from the aforesaid account to the said accounts of UAEFL-CM for the purpose of margin towards trading in any segment of UAEFL-CM 3. To apply/redeem various products like mutual funds, public issues (shares as well as debentures),rights, offer of shares, tendering shares in open offers etc.pursuant to my instruction in writing/over . Also my attorney should return the securities that may have been received by it erroneously or those securities that it was not entitled to receive from me. I authorize the UAEFL-CM to send consolidated For and on behalf of UAE Exchange & Finance Ltd. (First/Second/Third Holder) Signature of the Beneficial Owner : Authorised Signatory -14-

17 summary of my scrip wise buy and sell positions taken with average rates to me by way of SMS/ on a daily basis, not withstanding any other document to be disseminated as specified by SEBI from time to time. And I/We the executants, do hereby specifically affirm that the acts, deed and things lawfully done or got done by my attorney by virtue of this power of attorney, in respect of the above said services, construed as acts, deeds and things done by my me/us. I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until all dues payable by me /us to UAEFL-CM are satisfactorily settled. This Power of Attorney is revocable at any time without giving notice. However a written request by the holders of the aforesaid account is necessary to cancel this Power of Attorney. In witness whereof I/We have executed this Power of Attorney on the day, date and year herein below mentioned. Dated at this day of 20 In case of an Individual : Signature (In black ink only) First / Sole Holder Second Holder Third Holder Name Details of the Witness First Witness Second Witness Signature of Witness x x Name of the Witness In case if Client is a Company : The Common Seal has been affixed hereunto in accordance to the Articles of Association and in pursuance to the resolution of the Board of Directors dated In the presence of : 1) 2) the Director/(s) and/or the Authorized Signatories, who have in token thereto subscribed their signature thereto We accept to act as the Attorney for Mr / Ms / M/s.. For and on behalf of UAE Exchange & Finance Limited, (the Attorney) Authorised Signatory -15-

18 CHECKLIST (TO BE FILLED UP BY THE BRANCH STAFF) The form will not be accepted if the checklist is incomplete. 1 Copy of PAN Card (Mandatory) Self Attested Original Verified 2 Proof of Address (Any of the following. The Copy of the Page with Photo and Address) Valid Passport Valid Driving License Voters ID Ration Card Banker's Certificate Bank Passbook Latest Bank Statement with seal of the Bank along with cancelled cheque Insurance Policy Latest Electricity Bill (not older than two month) Latest BSNL Landline Bill (not older than two month) Self Attested Original Verified Remarks: 3 Proof of Bank Details (any of the following) Name Printed Cancelled Cheque Latest Bank Statement with seal of the Bank Bank Passbook Self Attested Original Verified Remarks: 4 One Passport size photograph pasted and signed across (of both BO and Nominee) 5 Total number of Signatures to be provided in the application: 22 signatures Copy of the Additional Documents to be submitted by NRIs 6 PIS Details 7 Copy of passport with VISA page 8 Indian & Foreign address of client along with the proof Modification(s) Subsequent to Trading Account Opening Sl. No. Date Particulars Approved by

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20 Member : National Stock Exchange of India Ltd., MCX Stock Exchange Ltd. & CDSL SEBI Regn No : NSE - INB / INE , MCX-SX - INE SEBI Regn No (CDSL) : IN-DP-CDSL Registered Office: 63, Artillery Road, Ulsoor, Bangalore Administrative Office: Second Floor, Habeeb Tower, M G Road, Kochi Tel : , , Fax : Visit us at :