N T U R A. Client Registration Form - INDIVIDUAL. (Trading + Demat) Name Of Client. Client Code. Client ID. Branch

Transcription

1 V N T U R A V E N T U R A S E C U R I T I E S L T D. Name Of Client Client Code Client ID Branch Client Registration Form - INDIVIDUAL (Trading + Demat)

2 S. No. Name of the Document ACCOUNT OPENING KIT - INDIVIDUAL INDEX Brief Significance of the Document PART - A Part Page No From To MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI / EXCHANGES / DEPOSITORY 1 Account Opening Form A. KYC form - Document captures the basic information about the constituent and an instruction/check list. A 1 6 B. Document captures the additional information about the constituent relevant to trading and demat account and an A 7 10 instruction/check list. 2 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 B 1 6 internet/wireless technology based trading). 3 Risk Disclosure Document Document detailing risks associated with dealing in the (RDD) securities market. B Guidance Note Document detailing do s and don ts for trading on exchange, for the education of the investors. B Policies and Procedures Document describing significant policies and procedures of the stock broker. B Tariff Schedule Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s). A Acknowledgement letter Acknowledgement indicating receipt of documents by client. A DP Agreement and NSDL DP Client Agreement and charges for Depository Schedule of Charges Services / Demat charges A VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER / DEPOSITORY 9 Letter of Appointment This document allows the client to give authority to another person for placing / giving / executing orders on his / her behalf. A Authorization for running Letter of authority / request to Ventura Securities Limited account / request letter A Rights and Obligations Additional clauses forming part and parcel of of mandatory Rights and Obligations. B Intimation of Money This Documents is to make the client aware of Anti Money B Laundering 13 Stamp Paper & Power of Attorney Laundering (AML) provisions. DP stamp paper for client agreement and stamped power of attorney Name of Stock Broker/ Trading Member VENTURA SECURITIES LIMITED SEBI Regn. No. NSE INB/INF/INE ) Member Code 7604 SEBI Regn. No. BSE INB/INF ) Member Code 307/T307 SEBI Regn. No. OTCEI INB ) Member Code 2088 SEBI Regn. No. NSDL IN-DP-NSDL DP ID - IN Clearing Member-NSE Derivative SEBI Registration INF Registered Office E-Dhannur, 15, Sir P.M. Road, Fort, Mumbai Tel./Fax: Website: Clearing Member Name (Currency IL&FS Securities Services Ltd. Derivative Segment) SEBI Registration No. INF (NSE)/ INF (BSE)/INE (NSE Currency) Address IL&FS Financial Centre, Bandra Kurla Complex, Bandra (E), Mumbai Tel. No: Fax : Correspondence office address A-1, Building No.2, Kailash Industrial Complex, Behind Godrej Residential Colony, Parksite, Off LBS Road, Vikhroli (W), Mumbai Phone No Fax : Website : Compliance officer Name Mr. D. P. Singh Tel. No id: compliance@ventura1.com CEO Name Mr. Hemant Majethia Tel. No id: ceo@ventura1.com For any grievance/dispute please contact us at the above address or complaints@ventura1.com and Tel No In case not satisfied with the response, please contact the Investor Service Cell of Bombay Stock Exchange Limited at is@bseindia.com and Tel. No and/or Investor Service Cell of National Stock Exchange of India Limited at ignse@nseindia.co.in and Tel. No

3 A. IMPORTANT POINTS: INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/ others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/ document with applicant s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. C. Proof of Address (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook -- Not more than 3 months old. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/ Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority. 1

4 6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members. 7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50, 000/- p.a. 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents. F. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate Copy of demat account holding statement. Any other relevant documents substantiating ownership of assets. Bank account statement for last 6 months Self declaration with relevant supporting documents. *In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. G. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code and IFSC Code of the bank should be submitted. H. Demat master or recent holding statement issued by DP bearing name of the client. I. For individuals: a. Stock broker has an option of doing in-person verification through web camera at the branch office of the stock broker/sub-broker s office. b. In case of non-resident clients, employees at the stock broker s local office, overseas can do in-person verification. Further, considering the infeasibility of carrying out In-person verification of the nonresident clients by the stock broker s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted. 2

5 MANDATORY DC KNOW YOUR CLIENT (KYC) APPLICATION FORM Please fill this form in English and in Block Letters A. IDENTITY DETAILS Name of the Applicant First Name Middle Name Last Name Father s / Spouse Name First Name Middle Name Last Name 1 st holder Please affix your recent passport size photograph and sign across it 1 I 23 Gender : Male Female Marital Status : Married Single Date of Birth D D M M Y Y Y Y Nationality Status: Resident Individual Non Resident Foreign National PAN Specify the proof of identity submitted : B. ADDRESS DETAILS Correspondence Address : Unique ID No. /Aadhaar Permanent Address : If different from Correspondence or overseas address mandatory for Non-Resident Applicant) City PIN City PIN State Country State Country Specify the proof submitted for Correspondence Address Specify the proof submitted for Permanent Address C. CONTACT DETAILS Tel. Resi. Tel. Off. Fax Mobile D. OTHER DETAILS Gross Annual Income Details (please specify): Income Range per annum: (Rs. in lacs) Below 1 1 to 5 5 to to 25 Above 25 OR Net-worth as on date Rs. (Net worth should not be older than 1 year) Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Student Professional Agriculturist Retired Housewife Others Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Any other information : DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 aware that I may be held liable for it. 2 I 23 Signature of the Applicant Date D D M M Y Y Y Y FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received A Date (Signature of the Authorised Signatory) 1 Seal/Stamp of the intermediary

6 Unique Client Code (UCC) allotted to the Client: FOR OFFICE USE ONLY Name of the intermediary VENTURA SECURITIES LIMITED and intermediary ID P0501 Name / Details of Branch / Service Center Documents verified with Originals Client Interviewed by In-Person Verification done by Name of the Person Employee Code, if any Date Place Signature We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. We have given/sent him a copy of all the KYC documents. We undertake that any change in the Policy and Procedures, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. We also undertake that any change in the Rights and Obligations and RDD would be made available on our website, if any, for the information of the clients. A (Signature of the Authorised Signatory) Date Seal/Stamp of Ventura Securities Limited 2

7 MANDATORY KNOW YOUR CLIENT (KYC) APPLICATION FORM Please fill this form in English and in Block Letters A. IDENTITY DETAILS Name of the Applicant First Name Middle Name Last Name Father s / Spouse Name First Name Middle Name Last Name 2 nd holder Please affix your recent passport size photograph and sign across it 1 I 7 Gender : Male Female Marital Status : Married Single Date of Birth D D M M Y Y Y Y Nationality Status: Resident Individual Non Resident Foreign National PAN Specify the proof of identity submitted : B. ADDRESS DETAILS Correspondence Address : Unique ID No. /Aadhaar Permanent Address : If different from Correspondence or overseas address mandatory for Non-Resident Applicant) City PIN City PIN State Country State Country Specify the proof submitted for Correspondence Address Specify the proof submitted for Permanent Address C. CONTACT DETAILS Tel. Resi. Tel. Off. Fax Mobile D. OTHER DETAILS Gross Annual Income Details (please specify): Income Range per annum: (Rs. in lacs) Below 1 1 to 5 5 to to 25 Above 25 OR Net-worth as on date Rs. (Net worth should not be older than 1 year) Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Student Professional Agriculturist Retired Housewife Others Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Any other information : DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 aware that I may be held liable for it. 2 I 7 Signature of the Applicant Date D D M M Y Y Y Y FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received A Date (Signature of the Authorised Signatory) 3 Seal/Stamp of the intermediary

8 Unique Client Code (UCC) allotted to the Client: FOR OFFICE USE ONLY Name of the intermediary VENTURA SECURITIES LIMITED and intermediary ID P0501 Name / Details of Branch / Service Center Documents verified with Originals Client Interviewed by In-Person Verification done by Name of the Person Employee Code, if any Date Place Signature We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. We have given/sent him a copy of all the KYC documents. We undertake that any change in the Policy and Procedures, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. We also undertake that any change in the Rights and Obligations and RDD would be made available on our website, if any, for the information of the clients. A (Signature of the Authorised Signatory) Date Seal/Stamp of Ventura Securities Limited 4

9 MANDATORY KNOW YOUR CLIENT (KYC) APPLICATION FORM Please fill this form in English and in Block Letters A. IDENTITY DETAILS Name of the Applicant First Name Middle Name Last Name Father s / Spouse Name First Name Middle Name Last Name 3 rd holder Please affix your recent passport size photograph and sign across it 1 I 7 Gender : Male Female Marital Status : Married Single Date of Birth D D M M Y Y Y Y Nationality Status: Resident Individual Non Resident Foreign National PAN Specify the proof of identity submitted : B. ADDRESS DETAILS Correspondence Address : Unique ID No. /Aadhaar Permanent Address : If different from Correspondence or overseas address mandatory for Non-Resident Applicant) City PIN City PIN State Country State Country Specify the proof submitted for Correspondence Address Specify the proof submitted for Permanent Address C. CONTACT DETAILS Tel. Resi. Tel. Off. Fax Mobile D. OTHER DETAILS Gross Annual Income Details (please specify): Income Range per annum: (Rs. in lacs) Below 1 1 to 5 5 to to 25 Above 25 OR Net-worth as on date Rs. (Net worth should not be older than 1 year) Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Student Professional Agriculturist Retired Housewife Others Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Any other information : DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 aware that I may be held liable for it. 2 I 7 Signature of the Applicant Date D D M M Y Y Y Y FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received A Date (Signature of the Authorised Signatory) 5 Seal/Stamp of the intermediary

10 Unique Client Code (UCC) allotted to the Client: FOR OFFICE USE ONLY Name of the intermediary VENTURA SECURITIES LIMITED and intermediary ID P0501 Name / Details of Branch / Service Center Documents verified with Originals Client Interviewed by In-Person Verification done by Name of the Person Employee Code, if any Date Place Signature We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. We have given/sent him a copy of all the KYC documents. We undertake that any change in the Policy and Procedures, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. We also undertake that any change in the Rights and Obligations and RDD would be made available on our website, if any, for the information of the clients. A (Signature of the Authorised Signatory) Date Seal/Stamp of Ventura Securities Limited 6

11 PART II - TRADING ACCOUNT RELATED DETAILS E. BANK ACCOUNT(S) DETAILS Bank Name Branch Address City/Town/Pincode Bank Account No. Account Type MICR No. IFSC Code Savings/Current/Others-in case of NRE/NRO Savings/Current/Others - in case of NRE/NRO Please provide cancelled cheque leaf for MICR & IFSC Code F. DEPOSITORY ACCOUNT(S) DETAILS DP Name DP ID Client ID Depository NSDL / CDSL NSDL / CDSL DP Address G. TRADING PREFERENCE *Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. Exchange Segment NSE BSE Cash 3 I 23 F & O 5 I 23 4 I 23 6 I 23 Currency Derivatives 7 I 23 N. A. Mutual Fund 8 I 23 9 I Debt Market I 23 # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. H. 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: 11 I 23 I. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-broker s Name: Registered office NSE SEBI Regn. No.: address: BSE SEBI Regn. No.: Tel.: Fax: Website : Whether dealing with any other stock broker/sub-broker (in case dealing with multiple stock brokers/sub-brokers, provide details) Name of stock broker: Name of Sub-Broker, if any: Client Code: Exchange: Details of disputes/dues pending from/to such stock broker/sub- broker: 12 I 23 Signature of the Applicant 7

12 J. ADDITIONAL DETAILS Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify): Specify your id, if applicable: Primary Id Electronic Contract Note Physical Secondary Id Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Number of years of Investment/Trading Experience: Any other information: Yes No K. INTRODUCER DETAILS (optional) Name of the Introducer Status of the Introducer: Address and Tel No of the Introducer Sub-broker Remisier Authorized Person Existing Client Others, please specify Introducer s Signature I DECLARATION 1. I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I 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 are aware that I may be held liable for it. 2. I 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 further confirm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document. I do hereby agree to be bound by such provisions as outlined in these documents. I have also been informed that the standard set of documents has been displayed for Information on stock broker s designated website, if any. Place 13 I 23 Date Signature of the Applicant 8

13 Branch Code Scheme Code Trading Code DC PART II - DEMAT ACCOUNT OPENING FORM (FOR INDIVIDUALS) ANNEXURE J DP ID - IN Date : Client Id (To be filled by Participant) I / We request you to open a depository account in my/our name as per the following details : (Please fill all the details in CAPITAL LETTERS only) Details of Account holder (s): Sole / First Holder Second Holder Third Holder NAME PAN SMS Alert Facility Yes No For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name & PAN of the HUF, Association of persons (AOP), Partnership Firm, Unregistered Trust etc., should be mentioned below: Name Type of Account Ordinary Resident NRI-Repatriable Margin Foreign National Others (please specify) NRI-Non-Repatriable Promoter Qualified Foreign Investor In Case of NRIs / Foreign Nationals PAN RBI Approval Reference No. RBI Approval Date D D M M Y Y Y Y Standing Instructions I/We authorise you to receive credits automatically into my/our account Yes No Account to be operated through Power of Attorney (PoA) Yes No Guardian Details (where sole holder is a minor) (For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian) Guardian Name Relationship of Guardian with minor PAN DECLARATION The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting. I am / we are aware that I/we may be held liable for it. In case non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. Sole / First Holder / Guardian (in case sole holder is minor) (Mr./Ms.) Name(s) of holder(s) 14 I 23 Signature(s) of holder Second Holder (Mr./Ms.) 3 I 7 Third Holder (Mr./Ms.) 3 I 7 9

14 NOMINATION OPTION FOR TRADING AND DEMAT I/We wish to make a nomination. (As per details given below) I/We do not wish to make a nomination. (Strike off the nomination details given below) NOMINATION DETAILS I/We wish to make a nomination and do hereby nominate the following person in whom all rights and / or amount payable in respect of securities held in the Depository by me / us in the said beneficiary owner account shall vest in the event of my / our death. Name of the Nominee (Mr./Ms/) Relationship with the Applicant (if any) Address of Nominee Contact Details of nominee City/town/village State Tel. (Off.) Fax No. ID PIN Code Country Tel. (Res.) Mobile No. Photograph of nominee (Signature of nominee across photograph) Signature of nominee To be filled-up only if nominee is a minor: Date of Birth Name of the Guardian (Mr./Ms/) Relationship of Guardian with nominee Photograph of Guardian (for minor nominee) (Signature of Guardian across photograph) Address of Guardian Contact Details of Guardian Signature of Guardian City/town/village State Tel. (Off.) Fax No. ID PIN Code Country Tel. (Res.) Mobile No. Signature of two Witnesses for nomination Name of witness Address Signature of witness with date I 23 4 I 7 4 I 7 Signature of the 1 st holder Signature of the 2 nd holder Signature of the 3 rd holder 10

15 IMPORTANT RULES CUM BROKERAGE / CHARGES (TARIFF SCHEDULE) Account Opening documentation charges (Client Registration Fees) is Rs. 450/-which includes Rs. 300/-towards Demat documentation and Rs. 150/-towards Trading account. We levy a Software Access Charge; this charge is credited back to the client account to the extent of the brokerage generated during the opted period. Please find on page 3, the various software access charge plans that we offer. Kindly select the access charge plan chosen by you. BROKERAGE ON ACCOUNT SETTLEMENT OTHER THAN QUARTERLY BASIS: -Per share 2.5% or 10 paisa which ever is higher on each and every leg of transactions on securities listed in cash segment and on index, stock and currency futures. 2.5% or Rs.100/- per lot which ever is higher on options contract listed in futures and options and currency derivative segments. Scrips listed on the BSE and NSE in the cash market and which are available for trading in POINTER are categorized in A-B-C-D groups. Margin applicable is based on the group as under: Group A B C D Exposure (No. of times) The scrip list is also available for download through our website and the link is ventura1.com/ download/scrips.xls we reserve our right to revise the scrip list without any prior intimation. For trading on the Derivatives Market, the applicable margin is defined as per the NSE SPAN margin file. We reserve the right to levy additional margin. Payment gateway tie-ups are presently available with various banks, for transfer of funds online (pay-in and pay-outs). Your designated bank account will be mapped for pay-in and pay-out. Cheque/Demand Drafts payments are not entertained in the online system of Trading. Payments towards financial obligations in cash segment are required to be made as per the settlement schedule in terms of Rules, Regulations, Bye-laws, circulars of the Stock Exchanges as well as Risk Disclosure document to avoid deactivation of POINTER terminal. However, it is always in your interest that the fund towards your pay-in obligation is transferred to our account on T+1 day. Any delay in fulfillment of financial obligation shall attract levy of delayed payment charges as per policy and procedure as prevalent from time to time. In case of F&O; the shortfall occurred in your account during the day must be paid immediately on demand or before the start of the market on the next trading day, whichever is earlier. The effect of the funds transferred to Ventura from the client's bank account is immediate, and thereby respects in the client's margin. This enables the client to trade immediately. In case this does not happen due to any connectivity issue, the client needs to contact the branch immediately. In case of a demand for a pay-out before 5 p.m., the funds shall be credited to the client's bank account on the next working day, subject to availability of clear credit balance in the account of the client. The client's bank account will be credited towards funds payout on receipt of payout demand from the client. In the event the client buys shares on T day and sells before receiving delivery in Demat A/c, commonly known in the market parlance as BTST, there is a possibility of auction as the actual delivery of shares may not be received. The costs associated with the auction will be to the client's account. Minimum Brokerage: Brokerage will be charged as per the Plan selected by the client subject to a minimum brokerage of 2 paise per share for delivery based transactions and 1 paise per share for Intra Day. Other Charges includes:- 1. Service Tax 2. Stamp Duty 3. Exchange transaction charges 4. SEBI turnover fees 5. Clearing Member charges 6. Securities Transaction Tax (STT) 7. Expiry charges on derivative contracts 8. Delayed payment charges not exceeding 2.5% per month or part of the month. 9. Cheque return 0.15% of cheque value plus Rs. 137/- towards cheque handling charge 10. Contract Note handling charges of Rs.100/- per segment per day in case client opts for physical contract note or VSL is required to issue physical contract note. 11. Demat charges towards pay-in / pay out of securities / margin from VSL s beneficiary account. 12. Amount paid / payable by VSL on account of any penalties / charges levied / leviable on VSL due to default / breach committed by client. Any other statutory levies not specified in this tariff sheet. 13. Charges for providing research report. 14. Charges for any other services provided / cost incurred by VSL. 15. Any other charges toward customised / specialised services. 16 I 23 Signature of the Applicant 11

16 On expiry of account, to avoid inconvenience the account will automatically be renewed under the same access charge /brokerage plan until further intimation provided by client. If a client's terminal has been deactivated frequently, he would be placed under the category of 100% margin. It is clarified that the AMC for demat account is free for first year only and the same is subject to the Schedule of Charge as agreed upon by the client. I hereby agree to the plan type ticked in the following plan type table. PLEASE TICK ONE ACCESS CHARGES MUTUAL FUND SEGMENT MOBILE MARKETS PLAN TYPES (Quarterly Settlement) MAXIMUM REFUNDABLE AMOUNT PERIOD (Amount Refunded will be to the extent of access charge or brokerage generated; whichever is lower Delivery % BROKERAGE Intraday % (for cash & derivatives) charged one leg only Options year RS.50 PER LOT year RS.50 PER LOT year RS.50 PER LOT year RS.35 PER LOT year RS.35 PER LOT year RS.35 PER LOT months RS.35 PER LOT year RS.35 PER LOT months RS.35 PER LOT year RS.35 PER LOT months RS.35 PER LOT year RS.35 PER LOT year RS.25 PER LOT year RS.21 PER LOT year RS.18 PER LOT Type BROKERAGE ON PURCHASE BROKERAGE ON REDEMPTION Equity Oriented 0.50% of investment amount subject to maximum of Rs. 1,000 Debt Oriented Plans 0.30% of investment amount subject to maximum of Rs. 1,000 Liquid Plans Nil Currency Derivative Rs. 20/- per lot on single leg of transaction. Rs. 50/- per transaction Note : The brokerage in cash and futures segment (except options) is calculated on a per share basis and rounded of to nearest paisa. Rate of the other levies may vary from time to time. You may contact us to know the prevalent rates of the above levies. VSL means Ventura Securities Limited. Any change in the commercial shall be communicated on your id registered with us and the same shall also be available in your client login on our website. The above terms & conditions are subject to change at the sole discretion of Ventura Securities Ltd. Name of the Applicant 17 I 23 Date Signature of the Applicant 12

17 MANDATORY ACKNOWLEDGEMENT Date :- Ventura Securities Limited, Registered Office: Dhannur, E, 15, Sir P. M. Road, Fort, Mumbai Dear Sir, This has reference to necessary Know Your Client Form containing basic information, additional information and other documents executed by me. I hereby acknowledge receipt of following documents from you:- 1. Documents containing mandatory Rights & Obligations of stock broker, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading). 2. Documents containing voluntary Rights & Obligations of stock broker, sub-broker and client forming part of documents as mentioned in clause 1 above. 3. Risk Disclosure Documents. 4. Document detailing do s and don ts for trading on exchange, for the education of the investors. 5. Policy and Procedures document. I state that I have read and understood all above documents and these documents are binding upon me. Thanking you, Signature of the Applicant : 18 I 23 Name of the Applicant : DP ID IN ACKNOWLEDGEMENT Administrative Off.: A/1, Bldg. No. 2, Kailash Ind. Complex, Behind Godrej Residential Colony, Parksite, Off LBS Road, Vikhroli (w), Mumbai Tel.: / Fax: ID: dpcare@ventura1.com Received the application from Mr/Ms as the sole/first holder alongwith as the second and third holders respectively for opening of a depository account. Please quote the DP Id & Client Id allotted to you in all your future correspondence. and For Ventura Securities Ltd. Date: Authorised Signatory 13

18 VOLUNTARY Date: Ventura Securities Ltd. Mumbai Dear Sir/Madam, Sub.: Authority to place instructions Ref.: My Client Code No. I have opened the client/constituent account with Ventura Securities Limited (herein referred to as "VSL") for trading/dealing in securities on Bombay Stock Exchange Ltd. (BSE) and/or National Stock Exchange of India Limited (NSE) (hereinafter referred to as "the Exchanges"). In this regard, please note that I hereby appoint Mr / Ms PAN: who shall be acting as "Authorised Person" on my behalf for placing/giving/executing orders in my above client account with you. The buying/selling/execution of order or other instruction given on my behalf by the above said Authorised Person shall be binding on me. He/ She can communicate with VSL through telephone, , fax, mobile, Short Messaging Service (SMS), messenger chat or any other mode/means of communication. Please note that contract note, margin statement etc.. shall be sent to me only and fund/ securities will be received paid to/through my designated account with you only. This Authorization remains in force till cancellation of the same by me or by "Authorised Person" whichever is earlier & Intimation of the same in writing to VSL at its registered office address. Thanking you 19 I 23 Client s Signature 14

19 VOLUNTARY Date: Ventura Securities Limited, Registered Office: Dhannur, E 15, Sir P.M Road,Fort, Mumbai Dear Sir, Sub.:- Letter of Authority / Request to Ventura Securities Limited I, the undersigned, have opened the client / constituent account with Ventura Securities Limited (herein referred to as VENTURA ) for trading / dealing in securities on the Bombay Stock Exchange Limited (BSE) and / or National Stock Exchange of India Limited (NSE). In respect of my dealing / account with you, I hereby request / instruct and authorize VENTURA to do the followings:- 1. To accept verbal instructions for placement / modification / cancellation of orders. Further, I expressly agree that once the trade confirmation is sent by you and/or contract note is accepted by me, there shall be no question in relation to execution or non-execution or inappropriate execution of any of my orders for a particular trading day. 2. To maintain a running account instead of settlement of my dues and/or delivery of securities on a bill-to-bill / settlement-to-settlement basis. 3. To retain the securities received by VENTURA on my behalf from Exchange(s) on pay-out or otherwise against my debit balance/ dues/ exposure/ trading limits/ open interest/ various margins or for any other purpose as and when required by VENTURA or as per any regulations of BSE and/ or NSE. Such retaining / holding of securities shall be construed as due compliance of the requirement of exchange(s) and SEBI. Further, VENTURA has the sole discretion and authority (i) to use / Transfer the above securities to the clearing corporation/ clearing member/ exchange(s) for the purpose of early pay-in / margin or for any other purpose; (ii) to dispose/ sell the above securities to meet any monetary / other dues/obligation(s) not fulfilled by me towards VENTURA/ the exchange(s). 4. To hold payout of funds / credit in my account and pay to me only to the extent demanded by me. To use/ adjust the credit balance available from time to time in my account(s) for my exposure/ trading limits/ margin requirements / other dues. 5. However, I prefer to settle the account on following basis:- Quarterly Monthly 6. To debit/credit/ transfer of amounts, either on same Exchange and / or between various segments of the same exchange and / or between the exchanges across various segment and / or depository / demat charges to meet my debit balance or various dues payable to VENTURA / Exchanges. 7. To transfer credit / debit balance from mark to mark to market and/or premium account to margin account and vice versa. 8. All the instructions / requests placed by me on VENTURA website by using login and Password shall be always binding upon me. 9. I hereby agree to receive through telephone calls / SMS on my mobile number / ID as registered by me with VENTURA, the messages / communications relating to transactions, PIN, passwords, stock ideas, real time news pertaining to market, updates on stock prices and any other messages (including products and services) as sent by VENTURA and or its associates from time to time. Further, I reserve my right to withdraw the above instructions at any time. In such event, I undertake to inform you in writing and such communication shall be addressed to the above address. Signature of the Applicant : 20 I 23 Name of the Applicant : 15

20 AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE DEPOSITORY PARTICIPANT. This agreement made and entered into this day of 21 I 23 between 5 I 7 situated at 5 I 7 (hereinafter called the Client ) and VENTURA SECURITIES LTD. Having its Registered office at E-Dhannur, 15, Sir P. M. Road, Fort, Mumbai and Administrative office at A/1, Bldg. No.2, Kailash Ind. Complex, Behind Godrej Residential Colony, Parksite, Off LBS Road, Vikhroli (w), Mumbai and Processing office at New No. 197/ Old No. 88, TTK Road, Alwarpet, Chennai (Hereinafter called the Depository Participant ). Witnesseth WHEREAS the Client has furnished to the Depository Participant the duly filled in application form requesting therein to open an account with the Depository Participant. NOWTHEREFORE in consideration of the Depository Participant having agreed to open an account for the Client, both the parties to the agreement hereby covenant and agree as follows: 1. The Client shall pay such charges to the Depository participant for the purpose of opening and maintaining his account, for earring out the instructions of the Client and for rendering such other services as may be agreed to from time to time between the Depository Participant and the client as set our in securities which have been admitted on the Depository dematerialised in the form and manner laid down under the Bye Laws and Business Rules The Depository Participant further undertakes that it shall not create or permit to subsist any mortgage, charge or Schedule A The Depository Participant shall reserve the right to revise the charges by giving not less than thirty days notices to the client. 2. The client shall have the right to get the other encumbrance over all or any of such securities submitted for dematerialisation except on the instructions of the Client. 3. The Depository Participant hereby undertake that it shall maintain a separate account of its own securities held in dematerialised form with the Depository and shall not commingle the same with the securities held in dematerialised form on behalf of the client. 4. The Depository Participant undertakes that a transfer to and from the accounts of the Client shall 16 be made only on the basis of an order, instruction, direction or mandate duly authorised by the client and that the Depository Participant shall maintain adequate audit trail of such authorization. 5. The Depository Participant agrees that the client may give standing instructions with regard to the crediting of securities in his account and the Depository Participant shall act according to such instructions. 6. The Depository Participant undertakes to provide a transaction statement including statement of accounts, if any to the client at monthly intervals unless the Depository Participant and the Client have agreed for provision of such statements at shorter intervals However, if there is no transaction in the account, then the Depository Participant shall provide such statement to the client atleast once a quarter. 7. The Depository Participant shall have the right to terminate this agreement, for any reasons whatsoever, provided the Depository Participant has given a notice in writing of not less that thirty days to the Client as well as to the Depository Similarly, the Client shall have the right to terminate this agreement and close his account held with the Depository Participant, Provided no charges are payable by him to the Depository Participant In such an event, the client shall specify whether the balances in its account should be transferred to another account of the Client held with another Depository Participant or to rematenalise the security balances held Based on the instruction of the Client, the Depository Participant shall initiate the procedure for transferring such security balances or rematenalise such security balances within a period of thirty days, as per the procedure laid down in the Bye Laws and Business Rules,

21 Provided further, termination of this agreement shall not affect the rights, liabilities and obligations of either party and shall continue to bind the parties to their satisfactory completion. 8. On the failure of the Client to pay the charges as laid out in clause (1) of this agreement within a period of thirty days from the date of demand Depository Participant shall terminate this agreement and close the ascount of the Client by requiring it to specify whether the balances in its account be transferred to the account of the Client held with another Participant or be re materialized in the manner specified in the Bye Laws and Business rules. 9. The Client further agrees that in the event of the Client committing a default in the payment of any of the amounts provided in clause (1) within a period of thirty days from the date of demand, without prejudice to the right of the Depository Participant to close the account of the Client, the Depository Participant may charge not more that 24% pa Or such other rate as may specifies by the Executive Committee from time to time for the period of such default In case the Client has failed to make the payment of any of the amounts as provided in clause (1) of this agreement, the Depository participant shall have the rights to discontinue the Depository services till such time he makes the payment along with the interest, if any, after giving two days notice to the Client. 10. The Depository Participant shall have a right to provide such information related to the client's account as may be requested by the National Securities Depository Limited from time to time. 11. The Client shall have the right to create a pledge of the securities held in the dematerialized form with the Depository Participant only in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules 12. The Depository shall not be liable to the Client in any manner towards losses, liabilities and expenses arising from the claims of third parties and from taxes and other governmental charges in respect of securities credited to the Clients account. 13. The Client may exercise the right to freeze his account maintained with the Depository Participant so as to lock the securities held with the Depository Participant in accordance with the procedures prescribed in the Bye laws and Business Rules. 14. The Client may exercise the right to defreeze his account maintained with the Depository Participant in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules. 15. The Client shall notify the Depository Participant, within seven days, of any change in the details set out in the application form submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time. 16. The Depository Participant undertakes to resolve all legitimate grievance of the Client against the Depository Participant within a period of thirty days. 17. The Depository Participant and the Client shall abide by the arbitration and conciliation procedure prescribed under the Bye-Laws of National Securities Depository Limited and that such procedure shall be applicable to any disputes between the Depository Participants and the Client. 18. The Depository Participant and the Client further agree that all claims, differences and disputes, arising out of or in relation to dealings on the Depository including any transactions made subject to the Bye-Laws or Business Rules of the Depository or with reference to anything incidental there to or in pursuance thereof or relating to their validity, construction, interpretation, fulfillment or the rights, obligations and liabilities of the parties thereof and including any question of whether such dealings, transactions have been entered in to or not, shall be subject to the exclusive jurisdiction of the courts at Mumbai only IN WITNESS WHEREOF the client and the Depository Participant has caused these presents to be executed as of the day and year first above written. Signed and delivered by Client 22 I 23 6 I 7 6 I 7 For VENTURA SECURITIES LTD. AUTHORISED SIGNATORY (For and behalf of the Depository Participant) Witness: Witness: 17

22 Depository Participant ID IN Charges for Depository Services The Investor will have to choose one of the schemes to pay the charges to VSL for the services offered. PARTICULARS Please Select any one scheme SCHEME - A SCHEME - B SCHEME - C SCHEME - D With POA Without POA With POA With POA Bonds & Units (MF) A) Documentation Charges Rs. 300/- Rs. 300/- Rs. 300/-** Rs. 300/-** B) Refundable Deposit (Non Interest bearing) Nil Nil Rs. 3,000/- Rs. 1,500/- C) Account Maintenance Rs. 400/- (Annually)* Rs. 600/- Nil (Life Time) Nil (Life Time) Payable at the time of opening the Account Rs. 300/- Rs. 900/- Rs. 3,000/- Rs. 1,500/- Custody Charges Nil Nil Nil Nil Dematerialisation Charges (Per Request) Rematerialisation Charges (Per Request) Transaction Charges Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- With VSL (Buy) Nil Nil Nil Nil Within VSL (Sell) (Market & Off Market) Rs. 10/- Rs. 25/- Rs. 12/- Rs. 12/- for Bonds & Units (MF) Rs. 25/- for Securities other than Bonds & Units Outside VSL (Buy) Nil Nil Nil Nil Outside VSL (Sell) (Market & Off Market) Rs.50/- or 0.05% of value whichever is higher Rs.50/- or 0.05% of value whichever is higher Rs.50/- or 0.05% of value whichever is higher Rs.50/- or 0.05% of value whichever is higher Pledge creation Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/- Pledge closure Nil Nil Nil Nil Pledge invocation Nil Nil Nil Nil * Under Scheme - A, no AMC is payable for the first year. ** Under Scheme - C & Scheme - D Documentation Charges is levied only in case the beneficiary account is closed within one year. Notes :- 1) Cheque returned charges will be Rs. 250/- per instrument. 2) 24% per annum shall be charged, if the bill is not paid by due date. 3) The above rates are based on the existing NSDL charges and may change from time to time. 4) The scheme once selected can be changed only at the end of financial year. 5) Refundable deposit will be repaid only on closure of account. No adjustment will be made in the interim. 6) Any extra statement would be Rs. 25/- per statement for one page and thereafter, it would be Rs. 2/- per page. 7) Statutory levies as applicable would be charged extra. 23 I 23 7 I 7 7 I 7 Signature :- Sole / First Holder Second Holder Third Holder 18