Trading & Demat Account Opening Form For Individual Sr. No. 0900025026 HARES AS COLLATERAL G ONLINE STOCK TRADING AFTER MARKET ORDERS ONLINE STOCK TRADING TRADING ONLINE STOCK TRADING ONLINE STOCK TRADING ONLINE STOCK TRADING ONLINE STOCK TRADING E STOCK TRADING ONLINE STOCK TRADING OCK TRADING Welcome PORTFOLIO to the ONLINE STOCK TRACKER TRADING ONLINE STOCK TRADING World of Investments RMAX REGULAR STOCK PURCHASE PLAN RMAX ONLINE STOCK TRADING ONLINE STOCK TRADING AFTER MARKET ORDERS ONLINE STOCK TRADING experience the fastest & most secure online trading platform ARGIN INTRADAY SQUARE-OFF CASH-N-COLLATERAL NRML CASH ONLINE STOCK TRADING MAX MULTIPLIER NRML CASH ONLINE STOCK TRADING ONLINE STOCK TRADING ONLINE STOCK TRADING CASH-N-COLLATERAL MARGIN INTRADAY SQUARE-OFF ONLINE STOCK TRADING Client Code is a Reliance Capital company Ver 2.8 / Sep 2012
INDEX S. No. Name of the Document Brief Significance of the Document MANDATORY FORM AS PRESCRIBED BY SEBI & EXCHANGES 1 Account Opening Form A. KYC form - Document captures the basic information about the constituents and an instruction/checklist. (To be filled by customer) B. Document captures the additional information about the constituent relevant to trading account. C. Document captures the additional details for Demat Account along with Terms and conditions receiving SMS alert from CDSL and Demat Agreement - CDSL 2. Tariff sheet Document detailing the demat fee schedule & rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s). VOLUNTARY FORM AS PROVIDED BY THE STOCK BROKER 3. Power of Attorney POA in favour of., facilitates hassle free settlement of (POA) securities transaction, NFO / IPO Application, mutual fund purchase and redemption for and on behalf of the client 4. Authorisation for Running Authorisation letter to, facilitates maintaining of fund Account with the member for every pay-in of funds obligation / margin obligation 5. Declaration for SB/AP Document describes confirmation by client in regard to introduction to Reliance Securities Limited by Sub-broker (SB)/ Authorised Person (AP) 6. NRML Request for availing NRML facility 7. R-MAX Plan Application for subscription to R-Max Plan 8. RSP Plan Application for availing Regular Stock Purchase Plan (RSP Plan) facility 9. Debit Card Request for Debit card facility 10. RGurukool Form RGurukool - Paid Education Program (PEP) Registration Form MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES 1. 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). 2. Risk Disclosure Document detailing risks associated with dealing in the securities market. Document (RDD) 3. Guidance note Document detailing do s and don ts for trading on exchange, for the education of the investors. 4. Policies and Procedures Document describing significant policies and procedures of the stock broker VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 5. General Terms and Condition General terms and conditions governing securities trading and broking services of. 6. T&C for R-MAX Plan Terms & Conditions for R-MAX Plan 7. T&C for RSP Plan Terms & Conditions for RSP Plan B O O K L E T 1 B O O K L E T 2 Page No. 1-7 8-9 10-15 16-17 18-20 21-22 23 24 25 26-28 30 31 1-4 5-7 8 9-12 13-24 25 26-27 Note: Booklet 1 to be filled by client and returned to RSL. Booklet 2 to be read, understood and retained by the client for future reference Trading Member (TM) / Clearing Member (CM) / Trading cum Clearing Member (TCM): SEBI Registration No. and date: Bombay Stock Exchange Limited Equity Segment: INB011234839 - September 9, 2005 Derivatives Segment (TCM): INF011234839 - October 12, 2006 Currency Derivatives Segment (TM): INE011234839 - September 26, 2008 MCX Stock Exchange Limited: Currency Derivatives Segment (TM) INE261234833 - September 30, 2008 Mutual Funds Distribution: AMFI ARN No.29889 National Stock Exchange of India Limited Capital Market Segment: INB231234833 - March 29,2006 Futures & Options Segment (TM): INF231234833 - March 29,2006 Futures & Options Segment (CM): INF231234833 - January 15,2009 Currency Derivatives Segment (TCM): INE231234833 - August 26,2008 Registered & Correspondence office address: 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063. Tel.: (91) (22) 3320 1212 Fax : (91) (22) 3320 1555 Website: www.rsec.co.in Compliance Officer Name: Mr. Suresh Viswanathan Phone No. (91) (22) 3320 1666 email id: compliance.officer@rsec.co.in CEO Name: Vikrant Gugnani Phone no. (91) (22) 3320 1234 email id: ed.reliancesecurities@relianceada.com For any grievance/dispute: Please contact at the above address or email id - customer.support@rsec.co.in / grievance@rsec.co.in and Phone no. (91) (22) 3988 6000. In case not satisfied with the response, please contact the concerned exchange(s) at NSE: ignse@nse.co.in BSE: is@bseindia.com MCX-SX: investorcomplaints@mcx-sx.com Phone no. NSE: 022-26598190 / 1800 22 0051 BSE: 022-2721233/34 MCX-SX: 022 6731 9000
BOOKLET 1 CHECK LIST FOR FILLING KYC FORM (List of documents to be Submitted) - For Individual PAN card Photograph Proof of Identity (Any One) Proof of Address (Any One) Bank Proof Provide for all the Bank Account Mentioned (Any One) Proof of Income (Any One) Acceptable Documents (Self attested copies required) of Account Holder One Colored Front Face Photograph on photographic Paper (Passport Size) 1. Unique identification number (UID) (Aadhaar) 2. Valid Passport (Name, Address & Photo page) 3. Voter ID (front and back) 4. Valid Driving License (Name, Address & Photo page) 5. PAN Card 6. Other 1 (Pls. Specify) 1. Valid Passport (Name, Address & Photo page) 2. Voter ID (front and back) 3. Valid Driving License (Name, Address & Photo page) 4. Unique identification number (UID) (Aadhaar) 5. Bank Statement/Passbook (not more than 3 months old, seal & signature of the bank official) 6. Banker s Certificate on letter head of the Bank (ORIGINAL) 7. Electricity Bill (not more than 3 months old) 8. Resident Landline Tel. Bill (not more than 3 months old) 9. Registered Flat Sale Agreement of Residence 10. Registered Lease/Leave & License Agreement 11. Other* (Pls. Specify) 1. Bank Statement / Bank Passbook with cheque leaf (not more than 3 months old, seal & signature of Bank Official) 2. Banker s Certificate on letter head of the Bank (ORIGINAL) 3. Cancelled Personalized Cheque leaf 1. Copy of ITR Acknowledgement 2. Copy of Annual Accounts 3. In case of salary income - Salary Slip, Copy of Form 16 4. Net-worth certificate 5. Copy of Demat Account Holding Statement }specifying name of the constituent, MICR Code or/and IFSC Code of the bank Please Tick 6. Bank Account Statement for last 6 months reflecting income For NRI :- Proof of Residential Status Proof of foreign Address Proof of the valid Portfolio Investment Scheme (PIS) approval Copy of Passport / Person of Indian Origin (PIO) Card Copy of VISA (wherever applicable) *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 Self declaration by High Court & Supreme Court Judges giving the address in respect of their own account The proof of address in the name of the spouse may be accepted Ration Card Flat Maintenence Bill Insurance Copy Gas Bill 1 [Identity Card or Document with address, issued by Central or State Govt. & its dept., Statutory or Regulatory Authorities, Public sector undertaking, Schedule Commercial Bank, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWA, ICSI, Bar Council etc. to their members] Important Instructions General 1 Trading Account will be in the name of First/Sole holder of Demat and/or Bank A/c only 2 Thumb impression and signatures other than English, Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a special Executive Magistrate 3 Witness should be a person other than co-holder / joint holder 4 The applicant should authenticate any corrections/ alteration in the account opening form 5 All the fields in the Form must be filled up otherwise the Form may be rejected 6 The Applicant has to sign wherever sign mark F,S,T is mentioned {F-First Holder, S-Second Holder, T-Third Holder} 7 Signature should be preferably in black ink. Incase of any correction/cancellation, please provide counter signature on the left side of the page. Bank Details 1 Cheque/DD towards Registration fees & other charges should be drawn in favour of 2 It is mandatory to provide complete All Bank Accounts details. In absence of complete details, form may be rejected. Demat Account: 1 For Demat Account, Joint Holder and Nominee cannot be the same person 2 Photographs to be signed across and pasted (Not Stapled) for all the holders in Demat as well as the nominee and his/her guardian 3 In case of joint applicants for Demat Account, copy of PAN, Proof of Address and Proof of Identity for all Applicants is mandatory 4 Demat Account cannot be linked with Trading Account where minor is the joint holder in Demat account 1 Ver 2.8 / Sep 2012
F1 (1200000959) Seal/Stamp of the intermediary should contain Employee Name Designation/SAP ID 2 Date Signature Ver 2.8 / Sep 2012
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S1 (1200000959) Seal/Stamp of the intermediary should contain Employee Name Designation/SAP ID 4 Date Signature Ver 2.8 / Sep 2012
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T1 (1200000959) Seal/Stamp of the intermediary should contain Employee Name Designation/SAP ID 6 Date Signature Ver 2.8 / Sep 2012
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TRADING ACCOUNT RELATED DETAILS MANDATORY Name of the Applicant PAN A. BANK ACCOUNT(S) DETAILS Bank Name Branch Address/Code Bank A/c No. A/c Type MICR Code IFSC Code (city, state, country, pincode) (S/C/O) + (9 digit) (11 character) $ + S-Saving C-Current (will not be able to do online fund transfers) O- Others-In case of NRI/NRE/NRO $ Default for Pay out Provide copy of cancelled cheque leaf pass book bank statement specifying name of the client, MICR Code or/and IFSC Code of the bank B. DEPOSITORY ACCOUNT(S) DETAILS Important Instructions Leave this Client ID blank if you are opening DP Account along with Trading Account. The First Holder in the DP Account must be the Trading Account Holder. Depository Participant Name: Beneficiary Name Depository Name CDSL DP ID 1 3 0 4 1 4 0 0 Client ID Depository Participant Name: Beneficiary Name Depository Name CDSL / NSDL DP ID Client ID C. TRADING PREFERENCES - Exchange (Segments) Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. NSE (Capital Market) NSE (Futures & Options) NSE (Currency Derivatives) F2 F3 F4 BSE (Equity) BSE (Derivatives) BSE (Currency Derivatives)* F5 F6 F7 MCX-SX (Currency Derivatives)* BSE (StAR MF)* NSE (MFSS)* F8 F9 F10 *Note: Client will be able to trade only on those segment which are active with the Trading Member from time to time. Please refer to www.rsec.co.in for further information. # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be given by the client to the stock broker. D. PAST ACTIONS Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-broker s Name SEBI Registration number NSE INS 23 BSE INS01 MCX-SX INS26 Registered Office Address City/Town/Village Pin Code State Country Tel No. Fax Mobile No. Website Email id Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all) Name of stock broker Name of Sub-Broker / Authorised Person, if any Client Code Exchange Details of disputes/dues pending from/to such stock broker/sub- broker/authorised person: 8 Ver 2.8 / Sep 2012
F. ADDITIONAL DETAILS (if not marked, the default option would be YES ) Whether you wish to receive Contract Note and other related reports/statements/documents in electronic mode. Number of years of Investment/Trading Experience Years No Experience Mother s Maiden Name Any other information G. INTRODUCER DETAILS (optional) Name of Introducer Status of Introducer Sub-broker Remiser Authorised Person Existing Client Employee Others (please specify) Partner Code / Client Code / Employee Code (SAP ID) Address City/Town/Village Pin Code State Signature of Tel No. Introducer H. NOMINATION DETAILS (for individuals only) I/We wish to nominate I/We do not wish to nominate Name of the Nominee Relationship with the Nominee PAN of Nominee Date of Birth of Nominee D D M M Y Y Y Y Address City/Town/Village State If Nominee is a minor, details of guardian: Name of guardian Address City/Town/Village State Tel No. WITNESSES (Only applicable in case the account holder has made nomination) Name Signature Name Signature Tel No. Signature of guardian Pin Code Pin Code MANDATORY Whether you wish to avail of the facility of internet trading/ wireless technology (please specify) YES NO Whether you wish to receive E-mail/SMS alerts from exchanges/depositories Both SMS Email Mobile No. belongs to: Self Spouse Children Parents Email id belongs to: Self Spouse Children Parents Note: Mobile no and email id mention in KYC form will be used for above faciality YES YES NO NO W1 Address W2 Address DECLARATION Signature of Client/ (all) Authorized Signatory(ies) 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 F11 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 Seal / Stamp of Applicant 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 D D M M Y Y Y Y 9 Ver 2.8 / Sep 2012
Additional KYC Form for Opening a Demat Account MANDATORY, 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063. Tel.: (91) (22) 3320 1212 E-mail:customer.support@rsec.co.in / grievance@rsec.co.in (To be filled by the Depository Participant) Date DP Internal Reference No. DP ID 1 3 0 4 1 4 0 0 Client ID (To be filled by the applicant in BLOCK LETTERS in English with a black ballpoint pen) I / We request you to open a Demat Account in my / our name as per the following details: Holders Details Sole/First Holder's F M I I R D S D T L E N N A A M M E E Name L A S T N A M E PAN Second Holder's F M I I R D S D T L E N N A A M M E E Name L A S T N A M E PAN Third Holder's F M I I R D S D T L E N N A A M M E E Name L A S T N A M E PAN D D M M Y Y Y Y Type of Account (Please tick whichever is applicable) Status Sub - Status Individual Individual Resident Individual Director Individual Director's Relative Individual Promoter Individual Minor IndividualMargin Trading A/C (MANTRA) Individual HUF / AOP Others(specify) NRI NRI Repatriable NRI Non-Repatriable NRI Repatriable Promoter NRI Non-Repatriable Promoter NRI Depository Receipts Others (specify) Foreign National Foreign National Foreign Depository Receipts Others (specify) Details of Guardian (in case the account holder is minor) Guardian s F I R S T N A M E Name M I D D L E N A M E L A S T N A M E PAN Relationship with the applicant I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit] (If not marked, the default option would be `Yes') Yes No Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly I / We request you to send Electronic Transaction-cum-Holding Statement at the email Yes No ID : as specified in KYC form Do you wish to receive dividend / interest directly in to your bank account given below through ECS? Yes No (If not marked, the default option would be `Yes') [ECS is mandatory for locations notified by SEBI from time to time ] Bank Details (Dividend Bank Details) Bank Name Branch Address/Code Bank A/c No. A/c Type MICR Code IFSC Code (city, state, country, pincode) (S/C/O) + (9 digit) (11 character) + S-Saving C-Current O-Others-In case of NRI/NRE/NRO or specify (i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or) (ii) Photocopy of the Bank Statement having name and address of the BO (iii) Photocopy of the Passbook having name and address of the BO, (or) (iv) Letter from the Bank. In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document. 10 Ver 2.8 / Sep 2012
SMS Alert Facility Refer to Terms & Conditions given as Annexure - 2.4 Easi Nomination Details Registration No.(office use): Dated D D M M Y Y Y Y I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that: I/We do not wish to nominate any one for this 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 my/our death. First Name Mr. / Ms. / Mrs. Middle Name Last Name Address (Line 1) (Line 2) City (Line 3) State Country PIN Telephone No. Fax No. E-mail ID Relationship with applicant (If any) Age Date of Birth (mandatory if nominee is a minor) D D M M Y Y Y Y As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I / We appoint following person to act as Guardian Guardian First Name Mr. / Ms. Guardian Middle Name Guardian Last Name Address (Line 1) (Line 2) City (Line 3) State Country PIN Telephone No. Fax No. Relationship of Guardian with nominee Age E-mail ID This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us. Note: Two witnesses shall attest signature(s) / Thumb impression(s). Details of the witness Names of witness Address of witness MOBILE NO. (as specified in KYC form) [(Mandatory, if you are giving Power of Attorney ( POA)] (if POA is not granted & if you do not wish to avail of this facility, please cancel this option). To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online. First witness Second witness MANDATORY Signature of witness 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 W3 First / Sole Holder or Second Holder ThirdHolder Guardian (in case of Minor) W4 Signature F12 S2 T2 11 Ver 2.8 / Sep 2012
Annexure 2.4 MANDATORY Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL 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 400001 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, email 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 email 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. 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. 12 Ver 2.8 / Sep 2012
MANDATORY Annexure 2.4 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 authorise the DP to use the contact information (email ID / mobile no.) as provided in the KYC form for the purpose of Registration. BO ID 1 3 0 4 1 4 0 0 (Please write your 8 digit DPID) (Please write your 8 digit Client ID) Sole / First Holder s Name Second Holder s Nam Third Holder s Name Mobile Number on which messages are to be sent : * as specified in KYC form Email ID: * as specified in KYC form Name First / Sole Holder or Second Holder ThirdHolder Guardian (in case of Minor) Signature F13 S3 T3 Place : Date: 13 Ver 2.8 / Sep 2012
DP Agreement - CDSL MANDATORY Agreement Between A Participant And A Person Seeking To Open A Beneficial Owner's Account This Agreement made and entered into at Puducherry and on the date as mentioned in the schedule of this agreement between, 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063 and having a office at No.110, Pondy - Cuddalore main Road, Thavalakuppam, Puducherry 605 007. hereinafter called "the Participant" of the One Part AND "the Beneficial Owner" described in the schedule to this Agreement being an individual/a partnership firm/a body corporate, registered/incorporated under the provisions of the Indian Partnership Act, 1932/the Companies Act, 1956 having his/her/its residence/registered office/principal office at the place as mentioned in the Schedule to this Agreement which expression shall unless repugnant to the context or meaning thereof be deemed to mean and include his/her heirs, executors, administrators and legal representatives/the partners for the time being of the said firm, the survivor or survivors of them and their respective heirs, executors, administrators and legal representatives/its successors, as the case may be, 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. 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. 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, 2000. 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. 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 to the Beneficial Owner's account. 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. F14 S4 T4 14 Ver 2.8 / Sep 2012
MANDATORY Termination 7. The parties may at any time terminate this agreement, provided that a notice of not less than thirty days is given in the manner and on the terms and conditions and procedure set out in the Bye Laws and the Operating Instructions. In the event of termination by either party, the Participant shall deal with the securities lying in the account of a Beneficial Owner in accordance with the instructions of such Beneficial Owner. 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 the Agreement shall not be binding unless the same is in writing and shall have been served by delivering the same at the address set out hereinabove against a written acknowledgement of receipt thereof or by sending the same by pre-paid registered post at the aforesaid address or transmitting the same by facsimile transmission, electronic mail or electronic data transfer at number or address that shall have been previously specified by the party to be notified. Notice given by personal delivery shall be deemed to be given at the time of delivery. Notice given by post in accordance with this clause shall be deemed to be given at the commencement of business of the recipient of the notice on the third working day next following its posting. Notice sent by facsimile transmission, electronic mail or electronic data transfer shall be deemed to be given at the time of its actual transmission. 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. 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 the withinamed the Participant by the hand of its authorised representative Shri Signature (of Reliance Securities representative) In the presence of (witness name) Signature SIGNED AND DELIVERED by the within named beneficial Owner Schedule above referred to Name Address First / Sole Holder or Second Holder ThirdHolder Guardian (in case of Minor) Signature F15 S5 T5 In the presence of (witness name) Date D D M M Y Y Y Y Signature W5 15 Ver 2.8 / Sep 2012
Fee Head Demat fee schedule Effective from October 01, 2012 DP Charges MANDATORY 1. Annual Services Charges (AMC) (levied on monthly basis) Non BSDA BSDA Basic Services Demat Account BSDA (Only for Individual having one demat account): If Holding value at any date upto Rs. 50,000/- Nil If Holding value at any date between Rs. 50,001/- to Rs. 200,000/- ` 100/- Regular Demat Account (non BSDA): For Individual /HUFs / Trust ` 200/- For NRIs / Foreign Nationals ` 1000/- For Corporate / Other Non Individuals ` 1000/- 2. Transaction Charges: SELL (Market & Off Market) For instructions given in physical form ` 25/- per ISIN For instructions received through Internet/ online trading through Reliance Securities Ltd. ` 12/- per ISIN Extra charges for processing of instructions submitted on the execution date (accepted at Client's risk, only for physical instructions) ` 10/- per ISIN 3. Dematerialisation: For each request form ` 20/- Extra for each certificate ` 2/- Rematerialisation: A fee of ` 40/- for 100 securities or part thereof or a flat fee of ` 25/- per certificate which ever is higher in addition to Regd. post charges, subject to minimum ` 25/- 4. Closure of Account Nil 5. Pledge Set Up/Removal/Confirmation/Invocation ` 25/- 6. Failed instruction charges Nil 7. Additional Account Statements: Non BSDA For Individuals/HUFs/Corporate ` 40/- per statement For NRIs / Foreign Nationals (at Indian address) ` 100/- per statement For NRIs / Foreign Nationals (at foreign address) ` 1000/- per statement BSDA ` 25/- per statement 8. Custody Charges Nil 9. Re-issue of DIS booklet ` 50/- 10. Request for Modification of details like Bank Account/ Client address/ Nil There will be a charge of ` 100/- for dishonour of any cheque or unsuccessful attempt to recover payment through direct debit or ECS. The depository services are liable to discontinuation if is unable to recover charges from the customer, for any reason whatsoever. There will be a charge of ` 250/- for resumption of services in such cases. will resume services after a minimum of 3 working days from the date of receipt. Any service, which is not mentioned above, will be charged separately as per the rates applicable from time to time. reserves the right to revise the tariff structure from time to time with a notice of 30 days. This notice may be given by ordinary post or by an advertisement in a National Daily or by email to customers. We shall charge the Depository AMC only if there is any holding in the account on the last day of the month OR if there is any transaction in that particular month. The AMC will be charged at the beginning of every month for previous month. We understand that in case the demat account is requested to be closed during the month, any charges due till that date of request, the same will charged to me/us.service tax and other government / statutory levies will be charged extra. Holding statement, Transaction statement, changes request conformation and Bills may be sent to the email ID of the client, registered in our system and by posting on the website of www.rsec.co.in. (a) In case client(s) give(s) the written request for physical copy of the transaction statements, the same shall be provided at the address of the client(s) registered in our systems. (b) The Client(s) will take all the necessary steps to ensure confidentiality and secrecy of the login name and password of the internet/email account. (c) The Client(s) is/are aware that the transaction statement may be accessed by other entities in case the confidentiality/secrecy of the login name and password is compromised. (d) In case transaction statements are sent by email, the Client(s) shall immediately inform the DP about change in email address, if any. (e) DPs and Client(s) shall have the right to terminate such service provided a written notice is given atleast 10 days in advance to the other party. For BSDA: a) The individual shall have only one BSDA in his/her name across all depositories (CDSL&NSDL). b) Value of securities held in BSDA shall not exceed ` 2,00,000/- (Rupees Two Lakhs) at any point of time. c) If the value of holding in such BSDA exceeds the prescribed criteria at any date, the DPs may levy charges as applicable to regular accounts (non BSDA) from that date onwards. d) All BOs opting for the facility of BSDA, shall register their mobile number for availing the SMS alert facility for debit transactions. e) In case the individual already has BSDA or open a new BSDA on a later date, then status of this demat account as BSDA will ceased to exist. f) Refer BSDA Terms and Conditions for more details. Signatures F16 S6 T6 16 Ver 2.8 / Sep 2012
Tariff Sheet related for Trading Account MANDATORY 1. 2. 3. 4. 5. 6. 7. APPLICATION PROCESSING CHARGES: ` 950/- Brokerage Scheme Name (Opted): Capital Market Segment(NSE & BSE, Cash)* Brokerage % for Delivery Trades Brokerage % for Intraday Trades First Leg--> Second leg same day Not Applicable Minimum (paisa per share) Derivatives Segment(NSE & BSE)* Brokerage % for Trades in Future Brokerage (` Per lot) for Trades in Option First Leg--> Second leg same day Second leg other day *Minimum brokerage per share would be levied as applicable in respective schemes. In case Brokergae Scheme NOT opted, SAC R-Fixed 1 brokerate scheme will be assigned. (Del: 0.50%, Intraday / Futures: 0.05%, Options: Rs. 70 per lot). For Intraday trades, brokerage will be levied at both sides for all segment. Levies such as Service tax, Stamp duty, Transaction Charges, Other charges will be charged as per norms defined from time to time. Intraday brokerage will be levied on both sides depending upon the brokerage scheme. DELAYED PAYMENT CHARGES (DPC) : The Delayed Payment Charges will be levied at the rate of 18% p.a. including customers who do not pay their dues between T+2 to T+5 from exchange payout date, compounded monthly. Delayed Payment Charges will be charged on the debits in client ledger. For the purpose of debit, it will include:- 1. Debit against cash market transaction 2. Debit against Margin short-fall, 3. Debit against MTM on F&O transaction 4. Debit on account of DP AMC Fees, 5. Debit on account of Brokerage due (including statutory charges) 6. Debit on account of "Delayed Payment Charges". Any Non- cash collateral balance in your account will not be adjusted against the cash margin requirement in F&O segment for the purpose of Debit Calculation. Marking of Pledge is purely for Exposure & Risk management Purpose only. Guidelines for DPC:- 1. The Delayed Payment Charges will be accrued (at applicable rates) everyday (including holiday) at EOD on the debit balance in client ledger. 2. On first week of every month, a debit entry will be passed in client ledger for the total Delayed Payment Charges accrued for the previous month. 3. Once the DPC is posted in client ledger & because of that client ledger is in debit, DPC will be charged on that debit as well. 4. Accrued Delayed Payment Charges during the month will be deducted (on daily basis) from Exposure Limits allotted to client for trading purpose & from the funds available for withdrawals. 5. DPC accrued / charged on debit balance in client ledger will not be off-set by credit balance in client ledger. OTHER CHARGES: Particulars Charges (`) Order placed by client at the Call & Trade desk (Call Centre) 15 per Executed Order Enquiry Charges (First five enquiries are free every month) 5 per enquiry Reissue of Security Token (Indian Address) 200 Reissue of Security Token (Overseas Address) 1000 Physical copy of duplicate contract notes 40 per contract note Physical copy of duplicate Ledger statement 40 per statement VALUE ADDED SERVICES (OPTIONAL) separate cheque required to be issued for the services a) Research on SMS Monthly ` 250/- Quaterly ` 700/- b) Paid Education Program (PEP) - please also sign page no. 31 Half yearly ` 1300/- Yearly (Best offer) ` 2400/ Training Basics in Basics of Futures Advance Futures and Trading with Program Equity Investment and Options Option Strategies Technicals Course Fee (`) 1,100/- 2,200/- 5,500/- 5,500/- RMOBILE XPRESS Duration RMobile Xpress Subscription charges Please tick your preference 365 days ` 450 + Service Tax 30 days ` 50 + Service Tax Once you download the RMobile Xpress application & register your handset device, your ledger will be debited with the subscription charges as per the plan selected. You will be charged per device. No transaction charges will be levied for the following mode of funds transfer till further notification: NEFT/RTGS/IVR Transfer/Mobile Transfer/Debit card transfer I/We confirm to receive call/email/sms with respect to offerings and products YES NO Name of Applicant Date D D M M Y Y Y Y Signature of Applicant F17 17 Ver 2.8 / Sep 2012
VOLUNTARY Power of Attorney THIS POWER OF ATTORNEY is made on the date, and place as mentioned in the Schedule hereunder by the persons mentioned in the Schedule under title Bank Account Holders (hereinafter referred to as Bank Account Holders ) and the persons mentioned in the Schedule under title Demat Account Holders (hereinafter referred to as Demat Account Holders ) IN FAVOUR OF, a Company incorporated under the Companies Act, 1956 having its Registered Office at 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063 and having an office at Reliance Securities Ltd., No.110, Pondy - Cuddalore main Road, Thavalakuppam, Puducherry 605 007 (hereinafter referred to as Attorney / which expression shall unless repugnant to the context thereof shall mean and include its successor) acting through its directors, officers or such other persons as may be authorised by the Attorney from time to time in this regard WHEREAS: The persons mentioned in the Schedule under title Client Details (hereinafter referred to as the Client ) has opened/is desirous of opening a Trading Account with. The Bank Account Holders hold bank account/s with the bank ( the said Bank ), and bearing bank account number/s as mentioned in the Schedule hereunder under title Bank Account Details (hereinafter referred to as the Bank Account ). The Demat Account Holders hold demat account/s with, a Depository Participant details whereof are mentioned in the Schedule hereunder under title Demat Account Details (hereinafter referred to as the Demat Account ). The Client is also the first holder/sole holder of the Bank Account, and the Demat Account; (the Account Holders). To facilitate proper execution of various transactions carried out by the Client, including but not limited to transactions placed by the Clients for Shares, Securities, Derivatives, Futures &Options Contracts, Bonds, IPOs /Public Offers of various Companies and in various Mutual Fund Schemes and such other Services /Products/Facilities availed by the Client from time to time. With respect to these aforesaid activities, the Client is now desirous of constituting and appointing as their lawfully constituted attorney and confer upon it the powers hereinafter stated. NOW KNOW ALL AND THIS POWER OF ATTORNEY WITNESSETH that I/we, the Account Holders hereby nominate, appoint and constitute, acting through its directors, officers or employees or such other persons as may be authorised by in this regard from time to time as the true and lawful attorney to do the following acts, deeds, and things for and on my/our behalf; namely: 1. To operate and debit the Demat Account(s) which is in my/our name for facilitating transactions by/through Reliance Securities Limited to meet all margin / settlement obligations and for recovering any outstanding amounts due from me/us to and for any of the facilities / services offered by and availed by me/us and to do the following: a. to transfer securities from the Demat Account for the purpose of delivering the same in respect of securities sold by me/us or for margin purposes and to meet margin obligations and/or other obligations in respect of any transactions done on any of the Exchange(s) by me/us; b. to transfer securities from my/our Demat Account to Demat account(s) of the Attorney mentioned herein below or to any other accounts as may be updated/amended by proper communication without executing a new Power of Attorney everytime. c. to block and/or hold all or any of the Securities lying in the Demat Account(s) including in the Attorney s internal systems belonging to me/us or in such other manner as the Attorney may determine, without any further instructions to transfer all the said securities to the Attorney or any account(s) of the Attorney or in accordance with the instructions of the Attorney; d. subject to permitted laws, to create/mark a lien, charge or pledge on all or any of the securities lying in the Demat Account(s) including in internal systems belonging to me/us or in such other manner as the Attorney may determine, without any further instructions to transfer all the said Securities to the Attorney or any account(s) of the Attorney or in accordance with the instructions of the Attorney; F18 S7 T7 1/3 (Required for online trading facility) 18 Ver 2.8 / Sep 2012
VOLUNTARY e. to sign, deliver, endorse and/or acknowledge all instructions, forms, transfer deeds, depository forms and instruments, slips, receipts and other instruments and writings which are required, necessary or advisable for performing all or any of the powers or authorities hereby conferred; f. To effect all non-cash corporate actions in respect of the securities held in my/our Demat Account, if applicable; 2. To issue necessary instructions to the Bank for debiting my/our Bank Account for facilitating transactions in securities, for meeting my/ our settlement obligations/ margin requirements and for recovering any outstanding amounts due from me/ us to the Attorney arising out of my/ our trading activities on the various exchanges, towards any monies/ fees/ charges outstanding or payable by virtue of me /us using / availing / subscribing to any of the facilities/ services offered by the Attorney ; 3. To issue instructions to debit my/our Bank Account, towards monies/ fees/ charges due to the Attorney and to discharge all funds obligations in this regard on my/our behalf by virtue of I / We using/subscribing to any of the facilities/services provided by the Attorney; 4. To sign the application forms, composite application forms, applications and the required documents for us/me to apply, subscribe and /or renounce in the Initial Public Offering (IPO), follow-on issues, further issues, rights issue or other offerings of the securities and to facilitate in investment and redemption units of mutual fund schemes; 5. To do all such acts, deeds and things as may be necessary for or incidental to the powers granted hereby; AND GENERALLY to do, perform and execute all such other acts, deeds, instruments, matters and things on my/our behalf as the said Attorney may think fit to all intents and purposes as I/we myself/ourselves could do if I/we were personally present AND for the further, better and more effectually doing, effecting, executing and performing the several matters and things aforesaid AND I/we hereby ratify and confirm and agree and undertake to ratify and confirm whatsoever the said Attorney shall lawfully do or cause to be done by virtue of these presents. The Attorney is authorized to send to me / us consolidated summary of scrip wise buy and sell positions by way of short messaging services or e-mails on a daily basis. The Bank accordingly is authorized and has consented to follow the instructions of my/our said Attorney with respect to the powers set forth with respect to my/our Bank Account/Demat Account and I/we hereby ratify and confirm any and all transactions, trades or dealings effected in and for my/our above mentioned accounts by my/our Attorney. This Power of Attorney and authorization is in addition to (and in no way limits or restricts) any and all rights which the Attorney may have under any other agreement or agreements between the Attorney and me/us. The Attorney hereby agrees to return to me/ us the Securities or the funds that may have been received by it erroneously or that it was not entitled to receive. This Power of Attorney and authorization shall not be affected by lapse of time. It shall continue in full force and effect until the Attorney shall receive written notice of revocation thereof, signed by me/us; This Power of Attorney shall be terminated by me/us without any notice period and in the event of termination thereof by my/our death/ dissolution, until the Attorney shall have received actual notice thereof, and such revocation or termination shall in no way affect the validity of this POA, with reference to any transaction(s) initiated by me/us or by my/our Attorney prior to the actual receipt by the Attorney of a notice of such revocation or termination, as above provided. I/We have read carefully the provisions of this Power of Attorney and understand that it authorizes my/our Attorney, to exercise all rights and powers set forth with respect to my/our Bank account and Demat Account. I/We understand that anything my/our Attorney may do in the exercise of such rights and powers shall be fully binding upon me/us. The powers hereby given to the Attorney shall be given the widest interpretation. Where this Power of Attorney is executed by a company/partnership firm/association of persons/trust, the Attorney is a person duly authorised to sign on behalf of the company/partnership firm/association of persons/trust. This Power of Attorney does not intend to give any exclusive rights to the Attorney on the Bank Account and /or the Demat Account. The Attorney shall forward a copy of this POA to the said Bank. The powers granted herein together with this POA shall be valid and effective only upon acceptance of the grant by Reliance Securities in whose favour the same is granted. This Power of Attorney shall be governed by the laws of India and shall be subject to the Jurisdiction of the Courts at Mumbai. F19 S8 T8 19 (Required for online trading facility) Ver 2.8 / Sep 2012
Client Details Name of the Client Address The schedule hereinabove referred to Client Code VOLUNTARY Bank Account Holder(s) Bank Account Details First Holder Bank & Branch Second Holder Account No. Demat Account Holder(s) Demat Account Details First Holder Second Holder DP ID 13041400 Third Holder Client ID Reliance Securities - Demat Account details NSE - CDSL: 1304140000000138 NSDL: CMBP ID - IN563575 BSE - CDSL: 1304140000000 220 NSDL: CMBP ID - IN654519 Reliance Securities - Bank Account details Name of the Bank & Branch - Citi Bank, Mumbai Bank Account Number - 0011950019 IN WITNESS WHEREOF I/We have hereunto set and subscribed our respective hands on the day and date as first mentioned in the Schedule Sr. No. Holder Name Signature 1. First Holder (For Bank & Demat) 2. Second Holder (For Demat) 3. Third Holder (For Demat) Witness Name : Address : Signature : Accepted For Authorised Signatory F20 S9 T9 Place : Puducherry Date: D D M M Y Y Y Y (Required for online trading facility) 20 Ver 2.8 / Sep 2012
VOLUNTARY Date: D D M M Y Y Y Y To, 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063. Authorisation for maintaining Running Account Dear Sir(s) I/We am/are registered client with you and dealing in Capital Market/ Derivative Market/ Currency Market having client code as mentioned below. I/We am/are aware that payout / dividend received / credited from the exchange(s) against settlement of transaction as per settlement cycle is available within 1 working day of the payout from the Exchange. It is difficult for me/us to make available the required funds on every pay-in of funds obligation / margin obligation, hence We request you to maintain our account on a running basis and retain the payout received / credit balance in our account for my/our future obligation / margin obligation or other liabilities unless we instruct otherwise. I/We hereby further authorize you to debit / credit / transfer the amounts between the various segments either on the same Exchange and / or Exchanges to meet my/our obligation or various dues payable to you / Exchange(s). If payment of funds is required, I/We shall request you in writing or through the web option for funds withdrawal on the web login. Further it may be noted that if required I/We may revoke this authorization at any time after giving request in writing. This running account authorisation would continue untill it is revoked by me/us. The actual settlement of funds shall be done at least once in the preference period selected below: Once in a calendar Quarter OR Once in a calendar month While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the exchanges. I/We shall bring any dispute arising from the statement of account or settlement so made to your notice within 7 working days from the date of receipt of funds or statement, as the case may be. In case of non receipt of any such communication the statement / settlement of running account shall be considered as final as agreed and accepted by me/us. Yours faithfully, F21 Signature Client Name: Client Code: (Required for online trading facility) 21 Ver 2.8 / Sep 2012
VOLUNTARY Date: Mumbai Dear Sir, Settlement of Running Account I, the undersigned hereby authorize (RSL) to maintain a running account subject to the account being actually settled once in a calendar quarter / month (strike off the option not preferred). I further authorize RSL to purchase mutual fund units and redeem the same in accordance with the terms and conditions mentioned herein below. I have read and understood the requirements of SEBI Circular No. MIRSD/ SE /Cir-19/2009 dated December 3, 2009 read with Circular No. SEBI/ MIRSD /Cir/ 01/ 2011 dated May 13, 2011. I reserve the right to revoke the aforesaid authorization by so intimating RSL in writing, at any time of my choice. I fully understand the market risks involved including the mechanism involved in the purchase / sale of Mutual fund units as mentioned hereinabove I request you to activate the Mutual Fund Segment with NSE and BSE and include the same in my preferred segments of trading. I understand that the trades in units of mutual funds will be executed through NSE or BSE as may be made available by RSL from time to time. Terms and Conditions 1. On the day scheduled for settlement as aforesaid, in case the investible balance in the client s ledger is equal to or more than Rs. 5,000/-, RSL shall purchase at the close of that day, units of mutual fund scheme Reliance Liquid Treasury Plan Retail Option Growth Plan for an amount equivalent to 98% of such amount arrived at, after retaining outstanding obligations, if any, such as charges, funds required to meet margin obligation for next 5 trading days, debits towards Regular Stock Purchase Plan etc. 2. RSL shall for the purposes of purchase of units as mentioned above, use the mutual fund trading infrastructure provided by NSE and/or BSE for the purpose, in terms of SEBI Circular no. CIR/IMD/DF/17/2010 dated November 9, 2010 read with circular no. IMD / CIR No.11/183204/ 2009 dated November 13, 2009. 3. The balance 2% remaining in my ledger on such date after purchase of such number of mutual fund units, shall be transferred to the client s designated bank account being the settlement of funds at the interval specified above. 4. RSL shall, on the second working/trading day of purchase of the said mutual fund units, place a redemption order through the infrastructure provided by NSE and/or BSE in respect of the entire number of such mutual fund units. 5. RSL shall credit the proceeds of such redemption to the client s ledger immediately upon payout by the respective Exchanges. I accept the aforesaid terms and conditions F22 Signature of the client Name of Client: Client Code: (Note: The authorization shall be signed by the client only and not by any authorised person on his behalf or any holder of the Power of Attorney. Signatures need to be verified only by an authorized official of RSL and such official has to endorse his signature accordingly. An email confirmation of the above instructions shall be sent to the client upon acceptance of the same by RSL) 22 Ver 2.8 / Sep 2012
Declaration for Sub-broker/Authorised Person VOLUNTARY Date: D D M M Y Y Y Y To 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East), Mumbai 400 063. Confirmation of the arrangement with Sub-broker/Authorized Person I /we confirm that I/we have been introduced to (RSL) by a Sub-broker (SB) / an Authorised Person (AP) (as mentioned below) appointed by RSL pursuant to relevant Exchange (s) norms. In this connection I/we am/are aware of the following: 1. The SB/AP shall not receive or pay any money or securities in his/her/its own name or account. All receipts and payments of securities and funds shall be made only in the name or account of the RSL; 2. The SB/AP shall receive his/its remuneration-fees, charges, commission, salary etc for his/its services only from the RSL and he/she/it shall not charge any amount whatsoever from the clients; 3. No person shall be appointed as SB/AP by more than one Trading Member; 4. A partner or director of an SB/AP shall not be appointed as an SB/AP with any Stock Exchange; and In view of the foregoing, I/we acknowledge that the SB/AP is not authorised by RSL to enter into any private arrangement with any clients of RSL including those introduced by him/her/it. I /we further agree and accept that I/we will not hold RSL responsible for any loss, damage, other liability or consequence, direct or indirect, arising out of any error of commission or omission by the SB/AP with regard to any dealings and or transactions based on or resulting out of any private agreements (if any), between me/ us and the SB/AP. I/we agree that all debit instruction slips and other documents in respect of my/our depository Beneficiary Owner account with (RSL) shall not be left in the custody of the SB/AP, either blank, partially filled up and/ or executed /signed. I /we further agree and accept that I/we will not hold RSL responsible for any loss, damage, other liability or consequence, direct or indirect, arising out of my/our action in leaving such blank, partially filled up and/ or executed /signed documents with the SB/AP. Your faithfully Accepted by Sub-broker / Authorised Person Client Signature F23 Signature Clients Name Partner Name Client Account Number Partner code 23 Ver 2.8 / Sep 2012
Date: D D M M Y Y Y Y Request for availing NRML Facility VOLUNTARY 11h Floor, R-Tech Park, Nirlon Complex, Western Express Highway, Goregaon (East), Mumbai - 400063. Sub: - Request for availing NRML facility for trading Client Name Client Code I/We want to avail NRML facility offered by reliance Securities Limited. In this connection, I/We hereby agree the following terms & conditions: 1. I/We will be charged Delayed Payment charges (DPC) from T+2 day onwards on the debits in my/our trading account, till the date of debit clearance. 2. In case I/We fail to clear the debits towards payment of consideration amount on or before T+6 day, RSL shall be at liberty to liquidate the share(s)/securities at its sole discretion, without any reference or notice. 3. I/We understand that, the trading will be blocked in that particular exchange where the share(s) are purchased under NRML CNC Product, from T+3 day onwards till such time there is a debit in my/our trading account. 4. I/we also understand that in the event the debits in my / our trading account are not cleared by T+6 day, the trading will be blocked in both the Stock Exchanges. 5. I/We also understand that during the NRML Term (i.e T day to T+6 day), if there is an erosion in the value of the margin due to price fluctuation, I/we agree to do the following: a. Replenish by way of additional margins to fulfil the short fall obligation and / or, b. Sell the shares and /or, In case I/we fail to do the same, RSL reserves its rights to liquidate the share(s)/securities at its sole discretion, without reference or notice. 6. RSL reserves its rights to change or vary the terms and conditions applicable to this product at its sole discretion, with or without prior intimation. RSL also reserves its rights to approve or disapprove activation/continuation of this product to its clients. Thanking you Yours faithfully Client Signature F24 24 Ver 2.8 / Sep 2012
Request for subscription to R-MAX Plan 11 th Floor, R-Tech IT Park, Nirlon Complex, Western Express Highway, Goregaon East, Mumbai 400063 Sub: Request for subscription to R-MAX Plan VOLUNTARY Dear Sir / Madam, I would like to subscribe R-Max Plan and request Reliance Securities Ltd. to apply applicable brokerage tariff as per my R-Max Plan selected below I hereby authorize Reliance Securities Ltd to debit my ledger for the subscription amount as per my R-Max Plan subscribed below. I declare that I have read and understood the terms and conditions governing R-Max Plan of Reliance Securities Ltd and shall agree and abide by the same. Client Code Client Name: Under R-Max we offer various plans which vary in terms of subscription amount and brokerage rate. Please select the plan suitable to your trading profile and sign against the plan. Plan Name Subscription Plan Brokerage Slab Applicable Amount (inclusive of Tenure Delivery Intraday Cash Futures service tax) (both sides) (both sides) (both sides) Options(Per lot) R-MAX 2500 ` 2500 3 Years 0.30% 0.035% 0.035% ` 55 Min 5 paisa per unit share Min 1 paisa per unit share R-MAX - 5000 ` 5000 3 Years 0.25% 0.025% 0.025% ` 50 Min 4 paisa per unit share Min 1 paisa per unit share R-MAX 10000 ` 10000 3 Years 0.20% 0.020% 0.020% ` 40 Min 3 paisa per unit share Min 1 paisa per unit share R-MAX 25000 ` 25000 3 Years 0.15% 0.015% 0.015% ` 35 Min 3 paisa per unit share Min 1 paisa per unit share R-MAX 50000 ` 50000 3 Years 0.10% 0.012% 0.012% ` 25 Min 2 paisa per unit share Min 0.5 paisa per unit share R-MAX 100000 ` 100000 3 Years 0.10% 0.008% 0.008% ` 12 Min 2 paisa per unit share Min 0.5 paisa per unit share R-MAX 200000 ` 200000 3 Years 0.08% 0.005% 0.005% ` 10 Min 1 paisa per unit share Min 0.5 paisa per unit share All other statutory levies will be charged separately Default brokerage Rate applicable for each R-MAX Plan is ((Del - 0.50%, ID/Fut 0.05%, Option `70 per lot) The same will be charged on both sides for intraday trades. In case if the client want to exit from R-MAX Plan before the expiry of plan tenure, balance left in client s R-MAX Plan subscription amount will be refunded after deducting a foreclosure charges. I declare that I have read and understood the terms and conditions governing R-MAX Plan of and shall agree and abide by the same. Thanking you Yours faithfully F25 Signature of the Account Holder Date: D D M M Y Y Y Y R-MAX Plan: Reliance Securities proudly launches R-MAX Plan, where you pay subscription amount for a plan and enjoy the discounted brokerage rates during the tenure of the plan. Once the R-MAX Plan is activated for you, brokerage charges (along with service tax) will be adjusted from the R-MAX Plan subscription amount given by you. On exhaustion of R-MAX Plan subscription amount OR on expiry of plan tenure (whichever happens earlier), you would be required to renew your plan to enjoy lower brokerage. 1/3 25 Ver 2.8 / Sep 2012
Application for availing Regular Stock Purchase Plan (RSP Plan) facility VOLUNTARY To 11 th Floor, R-Tech IT Park, Nirlon Complex, Western Express Highway, Goregaon East, Mumbai 400063 Sub: Request for availing Regular Stock Purchase Plan (RSP Plan) facility Dear Sir / Madam, I would like to avail RSP Plan facility and request Reliance Securities Ltd. to activate Regular Stock Purchase Plan (RSP Plan) on my Trading Account details as below I hereby authorize Reliance Securities Ltd. to buy shares in my account under RSP Plan product based on my instruction. I declare that I have read and understood the terms and conditions governing Regular Stocks Purchase Plan (RSP Plan) of Reliance Securities Ltd and shall agree and abide by the same. Client Code: Client Name: I hereby authorize Reliance Securities Ltd to buy shares in my account under RSP Plan product as per below details. Sr. Exchange Stock Name Amount Quantity Frequency Tenure Start Date No. (Select any one) (From RSP Plan basket only) (Fillup any one) (Select any one) (Month) Day Month 1. NSE BSE 2. NSE BSE 3. NSE BSE 4. NSE BSE 5. NSE BSE Note: Please fill up the form as per below details. Frequency Minimum Amount Minimum Tenure Maximum Tenure Start Date Daily 250 1 Month 24 Month Any Date Weekly 500 3 Month 24 Month 7th, 15th, 22nd, 28th Monthly 1000 6 Month 24 Month 7th, 15th, 22nd, 28th 1. RSP Plan Amount should be in multiples of ` 10/- for Daily and ` 50 for Weekly/Monthly. 2. Client can select any start date for daily frequency, and 7th, 15th, 22nd or28th of current or next month for Weekly/Monthly. 3. To ensure successful execution of client s RSP Plan order, it is mandatory that RSP Plan amount should be equal to or more than 105% of the previous day's closing price. 4. Client can select stock only from RSL approved scrip basket for RSP Plan. 5. Client s RSP Plan request placement is subject to prior successful activation of RSP Plan facility. Thanking you Yours faithfully F26 Signature of the Account Holder Date: D D M M Y Y Y Y 26 Ver 2.8 / Sep 2012
ECS / DIRECT DEBIT TRANSACTION DATES / CHARGES / T&C / INSTRUCTIONS 1. Frequency of Transaction (select any one and mentioned the date when your account should be actually debited): In case of any national, state, regional holiday on specified transaction date then such transaction will be processed on immediate next working day Monthly: Transaction Date: ECS/Direct Debit Amount: D D Bi Monthly: Transaction Date: ECS/Direct Debit Amount: D D & D D 2. Following charges will be applicable for all ECS / Direct Debit per transaction (levied in trading account): Charges Approximate Total Charges (inclusive of ST) ECS mandate Registration / Rejection Fee `11.30 ECS transaction fee (per successful transaction) ` 3.05 ECS Failure charge (per transaction failure) ` 3.35 Direct Debit mandate Registration Fee (charges vary from bank to bank. Refer FAQs for details) ` 20.00 to 33.50 Direct Debit transaction fee (per successful or failed transaction) ` 4.50 to 11.50 Direct Debit Mandate Cancellation charge (as applicable from bank to bank, if any) ` 22.60 3.Terms & Conditions: a) ECS / Direct Debit registration fee and transaction fee will be debited to client's trading account as applicable from bank to bank and details mentioned above. Above mentioned charges are inclusive of RBI charges. b) Client's bank may reject client's application for registration of ECS / Direct debit in case signature differs from signature in bank records then in such a case mandate rejection charges will be debited to client's trading account. c) If some banks and their branches are not equipped with such facility then such banks may refuse / reject such registrations and hence customer is requested to check with their banks prior to such ECS / Direct Debit registration then in such case mandate rejection charges will be debited to client's trading account. d) ECS / Direct Debit registration process may take up to 45 days from submission and hence 1st ECS / direct debit will be processed after 45 days of such successful submission / processing. e) ECS / Direct debit transaction fee will be levied for both successful and unsuccessful transaction. f) In case of ECS / Direct Debit failure due to insufficient balance in client's bank account, ECS / Direct Debit Failure charge will be debited to client's trading account. g) In case of transaction failure, client's bank may levy with additional charges based their policy. h) List of ECS locations and banks for Direct Debit (refer FAQSs for the list) may be modified/updated/changed/removed depending on the availability of said service through the service provider and/or notification issued by the regulator(s). If any ECS location/direct Debit bank is removed, RSP instruction of such client via ECS/DD route will be discontinued without prior notice. In such case client would be required to fund the account for RSP transactions. i) Client will not hold RSL and its service providers responsible if the transaction is delayed or not affected or the client's bank account is debited in advance or after the RSP dates, due to unavoidable circumstances. j) If registered ECS / Direct Debit needs to stopped, then client has to give written intimation 15 days prior to the transaction trigger date. k) In case of client unsubscribing the plan(s)/scheme of RSL, it will be the client's responsibility to cancel the ECS/Direct Debit Instruction. l) RSL and its service providers shall not be hold responsible nor liable for any damages / loss / compensation, etc incurred by the client. The client assumes the entire risk of using this facility and takes full responsibility. 4. INSTRUCTION FOR FILLING UP ECS / DIRECT DEBIT MANADTE: 1. Form to be filled up in CAPITAL LETTERS only. 2. Three copies of ECS from need to be filled up in original. (one for client, one for RSL and one for Bank) 3. One original Personalized cancelled cheque leaf to be attached with. 4. 9 digit MICR code, as per the bank cheque leaf should be mentioned 5. Signature on the ECS form should match with the Signature as per Bank. 6. Bank details provided above should match with the details given to RSL for banking. 7. No third party bank details will be accepted for such ECS / Direct Debit. 8. "Specify your ECS tenure" on page 1 is the time period for which ECS / Direct Debit will remain active. For example 1st April 2009 to 31st March 2012, i.e; active for 3 years. 9. "Date of effect on page" 1 is specified by the client when the ECS facility should be started after taking into consideration 45 days for ECS registration. Client Name: a) I have gone thru details of process; FAQ's before signing Mandate and Charges forms. b) I have contacted my bank branch and have confirmed of having such ECS / Direct Debit facility before registering and signing such forms. c) I have read, understand and agree to abide by aforesaid terms and conditions. Client's PAN No. : F27 Client Signature VOLUNTARY 27 Ver 2.8 / Sep 2012
VOLUNTARY Electronic Clearing Service (Debit) Clearing / Direct Debit UI Code: Mandate Reference No. : The Manager Bank Name Branch Name Branch Address I hereby authorize you to debit my account for making payment to through ECS (Debit) clearing / Direct Debit as per the details given as under. A. Mode of Payment (Please tick): ECS Direct Debit B. DIGIT CODE NUMBER OF THE BANKBRANCH: (Appearing on the MICR cheque issued by the bank) C. ACCOUNT TYPE: Saving Account Current Account D. ACCOUNT NUMBER: E. Account holder name (As per Bank's record): 1st a/c holder 2nd a/c holder 3rd a/c holder Trading / Client Code Name of the Plan/Scheme Specify your ECS /Direct Debit tenure Periodicity Amount with Reliance Start Date End Date (Monthly/Bi Monthly (Upper Limit) Securities Limited DD/MM/YYYY DD/MM/YYYY Regular Stock Purchase Plan (RSP Plan)/ RSP Insure F. Date of effect: I/We hereby declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I would not hold Reliance Securities Ltd. responsible. I have read the letter and agree to discharge the responsibility expected of me as a participant under the scheme. This is to inform that I/We have registered for the RBI's Electronic Clearing Service (Debit Clearing)/Direct Debit/Standing Instruction and that my payment towards the above mentioned scheme with Reliance Securities Ltd. shall be made from my /our above mentioned bank account with your bank. I/We authorize the representative of TechProcess Solutions Ltd carrying this ECS (Debit Clearing/Direct Debit/Standing Instruction mandate form to get it verified & executed I agree to pay the necessary charges for ECS / Direct Debit facility as prevailing from time to time. F28 First holder Signature Second holder Signature Third holder Signature Date: Signature(s) of the account holder(s). (As per bank's record) For Bank Use Only Certified that the bank account details and signatures of the account holders are correct and as per bank's records. Date: Stamp & Signature of the Authorized Official of the Bank 28 Ver 2.8 / Sep 2012
Intentionally Left Blank 29 Ver 2.8 / Sep 2012
VOLUNTARY 11 th Floor, R-Tech IT Park, Nirlon Complex, Western Express Highway, Goregaon East, Mumbai 400063 Date D D M M Y Y Y Y I/We request you to allow me /us to use the following debit card for electronic fund transfer using the visa payment gateway. I/We understand that the facility is provided to me/us at my/our request and such facility will be restricted to electronic fund transfer to my trading account with under the captioned client code. Bank Name: Debit Card No.: Request for Debit Card Facility Valid thru: / Name on the Card: I/we hereby confirm that the aforesaid debit card is issued against the below bank account details: Account No.: Branch: I/We hereby confirm that above mentioned bank and debit card details belongs to me/us and the bank is as updated in your records. Debit card issued against existing bank details updated with Reliance Securities Ltd. Yes No (In case No, please attach the Change request Form for Addition of Bank details for trading account.) I hereby declare that the details furnished above are true and correct to the best of my knowledgeand 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. Name : Signature F29 Note: Kindly provide the photocopy of Debit Card (front side) 30 Ver 2.8 / Sep 2012
VOLUNTARY Paid Education Program (PEP) Registration Form Registration Date Name Client ID Contact Number Email id Training Registered for: 1. Basics of Equity 1 Day ` 1,100/- Cheque / DD number 2. Basics of F&O 1 Day ` 2,200/- Amount 3. Basics to Advance Technical Analysis 2 Days ` 5,500/- Dated 4. Advance F&O Strategies 2 Days ` 5,500/- To serve you better please tic the following My Profession is Salaried/ Businessman /others(please specify) I am primarily a Investor/Trader/Positional trader On a monthly basis I trade in volume of shares 0-1lac/1lac- 10lacs/10lacs - 50lacs/50lacs - 1crore/ 1crore -10 crores On a monthly basis I trade/invest in volume of shares 0-1lac/1lac- 10lacs/10lacs - 50lacs/50lacs-1crore/1crore -10 crores I primarily trade in Shares/ F&O/Commodities/Currency I had my account opened with reliance securities 1month - 3 months/3months-6months/6months -1 yr / 1yr> I prefer trading frombranch/ Online/ Call and Trade I prefer Reliance Securities because of Any suggestions I would be interested in training on subject F30 Signature Kindly share a few information to help you serve better Use for office purpose only 31 Ver 2.8 / Sep 2012
Acknowledgement MANDATORY To, 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East). Mumbai 400 063. Date: D D M M Y Y Y Y I/We hereby acknowledge receipt of the following documents: 1 Rights and Obligations of Stock Brokers, Sub-brokers and Clients 2 Risk Disclosure Document for Capital Market and Derivatives Segments 3 Guidance Note - Do s and Don ts for Trading on the Exchange(s) for Investors 4 Policies and Procedures of Reliance Securties Ltd. pursuant ot the SEBI circular dated December 03, 2009 5 General Terms and Conditions governing securities Trading and Brokings services of Reliance Securities Ltd. 6 Terms and Conditions of R-MAX Plan 7 Terms and Conditions of Regular Stocks Purchase Plan (RSP Plan) I/We understand that the Voluntary documents executed by me/us are out my/our free will. I/We hereby confirm that I/We have clearly understood and agree to abide by the Policies and Procedures as well as Terms and Conditions (containing para 1 to 105) described by Reliance Securities Ltd. (RSL). I/We also understand and agree that these Policies and Procedures as well as Terms and Conditions can be changed by RSL from time to time with prior notice of 15 days and subject to posting of the amendments and modifications therein on it s website and their applicability with prospective effect. I/We have read and understood the Terms and Conditions govering securities trading and broking services of RSL as mentioned in para 1 to 105 and agree to abide by the same. F31 Signature Client Name : CUT HERE Disclaimer The Acknowledgement slip given is only to acknowledge receipt of the documents collected by the representative of the Company and in no way to be construed as an acceptance of documents. Kindly quote the application no. printed in the acknowledgment slip for any query related to the status of client s application. 32 Ver 2.8 / Sep 2012
For Office Use Only Sr. No. 0900025026. 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East). Mumbai 400 063. Tel.: (91) (22) 3320 1212 Fax : (91) (22) 3320 1555 E-mail: customer.support@rsec.co.in / grievance@rsec.co.in Form handed to Branch CSE Entity Name Code Branch Sales (Sourcing) RM (Service) Dealer / ATPC Partner MARGIN CHEQUE DETAILS Amount Cheque No. Bank Name Date CMS Slip No. Branch & City Cheque Deposit Date *Application processing charges of ` 950/- is not refundable. ACCOUNT OPENING CHEQUE DETAILS Amount* Cheque No. Bank Name Date CMS Slip No. Branch & City Cheque Deposit Date I / We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/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. I/We also undertake that any change in the Rights and Obligations and RDD would be made available on my/our website, if any, for the information of the clients. UCC Code allotted to the Client Name of the Employee Employee Code Designation of the Empoyee Date Signature Documents Verified with Originals by Client Interviewed by In-Person Verification done by Acknowledgement Sr. No. 0900025026. 11th Floor, R-Tech IT Park, Western Express Highway, Goregaon (East). Mumbai 400 063. Tel.: (91) (22) 3320 1212 Fax : (91) (22) 3320 1555 E-mail: customer.support@rsec.co.in / grievance@rsec.co.in We hereby acknowledge the receipt of the Account Opening Form (Trading & Demat) from: Name of the Sole / First Holder Name of Second Holder Name of Third Holder Cheque Details Chq. No. Date Amount Account Opening Margin P A R T N E R C O D E *Application processing charges of ` 950/- is not refundable. 33 Ver 2.8 / Sep 2012
34 Ver 2.8 / Sep 2012
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