About PhillipCapital 2. Procedure to get Backoffice Username and Password 3. Funds Payin Equity 5-6. Pledge Creation and Pledge Release Equity 7

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1 House Rules Index DESCRIPTION PAGE NO. Go to Page About PhillipCapital 2 Procedure to get Backoffice Username and Password 3 Backoffice Application Summary Equity and Currency section 3 4 Funds Payin Equity 5-6 Pledge Creation and Pledge Release Equity 7 Securities Payin and Payout 8-10 Application for change in Client Master Reactivation of Account, Account Closure, Schedule of taxes and charges Commodities section Funds Payin Commodities Pledge Creation and Pledge Release Commodity 16 Reactivation of Account, Account Closure, Schedule of taxes and charges Contact Details PhillipCapital (India) Page 1

2 ABOUT PhillipCapital Established in 1975, PhillipCapital is an integrated financial institution which offers a full range of quality and innovative financial services to retail, corporate and institutional customers. Our comprehensive suite of financial services include fund management, unit trusts, insurance planning, investment research and broking in bonds, securities, futures, foreign exchange, precious metals and commodities. Institutions can also benefit from our corporate finance and advisory services as well as information technology solutions With more than 3500 employees globally, our assets under management worldwide totals more than USD 18 Billion with shareholders' funds in excess of USD 1 Billion. Today, we operate in the financial hubs of 16 countries, with offices in Australia, Cambodia, China, Dubai, France, Hong Kong, India, Indonesia, Japan, Malaysia, Singapore, Sri Lanka, Thailand, Turkey, United Kingdom and Unites States. ( For three successive years, Phillip Securities Pte Ltd (A member of PhillipCapital) has clinched the Best Retail Broker Award, recognized by the Securities Investors Association of Singapore (SIAS) at the SIAS Investors Choice Awards The award is largely for the quality of service and information provided by the brokerage firms so as to help retail investors to invest smartly. PhillipCapital (India) Pvt. Ltd. (PCIPL) is headquartered in Mumbai and is a full service broker and a reputed member of following stock exchanges - BSE Capital Market - INB NSE Capital Market - INB NSE Derivatives (Trading and Clearing) - INF TM: 14665; CM: M51102 BSE Derivatives (Trading and Clearing) - INF TM: 416; CM: 416 NSE Currency - INE TM: 14665; CM: M51102 MCX SX Capital Market - INB MCX Derivatives (Trading and Clearing) - INF MCX SX Currency Derivatives - INE Depository Participant : NSDL - DP ID IN CDSL - DP ID Phillip Commodities India Pvt. Ltd. (Phillip Commodities), is member of following exchanges in India MCX - MCX/TCM/CORP/ ; ITCM: 8600 NCDEX - NCDEX/TCM/CORP/ NSEL NSPOT - NCDEX/SPOT/020/CO/07/10024 PhillipCapital (India) Page 2

3 Procedure to get Backoffffiice Username and Password Client can get their respective Back Office Log in / Username and Password from our Back Office Website. Kindly find below steps to get the same : 1. Please visit our website and Click on Back Office. 2. To get Log in/ Username, click on the link Get Username and follow the instructions. Username will be sent to client on his registered id. 3. To get Password, click on the link Forgot Password and follow the instructions. Password will be sent to client on his registered id. (Note - Please Ensure Popup blocker permits pop up s to be opened from our site.) The data for the current date will be available only after 7.00 p.m. Please avoid log in between 5.00 p.m. and 7.00 p.m. due to End of Day Processing. Reports are compatible only with Internet Explorer Version 6 up to 9. Back Offiice Applliicatiion Summary Note Kindly refer Back Office Help Report Description option in your Back Office log in to get details of reports available Online. PhillipCapital (India) Page 3

4 Equity and Currency Section PhillipCapital (India) Pvt. Ltd. No.1, 18th Floor, Urmi Estate, 95, Ganpatrao Kadam Marg, Lower Parel West, Mumbai India / Tel.: 91(22) Fax. : 91(22) PhillipCapital (India) Page 4

5 Detail of Bank Accounts are as under - Funds Pay in For Futures & Options Segment PhillipCapital (India) Pvt. Ltd. Bank Name Type of bank A/c Bank Account No IFSC code Bank Branch Address HDFC BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai AXIS BANK ICICI BANK UTIB Universal Insurance Building, Ground Floor, Sir P M Road, Fort, Mumbai ICIC Navsari Building,240 DN Road, Fort, Mumbai For Cash Segment PhillipCapital (India) Pvt. Ltd. Bank Name Type of bank Bank Account IFSC code Bank Branch Address A/c No AXIS BANK UTIB Universal Insurance Building, Ground Floor, Sir P M Road, Fort, Mumbai HDFC BANK ICICI BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai ICIC Free Press House, 215, Nariman Point, Mumbai For NSE Currency Segment PhillipCapital (India) Pvt. Ltd. Bank Name Type of bank A/c Bank Account No IFSC code Bank Branch Address ICICI BANK ICIC Free Press House, 215, Nariman Point, Mumbai For MCX Currency Segment PhillipCapital (India) Pvt. Ltd. Bank Name Type of bank A/c Bank Account No IFSC code Bank Branch Address AXIS BANK UTIB Navsari Building,240 DN Road, Fort, Mumbai HDFC BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai For DP Payments PhillipCapital (India) Pvt. Ltd.. Bank Name Type of bank Bank Account IFSC code Bank Branch Address A/c No ICICI BANK ICIC Free Press House, 215, Nariman Point, Mumbai HDFC BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai PhillipCapital (India) Page 5

6 Kindly also take note of following 1. The credit shall be effected to client account in respective segments, according to the credit received in respective bank accounts. 2. For credit of cheques deposited directly, kindly send scan / fax or photo copy of cheque. 3. In case of funds transferred through RTGS/ NEFT, kindly send scan / fax or photo copy of request letter or bank statement. Please inform us the reference no / UTR, client bank a/c no, exchange and segment to be credited. In case of deposit, please mail us the deposit slip along with the copy of the cheque so that we can check whether credit received and give the same in the respective ledger 4. In case of funds transferred through NET Transfer, kindly send copy of bank statement or print screen / payment confirmation. 5. Inter segment transfer entries shall not be entertained until the cheque is cleared. 6. Please do not deposit the cheques in any drop box and always get an acknowledgement from the bank. 7. Before depositing the cheques, please verify the cheque date, payee name, amount in numbers and words and finally whether the cheque has been signed by the client. 8. No cash to be deposited in our any of the bank account. We will not return the cash deposited in our account to the client as we will ask the bank to credit the same to their suspense account. The client has to deal with bank at their own cost to get the money back from bank. Cheque Return In case, cheque issued by client towards their payin obligations bounce (dishonoured), in such cases, accounts dept. shall pass the reverse entry. A penalty of Rs.500/- + s tax is charged to the client account. There will be no reversal of cheque return penalty and no query in this regard shall be entertained. Major reason for cheque return is given below Insufficient funds Effects not cleared Clients bank account does not have clear balance. Exceeds arrangement Clients bank account does not have sufficient funds. Stop Payment Difference in amount and words State or post dated cheque Signature difference Payee name on mentioned Preferably a returned cheque should not be re-deposited and clients are advised to send new cheque. The cheque once returned, shall not be returned to client. Pay Order / Cheque Cancellation Sometimes clients request for payout cheque / pay order to be cancelled as they may have bought again or for keeping the credit towards margin. In such cases, kindly send the original cheque or pay order to Head Office in Mumbai. Once original pay order is received, Payout team shall send cancellation request to the bank. Credit entries for pay order cancellation will be passed on receipt of credit from the bank. Pay Order / Cheques lost For Cheques or pay orders lost by client, a stop payment request has to be submitted by to Customer Help Desk, stating that the pay order has been lost. In such cases, PhillipCapital shall submit letter to bank to cancel the pay order. Credit entries for stop payment will be passed on receipt of credit from the bank. Stop payment charges of Rs.100/- shall be debited to client account. PhillipCapital (India) Page 6

7 Pledge Creation and Pledge Release For pledge creation and release from demat account outside PhillipCapital Client s can also create pledge from their DP a/c outside PhillipCapital, details are as under - Securities may be pledged in favor the following account for NSE Exchnage Depository DP Name DP-Id. Client Id. NSDL PhillipCapital (India) Private Limited IN CSDL PhillipCapital (India) Private Limited Securities may be pledged in favor the following account for BSE Exchnage Depository DP Name DP-Id. Client Id. NSDL PhillipCapital (India) Private Limited IN CSDL PhillipCapital (India) Private Limited PhillipCapital (India) Page 7

8 Securities Payin : Securities Payin and Payout For clients having DPPOA accounts with PhillipCapital, securities shall be debited from client demat account on T+1 and transferred to respective settlement account. Clients who are transferring securities from outside DP should ensure that payin is done on T + 1 basis and latest by T+2 day within the stipulated deadline as specified by the Exchanges. Clients should transfer the securities in PhillipCapital Pool Accounts in NSDL. The CMBP-ID for PhillipCapital are as under EXCHANGE NSE Depository Clearing Member Name CM-BP ID Client Id DP-Id DP Name NSDL PhillipCapital (India) Pvt. Ltd. IN IN PhillipCapital (India) Private Limited EXCHANGE BSE Depository Clearing Member Name CM-BP ID Client Id DP-Id DP Name NSDL PhillipCapital (India) Pvt. Ltd. Payin from DPPOA Acccount - (Auto Payin) IN IN PhillipCapital (India) Private Limited Clients should preferably have their demat account with PhillipCapital with POA. For such POA accounts where the shares sold by the client are lying in client demat account, the client does not have to give delivery instruction slip for shares sold in PhillipCapital. Clients should ensure that shares sold by them are lying in their POA account to avoid auctions and any on market and off market transfers the client want to do should be done after the pay in is completed. Advantage of Auto pay in is that clients get more limits next day, as there is no shortage of shares. Credit in client ledger account on account of sale of these shares is fully available for limit purpose. Payin from non listed client demat account (Multiple DP or Third Party Account) In case client has given pay in of shares from his other demat, the details of which are not updated in client master with PhillipCapital, settlement team shall not recognize the same for pay in. IB should submit requisite details of client id along with DP proof (copy of client master) through Scan or fax copy latest by 9.00 am on pay in day and get it mapped in the back office. For getting new demat account mapped in the back office, IB has to co-ordinate with respective RM. In the event such dp proof is not submitted, though share are received in settlement account, it shall be considered as shortage and it shall be liable for auction. Pay in from Third Party account is strictly not allowed. Where shares are to be transferred from third party account, IB should advise client to transfer it to their DPPOA account in PhillipCapital and the same is informed to settlements team before stipulated time. PhillipCapital (India) Page 8

9 Market and Internal Short Deliveries The broker will have either market position or an internal position in the scrip. Market short payin positions are auctioned by the Exchange and the auction bill is debited to clients account based on the Exchange auction price + applicable penalty. Internal shortages arise when one client of the broker fails to deliver and hence the other client of the same broker does not receive securities payout. In such a scenario, auction is not possible as positions are internal and hence PhillipCapital has an internal shortage close out policy. Any type of costs, risks, loss occurring as a result of treatment of internal shortages by PhillipCapital shall be solely on account of client and PhillipCapital shall not be responsible for the same. In the event a customer fails to deliver to PhillipCapital any securities that have been sold by the client to meet the sale obligation by the stipulated pay-in time, PhillipCapital shall be entitled to obtain such securities to enable PhillipCapital to deliver securities to client who has purchased these securities. Securities Payout - The securities payout is released to clients demat account as under Clients holding DPPOA account with us Share received in payout shall be credited in clients DPPOA account with PhillipCapital latest by T+3 days. Clients not holding DPPOA account with us or holding DP outside PhillipCapital 1) Pay-out of Securities to the Client s beneficiary account will be done latest by T+3, if there are no dues outstanding from the client and on a pro rata basis as per available balance. 2) In case of deficit in the ledger on effective date of pay-out (i.e. T+2) the securities will be held by PhillipCapital in the Beneficiery Account. 3) Client desirous of receiving the securities so held should place special instruction for releases through their IB at least 48 hours before the execution date. 4) Securities available in the Beneficiary Account will be delivered to the CM Pool Account by PhillipCapital to meet the Client s pay-in obligation, if any. 5) IB may request release of the securities from withhold accounts via Fax / to the Settlements Department. 6) Clients are requested to ensure that released securities are not required for immediate pay-in. 7) DP charges on withhold accounts will be 0.02% of the transaction value with a minimum of Rs. 10 for cash transaction. For billing purpose transaction value shall be arrived at the last available closing price of the security for the month of billing. The payouts are released in the default payout account only. A client may have multiple pay in accounts but the payout will be delivered in the default account only. Share Allocation of delivery payout Any type of costs, risks, loss and occurring as a result of such share allocation by PhillipCapital shall be solely on account of client and PhillipCapital shall not be responsible for the same. In the event the share payout received from Exchange is less than the total share payout receivable from Exchange, PhillipCapital shall do the share allocation among its clients in the following manner:- 1. 1st priority to clients who has given the excess stock; 2. 2nd priority to minimum quantity first; 3. Client Code wise. PhillipCapital (India) Page 9

10 Corporate benefits Clients transfer shares to PhillipCapital as collaterals for F&O and CM segment to take benefit of higher turnover and exposure limits and also towards F&O margin requirement. In case of CM segment, PhillipCapital also withholds securities payout of those clients whose ledger is in debit balance. In such cases, PhillipCapital often receives corporate benefit on such shares. The benefits are due to clients and the disbursement procedure is as below Dividend In such cases, we reconcile data for those clients whose shares are kept with us on record date. The ledger of these clients is credited with the dividend amount once it is received from respective company. Rights When companies declare Rights issue, PhillipCapital receives rights application form. In such cases, we first reconcile the date of clients eligible for the said rights issue. The right issue form is then sent to the client. In case more than one client is eligible for rights issue, we send this form to registrar to split the form and after receiving the split forms we send them to respective clients. Bonus Normally bonus shares are received in our collateral and beneficiary account with unlisted ISIN s. Once the ISIN s are listed these shares are then allocated to clients in our back office and then transferred to clients demat account after checking debit balance. Fractional corporate benefits Sometimes the ratio of bonus issues are such that benefits are received partly in shares and a fractional part is received in cash. Such credit is credited to the accounts of clients, who are eligible for the same. PhillipCapital (India) Page 10

11 Application for Change in Client Master For any changes / addition in client master like Address, Phone Numbers, Id., Bank details and Demat Account details in Trading account or in Demat account, request in the prescribed format in original along with the required documents duly self attested by the client and verified with original by the IB is required. Modification in Client Master KRA format (Address, Contact details, etc.) (Individual) Modification in Client Master KRA format (Address, Contact details, etc.) (Non - Individual) Application For Updation Change Of Details In Client Master (Individual / Non Individual) Annexure 7.1 PDF File Annexure 7.2 PDF File Annexure 7.3 PDF File Please Note : I. For Equity and Currency Segment - Change in Permanent / Correspondence / Registered Office Address or Change in Phone Numbers or in Id - Kindly use Modification In Client Master (Address, Contact details, etc.) Change in Bank details Kindly use Application For Updation / Change Of Details In Client Master. II. For Commodities Segment - For all changes in client master, kindly use Application For Updation / Change Of Details In Client Master Guidelines for Change of Address- 1. Application for Address Change needs to be signed (signed by all holders in case of joint account) in person by client. 2. Application for Address Change should be enclosed with copy of self attested proof of identity and a valid proof of address. IB should verify the same with the original proof of new address and mention "Verified with original" on the proof of address. 3. Further in cases, if the address change is to be effected in DP also then latest transaction statement received by the client from our DP should also be obtained from the client. 4. Application for Address Change and all supporting documents are required to be self attested by IB. Guidelines for Change of Bank details - 1. Application for change of bank details needs to be signed (signed by all holders in case of joint account) in person by client. 2. Application for change of bank details should be enclosed with copy of cancelled cheques and latest bank statement (if preprinted) / copy of passbook with latest transaction statement. Where bank statement attached is on a plain paper, it is be attested by bank official with stamp alongwith his name, employee code and designation. 3. Application and all supporting documents are required to be self attested by IB. For list of valid proof of address and bank proof, please refer to account opening section. PhillipCapital (India) Page 11

12 Reactivation of Account Trading Account in which no trades have taken place in previous 2 calendar years in equity shall be marked Inactive. The Account can be reactivated on receipt of duly signed Reactivation letter in a specified format from the client. Format of Reactivation Letter (Equity) Annexure 14.1 PDF file Account Closure Closure Application to be sent in specified format and signed by all holders in case of joint DP. Format of Trading A/c Closure Application Annexure 15 Word File NSDL Demat Account Closure Request Form Annexure 8.4 PDF File CDSL Demat Account Closure Request Form Annexure 9.4 PDF File Schedule of taxes and charges - Detailed annexure is available in back office. PhillipCapital (India) Page 12

13 Commodities Section Phillip Commodities India Pvt. Ltd. No.1, 18th Floor, Urmi Estate, 95, Ganpatrao Kadam Marg, Lower Parel West, Mumbai India / Tel.: 91(22) Fax. : 91(22) PhillipCapital (India) Page 13

14 Detail of Bank Accounts are as under - Funds Pay in For MCX Segment - Phillip Commodities India Pvt. Ltd. Bank Name Type of bank A/c Bank Account No IFSC code Bank Branch Address HDFC BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai, For NCDEX Segment - Phillip Commodities India Pvt. Ltd Bank Name Type of bank Bank Account IFSC code Bank Branch Address A/c No ICICI BANK ICIC Free Press House, 215, Nariman Point, Mumbai, AXIS BANK UTIB Universal Insurance Building, Ground Floor, Sir P M Road, Fort, Mumbai Others (Business Account) - Phillip Commodities India Pvt. Ltd. Bank Name Type of bank A/c Bank Account No IFSC code Bank Branch Address HDFC BANK HDFC Gr. Floor, Motwani Chambers, Maneckji Wadia Marg, Fort, Mumbai, ICICI BANK AXIS BANK ICIC Free Press House, 215, Nariman Point, Mumbai UTIB Navsari Building,240 DN Road, Fort, Mumbai PhillipCapital (India) Page 14

15 Kindly also take note of following 1. The credit shall be effected to client account in respective segments, according to the credit received in respective bank accounts. 2. For credit of cheques deposited directly, kindly send scan / fax or photo copy of cheque. 3. In case of funds transferred through RTGS/ NEFT, kindly send scan / fax or photo copy of request letter or bank statement. Please inform us the reference no / UTR, client bank a/c no, exchange and segment to be credited. In case of deposit, please mail us the deposit slip along with the copy of the cheque so that we can check whether credit received and give the same in the respective ledger 4. In case of funds transferred through NET Transfer, kindly send copy of bank statement or print screen / payment confirmation. 5. Inter segment transfer entries shall not be entertained until the cheque is cleared. 6. Please do not deposit the cheques in any drop box and always get an acknowledgement from the bank. 7. Before depositing the cheques, please verify the cheque date, payee name, amount in numbers and words and finally whether the cheque has been signed by the client. 8. No cash to be deposited in our any of the bank account. We will not return the cash deposited in our account to the client as we will ask the bank to credit the same to their suspense account. The client has to deal with bank at their own cost to get the money back from bank. Cheque Return In case, cheque issued by client towards their payin obligations bounce (dishonoured), in such cases, accounts dept. shall pass the reverse entry. A penalty of Rs.500/- + s tax is charged to the client account. There will be no reversal of cheque return penalty and no query in this regard shall be entertained. Major reason for cheque return is given below Insufficient funds Effects not cleared Clients bank account does not have clear balance. Exceeds arrangement Clients bank account does not have sufficient funds. Stop Payment Difference in amount and words State or post dated cheque Signature difference Payee name on mentioned Preferably a returned cheque should not be re-deposited and clients are advised to send new cheque. The cheque once returned, shall not be returned to client. Pay Order / Cheque Cancellation Sometimes clients request for payout cheque / pay order to be cancelled as they may have bought again or for keeping the credit towards margin. In such cases, kindly send the original cheque or pay order to Head Office in Mumbai. Once original pay order is received, Payout team shall send cancellation request to the bank. Credit entries for pay order cancellation will be passed on receipt of credit from the bank. Pay Order / Cheques lost For Cheques or pay orders lost by client, a stop payment request has to be submitted by to Customer Help Desk, stating that the pay order has been lost. In such cases, Phillip Commodities shall submit letter to bank to cancel the pay order. Credit entries for stop payment will be passed on receipt of credit from the bank. Stop payment charges of Rs.100/- shall be debited to client PhillipCapital (India) Page 15

16 account. Plledge Creatiion and Plledge Rellease Securities may be pledged in favor the following account for commodity segment. For MCX Segment Depository DP Name DP-Id. Client Id. NSDL PhillipCapital (India) Private Limited IN CSDL PhillipCapital (India) Private Limited For NCDEX Segment Depository DP Name DP-Id. Client Id. NSDL PhillipCapital (India) Private Limited IN CSDL PhillipCapital (India) Private Limited Phillip Commodities India Private Limited accepts securities duly approved by Exchanges as collateral. 2 For creating a pledge, instructions should indicate Client s Trading A/c, Exchange and Segment. 3 A minimum period of 48 hours is required to release pledged securities. 4 Phillip Commodities India Private Limited may deposit securities pledged with it to the Exchange/Clearing Corporation. Securities withdrawal request from clients for such cases will be affected within 72 hours. 5 Clients should inform Phillip Capital of the Pledge creation/closure by faxing the DP slip. PhillipCapital (India) Page 16

17 Reactivation of Account Trading Account in which no trades have taken place in 6 months for commodity shall be marked Inactive. The Account can be reactivated on receipt of duly signed Reactivation letter in a specified format from the client. Format of Reactivation Letter (Commodity) Annexure 14.2 PDF file Account Closure Closure Application to be sent in specified format and signed by all holders in case of joint DP. Format of Trading A/c Closure Application Annexure 15 Word File Schedule of taxes and charges - Detailed annexure is available in back office. PhillipCapital (India) Page 17

18 Contact detaiills Emaiill Ids and Contact Numbers Department / Desk Id's Contact numbers / Extn. Customer Helpdesk css 1000@phillipcapital.in / customeraffairs@phillipcapital.in / contact@phillipcapital.in / Board line No Fax No Thank You PhillipCapital (India) Page 18

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