ACCOUNT OPENING FORM - NON INDIVIDUAL

Transcription

1 ACCOUNT OPENING FORM - NON INDIVIDUAL TM IndiaNivesh Commodities Private Limited

2 th Registered/Correspondence Of ce: 1702, 17 Floor, Lodha Supremus, Senapati Bapat Marg, Lower Parel, Mumbai Ph: Fax: Website: Compliance Offcer Name, Tel No. & ID: Mr. Swapnil Patil, , swapnil.patil@indianivesh.in Directors Detail: Tel No. & ID : Manoj Jain, , manoj.jain@indianivesh.in Member of Multi Commodity Exchange of India Limited (Membership No ) & National Commodity Derivatives Exchange Limited (Membership No. 330), Indian Commodity Exchange Ltd (Membership No. 2032) SEBI Registration No.: INZ , CIN : U51900MH2000PTC Clearing Member: IL&FS Securities Services Ltd. Clearing Member Code: MCX , NCDEX - C50717 SEBI Registration No.: INZ For any grievance/dispute please contact member IndiaNivesh Commodities Pvt. Ltd. at the above or idgrievances@indianivesh.in Tel.: in case not satis ed with the response, please contact the concerned exchange(s) at MCX : grievance@mcxindia.com, Tel.: NCDEX: askus@ncdex.in, Tel.: In case you are not satis ed with the response, please register his grievance directly through SEBI's grievance portal score SEBI HELP LINE NO: & IndiaNivesh Commodities Private Limited is engaged in client based business and proprietary trading as well. This disclosure is made in pursuance of SEBI circular dated 25th April KYC (Account Opening application form) Part I KYC form - Document captures the basic Information about the constituent and an interaction / check list. Part II Other Information 2 Tariff sheet Document detailing the rate / amount of brokerage and the charges levied on the client for trading on the commodities Exchange (for be added by the member). 3 Declaration FATCA/CRS Declaration Form 4 Risk Disclosure Document 5 Rights and Obligations Documents 6 Guidance Note - Do s and Don ts for the Investors 7 Policy And Procedure Documents VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER* 8 Undertaking / Authorisation by Client to Maintain this account in Running Account Declaration by the Client Basis 9 ECN ECN activation Form Letter for Additional / Adhoc Margins Mobile Trading / Internet Base Trading Activation Request Format a) Trading Board Resolution /Authority Letter by Partnership Firm Format 22 b) Declaration of HUF a) Risk Pro ling Sheet & AML b) Consent for Sharing of Data and Information 27 ** Separately provided to client and available on website ** ** ** ** 15-16

3 Dear Investor/s We thank you for choosing IndiaNivesh Commodities Private Limited, for all your Investment needs. We value your decision and assure you that we will strive to assist you in best possible manner for all your investment related needs. "We enclose herewith "KYC" (Know Your Client) form along with Annexures for your execution for opening of your trading and Demat accounts with us. We would urge to you go through the contents of Annexure - 2 (Risk Disclosure Document), Annexure - 3 (Rights & obligations) & Annexure - 4 (Do's and Don'ts) carefully, before executing the form. We would request you to provide us with your address and mobile number in the KYC. The address is required so that your accounts and trade information can be sent to you electronically. We would send you a Welcome letter activation of your account through and a hard copy of KYC form will be sent to you through courier. We request the Online trading clients to keep the password con dential. We thank you once again. Yours faithfully On Behalf of INCPL Team To, IndiaNivesh Commodities Private Limited Mumbai Dear Sir/ Madam, I / We acknowledge the receipt all the mandatory documents containing Rights and Obligations Documents (Trading)/ Uniform Risk Disclosure Document ( RDD ) / Guidance note - Do's and Don'ts for Investors/ Policy and Procedure documents and also received Copy of KYC form (along with Tariff Sheet & Other Voluntary Documents). I am also aware of availability of above document on your website (1/13)

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9 4. Occupa on (please ck any one and give brief details): Private Sector Public Sector Government Service Business Professional Farmer Others (Specify) 5 Please ck, as applicable: (for any of your authorised signatories / promoters / partners / karta / trustees / whole me directors) Poli cally Exposed Person (PEP) Related to a Poli cally Exposed Person (PEP) Not a Poli cally Exposed Person (PEP) Not Related to a Poli cally Exposed Person (PEP) 6 DEMAT / COMTRACK ACCOUNT DETAILS : Depository Details : CDSL NSDL COMTRACK DP Name DP ID Client ID Default ID MCX FUTURE MCX OPTION NCDEX FUTURE NCDEX OPTION ICEX FUTURE (5/13) (5/13) (5/13) (5/13) (5/13) -5-

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13 General Rates ** MCX FUTURE MCX OPTION NCDEX FUTURE NCDEX OPTION ICEX FUTURE STAMP DUTY STATE GST TURNOVER TAX CENTRAL GST The above rates are exclusive of transaction charge, Stamp Duty, Securities Transaction Tax, Turnover fees, Grading and warehousing charges (on actual basis), State GST, Central GST on transaction charges and turnover fees levied by exchange /SEBI and State GST, Central GST on brokerage which will be charged extra at the rate prevailing from time to time. The General rates as mentioned here shall be applied unless the special rates as may be agreed by the sub-broker/authorised Person/Introducer and client and the same are mentioned here. * Duplicate Contract Note Charges for physical copies Rs. 50/- per copy * Software Charges for IBT Client s Rs.1000+Taxes per segment p.a. * Clearing charges charged by clearing member will be charged on actual basis. * IndiaNivesh reserve the rights to change the brokerage as well as other tariff from time to time under intimation to client. ** For clients opting for physical contract note, or clients who has opted for ECN but subsequently shifted to physical contract note due to bouncing of ECN, minimum brokerage of Rs. 50/- will be charged subject to upper cap of highest rate of brokerage allowed by regulator from time to time. (6/13) DECLARATION 1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. 2. I/We con rm having read/been explained and understood the contents of the tariff sheet and all voluntary/nonmandatory documents. 3. I/We further con rm having read and understood the contents of the 'Rights and Obligations' document(s),'risk Disclosure Document' and 'Do's and Don'ts'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on member 's designated website. 4. I/we intend to trade in Commodity Options contract subject to regulatory requirements of the Exchange and SEBI from time to time. (7/13) -9-

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15 IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Tel.: Fax: I/we hereby declare that Part I FATCA/CRS Self Declaration Form A. Is the account holder a Government body/international Organization/listed company on recognized stock exchange If No, then proceed to point B If yes please specify name of stock exchange, if you are listed company and proceed to sign the declaration B. Is the account holder a (Entity/Financial Institution) tax resident of any country other than India If yes, then please ll of FATCA/ CRS Self certi cation Form If No, proceed to point C C. Is the account holder an Indian Financial Institution If yes, please provide your GIIN, if any If No, proceed to point D D. Are the Substantial owners or controlling persons in the entity or chain of ownership resident for tax purpose in any country outside India or not an Indian citizen If yes, (then please ll FATCA/ CRS self-certi cation form). If No, proceed to sign the declaration Customer Declaration ( ) Under penalty of perjury, I/we certify that: Yes/ No Yes/ No Yes/ No Yes/ No 1. The applicant is: (i) An applicant taxable as a US person under the laws of the United States of America ( U.S. ) or any state or political subdivision thereof or therein, including the District to Columbia or any other states of the U.S., (ii) An estate the income of which is subject to U.S. federal income tax regardless of the source thereof. (This clause is applicable only if the account holder is identi ed as a US person) 2. The applicant is an applicant taxable as a tax resident under the lows of country outside India. (ii) (iii) (iv) (v) I/We understand that the IndiaNivesh Commodities Private Limited (INCPL) is relying on this information for the purpose of determining the status of the applicant named above in compliance with FATCA/CRS. The IndiaNivesh Commodities Private Limited (INCPL) is not able to offer any tax advice on FATCA/CRS or its impact on the applicant. I/we shall seek advice from professional tax advisor for any tax questions. I/We agree to submit a new form within 30 days if any information or certi cation on this form becomes incorrect. I/We agree that as may be required by domestic regulators/tax authorities the IndiaNivesh Commodities Private Limited (INCPL) may also be required to report, reportable details to CBDT or close or suspend my account. I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certi cation is true, correct, and complete including the taxpayer identi cation number of the applicant. Signature (as per MOP) Names and designation of Signatories Name of Account Holder Date PAN Number of Account Holder (8/13) -11-

16 Part II Self-Certi cation Form (Entity) for Foreign Account Tax Compliance Act ( FATCA ) and Common Reporting Standards (CRS) Section 1: Entity information Name of Entity Customer id (if existing) Entity Constitution Type Entity Identi cation type Entity Identi cation No (based on entity identi cation type) Entity Identi cation issuing country Country of Residence for tax purpose A- Sole Proprietorship B-Partnership Firm C-HUP D-Private Limited Company E-Public Limited Company F-Society G-AOP/BOI H-Trust I-Liquidator J-Limited Liability Partnership k- Arti cial Juridical Person z-others x-not Categorised T-TIN C-Company Identi cation Number G-USGIIN E-Global Entity Identi cation Number (EIN) O-Other Section 2: Classi cation of Non-Financial entities I/We (on behalf of the entity) certify that the entity is: a) An entity incorporated and taxable in US (Speci ed US person) If Yes, please provide your U.S. Taxpayer Identi cation Number (TIN) b) An entity incorporated and taxable outside of India (other than US) Yes/No Yes/No If Yes, please provide your TIN or its functional equivalent Provide your TIN issuing country Please provide the following additional details if you are not a Speci ed US Person FATCA / CRS classi cation for Non- nancial entities (NFFE) Active NFFE Passive NFFE without any controlling Person Passive NFFE with Controlling Person(s) Direct Reporting NFFE (Choose this if any entity has registered itself for direct reporting for FATCA and thus IndiaNivesh Commodities Private Limited (INCPL) is not required to do the reporting) Yes/No Yes/No US/ Others Yes/No Please provide GIIN number -12-

17 Section 3: Classi cation of nancial institutions (including Banks) I/We (on behalf of the entity) certify that the entity is a. An entity is a U.S. nancial institution If Yes, (i) Please provide your Taxpayer Identi cation Number (TIN) Please provide GIIN, if any If No, please tick one of the following boxes below: FATCA classi cation Reporting Foreign Financial Institution in a Model 1 applicable Inter-Governmental Agreement ( IGA ) Jurisdiction Reporting Foreign Financial Institution in a Model 2 IGA Jurisdiction Participating FFI in a Non-IGA Jurisdiction Non-reporting FI Non-Participating FI Owner-Documented FI with speci ed US owners Yes/No Please provide the Global Intermediary Identi cation number (GIIN) or other information where Section 4: Controlling person declaration If you are classi ed as Passive NFFE with Controlling Person(s) or Owner documented FFI or Speci ed US person, please provide the following details: Name of controlling person Correspondence Address Country of residence for tax purpose TIN TIN issuing Country Controlling person Type Details Controlling person 1 Controlling person 2 Controlling person 3 Controlling person 4 Controlling person 5 Identi cation Type (Refer Appendix 2) Identi cation Number Occupation Type (Refer Appendix 2) Occupation Birth Date Nationality Country of Birth -13-

18 Section 5: Declaration (i) Under penalty of perjury, I/we certify that: 1. The number shown on this form is the correct taxpayer identi cation number of the applicant, and 2. The applicant is (i) an applicant taxable as a US person under the laws of the United States of America ( U.S. ) or any state or political subdivision thereof or therein, including the District of Columbia or any other states of the U.S., (ii) an estate the income of which is subject to U.S. federal income tax regardless of the source thereof, or 3. The applicant Is an applicant taxable as a tax resident under the laws of country outside India. (ii) I/We understand that the IndiaNivesh Commodities Private Limited (INCPL) is relying on this information for the purpose of determining the status of the applicant named above in compliance with CRS/FATCA. The IndiaNivesh Commodities Private Limited (INCPL) is not able to offer any tax advice on CRS or FATCA or its impact on the applicant. I/we shall seek advice from professional tax advisor for any tax questions. (iii) I/We agree to submit a new form within 30 days if any information or certi cation on this form gets changed. (iv) I/ We agree as may be required by /Regulatory authorities, IndiaNivesh Commodities Private Limited (INCPL) shall be required to comply to report, reportable details to CBDT or close or suspend my account. (v) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certi cation is true, correct and complete including the tax payer identi cation number of the applicant. I/We hereby con rm that details provided are accurate, correct and complete Signature (as per MOP) Names and designation of Signatories Name of Account Holder Date PAN Number of Account Holder (Company Seal, if applicable, to be af xed) (9/13) -14-

19 IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Date: Dear Sir, Sub.: Authorization for maintaining account on running account basis 1. I/We hereby authorize you to maintain my account with you on a running account basis for the purpose of operational convenience. 2. Please settle my running account on Quarterly /monthly basis. 3. I/We understand that while settling my accounts member can retain necessary funds to meet my/our pay-in or margin obligation for my/our open position/bill. Member can also retain 125% of margin requirement or any other amount as speci ed by regulatory from time to time as additional margin in anticipation of next 5 days margin requirement. 4. If my/our securities are lying with Trading member/clearing member on the date of settlement the same will be returned to client within three working days from date of settlement. 5. The said authority can be revoked by me any time by giving a written intimation to this effect to the registered of ce of the member. 6. However the such revocation shall be effective prospectively from the date of its receipt and shall not effect the rights of the broker to take necessary actions under this authorization with respect to the outstanding obligations of already executed transaction till the date of receipt of the revocation intimation. 7. I/We Authorized you to keep the funds & securities with you if the value of funds & securities refundable to me is less than Rs.10,000/- or any other amount as speci ed by regulatory time to time for any settlement period. Thanking you, (10/13) -15-

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21 Electronic Contract Note [ECN] - DECLARATION (VOLUNTARY) Appendix A To, IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Dear Sir, I, a client with Member M/s. IndiaNivesh Commodities Private Limited of Multi Commodity Exchange of India Limited & National Commodity & Derivatives Exchange Limited & Indian Commodity Exchange Limited. Exchange undertake as follows: I am aware that the Member has to provide physical contract note in respect of all the trades placed by me unless I myself want the same in the electronic form. I am aware that the Member has to provide electronic contract note for my convenience on my request only. Though the Member is required to deliver physical contract note, I nd that it is inconvenient for me to receive physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me. I have access to a computer and am a regular internet user, having suf cient knowledge of handling the operations. My id is* This has been created by me and not by someone else. I am aware that this declaration form should be in English or in any other language known to me. I am aware that non-receipt of bounced mail noti cation by the member shall amount to delivery of the contract note at the above ID. The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same. * (The id must be written in Own handwriting of the client.) Client Name : Unique Client Code : PAN : Address : (11/13) Signature of the client Date : Place : Veri cation of the client signature done by, Name of the designated of cer of the Member Signature -17-

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23 MCX / NCDEX / ICEX To IndiaNivesh Commodities Pvt. Ltd. 1702, Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Tel.: Fax: (hereinafter referred as IndiaNivcsh) I/We hereby undertake that I/we shall when called upon to do so by Multi Commodity Exchange of India Limited / National Commodities & Derivatives Exchange Limited / Indian Commodity Exchange Limited., by way of their circulars / noti cations, as and when required, from time to time, provide a margin deposit and/or additional/adhoc margin money as may be required in respect of business done for me/us by IndiaNivesh Commodities Pvt. Ltd. Through Multi Commodity Exchange of India Limited / National Commodities & Derivatives Exchange Limited / Indian Commodity Exchange Limited.) (12/13) -19-

24 To IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai NCDEX ICEX -20-

25 (13/13) -21-

26 TRADING BOARD RESOLUTION IN CASE OF THE CORPORATE CLIENT (On Companies Letterhead) CERTIFIED TRUE COPY OF THE RESOLUTION PASSED BY THE BOARD OF DIRECTORS OF THE COMPANY AT ITS MEETING HELD ON...AT THE REGISTERED OFFICE OF THE COMPANY AT Opening of Commodity Account with IndiaNivesh Commodities Private Limited "RESOLVED THAT a Commodity Account of the Company be opened with IndiaNivesh Commodities Private Limited, a member of National Commodity & Derivatives Exchange Limited (NCDEX), Multi Commodity Exchange (MCX), Indian Commodity Exchange Limited (ICEX) and for the purpose of trading in the commodities derivatives & spot Market in NCDEX/MCX/ICEX and the said member be and is hereby authorized to honour instructions given on behalf of the Company. RESOLVED FURTHER THAT Mr...and Mr..., Directors of the Company be and are hereby jointly / severally authorized to sell, purchase, transfer, endorse, negotiate and/or otherwise deal in commodities on behalf of the Company. RESOLVED FURTHER THAT the following Director of the Company, whose specimen signature is appended below is authorised singly to:- 1. place orders with IndiaNivesh Commodities Private Limited for buying and selling of commodity and derivatives contracts at NCDEX, MCX and ICEX as well is in Spot Market through telephone, voic , , fax letter or other mode / means of communication as may be thought necessary from time to time for the aforesaid purpose, 2. sign, execute and deliver orders, instructions, letters, notes contracts, and such other documents as may be considered necessary from time to time for the aforesaid purpose, 3. make / receive payment on behalf of the Company, and 4. take all such actions and do all such things as may be deemed prudent, necessary and expedient for giving effect to the above resolution from time to time. 5. to trade in Commodity Options contract subject to regulatory requirements of the Exchange and SEBI from time to time. IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai

27 DP/ CP 1. That Shri/Smt...is the present Karta or the Manger of the said HUF. 2. That we are entitled to trade in Commodity and open Commodity trading and Demat account of the said HUF. 3. That each one of us has full and unrestricted authority to act on behalf of, and bind, the said HUF and all the present as well as future members, both adults and minors, of the said HUF however constituted form time to time. 4. We con rm that the affairs of the said HUF and business of HUF rm are carried mainly by the Karta/Manager...on behalf and in the interest and for the bene t of all the co-parceners of the said HUF. We hereby authorize said Karta/Manager on behalf of HUF to deal on National Commodity & Derivatives Exchange Limited (NCDEX), Multi Commodity Exchange (MCX), Indian Commodity Exchange Limited (ICEX) of all exchanges and said trading member hereby authorized to honor all instructions oral or written given by him on behalf of the HUF. The said Karta/Manager is authorized to sell, purchase transfer, endorse, negotiate documents, sign, execute and submit such applications, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary to open account and give effect to this purpose. We are however jointly and severally responsible for all liabilities of said HUF to the said trading Member and agree and con rm that any claim due to the Member from said HUF shall be recoverable from the assets of any one or all of us and also from the estate of the said HUF including the interest thereon of every co-perceners of the said HUF including from the minor coparceners if any. 5. We undertake to advise the Member in writing of any change that may occur in the Karta/ Management or in the constitution of the said HUF and until receipt of such notice by the trading Member, the Member will entitled to regard each of us as a member of the said HUF and all acts, dealing and transactions purporting to have been done on behalf of the said HUF before the Member shall have received notice in the manner aforesaid, shall be binding on the said HUF and said HUF and on our respective estates. We shall, however continue to be liable jointly and severally to the Member of all dues and obligation of the said HUF in the Member's Book on the date of the receipt of such notice by the Member and until such dues and obligations shall have been liquidated and discharged. 6. To facilitate the operation of the above Commodity trading account with you and for the purpose of completing the share transfer obligations pursuant to the trading operations we authorize you to recognize the bene ciary account no...with Depository...DP/ CP id...client id...in the Name of HUF/Karta. 7. We agree that obligation of the share purchase and /or sale by HUF will be handled and completed through transfers to /from the above mentioned bene ciary account. We recognize and accept transfers made by you to the bene ciary account as completion of obligations by you in respect of trades executed in the above trading account of the HUF. 8. The names and date of birth of the present minor co-parceners as well as the adult co-parceners of the said HUF are given below. We undertake to inform you in writing as and when each of said minor members attains the age of majority and any change in adult co-parceners. 9. We hereby state that details mentioned above are true and any change in them would be intimated in writing.s. -23-

28 Anti Money Laundering and Risk Proo ng Sheet S e c u r i t i e s L i m i t e d Risk Pro le Assessment Question 1. What is your main purpose of Investing? Answer a. To protect capital (2 marks) b. To protect capital and earn regular income (4 marks) c. To grow capital (6 marks) d. To grow capital and generate regular income (8 marks) e. To build long-term wealth (10 marks) 2. What is your current portfolio composition: a. Mainly money market, short-term funds, corporate / bank deposits and bonds (2 marks) b. Mainly debt market instruments, gold and some portion in blue-chip stocks (4 marks) c. A mix of debt instruments, blue-chip / aggressive stocks, capital protected and direct equity (6 marks) d. Mainly aggressive stock, high-yield debt funds, (small and midcap stocks and income funds) private equity and real estate (8 marks) e. Mostly speculative or high-risk investments (aggressive stocks, high-risk funds, options, real estate, leveraged positions, etc.) (10 marks) 3. What is your investment horizon and when do you plan to start withdrawing money from the portfolio? a. Within 1 year (2 marks) b. Between 1 and 3 years (4 marks) c. Between 3 and 5 years (6 marks) d. Between 5 and 10 years (8 marks) 4. What percentage of your investments would you like to keep for emergencies or unforeseen events? a. More than 50% (2 marks) b. 25% - 50% (4 marks) c. 10% - 25% (6 marks) d. Below 10% (8 marks) e. None of my investments (10 marks) 5. If your investment is not doing as well as anticipated, how much time would you give for it to show performance a. less than 3 months (2 marks) b. Up to 6 months (4 marks) c. Up to 12 months (6 marks) d. Up to 2 years (8 marks) e. Up to 3 years or more (10 marks) 6. Which of the following best describes you as an investor: a. Comfortable with investments that involve lower risk and generate lower but consistent returns year-to-year (2 marks) b. Willing to ignore minor fluctuations in my portfolio but prefer to be invested in less risky investments (4 marks) c. I would like to have moderate capital growth over a long- term period with short-term fluctuations, but averse to taking high risks (6 marks) d. Looking for substantial investment returns, willing to accept occasional short-term declines (8 marks) e. Targeting high investment returns, willing to accept higher risks including loss of capital (10 marks)

29 Question Answer 7. Which portfolio will you choose from the following The table shows the worst and the best one year return of ve hypothetical investment plans: Indicative Return Best Return Worst Return Risk Volatility a 6% 6% 6% - (2 marks) b 7% 12% 2% 2.50% (4 marks) c 10% 30% -10% 10% (6 marks) d 12% 45% -25% 12% (8 marks) e 15% 60% -30% 20% (10 marks) 8. Assuming an inflation rate of 4-6% p.a. over a medium to long-term horizon, what is your return expectation? a. Inflation rate plus 2-4% p.a. (2 marks) b. Inflation rate plus 5-7% p.a. (4 marks) c. Inflation rate plus 8-10% p.a. (6 marks) d. Inflation rate plus 11-15% p.a. (8 marks) e. More than 15% p.a. over inflation rate (10 marks) 9. If your investment in a particular stock falls by 25% and there is no change in the fundamentals of the company (assuming that your circumstances and conviction about that that stock has not changed), you will 10. How frequently do your track your stocks? 11. What kind of research interests you the most? 12. What is your source of Stock market information? a. Not trade in stocks (2 marks) b. Sell all your holdings in that stock (4 marks) c. Sell part of your holdings in that stock (6 marks) d. Hold in order to get better returns (8 marks) e. Buy more of the stock (10 marks) a. Many a times b. Once in a day b. Weekly d. Monthly a. Investment and strategy and investment ideas b. Short term trading calls c. Daily market view and day trading calls a. TV channels b. News Paper c. Friends/Relative d. Broker e. Others (specify) 13. What is market/ stock preference? Market Preference Speculator Regulator investor Occasional Investment Trader Stock Preference High risk return Bluchip Stock valued less then Rs.10/- IndiaNivesh Research Stock recommended by other research house What does your Risk Pro le Score mean? Wealth Guard (Risk Averse) Wealth Keeper (Conservative) Wealth Builder (Balanced) Wealth Enhancer (Growth) Wealth Multiplier (Aggressive) Total Score

30 Whether any of your director or shareholder or Key Managerial Person are any of the following, or are directly or indirectly related to any of the following: NO Below 5 lacs lacs 50 lacs & more 5-15 lacs lacs Civil Servant Bureaucrat (Tax authorities, Foreign Services, IAS etc.) Politician or relative of politician Current or former MP, MLA, MLC or relative Current or former Head of State or their relative Connected to Media Print Radio TV Internet Blogs Connect to any promoter group of company listed on any stock exchange Name of the Company. Name of Stock exchange where company is listed. Declaration - Risk pro le (Strike off whatever is not applicable) 1. I have undergone the risk pro ling process and I agree with the risk category I have been placed under based on my risk pro le assessment. OR 2. I have undergone the risk pro ling process. However, I do not agree with the risk category derived above based on my risk pro le assessment and I want to override the risk category Based on my own assessment and attitude towards risk and investment, I prefer to be placed under risk category. (Please select a risk pro le from the ve model risk categories mentioned in the previous page.) 3. I also undertake to update the status if there is any change in future. Signature of Account Holder Place: Date:

31 (VOLUNTARY) To IndiaNivesh Commodities Private Limited Lodha Supremus, 17th Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Dear Sir, Sub: Sharing of Data and Information I/We have opened a trading account with INCPL having client code and demat account with IndiaNivesh Commodities Private Limited (INCPL-Comtrack) having Comtrack and am/are interested in knowing about various nancial products /facilities offered by your associate/group companies. I/We am/are aware that the associate/group companies are required to obtain information about me/us and my/our transactions for providing various nancial products/facilities. I/We hereby voluntarily accept and expressly authorize INCPL to get the information from INCPL-Comtrack or from any other Depository Participant of its group/associate companies with whom I/we have the Demat account and share/disclose or use in any manner, the information/documents/data about me/us and our transactions, with group/associate companies which is offering the products/facilities which may be availed by me/us: 1. Information provided by me/us in the Trading and Demat / Comtrack Account Opening Kit. 2. My holdings in stocks/securities / comtrack. 3. Ledger balances in my/our trading/demat / comtrack account across all Exchanges/Depositories. 4. Transaction cum holding statement with INCPL-Comtrack 5. Any other related information I/We authorize you, your group companies and associates to keep me/us informed with any nancial product which IndiaNivesh, its group companies and associates presently issue, deal in, or distribute or may, from time to time, launch, issue, deal in or distribute through , SMS, telephone, print media or otherwise as may be allowed. I/We have no objection to INCPL sharing the above information or any such other information, about me/us with its group/associate companies or af liates. This is without legal obligation on you, your group companies and associates to so inform and you or they may, in their discretion, discontinue sending such information. I/We understand that IndiaNivesh Commodities Private Limited will not have any nancial liability for the third party products/ scheme/league/ competitions etc. offered/run by associates/group companies of IndiaNivesh Commodities Private Limited. I/We also understand that participation in any such scheme/league/ competitions or dealing in any of such products shall be at my/our sole discretion and I/we shall not have any recourse to any dispute redressal mechanism/arbitration mechanism/investor protection schemes of the exchanges/sebi upon my / our participation in any such scheme/league/competition etc against the M/s IndiaNivesh Commodities Private Limited. Yours faithfully, Client Name : Signature of Client : Place : Date :

32 * through group company IndiaNivesh Securities Limited/IndiaNivesh Ltd. # for distribution only TM IndiaNivesh Commodities Private Limited Regd. Office: LODHA SUPREMUS, th 17 Floor, Senapati Bapat Marg, Lower Parel (West), Mumbai Tel: l Fax: l commodities@indianivesh.in Web: