MCX APPLICATION FORM DETAILS (FILL IN BLOCK LETTERS) Married / Unmarried

Transcription

1 MCX APPLICATION FORM DETAILS (FILL IN BLOCK LETTERS) Full Name Mobile Number ID Mother Name Marital Status Married / Unmarried Oupation Designation Company Name Company Address Brokerage Plan REQUIRED PROOFS: 1. PAN Card 1 Xerox Copy. 2. ADHAR Card 1 Xerox Copy. 3. Last 6 Months Bank Statement 1 Xerox Copy Reent Passport Size photos. NOTE: 1. Name + Date of Birth + Sign must be same in all proofs and form. 2. All proofs Xerox opies must be very lear. 3. All proofs Xerox opies eah and every page must be self-attested.

2 DOCUMENTS TO BE ATTACHED ALONG WITH THE TRADING FORM 1. ID Proof 2. Address Proof 3. Bank Proof 4. Inome Proof 1 Self-attested opy of any of the following douments : i) Passport Number iii) PAN ard v) UID (Aadhaar) ii) Voter ID ard iv) Driving Liene vi) NREGA Job ard 1 Self-attested opy of any of the following douments : i) Passport Number iii) Driving Liene v) NREGA Job ard ii) Voter ID ard iv) UID (Aadhaar) 1 anelled heque (Personalised i.e Name to be printed on the heque). If not, please attah a opy of Passbook alongwith 1 to 3 months Transation Page or Bank Statement of latest 1 to 3 months. 1 Self-attested opy of any of the following douments : i) Pay slip (last 3 Months) ii) Form 16 / IT Returns ( latest) iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii iii) 6 month Bank statement (latest) iv) Copy of Demat Holding with any other Broker / DP iiiii v) If you do not have any of the douments listed above, we request you to sign the Self-Delaration on the last page of the Trading form alongwith latest bank transation page of 1 to 3 months. QUICK CHECK LIST FOR CLIENT 1. Photoopy of lear and legible PAN Card / ID Proof 2. Photoopy of lear and legible Address Proof 3. Photoopy of lear and legible Bank Proof (Name, A/. No. MICR & IFSC details) 4. Photoopy of Finanial Proof 5. Sign in all the plaes ( ) marked - Page wise details given below. Page No No. of Signatures Chek & Tik

3 MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES A. KYC form - Doument aptures the basi information about the KYC (Aount Opening Form) Constituent and an instrution/hek list. appliation form B. Doument aptures the additional information about the Constituent Relevant to trading aount and an instrution/hek list. Rights and Obligations of Members, Authorized Persons and Clients Do s and Don ts for the Investors Poliies and Proedures SET OF ACCOUNT OPENING DOCUMENT FORTUNE TRADING CORPORATION Member : MULTI COMMODITY EXCHANGE OF INDIA LTD (MCX) & INDIAN COMMODITY EXCHANGE LIMITED (ICEX) MCX Member ID No ICEX Member ID No.2010 SEBI Registration No. INZ Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : Compliane offier : K. Narayana Moorthy, Phone No: id : ft@ftonline.in INDEX S. No. Name of the Doument Brief Signifiane of the Doument Page No 3 Uniform Risk Dislosure Doument (RDD) Doument detailing risks assoiated with dealing in the ommodities market. Doument stating the Rights & Obligations of Member, Authorized Person and lient for trading on exhanges (inluding additional rights & obligations in ase of internet/wireless tehnology based trading). Doument detailing do's and don'ts for trading on exhange, for the eduation of the investors. Doument desribing signifiant poliies and proedures of the Commodity broker. Doument detailing the rate/amount of brokerage and other harges 6 Tariff sheet levied on the lient for trading on the ommodity exhange(s) Annexures 2, 3, 4 & 5 are available in the link pdf VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER 7 Voluntary Additional Tariff Sheet Others harges levied on the lient for the servies opted by them, if any, in trading on the ommodity exhanges(s) Annexure - 2 Annexure - 3 Annexure - 4 Annexure ECN Delaration Eletroni Contrat Note Delaration for reeiving ontrat notes by mail Mobile Delaration & Aknowledgement Client s onsent letter for reeiving SMS and other details from Member. Aknowledgement for reeipt of douments exeuted Maintenane of Running aount - Letter of Authority Required for maintaining lients aount for smooth running and for other authorisation Aeptane Letter Letter aepting the Rules & Regulation of FORTUNE TRADING CORPORATION & Client Delaration Trade Alerts Consent form for reeiving trade alerts through SMS and/or Self Delaration - Commodity Trading Self Delaration on Inome and Net-worth furnished pursuant Claue 47 of MCA Self Delaration - FATCA and CRS Self Delaration form for Foreign Aount Tax Compliane At (FATCA) and CRS For any grievane / disputes please ontat FORTUNE TRADING CORPORATION at the above address/ /Phone. In ase not satisfied with the response, please ontat the onerned exhanges. Multi Commodity Exhange of India Ltd. (MCX) Indian Commodity Exhange Ltd. (ICEX) Ph : (022) Fax : (022) Ph : (022) grievane@mxindia.om grievane@iexindia.om Website : Website : (1)

4 A. IMPORTANT POINTS: INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM 1. Self attested opy of PAN ard is mandatory for all lients, inluding Promoters / Partners / Karta / Trustees and whole time diretors and persons authorized to deal in ommodity derivatives on behalf of ompany / firm / others. 2. Copies of all the douments submitted by the appliant should be self-attested and aompanied by originals for verifiation. In ase the original of any doument is not produed for verifiation, then the opies should be properly attested by entities authorized for attesting the douments, as per the below mentioned list. 3. If any proof of identity or address is in a regional language, then translation into English is required. 4. Name & address of the appliant mentioned on the KYC form, should math with the doumentary proof submitted. 5. If orrespondene & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the appliation in his individual name & apaity. 7. For non-residents and foreign nationals, (allowed to trade subjet to RBI and FIPB/FEMA guidelines and other appliable statutory approvals), opy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absene of DIN no. for the diretors, their passport opy should be given. 9. In ase of Merhant Navy NRI's, Mariner's delaration or ertified opy of CDC (Continuous Disharge Certifiate) is to be submitted along with other statutory approvals required for investment in ommodities. 10. Politially Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent publi funtions in a foreign ountry, e.g., Heads of States or of Governments, senior politiians, senior Government/ judiial/ military offiers, senior exeutives of state owned orporations, important politial party offiials, et. B. Proof of Identity (POI): - List of douments admissible as Proof of Identity: 1. Unique Identifiation Number (UID) (Aadhaar)/ Passport/ Voter ID ard/ Driving liense. 2. PAN ard with photograph. 3. Identity ard issued by any of the following : Central / State Government and its Departments, Statutory / Regulatory Authorities, Publi Setor Undertakings, Sheduled Commerial Banks, Publi Finanial Institutions, Colleges affiliated to Universities, Professional Bodies suh as ICAI, ICWAI, ICSI, Bar Counil et., to their Members; and Credit ards/debit ards issued by Banks. C. Proof of Address (POA): - List of douments admissible as Proof of Address: (Note : Douments having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residene/ Driving Liense/ Flat Maintenane bill/ Insurane Copy. 2. Utility bills like Telephone Bill (only land line), Eletriity bill or Gas bill - Not more than 3 months old. 3. Bank Aount Statement/Passbook -- Not more than 3 months old. 4. Proof of address issued by any of the following: Bank Managers of Sheduled Commerial Banks/Sheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Offier/Notary publi/eleted representatives to the Legislative Assembly/ Parliament/ Douments issued by any Govt. or Statutory Authority. 5. Identity ard/doument with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Publi Setor Undertakings, Sheduled Commerial Banks, Publi Finanial Institutions, Colleges affiliated to Universities and Professional Bodies suh as ICAI, ICWAI, ICSI, Bar Counil et., to their Members. 6. The proof of address in the name of the spouse may be aepted. D. Exemptions to PAN (Note : Suffiient doumentary evidene in support of suh laims to be olleted.) 1. Transations undertaken on behalf of Central Government and/or State Government and by offiials appointed by Courts e.g. Offiial liquidator, Court reeiver et. 2. Investors residing in the state of Sikkim (subjet to the ontinued exemption granted by Government). E. List of people authorized to attest the douments: 1. Notary Publi, Gazetted Offier, Manager of a Sheduled Commerial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the opy). 2. In ase of NRIs, authorized offiials of overseas branhes of Sheduled Commerial Banks registered in India, Notary Publi, Court Magistrate, Judge, Indian Embassy /Consulate General in the ountry where the lient resides are permitted to attest the douments. (2)

5 A. IDENTITY DETAILS ANNEXURE - 1 PART - I KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR INDIVIDUALS) NEW CHANGE REQUEST (Please tik the appropriate) Please fill this form in ENGLISH and in BLOCK LETTERS (Please tik thex on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the orresponding row. FORTUNE TRADING CORPORATION Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : 1. Name of the Appliant : Aknowledgement No. PHOTOGRAPH Father s/ 2. Spouse Name : 3a. Gender : Male Female 3b. Marital Status :Single Married 3. Date of birth : (dd/mm/yyyy) 4a. Nationality : Indian Other (Please speify) 4b. Status: Resident Individual Non Resident Foreign National 1 Please affix your reent passport size photograph and sign aross it 5a. PAN : 5b. Unique Identifiation Number (UID) / Aadhaar, if any : 6. Speify the proof of identity submitted: PAN Card Other (Please speify) B. ADDRESS DETAILS 1. Residene Address : City/Town/Village: Pinode: State: Country: 2. Speify the Proof of Address submitted for Residene / Correspondene Address : 3. Contat Details: Tel.(Off.) Tel.(Res.) Mobile No: Fax: id : 4. Permanent Address (if different from above or Overseas Address, Mandatory for Non-Resident Appliant) : City/Town/Village: Pinode: State: Country: DECLARATION I hereby delare that the details furnished above are true and orret to the best of my knowledge and belief and I undertake to inform you of any hanges therein, immediately. In ase any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. 2 Date : (dd/mm/yyyy) Signature of the Appliant FOR OFFICE USE ONLY In Person Verifiation (IPV) Details : Name of the Person who has done the IPV : Designation : Employee ID : Name of the Organization : FORTUNE TRADING CORPORATION Date of IPV : (DD/MM/YYYY) Signature of the person who has done the IPV Seal/Stamp of the Intermediary Originals verified and Self Attested opies reeived (3)

6 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM Iiiiiiii of A. IMPORTANT POINTS: 1. Self attested opy of PAN ard is mandatory for all lients. 2. Copies of all the douments submitted by the appliant should be self-attested and aompanied by originals for verifiation. In ase the original of any doument is not produed for verifiation, then the opies should be properly attested by entities authorized for attesting the douments, as per the below mentioned list. 3. iiiiiiiif any proof of identity or address is in a foreign language, then translation into English is required. 4. iiiiiiiname & address of the appliant mentioned on the KYC form, should math with the doumentary proof submitted. 5. iiiiii If orrespondene & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the appliation in his individual name & apaity. 7. For non-residents and foreign nationals,(allowed to trade subjet to RBI and FEMA guidelines), opy of passport/ PIOCard/ OCICard and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absene of DIN no. for the diretors, their passport opy should be given. 9. In ase of Merhant Navy NRI s, Mariner s delaration or ertified opy of CDC (Continuous Disharge Certifiate) is to be submitted. 10. For opening an aount with Depository partiipant or Mutual Fund, for a minor, photoopy of the Shool Leaving Certifiate/Mark sheet issued by Higher Seondary Board/Passport of Minor/Birth Certifiate must be provided. 11. Politially Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent publi funtions in a foreign ountry, e.g., Heads of States or of Governments, senior politiians, senior Government/ judiial/ military offiers, senior exeutives of state owned orporations, important politial party offiials, et. B. Proof of Identity( POI) : List of douments admissible as Proof of Identity: 1. iiiiii PAN ard with photograph. This is a mandatory requirement for all appliants exept those who are speifially exempt from obtaining PAN (listed in Setion D). 2. iiiiiiiunique Identifiation Number (UID) (Aadhaar) / Passport / Voter ID ard/ Driving liense. 3. iiiiiiiidentity ard/ doument with appliant s Photo, issued by any of the following: Central/State Government and its Departments Statutory/Regulatory Authorities, Publi Setor Undertakings Sheduled Commerial Banks, Publi Finanial Institutions, Colleges affiliated to Universities, Professional Bodies suh as ICAI, ICWAI,ICSI, Bar Counil et., to their Members; and Credit ards/debit ards issued by Banks. C. Proof of Address (POA): List of douments admissible as Proof of Address: (*Douments having an expiry date should be valid on the date of submission.) 1. Passport / Voters Identity Card / Ration Card /Registered Lease or Sale Agreement Residene/Driving Liense/Flat Maintenane bill/insurane Copy. 2. Utility bills like Telephone Bill (only land line), Eletriity bill or Gas bill Not more than 3 months old. 3. Bank Aount Statement/Passbook - Not more than 3 months old. 4. iiiiii Self-delaration by High Court and Supreme Court judges, giving the new address in respet of their own aounts. 5. Proof of address issued by any of the following: Bank Managers of Sheduled Commerial Banks / Sheduled Co-Operative Bank / Multinational Foreign Banks / Gazetted Offier / Notary publi / Eleted representatives to the Legislative Assembly / Parliament/ Douments issued by any Govt. or Statutory Authority. 6. Identity ard/doument with address, issued by any of the following: Central/State Government and its Departments Statutory/Regulatory Authorities, Publi Setor Undertakings Sheduled Commerial Banks, Publi Finanial Institutions, Colleges affiliated to Universities and Professional Bodies suh as ICAI,ICWAI, ICSI, Bar Counil et.,to their Members. 7. For FII/sub aount, Power of Attorney given by FII/sub-aount to the Custodians (whih are duly notarized and/or apostiled or onsularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be aepted. D. Exemptions/larifiations to PAN (*Suffiient doumentary evidene in support of suh laims to be olleted.) 1. In ase of transations undertaken on behalf of Central Government and/or State Government and by offiials appointed by Courts e.g.offiial liquidator, Court reeiver et. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agenies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50,000/- p.a. 5. iiiiii In ase of institutional lients, namely, FIIs, Mfs, VCFs, FVCIs, Sheduled Commerial Banks, Multilateral and Bilateral Development Finanial Institutions, State Industrial Development Corporations, Insurane Companies registered with IRDA and Publi Finanial Institution as defined under setion 4A of the Companies At, 1956, Custodians shall verify the PAN ard details with the original PAN ard and provide duly ertified opies of suh verified PAN details to the intermediary. E. List of people authorized to attest the douments: 1. iiiii Notary Publi, Gazetted Offier, Manager of a Sheduled Commerial/Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the opy). 2. In ase of NRIs, authorized offiials of overseas branhes of Sheduled Commerial Banks registered in India, Notary Publi, Court Magistrate, Judge, Indian Embassy/Consulate General in the ountry where the lient resides are permitted to attest the douments. F. In ase of Non-Individuals, additional douments to be obtained from non-individuals, over & above the POI & POA, as mentioned below: Corporate Partnership firm Trust HUF Types of entity Uninorporated assoiation or a body of individuals Banks/Institutional Investors Foreign Institutional Investors (FII) Army/ Government Bodies Registered Soiety Doumentary requirements Copy of the balane sheets for the last 2 finanial years (to be submitted every year). Copy of latest share holding pattern inluding list of all those holding ontrol, either diretly or indiretly, in the ompany in terms of SEBI takeover Regulations, duly ertified by the ompany seretary/whole time diretor/md (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time diretors/two diretors in harge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding ontrol - either diretly or indiretly. Copies of the Memorandum and Artiles of Assoiation and ertifiate of inorporation. Copy of the Board Resolution for investment in seurities market. Authorised signatories list with speimen signatures. Copy of the balane sheets for the last 2 finanial years (to be submitted every year). Certifiate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with speimen signatures. Photograph, POI, POA, PAN of Partners. Copy of the balane sheets for the last 2 finanial years (to be submitted every year). Certifiate of registration (for registered trust only). Copy of Trust deed. List of trustees ertified by managing trustees/ca. Photograph, POI, POA, PAN of Trustees. PAN of HUF. Deed of delaration of HUF/ List of opareners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta. Proof of Existene/Constitution doument. Resolution of the managing body & Power of Attorney granted to transat business on its behalf. Authorized signatories list with speimen signatures. Copy of the onstitution/registration or annual report/balane sheet for the last 2 finanial years. Authorized signatories list with speimen signatures. Copy of SEBI registration ertifiate. Authorized signatories list with speimen signatures. Self-ertifiation on letterhead. Authorized signatories list with speimen signatures. Copy of Registration Certifiate under Soieties Registration At. List of Managing Committee members. Committee resolution for persons authorised to at as authorised signatories with speimen signatures. True opy of Soiety Rules and Bye Laws ertified by the Chairman/Seretary (4)

7 FORTUNE TRADING CORPORATION Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : CENTRAL KYC REGISTRY I Know Your Customer (KYC) Appliation Form I Individual Important Instrution : A) Fields marked with (*) are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD - MM -YYYY format. D) Please read setion wise detailed guidelines / instrutions at the end. E) List of State / U.T ode as per Indian Motor Vehile At, 1988 is available at the end. F) List of two harater ISO 3166 ountry odes is available at the end. G) KYC number of appliant is mandatory for update appliation. H) For partiular setion update, please tik (a ) in the box available before the setion number and strike off the setions not required to be updated. Appliation Type * For offie use only New Update (To be filled by finanial institution) KYC Number (Mandatory for KYC update request) Aount Type * Normal Simplified (for low risk ustomers) 1. PERSONAL DETAILS (Please refer instrution A at the end) Prefix First Name Small Middle name last name Name* (same as ID proof) Maiden name (If any*) Father / Spouse name * Mother name * Date of Birth * D D Gender* M - Male Marital Status* MM Y Y Y Y F - Female T - Transgender Married Unmarried Others Citizenship* IN - Indian Others (ISO 3166 Country Code Residential Status* Resident Individual Foreign National Non Resident Individual Person of Indian Origin PHOTO ) S- Servie ( Private Setor Publi Setor Government Setor ) O-Others ( Professional Self Employed Retired Housewife Student) Signature / Thumb B- Business 3 Impression X- Not ategorised 2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instrution B at the end.) Oupation Type* ADDITIONAL DETAILS REQUIRED* (Mandatory only if setion 2 is tiked) ISO 3166 Country Code of Jurisdition of Residene* Tax Identifiation Number or equivalent (If issued by jurisdition)* Plae / City of Birth* ISO 3166 Country Code of Birth* 3. PROOF OF IDENTITY (PoI)* (Please refer instrution C at the end) (Certified opy of any one of the following Proof of Identity [PoI] needs to be submitted) A - Passport Number Passport Expiry date D D MM Y Y Y Y Driving Liene Expiry Date D D MM Y Y Y Y B - Voter ID ard C - PAN ard D - Driving Liene E - UID (Aadhaar) F - NREGA Job ard Z - Others (any doument notified by the entral government) Identifiation Number S - Simplified Measures Aount - Doument Type ode Identifiation Number 4. PROOF OF ADDRESS(PoA)* 4.1 CURRENT/PERMANENT / OVERSEAS ADDRESS DETAILS (Please refer instrution D at the end) (Certified opy of any one of the following Proof of Address [PoA] needs to be submitted) Address Type* Proof of Address* Address Residential / Business Residential Business Registered Offie Passport Driving Liene UID (Aadhaaar) Voter Identity ard NREGA Job ard Others Unspeified Please speify Simplified Measures Aount - Doument Type ode Line 1* Line 2 Line 3 Distrit* City / Town / Village* Pin / Post Code* State / U.T. Code* (5) ISO 3166 Country Code*

8 4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS* (Please refer instrution E at the end) Same as Current / Permanent / Overseas Address details (In ase of multiple orrespondene / loal addresses, please fill Annexure A1 ) Line 1* Line 2 Line 3 City / Town / Village* Distrit* Pin / Post Code* State / U.T. Code* ISO 3166 Country Code* 4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR RAX PURPOSES* (Appliable if setion 2 is tiked) Same as Current / Permanent / Overseas Address details Line 1* Line 2 Line 3 Same as Correspondene / Loal Address details City / Town / Village* Distrit* Pin / Post Code* State / U.T. Code* ISO 3166 Country Code* 5. CONTACT DETAILS (All ommuniations will be sent on provided Mobile no. / ID) (Please refer instrution F at the end) Tel. (Off) Tel. (Res) Mobile Fax 6. DETAILS OF RELATED PERSON (In ase of additional related persons, please fill Annexure B1 ) (Please refer instrution F at the end) Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*) Related Person Type* Guardian of Minor Assignee Authorized Representative Name* A - Passport Number B - Voter ID ard C - PAN ard D - Driving Liene E - UID (Aadhaar) F - NREGA Job ard ID Prefix First Name Middle name last name (If KYC number and name are provided, below details of setion 6 are optional) PROOF OF IDENTITY (PoI) OF RELATED PERSON* (Please refer instrution H at the end) Z - Others (any doument notified by the entral government) S - Simplified Measures Aount - Doument Type ode 7. REMARKS (If any) Passport Expiry date Driving Liene Expiry Date Identifiation Number Identifiation Number D D M M Y Y Y Y D D M M Y Y Y Y 8. APPLICANT DECLARATION I hereby delare that the details furnished above are true and orret to the best of my knowledge and belief and I undertake to inform you of any hanges therein, immediately. In ase 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. I hereby onsent to reeiving information from Centrak KYC Registry through SMS/ on the above registered number/ address. Date : D D M M Y Y Y Y Plae : 4 Signature / Thumb Impression of Appliant 9. ATTESTATION / FOR OFFICE USE ONLY Douments Reeived Certified Copies KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS Date Emp. Name Emp. Code Emp. Designation Emp. Branh D D M M Y Y Y Y Name : Code : FORTUNE TRADING CORPORATION (Employee Signature) (6) [INSTITUTION STAMP]

9 CENTRAL KYC REGISTRY Instrutions / Chek list / Guidelines for filling Individual KYC Appliation Form General Instrutions : 1 Fields marked with '*' are mandatory fields. 2 Tik '' wherever appliable. 3 Self-Certifiation of douments is mandatory. 4 Please fill the form in English and in BLOCK Letters. 5 Please fill all dates in DD-MM-YYYY format. 6 Wherever state ode and ountry ode is to be furnished, the same should be the two-digit ode as per Indian Motor Vehile, 1988 and ISO 3166 ountry ode respetively list of whih is available at the end. 7 KYC number of appliant is mandatory for updation of KYC details. 8 For partiular setion update, please tik () in the box available before the setion number and strike off the setions not required to be updated. 9 In ase of 'Small Aount type' only personal details at setion number 1 and 2, photograph, signature and self-ertifiation required. A Clarifiation / Guidelines on filling 'Personal Details' setion 1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/et.). The name should math the name as mentioned in the Proof of Identity submitted failing whih the appliation is liable to be rejeted. 2 Either father's name or spouse's name is to be mandatorily furnished. In ase PAN is not available father's name is mandatory. B Clarifiation / Guidelines on filling details if appliant residene for tax purposes in jurisdition(s) outside India 1 Tax identifiation Number (TIN): TIN need not be reported if it has not been issued by the jurisdition. However, if the said jurisdition has issued a high integrity number with an equivalent level of identifiation (a Funtional equivalent ), the same may be reported. Examples of that type of number for individual inlude, a soial seurity/insurane number, itizen/personal identifiation/servies ode/number, and resident registration number) C Clarifiation / Guidelines on filling 'Proof of Identity [PoI]' setion FORTUNE TRADING CORPORATION Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : 1 If driving liense number or passport is provided as proof of identity then expiry date is to be mandatorily furnished. 2 Mention identifiation / referene number if 'Z- Others (any doument notified by the entral government)' is tiked. 3 In ase of Simplified Measures Aounts for verifying the identity of the appliant, any one of the following douments an also be submitted and undernoted relevant ode may be mentioned in point 3 (S). Doument Code Desription 01 Identity ard with appliant's photograph issued by Central/ State Government Departments, Statutory/ Regulatory Authorities, Publi Setor Undertakings, Sheduled Commerial Banks, and Publi Finanial Institutions. 02 Letter issued by a gazetted offier, with a duly attested photograph of the person. D Clarifiation / Guidelines on filling 'Proof of Address [PoA] - Current / Permanent / Overseas Address details' setion 1 PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in fore. 2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses. 3 In ase of Simplified Measures Aounts for verifying the address of the appliant, any one of the following douments an also be submitted and undernoted relevant ode may be mentioned in point 4.1. Doument Code Desription 01 Utility bill whih is not more than two months old of any servie provider (eletriity, telephone, post-paid mobile phone, piped gas, water bill). 02 Property or Muniipal Tax reeipt. 03 Bank aount or Post Offie savings bank aount statement. 04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Publi Setor Undertakings, if they ontain the address. 05 Letter of allotment of aommodation from employer issued by State or Central Government departments, statutory or regulatory bodies, publi setor undertakings, sheduled ommerial banks, finanial institutions and listed ompanies. Similarly, leave and liense agreements with suh employers allotting offiial aommodation. 06 Douments issued by Government departments of foreign jurisditions and letter issued by Foreign Embassy or Mission in India. E Clarifiation / Guidelines on filling 'Proof of Address [PoA] - Correspondene / Loal Address details' setion 1 To be filled only in ase the PoA is not the loal address or address where the ustomer is urrently residing. No separate PoA is required to be submitted. 2 In ase of multiple orrespondene / loal addresses, Please fill 'Annexure A1' F Clarifiation / Guidelines on filling 'Contat details' setion 1 Please mention two- digit ountry ode and 10 digit mobile number (e.g. for Indian mobile number mention ). 2 Do not add '0' in the beginning of Mobile number. G Clarifiation / Guidelines on filling 'Related Person details' setion 1 Provide KYC number of related person if available. H Clarifiation / Guidelines on filling 'Related Person details Proof of Identity [PoI] of Related Person' setion 1 Mention identifiation / referene number if 'Z- Others (any doument notified by the entral government)' is tiked. (7)

10 State / U.T Andaman & Niobar Andhra Pradesh Arunahal Pradesh Assam Bihar Chandigarh Chattisgarh Dadra and Nagar Haveli Daman & Diu Delhi Goa Gujarat Haryana Country Afghanistan Aland Islands Albania Algeria Amerian Samoa Andorra Angola Anguilla Antartia Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia, Plurinational State of Bonaire, Sint Eustatius and Saba Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Oean Territory Brunei Darussalam Bulgaria Burkina Faso Burundi Cabo Verde Cambodia Cameroon Canada Cayman Islands Central Afrian Republi Chad Chile China Christmas Island Coos (Keeling) Islands Colombia Comoros Congo Congo, the Demorati Republi of the Cook Islands Costa Ria Cote d'ivoire!côte d'ivoire Croatia Cuba Curaao!Curaçao Cyprus Czeh Republi Denmark Djibouti Dominia Country Code AF AX AL DZ AS AD AO AI AQ AG AR AM AW AU AT AZ BS BH BD BB BY BE BZ BJ BM BT BO BQ BA BW BV BR IO BN BG BF BI CV KH CM CA KY CF TD CL CN CX CC CO KM CG CD CK CR CI HR CU CW CY CZ DK DJ DM List of two digit state / U.T odes as per Indian Motor Vehile At, 1988 Code AN AP AR AS BR CH CG DN DD DL GA GJ HR State / U.T Himahal Pradesh Jammu & Kashmir Jharkhand Karnataka Kerala Lakshadweep Madhya Pradesh Maharashtra Manipur Meghalaya Mizoram Nagaland Orissa Code HP JK JH KA KL LD MP MH MN ML MZ NL OR List of ISO 3166 two- digit Country Code Country Dominian Republi Euador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands (Malvinas) Faroe Islands Fiji Finland Frane Frenh Guiana Frenh Polynesia Frenh Southern Territories Gabon Gambia Georgia Germany Ghana Gibraltar Greee Greenland Grenada Guadeloupe Guam Guatemala Guernsey Guinea Guinea-Bissau Guyana Haiti Heard Island and MDonald Islands Holy See (Vatian City State) Honduras Hong Kong Hungary Ieland India Indonesia Iran, Islami Republi of Iraq Ireland Isle of Man Israel Italy Jamaia Japan Jersey Jordan Kazakhstan Kenya Kiribati Korea, Demorati People's Republi of Korea, Republi of Kuwait Kyrgyzstan Lao People's Demorati Republi Latvia Lebanon Lesotho Liberia Country Code DO EC EG SV GQ ER EE ET FK FO FJ FI FR GF PF TF GA GM GE DE GH GI GR GL GD GP GU GT GG GN GW GY HT HM VA HN HK HU IS IN ID IR IQ IE IM IL IT JM JP JE JO KZ KE KI KP KR KW KG LA LV LB LS LR (8) Country Libya Liehtenstein Lithuania Luxembourg Maao Maedonia, the former Yugoslav Republi of Madagasar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexio Mironesia, Federated States of Moldova, Republi of Monao Mongolia Montenegro Montserrat Moroo Mozambique Myanmar Namibia Nauru Nepal Netherlands New Caledonia New Zealand Niaragua Niger Nigeria Niue Norfolk Island Northern Mariana Islands Norway Oman Pakistan Palau Palestine, State of Panama Papua New Guinea Paraguay Peru Philippines Pitairn Poland Portugal Puerto Rio Qatar Reunion!Réunion Romania Russian Federation Rwanda Saint Barthelemy!Saint Barthélemy Saint Helena, Asension and Tristan da Cunha Saint Kitts and Nevis Saint Luia Saint Martin (Frenh part) Country Code LY LI LT LU MO MK MG MW MY MV ML MT MH MQ MR MU YT MX FM MD MC MN ME MS MA MZ MM NA NR NP NL NC NZ NI NE NG NU NF MP NO OM PK PW PS PA PG PY PE PH PN PL PT PR QA RE RO RU RW BL SH KN LC MF State / U.T Pondiherry Punjab Rajasthan Sikkim Tamil Nadu Telangana Tripura Uttar Pradesh Uttarakhand West Bengal Other Country Saint Pierre and Miquelon Saint Vinent and the Grenadines Samoa San Marino Sao Tome and Prinipe Saudi Arabia Senegal Serbia Seyhelles Sierra Leone Singapore Sint Maarten (Duth part) Slovakia Slovenia Solomon Islands Somalia South Afria South Georgia and the South Sandwih Islands South Sudan Spain Sri Lanka Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syrian Arab Republi Taiwan, Provine of China Tajikistan Tanzania, United Republi of Thailand Timor-Leste Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caios Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Venezuela, Bolivarian Republi of Viet Nam Virgin Islands, British Virgin Islands, U.S. Wallis and Futuna Western Sahara Yemen Zambia Zimbabwe Code PY PB RJ SK TN TS TR UP UA WB XX Country Code PM VC WS SM ST SA SN RS SC SL SG SX SK SI SB SO ZA GS SS ES LK SD SR SJ SZ SE CH SY TW TJ TZ TH TL TG TK TO TT TN TR TM TC TV UG UA AE GB US UM UY UZ VU VE VN VG VI WF EH YE ZM ZW

11 FORTUNE TRADING CORPORATION Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : Annexure A1 CENTRAL KYC REGISTRY I Know Your Customer (KYC) Appliation Form I Individual I Correspondene / Loal Address Important Instrution : A) Fields marked with (*) are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD - MM -YYYY format. D) Please read setion wise detailed guidelines / instrutions at the end. E) List of State / U.T ode as per Indian Motor Vehile At, 1988 is available at the end. F) List of two harater ISO 3166 ountry odes is available at the end. G) KYC number of appliant is mandatory for update appliation. H) For partiular setion update, please tik ( ) in the box available before the setion number and strike off the setions not required to be updated. For offie use only (To be filled by finanial institution) Appliation Type * New Update KYC Number (Mandatory for KYC update request) 1. CORRESPONDENCE / LOCAL ADDRESS DETAILS* (Please refer instrution E at the end) Same as Current / Permanent / Overseas Address details (In ase of multiple orrespondene / loal addresses, please fill Annexure A1 ) Line 1* Line 2 Line 3 City / Town / Village* Distrit* Pin / Post Code* State / U.T. Code* ISO 3166 Country Code* 2. CONTACT DETAILS (All ommuniations will be sent on provided Mobile no. / ID) (Please refer instrution F at the end) Tel. (Off) Tel. (Res) Mobile Fax ID 3. APPLICANT DECLARATION I hereby delare that the details furnished above are true and orret to the best of my knowledge and belief and I undertake to inform you of any hanges therein, immediately. In ase 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. Date : D D M M Y Y Y Y Plae : 5 Signature / Thumb Impression of Appliant (9)

12 Annexure B1 Important Instrution : A) Fields marked with (*) are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD - MM -YYYY format. D) Please read setion wise detailed guidelines / instrutions at the end. FORTUNE TRADING CORPORATION Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Phone : ft@ftonline.in Web : CENTRAL KYC REGISTRY I Know Your Customer (KYC) Appliation Form I Individual I Related Person E) List of State / U.T ode as per Indian Motor Vehile At, 1988 is available at the end. F) List of two harater ISO 3166 ountry odes is available at the end. G) KYC number of appliant is mandatory for update appliation. H) For partiular setion update, please tik ( ) in the box available before the setion number and strike off the setions not required to be updated. For offie use only (To be filled by finanial institution) Appliation Type * New Update KYC Number (Mandatory for KYC update request) 1. DETAILS OF RELATED PERSON (Please refer instrution G at the end) Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*) Related Person Type* Guardian of Minor Assignee Authorized Representative Name* PROOF OF IDENTITY (PoI) OF RELATED PERSON* (Please refer instrution H at the end) A - Passport Number B - Voter ID ard C - PAN ard D - Driving Liene E - UID (Aadhaar) F - NREGA Job ard Prefix First Name Middle name last name (If KYC number and name are provided, below details of setion 6 are optional) Z - Others (any doument notified by the entral government) S - Simplified Measures Aount - Doument Type ode Passport Expiry date Driving Liene Expiry Date Identifiation Number Identifiation Number D D M M Y Y Y Y D D M M Y Y Y Y 2. APPLICANT DECLARATION I hereby delare that the details furnished above are true and orret to the best of my knowledge and belief and I undertake to inform you of any hanges therein, immediately. In ase 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. Date : D D M M Y Y Y Y Plae : Signature / Thumb Impression of Appliant 3. ATTESTATION / FOR OFFICE USE ONLY Douments Reeived Certified Copies KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS Date Emp. Name Emp. Code Emp. Designation Emp. Branh D D M M Y Y Y Y Name : Code : FORTUNE TRADING CORPORATION (Employee Signature) [INSTITUTION STAMP] (10)

13 A. OTHER DETAILS 1. Gross Annual Inome Details (please speify) : Inome Range per annum : OTHER ACCOUNT RELATED DETAILS Below Rs.1 La Rs.1-5 La Rs.5-10 La Rs La > Rs.25 Las (OR) Networth as on (date) (Rs. ) (Net worth should not be older than 1 year) 2. Oupation Private Setor Publi Setor Govt. Servie Business Professional (Please tik any one and give brief details) Farmer Others (Speify) Name of Employer/ Establishment Designation Address (Offie) Period of Servie : 3. Please Tik, as Appliable Politially Exposed Person (PEP) / Related to a Politially Exposed Person (PEP) Not a Politially Exposed Person (PEP) / Not Related to a Politially Exposed Person (PEP) B. BANK ACCOUNT (S) DETAILS Bank Name Bank A/C Number* Bank Branh Address MICR Bank A/C Type RTGS/NEFT/IFSC Code *Payment will be issued to the said Bank aount by default unless & otherwise speified Savings / Current / Others-in ase Of NRI/NRE/NRO Bank Name Bank A/C Number Bank Branh Address MICR Bank A/C Type RTGS/NEFT/IFSC Code Savings / Current / Others-in ase Of NRI/NRE/NRO Note : Provide a opy of anelled heque leaf/ pass book / bank statement speifying name of the lient, MICR Code or/ and IFSC Code of the bank. C. DEPOSITORY ACCOUNT(S) DETAILS, if available Depository Partiipant Name (DP) Depository Name(NSDL / CDSL) Benefiiary Name DP ID Benefiiary ID (BO ID) Note : Provide a opy of either Demat Master or a reent holding statement issued by DP bearing name of the lient. (11)

14 D. TRADING PREFERENCES Please sign in the relevant boxes with whih Exhange you wish to trade. The Exhange not hosen should be struk off by the lient. # Sr. No. Name of the National Commodity Exhanges Date of Consent for Trading Signature of the Client on onerned Exhange 1. Multi Commodity Exhange of India Ltd. (MCX) 6 2. Indian Commodity Exhange Ltd. (ICEX) 7 # At the time of printing the form, the Member must speify the names of the Exhanges where the Member has membership. [In ase of allowing a lient for trading on any other Exhange at a later date, whih is not seleted now, a separate onsent Letter is required by the Member from lient and to be kept as enlosure with this doument] E. Investment /Trading No Prior Experiene years in Commodities Experiene Years in other Investment related field F. SALES TAX REGISTRATION DETAILS (As appliable, State wise) Loal Sales Tax State Registration Number : Validity Date : Name of the state : Central Sales Tax Registration Number : Validity Date : Other Sales Tax State Registration Number : Validity Date : Name of the state : G. VAT DETAILS (As appliable, State wise) Loal VAT Registration Number : Validity Date : Name of the state : Other VAT Registration Number : Validity Date : Name of the state : H. PAST REGULATORY ACTIONS Details of any ation/proeedings initiated/pending/ taken by SEBI / Stok Exhange / Commodity Exhange any other authority against the lient dealing in ommodities during the last 3 years : Yes No I. DEALINGS THROUGH OTHER MEMBERS If lient is dealing through the Member, provide the following details (In ase dealing with Multiple Members, Provide details of all in a separate sheet ontaining all the information as mentioned below): Member s / Authorized Person (AP) s Name Exhange & Exhange s Registration No. Conerned Member s Name With whom the AP is registered Registered Offie Address Phone / Fax / /Web Details Client Code Details of disputes/dues pending from / to suh Member/AP : J. INTRODUCER DETAILS (Optional) Name of the Introduer Status of the Introduer Address of the Introduer Phone no. of the Introduer Signature of the Introduer Authorized Person / Existing Client / Others, please speify: (12)

15 K. ADDITIONAL DETAILS Whether you wish to reeive ommuniation from Member in eletroni form on your -id : Yes No { If Yes then please fill in Appendix-A } Wish to reeive Copy of Standard Douments like Rights & Obligations, Uniform Risk Dislosure Douments and Guidane Note detailing Do s and Don ts. Eletroni Physial L. NOMINATION DETAILS I /WE WISH TO NOMINATE I /WE DO NOT WISH TO NOMINATE Name of the Nominee Relationship with the Nominee PAN of Nominee Address & Phone No. of the Nominee D.O.B. of Nominee IF NOMINEE IS A MINOR, DETAILS OF GUARDIAN Name of Guardian Address & Phone No. of the Guardian Signature of the Guardian WITNESSES (Only appliable in ase the aount holder has made nomination) Name :... Name :... Signature :... Signature :... Address :... Address :... Address :... Address :... DECLARATION 1. I/We hereby delare that the details furnished above are true and orret to the best of my/our knowledge and belief 1. and I/we undertake to inform you of any hanges therein, immediately. In ase any of the above information is found 1. 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 onfirm having read/been explained and understood the ontents of the tariff sheet and all voluntary / non- 2. mandatory douments. 3. I/We further onfirm having read and understood the ontents of the 'Rights and Obligations' doument(s), 'Risk 3. Dislosure Doument' and Do s and Dont s. I/We do hereby agree to be bound by suh provisions as outlined in these 3. douments. I/We have Also been informed that the standard set of douments has been displayed for Information on 3. Member's designated website, if any. Plae : 8 Date : Signature of Client (13)

16 FOR OFFICE USE ONLY UCC Code allotted to the Client : Douments verified with Originals Name of the Employee Employee Code Designation of the employee Date Signature I / We undertake that we have made the lient aware of tariff sheet and all the voluntary/non-mandatory douments. I/We have also made the lient aware of 'Rights and Obligations' doument (s), RDD and Do s and Don't s and Guidane Note. I/We have given/sent him a opy of all the KYC douments. I/We undertake that any hange in the tariff sheet and all the voluntary/non-mandatory douments would be duly intimated to the lients. I/We also undertake that any hange in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the lients. For FORTUNE TRADING CORPORATION Authorised Signatory Date. Seal/Stamp of the Member (14)

17 1. Rates of Brokerage Brokerage details TARIFF SHEET Brokerage Rate Perentage Inl. Stat Cost Minimum First Leg Seond Leg Yes / No Rs. Yes / No Rs. 2. Shedule of Charges Transation harges, Stamp duty, GST, Commodities Transation Tax and any other Statutory harges / levies as appliable. 9 Signature of Client (15)

18 VOLUNTARY ADDITIONAL TARIFF SHEET TRADING ACCOUNT In addition to the CHARGES mentioned in the Tariff Sheet, the following harges will be levied, if the Servies opted by the Client. Please sign in the relevant boxes where you wish to opt the additional servies and not hosen should be struk off by the lient. Trading Client ID Other Servies Option Opted Signature of the Client In addition to Digital Contrat, if the lient requires Physial Contrat Note shall be Rs.50/- per Day. Yes No 10 Call & Trade Charges / Intraday Square Off of MIS/CO/BO Order : iiiiiiiiiiiiiiiiiiiiii Rs.50/- per exeuted order plus GST Yes No 11 Payment Gateway faility is available and harges of Rs.10/- per transation plus GST irrespetive of the amount transferred in single transation Yes No 12 Clearing Member Charges & Other Levies - Rs.200/- per Crore plus GST Yes No 13 SMS Charges - Rs.100/- per month Yes No 14 Debit my trading aount for Rs.50/- towards Appliation harges. Iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii Yes No 15 Signature 16 Client Name Date (16)

19 To, Eletroni Contrat Note (ECN) - DECLARATION (VOLUNTARY) FORTUNE TRADING CORPORATION Member : MCX & ICEX No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), iiiiiiiiiiiiiiiianna Nagar West Extension, Chennai Dear Sir, I/We, M/s FORTUNE TRADING CORPORATION, of MCX & ICEX undertake as follows. Appendix A a lient with Member I/We am/are aware that the Member has to provide ontrat note in respet of all the trades plaed by me unless I/We vvvvmyself/ourself want the same in the eletroni form. I/We am/are aware that the Member has to provide eletroni ontrat note for my/our onveniene on my/our request only. Though the Member is required to deliver physial ontrat note, I/We find that it is inonvenient for me/us to reeive physial ontrat notes. Therefore I/We am/are voluntarily requesting for delivery of eletroni ontrat note pertaining to all the trades arried out/ ordered by me/us. I/We have aess to a omputer and I/We am/are regular internet user, having suffiient knowledge of handling operations. My/our ID is * been reated by me/us and not by someone else. I/We am/are aware that this delaration form should be in English or any other language known to me.. This has I/We am/are aware that non-reeipt of bouned mail notifiation by the Member shall amount to delivery of the ontrat iiiiiiiinote at the above ID. The above delaration and the guidelines on ECN given in the Annexure have been read and understood by me/us. I/We am/are aware of the risks involved in dispensing with the physial ontrat note, and do hereby take full responsibility for the same. *(The id must be written in own handwriting of the lient.) Client Name : Unique Client Code : PAN : Address : Signature of the Client : Date : Plae : 17 Verifiation of the lient signature done by Name of the designated offier of the Member : Signature : (17)

20 MOBILE DECLARATION Delaration for Mobile Number I having PAN No. do hereby delare that my mobile No. is. Further I authorize Fortune Trading Corporation (FTC) that the same may be used for giving me any information / alerts / Trade Communiations / Margin Calls / SMS. Et., I further delare the above mentioned statement is true and orret. Signature : 18 Client Name : RECEIPT OF KYC, RDD and Dos & Don'ts TO FORTUNE TRADING CORPORATION No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Dear Sir, Sub : Reeipt of KYC, RDD and Dos & Don'ts Dear Sir, I / We hereby aknowledge the reeipt of the opy of the under-mentioned douments whih are in aordane with the norms of the guidelines issued by the MCX/ICEX. (a) Copy of the Client Registration Form (b) RDD with other Voluntary undertakings () Dos & Don'ts Signature : 19 Client Name : (18)

21 TO Maintenane of Running A/.- Letter of Authority FORTUNE TRADING CORPORATION Member : MCX & ICEX Member MCX Member ID No ICEX Member ID No.2010 SEBI Registration No. INZ No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Ph. : ft@ftonline.in Web : Dear Sir, I / We have been regularly trading and investing, or plan to do so, with you at The Multi Commodity Exhange of India Ltd.(MCX) and/or Indian Commodity Exhange Ltd. (ICEX). To failitate ease of operations, I / We request and authorise you as under : 1. I / We request you to maintain running balane in my aount and retain the redit balane in any of my / our aount and to use the unused funds towards my / our margin pay-in / other future obligation(s) at any segment(s) of any or all the Exhange(s) / Clearing Corporation unless I / we instrut you otherwise 2. I / We request you to retain seurities / ommodities with you for my / our margin / pay-in / other future obligation(s) at any segment(s) of any or all the Exhange(s) / Clearing Corporation, unless I / we requested you to transfer the same to my / our aount 3. I / We further authorise FTC to settle the funds, seurities and ommodities atleast one in a alender quarter / month as speified by me below in aordane with regulations in fore Quarterly? Monthly? 4. In ase I We have an outstanding obligation on the settlement date, you may retain the requisite seurities / funds towards suh obligations and may also retain the funds expeted to be required to meet margin obligation for next 5 trading days, alulated in the manner speified by the exhanges 5. I / We hereby authorise you to liquidate / lose out all or any of my / our positions for non-payment of margins or other aount, outstanding debts et. I / We agree to bear any and all losses and finanial harges on aount of suh liquidation / lose-out. 6. I / We agree not to hold you liable or responsible for delay or default in performane of your obligations due to ontingenies beyond your ontrol suh as fire, flood, ivil ommotion, earthquake, riots, war, strikes, failure of systems, failure of internet links, Government / regulatory ations or any suh other ontingenies whih may be beyond your ontrol I / We agree to ontinue with the authorization to maintain a running aount till suh time the same is expressly revoked. I / We understand that FTC shall at upon suh revoation request upon reeipt of the original revoation request. th REF : Cirular Ref No, MCX/INSP/ 325/2016 issued by MCX on 29 Sep 2016 regarding quarterly/ monthly settlement of running aounts of lients I am aware that the Member may retain additional margin requirement of maximum upto 125% of margin requirement on the day of settlement to take are of any margin obligation arising in next 5 days for my open positions By onsidering the administrative / operational diffiulties in settling the aounts for regular trading lients, I request you to kindly retain an amount of up to 50,000/- while settling the aount. Thanking you, Yours truly, Signature : 20 Client Code / Name : Date : (19)

22 FORTUNE TRADING CORPORATION (Member of MCX & ICEX) Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai Ph. : ft@ftonline.in Web : ftonline.in RULES & REGULATIONS 1. Please maintain serey of your User Name and Password and never Share your Login Credentials / User Name and Password iiiiiiiiwith anyone. 2. All Bank Aounts from whih the lient will issue heques should be registered with FORTUNE TRADING CORPORATION. Third party heques will not be aepted at any ost. 3. Fortune Trading Corporation will not aept any ash from its lients and will not pay by ash to its lients. Clients are stritly iiiiiiiiadvised not to do any ash transations with any of the sub brokers / staffs /assoiates of Fortune Trading Corporation. Fortune iiiiiiiitrading Corporation will not be responsible for any ash transations. 4. Fortune Trading Corporation does not do any portfolio type of trading. Clients are advised not do any suh ativity with any of our iiiiiiiisub brokers / assoiates / staffs. 5. Fortune Trading Corporation will not give any third party heques at any ost and the heques will be issued only from the iiiiiiiifortune Trading Corporation Bank aount. 6. Kindly hek the s on a daily basis. We send all your ontrat notes, Daily Ativity Reports, Long short Positions, Ledgers on a iiiiiiii daily basis to your id. Disrepanies if any, should be brought to our knowledge immediately. Inase of disputes if any, iiiiiiiiplease write to us at ft@ftonline.in 7. Daily the lients will be sent a SMS from Fortune Trading Corporation with all the aount details, Trade onfirmations and their iiiiiiiipending positions. 8. Delayed payment 2% per month on aount of delay / failure by the lient in meeting the pay-in / margin obligations / iiiiiiiimark to market obligations on the sheduled date till date of payment. Not onsider any redit balane in other family or group iiiiiiiiaount of the lient while omputing delayed payment harges on the debit balane in the running aount of a lient. 9. The above levy is only a penal measure inase of a lient default in meeting settlement and margin obligation and should not be iiiiiiiionstrued as funding arrangement by the lient; and the lient annot demand ontinuation of servie on a permanent basis iiiiiiiiiting levy of delayed payment harges. 10. We are not a dealer and not selling any automated software, harts, tehnial analysis softwares et., to our lients for plaing iiiiiiiiorders / trading purposes. Fortune neither have arrangements nor tied up with any vendor for selling any kind of automated iiiiiiiisoftware, tehnial analysis softwares et., to our lients. DECLARATION I...have read and understood all the terms and onditions of Fortune Trading Corporation mentioned in the Aount Opening Form. I also read and understood the rules and regulations of FORTUNE TRADING CORPORATION mentioned above and I will abide the same. I Further state and onfirm that I have read & understood all the lauses of Risk Dislosure Doument - RDD and Rights & Obligations. I will do all the trading on my own and I will not allow anyone else to do the trading on my behalf. I ensure you that I will not do any Portfolio Business through any assoiates of FORTUNE TRADING CORPORATION. We are aware that Fortune Trading Corporation will not aept Cash, Un-mapped Bank aount and / or Third Party Cheques from their lients. We are ompletely aware that Fortune Trading Corporation not selling any automated software, harts, tehnial analysis software et., to their lients. I have been made understood by Fortune Trading Corporation that Fortune Trading Corporation will not be held responsible for all mis happenings, if I do not follow the Rules & Regulations. 21 Signature of Client Plae :... Date :... Name :... Client Code :... (20)

23 Member : MCX & ICEX Regd. Offie : No.905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extension, Chennai & Member ID of ICEX, undertake as follows : Tthe exhanges MCX & ICEX 22 (21)

24 SELF DECLARATION COMMODITY TRADING (VOLUNTARY) (To be filed if Doumentary Evidene is not furnished by lients trading in Commodity Market Segment) From: Mr./Mrs./Ms: Date: To M/s. Fortune Trading Corporation., 905, First Floor, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extn., Chennai Dear Sir/Madam, Sub: Self-Delaration on Inome and Net-Worth furnished pursuant lause 47 of MCA. Ref: Appliation No. / Client Code: submitted for registration for trading and investments. With referene to the above doument submitted, I do hereby delare and affirm the following. 1. I have been allotted the PAN:, a self-attested opy of whih has been submitted to you as one of the mandatory KYC douments. 2. For the Finanial Year ending 31st Marh, my Annual Inome was approximately Rs. for whih, exept this Self-delaration Letter, no other doumentary proof is provided to you. 3. As on date, my net-worth is approximately Rs. for whih, exept this Selfdelaration Letter, no other doumentary proof is provided to you. 4. I further delare that the transations I am entering into with you in the above trading aount is ommensurate with my Inome and Net Worth and I am fully aware of risks assoiated with these transations. 5. The ownership and risk of justifiation and substantiating regarding the above delaration with any of the Statutory Authorities/ Agenies will be my Own. Signature : 23 Client Name : Date : (22)

25 SELF DECLARATION FORM ANNEXURE TO ACCOUNT OPENING FORM FOR INDIVIDUALS Bakground : IiiiIndia has joined the Multilateral Competent Authority Agreement (MCAA) on Automati Exhange of Finanial Aount Information (AEOI) on June 3, 2015 and has agreed to ertain global standards on automati exhange of information, known as Common Reporting Standards (CRS). Further, the Government of India (GoI) signed an Inter-Governmental Agreement (IGA) with United States of Ameria (USA) on July 9, 2015 to improve international tax ompliane and to implement Foreign Aount Tax Compliane At (FATCA) in India. IiiiTo implement the CRS on AEOI and also the IGA with USA, the GoI has made neessary amendments in Setion 285BA of the Inome-tax At, 1961 and notified Rules 114F to 114H in the Inome-tax Rules, 1962 vide amendment dated August 7, These Rules are available on: IiiiSEBI has issued a irular dated August 26, 2015 advising all registered intermediaries to implement FATCA and CRS as per above mentioned Rules. We do understand that the information mentioned above is tehnial in nature and hene we advise you to onsult your finanial or tax advisor for more details. Client Code : Category Name Maiden Name [if any] Father s Name [mandatory if PAN not provided] Spouse s Name Client Gender Nationality Oupation Type PAN Male Female Others Transgender Indian Other (Please speify the name of ountry) : Servie [pls speify] - Private Setor - Publi Setor - Govt. Setor Business Others [pls speify] - Professional - Self Employed - Retired - Housewife - Student Not Categorized Plae / City of Birth Country of Birth Marital Status Married Unmarried Others (23)

26 Address Type [for address mentioned in the aount opening form] Residential Or Business Residential Business Registered Offie Unspeified Country/ountries of tax resideny Tax Identifiation Number (TIN)/funtional equivalent number TIN / funtional equivalent Issuing Country Douments provided (opy of ertifiate of tax residene or opy of TIN or others) Date upto whih the doumentary evidene is valid Remarks if any : DETAILS OF RELATED PERSON [In ase of addition/deletion of related persons please provide the following information] Related Person Type Guardian of Minor Name of the Related Person : Nominee Assignee Doument submitted as proof Authorised Representative of identity of the related person : Benefiial Owner *[refer below for the type of doument to be submitted ] Benefiiary * Certified opy of any one of the following Proof of Identity needs to be submitted : A. Passport Number B. Voter ID Card C. PAN Card D. Driving Liense E. UID [Aadhar] F. NRGEA Job Card G. Other [any douments notified by Central Government] Delaration and Undertakings The Customer/aount holder ertifies that: a. iiiithe information provided in the Form is in aordane with Setion 285BA of the Inome Tax At, 1961 read with Rules 114F to 114H of the Inome-tax Rules, b. iiiithe information provided by me/us in the Form, its supporting Annexures as well as in the doumentary evidene provided by me/us are, to the best of our knowledge and belief, true, orret and omplete and that I/we have not withheld any material information that may affet the assessment/ategorization of the aount as a Reportable aount or otherwise.. iiiii/we permit/authorise the Company to ollet, store, ommuniate and proess information relating to the Aount and all transations therein, by the Company and any of its affiliates wherever situated inluding sharing, transfer and dislosure between them and to the authorities in and/or outside India of any onfidential information for ompliane with any law or regulation whether domesti or foreign. d. iiiii / We undertake the responsibility to delare and dislose within 30 days from the date of hange, any hanges that may take plae in the information provided in the Form, its supporting Annexures as well as in the doumentary evidene provided by us or if any ertifiation beomes inorret and to provide fresh self ertifiation alongwith doumentary evidene. e. iiiii / We also agree that our failure to dislose any material fat known to us, now or in future, may invalidate our appliation and the Company would be within its right to put restritions in the operations of my/our aount or lose it or report to any regulator and/or any authority designated by the Government of India (GOI) /Reserve Bank of India for the purpose or take any other ation as may be deemed appropriate by the Company if the defiieny is not remedied by us within the stipulated period. f. iiiiii / We hereby aept and aknowledge that the Company shall have the right and authority to arry out investigations from the information available in publi domain for onfirming the information provided by me / us to the Company. g. iiiiit shall be my responsibility / our responsibilities to eduate myself / ourselves and to omply at all times with all relevant laws relating to reporting under Setion 285BA of the At read with the Rules thereunder. h. iiiii/we also agree to furnish suh information and/or douments as the Company may require from time to time on aount of any hange in law either in India or abroad in the subjet matter herein. I. iiiiii/we shall indemnify the Company for any loss that may arise to the Company on aount of providing inorret or inomplete information. Signature of Client Name : Date : Plae : Regd. Offie : 905, 1st Floor, Soundarya Colony, Syndiate Bank Colony, Annanagar West Extension, Chennai Phone : ft@ftonline.in ()

27 From, Date : To, M/s. Fortune Trading Corporation, 905, Soundarya Colony, (Syndiate Bank Colony), Anna Nagar West Extn., Chennai SUB: Mapping of Client Code to USER ID Dear Sir, With referene to the above, I request you to kindly map my Client ID to USER ID's for my operational onveniene. As I am travelling a lot, I an plae the order with the above USER ID while on travel and also faing onnetivity issues. I am fully aware of the risks assoiated with the mapping of my lient ID with the above said USER ID and I onfirm that all my orders routed through the above USER ID are plaed by myself and with my knowledge only. I am aware that Fortune Trading Corporation is not liable for any unauthorised trading happens in the above said User ID, sine I am requesting to map my lient ID to the above said USER ID for my trading onveniene. I am fully aware that the above USER is not onneted with the Voie Reording System and I assure that I will not blame Fortune Trading Corporation for any loss arises for the orders plaed in the above said USER ID as I have been provided with SMS onfirmation of all the trades done in my aount immediately and Contrat Note on Daily basis for all the trades. Hene I request you to kindly map the lient ID with the above USER ID and onfirm. Thanking You, Yours faithfully, Signature of Client Name :

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