MONEYLICIOUS THE TASTE OF MONEY

Transcription

1 MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PRIVATE LIMITED MEMBER: MCX NCDEX CLIENT REGISTRATION FORM Branch Code: B.O. Holder s Name: Client Name: Client Code: $ MONEYLICIOUS THE TASTE OF MONEY f moneylicious.in in moneylicious moneylicious

2 A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals,(allowed to trade subject to RBI and FIPB/ FEMA guidelines), copy of passport/piocard/ocicard and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section D). 2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license. 3. Identity card/ document with applicant s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM 25 Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. C. Proof of Address (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance bill/insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook - Not more than 3 months old. 4. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinationa Foreign Banks/ Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/ Parliament/Documents issued by any Govt. or Statutory Authority. 5. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,to their Members. 6. The proof of address in the name of the spouse may be accepted. D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents. F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: Types of entity Documentary requirements Corporate Copy of the balance sheets for the last 2 financial years (to be submitted every year). Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/whole time director/md (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in commodity market. Copy of the Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in commodity on behalf of Partnership firm Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners. Trust Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/ca. Photograph, POI, POA, PAN of Trustees. HUF PAN of HUF. Deed of declaration of HUF & List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta. Government Bodies Self-certification on letterhead. Authorized signatories list with specimen signatures. Registered Society Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.

3 Name of Trading Member MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. (MCASPL) SEBI Registration No. MCX SEBI Registration No. NCDEX INZ Dated: MCX Member Code No.: NCDEX Member Code No.: Clearing Member for MCX & NCDEX ISSL Settlement & Transaction Services Limited Clearing Member s Address IL&FS House, Plot No. 14, Raheja Vihar, Chandivili, Andheri (E), Mumbai SEBI Registration No. MCX INZ MCX Membership Code: 9050 SEBI Registration No. NCDEX Registered office address: Correspondence Office address: 4th Floor, Office No 14D, Shri Krishna Chambers, 78, Bentinck Street, Kolkata Website: Office No.24 A & B Adhyaru Industrial Estate, Sun Mill Compound, Lower Parel West, Mumbai Ph. No.: (91-22) , Fax: (91-22) Compliance Officer Name Nilesh Chauhan Phone no. (91-22) id: compliancecom@moneylicious.in Director Name Jay Prakash Gupta Phone No. (91-22) id: directors@moneylicious.in For any grievance/dispute please contact MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. at the above address or id: grievancecom@moneylicious.in and Phone no. (91-22) In case not satisfied with the response, please contact the concerned exchange(s): for MCX at grievance@mcxindia.com or Ph No for NCDEX at askus@ncdex.com or Ph No DISCLOSURE IN TERMS OF SEBI CIRCULAR NO.: SEBI/MRD/SE/CIR-42/2003 DATED NOVEMBER 19, 2003 Moneylicious Capital and Advisory Services Pvt. Ltd. besides doing client based business also does its own investments and/or trading. For Moneylicious Capital and Advisory Services Pvt. Ltd. Proprietary Trading Disclosure noted Director/Authorised Signatory Client Signature (F/1) First Holder s Signature Risk Assessment of Client in terms of PMLA 2002 Type of Client High Risk Low Risk Medium Risk CSC (Client Special Category) PEP (Politically Exposed Person) Categorisation of client would be changed only if there is change based on risk assessment of the client during his dealings with Moneylicious Capital and Advisory Services Pvt. Ltd. For Moneylicious Capital and Advisory Services Pvt. Ltd. Director/Authorised Signatory 1

4 INDEX OF DOCUMENTS A. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES S.N. Name of the Document Brief Significance of the Document Pg. No B. Document captures the additional information about the constituent relevant to Trading account and an instruction/checklist. 1. Account Opening Form A. CKYC & KRA form - Document captures the basic information about the constituent and an instruction/checklist Policies and Procedures Document describing significant policies and procedures of the stock broker. 3. Tariff sheet Document detailing the rate/amount of brokerage and other 13 charges levied on the client for Trading on the commodity exchanges (MCX, NCDEX) 4. Rights and Obligations of Members, Authorised Persons and Clients Document stating the Rights & Obligations of stock broker/ trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/ wireless technology based trading). Document detailing risks associated with dealing in the commodities market. Document detailing do s and don ts for trading on exchange, for the education of the investors. 5. Uniform Risk Disclosure Document (RDD) 6. Guidance Note Do s and Don t for the investors B. VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 1. Running Account Authorization This letter is authorization to maintain funds, securities on running account basis & for authorization to receive contract as well other relevant documents. 2. Authorization for SMS/ E mail alert Authorization to receive SMS & alerts from stock exchanges. 3. ECN Letter This mandate is for authorization to issue contract notes in digital mode. It provides terms and conditions for the issuance of digital contract note. 4. Confirmation of the Arrangement with Authorised Person 5. Verbal Order Acceptance It pertains to terms and conditions associated with verbal 16 Authorisation orders and acceptances. 6. Power of Attorney Power of Attorney provided to broker to facilitate pay-in of securities / commodities and other authorization. 7. FATCA FATCA Declaration for where client holds tax residency 23 C. Appendix 1. Format of Declaration by HUF To be provided on Letterhead of HUF firm (if applicable) Format of Declaration by To be provided on Letterhead of Partnership Firm (if Partnership Firm applicable) Format of Board Resolution/ Shareholding pattern It pertains to terms and conditions for clients been introduced by an Authorised Person. IMPORTANT INSTRUCTIONS 1. All details to be filled in Capital Block letters in Black/Blue Ink only. 2. ID & Mobile number is mandatory for account related passwords and transaction details. 3. Corrections in the KYC form should be counter signed. 4. Strike off whichever option, in the account opening form, is not applicable. 5. All Originals to be produced for physical verification. 6 if any proof of identity or address is in a regional language, then translation into English is required. 7. Sole proprietor must make the application in his individual name & capacity. 8. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 2 SEPARATE COPY FOR CLIENT To be provided on Letterhead of Company (if applicable)

5 (For Individuals) CENTRAL KYC REGISTRY - KNOW YOUR CLIENT (KYC) APPLICATION FORM - INDIVIDUAL MANDATORY Important Instructions: Moneylicious Capital and Advisory Services Pvt. Ltd. A) Fields marked with * are mandatory fields. F) List of two character ISO 3166 country codes is B) Please fill the form in English and in BLOCK letters. available at the end. C) Please fill the date in DD-MM-YYYY format. G) KYC number of applicant is mandatory for update D) Please read section wise detailed guidelines / application. instructions at the end. H) For particular section update, please tick ( ) in E) List of State / U.T code as per Indian Motor the box available before the section number and Vehicle Act, 1988 is available at the end. strike off the sections not required to be updated. For office use only Application Type* New Update (To be filled by financial institution) KYC No. (Mandatory for KYC update required) Account Type* Normal Simplified (for low risk customers) Small 1. PERSONAL DETAILS (Please refer instruction A at the end) Prefix First Name Middle Name Last Name Name* (Same as ID proof) Maiden Name (If any*) Father / Spouse Name* Mother Name* Date of Birth* Gender* M- Male F- Female T-Transgender Marital Status* Married Unmarried Others Citizenship* IN-Indian Others (ISO 3166 Country Code ) PHOTO Residential Status* Resident Individual NRI Foreign National Person of Indian Origin Occupation Type* S-Service ( Private Sector Public Sector Government Sector) O-Others ( Professional Self Employed Retired Housewife Student) B-Business X-Not Categorised (F/2) Signature/Thumb impression 2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end) ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked) ISO 3166 Country Code of Jurisdiction of Residence* Tax Identification Number or equivalent (If issued by jurisdiction)* Place / City of Birth* ISO 3166 Country Code of Birth* 3. PROOF OF IDENTITY (Please refer instruction C at the end) (Certified copy of any one of the following Proof of Identity [PoI] needs to be submitted) A- Passport Number Passport Expiry Date B- Voter ID Card C- PAN Card D- Driving Licence Driving Licence Expiry Date E- UID (Aadhaar) F- NREGA Job Card Z- Others (any document notified by the central government) Identification No. S- Simplified Measures Account - Document Type code Identification No. 4. PROOF OF ADDRESS (POA)* 4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end) (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted) Address Type* Residential / Business Residential Business Registered Office Unspecified Proof of Address* Passport Driving Licence UID (Aadhaar) Voter Identity Card NREGA Job Card Address Line 1* Line 2 Line 3 Simplified Measures A/c.-Document Type code Others District* PIN/Post Code* State /U. T. Code* ISO 3166 Country Code* 3

6 4.2 Correspondence/Local ADDRESS DETAILS* (Please see instruction E at the end) (For Individuals) Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill Annexure A1 ) Line 1* Line 2 Line 3 District* 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 TAX PURPOSES* (Applicable if section 2 is ticked) Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details Line 1* Line 2 Line 3 State* PIN/Post Code* State /U. T. Code* ISO 3166 Country Code* 5. CONTACT DETAILS (All communications will be sent on provided Mobile no. / -ID) (Please refer instruction F at the end) Tel. (Off) Tel. (Res) Mobile 9 1 Fax ID 6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill Annexure B1) (please refer instruction G at the end) Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*) Related Person Type* Prefix Guardian of Minor First Name Assignee Authorised Representative Middle Name Last Name Name* (If KYC number and name are provided, below details of section 6 are optional) PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end) A-Passport Number B-Voter ID Card C- PAN Card D- Driving Licence E- UID (Aadhaar) F- NREGA Job Card Z- Others (any document notified by the central government) S- Simplified Measures Account - Document Type code Passport Expiry Date Driving Licence Expiry Date ID No. ID No. DD DD DD DD Y Y Y Y Y Y Y Y 7. REMARKS (If any) Mobile No./ Id (Please refer the Institution F at the end) 8. APPLICANT DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. I hereby consent to receiving information from Central KYC Registry through SMS/ (F/3) on the above registered number/ address. Date: DD DD Y Y Y Y Place: Signature / Thumb Impression of Applicant 9. ATTESTATION / FOR OFFICE USE ONLY Documents Received Certified Copies KYC VERIFICATION CARRIED OUT BY Date: Emp. Name: Emp. Code: Emp. Designation: Emp. Branch: [Employee Signature] 4 Name Code INSTITUTION DETAILS Moneylicious Capital and Advisory Services Pvt. Ltd. [Institution Stamp] In Person Verificaion done on Date: Emp. Name: [Employee Signature]

7 (For Non-Individuals) Know Your Client (KYC) Application Form (For Non-Individuals Only) Moneylicious Capital and Advisory Services Pvt. Ltd. Please fill in ENGLISH and in BLOCK LETTERS with black ink Application No.: A. Identity Details (please see guidelines overleaf) 1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name). 2. Date of Incorporation d d / m m / y y y y Place of Incorporation 3. Registration No. (e.g. CIN) Date of commencement of business d d / m m / y y y y 4. Status Please tick ( ) Private Ltd. Co Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non-Government Organisation Defence Establishment Body of Individuals Society LLP Others (Please specify) 5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card B. Address Details (please see guidelines overleaf) 1. Address for Correspondence City / Town / Village Postal Code State Country 2. Contact Details Tel. (Off.) (ISD) (STD) Tel. (Res.) (ISD) (STD) Mobile (ISD) (STD) Fax (ISD) (STD) Id. 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf). (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted 4. Registered Address (if different from above) d d / m m / y y y y City / Town / Village Postal Code State Country 5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. *Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf). (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d / m m / y y y y C. Other Details (please see guidelines overleaf) 1. Name, PAN, DIN/Aadhaar Number, residential address and photographs of Promoters/Partners/Karta/Trustees & whole time directors (Please use the Annexure to fill in the details) 2. Any other information: DECLARATION 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. AMC/Intermediary name OR code Moneylicious Capital and Advisory Services Pvt. Ltd. (Originals Verified) Self Certified Document copies received Attached true copies of documents received NAME & SIGNATURE(S) OF AUTHORISED PERSON(S) (F/2) Place: Date: FOR OFFICE USE ONLY For Moneylicious Capital and Advisory Services Pvt. Ltd. 5 Staff Name Designation Date

8 Annexure Details of Promoters / Partners / karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals Name of Applicant: PAN of the Applicant: Photograph Whether Politically Exposed Relationship with Applicant (i.e. promoters, whole time directors etc.) Residential / Registered Address DIN (For Directors) / UID (For Others) Name PAN Sr. No. PEP RPEP NO PEP RPEP NO 6 PEP RPEP NO PEP RPEP NO PEP RPEP NO (F/3a) PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person Name & Signature of the Authorised Signatory(ies) Date

9 DETAILS OF PERSONS AUTHORIZED TO DEAL IN COMMODITIES ON BEHALF OF COMPANY/FIRM - FOR NON-INDIVIDUALS 1. Individual s Full Name Residential Address City/Town/Village Pin code State Country Nationality Tel Mobile PEP RPEP UID PAN Signature along with Seal: 2. Individual s Full Name Residential Address City/Town/Village Pin code State Country Nationality Tel Mobile PEP RPEP UID PAN Signature along with Seal: 3. Individual s Full Name Residential Address City/Town/Village Pin code State Country Nationality Tel Mobile PEP RPEP UID PAN Signature along with Seal: 4. Individual s Full Name Residential Address City/Town/Village Pin code State Country Nationality Tel Mobile PEP RPEP UID PAN Recent Passport Size Photograph Only Recent Passport Size Photograph Only Signature along with Seal: PEP: Politically Exposed Person RPEP: Related to politically Exposed Person (F/3b) Sign Across Sign Across 7 Sign Across Recent Passport Size Photograph Only Sign Across Recent Passport Size Photograph Only

10 For Individuals & Non-Individuals A. BANK ACCOUNT(S) DETAILS TRADING ACCOUNT RELATED DETAILS MANDATORY Bank Name Branch Address Bank A/c. No MICR IFSC Code Type Savings Current NRI NRE NRO Note: Provide a copy of cancelled cheque leaf/pass book/bank statement specifying name of the client, MICR Code or/ and IFSC Code of the bank. B. OTHER DETAILS 1. Gross Annual Income details (please specify): Income Range per annum Upto Rs. 1,00,000/- Rs. 1,00,001/- to Rs. 5,00,000/- Rs. 5,00,001/- to Rs. 10,00,000/- Rs. 10,00,001/- to Rs. 25,00,000/- Rs. 25,00,001/- to Rs. 100,00,000/- Above Rs. 100,00,001/- Net worth as on Date : Rs. (Net worth should not be older than 1 year) 2. Occupation (please tick Private Sector Public Sector Government Service Business any one and give brief Student Professional Agriculturist Retired details) (For Individuals) Housewife Others 3. Please tick, if applicable Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) (Point 3 & 4 Individuals only) Non Politically Exposed Person (PEP) Non Related to a Politically Exposed Person (PEP) 4. Education Details Under Graduate Graduate Post Graduate Professional Other 5. Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure on page no. 6 to fill in the details) (For Non-Individuals only) C. DEPOSITORY ACCOUNT(S) DETAILS, if available DP CDSL NSDL (please tick any one DP you wish to receive pay out of your bought securities) Depository participant Name Beneficiary Name NSDL DP ID I N CDSL BO ID CLIENT ID Note: Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. D. TRADING PREFERENCES / EXPERIENCES No Prior Experience Years in Commodities / Years in other Investment Related Field *Please sign in the relevant boxes against the Exchange with which you wish to trade. The Exchange not chosen should be struck off by the client. Exchanges Date of Consent for trading Futures Options on concerned Exchange MCX/NCDEX (F/4) If, in future, you want to trade on any new segment/new exchange, separate authorisation/letter will be taken. 8 (F/5)

11 E. INVESTMENT/TRADING EXPERIENCES No Prior Experience Years in Commodities Years in other Investment Related Field F. GST REGISTRATION DETAILS (AS APPLICABLE, STATE WISE) Local GST Regn. No.: Validity Date Central GST Regn. No.: Validity Date G. VAT REGISTRATION DETAILS (AS APPLICABLE, STATE WISE) Name of State Name of State Local VAT Regn. No.: Validity Date Name of State Central VAT Regn. No.: Validity Date Name of State H. PAST REGULATORY ACTIONS Details of any action/proceedings initiated/pending/taken by FMC/SEBI/Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/ authorised persons in charge of dealing in securities during the last 3 years: I. DEALINGS THROUGH OTHER MEMBERS If client is dealing through any other Member, provide the following details (In case dealing with multiple Members, provide details of all in a separate sheet containing all the information as mentioned below): Name of Stock broker Name of Sub-broker/AP Name of Exchange Client Code: (as given by any other broker) EXCHANGE REGISTRATION No.: Ph. Website: Regd. Off. Address State Tel City/town/village Country Mobile Pin code Id: Website: Details of disputes/dues pending from/to such stock broker/sub-broker: J. ADDITIONAL DETAILS i) Whether you wish to receive a) Physical Contract Note b) Electronic Contract Note If ECN specify your id: ii) Whether you wish to avail of the facility of internet trading/wireless technology/mobile trading Yes No iii) Any other information K. INTRODUCER DETAILS Status of the Introducer Sub-broker/AP Employee Existing Client Others (Specify): Name of the Introducer Residential Address State Tel Introducer Code: City/town/village Country Mobile Signature of the Introducer: 9 Pin code

12 NOMINATION DETAILS - For Trading A/c. (Please tick the appropriate option) (Only for Individuals) I / We wish to nominate I / We do not wish to nominate Name of Nominee Relation with Nominee Address PAN No. Tel. No. Date of Birth of Nominee If Nominee is a minor, details of Guardian Name of Guardian Address & Tel No. Signature of Guardian Witnesses (Only applicable in case the account holder has made nomination) Name Name Address Address Signature Signature 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 confirm having read/been explained and understood the contents of tariff sheet and all voluntary/nonmandatory documents. 3. I/We further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document and Do s and Dont s. 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 stock broker s designted website. Place: Date: UCC Code allotted to the Client BO ID Allotted to the Client Name of the Employee Employee Code Designation of the employee Date Signature (F/6) Client Signature FOR OFFICE USE ONLY Documents verified with Client Interviewed By In-Person Verification Originals done by I/We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the nonmandatory/voluntary document(s). I/We have also made the client aware of 'Rights and Obligations' document (s), RDD, Do s and Dont s and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', Tariff Sheet and all the Voluntary/Non-Mandatory document(s) would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the clients. Date: Signature of the Authorised Signatory Seal/Stamp of the stock broker 10

13 POLICIES AND PROCEDURES MANDATORY 1. Refusal of orders for Commodity Derivatives: The client is aware and agrees that Moneylicious Capital and Advisory Services Private Limited (MCASPL) may refuse or restrict a client in placing the order in certain commodities depending on various conditions like volume, value,illiquidity, even though a client may have credit balance or sufficient margin in the trading account. Losses, if any, on account of such refusal by MCASPL or due to delay caused by such limits, shall be borne exclusively by the client alone. MCASPL shall not be responsible for any financial or other implications due to such execution, delay in execution or non-execution of any such orders. MCASPL shall have the prerogative to place such restrictions, notwithstanding that the client has sufficient credit or margin available in his account. MCASPL, may however, allow for acceptance of such orders, for certain commodities on its own discretion, through its specific internal process, instead of allowing such orders through the standard process like online trading platform or its branches. 2. Setting Up of Client's Exposure Limit: The client is aware and agrees that MCASPL may set the Exposure limits on the basis of available base capital which may comprise of Ledger and Collaterals (after suitable margin hair cut). The limits may be allowed on a multiplier basis to the available capital or actual VAR margin basis or a specified margin depending on the Market conditions. Client agrees that said limit parameters is a dynamic process that is allowed at the discretion of MCASPL based on the market conditions and their risk perception about the market. However on exceptional situations MCASPL may use its own discretion in providing the limits and may change for a client or for all depending on market condition. 3. Applicable Brokerage Rate MCASPL shall levy brokerage for the Client's transactions as per the brokerage slabs mutually agreed upon with the Client in writing in the Client Registration Form subject to the maximum rate prescribed by the Stock Exchanges / SEBI. The Client shall pay such fees, charges, and commissions as may be notified by MCASPL from time to time depending upon the services availed by the Client. Depending upon the value of business done by the client and risk perception, MCASPL may reduce the brokerage rate at its sole discretion. Such changed/ reduced brokerage terms will be communicated through the relationship manager/ communication and /or amount will be reflected in the contract notes for future trades. However, any increase in brokerage rate either to be done with the consent of the client in writing or at the discretion of MCASPL by giving 15 days advance notice to the client. 4. Imposition of Penalty / Delayed Payment Charges: The client is required to pay all amounts due to MCASPL on due dates. The amount due to broker shall include all type of Margin and Pay-in obligation or on account of any other reason. In case the client does not pay the amount due on time, MCASPL shall charge delayed payment charges up to the rate of 2% per month on the daily outstanding value or at such rates as may be determined from time to time by MCASPL. In case of Commodity market, interest will be charged from the time it become due till the time obligation is cleared by the client. The objective of charging such a charge is to force a client to clear their dues on a timely basis. MCASPL may impose penalties / fines for any orders/trades / deals / actions of the client which are contrary to Commodities Broker Client Agreement/Rules / Regulations / Bye-Laws of the exchange or any other law for the time being in force, at such rates and in such form as it may deem fit. Further where MCASPL has to pay any fine or bear any punishment from any authority in connection with / as a consequence of / in relation to any of the orders/trades / deals/actions of the client, the same shall be borne by the client. 5. Right to sell client's commodity derivative position or close client's positions, without giving notice to the client on account of nonpayment of client's dues In the event of the Client failing to maintain/supply applicable margin money required to sustain the outstanding market positions of the Client, MCASPL shall be entitled, at its option and liberty, to liquidate/close out all outstanding market positions or any part thereof such that the outstanding market positions are either zeroed out or reduced to an extent where available margin covers the market positions remaining after such square off. The Client understands and accepts that authority of MCASPL to square off outstanding market interests of the Client in the event of the Client failing to furnish margin money immediately on demand is unconditional and the Client shall not, as a matter of right, be entitled to reduction of the outstanding positions in stages in order that positions to the extent of available margin are retained in the Client's account. MCASPL may also sell 11

14 off all or any securities of the Client lying with MCASPL as collateral or otherwise, for any amounts due by the Client and adjust the proceeds of such liquidation/close out against the client's liabilities/obligations to MCASPL. Any and all losses and financial charges on account of such liquidation/closing-out shall be charged to and borne by the client. Client shall keep and hold MCASPL indemnified and harmless from any loss arising out of such closing out/squaring off. Such liquidation or close out of positions shall apply to any segment in which the Client does business with MCASPL. 6. Shortage in obligation arising out of internal netting of trades The internal close out policy for handling internal shortages in Commodities is in line with the exchange policy for handling shortages at exchange level. Apart from this the seller will be additionally debited by 0.50% penalty. Thus, the buyer will get the credit of the shortage based on the calculation given by exchanges and the Seller will be debited by the same amount % penalty. 7. Conditions under which a client may be refused trades/trasactions: i. In case overall position in derivatives contracts has reached the Regulators prescribed Exchange limit / Market Wide Open Interest limit, then client may not be allowed to take further position, till such time Regulator prescribed limits come down to create a new position. ii. MCASPL has the right to stop or block the client to trade in case where there is a debit balance in his/her account. iii. MCASPL retains the right to block the client to take a position in certain specified scrips basis its risk iv. management systems. In case where MCASPL is apprehensive that the client to be an entity debarred by any regulatory authority, it shall retain the right to stop the trading activities of such client. v. In case MCASPL perceives risk with regards to any regulatory action or with regards to delay or non payment of margin or any other obligation, MCASPL may temporarily block or suspend the trades of such clients. vi. In case where the client's account is dormant for a period of more than 1 year MCASPL may mark such clients as inactive, and trades will be restricted till the receipt of request from the clients for activating the account. vii. In case where suspicious transactions are observed. viii. In case where clients are not reachable at their contact details mentioned with MCASPL. We may even close the existing positions. ix. In case of any ongoing dispute with the client, MCASPL may not permit the client to take further positions and may even close out his open positions. 8. Temporarily closing suspending client's account on client's request and Deregestering i. In the event of infraction of any Rules, Bye-Laws, Regulations of SEBI or the Stock Exchange or of the provisions of any law for the time being in force governing dealings in the securities market without prior notice or on the directions of SEBI and/or the Exchanges. ii. MCASPL can withhold the payouts of client and suspend / close his trading account due to any internal / regulatory action. iii. In the event of death or insolvency of the client, MCASPL may close out the transaction of the client and the client or his legal representative as the case shall be would be liable for any losses, costs and be entitled to any surplus which may result therefrom iv. Bank account, demat account, securities account of the client being frozen or attached by any court of law or any other competent authority for whatever reason. v. Any proceedings or investigations that involve the Client or his/its properties having been initiated (or is/ are ongoing). vi. The Client fails to fulfil his/its payment obligations under this Agreement or otherwise due to MCASPL or vii. If the Client migrates to a jurisdiction which prohibits trading in Indian Securities or otherwise subjects MCASPL or any of its employees to any licensing or registration requirements. I agree and understand that MCASPL may from time to time at its sole discretion amend or modify the policies and procedures under intimation to me / us. The same will be accessible from the Company's website 12 (F/7) Client Signature

15 MCX Futures Options Delivery TARIFF SHEET MANDATORY (Schedule of Brokerage and Other Charges) Brokerage % (on volume) Brokerage per lot To be Charged on Minimum Brokerage (in Paisa) One Side Both Side One Side Both Side NCDEX Brokerage % (on volume) Brokerage per lot To be Charged on Minimum Brokerage (in Paisa) Futures One Side Both Side Options Delivery One Side Both Side Account Opening Charges Rs.200 or as decided by MCAPL from time to time or as applicable to any scheme SEBI Turnover Fees, CTT, Goods & Service Tax (GST), Stamp Duty, Transaction Charges and other statutory charges willbe levied separately from brokerage as applicable from time to time. Delivery related charges i.e. Delivery Charges, Warehouse Charges, Vault Charges etc. will be levied separately as per guidelines. All Charges levied by Exchange(s) / Regulator(s) will be recovered from your account as applicable. In addition to above, Charges levied on account of Cheque Return, Wrong Reporting of Cheque, Issue of Duplicate Statements, Interest Charges etc. may be recovered from your account as applicable. Charges/ service standards are subject to revision at sole discretion of MCAPL and as informed by Circulars sent by ordinary post / I / We have understood and accepted the Schedule of Charges as stated here in above (F/8) Client Signature INSTRUCTIONS/ CHECK LIST 1. Additional documents in case of Trading in Derivatives Segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of Salary Income - Salary Slip, Copy of Form 16 Net worth Certificate Copy of Demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating ownership documents. Self declaration with relevant supporting of assets. *In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. 2. Self-certified copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be submitted. (Not more than 4 months old) 3. Demat master or recent holding statement issued by DP bearing name of the client. 4. For Non-individuals: a. Form need to be initialized by all the authorized signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of company/firm/others and their specimen signatures. 13

16 RUNNING ACCOUNT AUTHORIZATION FOR ALL EXCHANGES I/We, are registering with you as a client for execution of trades from time to time in Commodity and/or Derivative segment of Multi Commodity Exchange of India Limited (MCX) and /or National Commodity & Derivative Exchange Limited (NCDEX) (hereinafter called as "the Exchanges"). I/We hereby give my/our consent to maintain my/our account for the funds and securities, on Running Account basis. In the event of pay-out of funds or securities by the Stock Exchanges, I/we hereby authorize you to retain the funds and/or securities, as the case may be, with you as margin towards my/our ongoing secondary market transactions from time to time in commodity and/or derivative segment of the Exchanges. The actual settlement of Funds & Commodities shall be done by you every Month Quarter VOLUNTARY Further, I / We authorise you to deposit any and all the securities kept as collateral by me / us, from time to time, with Commodity Derivatives Exchange i.e. MCX and NCDEX and/or their Clearing Corporation/Clearing House towards margin, as permitted from time to time. I /We further authorized you to retain securities and funds as may be permitted by Commodity Derivatives Exchange / SEBI from time to time while settling my/our account. I/We can request for the release of pay-out any time after adjusting all dues towards MCASPL Kindly further note that I am entitled to revoke this authorization at any time, after sending the revocation letter at your registered office to enable you to make necessary changes to handle my account without running account authorization. (F/9) Client Signature Date: SMS AND ALERTS TO INVESTORS BY STOCK EXCHANGES VOLUNTARY (Ref: SEBI circular No. CIR/MIRSD/15/2011dated August 02, 2011) I request you to enroll me for the following facility offered by the Stock Exchanges pursuant to above referred SEBI circular SMS Facility on Mobile No provided in my KYC 1. Mobile No Belongs to Self Family Member 2. In case of family member please specify the relationship: Dependent Child Dependent Parent Spouse 3. PAN No. of the family Member whose Mobile No is provided above: Facility on Id provided in my KYC 1. ID Belongs to Self Family Member 2. In case of family member please specify the relationship: Dependent Child Dependent Parent Spouse 3. PAN No. of the family Member whose ID is provided above: Note: 1. Individual Client is invariably required to provide his own Mobile No./ ID, except in case of family member where the following relationship exist Dependent Child or Dependent Parent or Spouse 2. Client may please note that Mobile No. of Trading Member (TM)/ Employees of TM/ Sub broker/authorized person are not permitted for receiving the SMS/ communication from exchanges 3. Client may please note that the circular is available for downloading from the exchange s website. Client Signature (F/10) 14

17 ECN AUTHORIZATION VOLUNTARY From: Date: To, MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. Office No.24 A & B Adhyaru Industrial Estate, Sun Mill Compound, Lower Parel West, Mumbai Dear Sirs, I, a client with Moneylicious Capital and Advisory Services Private Limited, members of MCX and NCDEX Exchanges undertake as follows: 1. 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 in the electronic form. 2. I am aware that the Member has to provide electronic contract note for my convenience on my request only. 3. Though the member is required to deliver physical contract note, I find that it is inconvenient for me to received physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out/ordered by me. 4. I/We undertake to check the contract notes and bring the discrepancies to your notice. Discrepancies, if any, should be sent on the compliancecom@moneylicious.in 5. You can also send me various documents like Daily Margin Statement, Statement of Funds & Commodities, Account Confirmation, Bills, Notices etc through an ID mentioned in this letter. 6. I have access to a computer and am a regular internet user, having sufficient knowledge of handling operations. 7. My id is*. This has been created by me and not by someone else. Any change in the ID shall be communicated by me/us through a physical letter. 8. I am aware that this declaration form should be in English or in any other language known to me. 9. I am aware that non-receipt of bounced mail notification 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 by own handwriting of the client.) Yours faithfully, (F/11) (Client Signature) Client Code : (customer ID) Verification of the client signature done by, Name of the designated officer of the Member: Authorised Signatory: 15

18 CONFIRMATION OF THE ARRANGEMENT WITH AUTHORISED PERSON VOLUNTARY To, MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. Office No.24 A & B Adhyaru Industrial Estate, Sun Mill Compound, Lower Parel West, Mumbai Dear Sirs, I/We confirm that I/we have been introduced to Moneylicious Capital and Advisory Services Pvt. Ltd. by an Authorised Person (AP) (as mentioned below) appointed by Moneylicious Capital and Advisory Services Pvt. Ltd. in pursuant to relevant Exchange(s) norms. In this connection I/we am/are aware of the following: 1. The AP shall not receive or pay any money or commodities in his/her/its own name or account. All receipts and payments of commodities and funds shall be made only in the name or account of the Moneylicious Capital and Advisory Services Pvt. Ltd. 2. The AP shall receive his/her/its remuneration-fees, charges, commission, salary etc. for his/its services only from the Moneylicious Capital and Advisory Services Pvt. Ltd. and he/she/it shall not charge any amount whatsoever from the clients; In view of the foregoing, I/we acknowledge that the AP is not authorised by Moneylicious Capital and Advisory Services Pvt. Ltd. to enter into any private arrangement with any clients of Moneylicious Capital and Advisory Services Pvt. Ltd. including those introduced by him/her/it. I/We further agree and accept that I/we will not hold Moneylicious Capital and Advisory Services Pvt. Ltd. responsible for any loss, damage, other liability or consequence, direct or indirect, arising out of any error of commission or omission by the AP with regard to any dealings and or transactions based on or resulting out of any private agreements (if any), between me/us and the AP. Further I/we also agree that my commodity token/password shall not be in the custody of the AP. Thanking You, Yours Faithfully, I/we hereby agree for the arrangement with the client Seal & Signature Client Name Client Code (F/12) Client Signature AP Name AP Code (9 Digit) VERBAL ORDER ACCEPTANCE AUTHORISATION VOLUNTARY To, MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. Office No.24 A & B Adhyaru Industrial Estate, Sun Mill Compound, Lower Parel West, Mumbai Dear Sirs, I/We am dealing with you as client of MCX/NCDEX Commodities Derivative Segment. As my/our broker, I/We direct and authorize you to carry out trading/ dealing on my/our behalf as per instruction given below. I/We agree and acknowledge that it is advised by you that I/We should give instruction for order placement/ modification and cancellation in writing and to avoid disputes, I/We must give instruction in duplicate (carbon copy/ photocopy only) and take signatures of the authorized officer at the branch along with company stamp on the carbon copy/ photocopy of the instructions in acknowledgment of receipt of my/our instructions. However, as I/We shall be dealing by ordering over phone and even if we visit the branch, the fluctuations in market are so rapid the it is not practical to give written instructions for order placement/modification and cancellation, I/We hereby authorize you to accept my/our authorized representative's verbal instructions for order placement/modification and cancellation in person or over phone (fixed line/mobile phone) and execute the same. I/ We understand the risk associated with verbal orders and accept the same, and agree that I/We shall be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying out my/our directions given above. Thanking You, Yours Faithfully, (F/13) Client Name Client Signature 16

19 (ON STAMP PAPER OF RS. 50/-) POWER OF ATTORNEY IN FAVOUR OF MONEYLICIOUS CAPITAL AND ADVISORY SERVICES PVT. LTD. TO ALL TO WHOM THESE PRESENTS SHALL COME, I/We residing at/having place of business/registered office at send greetings. WHEREAS I / We wish to avail, / I/We am/are a client availing of the Commodity Broking (hereinafter referred to as said Services) offered by Moneylicious Capital and Advisory Services Pvt. Ltd., having its Registered office at 4th Floor, Office No 14D, Shri Krishna Chambers, 78, Bentinck Street, Kolkata , and having its Correspondence office at Office No. 24 A & B Adhyaru Industrial Estate, Sun Mill Compound, Lower Parel West, Mumbai (hereinafter referred to as MCASPL ) with/ without On-Line trading / E-broking & web based facilities and / or services through its website or any other website used for offering said Services. AND WHEREAS as consideration for availing said services as well as a prerequisite for fulfilling the various preconditions and requirements so as to avail of the services by MCASPL, I / we am/are desirous of appointing an attorney and confer upon it powers hereinafter stated. NOW THESE PRESENTS WITNESS that I / we, do hereby, jointly and severally nominate, constitute and appoint MCASPL acting through any of its directors, officers and / or agents, as my / our true and lawful Constituted Attorney (hereinafter referred to as the said Attorney) for me / us, in my / our name and on my / our behalf and at my / our risk and costs to do, exercise and perform all or any of the following acts, deeds and things: In this Power of Attorney, the term Commodities and/or Securities and/or Commodity Derivative and/or Options in securities shall mean and include all those units / instruments as provided in Securities Contracts (Regulation)Act 1956 and any amendments thereto from time to time. 1. To give delivery/receive instructions, pledge instructions, pledge closure instructions or any such instruction(s) that may be needed in the course of business relating to operation of demat account(s) no(s) for Equity and for Commodity with Depositories with NSDL/CDSL as may be communicated in writing towards the obligation for transactions done through MCASPL on MCX and/or NCDEX or any other Commodity Exchanges under my / our instructions. 2. To debit my/our ledger account maintained with MCASPL for fees/charges etc. and to discharge all financial obligations relating to transactions undertaken by me on any of the Commodity Exchanges. 3. Pursuant to my/our instruction or instructions of my/our Authorised Representative to do all such acts and things as may be necessary to effect the purchases/sell in commodity for which services are availed from MCASPL. 4. To pledge the Securities / Commodities for the limited purpose of meeting the margin requirements in connection with the trades executed on the Commodity exchanges. 5. To instruct the Depository Participant to debit commodities / securities to the said account and/or transfer commodities / securities from the said account to pool/settlement/collateral/margin account of MCASPL as mentioned in below table to the extent of commodities sold through MCASPL for pay in obligation as well as for margins / upfront margins / settlement obligations towards transactions executed on any commodity Exchanges in all segments. MCASPL may amend the list of Demat Accounts mentioned in below table by adding / deleting Demat account(s) to / from the list and particulars of such updated Demat accounts will be intimated to me / us by MCASPL. 6. To issue instructions to my Depository Participant to execute the commodity(ies)/ security(ies)transfer requests given by me/us in electronic form, in any format and at any time through the website of Moneylicious Capital and Advisory Services Pvt. Ltd. or through the internet or any other electronic mode, towards upfront margin or any other margin obligation towards any commodity exchange. 7. To authorize MCASPL to send trades and accounts related information and also consolidated summary of commodity-wise buy and sell positions taken with average rates by way of SMS / on a regular basis. 8. For the purpose of the aforesaid to sign contracts, agreements, transfers, acceptances, receipts, or other instruments, documents and forms, to accept and carry out correspondence with such person(s) or authority/ authorities or department(s) and to do all such lawful acts requisite for effecting the same. To do or commit to do all such acts and things as may be necessary or desirable in order to exercise its powers hereinabove or to comply with any laws, orders, rules, regulations or directions of any government or regulatory or other authorities. 9. My / Our Attorney MCASPL shall not be liable for any loss that may result from failure/inability of electronic 17