ACCOUNT OPENING FORM NON - INDIVIDUALS

Transcription

1 Sl..:... ACCOUNT OPENING FORM NON - INDIVIDUALS CLIENT NAME : CLIENT CODE 6.0

2 IMPORTANT INSTRUCTIONS 1. Kindly affix passport size photograph of any one of the Authorized 1. iiisignatory and sign across the photograph. 2. Please put your signature in places, which are numbered for your convenience including signature across the photograph. 3. Attach Xerox copy of ID proof (Signed) 4. Attach Xerox copy of Address Proof (Signed) 5. Attach Proof of Bank Account / Cancelled cheque leaf with IFSC Code. 6. Attach Xerox copy of PAN card (Signed) 7. Attach copy of latest Annual Report. 8. iiproof of Date of Incorporation. 9. iiii Copy of Memorandum & Articles of Association. 10. iiboard Resolution / Authority Letter. 11. IiPlease Fill all the details in the Annexure A & Annexure B. 12. Kindly comply with all the instructions given above, otherwise the Application will be rejected. 13. ifor Activation of Account Opening, Please send mail confirmation to forms@ftconline.in from your mail ID.

3 SET OF ACCOUNT OPENING DOCUMENT FORTUNE TRADING CORPORATION Member : MULTI COMMODITY EXCHANGE OF INDIA LTD (MCX) & INDIAN COMMODITY EXCHANGE LIMITED (ICEX) MCX Member ID ICEX Member ID.2010 SEBI Registration. INZ Regd. Office : Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai Phone : ftc@ftconline.in Web : Compliance officer : K. Narayana Moorthy, Phone : id : ftc@ftconline.in INDEX S.. Brief Significance of the Document Name of the Document Page MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES KYC (Account Opening Form) application form A. KYC form - Document captures the basic information about the Constituent and an instruction/check list. B. Document captures the additional information about the Constituent Relevant to trading account and an instruction/check list. 2 Uniform Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the Annexure - 2 commodities market. 3 Rights and Obligations of Members, Authorized Persons and Clients Document stating the Rights & Obligations of Member, Authorized Person and client for trading on exchanges (including Annexure - 3 additional rights & obligations in case of internet/wireless technology based trading). 4 Do s and Don ts for the Investors 5 Policies and Procedures Document detailing do's and don'ts for trading on exchange, for Annexure - 4 the education of the investors. Document describing significant policies and procedures of the Annexure - 5 Commodity broker. 6 Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the commodity exchange(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 charges levied on the client for the services opted by them, if any, in trading on the commodity exchanges(s) 11 8 ECN Declaration Electronic Contract te Declaration for receiving contract notes by mail Mobile Declaration & Acknowledgement Client s consent letter for receiving SMS and other details from Member. Acknowledgement for receipt of documents executed Maintenance of Running account Letter of Authority Required for maintaining clients account for smooth running and for other authorisation Acceptance Letter Letter accepting the Rules & Regulation of FORTUNE TRADING CORPORATION & Client Declaration Trade Alerts Consent form for receiving trade alerts through SMS and/or 16 For any grievance / disputes please contact FORTUNE TRADING CORPORATION at the above address/ /Phone. In case not satisfied with the response, please contact the concerned exchanges. Multi Commodity Exchange of India Ltd. (MCX) Ph : (022) Fax : (022) grievance@mcxindia.com Website : Indian Commodity Exchange Ltd. (ICEX) Ph : (022) grievance@icexindia.com Website : (1) 6.0

4

5 ANNEXURE - 1 PART - I KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON INDIVIDUALS NEW CHANGE REQUEST (Please tick the appropriate) Please fill this form in ENGLISH and in BLOCK LETTERS (Please tick thex on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the corresponding row. FORTUNE TRADING CORPORATION Acknowledgement. Member : MCX & ICEX Regd. Office : Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai Phone : ftc@ftconline.in Web : A. IDENTITY DETAILS 1. Name of the Applicant : 2a. Date of Incorporation : (dd/mm/yyyy) 3. Date of Commencement of business: (dd/mm/yyyy) 4a. PAN : 4b. Registration. (E.g. CIN) : 5. Status (Please tick Private Ltd. Co. Charities AOP BOI FPI - Category III 2b. Place of Incorporation : the appropriate ) : Partnership ebody Corporate Public Ltd. Co. FII FI NGOs n-government Organisation Government Body Bank FPI - Category I LLP Society Others (Please specify) Trust HUF Defence Establishment FPI - Category II B. ADDRESS DETAILS 1. Address for correspondence : City/Town/Village: Pincode: State: Country: 2. Specify the Proof of Address submitted for Correspondence Address : 3. Contact Details: Tel.(Off.) Tel.(Res.) Mobile : Fax: id : 4. Registered Address (if different from above) : City/Town/Village: Pincode: State: Country: C. OTHER DETAILS (If space is insufficient, enclose these details separately [Illustrative format enclosed]) 1. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees/Whole time directors : 2a. DIN of whole time directors : 2b. Aadhaar number of Promoters/Partners/Karta : D. 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. Date : (dd/mm/yyyy) 1 Name & Signature of the Authorised signatory FOR OFFICE USE ONLY In Person Verification (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) Originals verified and Self Attested copies received Signature of the person who has done the IPV (3) Seal/Stamp of the Intermediary

6 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM A IMPORTANT POINTS: Self attested copy of PAN card is mandatory for all clients. 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.iiiiiiiIf any proof of identity or address is in a foreign language, then translation into English is required. 4.iiiiiiiName & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5.iiiiii 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 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.iiiiii 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.iiiiiiiUnique Identification Number (UID) (Aadhaar) / Passport / Voter ID card/ Driving license. 3.iiiiiiiIdentity card/ document with applicant s Photo, 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, Professional Bodies such as ICAI, ICWAI,ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. C. Iiiiiiii of Residence/Driving License/Flat Maintenance bill/insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill t more than 3 months old. 3. Bank Account Statement/Passbook - t more than 3 months old. 4.iiiiii Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks / Scheduled Co-Operative Bank / Multinational Foreign Banks / Gazetted Officer / tary public / Elected representatives to the Legislative Assembly / Parliament/ Documents issued by any Govt. or Statutory Authority. 6. 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. 7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. 8. 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. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50,000/- p.a. 5.iiiiii In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents: 1.iiiii tary 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, tary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest the documents. 1. 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.) Passport / Voters Identity Card / Ration Card /Registered Lease or Sale Agreement F. In case of n-individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: Documentary requirements Types of entity Corporate Partnership firm Trust Copy of the balance sheets for the last 2 financial years (to be submitted every year) & Beneficial Owner Letter. 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 securities market. Authorised signatories list with specimen signatures. Copy of the balance sheets for the last 2 financial years (to be submitted every year) & Beneficial Owner Letter. Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners. 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. Unincorporated association or a body of individuals Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures. Banks/Institutional Investors Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures. Copy of SEBI registration certificate. Authorized signatories list with specimen signatures. Self-certification on letterhead. Authorized signatories list with specimen signatures. 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 Foreign Institutional Investors (FII) Army/ Government Bodies Registered Society (4)

7 DETAILS OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS 1. Name Aadhaar. PHOTOGRAPH 2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,) 3a. PAN 3b. DIN 4. Residential / Registered Address City/Town/Village State 1. Name Pin Code Country Aadhaar. Please affix your recent passport size photograph and sign across it PHOTOGRAPH 2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,) 3a. PAN 3b. DIN 4. Residential / Registered Address City/Town/Village State 1. Name Pin Code Country Aadhaar. Please affix your recent passport size photograph and sign across it PHOTOGRAPH 2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,) 3a. PAN 3b. DIN 4. Residential / Registered Address City/Town/Village State 1. Name Pin Code Country Aadhaar. Please affix your recent passport size photograph and sign across it PHOTOGRAPH 2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,) 3a. PAN 3b. DIN 4. Residential / Registered Address City/Town/Village State 1. Name Pin Code Country Aadhaar. Please affix your recent passport size photograph and sign across it PHOTOGRAPH 2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,) 3a. PAN 3b. DIN 4. Residential / Registered Address City/Town/Village State Pin Code Country Please affix your recent passport size photograph and sign across it 2 Name & Signature of the Authorised signatory (ies) Date : (5)

8 Annexure - 1 Part - II FOR NON INDIVIDUALS To FORTUNE TRADING CORPORATION Member : MULTI COMMODITY EXCHANGE OF INDIA LTD (MCX) Member : INDIAN COMMODITY EXCHANGE LIMITED (ICEX) MCX Member ID ICEX Member ID.2010 SEBI Registration. INZ Regd. Office : Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai Phone : ftc@ftconline.in Web : PHOTOGRAPH 3 Please affix your recent passport size photograph and sign across it Please fill this form in ENGLISH and in BLOCK LETTERS. Dear Sir I / We request you to register me / us as your client / Constituent and enable me / us to trade in the Commodity Market. I/We have read the Rules, Bye-laws and Regulations of the exchange pertaining to these segments and agree to abide by them. In this regard, I / We give the following information. A. IDENTITY DETAILS 1. Name of the Applicant 2. Date of Incorporation (dd/mm/yyyy) Place of Incorporation 3. Date of commencement of business (dd/mm/yyyy) b. Registration. (e.g. CIN) 4. a. PAN c. Any other additional proof of identity : Private Limited Co. HUF 5. Status (Please Tick any One) Public Ltd. Co. LLP Partnership Body Corporate Trust Others (Please specify...) (In case of foreign entity or entity with foreign shareholders, self certified copy of statutory Approval Obtained must be attached) B. ADDRESS DETAILS ( Proof of address must be different from the proof of identity submitted) 1. Address for Correspondence City : State : Tel. (Off.) 2. Contact Details Country: Tel. (Res.) PIN CODE: Mobile. id : Fax. 3. Specify the proof of Address submitted for Correspondence Address 4. Permanent Address ( If different From above ) City : State : Country: 5. Specify the proof of Address submitted for registered Address if applicable (6) PIN CODE:

9 C. OTHER DETAILS 1. Gross Annual Income Details (please specify) : Income Range per annum : Below Rs.1Lac 2. Networth as on (date) Rs.1-5 Lac Rs.5-10 Lac (Rs. Rs Lac Rs.25Lacs-1 crore >1 crore _) (Net worth should not be older than 1 year) 3. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees & whole time directors : Please Fill Annexure A / Annexure B 4. DIN/UID of Promoters/Partners/Karta/Trustees & whole time directors : Please Fill Annexure A / Annexure B 5. Please Tick,as Applicable Related to a Politically Exposed Person (PEP) t Related to a Politically Exposed Person (PEP) Politically Exposed Person (PEP) / t a Politically Exposed Person (PEP) / D. BANK ACCOUNT (S) DETAILS Bank Name Bank A/C Type Bank A/C Number* Savings / Current / Others-in case Of NRI/NRE/NRO Bank Branch Address RTGS/NEFT/IFSC Code MICR *Payment will be issued to the said Bank account by default unless & otherwise specified Bank Name Bank A/C Type Bank A/C Number Savings / Current / Others-in case Of NRI/NRE/NRO Bank Branch Address RTGS/NEFT/IFSC Code MICR te : 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. E. DEPOSITORY ACCOUNT(S) DETAILS, if available Depository Participant Name (DP) Depository Name(NSDL / CDSL) Beneficiary Name DP ID Beneficiary ID (BO ID) te : Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. Please sign in the relevant boxes with which Exchange you wish to trade. The Exchange not chosen should be struck off by the client. Sr.. Name of the National Commodity Exchanges # Date of Consent for Trading Signature of the Client on concerned Exchange F. TRADING PREFERENCES Multi Commodity Exchange of India Ltd. (MCX) - FUTURES & OPTIONS 4 Indian Commodity Exchange Ltd. (ICEX) - FUTURES & OPTIONS 5 # At the time of printing the form, the Member must specify the names of the Exchanges where the Member has membership. [In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent Letter is required by the Member from client and to be kept as enclosure with this document] (7)

10 years in Commodities G. Investment /Trading Prior Experience Experience Years in other Investment related field H. SALES TAX REGISTRATION DETAILS (As applicable, State wise) Local 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 : I. VAT DETAILS (As applicable, State wise) Local VAT Registration Number : Validity Date : Name of the state : Other VAT Registration Number : Validity Date : Name of the state : J. PAST REGULATORY ACTIONS Details of any action/proceedings initiated/pending/ taken by FMC / SEBI / Stock exchange / Commidity exchange any other authority against the client dealing in commodities during the last 3 years : K. DEALINGS THROUGH OTHER MEMBERS If client is dealing through the 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): Member s / Authorized Exchange & Exchange s Concerned Member s Name Person (AP) s Name Registration. With whom the AP is registered Registered Office Address Phone / Fax / /Web Details Details of disputes/dues pending from / to such Member/AP : L. INTRODUCER DETAILS (Optional) Name of the Introducer Status of the Introducer Authorized Person / Existing Client / Others, please specify: Address of the Introducer Phone no. of the Introducer Signature of the Introducer M. ADDITIONAL DETAILS Whether you wish to receive communication from Member in electronic form on your -id : { If then please fill in Appendix-A } Whether you wish to avail of the facility of internet trading / wireless technology : (Please specify) (8) Client Code

11 DECLARATION 1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief 1. and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to 1. be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. 2. I/We confirm having read/been explained and understood the contents of the tariff sheet and all voluntary / non2. mandatory documents. 3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s), 'Risk 3. Disclosure Document' and Do s and Dont s. I/We do hereby agree to be bound by such provisions as outlined in these 3. documents. I/We have Also been informed that the standard set of documents has been displayed for Information on 3. Member's designated website, if any. 6 Place : Date : Signature of (all Authorised Signatory(ies)* * Form need to be signed by all the authorized signatories. FOR OFFICE USE ONLY UCC Code allotted to the Client : Documents verified with Originals Name of the Employee Employee Code Designation of the employee Date Signature I / We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of 'Rights and Obligations' document (s), RDD and Do s and Don't s and Guidance te. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the voluntary/non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the clients. For FORTUNE TRADING CORPORATION Authorised Signatory Date. Seal/Stamp of the Member (9)

12 TARIFF SHEET 1. Rates of Brokerage Brokerage details Charge Head Brokerage / Charges Futures Intraday - Rs.20/- per Executed order Futures Delivery - 0.1% of Turnover Options Rs.20/- per Executed order Client Signature 7 2. Schedule of Charges Transaction charges, Stamp duty, GST, Commodities Transaction Tax and any other Statutory charges / levies as applicable. 8 Signature of Client (10)

13 VOLUNTARY ADDITIONAL TARIFF SHEET TRADING ACCOUNT In addition to the CHARGES mentioned in the Tariff Sheet, the following charges will be levied, if the Services opted by the Client. Please sign in the relevant boxes where you wish to opt the additional services and not chosen should be struck off by the client. Trading Client ID Other Services Option Opted Signature of the Client In addition to Digital Contract, if the client requires Physical Contract te shall be Rs.50/- per Day. Call & Trade Charges / Intraday Square Off of MIS/CO/BO Order :iiiiiiiiiiiiiiiiiiiiii Rs.50/- per executed order plus GST 10 Payment Gateway facility is available and charges of Rs.10/- per transaction plus GST irrespective of the amount transferred in single transaction 11 Clearing Member Charges & Other Levies Rs.200/- per Crore plus GST 12 SMS Charges - Rs.100/- per month 13 Debit my trading account for Rs.50/- towards Application charges. Iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii 14 Signature 9 15 Client Name Date (11) 6.0

14 TARIFF SHEET 1. Rates of Brokerage Brokerage details Charge Head Brokerage / Charges Futures Intraday - Rs. /- per Crore Futures Delivery - 0.1% of Turnover Options Rs.20/- per Lot Client Signature 7 2. Schedule of Charges Transaction charges, Stamp duty, GST, Commodities Transaction Tax and any other Statutory charges / levies as applicable. 8 Signature of Client (10)

15 VOLUNTARY ADDITIONAL TARIFF SHEET TRADING ACCOUNT In addition to the CHARGES mentioned in the Tariff Sheet, the following charges will be levied, if the Services opted by the Client. Please sign in the relevant boxes where you wish to opt the additional services and not chosen should be struck off by the client. Trading Client ID Other Services Option Opted Signature of the Client In addition to Digital Contract, if the client requires Physical Contract te shall be Rs.50/- per Day. Call & Trade Charges / Intraday Square Off of MIS/CO/BO Order :iiiiiiiiiiiiiiiiiiiiii Rs.50/- per executed order plus GST 10 Payment Gateway facility is available and charges of Rs.10/- per transaction plus GST irrespective of the amount transferred in single transaction 11 Clearing Member Charges & Other Levies Rs.200/- per Crore plus GST 12 SMS Charges - Rs.100/- per month 13 Debit my trading account for Rs.50/- towards Application charges. Iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii 14 Signature 9 15 Client Name Date (11) 6.0

16 Electronic Contract te (ECN) - DECLARATION (VOLUNTARY) Appendix A To, FORTUNE TRADING CORPORATION Member : MCX & ICEX Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, iiiiiiiiiiiiiiiiambattur Industrial Estate, Ambattur, Chennai Dear Sir, I/We, M/s FORTUNE TRADING CORPORATION, of MCX & ICEX undertake as follows. a client with Member I/We am/are aware that the Member has to provide contract note in respect of all the trades placed by me unless I/We vvvvmyself/ourself want the same in the electronic form. I/We am/are aware that the Member has to provide electronic contract note for my/our convenience on my/our request only. Though the Member is required to deliver physical contract note, I/We find that it is inconvenient for me/us to receive physical contract notes. Therefore I/We am/are voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out/ ordered by me/us. I/We have access to a computer and I/We am/are regular internet user, having sufficient knowledge of handling operations. My/our ID is * been created by me/us and not by someone else. I/We am/are aware that this declaration form should be in English or any other language known to me.. This has I/We am/are aware that non-receipt of bounced mail notification by the Member shall amount to delivery of the contract iiiiiiiinote at the above ID. The above declaration 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 physical contract note, and do hereby take full responsibility for the same. *(The id must be written in own handwriting of the client.) Client Name : Unique Client Code : PAN : Address : Signature of the Client : 16 Date : Place : Verification of the client signature done by Name of the designated officer of the Member : Signature : (12) 6.0

17 MOBILE DECLARATION Declaration for Mobile Number We having PAN. do hereby declare that our mobile. is. Further We authorize Fortune Trading Corporation (FTC) that the same may be used for giving us any information / alerts / Trade Communications / Margin Calls / SMS. Etc., We further declare the above mentioned statement is true and correct. 17 Signature : Client Name : RECEIPT OF KYC, RDD and Dos & Don'ts TO FORTUNE TRADING CORPORATION.905, First Floor, Soundarya Colony, (Syndicate Bank Colony), Anna Nagar West Extension, Chennai Dear Sir, Sub : Receipt of KYC, RDD and Dos & Don'ts Dear Sir, I / We hereby acknowledge the receipt of the copy of the under-mentioned documents which are in accordance with the norms of the guidelines issued by the MCX / ICEX. (a) Copy of the Client Registration Form (b) RDD with other Voluntary undertakings (c) Dos & Don'ts 18 Signature : Client Name : 6.0 (13)

18 Maintenance of Running A/c.- Letter of Authority TO FORTUNE TRADING CORPORATION Member : MCX & ICEX Member MCX Member ID ICEX Member ID.2010 SEBI Registration. INZ Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai Ph. : ftc@ftconline.in Web : Dear Sir, I / We have been regularly trading and investing, or plan to do so, with you at The Multi Commodity Exchange of India Ltd.(MCX) and/or Indian Commodity Exchange Ltd. (ICEX). To facilitate ease of operations, I / We request and authorise you as under : 1. I / We request you to maintain running balance in my account and retain the credit balance in any of my / our account 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 Exchange(s) / Clearing Corporation unless I / we instruct you otherwise 2. I / We request you to retain securities / commodities with you for my / our margin / pay-in / other future obligation(s) at any segment(s) of any or all the Exchange(s) / Clearing Corporation, unless I / we requested you to transfer the same to my / our account 3. I / We further authorise FTC to settle the funds, securities and commodities atleast once in a calender quarter / month as specified by me below in accordance with regulations in force Quarterly Monthly 4. In case I We have an outstanding obligation on the settlement date, you may retain the requisite securities / funds towards such obligations and may also retain the funds expected to be required to meet margin obligation for next 5 trading days, calculated in the manner specified by the exchanges 5. I / We hereby authorise you to liquidate / close out all or any of my / our positions for non-payment of margins or other account, outstanding debts etc. I / We agree to bear any and all losses and financial charges on account of such liquidation / close-out. 6. I / We agree not to hold you liable or responsible for delay or default in performance of your obligations due to contingencies beyond your control such as fire, flood, civil commotion, earthquake, riots, war, strikes, failure of systems, failure of internet links, Government / regulatory actions or any such other contingencies which may be beyond your control I / We agree to continue with the authorization to maintain a running account till such time the same is expressly revoked. I / We understand that FTC shall act upon such revocation request upon receipt of the original revocation request. REF : Circular Ref, MCX/INSP/ 325/2016 issued by MCX on 29th Sep 2016 regarding quarterly/ monthly settlement of running accounts of clients 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 care of any margin obligation arising in next 5 days for my open positions By considering the administrative / operational difficulties in settling the accounts for regular trading clients, I request you to kindly retain an amount of up to 50,000/- while settling the account. Thanking you, Yours truly, Signature : 19 Client Code / Name : Date : (14) 6.0

19 FORTUNE TRADING CORPORATION (Member of MCX & ICEX) Regd. Office : Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai Ph. : ftc@ftconline.in Web : ftconline.in RULES & REGULATIONS 1. Please maintain secrecy of your User Name and Password and never Share your Login Credentials / User Name and Password iiiiiiiiwith anyone. 2. All Bank Accounts from which the client will issue cheques should be registered with FORTUNE TRADING CORPORATION. Third party cheques will not be accepted at any cost. 3. Fortune Trading Corporation will not accept any cash from its clients and will not pay by cash to its clients. Clients are strictly iiiiiiiiadvised not to do any cash transactions with any of the sub brokers / staffs /associates of Fortune Trading Corporation. Fortune iiiiiiiitrading Corporation will not be responsible for any cash transactions. 4. Fortune Trading Corporation does not do any portfolio type of trading. Clients are advised not do any such activity with any of our iiiiiiiisub brokers / associates / staffs. 5. Fortune Trading Corporation will not give any third party cheques at any cost and the cheques will be issued only from the iiiiiiiifortune Trading Corporation Bank account. 6. Kindly check the s on a daily basis. We send all your contract notes, Daily Activity Reports, Long short Positions, Ledgers on a iiiiiiiidaily basis to your id. Discrepancies if any, should be brought to our knowledge immediately. Incase of disputes if any, iiiiiiiiplease write to us at ftc@ftconline.in 7. Daily the clients will be sent a SMS from Fortune Trading Corporation with all the account details, Trade confirmations and their iiiiiiiipending positions. 8. Delayed payment 2% per month on account of delay / failure by the client in meeting the pay-in / margin obligations / iiiiiiiimark to market obligations on the scheduled date till date of payment. t consider any credit balance in other family or group iiiiiiiiaccount of the client while computing delayed payment charges on the debit balance in the running account of a client. 9. The above levy is only a penal measure incase of a client default in meeting settlement and margin obligation and should not be iiiiiiiiconstrued as funding arrangement by the client; and the client cannot demand continuation of service on a permanent basis iiiiiiiiciting levy of delayed payment charges. 10. We are not a dealer and not selling any automated software, charts, technical analysis softwares etc., to our clients for placing iiiiiiiiorders / trading purposes. Fortune neither have arrangements nor tied up with any vendor for selling any kind of automated iiiiiiiisoftware, technical analysis softwares etc., to our clients. 11. Fortune neither providing any advisory regarding trading of stocks / commodities nor we offer Portfolio Management Services iiiiiiii(pms). Please be aware of unauthorised website / SMS / s / whatsapp / chats etc., for trading calls or PMS in our name. If iiiiiiiiyou find any suspicious messages / chats with our name, please report the same to ftc@ftconline.in or call and inform us iiiiiiii DECLARATION We...have read and understood all the terms and conditions of Fortune Trading Corporation mentioned in the Account Opening Form. We also read and understood the rules and regulations of FORTUNE TRADING CORPORATION mentioned above and we will abide the same. We Further state and confirm that we have read & understood all the clauses of Risk Disclosure Document - RDD and Rights & Obligations. We will do all the trading on my own and I will not allow anyone else to do the trading on our behalf. We ensure you that we will not do any Portfolio Business through any associates of FORTUNE TRADING CORPORATION. We are aware that Fortune Trading Corporation will not accept Cash, Un-mapped Bank account and / or Third Party Cheques from their clients. We are completely aware that Fortune Trading Corporation not selling any automated software, charts, technical analysis software etc., to their clients. We have been made understood by Fortune Trading Corporation that Fortune Trading Corporation will not be held responsible for all mis happenings, if we do not follow the Rules & Regulations. 20 Signature of Client Place :... Name :... Date :... Client Code :... (15) 6.0

20 Member : MCX & ICEX Regd. Office : Kochar Technology Park, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai & Member ID of ICEX, undertake as follows : Tthe exchanges MCX & ICEX (16) 6.0

21 FORMAT OF BOARD RESOLUTION IN CASE OF CORPORATES (To be obtained on the pre-printed Letter head of the Company) CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OF DIRECTORS OF HAVING ITS REGISTERED OFFICE AT HELD ON DAY OF, 20 AT. Resolved that the Company be empowered to deal in Commodities segment or any other segment that may be introduced by MCX / FORTUNE TRADING CORPORATION in future, the said Trading Member be and is hereby authorized to honour instructions, oral or written, given on behalf of the company by any of the under noted authorized signatories: Sr.. Name Designation who is /are authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwise deal through FORTUNE TRADING CORPORATION on behalf of the Company. RESOLVED FURTHER THAT Mr. and / or Mr., and / or Mr. Authorized Signatory of the Company be and are hereby authorized to sign, execute and submit such application, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to open account and give effect to this resolution. RESOLVED FURTHER THAT, the Common Seal of the Company be affixed, wherever necessary, in the presence of any one director and Company Secretary, who shall sign the same in token of their presence. For Director / Company Secretary (Signature to be verified by the Banker) SPECIMEN SIGNATURES OF THE AUTHORIZED PERSONS Sr.. Name X X (17) X Specimen Signatures

22 AUTHORITY LETTER IN FAVOUR OF MANAGING PARTNER (S) (To be obtained on the pre-printed Letter head of the Firm) We, the partners of M/s a partnership firm, having its office at (office address) city state hereby authorize Mr/Ms. and Mr. / Ms to open a trading account in Commodity segment on behalf of the firm M/s. with the Trading Member FORTUNE TRADING CORPORATON for sale and purchase of Commodities or any other segment that may be introduced by MCX in future. He/She They is / are authorized on behalf of the firm to deal in Commodities and the said Trading Member is hereby authorized to honour all instructions oral or written, given on behalf of the firm by him/her/them. Mr. / Ms. and Mr./Ms is/are authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwise deal through FORTUNE TRADING CORPORATON on behalf of the firm M/s He/ She/They is / are also authorized to sign, execute and submit such applications, undertakings, agreement and other requisite documents, writings and deeds as may be deemed necessary or expedient to open account and given effect to this purpose. However any partner / authorized signatory(ies) can issue cheques from bank account(s) in favour of FORTUNE TRADING CORPORATON, for credit to trading account of the firm with FORTUNE TRADING CORPORATON, even though his/their signatures may not be available on the records of FORTUNE TRADING CORPORATON. These cheques may either be from the account of partnership firm or from individual account, the said amount so given shall be solely / exclusively for the account of the firm maintained with FORTUNE TRADING CORPORATON. Signature Signature Signature X X X (Instructions: Should be signed by all the partners of the firm. Rubber stamp of the firm should be affixed for each signature) (18)

23 CHECK LIST Sl.. Checked By Checked By Checked By Checked By Checked By Details 1. Signature across Photograph 2. Signature in Places 3. ID Proof of the company (Self attested) 4. Address proof (Self attested) 5. Bank Account Proof / Cancelled cheque leaf with IFSC Code 6. Xerox copy of PAN Card (Self attested) 7. Latest Annual Report 8. All details provided in Annexure A & Annexure B 9. Copy of Memorandum & Articles of Association 10. Board Resolution / Authority Letter 11. Proof of Date of Incorporation 12. POI, POA of Directors / Auth. Signatories FOR OFFICE USE ONLY MAPPING Code Name SUB-BROKER MB / MF RM NAME (DIRECT) RM NAME (INDIRECT) Data Entered in System by Name : Signature :