KNOW YOUR CLIENT CLIENT CODE CLIENT NAME

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1 ALPHA COMMODITY PRIVATE LIMITED KNOW YOUR CLIENT CLIENT CODE CLIENT NAME Corporate Office : 13th Floor, Raheja Centre, Free Press Road, Nariman Point, Mumbai Phone : (022) Fax : (022) E.mail : info@alphacommodities.co.in Regd. Office : 112A, Embassy Centre, Nariman Point, Mumbai Phone : (022) Fax : (022) E.mail : info@alphacommodities.co.in CIN : U51909MH2003PTC

2 Name of Member : ALPHA COMMODITY PRIVATE LIMITED Sl. No. Member of Multi Commodity Exchange of India Ltd. SEBI Registration No. : INZ , Member ID Member of National Commodity & Derivatives Exchange Ltd. SEBI Registration No. : INZ , Member ID 0023 Registered Office address : 112A, Embassy Centre, Nariman Point, Mumbai Phone : (022) , Fax : (022) E.mail : info@alphacommodities.co.in Website : CIN : U51909MH2003PTC Correspondence Office address : 13th Floor, Raheja Centre Free Press Road, Nariman Point, Mumbai Phone : (022) , Fax : (022) E.mail : info@alphacommodities.co.in Compliance Officer Name, Phone No. & ID : Mr. S. S. Gulati, (022) , info@alphacommodities.co.in CEO Name, Phone No. & ID : Mr. Pratik Doshi, (022) , pratik.doshi@alphacommodities.co.in For any grievance/dispute please contact ALPHA COMMODITY PRIVATE LIMITED at the above address or e.mail id : info@alphacommodities.co.in and Phone No. : (022) In case not satisfied with the response, please contact the Multi Commodity Exchange of India Ltd. at grievance@mcxindia.com and Phone no & National Commodity & Derivatives Exchange Ltd. at askus@ncdex.com and Phone no Disclosure of Proprietary Trading pursuant to SEBI Circular No. : SEBI/HO/CDMRD/DMP/ CIR/P/2016/49 dated April 25, 2016, MCX Circular No. : MCX/T&S/123/2016 dated April 26, 2016 and MCX Circular No. : MCX/T&S/147/2016 dated May 17, 2016 and NCDEX circulars and guidelines : We, ALPHA COMMODITY PRIVATE LIMITED, may do proprietary trading as and when we deem fit. Notes: Below mentioned Symbols denotes various signatures approximately Client Signature Individuals - 13 & Non-Individuals - 15 Alpha Authorized Signature 3

3 S.NO. ALPHA COMMODITY PRIVATE LIMITED INDEX OF DOCUMENTS NAME OF THE DOCUMENT AND ITS BRIEF SIGNIFICANCE PAGE NOS. MANDATORY DOCUMENTS AS PRESCRIBED BY FMC & EXCHANGES 1. Tariff sheet 1 Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the Commodity Exchange(s). 2. KYC (Account Opening) 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 Check List & Uniform Risk Disclosure Document (RDD), Rights and Obligations of Members,Authorized Persons, Do s and Don ts for the Investors - separate booklet VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER 3. Electronic Contract Note [ECN] Declaration 17 Mandate to receive Contract Notes via E.mail 4. Undertaking with regards to Position Limits in Commodity Forward Contract 18 Undertaking for adherence to Position Limits specified by Exchanges / Regulatory Authorities 5. Authority Letter for Dealings 19 Authorising someone to deal on your behalf 6. Running Account Authorisation 20 The document deals with an option given to client to settle his obligations on a running basis & settle the same at monthly/quarterly interval at his discretion. 7. Client Letter 21 Undertaking for Online and Offline 8. Declaration by client in relation to PMLA, The document deals with other additional voluntary information to be provided by the client in relation to prevention of Money Laundering Act, OTHERS 9. DECLARATION OF ULTIMATE BENEFICIAL OWNERSHIP 23

4 FOR OFFICE USE : ALPHA COMMODITY PRIVATE LIMITED CLIENT REGISTRATION FORM V Date Client Code Terminal code Branch Code Client Name Registration for Exchange / Segment : MCX NCDEX R. M. Contact Details Introduced By Mobile No. Address Team Leader Code / Name Tariff Sheet One Side Both Side Square up Brokerage Delivery Brokerage Other Charges 1. Stamp Charges, Exchange Transaction Cost, Stamp Duty, Service Tax and other Statutory charges applicable as per actuals. 2. An 18% on day to day basis will be charged by Alpha, for any outstanding debit balance in the account. 3. Any bank charges/exchange charges /Regulatory charges/penalties etc. shall be debited to the client as per actuals or resulting out of any violation on part of the client. 4. KRA charges on actual basis, on account fetching and / or registration from / with KRA authority. 5. The Company reserves the rights to change pricing (brokerage and other levies) from time to time with prior information. 1 1 (Signature of the Client) 1

5 Important Instructions: A) Fields marked with * are mandatory fields. B) Please fill the form in English and in BLOCK letters. C) Please fill the date in DD-MM-YYYY format. D) Please read section wise detailed guidelines / instructions at the end. E) List of State / U.T. code as per Indian Motor Vehicle Act, 1988 may be obtained from our office. F) List of two character ISO 3166 country codes may be obtained from our office. G) KYC number of applicant is mandatory for update application. H) For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated. 2 2

6 3 ALPHA COMMOD I TY P L TD 3

7 CENTRAL KYC REGISTRY Instructions / Check list / Guidelines for filling Individual KYC Application Form General Instructions: 1 Fields marked with * are mandatory fields. 2 Tick wherever applicable. 3 Self-Certification of documents is mandatory. 4 Please fill the form in English and in BLOCK Letters. 5 Please fill all dates in DD-MM-YYYY format. 6 Wherever state code and country code is to be furnished, the same should be the two -digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code respectively list of which may be obtained from our office. 7 KYC number of applicant is mandatory for updation of KYC details. 8 For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated. 9 In case of Small Account type only personal details at section number 1 and 2, photograph, signature and self-certification required. A Clarification / Guidelines on filling Personal Details section 1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc). The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected. 2 Either father s name or spouse s name is to be mandatorily furnished. In case PAN is not available father s name is mandatory. B Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India 1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the said jurisdiction has issued a high integrity number with an equivalent level of identification (a Functional equivalent ), the same may be reported. Examples of that typ e of number for individual include, a social security/insurance number, citizen/personal identification/services code/number, and resident registration number) C Clarification / Guidelines on filling Proof of Identity [Pol] section 1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished. 2 Mention identification / reference number if Z- Others (any document notified by the central government) is ticked. 3 In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents can also be submitted and undernoted relevant code may be mentioned in point 3 (S). Document Code Description 01 Identity card with applicant s photograph issued by Central/ State Government Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and Public Financial Institutions. 02 Letter issued by a gazetted officer, with a duly attested photograph of the person. D Clarification /Guidelines on filling Proof of address [PoA] -Current/ Permanent/Overseas address details section 1 PoA to be submitted only if the submitted Pol does not have an address or address as per Pol is invalid or not in force. 2 State / U.T Code a nd Pin / Post Code will not be mandatory for Overseas addresses. 3 In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents can also be submitted and undernoted relevant code may be mentioned in point 4.1. Document Code Description 01 Utility bill which is not more than two months old of any service provider (electricity, telephone, post -paid mobile phone, piped gas, water bill). 02 Property or Municipal Tax receipt. 03 Bank account or Post Office savings bank account statement. 04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector Undertakings, if they contain the address. 05 Letter of allotment of accommodation from employer issued by State or Central Government departments, statutory or regulatory bodies, public sector undertakings, scheduled commercial banks, financial institutions and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation. 06 Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India. E Clarification / Guidelines on filling Proof of Address [PoA] - Correspondence / Local Address details section 1 To be filled only in case the PoA is not the local address or address where the customer is currently residing. No separate PoA is required to be submitted. 2 In case of multiple correspondence / local addresses, Please fill Annexure A1 F Clarification / Guidelines on filling Contact details section 1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention ). 2 Do not add 0 in the beginning of Mobile number. G Clarification / Guidelines on filling Related Person details section 1 Provide KYC number of related person if available. H Clarification / Guidelines on filling Related Person details - Proof of Identity [Pol] of Related Person section 1 Mention identification / reference number if Z- Others (any document notified by the central government) is ticked. 4 Note : In case of any correction in the Form - please sign next to the correction made. Further, the signature should match the original signature.

8 KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON-INDIVIDUALS Please fill this form in ENGLISH and in BLOCK LETTERS. 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) 4. a. PAN : b. Registration No. (e.g. CIN) : 5. Status (please tick any one) : Private Limited Co. Public Ltd. Co. Body Corporate Partnership Trust Charities NGO s FI FII HUF AOP Bank Government Body Non-Government Organization Defence Establishment BOI Society LLP FPI-Category -I FPI- Category -II FPI-Category -III Others (please specify) B. ADDRESS DETAILS 1. Address for correspondence : City/town/village : Pin Code : State : Country : 2. Specify the proof of address submitted for correspondence address : 3. Contact Details : Tel. (Off.) Tel. (Res.) Mobile No. : Fax : id : 4. Registered Address (if different from above) : City/town/village : Pin Code : State : Country : C. OTHER DETAILS 1. Name, PAN, residential address and photographs of Promoters / Partners / Karta / Trustees and whole time directors : As per annexure 2. a) DIN of whole time directors : As per annexure b) Aadhaar number of Promoters / Partners / Karta : As per annexure 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. 2 Name & Signature of the Authorised Signatory Date : (dd/mm/yyyy) FOR OFFICE USE ONLY Originals verified and Self Attested Document copies received 1 Name & Signature of the Authorized Signatory Date : Seal/Stamp of the intermediary 5

9 DETAIL OF PROMOTERS / PARTNERS / KARTA / CO-PARCENERS / TRUSTEES AND WHOLE TIME DIRECTORS Particulars 1st 2nd 3rd Name Designation PAN Relationship with Applicant Proof of Identity submitted Proof of Address submitted DIN of whole time directors Aadhaar number of Promoters / Partners / Karta Residential Address PHOTOGRAPH PHOTOGRAPH PHOTOGRAPH Photograph Please affix the recent passport size photograph and sign across it Please affix the recent passport size photograph and sign across it Please affix the recent passport size photograph and sign across it 3a 3b 3c Signature with Rubber Stamp 4a 4b 4c Use additional sheet, if required. 5 Name & Signature of the Authorised Signatory 6

10 STANDING INSTRUCTIONS / DECLARATIONS 1. Contract Note : Electronic Physical 2. SMS Alert Facility : Yes No 3. Declaration for Mobile No. - Relationship with Client : Mobile No. Self Spouse Child Parent No 4. E.mail ID : 5. Standard Documents* to be provided : Electronic Physical 4 6 Signature of Client *Uniform Risk Disclosure Document (RDD), Rights and Obligations of Members, Authorized Persons and Clients & Do s and Don ts for the Investors IN PERSON VERIFICATION (IPV) DETAILS Name of the person who has done the IPV Designation Employee ID Name of the Organization Date of lpv : : : : : Signature of the person who has done the IPV : Seal/Stamp of the intermediary : 7

11 INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS : 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in commodity derivatives on behalf of company/firm/others. 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 regional 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 and other applicable statutory approvals), copy of passport/pio Card/OCI Card 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 along with other statutory approvals required for investment in commodities. 10. 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. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card 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. Proof of Address (POA) : - List of documents admissible as Proof of Address : (Note : 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/Multinational 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. (e.g. Aadhar Card etc.) D. Exemptions to PAN (Note : Sufficient documentary evidence in support of such claims to be collected.) 1. 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 (subject to the continued exemption granted by Government). 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 : Corporate Copy of Annual Accounts 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). 8

12 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 Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in commodity derivatives on behalf of company/firm/others and their specimen signatures. Partnership Firm Copy of the Annual Accounts 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. 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. Authorised signatories list with specimen signatures. Banks/Institutional Investors Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorised signatories list with specimen signatures. Foreign Institutional Investors (FII) Copy of SEBI registration certificate. Authorised signatories list with specimen signatures. Army/ Government Bodies Self-certification on letterhead. Authorised signatories list with specimen signatures. FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL Client Name 1. Are you U.S. Person? Yes No 2. Specify country of residence for tax purpose (Tax Residency) India Other 3. Specify country of citizenship India Other Note: If you are a U.S. person and / or if your tax residency / nationality / citizenship is other than India, then please provide declaration / self certification under FATCA / CRS. This declaration form can be downloaded from 5 (Client Signature) 9

13 KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR INDIVIDUALS - PART - II A. OTHER DETAILS 1. Gross Annual Income Details (please specify) : Income Range per annum : Below ` 1 Lac ` 1-5 Lac ` 5-10 Lac ` Lac > ` 25 Lacs or Net-worth as on (date) (dd/mm/yyyy) : (Net worth should not be older than 1 year) 2. Occupation (please tick any one and give brief details) : Private Sector Public Sector Government Service Business Professional Farmer Others (Specify) 3. Please tick, as applicable : Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) Not a Politically Exposed Person (PEP) Not Related to a Politically Exposed Person (PEP) B. BANK ACCOUNT(S) DETAILS Bank Name Branch Address : : Bank Account No. : Account Type : Saving Current Others MICR Number : IFSC code : Bank Name Branch Address : : Bank Account No. : Account Type : Saving Current Others MICR Number : IFSC code : 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. C. DEPOSITORY ACCOUNT(S) DETAILS, if available Depository Participant Name : Depository Name Beneficiary Name DP ID : NSDL CDSL : : Beneficiary ID (BO ID) : Note : Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. 10

14 D. TRADING PREFERENCES : Note : 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. Sr.No. Name of the National Commodity Date of Consent for trading Signature of the Client Exchanges on concerned Exchange # 1. Multi Commodity Exchange of India Ltd. 6a 2. National Commodity & Derivatives Exchange Ltd. 6b # In case you wish to trade on any Exchange at a later date, which is not selected now, a separate consent letter will be required. E. INVESTMENT/TRADING EXPERIENCE No Prior Experience Years in Commodities Years in Other investment related fields F. SALES TAX REGISTRATION DETAILS (As applicable, State wise) Local Sales Tax State Registration No. : Validity Date : Name of the State : Central Sales Tax State Registration No. : Validity Date : Other Sales Tax State Registration No. : Validity Date : Name of the State : G. VAT DETAILS (As applicable, State wise) Local VAT Registration No. : Validity Date : Name of the State : Other VAT Registration No. : Validity Date : Name of the State : H. PAST REGULATORY ACTIONS Details of any action / proceedings initiated / pending / taken by FMC / SEBI / Stock exchange / Commodity exchange / any other authority against the client 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) : Member s / Authorised Person (AP) s Name : Exchange : Exchange s Registration number : Concerned Member s Name with whom the AP is registered : 11

15 Registered office address : Phone : Fax : Website : Client Code : Details of disputes/dues pending from/to such Member/AP : J. INTRODUCER DETAILS (optional) Name of the Introducer : (Surname) (Name) (Middle Name) Status of the Introducer : Authorized Person Existing Client Others, please specify Address and Phone No. of the Introducer : Signature of the Introducer : K. ADDITIONAL DETAILS Whether you wish to receive communication from Member in electronic form on your -id : Yes No {If yes, then please fill in Appendix-A} L. NOMINATION DETAILS I/We wish to nominate I/We do not wish to nominate Name of the Nominee : Relationship with the Nominee : PAN of Nominee : Date of Birth of Nominee : Address and Phone No. of the Nominee : If Nominee is a minor, details of guardian : Name of guardian : Address and Phone No. of Guardian : Signature of guardian : 12

16 WITNESSES (Only applicable in case the account holder has made nomination) Name : Name : Signature : Signature : Address : Address : 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 change 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 the 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 Member s designated website, if any. Place : Date : 7 Signature of Client FOR OFFICE USE ONLY UCC Code allotted to the Client : Name of the Employee Employee Code Designation of the employee Date Signature Documents verified with Originals 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, 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 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. 2a Name & Signature of the Authorized Signatory Date : Seal/Stamp of the Member 13

17 KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON-INDIVIDUALS - PART - II A. OTHER DETAILS 1. Gross Annual Income Details (please specify) : Income Range per annum : Below ` 1 Lac ` 1-5 Lac ` 5-10 Lac ` Lac ` 25 Lacs-` 1 crore > ` 1 crore 2. Net-worth as on (date) (dd/mm/yyyy) : (*Net worth should not be older than 1 year) 3. Name, PAN, residential address and photographs of Promoters / Partners / Karta / Trustees and whole time directors : Annexure on Page 4 If you have a landline connection, kindly provide the same. B. BANK ACCOUNT(S) DETAILS Bank Name Branch Address : : Bank Account No. : Account Type : Saving Current Others MICR Number : IFSC code : Bank Name Branch Address : : Bank Account No. : Account Type : Saving Current Others MICR Number : IFSC code : 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. C. DEPOSITORY ACCOUNT(S) DETAILS, if available Depository Participant Name : Depository Name Beneficiary Name DP ID : NSDL CDSL : : Beneficiary ID (BO 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 : Note : 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. Sr.No. Name of the National Commodity Date of Consent for trading Signature of the Client Exchanges on concerned Exchange # 1. Multi Commodity Exchange of India Ltd. 2. National Commodity & Derivatives Exchange Ltd. 7a 7b # In case you wish to trade on any Exchange at a later date, which is not selected now, a separate consent letter will be required. 14

18 E. INVESTMENT/TRADING EXPERIENCE No Prior Experience Years in Commodities Years in Other investment related fields F. SALES TAX REGISTRATION DETAILS (As applicable, State wise) Local Sales Tax State Registration No. : Validity Date : Name of the State : Central Sales Tax State Registration No. : Validity Date : Other Sales Tax State Registration No. : Validity Date : Name of the State : G. VAT DETAILS (As applicable, State wise) Local VAT Registration No. : Validity Date : Name of the State : Other VAT Registration No. : Validity Date : Name of the State : H. PAST REGULATORY ACTIONS Details of any action/proceedings initiated / pending / taken by FMC / SEBI / Stock exchange / Commodity exchange / any other authority against the client or its Partners / promoters / whole time directors / authorized persons in charge 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 / APs, provide details of all in a separate sheet containing all the information as mentioned below) : Member s / Authorised Person (AP) s Name : Exchange : Exchange s Registration number : Concerned Member s Name with whom the AP is registered : Registered office address : Phone : Fax : Website : Client Code : Details of disputes/dues pending from/to such Member/AP : 15

19 J. INTRODUCER DETAILS (optional) Name of the Introducer : (Surname) (Name) (Middle Name) Status of the Introducer : Authorized Person Existing Client Others, please specify Address and Phone No. of the Introducer : Signature of the Introducer : K. ADDITIONAL DETAILS Whether you wish to receive communication from Member in electronic form on your -id : Yes No {If yes, then please fill in Appendix-A} 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 the 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 Member s designated website, if any. Place : 8 Signature of (all) Authorized Signatory (ies)* Date : *Form need to be signed by all the authorized signatories. FOR OFFICE USE ONLY UCC Code allotted to the Client : Name of the Employee Employee Code Designation of the employee Date Signature Documents verified with Originals 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, 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 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. 2b Name & Signature of the Authorized Signatory Date : Seal/Stamp of the Member 16

20 Appendix A - Electronic Contract Note [ECN] - DECLARATION (VOLUNTARY) To Alpha Commodity Pvt. Ltd. Member : MCX / NCDEX 13th Floor, Raheja Centre, Nariman Point Mumbai Dear Sir, I,, a client with Alpha Commodity Pvt. Ltd., Member of Multi Commodity Exchange of India Ltd. / National Commodity & Derivatives Exchange Ltd., undertake as follows: I am aware that the Member has to provide physical contract note in respect of all the trades placed by me unless I myself want the same in the electronic form. I am aware that the Member has to provide electronic contract note for my convenience on my request only. Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me. I have access to a computer and am a regular internet user, having sufficient knowledge of handling the operations. My id is*. This has been created by me and not by someone else. I am aware that this declaration form should be in English or in any other language known to me. I am aware that non-receipt of bounced mail 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 in own handwriting of the client.) Client Name : Unique Client Code : PAN : Address : Signature of the client : 9 Date : Place : Verification of the client signature done by : Name of the designated officer of Alpha Commodity Pvt. Ltd. For Alpha Commodity Pvt Ltd. 8 3 Authorised Signatory Signature 17

21 To Alpha Commodity Pvt. Ltd. 13th Floor, Raheja Centre, Nariman Point Mumbai VOLUNTARY Date : Dear Sir, Subject : My/Our request for trading in commodity forward contracts/ commodity derivatives on NCDEX/MCX as your client I/We, the undersigned, have taken cognizance of NCDEX circular no. NCDEX/TRADING-114/2006/247 dated September 28, 2006, MCX circular no. MCX/338/2006 dated August 21, 2006 and ICEX Circulars/Guidelines on the guidelines for calculation of net open positions permitted in any commodity and I/we hereby undertake to comply with the same. I/We hereby declare and undertake that we will not exceed the position limits prescribed from time to time by NCDEX or MCX or Forward Markets Commission and such position limits will be calculated in accordance with the contents of above stated circulars of NCDEX and MCX as modified from time to time. I/We undertake to inform you and keep you informed if I/any of our partners/directors/karta/trustee or any of the partnership firms/companies/hufs/ Trusts in which I or any of above such person is a partner/director/karta/ trustee, takes or holds any position in any commodity forward contract/commodity derivative on NCDEX/MCX through you or through any other member(s) of NCDEX/MCX, to enable you to restrict our position limit as prescribed by the above referred circulars of NCDEX and MCX as modified from time to time. I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/ us as your clients on NCDEX/MCX only on the basis of our above assurances and undertaking. Thanking You, Yours faithfully, 9 10 Signature of Client 18

22 For INDIVIDUAL /HUF/LLP VOLUNTARY DATE : To Alpha Commodity Pvt. Ltd. 13th Floor, Raheja Centre Nariman Point Mumbai Dear Sirs, Subject : Authority Letter for Dealing I (individual) / We (Huf/Partners/LLP) do hereby give our consent that the aforesaid viz. 1., 2. would operate & execute above mentioned BO id/trading account and execute order on my/our behalf of and deal on Multi Commodity Exchange of India Ltd., National Commodity & Derivatives Exchange Ltd., and any dealing actions done on my/our behalf by above mentioned person/s shall be aceeptable to me/us subject to the Bye Laws, Rules and Regulations of the Exchanges from time to time. We further confirm that the authorised person can jointly / severally issue instruction to you as our broker for securities trades, fund, etc. and to do all such acts, deals and things as may be necessary for the purpose of operating this account. The Specimen Signature and other details of the Authorised person are given below: Specimen signature in full PAN Relationship with me / us I/We further state that ALPHA shall not be responsible for any act, dealing done by the aforesaid Authorised person. Thanking you, Yours faithfully, 10 Signature 11 Name 19

23 VOLUNTARY Date : To Alpha Commodity Pvt. Ltd. 13th Floor, Raheja Centre Nariman Point Mumbai Unique Client Code No. Ref : Authority letter for adjustment of funds and collateral and maintaining running account Respected Sir, I/We have entered into Rights and obligations of Members, Authorised Persons and Clients as prescribed by FMC and Commodity Exchanges for trading on NCDEX and MCX. Pursuant to completion of registration formalities you have allocated the above said client code to me / us and we wish to commence trading on NCDEX MCX. I/We hereby willfully and unconditionally issue following standing instructions with references to personal discussion between us for my / our operational convenience. I / we will make payments to you for bills raised by you. I / we am / are agreeable for maintaining running account and instruct you that no Cheque / Shares be issued to me / us towards credit balance in my account, unless specifically demanded by me / us and only to the extent of amount demanded by me / us. I / we are agreeable that the credit balance of funds and shares be treated as margin for the respective exchanges I / we authorise Alpha to retain an amount upto Rs.50,000/- (consolidated amount across segments) for settlement of funds and securities of that respective quarter / month. I / we am / are agreeable for transfer of credit balances in margin account / client account of one exchange / segment towards adjustment of debit balance in margin account /client account of another segment / exchange and vise versa. I / we am / are agreeable for and authorise you to withheld funds pay-out towards all the applicable margins and debits. As regards the placement of orders, although you had insisted on written instruction for placing orders, considering the practical difficulties faced by me / us in complying the same, I / we would request you to accept orders placed orally on telephone. In case of any wrong entry flowing into any wrong account due to mistake on the part of the client, ALPHA Commodity Pvt. Ltd., shall not accept any responsibility /consequences relating thereto. Rejection/Deactivation of facility of payout of funds through Net Banking NEFT/RTGS/NEFT etc. mode by Alpha Commodity Pvt. Ltd. is subject to receipt of copy of cancelled cheque from the client. Rejection/Deactivation of facility of payout of funds through Net Banking/EFT/RTGS/NEFT, etc. to the client is at the discretion of the Alpha Commodity Pvt. Ltd. ALPHA Commodity Pvt.Ltd, Shall not bear any responsibility of any system failure or payment not being credited /delayed / reflected in the client s account due to any technical or any other reason beyond its control. Pledge/deposit my/our securities & funds whether deposited as Collateral/margin or permitted by us to be retained account by you with Exchange/Clearing Corporation/Clearing House for the purposes of raising funds, assignment of contract or any other liability arising out of my/our dealing with you through you. I/We authorized you to do all such acts, deeds and things as may be necessary and expedient for placing such securities with the Exchanges as margin. You are further authorized to sell liquidate these securities /FDRs at the time and manner of your choice, as and when deemed fit by you in your absolute discretion to meet any shortfalls in my our accounts or any other liability of mine /ours without any reference to me/us. I / We am / are aware that the above mentioned points are voluntary and I have an authority to set aside or revoke any of them whenever deem fit by me. These standing instructions are valid from the date the account is opened and will be valid until revoked. I / We instruct you to settle my account on monthly basis quarterly basis. Thanking You, Yours Faithfully, Signature of the client Name: 20

24 VOLUNTARY Undertaking for Online and Offline Date : To Alpha Commodity Pvt. Ltd. 13th Floor, Raheja Centre Nariman Point Mumbai Dear Sir, I/we, hereby state that I/we have opted mode of my trading account (Online or Offline) in the account opening forms / documents signed by me/us. However, as per my convenience, I may opt to change the mode of trading from Online to Offline or Offline to Online going ahead. Accordingly, I/we shall communicate you to make the necessary change in the mode of trading, either verbally or in writing, which shall be carried out by Alpha Commodity Pvt. Ltd. subject to guidelines prescribed by it. I/we have read and understood the rights and obligations sheet as stipulated by SEBI and agree to abide by it. I/ we agree that any change in operation / mode of said account from offline to online or vice versa will not affect my/our liabilities and obligations towards Alpha Commodity Pvt. Ltd. I/we shall be liable for satisfactory completion of all transactions/trades/dealings/orders executed in my/our account. Yours Faithfully, 12 Client Signature : 13 Client Name : 21

25 VOLUNTARY INFORMATION PROVIDED BY THE CLIENT IN RELATION TO THE PREVENTION OF MONEY LAUNDERING ACT, 2002 Name of the Client : If Business / Profession : Nature of business : Industry : Details of my/our Relatives, having account with ALPHA COMMODITY PVT. LTD. : Details of the Corporate / Partnership Firm / Trust etc. where I/We am/are affiliated Name Relationship UCC (Client Code) Name Entity Type Nature of Business Relationship UCC (Client Code) I/We hereby submit and agree to submit every year any one of the following documents to ALPHA COMMODITY PVT. LTD., before the due date as prescribed by ALPHA COMMODITY PVT. LTD. : 1. Profit and Loss Account & Capital Account 4. Copy of Form 16 in case of Salary Income 2. Balance Sheet 5. Any other document providing financial details of the client 3. Self attested copy of Income Tax Return (If return not available, I/we will furnish Form 16) I/We hereby declare that I/We do not fall under Clients of Special Category as defined in Prevention of Money Laundering Act 2002, OR I/We hereby declare that I/We fall under Clients of Special Category as defined in Prevention of Money Laundering Act, 2002 (choose the relevant category as under) Non Resident Client, High Net-worth Clients, Trust, Charties, Non- Governmental Organisations (NGOs) and organizations receiving donations, Companies having close family shareholdings or beneficial ownership, Politically Exposed Persons, Companies Offering foreign exchange offerings, Clients in high risk countries where existence/ effectiveness of money laundering controls is suspect, Non face to face clients, Clients with dubious reputation as per public information available etc. I/We confirm that I/We will immediately inform ALPHA COMMODITY PVT. LTD. in case I/We am/are convicted under any grounds or any action is taken against me/us by any authority(ies). I/We intend to invest in the commodity market with : Own Funds Borrowed Funds (If Borrowed Funds, then please specify below Sources of funds :) Sources of Borrowed Funds (if any) Amount (`) I/We hereby declare that I/We am/are beneficial owner of the Trading / On-line account opened with ALPHA COMMODITY PVT. LTD., and that I/We am/are investing my/our own funds with ALPHA COMMODITY PVT. LTD Client Signature Client s Name 22

26 BENEFICIAL OWNER DECLARATION ONLY FOR NON-INDIVIDUAL CLIENT With reference to SEBI Master Circular No CIR/ISD/AML/3/2010 dated December 31, 2010 & CIR/MIRSD/2/ 2013 dated January 24, 2013 it has been mandated to obtain, sufficient information from clients in order to identify and verify the identity of persons who beneficially own or control the account being opened by broker. The beneficial owner has been defined in the circular as the natural person or persons who ultimately own, control or influence a client and/or persons on whose behalf a transaction is being conducted and includes a person who exercises ultimate effective control over a legal person or arrangement. Intermediaries have been asked to comply with following guidelines: Please find below the type of BO and criteria applicable. Type of beneficial Owner Company (Un-listed) Partnership An unincorporated association or body of individuals or HUF Trust Criteria Holds more than 25% of shares or capital or profits of the Client Having more than 15% of the capital or profits of the Client Having more than 15% of the property or capital or profits of the Client Settler of the trust, the trustee, the protector, the beneficiaries with 15% or more interest in the trust and any other natural person exercising ultimate effective control over the trust through a chain of control or ownership. In case no beneficial owner is identified as given above then the person who exercises controlthrough other means i.e. by voting rights, agreement and arrangements or in any other manner shall be called a BO. Where no natural person is identified under aforesaid clauses then the natural person who holds the position of senior managing official shall be termed a BO. Kindly provide below mentioned details of the BOs; individual/non-individual/partner/karta/trustee etc. FOR CLIENT S USE: I/we confirm the below mentioned details to be correct and that I/we will be solely responsible for any incorrect information provided herein. Type of BO Name of BO PAN of BO Address of BO 15 Client s stamp & signature of authorized signatory 23

27 ALPHA COMMODITY PRIVATE LIMITED For Office Use only Account Opening Verification & Objection Memo KYC Receipt Date & Time Rejection & Remark Verified by on (date) Return to on (date) Received after Objection - Resolved Date Punched in Hyper by on (date) Punched in LD by on (date) Activation Date UCC Upload Date

28 ACKNOWLEDGEMENT FOR THE RECEIPT OF DOCUMENTS From : Client Name : To Alpha Commodity Pvt. Ltd. 13th Floor, Raheja Centre Nariman Point Mumbai Dear Sir, Ref. : Acknowledgement for the receipt of documents This is to acknowledge the receipt of a copy of the duly executed following documents viz., 1. Copy of KYC Form 2. Copy of Rights and Obligations of Members, Authorised Persons and Clients 3. Copy of Risk Disclosure Document 4. Copy of Guidance Note - Do s and Don ts for the Investors 5. Copy of Tariff / Brokerage Charge Sheet 6. A copy of any other voluntary document executed by me as a client I/we hereby declare that I/we have the full intimation of the trading code and the unique client code allotted to me/ us and the id for the purpose of receiving electronic contract notes and other statements etc. I / We am/are also aware of the fact that ALPHA does not guarantee and shall not be deemed to have guaranteed the timeliness, sequence, accuracy, completeness, reliability or content of the market information or messages, disseminated to the me / us. ALPHA does not guarantee any fixed return or capital guarantee on the investment, since return on investment in commodity market is subject to various risks and dynamics. Thanking you, Yours truly, Signature of the Client / Authorised Signatory (for Non-Individuals)

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