Contract Notes in addition to ECN, an authority letter to that effect is to be given by applicant - Refer format given below)

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1 DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR INDIVIDUAL (Refer list of SEBI approved documents to be submitted as proofs - given immediately after this table) Individual KRA-KYC Form # Pan Card (Mandatory) Proof of Correspondence Proof of Permanent (Mandatory if Correspondence address is that of a third party i.e. C/o address) Proof of all Bank mentioned on AOF Proof of all Demat Accounts mentioned on AOF (in case account is not with PL-DP) Proof of financial details (Mandatory for trading in F&O segment) If applicant is providing third party address as his Correspondence address, then PAN Card & proof in the name of third party alongwith a letter issued by him stating his relationship with the applicant & an approval to receive applicant s documents at his address. (Refer format given below) # If applicant is already registered at KRA (where status is Verified by KRA ) through another intermediary and details registered therein are not changed, then documents mentioned under points 2 to 4 above need not be re-submitted. However KRA-KYC form may be filled to cross-check applicant s present details with existing details in KRA system. Mandatory Information to be provided ID & Mobile number Gross Income OR Networth details Date & details of person doing In-person Verification on bottom of KRA-KYC Form Applicant s full signature in relevant boxes provided for Trading Preferences (Those segments not opted are to be struck off) Sub-broker / Branch / AP s Detail on page no. 7 and their signatures on page no. 9 of AOF Additional details regarding ECN / Internet Trading / Mobile Trading. (If applicant wishes to receive Physical Contract Notes in addition to ECN, an authority letter to that effect is to be given by applicant - Refer format given below) Introducer s details & signature Nomination or Dissent for Nomination to be provided. If Nominee is appointed then PAN number of Nominee and name, address & signature of two witnesses are mandatory Tariffs for Trading & Demat account duly signed by applicant & Sub-broker / Branch Manager / AP Important points - Name of applicant on AOF must match with that given on PAN Card / PAN website AOF & all documents are to be signed by applicant himself & not by any POA-holder All documents submitted as proofs must be latest in date & self-attested by applicant Applicant s sign must be uniform throughout KRA-KYC Form, AOF, agreements & all documents Every overwriting, cancellation or correction is authenticated by full signature of applicant

2 Registration for SMS Alert from CDSL is mandatory if applicant is executing Power of Attorney Declarations for BSDA or RGESS schemes & Terms/Conditions for availing TRUST facility are to be signed by applicant only if the scheme / facility has been opted and not otherwise. (Pages # ) For Resident Individuals, declaration by NRI/Foreign National is to be struck off as Not Applicable (Page # 50) If applicant intends to trade in BSE s Derivative Segment, then a confirmation letter has to be given by applicant (Refer format given below) LIST OF SEBI APPROVED DOCUMENTS (Any one document as proof of Identity / / Signature / Bank account / Demat account) Document Proof for Checklist Pan Card (Mandatory) Identity / Signature UID / Aadhaar Card Identity / Passport Identity / Signature / Voter s ID Card Identity / Credit Card / Debit Card issued by Identity / Scheduled Commercial Banks Signature ID Card/ Document bearing photo, Identity / address & sign issued by Signature / - State or Central Government & its departments - Statutory Regulatory Authorities - Public Sector Undertaking - Scheduled Commercial Banks - Public Financial Institutions - Colleges affiliated to Universities - Professional Bodies like ICAI, ICWAI, ICSI, Bar Council etc. to its Members Bank Verification Letter Photo / Identity / Signature / attested by Signature / Photo & signature must be clear & legible. Name of applicant on AOF match with that given on PAN Card Photo & address must be clear & legible Attach pages bearing Photo, Sign, & Expiry Date Attach copies of Front & Back Photo & signature must be clear & legible Photo & signature must be clear & legible Should bear Account number, Bank stamp, Branch MICR code and Attesting Authority s

3 Bank Manager of Scheduled Commercial / Co-operative Banks or Multinational Foreign Banks / Bank Name & Employee number Should be accompanied by copy of Bank Passbook / statement Ration Card must be clear & legible Flat Maintenance Bill / Utility Bills Not more than 3 months old like Electricity Bill, Landline Must be in applicant s name Telephone Bill, Gas Bill Telephone Bill is of Landline & not of Mobile number Insurance Certificate Copy Not more than 6 months old. Premium Payment Notice / receipt will not be accepted Leave / Licence Agreement or Sale Agreement Pages bearing Applicant Name, of property let out/sold along with last page with signatures evidencing the execution of agreement Bank Passbook / Statement with Applicant as first-holder in Bank Account / Bank Not more than 3 months old Attach Cancelled cheque Attach pages bearing Applicant s Name, and Last Transaction Passbook bears Bank stamp & signature of bank official Confirmation document issued by - Gazetted Officer or Notary Public - Elected representatives to Legislative Assembly / Parliament Such proofs must be given on respective authority s letterhead The document must bear name & complete address of the Applicant Self Declaration by High Court & Supreme Court judges giving the new address in respect of their own accounts Any of the above proof of issued in the name of Applicant s Spouse Should be accompanied by documentary evidence supporting relationship with Applicant e.g. Marriage Certificate Cancelled Personalised Cheque Bank Collect original cheque Leaf Client Master Report Demat Should bear DP rubber stamp & signature of

4 BO account Statement of Holding / Transaction ITR Acknowledgement Annual Accounts Net-worth Certificate Salary Slip Form 16 Latest BO Holding Statement with valuation Bank Statement for last 6 months Self-declaration or any other document substantiating ownership of assets Account Demat Account Financial DP official Applicant must be first-holder in the demat account Latest statement - not more than 3 months old Applicant must be first-holder in demat account Attach Latest statements only

5 PHYSICAL CONTRACT NOTE REQUISITION FORM (SECURITIES) Date Client Code To, Prabhudas Lilladher Pvt. Ltd. 3rd Floor, Sadhana House, 570 P. B. Marg, Worli, Mumbai Dear Sir/ Madam, I am holding above-mentioned trading account with you and I have authorized you to issue Electronic Contract Notes (ECNs) for all trades executed by me. In addition to the ECNs received by me, I request you to provide me Physical Contract Notes for trades executed by me from time to time. I agree to pay Rs. 25/- per physical contract note issued by you and further authorize you to debit my trading account with the said amount from time to time. Thanking you, Yours faithfully, Name of the Client Signature of the Client # # To be signed by Client only and not by his/ her power of attorney holder. For PL- HO use only Request Received Date Request Processed Date Client Signature verified by Name & Signature of Authorised Official

6 Date: / / 201 CONFIRMATION LETTER FOR TRADING IN BSE DERIVATIVE SEGMENT To, Prabhudas Lilladher Pvt. Ltd. Clearing Member No SEBI Regn. No. BSE:INF (Derivatives) 3rd Floor, Sadhana House, 570 P. B. Marg, Worli, Mumbai Sub: Application for dealing / trading in BSE Derivatives Segment I hereby declare that I am willing to deal / trade in the Derivatives Segment provided by you and furnish the following details: PAN No. UCC Code Allotted Client s Full Name (First Name) (Middle Name) (Surname) ID Proof of Financial submitted Proof of Financial Yes / No ITR Acknowledgement Annual Accounts Net-worth Certificate Salary Slip Form 16 Demat Account Holdings Valuation Statement Bank Account Statement (last 6 months) Self declaration alongwith relevant supporting Any other relevant document substantiating ownership of assets I hereby declare that the details furnished above are true & correct to the best of my knowledge and belief. I undertake to inform you immediately of any changes therein. Yours faithfully, Name of the Client Signature of the Client # # To be signed by Client only and not by his/ her power of attorney holder.

7 SUGGESTIVE FORMAT CONFIRMATION LETTER IF APPLICANT IS PROVIDING THIRD PARTY ADDRESS AS HIS CORRESPONDENCE ADDRESS Date: / / 201 To, Prabhudas Lilladher Pvt. Ltd. 3rd Floor, Sadhana House, 570 P. B. Marg, Worli, Mumbai Sub: Approval for providing my/our below mentioned address as Correspondence address by Mr. / Ms. This is to inform you that Mr. / Ms. is my <Father / Mather / Brother / Sister / Son / Daughter / Friend / Employee in our company>. I / We do not have any objection to him / her providing my/our below mentioned address as his / her Correspondence in your records. My/Our : Thank you, Yours faithfully, Name of the Third Party Signature of Third Party Name of the Applicant Signature of Applicant Note: - 1. This Letter must be in original & signed by the third party whose address is being provided as Correspondence address and by the applicant 2. It must be printed on a plain paper if given by any Individual and on letterhead if issued by any Non-Individual 3. It must be accompanied by PAN card & proof of address in the name of third party

8 SUGGESTIVE FORMAT BANK LETTER IF APPLICANT s NAME IN BANK ACCOUNT DO NOT MACH WITH AOF NAME Date: / / 201 TO WHOMSOEVER IT MAY CONCERN This is to confirm that Savings / Current Bank Account no. is held with us in the name of Mr. / Ms. whose PAN No. is as per our records. Thank you, Yours faithfully, For <Bank Name> <Name of Bank Official> <Bank Official s Designation> <Bank Official s Employee Code No. > Note: - 1. This Letter must be in original & to be provided on Bank s letterhead 2. Bank Official s Name, Designation & Employee code must be mandatorily provided 3. This letter may be given only if name of applicant in Bank account does not match with that given on AOF for e.g. Applicant s name on AOF is Arun Kumar Shah while that in Bank account is A. K. Shah

DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR A NON-RESIDENT INDIAN (NRI)

DOCUMENTS FOR OPENING TRADING &/OR DEMAT ACCOUNT FOR A NON-RESIDENT INDIAN (NRI) (Refer list of SEBI approved documents to be submitted as proofs - given immediately after this table) Individual KRA-KYC