Account Opening Form (Individual) Broking & Depository Services

Transcription

1 India Infoline Limited Account Opening Form (Individual) Broking & Depository Services PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING TO ITS CONTENTS AND ENSURE ALL THE DETAILS PROVIDED ARE CORRECT. Any Comment For Account Opening Team Purpose Sr. No. ECINNV11416 Login ID : LEAD ID: Depository Service : CDSL NSDL (Select any one) Wire ID: CDSL-Client ID Marketing Executive (E1) Relationship Manager (E2) Remiser (if any) Branch/ FAN NAME NSDL-Client ID I N CODE Online software for trading. Yes No (If No) TT Manager ID: Process Employee Code & Name Process Employee Code & Name Pre-Audit Maker Data Entry Maker Pre-Audit Checker Data Entry Checker

2

3 INDEX OF DOCUMENTS Sr. No. Name of the Document Brief Signifcance of the Document Page Nos. SECTION-A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI AND EXCHANGES 1. Account Opening Form Part I - KYC form - Document captures the basic information about the constituent and an instruction / checklist. Part II - Document captures the additional information about the constituent relevant to trading account and an instruction/check list. Nomination Form for appointing a nominee to the client s account. 2. Tariff sheet Rights & Obligations of Beneficial Owner & Dipository Participant 5. Risk Disclosure Document (RDD) Rights & Obligations of Stock Brokers, Sub-Broker & Clients Document detailing the rate/amount of brokerage and other charges levied on the client for trading and demat account on the stock exchange(s)/ depository. Document stating the Rights & Obligations of stock broker / trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading). Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories. Document detailing risks associated with dealing in the securities market. Guidance note Document detailing do s and don ts for trading on exchange, for the education of the investors. Policies and Procedures Documents describing significant policies and procedures of IIFL related to TradingAccount of the client. SECTION-B - VOLUNTARY DOCUMENTS - AS PROVIDED BY STOCK BROKER/ DEPOSITORY PARTICIPANT 1. Terms & Conditions cum Registration form for receiving SMS Alerts from Depository 2. Terms & Conditions For Distribution of Securities 3. Mutual Fund Trading Services 4. SIP in Mutul fund and Security Additional information for DEMAT Client Declaration 19 Terms and Conditions-cum-registration / Modification form for receiving SMSAlerts from CDSL. Terms & Conditions for Distribution of Securities Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUAL FUND offered by NSE and BSE respectively Terms and conditions for availing systematic investment plan in Mutul fund and Securities 5. Family Declaration Authorization For Receiving Communication On Common Mobile No And Address For Trading And Demat Account 6. FATCA / CRS Declaration FATCA Declaration for where client hold tax residency Power of Attorney Voluntary and Limited purpose POA in favour of Broker for operational requirements as per client authorization/instruction. a POAin favour of IIFL. 8. Authorisation Letter A. Availing Mutual Fund Service System (MFSS) facility/ BSE StAR MUTUAL FUND (hereinafter jointly referred to Mutual FundTransaction Facilities ) B. Authorization for Systematic Investment in Mutual Fund /Securities C. Running Account Authorisation D. Authorisation for Receipt of Contract Notes and Other documents in Digital Mode E. Authorisation for Online Trading Software Password 9. Term & Condition Investment Objectives & Risk Assessment Questionnaire Version: 1.0/July/2017 Included in Client Copy

4 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 securities 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 foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), 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. 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. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity 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. Proof of Address (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook -- Not more than 3 months old. 4. 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 / Notary 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. 9. POA for Resident Individual Constituent opting for only Equity Segment under Saral KYC Form would be obtained vide SEBI CIR/MIRSD/1/2015 dated March 04, 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. 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 2 Version: 1.0/July/2017

5 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. 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. INSTRUCTIONS/ CHECK LIST FOR ACCOUNT OPENING FORM - TRADING ACCOUNT 1. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement In case of salary income - Salary Slip, Copy of Form 16 Copy of demat account holding statement. Any other relevant documents substantiating ownership of assets. Copy of Annual Accounts Net worth certifcate Bank account statement for last 6 months Self declaration with relevant supporting documents. *In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. 2. Copy of cancelled cheque leaf/ pass book/ bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be submitted. 3. Demat master or recent holding statement issued by DP bearing name of the client. 4. For individuals: a. Stock broker has an option of doing in-person verification through web camera at the branch office of the stock broker/sub-broker s office. b. In case of non-resident clients, employees at the stock broker s local office, overseas can do in-person verification. Further, considering the infeasibility of carrying out In-person verification of the non-resident clients by the stock broker s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy/ Consulate General in the country where the client resides may be permitted. NOTES 1. All communication shall be sent at the correspondence address/ mobile number/ ID of the Sole/ First Holder only. 2. Thumb impressions and signature other than English or Hindi or any of the other language not contain in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate. 3. Instructions related to nomination are as below: I. The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form. II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner. III. The Nominee shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time. IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities. V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository against the legal heir. VI. The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form. 3 Version: 1.0/July/2017

6 VII. On cancellation of the nomination, the nomination shall stand rescinded and the depository/ participant shall not be under any obligation to transfer the securities in favour of the Nominee. 4. for receiving statement of account in electronic Form: I. Client must ensure the confidentiality of the password of the account/mobile. II. Client must promptly inform the India Infoline Limited if the address has changed. III. Client may opt to terminate this facility by giving 10 days prior notice. Similarly. India Infoline Limited may also terminate this facility by giving days prior notice 5. Strike of whichever is not applicable. ADDITIONAL INSTRUCTIONS 1 Minor: Trading A/c cannot be opened in name of Minor; Demat A/c - Joint a/cs not permitted with minor; PAN and Proof of Address of both Minor and Guardian to be submitted 2 Currency Derivative Segment: NRI cannot deal in Currency Derivative Segment. 3 Trading A/c cannot be opened in joint names. 4 All corrections on the form should be countersigned with full signature. White ink is not allowed either in form or authorization. 5 Incase of an employee of another Member Broker, NOC from employer is required. Please note that the mode of payment should be only by way of account payee crossed cheques/demand draft in favour of India Infoline Ltd - (Client s Login id). No cash receipts payments will be entertained for any transactions made by the client. IIFL will not be responsible for any kind of claims raised by the clients regarding payment made in cash. Mobile number is compulsory for opening of Demat/ Trading account with IIFL. In case of change in mobile number any time after opening of this account, for postpaid connection itismandatoryto submit the photocopyof the latest/last 2 months mobilebilland for prepaidconnection client must personallyvisitthebranch/ FAN s along with their ID proof (eg. PAN Card/ Driving Licence/ Passport/ Election Voter ID) and get the same verified. OTHER INFORMATION ABOUT IIFL LIST OF DESIGNATED BANKS 1. HDFC BANK 2. ICICI BANK 3. AXIS BANK 4. CITIBANK N.A 5. BANK OF BARODA 6. YES BANK LIST OF DESIGNATED DEPOSITORY PARTICIPANTS 1. INDIA INFOLINE LTD. NOTE: IIFL reserves the right to make any modifcations in the above lists. To, INDIA INFOLINE LTD. Bank Verification Format DISCLOSURE OF PROPRIETARY TRADING BY BROKER TO CLIENT: We refer to circular no. SEBI / MRD / SE / Cir.42 / 2003 dated 19/11/2003 issued by Securities and Exchange Board of India in connection with the above and in terms of the said circular we disclose that we have undertaken proprietary trading, arbitrage as well as investment business on our account in addition to Client based business. Mumbai. Dear Sir, This is to certify that (Name of the Client) Resident of (Full Address) is holding a debit card no. with our Branch since. The bank hereby certify and validate the bank accounts linked to the above debit card as per bank records is given below. Further the client undertakes to provide new bank verification letter in case of linking additional bank account no. FORMAT Account No. Bank & Branch Details IFSC Code MICR Code Authorised Signatory (Bank Stamp and Bank official Details) Client Signed in my Presence and attested : Name of Bank Manger: Signature of Branch manager: Micr code of Branch 4 Version: 1.0/July/2017

7 AUTHORIZATION TO OPT/MAINTAIN REGULAR DEMAT ACCOUNT (NON BSDA) To, India Infoline Limited DP Id: / IN Mumbai. Dear Sir/Madam, Date D D M M Y Y Y Y CDSL - DP ID Client ID NSDL - DP ID I N Client ID Keeping in view my past and proposed transaction and holding, I would like to continue / avail normal demat account. I have also noted that being a normal demat account (Non BSDA), normal AMC as per the company s demat tariff would be applicable. The tariff for normal demat account (NON BSDA) are already provided and agreed under tariff sheet in KYC Form and/or intimation of revisions by the company from time to time. Terms and Conditions 1. I/we hereby confirm and understand that by providing this authorization we specifically waive of the right to assess my demat account as BSDA account even if applicable by eligibility. 2. Salient Features of BSDA is available on I/we hereby confirm to have read and understood the salient features of BSDA account. 3. I/ we confirm and understand that my demat account would be charged and treated as normal demat account (NON BSDA) until opted otherwise by a written communication to IIFL. Client Name Sole/First Holder Second Holder Third Holder SIGNATURE Place: FORMAT 5 Version: 1.0/July/2017

8 Login ID: FOR OFFICE PURPOSE ONLY 1. CLIENT RISK CATEGORISATION UNDER PMLA: LOW RISK MEDIUM RISK HIGH RISK 2. SUBMISSION CHECKLIST 1. Complete Documentation Received Yes No If No, give details 2. Verifed with Original stamp affxed on proofs Yes No Name of the Employee Employee Code Designation of the employee Branch Code Branch Name Branch State Date Signature Documents verifed with Originals Client Interviewed By In-Person Verifcation done by 3. PAN verifed stamp with Employee name & signature affxed on proof Yes No 4. Margin Money collected Yes No Amount in Rs. Rs. (in words) Chq./ CMS No: Chq./ CMS. Date: D D M M Y Y Y Y Bank Name I/We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the Policy and Procedures, tariff sheet and all the 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. I have read and understood that if any of the requirements is not fulfilled then a penalty would be charged to me or any other action may be taken as deemed fit by the Management for non compliance from my end. Branch Address : Pincode : Name of the Employee of IIFL : Employee Code : Employee Signature & Stamp : 1 2 Date D D M M Y Y Y Y 3. KRA REGISTRATION DETAILS (FOR OFFICE PURPOSE ONLY) If Client is already registered with KRA please fll in below details: NDML CVL DOTEX Others (Please Specify) (Please furnish photocopy of KRA Registration letter) KRA Registration No.: Date of Registration: D D M M Y Y Y Y 6 Version: 1.0/July/2017

9 Application No. : PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL-1st / Sole Holder A. IDENTITY DETAILS (Please see guidelines overleaf) 1. Name of the Applicant: (As appearing in supporting Identifcation document) Prefix First Name Middle Name 2. Maiden Name (If any): 3. Father/ Husband : 4. Mother Name : Last Name 5. (a) Gender: Male Female (b) Marital Status: Single Married (c) Date of Birth: D D M M Y Y Y Y 6. Nationality: Indian Other (Please specify) 7. Status: (Please ) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals) 8. (a) PAN (Please enclose a duly attested copy of your PAN card) PHOTOGRAPH Please affx the recent passport size Photograph and sign (b) Unique Identifcation No. (UID)/ Aadhar 9. Specify the proof of Identity submitted (Please ) UID (Aadhar) Passport Voter ID Driving License Others (Please see guideline D overleaf) B. ADDRESS DETAILS (Please see guidelines overleaf) 1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above B.1. Overseas Address (Mandatory) for Non-Resident Applicant Landmark: City/ Town/ Village: PIN Code: State: Country: GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered) Note : Proof of GST registration is required if selected Yes (Related to correspondence address only) Address Type : Residential / Business Residential Business Registered Office Unspecified Landmark: City/ Town/ Village: PIN Code: State: Country: Address Type : Residential / Business Residential Business Registered Office Unspecified 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card Ration Card *Latest Gas Bill *Latest Electricity Bill Ration Card *Latest Gas Bill *Latest Electricity Bill Latest Bank A/c Statement/Passbook Latest Bank A/c Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Telephone Bill (only Land Line) Registered Lease/Sale Agreement of Residence Registered Lease/Sale Agreement of Residence Others (Please specify) Others (Please specify) Document No. : Place of Issue : Document No. : Place of Issue : Issuing Authority : Date of Issue: D D M M Y Y Issuing Authority : Date of Issue: D D M M Y Y Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old. 4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D) Mobile No.: Fax No.: (I S D) (S T D) ID: DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. Place: Date: FOR OFFICE USE ONLY India Infoline Limited Code: D D M M Y Y Y Y Staff Name (Originals verified) Self certified Documents copies received. Designation (Attested) True copies of Documents received. Signature Date SIGNATURE OF APPLICANT IPV Done on Seal/Stamp of IIFL Staff Name Designation Signature Date D D M M Y Y 1 19 Y Y 7 Version: 1.0/July/2017

10 Intentionally left blank

11 Application No. : PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL-2nd / Second Holder A. IDENTITY DETAILS (Please see guidelines overleaf) 1. Name of the Applicant: (As appearing in supporting Identifcation document) Prefix First Name Middle Name 2. Maiden Name (If any): 3. Father/ Husband : 4. Mother Name : Last Name 5. (a) Gender: Male Female (b) Marital Status: Single Married (c) Date of Birth: D D M M Y Y Y Y 6. Nationality: Indian Other (Please specify) 7. Status: (Please ) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals) 8. (a) PAN (Please enclose a duly attested copy of your PAN card) PHOTOGRAPH Please affx the recent passport size Photograph and sign (b) Unique Identifcation No. (UID)/ Aadhar 9. Specify the proof of Identity submitted (Please ) UID (Aadhar) Passport Voter ID Driving License Others (Please see guideline D overleaf) B. ADDRESS DETAILS (Please see guidelines overleaf) 1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above B.1. Overseas Address (Mandatory) for Non-Resident Applicant Landmark: City/ Town/ Village: PIN Code: State: Country: GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered) Proof of GST registration is required if selected Yes (Related to correspondence address only) Address Type : Residential / Business Residential Business Registered Office Unspecified Landmark: City/ Town/ Village: PIN Code: State: Country: Address Type : Residential / Business Residential Business Registered Office Unspecified 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card Ration Card *Latest Gas Bill *Latest Electricity Bill Ration Card *Latest Gas Bill *Latest Electricity Bill Latest Bank A/c Statement/Passbook Latest Bank A/c Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Telephone Bill (only Land Line) Registered Lease/Sale Agreement of Residence Registered Lease/Sale Agreement of Residence Others (Please specify) Others (Please specify) Document No. : Place of Issue : Document No. : Place of Issue : Issuing Authority : Date of Issue: D D M M Y Y Issuing Authority : Date of Issue: D D M M Y Y Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old. 4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D) Mobile No.: Fax No.: (I S D) (S T D) ID: DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. Place: Date: FOR OFFICE USE ONLY India Infoline Limited Code: D D M M Y Y Y Y Staff Name (Originals verified) Self certified Documents copies received. Designation (Attested) True copies of Documents received. Signature Date SIGNATURE OF APPLICANT IPV Done on Seal/Stamp of IIFL Staff Name Designation Signature Date D D M M Y Y 1 8 Y Y 8 Version: 1.0/July/2017

12 Intentionally left blank

13 Application No. : PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL- 3rd / Third Holder A. IDENTITY DETAILS (Please see guidelines overleaf) 1. Name of the Applicant: (As appearing in supporting Identifcation document) Prefix First Name Middle Name 2. Maiden Name (If any): 3. Father/ Husband : 4. Mother Name : Last Name 5. (a) Gender: Male Female (b) Marital Status: Single Married (c) Date of Birth: D D M M Y Y Y Y 6. Nationality: Indian Other (Please specify) 7. Status: (Please ) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals) 8. (a) PAN (Please enclose a duly attested copy of your PAN card) PHOTOGRAPH Please affx the recent passport size Photograph and sign (b) Unique Identifcation No. (UID)/ Aadhar 9. Specify the proof of Identity submitted (Please ) UID (Aadhar) Passport Voter ID Driving License Others (Please see guideline D overleaf) B. ADDRESS DETAILS (Please see guidelines overleaf) 1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above B.1. Overseas Address (Mandatory) for Non-Resident Applicant Landmark: City/ Town/ Village: PIN Code: State: Country: GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered) Proof of GST registration is required if selected Yes (Related to correspondence address only) Address Type : Residential / Business Residential Business Registered Office Unspecified Landmark: City/ Town/ Village: PIN Code: State: Country: Address Type : Residential / Business Residential Business Registered Office Unspecified 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card Ration Card *Latest Gas Bill *Latest Electricity Bill Ration Card *Latest Gas Bill *Latest Electricity Bill Latest Bank A/c Statement/Passbook Latest Bank A/c Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Telephone Bill (only Land Line) Registered Lease/Sale Agreement of Residence Registered Lease/Sale Agreement of Residence Others (Please specify) Others (Please specify) Document No. : Place of Issue : Document No. : Place of Issue : Issuing Authority : Date of Issue: D D M M Y Y Issuing Authority : Date of Issue: D D M M Y Y Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old. 4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D) Mobile No.: Fax No.: (I S D) (S T D) ID: DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. Place: Date: FOR OFFICE USE ONLY India Infoline Limited Code: D D M M Y Y Y Y Staff Name (Originals verified) Self certified Documents copies received. Designation (Attested) True copies of Documents received. Signature Date SIGNATURE OF APPLICANT IPV Done on Seal/Stamp of IIFL Staff Name Designation Signature Date D D M M Y Y 1 8 Y Y 9 Version: 1.0/July/2017

14 Application No. : KNOW YOUR CLIENT (KYC) APPLICATION FORM - GUARDIAN (IN CASE SOLE HOLDER OF DEMAT ACCOUNT IS MINOR) A. IDENTITY DETAILS (Please see guidelines overleaf) 1. Name of the Applicant: (As appearing in supporting Identifcation document) Prefix First Name Middle Name 2. Maiden Name (If any): 3. Father/ Husband : 4. Mother Name : Last Name 5. Relationshiop with Applicant : 6. (a) Gender: Male Female (b) Marital Status: Single Married (c) Date of Birth: D D M M Y Y Y Y 7. Nationality: Indian Other (Please specify) 8. Status: (Please ) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals) 9. (a) PAN (Please enclose a duly attested copy of your PAN card) Please affx the recent passport size Photograph and sign across it (b) Unique Identifcation No. (UID)/ Aadhar 10. Specify the proof of Identity submitted (Please ) UID (Aadhar) Passport Voter ID Driving License Others (Please see guideline D overleaf) B. ADDRESS DETAILS (Please see guidelines overleaf) 1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above B.1. Overseas Address (Mandatory) for Non-Resident Applicant Landmark: City/ Town/ Village: PIN Code: State: Country: GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered) Proof of GST registration is required if selected Yes (Related to correspondence address only) Address Type : Residential / Business Residential Business Registered Office Unspecified Landmark: City/ Town/ Village: PIN Code: State: Country: Address Type : Residential / Business Residential Business Registered Office Unspecified 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card Ration Card *Latest Gas Bill *Latest Electricity Bill Ration Card *Latest Gas Bill *Latest Electricity Bill Latest Bank A/c Statement/Passbook Latest Bank A/c Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Telephone Bill (only Land Line) Registered Lease/Sale Agreement of Residence Registered Lease/Sale Agreement of Residence Others (Please specify) Others (Please specify) Document No. : Place of Issue : Document No. : Place of Issue : Issuing Authority : Date of Issue: D D M M Y Y Issuing Authority : Date of Issue: D D M M Y Y Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old. 4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D) Mobile No.: Fax No.: (I S D) (S T D) ID: DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. Place: Date: FOR OFFICE USE ONLY India Infoline Limited Code: D D M M Y Y Y Y Staff Name (Originals verified) Self certified Documents copies received. Designation (Attested) True copies of Documents received. Signature Date SIGNATURE OF APPLICANT IPV Done on Seal/Stamp of IIFL Staff Name Designation Signature Date D D M M Y Y 1 1 Y Y 10 Version: 1.0/July/2017

15 Login ID: PART II - ACCOUNT OPENING FORM India Infoline Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate, Thane Tel: (91-22) / Fax: (91-22) A. ADDITIONAL INFORMATION FOR TRADING ACCOUNT (Please fll this form in ENGLISH and in BLOCK LETTERS) 1. TRADING PREFERENCE STOCK EXCHANGE(S) & SEGMENT ON WHICH YOU WISH TO TRADE: (Please sign in the relevant boxes where you wish to trade. The Segment not chosen should be struck off by you.) Name of the Segment Name of the Exchange NSE BSE Capital Market Segment Futures & Options Currency Derivatives Debt MFSS/BSE StAR If in future, you want to trade on any new segment/ new exchange, seperate authorisation/ letter should be submitted to IIFL. 2. PROOF OF FINANCIAL DETAILS (MANDATORY IN CASE OF DERIVATIVES/ CURRENCY) Copy of ITR acknowledgement Copy of annual accounts Copy of Form 16 Networth certifcate Salary slip Bank account statement for last 6 months Copy of demat account holding statement Gross Annual Income Details: (Please specify) a) Income Range per Annum: Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00, DEPOSITORY ACCOUNT DETAILS Depository Participant Name and Address Depository Name Rs.10,00,001 to Rs.25,00,000 More than Rs.25,00,001 OR b) Networth Rs. as on D D M M Y Y Y Y (Networth should not be older than one year) DP ID BO Account Number: Benefciary Name 11 Version: 1.0/July/2017

16 Login ID: 4. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-broker s Name & Code: Registered offce address: Tel. Fax SEBI Registration number: Website: Authorised Person s Code : Name : Address : Name of stock broker: Name of Sub-Broker, if any: Client Code: Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/ sub-brokers, provide details of all Exchange: Details of disputes/dues pending from/to such stock broker/sub- broker: 5. ADDITIONAL DETAILS PAST ACTIONS Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years: Particulars Name of Authority Month & Year of Action Please tick, if applicable: Whether you wish to receive: Specify your id, if applicable: Experience Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP). Physical contract note Electronic Contract Note (ECN) Whether you wish to avail the facility of internet trading/wireless technology (please specify) Yes No Number of years of Investment/Trading Experience: Any other information: 12 Version: 1.0/July/2017

17 Login ID: B. COMMON DETAILS FOR BOTH TRADING & DEMAT ACCOUNT 1. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT) Bank Name Branch Address City Country State PIN Code Tel. Bank A/c No. A/c Type: Savings Current Others - in case of NRI/ NRE/ NRO (specify) IFSC Code MICR Code 2. IN CASE OF NRI S/ FOREIGN NATIONALS (A) RBI Approval Ref No.: Foreign Address City (B) RBI Approval Date: Country State PIN Code Tel. Mobile Fax Name of the person to Relationship with the Applicant give trading instructions BANK ACCOUNT DETAILS (PIS): Bank Name Branch Address City Country State PIN Code Tel. Bank A/c No. IFSC Code MICR Code 3. INTRODUCER S DETAILS Status Of Introducer Sub-Broker Authorised Person Remisier Existing Account Holder Bank Official IIFL Employee Any Other Person Introducer s Name: Address City Country State PIN Code Tel. Occupation PAN C O M P U L S O R Y DP ID For existing client only Client ID For existing client only Login ID For existing client only Designation PAN If bank employee Bank & Branch Name If bank employee Employee Code: Id If bank employee Signature of the Introducer 13 Version: 1.0/July/2017

18 4. NOMINATION DETAILS CDSL DP Id Date NSDL DP Id I N Login id FORM FOR NOMINATION/CANCELLATION OF NOMINATION (To be filled in by Individual applying singly or Jointly) I /We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that: I/We wish to make nomination [As per Details given Below] I/We do not wish to nominate any one for this demat account. I/We wish to cancel the nomination made by me/us earlier and consequently all rights and liabilities in respect of beneficiary ownership in the securities held by me/us in the said account shall vest in me/us [Strike off the nomination details as below] Nomination Details I/We wish to make a nomination and do hereby nominate the following person(s) who is/are entitled to receive all securities held in the depository by me/us in the said beneficiary owner account in the event of my/our death. Nomination can be made up to three nominee in the account 1 Name of the Nominee(s) (Mr/Ms.):First Name* Middle Name Last Name* 2 a. Share of Equally (if not equally, each Nominee please specify %) b. Residual Securities # Please tick anyone nominee, if tick is not marked then the default will be first Nominee 3 Relationship with applicant/bo [if any]* 4 Address of Nominee(s)* Details of 1st Nominee Details 2nd Nominee Details of 3rd Nominee % % % City* State* Pin Code* Country* Mobile/Telephone No. of Nominee(S) ID of Nominee (s) Nominee Identification Details [Please tick any one of and provide details of same] Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id 8 9 Sr. Nos should be filled only if nominee(s) is a minor: Date of Birth {in Case of Minor Nominees(s) Name of Guardian (Mr/Ms.) {in Case of Minor Nominees(s) : First Name* Middle Name Last Name* 10 Address of Guardian(s)* City* State* Pin Code* 11 Country* 12 Mobile/Telephone No. of Guardian(S) 13 ID of Guardian (s) 14 Relationship of Guardian with Nominee Guardian Identification Details [Please tick any one of and provide details of same] Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id Photograph & Signature Pan Aadhar Saving Bank A/c No. Proof of Identity Demat Account Id 14 Version: 1.0/July/2017

19 Photograph of Nominee Photograph of 1st Nominee Photograph of 2nd Nominee Photograph of 3rd Nominee Please sign Across the Photograph Please sign Across the Photograph Please sign Across the Photograph Photograph of 1st Guardian (in case of Minor Nominee) Please sign Across the Photograph Photograph of Guardian Photograph of 2nd Guardian (in case of Minor Nominee) Please sign Across the Photograph Photograph of 3rd Guardian (in case of Minor Nominee) Please sign Across the Photograph This nomination shall supersede any prior nomination made by me/us and also any testamentary document executed by me/us. Place : Name(s) of Account Holder(s) Signature of Holder Sole/First Holder/Guardian(in case of Sole holder is Minor)(Mr./Ms.) Second Holder(Mr./Ms.) 2 8 Third Holder(Mr./Ms.) 2 8 Signature of Witness for Nomination Name of the Witness Address Signature of Witness 15 Version: 1.0/July/2017

20 Note : 1. The Nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non-individual including society, Trust, body corporate and partnership Firm, Karta of Hindu Undivided Family, Holder of power of attorney cannot nominate. If the account is held jointly, all joint holders will sign the nomination form. 2. A minor can be nominated. In that event, the name and address of the guardian of the minor nominee shall be provided by the beneficial owner. 3. Then nominee(s) shall not be a trust, Society, Body Corporate, Partnership Firm, and Karta of Hindu Undivided Family or a power of attorney holder. A non-resident Indian can be a nominee, subject to the exchange controls in force from time to time. 4. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account. Similarly, the nomination is respect of the securities shall stand terminated upon transfer of securities. 5. Transfer of securities in favour of a Nominee(s) shall be valid discharge by the depository and the participant against the legal her 6. The Cancellation of nomination can be made by individual only holding beneficiary owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non-Individual including society, Trust, Body corporate, and partnership firm, Karta of Hindu undivided family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holder will sign the cancellation form. 7. On Cancellation of the Nominee, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favor of the nominee(s) 8. Nomination can be made up to three nominees in a demat account, in case multiple nominees, the client must specify the percentage of share for each nominee that shall total up to hundred percent. In the event of the beneficiary owner not indicating any percentage of allocation/share for each of the nominees, the default option shall be to settle the claims equally among all the nominees. 9. On request of substitution of existing nominees by the beneficial owner, the earlier nomination shall stand rescinded, Hence, details of nominees as mentioned in the FORM 10 at the time of substitution will considered, There fore, Please mentioned the complete details of all nominees 10. Copy of any proof identity must be accompanied by original for verification or duly attested by any entity authorized for attesting the document, as provided in annexure D 11. Saving bank account details shall only be considered if the account maintained with same participant. 12. DP ID and Client id shall be provided where demat details required to be provided * Mandatory Fields # Residual Securities: Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any. 16 Version: 1.0/July/2017

21 C. ADDITIONAL INFORMATION FOR DEMAT ACCOUNT (Please fll this form in ENGLISH and in BLOCK LETTERS) CDSL DP ID: OR NSDL DP ID: IN Client ID (To be flled by IIFL) : 1. DEPOSITORY SERVICE I/We wish to open Depository Account with CDSL: / NSDL : IN302269) as per the following details: (Please fill all the details in CAPITAL LETTERS only) 2. DETAILS OF ACCOUNT HOLDER(S) Sole/First Holder Second Holder Third Holder Client Name PAN Occupation Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please Specify) Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please Specify) Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Please Specify) SIGNATURE For HUF, Association of persons (AOP), Partnership Firm, Unregistered Trust, etc, although the account is opened in the name of the natural persons, the name and PAN of the HUF, Associations of persons (AOP) Partnership Firm, Unregistered Trust etc. Should be mentioned below : (a) Name 3 8 (b) PAN TYPE OF ACCOUNT Status Individual Sub - Status Individual Resident Individual Director's Relatives Minor Individual Promoter Individual Margin Trading A/c Other (specify) Individual-Director Individual HUF/AOP NRI NRI Repatriable NRI Repatriable Promoter NRI Non Repatriable NRI - Depository Receipts NRI Non Repartriable Promoter Other (specify) Foreign National Foreign National Foreign National- Depository Receipts Other (specify) 5. Guardian Details (where sole holder is a minor): Guardian Details (where sole holder is a minor): [For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor ( to be signed by guardian)] Guardian Name PAN Relationship of guardian with minor 17 Version: 1.0/July/2017

22 Login ID: 6. STANDING INSTRUCTIONS (FOR DEMAT ACCOUNT) a. I/We authorise you to receive credits automaticaly into my/our account Yes No b. Do you wish to receive dividend/interest directly to your bank account given herein through ECS? Yes No c. Account Statement Requirement: Daily Weekly Fortnightly Monthly (Default option is monthly)* d. Account to be operated through Power of Attorney (PoA) Yes No e. I/We do not require the Delivery Instruction Slip (DIS) for the time being, since I/We have issued Power of Attorney in favour of India Infoline Ltd. for executing delivery instructions for settling transactions executed through India Infoline Ltd. However, the DIS booklet should be issued to me/us immediately on my/our request at any later date. Yes No On registered Mobile Number (Mandatory if you are giving Power Of Attorney f. SMS ALERT FACILITY Yes No (POA). Ensure that the mobile number is provided in the KYC application form.) g. I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other further instruction from my/our end (If not marked, the default option would be No ) Yes No h. I / We request you to send Electronic Transaction-cum-Holding Statement at the ID I. I / We would like to share the ID with the RTA j. I/We with to receive/dividend/interest directly in to my bank account as given below through ECS (if not lt marked, the default option would be "yes") (ECS is mandatory for location notified by SEBI from time to time) Yes Yes Yes No No No ADDITIONAL DETAILS (for Demat A/c) easi facility If yes, please contact your DP for details [Facility through CDSL s website: wherein a BO can view his ISIN balances, transactions and value of the portfolio online.] Yes No 18 Version: 1.0/July/2017

23 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 document on policy and procedures of the stock broker and the tariff sheet. 3. I request you to provide the following documents in Soft Copy or Hard Copy. 4. I/We confirm having received a copy of the following documents and further confirm having read and understood the contents of these documents:- Rights and Obligations of Stock Rights and Obligations of Stock Brokers, Sub-Brokers and Clients as prescribed by SEBI and Stock Exchanges Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories Risk disclosure Document for Capital and Derivatives Segment Guidance Note-Do s and Don ts for Trading on the Exchange (s) for Investors Policies and Procedures applicable to clients. SOLE/FIRST HOLDER (Mr/ Mrs./ Ms) SECOND HOLDER (Mr/ Mrs./ Ms) THIRD HOLDER (Mr/ Mrs./ Ms) NAME I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker s designated website, if any. I/We further understand that any change in the said documents including the Policies and Procedures shall be made available on the website of IIFL and also intimated to me through circulars in internet trading platform/ s. I/We shall keep myself updated of the same. 5. The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such account. 6. In case non resident account, I/We also declare that I/We have complied and will continue to comply with FEMA regulation. 7. I/hereby consent to receive information from central KYC Registry through SMS/ on the registered number / address. SIGNATURE GUARDIAN (in case Sole Holder is Minor) (Mr/ Mrs./ Ms) 19 Version: 1.0/July/2017