ANNEXURE 1 INDEX OF DOCUMENTS

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2 SP ANNEXURE 1 INDEX OF DOCUMENTS MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES Sr. No. Name of the Document Brief Significance of the Document Pg. No 1. Account Opening Form A. KYC form - Document captures the basic information about the constituent and 1-6 an instruction/checklist. B. Document captures the additional information about the constituent relevant to 7-8 trading account and an instruction/ checklist. 2. Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the 9 client for trading on the stock exchange(s). 3. Policies and Procedures Document describing significant policies and procedures of the Stock Broker VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER 4. Running Account This letter is authorisation to maintain fund & securities on running account basis. 13 Authorisation 5. ECN Letter This mandate is to authorise to issue contract notes & other statements such as 14 Daily Margin Statement, Statement of Funds & Securities, Account Confirmation, bill, Notices etc. in digital mode. It provides terms and conditions for the issuance of digital contract note & other statements. 6. Letter of Standing Instructions This letter is authorisation to maintain fund & securities NDNC / PMLA Declaration This declaration pertains to, NDNC registry / PMLA provisions & defaulter status BSE StAR MF activation This letter is to avail facility to transact on BSE s StAR Mutual Fund platform for letter / terms & conditions buy / sale of MF & its terms & conditions. 9. BSE Star MF Annexure C- AOF document capture basic information of unit holder Power of Attorney POA to deliver share as specified for pay-in & margin obligations H.O. Checklist H.O. Checklist conformation of reciept of mandatory of voluntary client ragistration 25 documents, Acknowledgement slip 12. Customer Profile Additional detail of client to arrived at risk profile & comply with PMLA provisions. 25 Name of Stock Broker/Trading Member/Clearing Member: STOCKPLUS BROKING & ADVISORY SERVICES SEBI Registration No. & Date: (BSE) INB Dt , INF Dt , (NSE) INB Dt , (MSEI) INB Dt , INF Dt , Regd. & Correspondence Office Add.: 811/814, Grohitam Bldg, Plot 14/B, Sector 19, Vashi, Navi Mumbai Telephone No. : / / Fax. : Website. : Compliance Officer Name, Phone No. & ID: Bipin M. Savla, , bmsavla@stockplus.co.in CEO Name, Phone No. & ID: Bipin M. Savla, , bmsavla@stockplus.co.in For any grievance/dispute please contact STOCKPLUS BROKING & ADVISORY SERVICES - at the above address or ID grievances@stockplus.co.in and Phone no In case not satisfied with the response, please contact the concerned exchange BSE on ID is@bseindia.com OR Phone no , NSE on ID ignse@nse.co.in OR Phone No , Toll Free OR MSEI on ID. : investorcomplaints@msei.com OR Phone No

3 SP CHECKLIST FOR FILLING KYC FORM (Please tick against documents provided) MANDATORY A. 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. B. 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 Mandatory and voluntory Client Registration Documents 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. 8 The proof of address in the name of the spouse. C. 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. D. Demat master or recent holding statement issued by DP bearing name of the client. E. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip Copy of Form 16 Net worth certificate Copy of demat account holding statement Bank account statement for last 6 months Any other relevant documents substantaiting ownership of assets. 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. For Individuals: a. Stock broker has an option of doing in-person verification through web camera at the branch office of the stock 1

4 STOCKPLUS BROKING & ADVISORY SERVICES 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. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: (Please tick against documents provided) Types of entity Documentary requirements Corporate Partnership firm Trust HUF Unincorporated association or a body of individuals Banks/Institutional Investors Foreign Institutional Investors (FII) Army/ Government Bodies Registered Society Copy of the balance sheets for the last 2 financial years (to be submitted every year). Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/whole time director/md (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures. Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners. 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. 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. Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures. Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures. Copy of SEBI registration certificate. Authorized signatories list with specimen signatures. Self-certification on letterhead. Authorized signatories list with specimen signatures. Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary. For Non-individuals: a. Form need to be initialised by all the authorised signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorised to deal in securities on behalf of company/firm/others and their specimen signatures. 2

5 SP ANNEXURE - 2 Originals Verified & Self Attested Document copies received 3

6 STOCKPLUS BROKING & ADVISORY SERVICES A. IMPORTANT POINTS: INSTRUCTIONS FOR FILLING KYC FORM MANDATORY 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. 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 PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. C. 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. 4

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8 STOCKPLUS BROKING & ADVISORY SERVICES ANNEXURE - A MANDATORY Photographs of Promoters/Partners/Karta/Trustees and Whole time directors and of persons authorised to deal in securities. Name Designation Residential Address Telephone No. ID Annual Income (INR) Income Tax Pan No. UID (Unique Identification No.) DIN (Director Identification No.) Signature Promoter/Partner/Karta/Trustees/Whole Time Directors/ Authorised Person Mobile: o < 1 LAC o 1-5 LACS o 5-10 LACS o LACS o 25-1 Crore o > 1 Crore Sign across the Photograph excluding face Name Designation Residential Address Telephone No. ID Annual Income (INR) Income Tax Pan No. UID (Unique Identification No.) DIN (Director Identification No.) Signature Promoter/Partner/Karta/Trustees/Whole Time Directors/ Authorised Person Mobile: o < 1 LAC o 1-5 LACS o 5-10 LACS o LACS o 25-1 Crore o > 1 Crore Sign across the Photograph excluding face Name Designation Residential Address Telephone No. ID Annual Income (INR) Income Tax Pan No. UID (Unique Identification No.) DIN (Director Identification No.) Signature Promoter/Partner/Karta/Trustees/Whole Time Directors/ Authorised Person Mobile: o < 1 LAC o 1-5 LACS o 5-10 LACS o LACS o 25-1 Crore o > 1 Crore Sign across the Photograph excluding face 6

9 SP For Individuals & Non-Individuals ANNEXURE - 3 MANDATORY TRADING ACCOUNT RELATED DETAILS A. BANK ACCOUNT(S) DETAILS (In case of Multiple Accounts, Details in column A will become default Account) Particulars A B Bank Name Bank Address Bank Account No. Account Type:Saving/Current/Others-In case of NRI/NRE/NRO MICR Number IFSC Code B. DEPOSITORY ACCOUNT(S) DETAILS (In case of Multiple A/cs, Details in column A will become default A/c) Particulars A B Depository Participant Name Depository Type NSDL CDSL NSDL CDSL Beneficiary Name DP ID Beneficiary ID (BO ID) C. TRADING PREFERENCES Note: Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. Exchange Cash Signature F & O Signature BSE NSE MSEI # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. D. 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: E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-broker s Name: SEBI Registration number: Registered office address: Ph: Fax: Website: Whether dealing with any other stock broker/sub-broker (in case dealing with multiple stock brokers/sub-brokers, provide details of all) Name of stock broker: Name of sub broker, if any: Client Code: Exchange: Details of disputes/dues pending from/to such stock broker/sub- broker: 7

10 STOCKPLUS BROKING & ADVISORY SERVICES F. ADDITIONAL DETAILS Whether you wish to receive Physical Contract Note or Electronic Contract Note (ECN) (please specify): Specify your id, if applicable: Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Number of years of Investment/Trading Experience: In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of company/firm/others: As per Annexure A Any other information: G. INTRODUCER DETAILS (optional) Name of the Introducer: (Surname) (Name) (Middle Name) Status of the Introducer: Sub-broker/Remisier/Authorized Person/Existing Client/Others, please specify Address & phone no. of the Introducer: Signature of the Introducer: H. NOMINATION DETAILS (for individuals only) o I/We wish to nominate o 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 the guardian: 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 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/We further confirm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document. 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. Place Date ( ) ( ) ( ) Signature of Client/ (all) Authorised Signatory (ies) 8

11 SP TARRIF SHEET MANDATORY BROKERAGE SLAB FOR CASH MARKET DELIVERY BROKERAGE DELIVERY MINIMUM DELIVERY NORMAL INTRADAY BROKERAGE SINGLE SIDE BOTH SIDE MINIMUM NORMAL BROKERAGE SLAB FOR FUTURES & OPTIONS FUTURES BROKERAGE SINGLE SIDE BOTH SIDE MINIMUM NORMAL OPTIONS BROKERAGE MINIMUM BROKERAGE (RS PER LOT) NORMAL BROKERAGE (ON PREMIUM) SINGLE SIDE BOTH SIDE Note: Statutory charges will be charged as per the prescribed rates by the statutory authorities, from time to time. Please Note: PROPRIETORY TRADE DECLARATION In terms of circular no. SEB/MRD/SE/CIR-42/2003 dated 19 Nov issued by Securities Exchange Board of India the broker member is obliged to disclosed to its clients / constituents whether the member is trading in his own account or not. Accordingly we hereby inform you that depending upon the market conditions, the members, its directors or its associates do invest / trade in capital / derivatives segment. The same may please be noted. Client s Signature: Place: Date: FOR OFFICE USE ONLY UCC Code allotted to the Client: Documents verified with Originals Client Interviewed By In-Person Verification done by Name of the Employee Designation of the employee Date Signature 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. Signature of the Authorised Signatory Date Seal/Stamp of the stock broker 9

12 STOCKPLUS BROKING & ADVISORY SERVICES Policies and Procedures for Client Dealings MANDATORY A. Refusal of orders for Penny Stocks Although, the term Penny Stock has not been defined by BSE / NSE or any other stock exchange or by SEBI, a Penny Stock generally refers to a stock which has following characteristics: Has small market capitalization; Trades at a price less than its face value; Has unsound fundamentals; Is illiquid (A list of illiquid securities is jointly released by NSE and BSE & other exchanges from time to time.) STOCKPLUS BROKING & ADVISORY SERVICES recognizes that it is the client s privilege to choose shares in which he / she would like to trade. However, STOCKPLUS BROKING & ADVISORY SERVICES likes to pay special attention to dealing in Penny Stocks. To this end: STOCKPLUS BROKING & ADVISORY SERVICES may refuse to execute any client s orders in Penny Stocks without assigning any reason for the same. Any large order for purchase or sale of a Penny Stock should be referred to Head - Dealing before such orders can be put in the market for execution. Clients must ensure that trading in Penny Stock does not result in creation of artificial volume or false or misleading appearance of trading. Further, clients should ensure that trading in Penny Stock does not operate as a device to inflate or depress or cause fluctuations in the price of such stock. Clients are expected not to place orders in Penny Stocks at prices which are substantially different from the prevailing market prices. Any such order is liable to be rejected at the sole discretion of STOCKPLUS BROKING & ADVISORY SERVICES In case of sale of Penny Stocks, clients should ensure the delivery of shares to STOCKPLUS BROKING & ADVISORY SERVICES before the pay-in date. B. Setting up client s exposure limit Exposure limit for each client is determined by the Risk Management Department based on client s net worth information, client s financial capacity, prevailing market conditions and margin deposited by client in the form of funds / securities with STOCKPLUS BROKING & ADVISORY SERVICES These limits may be set exchange-wise, segment-wise, and scrip-wise. The limits are determined by Risk Management Department based on the above criteria and the payment history of the client in consultation with Sales / Sales traders. STOCKPLUS BROKING & ADVISORY SERVICES retains the discretion to set and modify, from time to time, any client s exposure limit decided as above. Whenever any client has taken or wants to take exposure in any security, STOCKPLUS BROKING & ADVISORY SERVICES may call for appropriate margins in the form of early pay-in of shares or funds before or after execution of trades in the Cash segment. In case of any margin shortfall, the clients will be told to reduce the position immediately or they will be requested to deposit extra margin to meet the shortfall. Otherwise, STOCKPLUS BROKING & ADVISORY SERVICES may refuse to trade on behalf of such client at its own discretion. C. Applicable brokerage rate Brokerage Rate is mutually decided between the STOCKPLUS BROKING & ADVISORY SERVICES and each client based on client s net worth, expected trading volume, etc. The maximum brokerage chargeable will not exceed the rates prescribed by SEBI and the exchanges. The applicable brokerage rate will be mentioned in the Client registration form and any change in the brokerage rate in future will be communicated to the client in writing. D. Imposition of penalty / delayed payment charges by either party, specifying the rate and the period Penalty and other charges levied by Exchanges pertaining to trading of the client shall be recovered from the respective client. If there is delay on the part of the client in satisfying his / her margin obligation or settlement obligation then STOCKPLUS BROKING & ADVISORY SERVICES. shall levy delayed payment charges at the rate of 21% p.a. on such shortfall for the period of delay on such client. STOCKPLUS BROKING & ADVISORY SERVICES shall recover such delayed payment charges from the client by debiting the client s account. No interest or charges will be paid by STOCKPLUS BROKING & ADVISORY SERVICES. to any client in respect of retention of funds or securities towards meeting future settlement obligations and in respect of running account authorizations. 10

13 SP E. Right to sell clients securities or close clients positions, without giving notice to the client, on account of nonpayment of client s dues STOCKPLUS BROKING & ADVISORY SERVICES has the right to close out / liquidate or square off any open position of the client (limited to the extent of settlement / margin obligation), without giving any prior notice, all or any of the client s positions as well as securities / collaterals placed as margins for non-payment of margin or other amounts due from such client in respect of settlement or any other lawful dues that are recoverable from the client by STOCKPLUS BROKING & ADVISORY SERVICES The proceeds of the same shall be adjusted against the client s Trade liabilities / obligations. Any loss or financial charges on account of such close-out / liquidation shall be debited to the client s account. F. Shortages in obligations arising out of internal netting of trades As per the Exchange Settlement Norms the Pay in Obligation for securities are netted at member level and only net obligation is paid in to the exchange. It could be possible that within the members client, there could be opposite positions in the same scrips, which then, necessitates the internal adjustment/netting. In case a seller client fails to deliver which was to be paid out for account of another of our clients, such as situation necessitates the Internal Auction. Scrips Trade in NSE As per the present policy the methodology used for the internal shortage of the scrip traded in NSE is given below: 1. Auction price of the scrip informed by NSE for that settlement number or highest price of the scrip prevailing in the NSE from the first day of the relevant trading period till the day of closing out on the auction day whichever is higher; (i.e. highest of T, T+1 or T+2) 2. If Auction price is not available in NSE for a scrip for that settlement, then our closeout price will be calculated at the highest price prevailing in the NSE from the first day of the relevant trading period till the day of closing out or 10% above the official closing price on the auction day, whichever is higher plus other statutory charges. Generally, the auction day is considered to be T+2 day i.e. the day of official settlement day. Please note that the above procedure is expected to change in case NSE makes any changes in their auction procedure. Scrips Trade in BSE: In case of BSE, there is an option of informing the internal shortages to the exchange for considering it into the auction process, the same will be informed to BSE and normal auction process followed by BSE will be applicable. Brokerage on Auction: The Member shall charge auction brokerage of normal of value to all short sellers. G. Conditions under which a client may not be allowed to take further position or the broker may close the existing position of the client STOCKPLUS BROKING & ADVISORY SERVICES shall have absolute discretion and authority to limit client s volume of business or to close any existing position of a client without giving any prior notice to the client under following conditions: Extreme volatility in the market or in particular scrip or in the F&O segment. There is shortfall in the margin deposited by client with STOCKPLUS BROKING & ADVISORY SERVICES. There is insider trading restrictions on the client. There are any unforeseen adverse market conditions or any natural calamity affecting the operation of the market. There are any restrictions imposed by Exchange or Regulator on the volume of trading outstanding positions of contracts. The client is undertaking any illegal trading practice or the client is suspected to be indulging in money laundering activities. STOCKPLUS BROKING & ADVISORY SERVICES has reached its limit in that scrip. The client has breached the client-wise limit. The client has taken or intends to take new position in a security which is in the banned period. Due to abnormal rise or fall in the market, the markets are closed. H. Temporarily suspending or closing a client s account based on the client s request: Any client desirous of temporarily suspending his or her trading account has to give such request in writing to the management. After management s approval, further dealing in such client s account will be blocked. Whenever trade has to be resumed in any suspended client account, a request in writing should be made by the client to the management and the management may ask for updated financial information and other details for reactivating such account. After receiving necessary documents, details, etc. and approval from the management, the client account will be reactivated and transaction will be carried out. Similarly, any client desirous of closing his / her account permanently is required to inform in writing and the decision in this regard will be taken by the management. After necessary approval from the management, the client code will be deactivated. Only after scrutinizing the compliance requirements and a no pending queries confirmation is taken, 11

14 STOCKPLUS BROKING & ADVISORY SERVICES securities and funds accounts will be settled. I. Deregistering a Client STOCKPLUS BROKING & ADVISORY SERVICES may, at its absolute discretion, decide to deregister a particular client. The illustrative circumstances under which STOCKPLUS BROKING & ADVISORY SERVICES may deregister a client are given below: SEBI or any other regulatory body has passed an order against such client, prohibiting or suspending such client from participating in the securities market. Such client has been indicted by a regulatory body or any government enforcement agency in case of market manipulation or insider trading or any other case involving violation of any law, rule, regulation, guideline or circular governing securities market. Such client is suspected of indulging in illegal or criminal activities including fraud or money laundering. Such client s name appears in the UN list of prohibited entities or in the SEBI debarred list. Such client s account has been lying dormant for a long time or the client is not traceable. Such client has been declared insolvent or any legal proceedings to declare him / her as insolvent have been initiated. Such client has been irregular in fulfilling obligations towards margin or settlement dues. Such client has a tainted reputation and any business relationship with such clients is likely to tarnish the reputation of STOCKPLUS BROKING & ADVISORY SERVICES or may act as detriment to STOCKPLUS BROKING & ADVISORY SERVICES s prospects. J. Inactive Client Account Client account will be consider inactive if the client does not execute a single trade during the period 12 months immediately preceding the end of the previous month. After inactive marking, if any orders are received, the dealer shall take reasonable steps to identify the identity of the client and to ensure that the orders are received from the same client. The dealer shall use various techniques like call back, asking personal detail questions, last trade date, outstanding positions etc to confirm the identity of the caller. They may use any other technique which is reasonable. In case of a doubt the case shall be referred to the management or concerned Sub-Broker or introducer. Dormant client has to update their KYC details at the time of fresh order, if required. If no payment is due from Client then his assets such as Ledger Balance, Cash Margin, Securities will be returned to clients immediately. If Payment is due from clients then his assets such as Securities returned after realisation of payment. Client Signature Client Name Client Code 12

15 SP RUNNING ACCOUNT AUTHORISATION VOLUNTARY To, Date : STOCKPLUS BROKING & ADVISORY SERVICES 811/814, Grohitam Bldg, Plot 14/B, Sector 19, Vashi, Navi Mumbai Dear Sirs, I am / We are regularly Trading with you for Cash and Derivative Market in BSE / NSE / MSEI. I /we hereby authorised you to do following on my /our behalf: I/We hereby give my/our consent to maintain my/our account for fund and securities as RUNNING ACCOUNT The Securities lying in my/our withhold A/c and credit balance lying in my / our account should be considered as margin deposits I/We request you to keep my/our Securities, Margin and funds with you to meet my/our pay in obligation in the Succeeding settlements in the same segment as well as other segments of BSE / NSE / MSEI. The actual settlement of funds & Securities shall be done by you every Monthly Quarterly interval. You will send quarterly/monthly statement of Funds & Securities and I/We shall bring any discrepancy preferably within 7 working days from the receipt of Statements You shall transfer the Funds / securities lying in my / our credit within one working day of the request if the same are lying with you & within 3 working days from the request, if the same are lying with the clearing member / clearing corporation I/We have noted the following :- 1. The authorisation shall be signed by me /us only and not by any power of attorney holder or by any authorised person 2. I/we may revoke the authorisation at any time, by giving notice in writing. Yours faithfully, Client Signature Client Name Client Code 13

16 STOCKPLUS BROKING & ADVISORY SERVICES From: VOLUNTARY Client Code: To, STOCKPLUS BROKING & ADVISORY SERVICES 811/814, Grohitam Bldg, Plot 14/B, Sector 19, Vashi, Navi Mumbai Dear Sir, Sub: Mandate to issue contract notes in digital format & other communications such as Daily Margin Statement, Statement of Funds & Securities, Account Confirmation, Bill, Notices etc. through an I / We hereby agree and consent to accept the contract notes for transactions carried on by us/me on BSE / NSE / MSEI / BSE StAR MF with you, in terms of the Mandatory and voluntory Client Registration Documents entered into between us/me, in digital form. Digital contracts issued by you as per the terms and conditions specified herein shall be binding on me/us. The mandate is subject to terms and conditions mentioned herein below. Terms and conditions for issuance of contract notes & other communications in digital form between us :- 1. Digital Contract Notes in the format as may be prescribed by the Exchange from time to time will be mailed to me/us on the address provided to you. You can also send me/us my/our margin statement in digital form with contract notes. 2. I / we undertake to check the contract notes and bring the discrepancies to your notice. 3. In case of any failure in system or errors in digital contract notes, contract notes will be issued in physical form, which shall be binding on the client. 4. Discrepancies, if any, should be sent to you on livecare@stockplus.co.in preferably within 24 hours of reciept of digital contract notes. 5. Clients can view the digital contract notes using the username & password through the above web-site apart from the contract notes sent to the client through mail. 6. The Digital contract notes will be archived at an interval of 1 years. If the client intends to view the digital contract notes for a period prior to 1 years client may request for the same in writing. 7. The contract notes will be issued in digital form in compliance with the guidelines issued by SEBI / Exchanges from time to time. 8. It will be client's responsibility to regularly check the mailbox and keeping the storage space for new messages. 9. Any changes in the terms and conditions shall be intimated from time to time. 10. Non-receipt of bounced mail notification by the trading member shall amount to delivery of contract note at the ID of the client. 11. Digital Contract Notes will also be available at our website : Any change in the ID shall be communicated by us / me through physical letter to you. You can send me various documents like Daily margin statement, Statement of funds & securities, Account confirmations, bill, notices etc. through an ID mentioned in this letter. This instruction to issue digital contract note & other documents is applicable with immediate effect. This instruction is several to all parties mentioned above. My/Our ID Alternative ID Yours faithfully, (Client Signature) 14

17 SP I / We am / are aware that the below mentioned points are voluntary and I / We have an authority to set aside or revoke any of them whenever I / We want to. I / we am / are giving this authorisation for my / our operational convenience. To, STOCKPLUS BROKING & ADVISORY SERVICES 811/814, Grohitam Bldg, Plot 14/B, Sector 19, Vashi, Navi Mumbai Respected Sir, Sub: Letter of Standing Instructions I / We hereby willfully and unconditionally issue following standing instructions with references to personal discussion between us: 1. I / we are agreeable that the credit balance of funds and shares be treated as margin for both cash and derivatives segment. 2. I / we am / are agreeable for transfer of credit balances in margin account / client account of cash segment towards adjustment of debit balance in margin account /client account of derivatives segment and vice versa. 3. I / we am / are agreeable for transfer of credit balances in margin account /client account of cash and derivatives segment of (BSE) against debit balance in margin account /client account of cash & derivatives segment of NSE / MSEI / BSE StAR MF segment and vice versa. 4. I / we am / are agreeable for inter-settlement transfer of securities towards pay-in/pay-out of securities in the future / past settlements. 5. I / we am / are agreeable for and authorise you to withheld funds pay-out towards all the applicable margins and debits. 6. 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. 7. I/We have noted that you trade on your PRO/OWN account 8. I/We shall not indulge in any sub-broking activities nor issue bills/contracts/confirmation notes to anyone else for trades done in our client code. 9. All fines / penalties and charges levied upon you due to my acts / deeds or transactions may be recovered by you from my accounts. These standing instructions are valid from the date the account is opened and will be valid until revoked. Thanking You, Yours faithfully, VOLUNTARY Client Signature Client Name Client Code 15

18 STOCKPLUS BROKING & ADVISORY SERVICES VOLUNTARY DOCUMENT Updation of mobile no. I / We having PAN No. do hereby declare that my Mobile no. is Further, I authorise Stockplus Broking & Advisory Services that the same may be used for giving me any information / alert / sms / call. I further declare the above mentioned statement is true and correct. ( Signature of Client ) Name : Client Code : Address : Verified by Name of Employee Signature Client defaulter declaration Dated : I / We having PAN No. do hereby declare that I have not been involved in any terrorist activity and I have not been declared as defaulter or my Name is not appearing in defaulter database as per SEBI / Various Exchanges / Regulatory bodies / CIBIL ( Credit Information Bureau of India Ltd. ) I further declare that the above mentioned declaration / statement is true and correct. ( Signature of Client ) Name : Client Code : [ Note : To be signed by person himself / herself not to be signed by his / her attorney / authorised person etc. ] PMLA Policy declaration I / We confirm and declare that I / We had read and understood the contents and the provisions of the PMLA Act, 2002 and it was also explained by Stockplus Broking & Advisory Services official. I / We further declare that I / We shall adhere to the rules and regulations and requirements mentioned in the PMLA Act, Yours faithfully, ( Signature of Client ) Name of the Client : 16

19 SP Annexure 3 (star Mf) Date: To, STOCKPLUS BROKING & ADVISORY SERVICES 811/814, Grohitam Bldg, Plot 14/B, Sector 19, Vashi, Navi Mumbai Dear Sir, Sub: BSE StAR MF I/We am/are registered as your client with Client Code No. and have executed the Trading Member and Client Mandatory and voluntory Client Registration Documents for the purpose of trading in the Equity Segment of Bombay Stock Exchange Ltd. (Exchange). I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the BSE StAR MF. For the purpose of availing this facility, I/we state that Know Your Client details as submitted by me/us for the stock broking may be considered for the purpose of BSE StAR MF and I/we further confirm that the details contained in same remain unchanged as on date. I/We are willing to abide by the terms and conditions as mentioned in the Notice dated December 2, 2009 and such other Notices/Circulars as may be specified by the Exchange / ICCL from time to time in this regard. I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI). I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes. I/we therefore request you to register me/us as your client for participating in BSE StAR MF. Thanking you, Yours faithfully, Client Signature Client Name Client Code From: 17

20 STOCKPLUS BROKING & ADVISORY SERVICES Details of terms & conditions for the Investor / Client for using BSE StAR MF platform 1. Pre-requisites for becoming Investor / Client for the BSE STAR MF platform 1.1. The client is desirous of investing in units of mutual fund schemes through the BSE STAR MF The Client intends to execute his instruction for the subscription/redemption of units of Mutual Fund Schemes through the broker who is a Mutual fund Intermediary (MFI) of the BSE STAR MF platform The client has satisfied itself of the capacity of the MFI to deal in Mutual Fund units and wishes to execute its instruction through the MFI and the client shall from time to time continue to satisfy itself of such capability of the MFI before executing transacting through the MFI The Client has approached to the MFI with the application for availing the BSE STAR MF platform The client has submitted relevant KYC (Know Your Client) details to the MFIs 2. Terms and Conditions 2.1. The client shall be bound by circulars issued by BSE/ICCL and the Rules, Regulations and Notices/circulars issued there under by SEBI and relevant notifications of Government authorities as may be in force from time to time The client shall notify the MFI in writing if there is any change in the information in the client registration form provided by the client to the MFI at the time of registering as a client for participating in the BSE STAR MF platform or at any time thereafter The client shall submit to the MFI a completed application form in the manner and in prescribed format for the purpose of placing a subscription/redemption order with the MFI, where necessary The client has read and understood the risks involved in investing in Mutual Fund Schemes The client shall be wholly responsible for all his investment decisions and instruction The client shall ensure continuous compliance with the requirements of the BSE, ICCL, SEBI and AMFI The Client shall pay to the MFI fees and statutory levies as are prevailing from time to time and as they apply to the Client s account, transactions and to the services that MFI renders to the Client The client will furnish information to the MFI in writing, if any winding up petition or insolvency petition has been filed or any winding up or insolvency order or decree or award is passed against him or if any litigation which may have material bearing on his capacity has been filed against him In the event of non-performance of the obligation by the MFI, the client is not entitled to claim any compensation either from the Investor Protection Fund or from any fund of BSE or its Clearing Corporation - Indian Clearing Corporation Ltd. (ICCL) In case of any dispute between the MFIs and the investors arising out of the BSE STAR MF platform, BSE and / or ICCL agrees to extend the necessary support for the speedy redressal of the disputes. Client Signature 18

21 SP Broker / Agent Code ARN: SUB - BROKER: EUIN: Unit Holder Information Name of the First Applicant : PAN Number : KYC: Date of Birth : Father Name : Mother Name : Name of Guardian : PAN : Contact Address : City : Pincode : State : Country : Tel.(Off) : Tel.(Res) : Fax (Off) : Fax (Res) : Mobile : Income Tax Slab/Networth : Occupation Details Place of Birth : Country of Tax Residence : Tax Id No. : Politically exposed person / Related to Politically exposed person etc.? Yes No Mode of Holding : Occupation : Name of Second Applicant : PAN Number : KYC: Date of Birth : Income Tax Slab/Networth : Occupation Details Place of Birth : Country of Tax Residence : Tax Id No. : Politically exposed person / Related to Politically exposed person etc.? Yes No Name of Third Applicant : PAN Number : KYC: Date of Birth : Income Tax Slab/Networth : Occupation Details Place of Birth : Country of Tax Residence : Politically exposed person / Related to Politically exposed person etc.? Yes No Other Details of Sole/ 1st Applicant Overseas Address : (In case of NRI investor) City : Pincode : Country : Bank Mandate Details Name of Bank : Branch : A/C No. : A/c Type : IFSC Code: Bank Address : City : Pincode : State : Country : Nomination Details Nominee Name : Relationship : Guardian Name (If Nominee is Minor) : Nominee Address : City : Pincode : State : Declaration and Signature I/We confirm that details provided by me/us are true and correct. The ARN holder has disclosed to me/us all the commission (In the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Fund From amongst which the scheme is being recommended to me/us. Date : Place : 1st applicant Signature : 2nd applicant Signature : 3rd applicant Signature : 19

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23 SP POWER OF ATTORNEY (Optional) TO ALL TO WHOM THESE PRESENTS SHALL COME, I/we, the details of whom have been mentioned in the Schedule mentioned hereunder, send greetings: WHEREAS I/we hold a Beneficial Owner (BO) account, the details of which have been mentioned in the Schedule hereunder (hereinafter referred to as the BO Account with Central Depository Services (India) Limited (CDSL), through GEPL CAPITAL PVT. LTD. bearing DP-ID AND WHEREAS I/we, am/are engaged in buying and selling of securities through BSE/NSE/MSEI Member BIPIN M. SAVLA (Trade Name : STOCKPLUS BROKING & ADVISORY SERVICES), having its office at 811/814, Grohitam, Plot 14/B, Sector 19, Vashi, Navi Mumbai , a member of BSE LTD., bearing SEBI Registration No. INB/F CM ID 6156, member of National Stock Exchange of India Ltd., having CM ID M51961 and a member of Metropolitan Stock Exchange of India Ltd., bearing SEBI Registration No. INB/F CM ID AND WHEREAS I/we, am/are desirous of appointing STOCKPLUS BROKING & ADVISORY SERVICES as my/our constituted attorney to operate my/our beneficial owner account on my/our behalf for a limited purpose under client code, in the manner hereinafter appearing and subject to conditions as provided herein. NOW KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I/WE THE BELOW NAMED DO HEREBY NOMINATE, CONSTITUTE AND APPOINT STOCKPLUS BROKING & ADVISORY SERVICES. (hereinafter referred to as the stock broker ) as my/our true and lawful attorney and authorise it to perform the following functions on my/our behalf: To issue instructions to the Depository Participant to debit securities and/or to transfer securities held in my/our aforementioned beneficial owner (BO) account for the purpose of delivering the same into one or more of the following demat accounts and/or to the clearing house/ clearing corporation of any of the stock exchange(s), to meet all margin/ settlement/ pay-in obligations arising out of trades executed by me/us through the stock broker. However, the said power will be restricted to only transfer of securities to the Clearing Member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined/will join as a member or to any demat accounts linked to the said Clearing Member ID provided that I/we have executed mandatory & voluntary client registartion document with the stock broker for such exchanges. For the purpose of aforesaid acts, deeds and things it is made clear that shares/securities which are/may be debited/ transferred from the BO Account, by exercising the rights/ powers granted hereinabove, be transferred /credit/ delivered to the following demat accounts or any other demat accounts duly intimated to clients as may be maintained by the stock broker for the aforesaid purpose or to the clearing house/clearing corporation of the concerned exchange(s). Sr.No Demat a/c No CM ID DP Name Purpose GEPL Capital Pvt. Ltd. BSE PAY-IN a/c M51961 GEPL Capital Pvt. Ltd. NSE PAY-IN A/C GEPL Capital Pvt. Ltd. MSEI PAY-IN a/c GEPL Capital Pvt. Ltd. Margin a/c IL&FS Securities Services Ltd. Margin a/c 21

24 STOCKPLUS BROKING & ADVISORY SERVICES I/we, do hereby instruct the stock broker to return to me/us, the securities that may have been received by the stock broker erroneously or those securities that the stock broker was not entitled to receive from me/us; I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) at any time in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received by the stock broker at his office. Schedule (hreinabove mentioned) BO ID: Date : Place : Name First Holder /Signatory Second Holder /Signatory Signature Third Holder /Signatory Witness I Accept : FOR STOCKPLUS BROKING & ADVISORY SERVICES (The Attorney Holder) Name If HUF, Co-parceners Signature: Signature Authorised Signatory Address: 811/814, Grohitam, Plot 14/B, Sector 19, Vashi, Navi Mumbai Note: In case of HUF a/c, all co-parceners must sign. 22

25 SP Confirmation of Receipt of Mandatory and voluntory Client Registration Documents With reference to my/our registration as Client with you (Stockplus Broking & Advisory Services) for Capital market/ Derivatives Segment of BSE / NSE / MSEI & BSE StAR MF. I/ We here by confirm that I/ We have received copies of the Know Your Client Form (KYC), Rights & Obligations, Risk Disclosure Documents (RDD), Power of Attorney (POA) (if any), policies, procedure, tariff sheet & all other Mandatory and voluntory Client Registration Documents. Name : Client Code No: Signature: Appl. Form No.: Mr. / Ms / M/s. : STOCKPLUS BROKING & ADVISORY SERVICES Acknowledgement Slip A/c. Opening Fees : Drawn on : Chq. No. : Product : Branch Name : Exec. Name : Signature : For all your queries, please call: or livecare@stockplus.co.in Please Note : Kindly DO NOT handover Cash/Shares to the Executive for any reason. Only A/C Payee Crossed cheque needs to be given in favour of STOCKPLUS BROKING & ADVISORY SERVICES. 23

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27 SP H.O. Checklist Sr. No. Details H. O. Maker H. O. Checker 1. Is Client Name updated correctly? Yes No Yes No 2. Has Client Code/Terminal Code been allocated correctly? Yes No Yes No 3. Is Branch Code correct? Yes No Yes No 4. Is correct brokerage allocated? Yes No Yes No 5. Is Address updated? Yes No Yes No 6. Are correct DP and Bank details updated? Yes No Yes No 7. Is clients preferred segment activated? Yes No Yes No 8. Is BSE UCC updated Yes No Yes No 9. Is NSE UCC updated Yes No Yes No 10. Is MSEI UCC updated Yes No Yes No 11. Is BSE StAR MF UCC updated Yes No Yes No 12. Has Welcome call and letter been sent? Yes No Yes No Signature A/c Activation A) A/c Activation B) Modification / Addition Field Modified / Added 1) 2) 3) 4) 5) 6) 7) C) A/c Closure Additional Information Purpose of opening the A/c Investment Trading Others (Specify) Date Signature Sources of Funds Salary Business Profession Fees Savings Past Investments Inherited/Gifts Others (Specify) FOR OFFICE USE ONLY : Risk Profile of Client High Risk Medium Risk Low Risk CSC (Client Special Category) (As ascertained by Office) PEP (Politically Exposed Person) For Stockplus Broking & Advisory Services Authorised Signatory 25

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