J V COMMODITY PVT LTD REGISTRATION FORM KYC. (Know Your Client) Name: Client Code : Authorised Person Code : FOR OFFICE USE ONLY MCX NCDEX ICEX

Transcription

1 J V COMMODITY PVT LTD KYC REGISTRATION FORM (Know Your Client) Name: Client Code : Authorised Person Code : FOR OFFICE USE ONLY MCX NCDEX ICEX

2 MANDATORY SET OF ACCOUNT OPENING DOCUMENTS Sr.No. Name of the Document Brief Signi cance of the Documents MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES 1 KYC (Account Opening Application Form A. KYC form - Document captures the basic information about the constituent and an instruction/check list B. Document captures the additional information about the constituent related to trading account 2 Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the Commodity exchange(s). Pg. No Uniform Risk Disclosure Document (RDD) Uniform Risk Disclosure Document (RDD) 4 Rights and Obligations of Members, Authorized Persons and Clients Document stating the Rights & Obligations of member, Authorized Person and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). 5 Do's and Dont's for the Investors Document detailing do's and dont's for trading on exchange, for the education of the investors. Included in Client Copy 6 Polices & Procedures Document Describes Signi cant Policies and Procedures of the Member VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER Electronic Contract Note (ECN)-Declaration 7 Authority to send contract note in soft copy through Rights and Obligations of Member, Authorised Person and Clients - Additional Clauses 9 Authority Letter to retain fund as running account 10 Authority Letter to retain Commodity & running account Documents containing Additional Clauses to the Mandatory Document stating Rights and Obligations of Member, Authorised Person and Client For operational ef ciency and client convenience, this authorization is required 29 to maintain the client account for the funds on running account basis. For operational ef ciency and client convenience, this authorization is required to maintain the client account for the commodities on running account basis Declaration by HUF Specimen copies of declaration for operational convenience 23 Declaration for Net Open Position Declaration to comply SEBI declaration for Net Open Position 25 Declaration for Mobile Number Client Con rmation for Mobile Number Voluntary Document My/Our dealings with your company on all exchanges and undertaking cum standing instructions and authorization FATCA-CRS Declaration - Individual Details of ultimate bene cial owner including additional FATCA & CRS Declaration for individuals FATCA-CRS Declaration - Non-Individual Details of ultimate bene cial owner including additional FATCA & CRS Declaration for Non-individuals Acknowledgment and Con rmation Letter signed by client acknowledging and con rming receipt of the document prescribed and that same have been explained to the client In all the voluntary/non mandatory documents, if executed by client, the client shall always have right to withdraw/cancel the authority or the voluntary/nonmandatory documents and in case voluntary/non-mandatory documents/clauses, if found in con ict with the clauses in the mandatory documents, as also the Rules, Regulations/Business Rules, Bye-laws, circulars of the Exchange, directives and guidelines of Commission from time to time, shall stand null and void. Note : 1 to 12 are signature elds where applicant has to sign. 13 to 23 are signature elds where applicant's signature is voluntary / not mandatory A to A are authorised person s signature eld. W and W are witness signature eld. G is guardian signature eld. I is introducer s signature eld. 02

3 MANDATORY NAME OF MEMBER : J V COMMODITY PVT. LTD. NAME OF EXCHANGES AND SEBI UNIQUE MEMBERSHIP CODE Exchange National Commodity and Derivatives Exchange Ltd. (NCDEX) Multi Commodity Exchange of India Ltd. (MCX) Indian Commodity Exchange Limited (ICEX) Exchange Membership Code SEBI Unique Membership Code INZ Clearing Member Name of Clearing Member: IL&FS SECURITIES SERVICES LIMITED Regd. Of ce: IL&FS HOUSE, RAHEJA VIHAR CHANDIVILI, ANDHERI-EAST, MUMBAI Tel. Board line fno.group@issl.co.in Exchange Name Multi Commodity Exchange of India Ltd (MCX) National Commodity & Derivatives Exchange Limited (NCDEX) CM Code 9050 C50717 SEBI Registration No. INZ Registered and Correspondence of ce address: 201, Solitaire, Nr. Rajkot Municipal Commissioner Bungalow, Ramkrishnanagar Main Road, Rajkot (Gujarat - India) Tel / , Website : Compliance Of cer: Mr. Ketan Kotak, Ph.: , kotak_ketan@yahoo.co.in For any grievance/dispute please contact J V Commodity Pvt. Ltd. at the above address or id- grievances@jvgroups.com and Phone no , In case not satis ed with the response, please contact the National Commodity & Derivatives Exchange Ltd. (NCDEX) Investor Grievance Cell, National Commodity & Derivatives Exchange Limited, Akruti Corporate Park, 1st Floor, Near G.E.Garden, L.B.S. Marg, Kanjurmarg (West), Mumbai Tel : (+91-22) , Fax : (+91-22) , askus@ncdex.com, Multi commodity Exchange of India Ltd. (MCX) at Investors Grievance Division (IGD), CTS No. 255, Exchange Square, Suren Road, Andheri East, Mumbai , India, Tel: (+91-22) / , Fax: (+91-22) , grievance@mcxindia.com. Indian Commodity Exchange Limited at Reliable Tech Park, 403-A, B-Wing, 4th Floor, Thane-Belapur Road, Airoli (E), Navi Mumbai , India. Tel.No : Fax No : , compliance@icexindia.com, Website : Client can verify trades on exchange web sites: For MCX logon to : cation.aspx For NCDEX logon to : For ICEX logon to : cation.aspx 03

4 Client Name Client Code KYC CHECK LIST Attachments (Individual) (Please tick(ü)if status is completed): Sr. No. Type Attached Self certi ed by applicant Veri ed by RM/SB KYC Dept PAN Card Proof of identity (POI) Proof of Address (POA) Corresponding Address Proof (if applicable) Bank Proof (Cheque / Statement / letter) Financial Proof Required Attachments (HUF) (Please tick(ü)if status is completed): Sr. No. Type Attached Self certi ed by applicant Veri ed by RM/SB KYC Dept PAN Card of HUF & Karta Proof of identity (POI) - Karta Address Proof of HUF & Karta Corresponding Address Proof (if applicable) Bank Proof (Cheque / Statement / letter) of HUF Financial Proof Required (HUF to br submitted) Attachments (Partnership Firm) (Please tick(ü)if status is completed): Sr. No. Type Attached Self certi ed by applicant Veri ed by RM/SB KYC Dept PAN Card of Firm & all partners Proof of identity (POI) - all partners Address Proof of Firm & all partners Corresponding Address Proof (if applicable) Bank Proof (Cheque / Statement / letter) of Firm & all partners Copy of last 2 years balance sheet and P&L A/C & IT Returns Copy of partnership deed Authority letter for opening and operation of a trading account on letter head Photograph, POI, POA, PAN of all Partners Attachments (Corporate) (Please tick(ü)if status is completed): Sr. No. Type Attached Self certi ed by applicant Veri ed by RM/SB KYC Dept PAN Card of Company & all Directors Proof of identity (POI) - all Directors Address Proof of Company & all Directors Perment Address Proof Corresponding Address Proof (if applicable) Bank Proof (Cheque / Statement / letter) of Company Copy of last 2 years balance sheet IT Returns Letest Share holding pattern on letter head Board Resolution for opening an account in Commodities market on letter head MOA & AOA Authorised Signatories List with specimen signatures Photograph, POI, AOA, PAN of Shareholder of shareholding who holds more then 25% of shareholding either directly or indirectly 04

5 MANDATORY Know Your Client (KYC) Application Form (For Individuals Only) CENTRAL KYC REGISTRY Know Your Customer (KYC) Application Form To, J V COMMODITY PVT. LTD 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Application Type New Account Type Normal Update Simpli ed (for low risk customers) 1. PERSONAL DETAILS (Please refer instruction A at the end) Small KYC Number Account Number Name (Same as ID Proof)* Maiden Name (If any)* Father/Spouse Name* Mother Name* Date of Birth* Pre x FIrst Name Middle Name Last Name d d m m y y y y Please af x the recent passport size photograph Place of Birth Gender* Nationality* Residential Status* Occupation* Male Marital Status* Married Unmarried Others Indian Female Resident Individual Private Sector Service Professional Transgender Other (ISO 3166 Country Code Non Resident Indian Public Sector Service Self Employed Country of Birth ) Foreign National Government Sector Service Retired Person of Indian Origin Business Student Housewife Other ADDITIONAL DETAILS REQUIRED* (If Applicant is resident outside India for Tax Purposes) (Please refer instruction B at the end) 1 Signature / Thumb Impression ISO-3166 country code of Jurisdiction Residence* Tax Identi cation Number of equivalent (if issued by Jurisdiction) Place / City of Birth* ISO-3166 Country Code of Birth* 3. PROOF OF IDENTITY (POI)* (One Certi ed Copy of any one of the following proof of identity needs to be submitted) (Please refer instruction C at the end) PAN Voter ID Card Passport Number Driving License Others (any document noti ed by the Central Government) Simpli ed Measures Account - Document Type code UID (Aadhaar) NREGA Job Card Passport Expiry Date Driving License Exp. Date Identi cation Number Identi cation Number 4. PROOF OF ADDRESS (POA)* - PERMANENT / CURRENT / OVERSEAS ADDRESS DETAILS (Please refer instruction D at the end) (One Certi ed Copy of any one of the following proof of Address needs to be submitted) Address Type* Proof of Address* Address Residential / Business Latest Bank Statement/Passbook Registered Lease Deed NREGA Job Card Residential Latest Electricity Bill Registered Sale Agreement Other Business Latest Gas Bill Registered Of ce Latest Landline Bill Driving Licence Simpli ed Measures Account Document Type Code Unspeci ed Ration Card UID (Aadhaar) Latest Vera Bill Voter Identity Card City / Town / Village State / U.T. Code 5. CORRESPONDENCE / LOCAL ADDRESS DETAILS (Please refer instruction E at the end) (One Certi ed Copy of any one of the following proof of Address needs to be submitted) Same of Permanent / Current / Overseas as Address details (In case of multiple correspondence / local addresses. Please ll 'Annexure A1' with requisite proof.) Proof of Address* Latest Bank Statement/Passbook Registered Lease Deed Latest Electricity Bill Registered Sale Agreement Latest Gas Bill Latest Landline Bill Driving Licence Ration Card UID (Aadhaar) Latest Vera Bill Voter Identity Card Address NREGA Job Card Other District Pincode Simpli ed Measures Account Document Type Code ISO-3166 Country Name / Code (For India Code : IN) 05 City / Town / Village State / U.T. Code District Pincode ISO-3166 Country Name / Code (For India Code : IN)

6 MANDATORY 6. ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT (One Certi ed Copy of any one of the following proof of Address needs to be submitted) Same As Permanent Address Same As Correspondence Address Other wise Fill following Address City / Town / Village State / U.T. Code District Pincode ISO-3166 Country Name / Code 7. CONTACT DETAILS (Communication will be done on provided Mobile no. and ID) (Telephone no. with STD Code) (Refer instruction F at end) Tel. (Of ce) Fax ID Tel. (Res.) Mobile 8. DETAILS OF RELATED PERSON (In case of additional related persona, Please ll 'Annexure B1') (Refer instruction G at end) Addition of Related Person Deletion of Related Person Related Person Type Guardian of Minor Authorized Representative Nominee Bene cial Owner Name (Full Name) Assignee Bene ciary KYC Number (If available) PROOF OF IDENTITY (POI)* (One Certi ed Copy of any one of the following proof of identity needs to be submitted) (Refer instruction H at the end) PAN Voter ID Card Passport Number Driving License Others (any document noti ed by the Central Government) Simpli ed Measures Account - Document Type code UID (Aadhaar) NREGA Job Card Passport Expiry Date Driving License Exp. Date Identi cation Number Identi cation Number 9. OTHER DETAILS Income Range (Yearly) Below 1 Lac 1 Lac to 5 Lacs 5 Lacs to 15 Lacs 15 Lacs to 25 Lacs Above 25 Lacs Net Worth (In INR) Rs. As on Date d d m m y y y y Please tick if Applicable Politically Exposed Person Related to Politically Exposed Person 10. APPLICANT DECLARATION I hereby declare that the details furnished above are true and correct to the best of my/our 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/we are aware that I/We may be held liable for it. I would like to share my personal / KYC details with Central KYC registry. Signature / Thumb Impression of Applicant Date : d d m m y y y y Place : 11. ATTESTATION / FOR OFFICE USE ONLY (BRANCH) Documents Received Self Certi ed True Copies Notary IPV Done Date : d d m m y y y y Emp. No. Name Designation IPV & Very ed by Signature M1 12. INSTITUTIONAL DETAILS Name Code J V C O M M O D I T Y P V T L T D I N Instruction : (1) Please ll the form in English and in Block Letters (2) Please, read guidelines / detailed instructions overleaf (3) List of Two Character ISO-3166 country codes are available overleaf. 06

7 MANDATORY 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 commodities on behalf of company/ rm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for veri cation. In case the original of any document is not produced for veri cation, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a regional language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to FIPB / RBI and FEMA guidelines and other applicable statutory approvals), copy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certi ed copy of CDC (Continuous Discharge Certi cate) is to be submitted along with other statutory approvals required for investment in commodities. 10. For opening an account with Depository Participant or Mutual Fund, for a minor, photocopy of the school Leaving Cer ti cate/mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certi cate Must be Provided. 11. Politically Exposed Persons (PEP) are de ned 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 of cers, senior executives of state owned corporations, important political party of cials, etc. B. Proof of Identity (POI): List of documents admissible as Proof of Identity 1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are speci cally exempt from obtaining PAN (listed in Section D). 2. Unique Identi cation Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 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 af liated 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. Unique Identi cation Number (UID) (Aadhaar)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 Of cer/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 af liated 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 of consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. D. Exemptions/clari cations to PAN (*Suf cient 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 of cialsappointed by Courts e.g. Of cial liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. (Subject tov continued exemption granted by Government). 3. UN entities/multilateral agencies exempt from paying taxes/ lling tax returns in India. 4. SIP of Mutual Funds ipto 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 de ned under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certi ed copies of such veri ed PAN details to the intermediary. E. List of people authorized to attest the documents 1. Notary Public, Gazetted Of cer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be af xed on the copy). 2. In case of NRIs, authorized of cials 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. 07

8 MANDATORY 08 "Please note that the KYC Application and overleaf instructions should be printed on the same page (back to back). If printed separately then both the pages should be attached and signed by the applicant." Know Your Client (KYC) Application Form (For Non-Individuals Only) Please ll in ENGLISH and in BLOCK LETTERS with black ink A. Identity Details (please see guidelines overleaf) 1. Name of Applicant (Please write complete name as per Certi cate of Incorporation / Registration; Please do not abbreviate the Name). 2. Date of Incorporation Place of Incorporation 3. Registration No. (e.g. CIN) d d m m y y y y Date of commencement of business d d m m y y y y 4. Status Please tick ( ) Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non-Government Organisation Different Establishment Body of Individuals Society LLP Others (Please specify) Please af x your Recent Passport size Photograph and sign across it 5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card (In case of foreign eatity or entity with foreign shareholders, self certi ed copy of statutoy approval obtained must be attached.) Any other proof of identity- B. Address Details (Proof of address must be different from the proof of identity submitted) 1. Address for Correspondence City / Town / Village State 2. Contact Details Tel. (Off.)# Mobile Id. ISD STD +91 Tel. (Res.)# ISD Fax ISD STD STD Pin Code 3. Specify the proof of address submitted for correspondence address Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement / Passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bil *Latest Gas Bill Others *Not more than 3 months old. Validity / Expiry date of proof of address submitted d d m m y y y y 4. Registered Address (If different from above) City / Town / Village State Tel. (Off.)# Mobile Id. ISD STD Specify the proof of address submitted for Registered address, if applicable Tel. (Res.)# ISD Fax ISD STD STD Country Pin Code Registered Lease/Sale Agreement of Residence *Latest Bank A/c Statement / Passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill Others *Not more than 3 months old. Validity / Expiry date of proof of address submitted C. New Other Details d d m m y y y y Country 1. Gross Annual Income Details (Please tick ( ) : Below 1 Lac 1-5 Lac 5-10 Lac Lac 25 Lacs - 1 Crore > 1 Crore 2. Net-worth in `. (*Net worth should not be older than 1 year) as on (date) d d m m y y y y 3. Name, PAN, DIN/UID, residential address and photographs of Promoters / Partners / Karta / Trustees / whole time directors (Please use the Annexure to ll in the details) 4. Is the entity involved / providing any of the following services Yes No - For Foreign Exchange / Money Changer Services Yes No - Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates) Yes No - Money Lending / Pawning Yes No 5. Any other information : #If you have a landline connection, kindly provide the same DECLARATION I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. AMC/Intermediary name OR code (Originals Veri ed) Self Certi ed Document copies received (Attested) True copies of documents received Place : FOR OFFICE USE ONLY NAME & SIGNATURE(S) OF AUTHORISED PERSON(S) Date : d d m m y y y y Seal/Stamp of the intermediary should contain Staff Name, Designation Name of the Organization Signature, Date M2

9 MANDATORY 09 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 commodities on behalf of company/ rm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for veri cation. In case the original of any document is not produced for veri cation, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a regional language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to FIPB / RBI and FEMA guidelines and other applicable statutory approvals), copy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI s, Mariner s declaration or certi ed copy of CDC (Continuous Discharge Certi cate) is to be submitted along with other statutory approvals required for investment in commodities. 10. For opening an account with Depository Participant or Mutual Fund, for a minor, photocopy of the school Leaving Certi cate/mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certi cate Must be Provided. 11. Politically Exposed Persons (PEP) are de ned 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 of cers, senior executives of state owned corporations, important political party of cials, etc. B. Proof of Identity (POI): List of documents admissible as Proof of Identity 1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are speci cally exempt from obtaining PAN (listed in Section D). 2. Unique Identi cation Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 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 af liated 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. Unique Identi cation Number (UID) (Aadhaar)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 Of cer/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 af liated 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 of consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. D. Exemptions/clari cations to PAN (*Suf cient 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 of cialsappointed by Courts e.g. Of cial liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. (Subject tov continued exemption granted by Government). 3. UN entities/multilateral agencies exempt from paying taxes/ lling tax returns in India. 4. SIP of Mutual Funds ipto 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 de ned under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certi ed copies of such veri ed PAN details to the intermediary. E. List of people authorized to attest the documents 1. Notary Public, Gazetted Of cer, Manager of a Scheduled Commercial/ Cooperative Bank or Multinational Foreign Banks (Name, Designation & Seal should be af xed on the copy). 2. In case of NRIs, authorized of cials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents. F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below: Types of entity Corporate Partnership rm Trust HUF Unincorporated association or a body of individuals Banks/Institutional Investors Foreign Institutional Investors (FII) Army/ Government Bodies Registered Society Documentary requirements Copy of the balance sheets for the last 2 nancial 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 certi ed 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 certi cate of incorporation. Copy of the Board Resolution for investment in commodity market. Copy of Board Resolution or declaration (on the letter head) naming the persons authorized to deal in commodity derivatives on behalf of company / rm / others and their specimen signatures. Copy of the balance sheets for the last 2 nancial years (to be submitted every year). Certi cate of registration (for registered partnership rms only). Authorised signatories list with specimen signatures. Copy of partnership deed. Photograph, POI, POA, PAN of Partners. Copy of the balance sheets for the last 2 nancial years (to be submitted every year). Certi cate of registration (for registered trust only). Copy of Trust deed. List of trustees certi ed by managing trustees/ca. Photograph, POI, POA, PAN of Trustees. Deed of declaration of HUF and List of coparceners. PAN of HUF. 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 of annual Report/Balance sheet of the last 2 Financial Years Authorized Signatories list with Specimen Signatures Copy of SEBI registration certi cate Authorized Signatories list with Specimen Signatures Authorized signatories list with specimen signatures. Self-certi cation on letterhead. Copy of Registration Certi cate 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 certi ed by the Chairman/Secretary.

10 MANDATORY Details of Promoters / LLP Partners / Partners / Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individual Name of Applicant Pan of Applicant DIN (For Directors) / DPIN / UID (For Others) Relationship with Applicant (i.e. promoters, whole time directors etc.) Whether Politically Exposed Sr. No. PAN Name Residential / Registered Address Photograph PEP 6.1 Not a PEP RPEP Not a RPEP PEP 6.2 Not a PEP RPEP Not a RPEP PEP 6.3 Not a PEP RPEP Not a RPEP 6.4 Name & Signature of the Authorised Signatory(ies) with stamp Date : d d m m y y y y PEP : Politically Exposed Person RPEP : Related to Politically Exposed Person 10

11 MANDATORY Details of Promoters / LLP Partners / Partners / Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individual Name of Applicant Pan of Applicant DIN (For Directors) / DPIN / UID (For Others) Relationship with Applicant (i.e. promoters, whole time directors etc.) Whether Politically Exposed Sr. No. PAN Name Residential / Registered Address Photograph PEP 6.5 Not a PEP RPEP Not a RPEP PEP 6.6 Not a PEP RPEP Not a RPEP PEP 6.7 Not a PEP RPEP Not a RPEP 6.8 Name & Signature of the Authorised Signatory(ies) with stamp Date : d d m m y y y y PEP : Politically Exposed Person RPEP : Related to Politically Exposed Person 11

12 MANDATORY TRADING ACCOUNT RELATED DETAILS (FOR INDIVIDUALS & NON-INDIVIDUALS) BANK ACCOUNT(S) DETAILS 1st preferred A/c. Bank Name Branch Address A Bank A/c No. Bank A/c. Type Saving 9 Digit MICR No. (As mentioned in cheque) Others IFSC Code 1ST 2ND 3RD Account Holder Name Account Holder Name Account Holder Name Authority to remit funds pay out electronically into clients bank account (Optional) Yes No NRE Current I / We request you to deposit my / our payout in respect of my / our transactions directly to above mentioned bank account (provided such facility is available) or any other bank account which I / We may intimate from time to time. Note: Provide a copy of cancelled cheque leaf/passbook/bank statement specifying name of the client, MICR code or/and IFSC code of the bank. NRO IN CASE OF NRI PIS Approval No PIS Approval Date Signature of the Applicant 2nd preferred A/c. Bank Name Branch Address Bank A/c No. 9 Digit MICR No. (As mentioned in cheque) Bank A/c. Type Saving Others IFSC Code NRE 1ST Account Holder Name 2ND Account Holder Name 3RD Account Holder Name Current NRO 3rd preferred A/c. Bank Name Branch Address Bank A/c No. 9 Digit MICR No. (As mentioned in cheque) Bank A/c. Type Saving Others IFSC Code NRE 1ST Account Holder Name 2ND Account Holder Name 3RD Account Holder Name 12 Current NRO

13 MANDATORY TRADING ACCOUNT RELATED DETAILS (FOR INDIVIDUALS & NON-INDIVIDUALS) DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT/COMRIS DETAILS ACCOUNT DETAILS Depository Name DP ID In case of NRI 1ST 2ND 3RD Comtrack Participant Name Comtrack Client Name 1ST 2ND 3RD NSDL NRE Account Holder Name Account Holder Name Account Holder Name Account Holder Name Account Holder Name Account Holder Name CDSL NRO DP Name Bene ciary A/c. No. CP ID Client ID B COMRIS PARTICIPANTS NAME : J V COMMODITY PVT. LTD. CRP ID : M Client Name Client Code Client ComRIS ID Commencement Date Note : Provide a copy of Demat/Comtrack Master or a recent holding statement issued by DP bealing name of the client. DEPOSITORY TRADING PREFERENCES ACCOUNT(S)/COMTRACK ACCOUNT DETAILS Note : Please sign in the relevant boxes against the Exchange with which you wish to trade. The Exchange not chosen should be struck off by the client. C Sr. No. Name of the National Commodity Exchanges# Date of Consent for trading on concerned Exchange Signature of the Client for Future Signature of the Client for Options MCX NCDEX a 8 a ICEX a (In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent letter is required to be obtained by the Member from the client and to be kept as enclosure with this document.) Internet/Wireless Base Trading (Optional) ODIN-WAVE (Mob.) ODIN-DIETE 13

14 MANDATORY DEPOSITORY PAST REGULATORY ACCOUNT(S)/COMTRACK ACTIONS ACCOUNT DETAILS D Details of any action/proceedings initiated/pending/ taken by SEBI / Stock exchange / Commodity Exchange any other authority against the Client or its Partners/promoters/whole time directors/authorized persons in charge during the last 3 years: DEPOSITORY DEALINGS THROUGH ACCOUNT(S)/COMTRACK OTHER MEMBERSACCOUNT DETAILS E If client is dealing through any other member, provide the following details (in case dealing with multiple members/aps, provide details of all in separate sheet containing all the information as mentioned below): Member's / AP's Name Exchange Exchange's Registration No. AP is registered : Name with whom the Concerned Member's Registered of ce address Contact Details : Tel. No. Fax No. Website Client Code Details of disputes/dues pending from/to such Member/AP DEPOSITORY ADDITIONAL DETAILS ACCOUNT(S)/COMTRACK ACCOUNT DETAILS Whether you wish to receive Specify your id, if applicable Whether you wish to avail of the facility of Number of years of Experience Any other information Purpose of trading Hedging (Optional) Communication from Member in electronic form on your Emila id. Yes No Internet Trading in Commodities No Prior Experience Investments (If yes, then ll in appendix-a) Wireless Technology in other investment... elds Others (Specify) F DEPOSITORY INTRODUCER ACCOUNT(S)/COMTRACK DETAILS (OPTIONAL) ACCOUNT DETAILS Introduced by Authorized Person Existing Client Others (please specify) G Name of the Introducer Address & Tel. No. SURNAME NAME MIDDLE NAME Introducer's Signature 1 I 14

15 MANDATORY DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT DETAILS GST REGISTRATION DETAILS (Please enclose proof) Sr. No State GST No. Validity Date (Please give details of all states where you are registered-use additional sheet if required) GST Registration No. Valid upto DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT DETAILS NOMINATION DETAILS (FOR INDIVIDUALS ONLY) Name of the nominee Relationship with the nominee I/We wish to nominate I/We do not wish to nominate PAN of Nominee Date of Birth of Nominee D D M M Y Y Y Y Address of the Nominee Tel. of the Nominee If Nominee is a minor, details of guardian Name of Guardian Address of the Guardian Tel. of the Guardian SURNAME NAME MIDDLE NAME SURNAME NAME MIDDLE NAME Signature of the Guardian H Witnesses (Only applicable in case the account holder has made nomination) 1 G X Name Address Name Address Signature of the Witness Signature of the Witness 1 W X 2 W X DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT DETAILS DECLARATION I 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 con rm having read/been explained and understood the contents of the the tariff sheet and all voluntary/nonmandatory documents. 3. I/We further con rm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document and 'Do's and Dont's'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on member s designated website i.e. Client Signature or All Authorised Signatory (ies) Date D D M M Y Y Y Y Place 11 15

16 MANDATORY DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT DETAILS FOR OFFICE USE ONLY J UCC Code allotted to the Client Employee Detail Documents veri ed with Originals Client Interviewed by In-Person Veri cation done by Name Code Designation Date Signature I / We undertake that we have made the client aware of tariff sheet and all the Voluntary/non-mandatory documents. I/We have also made the client aware of 'Rights and Obligations' document (s), RDD, Do's and Dont's and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the voluntary / non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the clients. For J V Commodity Pvt. Ltd. Signature of the Authorised Signatory Date D D M M Y Y Y Y Seal/Stamp of the Member DEPOSITORY ACCOUNT(S)/COMTRACK ACCOUNT DETAILS AUTHORISED PERSON DECLARATION K In case introduced by Authorised Person: I/we here by con rm that I/we veri ed the identity & bona des of the client. I/We undertake to ensure prompt settlement of the transaction carried out by the client and also extend full co-operation to J V Commodity Private Limited to facilitate their smooth dealings with this client. I/We shall also ensure that all the dealings with the client are as per the Rules/Regulations/Bye-laws of Exchanges/SEBI. Further I/We undertake to abide by the operational Rights and Obligation of J V Commodity Private Limited and also the terms of the agreement entered into by me/us with JVCPL. Signature of the Authorised Person (With Stamp) 2 A Date D D M M Y Y Y Y FOR NON-INDIVIDUALS ONLY SHARE HOLDING PATTERN (IF SPACE IS INSUFFICIENT, PROVIDE DETAIL ON LETTER HEAD) Name of the Shareholder % Held 16

17 MANDATORY Trading in Futures Same day square off in Futures Minimum per lot For Futures Settlement auto squaring off Futures Trading in Options Same day square off in Options Minimum per lot in Options Settlement auto square off for Options Delivery Brokerage Other Charges : SCHEDULE OF CHARGES FOR TRADING ACCOUNT MCX/NCDEX/ICEX Default Brokerage 1. Please note that the brokerage levied to your trading account shall be the higher of brokerage value as per the existing rates or Rs.15 per settlement/segment, subject to the maximum rates prescribed by the regulator(s) from time to time. 2. In case of intra day transaction in Commodity segment/ Commodity Futures rst leg rates as above shall be charged on the buy value or sell value depending upon whichever is higher and second leg rates shall be charged vice versa. 3. Other charges: a. GST, Transaction Tax, Commodity Transaction Tax,Transaction charges, SEBI fees, Clearing Charges, shall be levied as per the prevailing rates*. b. Statutory levies including but not limited to GST, Stamp duty, Education Cess shall be levied as per the prevailing rates. c. JVCPL reserves the right to levy additional charges including but not limited to the following:- 0.05% 0.05% Rs. 100/- 0.05% Rs. 100/- Per lot Rs. 100/- Per lot Rs. 100/- Per lot Rs. 100/- Per lot 0.25% Note : If above table is not lled of blank, brokerage would be charged at default rates stated above Brokerage agreed by client Particulars Duplicate Contract Notes (CN) issued Duplicate Sauda Summary issued Bounced Cheque/Stop Payment of cheque Amount Rs. 10/- per CN** Rs. 50/- for 2 month period** Rs.100/- for 3 months and above** Rs. 200/- per instance/instrument** * For prevailing rates please refer Back of ce interface. ** These charges are subject to revision at the sole discretion of J V Commodity Pvt Ltd. and shall be informed by any one or multiple of ordinary post/ /quarterly account statements/sms/noti cation on the Back of ce interface. d. In case physical option is chosen for receiving related statements in physical form J V Commodity Pvt Ltd. shall levy charges of Rs.10/- per document dispatched. Client Name Client Signature 12 For Of ce Use only SEGMENT BROK. CODE SCHEME SLAB ADDED BY SIGN SLAB VERIFIED BY SIGN 17

18 VOLUNTARY Appendix - A Electronic Contract Note (ECN) - DECLARATION (VOLUNTARY) To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Dear Sir, I/We, a client with Member M/s. J V Commodity Pvt. Ltd. of MCX, NCDEX, ICEX Exchange undertake as follows : I/We am/are aware that the Member has to provide physical contract note in respect of all the trades placed by me/us unless I/We myself/ourselves want the same in the electronic form. I/We am/are aware that the Member has to provide electronic contract note for my convenience on my request only. Though the Member is required to deliver physical contract note, I/We nd that it is inconvenient for me/us to receive physical contract notes. Therefore, I/We am/are voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me. I/We have access to a computer and am/are a regular internet user, having suf cient knowledge of handling the operations. My id is*. This has been created by me/us and not by someone else. I/We am/are aware that this declaration form should be in English or in any other Indian language known to me/us. I/We am/are non-receipt of bounced mail noti cation by the member shall amount delivery the contract note at the above ID. [The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me/us. I /we am/are aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same]. [*The ID must be in own handwriting of the client.] Client Name Unique Client Code Address PAN Signature of the Client 13 Veri cation of the client signature done by, Name of the designated of cer of the Member Date Place Signature of the Member Date 18

19 VOLUNTARY RIGHTS AND OBLIGATIONS OF MEMBER, AUTHORISED PERSON AND CLIENTS ADDITIONAL CLAUSES - VOLUNTARY (Kindly note that this additional document is voluntary and to be signed at the discretion of the client. The same are required in order to ensure running on a day to day basis between the broker / trading member and the client. The client need not execute this document if he/she does not wish to. The client has the right to terminate the document) In addition to the above, the parties hear by agree to the below mentioned : 1. Authorization for Debit : Without prejudice to any other clause of this document and/or the general terms and conditions, the client understands and agrees that the Member - Broker may charge additional financial charges according to the Rules, Bye-laws and Regulations of the relevant exchange and usual custom of the market for any extra services rendered by the Member and as required by the client, or for such extra reasonable costs, including legal fees, incurred by the Member for collecting the dues payable by the client to Member, an exchange, clearing corporation/ clearing house, any agent or Authorised Person of the Member and/or any other individual, par tnership, corporation, company, organization, association, trust or other entity acting for or on behalf of the Member. 2. Delayed Payment Charges : Without prejudice to any other rights of the member-broker to cover outstanding dues from the client and to square off open positions of the client for delay in payment or non-payment, the Member-Broker shall have authority to charge delayed payment charges for dues from the client including dues for margin, MTM loss or receipt of delivery at the rate of 18% per annum for each day till such dues are paid. 3. In case where the payment by the client towards margin is made through cheque/payorder/demand draft issued in favor of Member, any trades would be executed by the Member only upon the realization of the funds of the said cheque/pay order/demand draft, or at the discretion of the Member 4. The client hereby unconditionally, absolutely, and irrevocably undertakes to pay immediately any amount due and payable on being called upon to do so, merely on a demand in writing or otherwise from the Member-Broker stating that the amount has become due and any such demand made on the client shall be conclusive as regards the amount due and payable by the client. 5. Lien: All the securities, commodities, warehouse receipts and /or properties placed with the Member-Broker shall be subject to a lien for the discharge of any and all indebtedness or any other obligation that the client may have to Member- Broker. All of the client's securities and/ or other property shall be held by the Member-Broker as security for payment of any such obligation or indebtedness to Member-Broker. In enforcing its lien, Member-Broker at its sole discretion may determine which securities and / or other properties are to be sold or which contracts are to be enforced. 6. Acting as a unregistered Sub-Broker or authorised Person : The Client agrees that he will not act as an unregistered Sub- Broker or Authorised Person With out obtaining registration. 7. Deliveries (i) The Client will be responsible for providing information for the purposes of giving / taking against his net open position along with information required for giving / taking delivery within the period stipulated as specified by the Exchange from time to time. (ii) The client shall co-ordinate with the Member-Broker to ful fill the requirements specified by the Exchange for giving / receiving delivery pursuant to matching of delivery intentions and /or open positions during tender Period in accordance with delivery obligations assigned by the Exchange. (iii) The client shell, upon assigning of delivery obligations by the Exchange in accordance with prescribed procedure, give/receive delivery of commodities in the mode and manner prescribed by the Exchange within time specified by the Exchange. (iv) The client shell comply with lows relating to value added tax/sales tax of state and Central Government as may be applicable to delivery transactions and other lows let into stock limit or declarations or any other requirements prescribed by any of the state lows or low of Central Government. (v) The client shell furnish details of his/her its GST registration, CST registration and any other registrations required while receiving or giving delivery of commodities. The clients shell furnish GST invoice, Sales Tax exemption concession forms were required promptly and within the prescribed schedule in accordance with Exchange Rules in this behalf. Wherever the client is required to receive Tac invoice, the client shall take care to ensure that the same is received in due course (vi) The penalty for failure to give or take delivery of commodities as levied by the Exchange including any loss or damages suffered by the Member-Broker shall borne by the client. 8. The client agrees that each participating Exchange or association or agency that supplies any data to be displayed on the website asserts a proprietary interest in all of the market data it furnishes to parties that disseminate the said data. Neither the Stock Broker nor any agency or any supplier of market data guarantees the timeliness, sequence, accuracy, completeness, reliability or content of market information, or messages disseminated to or by the party. The services of Stock Broker are provided on an "as available" basis without warranties of any kind, either express or implied, including, without limitation, those of merchantability and fitness for a particular purpose. 9. Neither the Stock Broker nor any other party disseminating any data/message/information through the Website shall be liable for any inaccuracy, error, omission or delay in the transmission or delivery of : (1) Any such data, information or message, or (2) Any loss or damage arising from or occasioned by (I) Any such in accuracy, error, delay or omission, (ii) Nonperformance, or (iii) Interruption in any such data, information or message, due to either any act or omission by the Stock Broker or any disseminating party or to any "force majeure' (e.g flood extra ordinary weather condition, earthquake or other act of nature fire, war, insurrection, riot, labour dispute, accident, action of government, communications, power failure equipment or software malfunction) or any other cause beyond the reasonable control of the stock Broker or any disseminating party. 19

20 VOLUNTARY The Client acknowledges that the Member-Broker shall neither be under any obligation to provide the Client with any tax, legal, accounting investment advice or advice regarding the suitability or profitability of investment of any kind, nor do the Stock Broker give any advice or give any opinion with respect to the nature, potential value or suitability of any particular transaction or investment strategy. The client acknowledges that the employees of the Stock Broker or the Stock Broker himself are not authorised to give out any advice and the clients shall at all times be responsible and liable for his own actions / inaction. The client may be able to access investment research reports through the internet from the web-site, including computerized on-line service or physical copy. The availability of such information does not constitute a recommendation to buy or sell any of the investment products. Any investment decision will be based solely on the clients own evaluation of financial circumstances and investment objective. Any realtime quotes provided are only for the clients own use and the client shall not furnish such data to any other person or entity. 11. The Client is authorised to use materials which are made available by the Stock broker, or of other third parties at the Stock Broker's website for client's own needs only in accordance with the terms and conditions specified for such usage, and Client is not authorised to resell access to any such materials or to make copies of any such materials for sale or use by others. Client will not delete copyright or other intellectual property rights notices from print outs of electronically accessed materials. 12. The Client shall, at all times, be responsible for the Investment decisions and/or orders placed or applications preferred by the Client either electronically or otherwise. The Client shall neither hold nor seek to hold the Stock Broker or any of its Directors, officers employees, agents or affiliates, liable for any loss including but hot limited to the trading losses incurred by the Client. The Client understands that the placing of the order with the Stock Broker electronically or otherwise does not guarantee execution of the said order or the acceptance of the application. Though orders will generally be routed to the exchange's computer systems within a few seconds from the time the order is placed by the Client to the Stock Brokers trading system, the Stock Broker shall not be liable for any delay in the execution of an order or any resultant toss on account of that delay. The Stock Broker shall. not be deemed to have received any order electronically or application unless it has confirmed the same. 13. Incase of a market order the Client agrees that he/she/it will receive the price at which the order has been executed by the exchanges computer systems and such price may be different from the price at which the security is trading when his/her/its order is entered into the Stock Brokers trading system. 14. The client hereby agrees that Stock Broker or the exchanges shall not be liable for non-execution of any order caused due to suspension, interr uption, non availability or malfunctioning of the online as well as offline trading service or the exchange system or services for any reasons whatsoever. 15. The client is aware that Stock Broker may tape record the conversation between the client / client's representative and the Stock Broker, either directly or over the telephone, and hereby specifically permits the Stock Broker to do so. Such recording may be relied upon by the Stock Broker as valid evidence as and when required. 16. The Stock Broker may, however, assign their rights and obligations to any third person without the prior consent of the client. 17. The Client shall have right to revoke any of the authorization granted to the Member-Broker through this Document by sending a written communication duly signed at th registered Office of the Member-Broker 18. SEVERANCE: In case any one or more of the provisions contained in this document becomes invalid, illegal or unenforceable in any respect under any law, the validity, legality and enforce ability of the remaining provisions contained herein shall not in any way be affected or impaired there to. 19. WAIVER: No forbearance, relaxation or inaction by any party at any time me to require the performance of any provision of this document shall in any way affect, diminish or prejudice the right of such party to require the performance of that or any other provision of this document or be considered to be a waiver of any right, unless specifically agreed in writing. 20. NOTICES: All notices or communications issued under this document shall be served in any one or more or all of the following ways and such notice or communication under (i) to (xii) below shall be served at the ordinary business address and / or ordinary place of residence and / or last known address of the client in any one or more of the following ways. i) by post ii) by registered post iii) under certificate of posting iv) by express delivery post v) by telegram vi) by affixing it on the door at the last known business or residential address vii) by oral communication to the party or on the last known telephone number or on the recording machine of such number viii) by advertising it in at least one prominent daily newspaper having circulation in the area where the last known business or residential address of the client is situated ix) by sending a message through trading system x) by notice posted on the notice board of the Exchange if no address be known xi) by electronic mail or fax xii) by hand delivery 21. The client is informed that this document is also displayed by the stock broker on his website as modified and amended from time to time. Signature of the Applicant 14

21 VOLUNTARY AUTHORITY TO RETAIN FUND AS RUNNING ACCOUNT To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot REF. : Authority to retain Fund towards Margin These additional clause(s)/documentation(s) are voluntary and at the discretion of the trading member and the client. The same are required in order to ensure running on a day to day basis between the trading member and the client. The client need not execute this document if he/she does not wish to. The client has the right to terminate the document. Any such clause introduced shall stand null and void if they dilute the responsibility of the trading member or is in con ict with any of the clauses in the mandatory documents, Rules, Bye-laws, Regulations, Notices, Guidelines and Circulars issued by SEBI and the exchanges from time to time. 1. I/We have made application with requisite documents to you to open trading account for execution of trades on my/our behalf as per instruction given by me/us from time to time in various segments of various exchanges like MCX and /or NCDEXand / or ICEX etc. (hereinafter called as "the Commodity Exchange(s)") as my/our member. 2. For the purpose of operational convenience, I/we hereby give my/our consent to maintain my/our account for the funds on running account basis. I/We understand that consequent to your execution of my/our trades, I/we have either to pay/receive funds depending upon my/our transactions. In the event I/we have to receive funds from you on declaration of pay-out of funds by the Exchanges, Clearing Corporations etc., I/we hereby authorize you to retain the funds and commodity, as the case may be, with you as margin towards my/our ongoing transactions from time to time any or all of the Exchange(s), unless, I/we issue speci c / oral instruction for making payment of funds due to me/us, after adjusting any dues, margin obligations etc. Further I/We hereby authorize you to deliver the fund so held for my/our subsequent pay-in obligations. I/We do not want you to make payments of funds to me/us on settlement-to-settlement basis. 3. The credit balance account may be adjusted against any debit in subsequent/previous settlement of any segment of any exchange. I/we also request you to consider my credit balance in my/our account as margin money. I/We further authorize you to inter transfer, adjust balance, pass journal voucher for my/our cash margin, payout of funds, my/our running ledger balance, between various segments of various exchanges in my/our various accounts held with you and vice-a-versa. I/We hereby willfully issue standing instructions for transfer of credit/debit balance from Market to Market/Premium Account to Margin Date Client Code Member : MCX/NCDEX/ICEX Settlement : Quarterly Monthly Account vice-a-versa. I/We hereby authorize you to withhold my/our fund pay-out (if any) towards margin and open interest, as and when warranted and similarly debit my/our account with you for fresh Mark to Market differences, Margin etc. on a daily basis, if required. 4. I/we authorize you to debit my/our account for all necessary charges in respect of transfer of funds and commodity from your account to meet my/our pay-in obligations or for transferring such fund and commodity into my/our bank account or demat account respectively, as per my/our speci c instruction. 5. I/we hereby agree and undertake that in case of any failure on my/our part to meet pay-in/margin or any other liability, merely on your demand, you shall have the right to realize the same from my/our credits, commodity, collaterals, balances, margin, deposits or all such other balances lying with you. 6. I/we have noted the procedure of revocation of the this authorization is by submitting a physical letter to your registered of ce or in any manner as speci ed by Exchanges/ SEBI from time to time. 7. In case I/we have an outstanding obligation on the settlement date, you may retain the requisite commodity/funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner speci ed by the exchange(s) and as per the rules, regulation and bye-laws of the exchange(s). 8. I/We con rm you that I/we will bring to your notice any dispute arising from the statements of account or settlements so made in writing within 7 working days from the date of receipt of funds/commodity or statement of account or statement related to it, as the case may be at your registered of ce. 9. Unless I/we withdraw this authorization, I/We hereby authorize you to continue to maintain my/our account for the funds on running account basis or such longer period as the governing authority may specify, from the date of this authorisation. Thanking You, Signature of the Applicant 15 *Strike off whichever is not applicable/acceptable to you. 21

22 VOLUNTARY To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Tel.: AUTHORITY TO RETAIN COMMODITY AS RUNNING ACCOUNT From : Member of : NCDEX, MCX, ICEX Date Dear Sir, Sub. : Authority to retain securities towards Margin Ref. : Client Code No. : These additional clause(s)/documentation(s) are voluntary and at the discretion of the trading member and the client. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the client. The client need not execute this document if he/she does not wish to. The client has the right to terminate the document. Any such clause introduced shall stand null and void if they dilute the responsibility of the broker or is in con ict with any of the clauses in the mandatory documents, Rules, Bye-laws, Regulations, Notices, Guidelines and Circulars issued by SEBI and the exchanges from time to time. With reference to above, I/We am/are dealing through you vide above said code on various exchanges. Due to exigency and paucity of time it will be inconvenient for me/us to follow the regular process of execution and submission of the required delivery instructions often and again within stipulated time to meet the pay-in, margin obligation etc. In view of above, I/We hereby unconditionally authorize you to hold the commodity received against my/our various payout with you, for security, margin, future pay-in etc, unless, I/We issue speci c / oral instruction for transferring the commodity into my/our demat account as recorded in the client registration form, after adjusting any dues, margin obligations etc. Further I/We hereby authorize you to deliver the commodity so held for my/our subsequent pay-in obligations. I/We further authorize you to pledge the commodity in favour of Clearing Corporation, commodity exchange(s) etc. for margin and /or pay in purposes, if so required. I/we have noted the procedure of revocation of the this authorization is by submitting a physical letter to your registered of ce or in any manner as speci ed by Exchanges/ SEBI from time to time. You are also requested to debit my/our account for all necessary charges in respect of transfer of commodity from your account to meet my/our pay-in obligations or for transferring such commodity into my/our demat account as per my/our request. I/We hereby undertake to indemnify any claims, damage or any loss arising out of this request of mine/us and accepted in good faith by your organization. Unless I/we withdraw this authorization, I/We hereby authorize you to continue to maintain my/our account for the commodity on running account basis or such longer period as the governing authority may specify, from the date of this authorisation. Thanking You, Yours Faithfully, *Strike off whichever is not applicable/acceptable to you. Signature of the Applicant 16 22

23 VOLUNTARY To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot DECLARATION BY HUF Dear Sir/Madam, I, Mr. Karta of - HUF, hereby declare that the mentioned HUF has following family members as co-parceners. Sr. No. Name of the Members Male/Female Date of Birth Relationship with Karta Male/Female Male/Female Male/Female Male/Female Male/Female Male/Female Place: Signature of the Applicant Date: 17 *Strike off whichever is not applicable/acceptable to you. (Signature of Karta with Rubber Stamp) 23

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25 VOLUNTARY To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Dear Sir/Madam, Dear Sir, DECLARATION FOR NET OPEN POSITION Client Name Client Code Date Subject : My/Our request for trading in commodity forward contracts/commodity derivatives on one or more Exchanges as your client. I/We the undersigned have taken cognizance of circulars issued by different commodity exchanges in pursuance of the directions received from SEBI from time to time regarding calculation of Net Open Positions permitted in one or more commodities and I/We hereby undertake to comply with the same. I/We hereby declare and undertake that I/We will not exceed the positions limits prescribed from time to time by different exchanges or SEBI and such positions limits will be calculated in accordance with the circulars of respective exchanges as modi ed from time to time. I/We undertake to inform you and keep you informed if I/ any of Our Partners/Directors/Karta/Trustee or any of the Partnership Firms / Companies / HUFs/Trusts in which I or any of the above such person is a Partners/Directors/Karta/Trustee takes or holds any positions in any commodity Forward Contract/ commodity derivative on different exchange through you or through any other member(s) of different exchanges to enable you to restrict our position limit as prescribed by the above referred circular of different exchange as modi ed from time to time. I/We con rm that you have agreed to enter order in commodity forward contracts/commodity derivatives for /us as your clients on different exchanges only on the basis of our above assurances and undertaking. Yours truly, For Signature of the Applicant 18 *Strike off whichever is not applicable/acceptable to you. (Sole Proprietor / Partner / Director / Karta / Trustee) 25

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27 VOLUNTARY DECLARATION FOR MOBILE NUMBER To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Dear Sir/Madam, I/We have made application with requisite documents to open trading account for execution of trades on my/our behalf as per instruction given by me/us from time to time in various segment of various exchanges like MCX/NCDEX/ICEX etc. (hereinafter called as the Exchange(s) ) as my/our broker. I/We, do hereby declare that my/our mobile number is. Further, I/we authorize that the same may be used for giving me any information/alert/sms/calls. I/we will intimate any change in the mobile number mentioned herein above through a letter in writing to you. I/We, do hereby declare and agree that: 1. the mobile phone number which belongs to me/us as provided above. 2. mobile communication shall be at the sole discretion of JVCPL. 3. despite the fact that I/we may have registered for DND (Do Not Disturb) with respective Mobile Service Provider, JVCPL is authorized to send SMS on the above mentioned mobile number and I/we con rms that JVCPL will not be held liable for sending any information on SMS and also authorizes JVCPL to submit such undertaking before the TRAI or such other regulator or service provider for allowing JVCPL to send SMS despite DND Status of the Client Mobile Number. 4. JVCPL may charge fees from time to time for providing this service. I/We further declare the above mentioned statement is true and correct. Signature of the Applicant 19 27

28 VOLUNTARY VOLUNTARY DOCUMENT To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Member : NCDEX / MCX / ICEX Ref. : My/Our dealings with your company on all exchanges and undertaking cum standing instructions and authorization. Dear Sir, 1. I/We will be required to make payment to you for bills raised by you. However, since I/we intend to have regular running account with you, I/We do not want you to make payment to me/us on settlement to settlement basis. You would however make payment due to me/us when speci cally requested by me/us. I/We also request you to consider any credit balance in my/our account as margin money. 2. You can collect mark to market, initial margin on daily basis by debiting my/our account. 3. Although you had insisted on written instruction for placement/modi cations/cancellation of orders in writing, but, due to practical dif culties and in on line trading environment where the rates uctuate within seconds, I/We request you to waive this condition and take my/our oral placement / modi cation cancellation and con rmation of orders, to get the best available market price and not to send me/us order trade con rmation/modi cation/cancellation slips generated from odin system. 4. I/We hereby agree and undertake that in case of any failure on our part to meet pay-in/margin or any other liability, merely on your demand, you shall have the right to realize the same from credits, securities, collaterals, balance, margins, deposits or all any such other balances of ours lying with you. Further I/We shall have no claim on J V Commodity Pvt. Ltd. for such adjustment carried our credits, securities etc. lying with J V Commodity Pvt. Ltd. 5. I/We hereby also undertake that : (a) I/We are doing business / dealings only for me/us and not on account of any clients. (b) I/We have not issue any further contract notes, whatsoever to anybody in relation to my/our dealings with you. (c) I/We further undertake that I/We shall not effect any third party transactions during the course of my/our dealings through you. Further undertake to indemnify you against any losses/damages suffered by you if I/We indulge in third party transactions. 6. I/We hereby authorize you to prorate my/our margins (s) deposited with you between our deals on NCDEX, MCX and ICEX according to your discretion. The marging deposited by me/us for our total business on either NCDEX or MCX or ICEX as per the deals taking place accoding to the convenience of availability, liquidity etc. I/We therefore agree to assign the total margin between MCX, NCDEX and ICEX at your sole convenience and discretion. 7. I/We have read the Risk Disclosure document appended hereto and understand the risks in trading in these derivatives and are therefore fully responsible for and aware of the dealings. 8. I/We agree to be bound by the rules, regulations, Bye-laws etc. of SEBI / NCDEX, MCX and/or ICEX and submit all our/my dealings be dealt with according to the bye-laws of SEBI/NCDEX/MCX and/or ICEX. 9. I/We shall not either acting alone or in concert with others, hold or exercise number of contracts/positions in excess of the permissible limits. In case it ever happens, I/We agree to be dealt with as per Bye-laws of SEBI/NCDEX/MCX/ICEX. 10. All monies, warehouse receipts, demat balances etc. which you may hold on my/our behalf is subject to a general lien for the discharge of our/my obligations. 11. I/We hereby undertake and con rm that I/We will not make any cash payment to the company or its representative under any circumstances and if so paid to any of the Representative/Employee/Authorise Person/Sub-broker, it shall not be the responsibility of J V Commodity Pvt. Ltd. We clearly understand that the company never accepts money in cash. 12. I/We hereby undertake and con rm that we shall deliver commodity for pay in to the Company account and it will not be delivered company's employee's/authorised Person's/Sub-broker's demat account under any circumstances. 13. I/We shall deliver commodities from my/our client IDs only. I/We shall ensure that I/We shall declare my/our all client IDs to you before making any delivery from my/our demat accounts. I/We hope you would be agreeable to the above and allo me/us to have your continued patronage. Thanking you, Yours faithfully, Signature of the Applicant *Strike off whichever is not applicable/acceptable to you

29 VOLUNTARY FATCA CRS Declaration & Supplementary KYC Information Declaration Form for Individuals Please seek appropriate advice from your tax professional on your tax residency and related FATCA & CRS guidance Demat Client ID: Trading Code: Date: Relationship with Karta First/Sole Holder Second Holder Third Holder PAN* Name Place of Birth Country of Birth Nationality Do you satisfy any of the criteria mentioned below: a. Citizen of any country other than India (including Dual/ Multiple/holding Green Card)? Yes No Yes No Yes No b. Tax Resident of any countries other than India? c. POA or mandate holder who has an address outside India Yes No Yes No Yes No Yes No Yes No Yes No If answer to the question b above is Yes, please provide the following information (mandatory); else directly go to declaration & acknowledgment. Please indicate all countries in which you are resident for tax purposes and the associated Tax Reference Numbers below: Country of Tax Residency 1# Tax Payer Ref. ID No. Identi cation Type (TIN or other, please specify) Country of Tax Residency 2# Tax Payer Ref. ID No. Identi cation Type (TIN or other, please specify) *If PAN is not available please specify Folio No(s) #to include all countries other than India where investor is Citizen/Resident/Green Card Holder/Tax Resident in those respective countries especially of USA Declaration & Acknowledgment 1. I/We herby certify that I/we have declared my/our status as per the applicable FATCA/CRS rules in India as noti ed by Government of India (GOI)/Central Board of Direct Taxes (CBDT) / Securities and Exchange Board of India (SEBI) / Reserve Bank of India (RBI). 2. I/We acknowledge and con rm that the information provided above is true and correct to the best of my/our knowledge and belief and that I/we have not withheld any material information/document, that may affect the assessment/categorization of the account as a US Reportable account/other Reportable account or otherwise. 3. In case any of the above speci ed information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/we may liable for it. 4. I/We undertake the responsibility to declare, disclose and recertify within 30 days any changes that may take place in the information provided in the account opening form, and signed by me/us as well as in the documentary evidence provided by me/us or in any certi cation becomes incorrect. 5. I/We hereby authorize you to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us to any Indian or Foreign government or statutory or judicial authorities/agencies including but not limited to the Financial Intelligence Unit India (FIU IND), the tax/ revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same. 6. I/We also agree that my/our failure to disclose any material fact known to me/us now or in future, may invalidate my/our application and SVS Commodity Brokers Pvt. Ltd. (SVSCBPL) would be within its right to put restrictions in the operations of my/our account or take appropriate action permissible under the Indian regulations for the purpose or take any other action as may deemed appropriate if the de ciency is not updated/recti ed by me/us within the stipulated period. 29

30 VOLUNTARY 7. I/We agree to furnish any particular/information that is called upon me/us by SVSSPL on account of any change to law either in INDIA or abroad in the subject matter herein. 8. In the event there is any tax demand (including interest (if any) raised due to non disclosure/inaccurate disclosure of information/document on my/our part, I/we undertake to pay the demanded forthwith and provide SVSSPL with all information/documents that may be necessary for any proceedings before GOI/RBI/SEBI/Income Tax Authorities. 9. I/We permit/authorize SVSSPL to collect, store, communicate and process information relating to my/our account with them and all transaction therein, by SVSSPL and any of its af liates wherever situated including sharing, transfer and disclosure between them and to the authorities in and/or outside India of any con dential Information for compliances with any law or regulation whether domestic or foreign. 10. I/We also understand that the account will be reported if any one of the aforesaid FATCA/CRS criteria for any of the account holders i.e. primary or joint (in case of demat account) are met. Signature of the Applicant 21 FATCA & CRS Terms & Conditions The Central Board of Direct Taxes has noti ed Rules 114F to 114H, as part of the Income- tax Rules, 1962, which Rules require Indian nancial institutions to seek additional personal, tax and bene cial owner information and certain certi cations and documentation from all our account holders. In relevant cases, information will have to be reported to tax authorities / appointed agencies. Towards compliance, we may also berequired to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding from the account or any proceeds in relation thereto. Towards compliance with tax information sharing laws, such as FATCA and CRS, we would be required to seek additional personal, tax and bene cial owner information and certain certi cations and documentation from our account holders. Such information may be sought either at the time of account opening or any time subsequently. As may be required by domestic or overseas regulators/tax authorities, we may also be constrained to withhold and pay out any sums from your account or close or suspend your account(s). Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days from the occurrence of the change in information. If you have any question about your tax residency, please contact your tax advisor. If you are a US citizen or resident or green card holder, please include United States in the foreign country information eld along with the US Tax Identi cation Number. It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such identi ers. If no TIN is yet available or has not yet been issued, please provide an explanation for the same. In case customer has the following Indicia pertaining to a foreign country and yet declares self to be non-tax resident in the respective country, customer to provide relevant Curing Documents as mentioned below: FATCA & CRS Indicia observed (ticked) U.S. Place of Birth Residence/mailing address in a country other than India 1. Self-Certi cation that the account holder is neither a citizen of United States of America nor a resident for Tax purposes; 2. Non-US passport or any non-us government issued document evidencing nationality or citizenship (refer list below) AND 3. Any one of the following documents: Certi ed Copy of Certi cate of Loss of Nationality, or Reasonable explanation of why the customer does not have such a certi cate despite renouncing citizenship; or Reason the customer did not obtain U.S. citizenship at birth 1. Self-certi cation that the account holder is neither a citizen of United States of America nor a resident of any other country other than India; and 2. Documentary evidence (refer list below) Whether no Indian telephone number is provided or provided along with a foreign country telephone number 1. Self-certi cation that the account holder is neither a citizen of United States of America nor a resident of any other country other than India; and 2. Documentary evidence (refer list below) List of acceptable documentary evidence needed to establish the residence(s) for tax purposes: 1. Certi cate of residence issued by an authorized government body* 2. Valid identi cation issued by an authorized government body* (e.g. Passport, National Identity card, etc.) *Government or agency thereof or a municipality of the country or territory in which the payee claims to be a resident. 30

31 VOLUNTARY Name of entity Type of address given at KRA Residential or Business Residential Business Registered Of ce "Address of tax residence would be taken as available in KRA database. In case of any change, please approach KRA & notify change" Customer ID / Folio Number Pan Date of incorporation D D / M M / Y Y Y Y City of incorporation Country of incorporation Entity Constitution Type Please Tick as appropriate Details of Ultimate Bene cial Owner Including Additiona FATCA & CRS Information - Non Individual a. Partnership Firm b. HUF c. Private Limited Company d. Public Limited Company e. Society f. AOP/BOI g. Trust H Liquidator h. Limited Liability Partnership i. Arti cial Juridical Person J. FII k. FI l. FBI-I m. FBI-II n. FBI-III o. Bank p. Government Body q Non-Government Organization r. Defense s. Society t. Others specify Please tick the applicable tax resident declaration - 1. Is "Entry" a tax resident of any country other than India Yes No (if yes, please provide contry/ies in which the entity is a resident for tax purpose associated Tax ID number below.) % Country Tax Identi cation Number Identi cation Type (TIN, or Other, please specify) $ *In case Tax Identi cation Number is not available, kindly provide its function equivalent. In case TIN or functional equipment is not available, please provide Company Identi cation number or Global Entity Identi cation Number or GIIN, etc. In Case the Entity's Country of Incorporation / Tax residence is U.S. but Entity is not a Speci ed U.S. Person, mention Entity's exemption code here FACA & CRS Declaration (Please consult your professional tax advisor for further guidance on FATCA & CRS classi cation) Part A (to be lled by Financial Institution or Direction or Direct Reporting NFEs) 1. We are a, GIIN 6 Financial institution or 7 Direct reporting NFE (please tick as appropriate) Note : If You do not have a GIIN but you are sponsored by another entity, please your sponsor's above and indicate your sponsor's name below Name of sponsoring entity GIIN not available (please tick applicable) Applied for if the entity is a nancial institution, not required to apply for-please specify 2 digits sub-category Not obtained - Non participating FI Part B (Please ll any one as approprite "to be lled by NFEs other than Direct Reporting NFEs" Is the Entity a publicly traded Company (that is, a company whose shares are regularly traded on an established security market) 2 Is the Entity a related entity of a publicly trade company (a company whose shares are regularly traded on an established security market) 3 Is the Entity active NFE Yes (if yes, please specify any one stock exchange on which the stock regularly traded) Name of stock exchange Yes (if yes, please specify name of the listed company and one stock exchange on which the stock is regularly traded) Name of Listed Company Nature of relation : Subsidiary of the Listed Company or Name of exchange Yes Nature of Business : (If yes, please ll UBO declaration in the next section.) Please specify the sub-categiry of Active NFE 10 Controlled by a listed Company Name of (mention coadrefer) 2c of Part D) Is the Entity a publicly traded Company (that is, a company whose shares are regularly traded on an established security market) Yes Name of Business (If yes, please ll UBO declaration in the next section.)

32 VOLUNTARY Category (Please tick applicable category): UBO Declaration Unlisted Company Partnership Firm Limited Liability Partnership Company Unincorporated association / body of individuals Public Charitable Trust Religious Trust Private Trust Others (Please Specify ) Please list below the detail of controlling person(s), con rming ALL countries to tax residency / permanent residency / citizenship and ALL tax identi cation Number for EACH controlling person(s). 5 Owner- Documented FII's should proved FFI Owner Reporting Statement Auditor's Letter with required details as mentioned in Form W8 BEN E Tax type - TIN or Other, Please specify Bene cial Interest - in percentage Type 11 Code - of Controlling person Name - Bene cial owner / Controlling person Country - Tax Residency* % Tax ID No.- Or functional for each country 1. Name Tax ID Type Address Address - Included State, Country, PIN/ZIP Code & Contact Details Address Type - Contry Type Code % Tax ID No. Address Type Residence Business ZIP State Country 2. Name Tax ID Type Address Contry Type Code % Tax ID No. Address Type Residence Business ZIP State Country 3. Name Tax ID Type Address Contry Type Code % Tax ID No. Address Type Residence Business # If passive NFE, please provide below additional details. (Please attach additional sheet if necessary) PAN / Any other Identi cation Number (PAN, Aadhar, Passport, Election ID, Govt. ID, Driving Licence NREGA job Card, Others) City of Birth - Country of Birth ZIP Occupation Type - Scervice, Business, Other Nationality Fathers Name - Mandatory if PAN not available State DOB - Date of Birth Gender - Male, Female, Other Country 1. PAN Occupation Type DOB DD/MM/YYYY City of Birth Country of Birth Nationality Father's Name Gender Male Female Others 1. PAN Occupation Type DOB DD/MM/YYYY City of Birth Country of Birth Nationality Father's Name Gender Male Female Others 1. PAN Occupation Type DOB DD/MM/YYYY City of Birth Country of Birth Nationality Father's Name # Additional details be lled by controlling person with tax residency / permanent residency / citizenship / green Card country other than India: * To include US, where controlling person is a US citizen or green card holder % in case Tax Identi cation Number is not available, kindly provide functional equivalent Refer 3(iii) of Part D Refer 3(vi) of part D Refer 3(iv) (A) of Part D FATCA - CRS Terms and Conditions The Central Board of Direct Taxes has noti ed Rules 114F to 114H, as part of the Income-tax Rules, 1962, which Rules require Indian nancial institutions such as the Bank to seek additional personal, tax and bene cial owner information and certain codi cations and documentation from all our account holders. In relevant cases, information will have to be reported to tax authorities/ appointed agencies. Towards compliance, we may also be required to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate withholding from the account or any proceeds in relation thereto. Should there be any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days. Gender Male Female Others Please note that you may receive more than one request for information if you have multiple relationships with (insert FPs name) or its group entities. Therefore, it is important that you respond to our request, even if you believe you have already supplied any previously requested information. If you have any questions about your tax residency, please contact your tax advisor. If any controlling person of the entity is a US citizen or resident or green card holder, please include United States in the foreign country information eld along with the US Tax Identi cation Number. $ It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such identi ers. If no TIN is yet available or has not yet been issued, please provide an explanation and attach this to the form. Certi cation I / We have understood the information required of this From (read along with the FATCA & CRS Instruction) and hereby con rm that the information provided by me / us on this From is true, correct, and complete. I / We also con rm that / We have read and understood the FATCA & CRS Terms and Conditions below and here by accept the same. Name Designation Signature of the Applicant 22 Date D D / M M / Y Y Y Y Place 32

33 VOLUNTARY ACKNOWLEDGMENT OF THE CLIENT FOR RECEIPT OF COPY OF KYC AND OTHER DOCUMENTS To, J V Commodity Pvt. Ltd. 201, Solitaire, Nr. Rajkot Municipal Comm. Bungalow, Ramkrishnanagar Main Road, Rajkot Dear sir, I/we have received a copy of the duly completed documents viz. Client registration form (KYC). Risk Disclosure document, Tariff sheet, Rights and obligations of Members, authorized Persons and Client, Do s and Dont s policies & Procedures for the investors and also a copy of other voluntary document executed by me. I/We have been informed that all the mandatory documents viz. Risk Disclosure document, Right & Obligations and Guidance Note (Do s and Don t) in any of the 15 vernacular languages will be made available to me/us on demand. I/We confirm that I/We have been informed that Risk Disclosure document, Rights & Obligation, Do s and Don s, Policies & Procedures and other documents are available on the member viz. www. jvgroups.com I/We confirm that I/We have been given option to receive Risk Disclosure document, Right & obligation, Do s and Dont s, Policies & Procedures document by now or as and when required by me/us. I/We confirm that, I/We have been informed that J V Commodity Pvt. Ltd. is engaged in proprietary trading i.e. trading in commodities Derivatives Market on its own account. Thanking You, Yours Faithfully, Signature of client/ Authorised Signatory (ies) Client Name : Client Code : Date : Signature of the Applicant 23 33

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36 V JGROUP J V GROUP Member of MCX - NCDEX - ICEX - NSE - SKSE J V COMMODITY PVT LTD 201, Solitaire, Nr. Rajkot Municipal Commissioner Bungalow, Ramkrishnanagar Main Road, Rajkot (Gujarat - India) Tel / , Website :