M R O F N IO T A R T IS G E R T Form No : 12C N : LIE : C

Transcription

1 CLIENT REGISTRATION FORM Form No : : : 12C

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3 INDEX Sr. No. Document Brief significance of the document MANDATORY SECTION Page No. 1. KYC (Account Opening) application form/ckyc KYC form - Document captures the basic information about the constituent and an instruction/check list and CKYC Documents Financial Status and Income Declaration Clients financial information under PMLA act, 2002 and Networth Declaration Tariff / Brokerage Sheet Document detailing the rate/ amount of brokerage and other charges levied on the Client for trading on the commodity exchanges Fatca Declaration FATCA Annexure for Individual Accounts 13 NON-MANDATORY SECTION 5. ECN Declaration Declaration for Electronic Contract Note Comtrack Account Details of the Client Comtrack Account Declaration Declarations by Client Declaration Declarations cum Undertaking Authorisation to maintain running account Authorisation by Client to Broker Declaration - NCDEX Declaration w.r.t. open position limits Declaration - MCX Declaration w.r.t. open position limits Declaration - NCDEX Declaration w.r.t. value of transactions Authorisation for sharing of data and information Authorisation by Client to Broker Authority for RTGS/NEFT Authorisation by Client to Broker 24 Note : In terms of circular of MCX : Ref No MCX/551/2006 dated December 13, 2006, NCDEX : Ref No NCDEX/COMPLIANCE-004/2006/331 dated December 8, 2006 and pursuant to the directions of the Forward Markets Commission (FMC), we hereby inform you that we do not indulge in any Portfolio Advisory Services, Portfolio Management Services and such other services either directly or indirectly. Mark for Signatures Mark for Signatures Client Signature Guardian Introducer Nominee Witness Edelweiss does not accept any fees / payments / charges in cash. Please do not make any payment in cash. V05/JULY/2017

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5 Edelweiss Comtrade Limited Exchange Registered as Registration Number and Member Code Registration date MCX Trading cum Clearing Member INZ Member Code /12/2016 NCDEX Trading cum Clearing Member INZ Member Code /07/2016 NEML Trading cum Clearing Member Member Code /06/2009 Particulars Registered Office Correspondence / Corporate Office Address Ph: Tel no Fax Website Unit No , 8th Floor, Abhishree Avenue, Nehru Nagar, Ambawadi, Ahmedabad / Edelweiss House, Off C.S.T. Road, Kalina, Mumbai Particulars Name Phone no ID Compliance Officer details Mr. Kamlesh Gujar comtrade.compliance@edelweissfin.com For any grievance/dispute please contact Edelweiss Comtrade Ltd at the above address or at comtradehelp@edelweiss.in or call on our toll free no In case not satisfied with the response, please contact the concerned exchange(s) as under : Exchange(s) MCX NCDEX NEML ID grievance@mcxindia.com askus@ncdex.com askus@ncdexspot.com Contact No V05/JULY/2017

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7 EDELWEISS COMTRADE LIMITED CENTRAL KYC REGISTRY Know Your Customer (KYC) Application Form Individual Important Instructions: A) Fields marked with '*' are mandatory fields E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end. B) Please fill the form in English and in BLOCK letters. F) List of two character ISO 3166 country codes is available at the end. C) Please fill the date in DD-MM-YVYY format. G) KYC number of applicant is mandatory for update application. D) Please read section wise detailed guidelines / instructions H) For particular section update, please tick ( ) in the box available before the at the end. section number and strike off the sections not required to be updated. For office use only (To be filled by financial institution) Application Type* New Update KYC Number (Mandatory for KYC update request) Account Type* Normal Simplified (for low risk customers) Small UCC Code allotted to the Client: 1. PERSONAL DETAILS (Please refer instruction A at the end) Name* (Same as ID proof) Prefix First Name Middle Name Last Name Maiden Name (If any*) Father / Spouse Name* Mother Name* Date of Birth* PAN No. Aadhar No. (UID) (if any) Gender* M- Male F- Female T-Transgender Marital Status* Married Unmarried Others Citizenship* Residential Status* IN-Indian Resident Individual Foreign National Others (ISO 3166 Country Code ) Non Resident Indian Person of Indian Origin Signature / Thumb Impression (1) Occupation Type* S-Service ( Private Sector Public Sector Government Sector ) Signature of Client O-Others ( B-Business Professional Self Employed Retired Housewife Students ) X- Not Categorised 2. TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end) ADDITIONAL DETAILS REQUIRED* Mandatory only if section 2 is ticked) ISO 3166 Country Code of Jurisdiction of Residence* Tax Identification Number or equivalent (if issued by jurisdiction)* Place / City of Birth* ISO 3166 Country Code of Birth* 1 V05/JULY/2017

8 3. PROOF OF IDENTITY (PoI)* (Please refer instruction C at the end) (Certified copy of any one of the following Proof of Identity[Pol] needs to be submitted) A - Passport Number B - Voter ID Card C - PAN Card D - Driving Licence E - UID (Aadhaar) F - NREGA Job Card Z - Others (any document notified by the central government) S - Simplified Measures Account - Document Type code Passport Expiry Date Driving Licence Expiry Date Identification Number Identification Number Specify proof of address submitted for Correspondence/Local address 4. PROOF OF ADDRESS (PoA)* 4.1 CURRENT I PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end) (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted) Address Type* Proof of Address* Address Line 1* Line 2 Line 3 Residential / Business Passport Residential Driving Licence Simplified Measures Account - Document Type code Business UID (Aadhaar) Registered Office Voter Identity Card Others City / Town / Village* Unspecified NREGA Job Card District* Pin / Post Code* State / U.T. Code* ISO 3166 Country Code* Specify proof of address submitted for Permanent/Overseas address 5. CORRESPONDENCE / LOCAL ADDRESS DETAILS* (Please see instruction E at the end) Same as Current / Permanent / Overseas Address details Line 1* Line 2 Line 3 City / Town / Village* District* Pin / Post Code* State / U.T. Code* ISO 3166 Country Code* Specify proof of address submitted for Correspondence/Local address 6. *ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES (Applicable if section 2 is ticked) Line 1* Same as Current / Permanent / Overseas Address details Same as Correspondence I Local Address details Line 2 Line 3 City / Town / Village* State ZIP / Post Code* ISO 3166 Country Code* 2 V05/JULY/2017

9 Tel. (Off ) FAX 7. CONTACT DETAILS (All communications will be sent on provided Mobile no. / ( Id) (Please refer instruction F at the end) I S D S T D I S D S T D Tel. (Res.) Mobile I S D S T D I S D S T D ID 8. DETAILS OF RELATED PERSON (In case of additional related persons, please fill 'Annexure B1') (please refer instruction G at the end) Addition of Related Person Deletion of Related Person KYC Number of Related Person (if available*) Related Person Type* Guardian of Minor Assignee Authorized Representative Prefix First Name Middle Name Last Name (If KYC number and name are provided, below details of section 6 are optional) Tel. (Off) PROOF OF IDENTITY [Pol] OF RELATED PERSON* (Please see instruction (H) at the end) A - Passport Number B - Voter ID Card C - PAN Card D - Driving Licence E - UID (Aadhaar) F - NREGA Job Card Z - Others (any document notified by the central government) S - Simplified Measures Account - Document Type code Passport Expiry Date Driving Licence Expiry Date Identification Number Identification Number 9. REMARKS (if any) 10. APPLICANT DECLARATION I hereby declare that the details fumished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. I hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number / address. Date : Place : (2) Signature of Client / Thumb Impression of Applicant 3 V05/JULY/2017

10 11. ATTESTATION / FOR OFFICE USE ONLY Originals verified and Self attested /certified Document copies received Details KYC Verification& Documents verified with Original carried out by Client Interviewed By In person Verification done by Name of the Employee Employee Code Designation of the Employee Date Signature 12. INSTITUTION DETAILS Name Code [Institution Stamp] X AS Signature of Authorised Signatory 4 V05/JULY/2017

11 PART-II OTHER DETAILS Gross Annual Income Details (please specify): Income Range PA : INR < 1 Lacs 1-5 Lacs 5-25 Lacs Lacs 50 Lacs to 1 Crore 1-5 Crore Above 5 Crore Net-worth as on date : D D M M Y Y Y Y ( ) (Net worth should not be older than 1 year) Education Qualification : Under Graduate Graduate Post Graduate Professional Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Professional Farmer Others (Specify) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) None Not Politically Exposed Person (PEP) Not Related to a Politically Exposed Person (PEP) Any other information: BANK ACCOUNT(S) DETAILS 1. BANK NAME ACCOUNT NO. BRANCH ADDRESS PIN CITY MICR CODE STATE NEFT / IFSC CODE COUNTRY ACCOUNT TYPE: SAVINGS CURRENT OTHERS 2. BANK NAME ACCOUNT NO. BRANCH ADDRESS PIN CITY STATE COUNTRY MICR CODE NEFT / IFSC CODE ACCOUNT TYPE: SAVINGS CURRENT OTHERS NOTE :- Provide a copy of cancelled cheque leaf/ Pass book/ Bank statement specifying name of the client, MICR code and or IFSC code of the Bank 5 V05/JULY/2017

12 TRADING PREFERENCES *Please sign in the relevant boxes with which exchange you wish to trade. The exchange not chosen should be struck off by the client. Sr. No. Name of National Commodity Exchange Date of consent for trading on concerned exchange Client Signature 1 Multi Commodity Exchange of India Ltd., (MCX) (3) 2 National Commodity & Derivatives Exchange Ltd., (NCDEX) (4) 3 NCDEX e Markets Limited (NEML) (5) # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/ letter should be taken from the client by the commoditybroker. PURPOSE OF TRADING: Hedging Investment Others (Specify) INVESTMENT/TRADING EXPERIENCE No Prior Experience Years in Commodities Years in other investment related fields GST DETAILS GST Registration No. : PAST REGULATORY ACTIONS Details of any action / proceedings initiated / pending / taken by FMC / SEBI / Stock exchange / Commodity exchange / any other authority against the client dealing in commodities during the last 3 years: YES NO, If Yes, provide details DEALINGS THROUGH AUTHORIZED PERSONS AND OTHER MEMBERS If the client is dealing through any other Member / Authorized Person (AP), provide the following details (incase dealing with multiple Members/APs, provide details of all in a separate sheet containing all the information as mentioned below) : Member s / AP s Name: Exchange: Exchange s Registration number: Concerned Member s Name with whom the AP is registered: Registered office address: Pin Code: Phone : Fax : ID: Website: Client Code : Details of disputes/dues pending from/to such Member/AP: 6 V05/JULY/2017

13 ADDITIONAL DETAILS Whether you wish to receive communication from member in electronic form on your id {Yes / No} - (If yes then please fill in Appendix A} Physical Contract Note Electronic Contract Note INITIAL CHEQUE DETAILS CHEQUE FOR : ACCOUNT OPENING FEES MARGIN ACCOUNT OPENING FEES `.: BANK : CHEQUE NO. MARGIN AMOUNT `.: BANK : CHEQUE NO. With a view to understand the extent of involvement of the physical market participants and to identify the nature of participants in the Commodities Derivative Market, Members of the Exchange are required to Categorize the identified Clients under one of the following category: 1. COM: Commercial Client includes Value Chain/ Physical market participant/ exporter/ importer/ having direct/ indirect Exposure to the underlying Commodity 2. NON-COM: Non Commercial Client includes Trader/ Arbitrageur 3. N.A.: Not Applicable (Client not dealing in the product) BULLION BASE METALS ENERGY AGRI INTRODUCER DETAILS Name of the Introducer : (Surname) (Name) (Middle Name) Status of the Introducer: Authorized Person Existing Client Others, please specify : Address of the Introducer : PAN No. Signature of the Introducer : Client Code Tel. No. This space i s intentionally kept blank 7 V05/JULY/2017

14 NOMINATION DETAILS (for Individual only) I wish to nominate I do not wish to nominate Mr. Ms. GENDER MALE FEMALE NAME OF THE NOMINEE RELATIONSHIP WITH THE NOMINEE ADDRESS OF NOMINEE DATE OF BIRTH CITY STATE PIN COUNTRY ID PAN OF NOMINEE IF NOMINEE IS MINOR, DETAILS OF GUARDIAN : NAME OF GUARDIAN RELATIONSHIP OF GUARDIAN WITH NOMINEE ADDRESS OF GUARDIAN PHONE NO FAX NO GENDER MALE FEMALE CITY STATE PIN CITY COUNTRY ID PHONE NO FAX NO PAN NO. SIGNATURE OF NOMINEE (1) SIGNATURE OF GUARDIAN (1) NAME, ADDRESS AND SIGNATURE OF WITNESS (Only applicable in case the account holder has made nomination - Two witness mandatory) 1) SIGNATURE WITH DATE 2) (1) SIGNATURE WITH DATE (2) 8 V05/JULY/2017

15 DECLARATION 1. I hereby declare that the details furnished above are true and correct to the best of my 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 are aware that I/we may be held liable for it. 2. I confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non mandatory documents. 3. I further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document and Do s and Dont s. I do hereby agree to be bound by such provisions as outlined in these documents. I have also been informed that the standard set of documents has been displayed for Information on Member s designated website, if any. Place: Date: (6) Client Signature FOR OFFICE USE ONLY UCC Code allotted to the Client: Documents verified with Originals Name of the Employee Employee Code Designation of the Employee Branch Name 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 Don ts 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 Edelweiss Comtrade Limited X AS Authorised Signatory (Seal/Stamp of the Member) Date : 9 V05/JULY/2017

16 FINANCIAL STATUS AND OTHER DETAILS a. Annual Income (Last 3 years from the date of the opening of this account) st 1 Year : nd 2 Year : nd 3 Year : b. Networth Details (as on the date of account opening) upto `. 1 lac `. 10 lacs to `. 25 lacs `. 25 lacs to `. 50 lacs `. 50 lacs to `. 1 crore c. Please tick mark the additional applicable category to you Non resident client High net-worth client (having annual income + networth of more than `. 1 crore) Trust,Charities, NGOs and organizations receiving donations, Company having close family shareholdings or beneficial ownership Civil Servant or family member or close relative of civil servant Bureaucrat or family member or close relative of bureaucrat Current or Former MP or MLA or MLC or their family member or close relative Politician or their family member or close relative Current or Former Head of State or of Governments or their family member or close relative Senior government/judicial/ military officers or their family member or close relative Senior executives of state-owned corporations or their family member or close relative Companies offering foreign exchange offerings None of the above The information is sought under the Prevention of Money Laundering Act, 2002, the rules notified there under and SEBI/FMC and Exchange Guidelines issued on Anti Money Laundering < 1 Lacs 1-5 Lacs 5-25 Lacs Lacs 50 Lacs to 1 Crore 1-5 Crore Above 5 Crore < 1 Lacs 1-5 Lacs 5-25 Lacs Lacs 50 Lacs to 1 Crore 1-5 Crore Above 5 Crore < 1 Lacs 1-5 Lacs 5-25 Lacs Lacs 50 Lacs to 1 Crore 1-5 Crore Above 5 Crore `. 5 crore and above `. 1 lac to `. 2 lacs `. 2 lacs to `. 5 lacs `. 5 lacs to `.10 lacs `. 5 crore to `. 25 crore Above `. 25 crore `. 1 crore to 5 crore I hereby further confirm/undertake that the investments/trading done in commodities market are from my own/borrowed sources of funds and I confirm that the funds utilized for trading activity by me is in compliance with the rules, regulations and guidelines stipulated under PMLA Client Name : (7) (Client Signature) 10 V05/JULY/2017

17 Self Declaration of Income and Net Worth I, having PAN no. Resident of (full address) solemnly affirm and declare as under :- do hereby a) My annual income is Rs. (Source of Income ) b) My DP holding as on date is attached herewith. The total valuation as on is Rs. c) My Net Worth as on is Rs. We hereby further confirm/undertake that the investments/trading done in securities market are from our own/borrowed sources of funds and we confirm that the funds utilized for trading activity by us is in compliance with the rules, regulations and guidelines stipulated under PMLA. I certify that the above information given by me is true. Signature of Client: (8) Name of Customer: Date: D D M M Y Y Y Y Note :- Applicable for High Networth Individuals with Income above 5 Cr and /or Networth above 25 Crore. 11 V05/JULY/2017

18 TRADING EDELWEISS COMTRADE LIMITED Tariff / Brokerage Sheet 1ST LEG 2ND LEG TYPE PERCENTAGE MINIMUM PERCENTAGE MINIMUM INTRADAY % (Ps.) % (Ps.) SETTLEMENT % (Ps.) DELIVERY % (Ps.) Terms & Conditions: a) In addition to the above mentioned brokerage all statutory/regulatory levies and other charges including but not limited to Exchange Transaction charges, Commodity Transaction Tax, Warehouse charges, VAT, Stamp Duty (as applicable state wise), Service Tax, GST and any other charges which may be levied by Exchange or any regulatory/ government authorities shall be charged/recovered from you separately over and above the brokerage rate as per current applicable rate and if there is any revision in the rates, the same will be applicable. Any change in the statutory levies, if any, shall be reflected in the respective contract note. b) Delayed payment charges not exceeding 2% p.m. on the debit balances if any, in client s ledger account and not settled by the client within the stipulated time frame. c) Auction charges, penalties, fines levied by Exchange/s or any other regulatory authority for client limit violation/ short margin/client code modification/delivery default or for any other violation/default as the case may be, will be charged on actual basis. d) In the event of cheque bounce Rs 250/- per instance, will be debited. I/We have understood and agreed the above terms & conditions related to the charges listed above being charged to me/us, as applicable and agree to abide by the same. Client Signature Client Name Place Date : : (9) : : (The authorization shall be signed by the client only and not by any person authorized on his behalf) Edelweiss does not accept any fees / payments / charges in cash. Please do not make any payment in cash Edelweiss Comtrade Limited - Edelweiss House, Off C.S.T Road, Kalina, Mumbai V05/JULY/2017

19 FATCA-CRS Annexure for Individual Accounts (including Sole Proprietor) Details under FATCA and CRS (Please refer to instructions in small Booklet) (Please consult your professional tax advisor for further guidance on your tax residency, if required) Name of the accountholder: Fathers Name: Aadhaar number (Optional) PAN No: Spouse s name Nationality City of birth Country of birth Residence address for tax purposes (include City, State, Country & Pin code) Address Type: (a) Residential or Business (b) Residential (c) Business (d) Registered Office ( Note : Permissible documents are: Passport,Election ID Card, PAN Card, ID Card, Driving License, UIDAI Card, NREGA Job Card and Others) 1. Tax residence declaration tick any one, as applicable to you: I am a tax resident of India and not resident of any other country Or I am a tax resident of the country/ies mentioned in the table below Please indicate ALL the countries in which you are a resident for tax purposes and the associated Tax ID Number below: # % Country Tax Identification Number Identification Type (TIN or Other%, please specify) # To also include USA, where the individual is a citizen/ green card holder of USA % $ In case Tax Identification Number is not available, kindly provide functional equivalent Certification I/We have understood the information requirements of this Form (read along with the FATCA/CRS Instructions) and hereby confirm that the information provided by me/us on this Form is true, correct, and complete. I/We also confirm that I/We have read and understood the FATCA CRS Terms and Conditions below and hereby accept the same. Name: Signature of Client (10) Date: / / Place: 13 V05/JULY/2017

20 Appendix A (VOLUNTARY) Electronic Contract Note [ECN] DECLARATION To, Edelweiss Comtrade Ltd Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sir, I/We, a client with Member Edelweiss Comrade Limited of MCX, NCDEX, NEML Exchange undertake as follows: I/We am 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 aware that the Member has to provide electronic contract note for my/our convenience on my/our request only. Though the Member is required to deliver physical contract note, I/we find that it is inconvenient for me/us to receive physical contract notes. Therefore, I/We am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me/us. I/We have access to a computer and am/are a regular internet user, having sufficient knowledge of handling the operations. My/Our 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. I/We am/are aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above ID. [The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me/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] Client Name : Unique Client Code : (The ID must be written in own handwriting of the client) PAN : Address : (11) Signature of the client : Date : Place : Verification of the client signature done by, For Edelweiss Comtrade Limited (Name of the designated officer of the Member) Signature : (Signature of Designated Officer) 14 V05/JULY/2017

21 To be filled and submitted by clients holding COMTRACK account to the Member by clients. 1. Name of Client : 2. Client Address : ANNEXURE 6 COMTRACK ACCOUNT DETAILS OF THE CLIENT 3. PAN No.: 4. Bank Details(other than as mentioned in Annexure 1 Part II): Bank Name Branch Address Bank Account No. Account Type: Saving/Current/Others MICR Number IFSC code 5. Name of Trading Member : EDELWEISS COMTRADE LTD. 6. Trading Member ID : MCX and NCDEX COMTRACK Details of client : Sr. No. COMTRACK Participant Name COMTRACK Participant ID COMTRACK Account No. of Beneficiary DECLARATION I/We hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I/We undertake to inform you of any change therein, immediately. In case any of the above information isfound to be false or untrue or misleading or misrepresenting. I am/we are aware that I/We may be held liable for it. (12) Signature of Client : Place : Date : Note: 1. Please provide a certified copy of COMTRACK master or a recent COMTRACK holding statement issued by a COMTRACK Participant bearing name of Client. 2. In case the client has multiple COMTRACK account, Please provide proof and details of the same. 3. In case of PAN provide certified copy of PAN. 4. In case of Bank account provide copy of cancelled cheque as proof for all the bank account details provided. 15 V05/JULY/2017

22 Declaration for Opening Commodity account Along with Acceptance of KYC Document Booklet. By signing this document you confirm that you have read and understood the T&C, Rights and Obligations, Risk Disclosure, Policy and General Information mentioned in the additional booklet. You also confirm that all information furnished by you in this form is true. 1. I am desirous of opening the Commodity account with Edelweiss Comtrade Limited and I am in the process of executing client registration documents relating to the trading in commodity derivatives. 2. I have furnished all the details required in the KYC form as per SEBI and Commodity Exchanges confirm having read/been explained and understood the contents of the KYC documents which are provided to me in separate booklet. The KYC document booklet includes the following :- a) Instructions and Checklist for filling the KYC form Page No. 1 to5 b) Instructions for filling CKYC form Page No. 6 to 12 c) Instructions for filling FATCA form d) Information on Anti money Laundering e) Rights and Obligations f) Risk Disclosure Documents g) Guidance Note h) Policies and Procedures i) Terms and Conditions Page No. 13 to 14 Page No. 15 to 16 Page No. 17 to 33 Page No. 34 to 39 Page No. 40 to 41 Page No. 42 to 48 Page No. 49 to I understand and agree that any amendment/modifications as required by the exchanges and/or regulators will be applicable to me at all point of time and I understand that these changes will be intimated to me. 4. I understand that the KYC document booklet is in accordance of the exchanges and/or SEBI requirements applicable for opening trading account. 5. The KYC documents cover the additional terms and conditions mentioned at point no. 2 mentioned above and I hereby givemy consent for additional terms and conditions. 6. I understand that as additional control Edelweiss Comtrade Limited have registered the KYC documents related to opening of Commodity trading account and registered by Edelweiss Comtrade Limited with the Sub-Registrar of Assurances, Mumbai and same is available with the registrar for records and reference purpose. This is not mandated by SEBI. 7. I confirm having read/been explained and understood the contents of the documents on policy and procedures of the Commodity broker and the tariff sheet and their Terms & Conditions in the booklet. 8. I have received the booklet with above mentioned contents. 9. I have received and read the Rights and Obligations document and Terms and conditions and agree to abide by and be bound by the same and by the Bye laws as are in force from time to time. I declare that the particulars given by me above are true and to the best of my knowledge as on the date of making this application. I agree and undertake to intimate any change(s) in the details / particulars mentioned by me in this form. I further agree that any false / misleading information given by me or suppression of any material information will render my account liable for termination. Client Name : Date : (13) Signature of Client 16 V05/JULY/2017

23 Voluntary Document To, Edelweiss Comtrade Limited Edelweiss House, Opp. CST Road, Kalina, Mumbai I / We represent, declare and undertake as under: Subject: Further Representations and Declarations cum Undertaking I. I / We maintain a trading account with Edelweiss Comtrade Limited (Comtrade) and also maintain Comtrack account with Edelweiss Broking Limited (Comtrack Participant) collectively herein referred to as Edelweiss. II. III. IV. I/ We intend to execute delivery based buy and/or sell transactions in such of the commodities allowed by MCX/NCDEX/other Commodity Exchanges and/or by Edelweiss through my/our trading and/or comtrack account maintained with Edelweiss and for the purpose have read and understood the Rules / Regulations / Terms and Conditions for delivery based trading stipulated by concerned Regulating Authority and/or Authorities and / or Edelweiss and declare and undertake to always comply / abide such rules/regulations/terms and conditions as may be applicable from time to time; I/ We hereby declare that, I/we would undertake such delivery based commodity trading only upon knowing full consequences in respect of the losses which may arise on any count including but not limited to the Fire, Flood, Earthquake, Burglary, and Spontaneous Combustion of Agro Goods kept in the Commodity Exchange/s accredited or non-accredited warehouses in physical/electronic Form, liquidation of such commodity trades on expiry dates or otherwise; I/ We also undertake to bear all the losses arising on account of the seizure which may arise due to the stock holding limits which may be imposed by the different states from time to time under the Essential Commodities Act,1955 and/or any other applicable regulations; V. I/ We also undertake to accept the perils attached with Local Sales Tax Laws, and under applicable rules/laws including but not limited to the Agricultural Produce Marketing Committee (APMC) or any other statutory body s rules and the amendments thereto which may have the effect to change the entire value of the underlying commodities traded and/or held by me/us, at relevant times; VI. With regard to Voluntary document tilted Terms and Conditions executed and submitted by me/us with Edelweiss for the purpose of opening trading account and/or comtrack account with Comtrade and/or Edelweiss herein referred to and more particularly clauses relating to Trade obligations and Conditions of the use of the services referred to therein, I/We herein further declare, undertake and irrevocably authorize Comtrade and/or Edelweiss that:- A. In case there were to be any default committed by me/us towards margin and/or other payments during the course of trading and more particularly commitment or continuation of any default by me/us on the Expiry date (Date) or the Final Expiry Date(FED) (Date) or under any other situation warranting such liquidation (Date) in respect of the commodity traded by me/us where such Date may be stipulated by the concerned Regulator/Commodity Exchange or Edelweiss or accredited or non-accredited warehouse of the Exchange or its assayer where the commodity is kept by me/us, then in such a situation, I/we hereby specifically and severally authorize Comtrade and Edelweiss to liquidate such commodity either in part or in full for and on my/our behalf and upon my/our cost upon such terms and conditions and in such manner as Comtrade and Edelweiss may deem it fit and proper; B. For the purpose of enabling Comtrade and/or Edelweiss initiating actions contained herein above at clause (A), I/We hereby further severally authorize Comtrade and/or Edelweiss from time to time to take all requisite actions as may be deemed fit and proper including but not limited to appoint/engage C&F Agents and/or third parties for my/our behalf and at my/our cost, provide requisite instructions/writings to C&F Agents and/or third parties for and on my/our behalf for such liquidation trades/transactions, not allowing any further trade until settlement of dues is completed for such trades/transactions by me/us and to transfer such commodity to its pool account for and on my/our behalf for liquidation purposes so as to effectively carry out my/our instructions/authorizations herein contained and herein provided in favour of Comtrade and/or Edelweiss ; 17 V05/JULY/2017

24 C. I/We hereby further agree undertake and indemnify to fully reimburse and pay to Comtrade and /or Edelweiss against all costs, charges, fees and/or expenses which Comtrade and/or Edelweiss may have to incur while carrying-out the actions referred to herein this; D. I/We hereby further declare and agree that this declaration cum undertaking forms part and parcel of KYC documents submitted by me/us to Comtrade and/or Edelweiss and be always read and interpreted in conjunction therewith. Further, I/We hereby agree that in pursuance of this declaration cum undertaking, I/We hereby ratify all actions which may have been initiated by Comtrade and/or Edelweiss relating to any of my /our trades and transactions; and VII. I / We also further declare and undertake that I/We shall always indemnify and/or keep Edelweiss Comtrade Limited and Comtrack Participant (Edelweiss Broking Limited) and / or to any of the associate / group companies of Edelweiss with which I/We shall have dealings of whatever nature and any/all of its/their respective Directors/officials/employees and each of them always indemnified against all costs/charges and/or losses as may arise on account of each of them severally acting in pursuance of this declaration-cum-undertaking-cum-authorization and indemnification and further declare and undertake that under no circumstances it/they shall be severally held liable and/ or responsible for any cost/charges/loss incurred by me/us on account on any trades/transactions for any of the above mentioned events herein contained. Name Trading Code: Comtrack Account ID: Witness: Name: Address: Signature (3) Place: Date: 18 V05/JULY/2017

25 VOLUNTARY (The Client may, if he deems fit, execute this authorization) To, Edelweiss Comtrade Ltd Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Sub : Authorization for Running Account Maintenance of my/our trading account. I/We having read the Risk Disclosure Document and the Rights and Obligations of Clients governing our relationship, I/We hereby declare and authorize you as under: 1. You can maintain my/our trading account on a running account basis and adjust any commodities/ securities and/or amounts receivable from me/us against any credits standing into my/our account or from my/our forthcoming payouts payable by me/us to Edelweiss Comtrade Ltd. 2. I/We request you to keep my/our commodities/securities, margins and/or funds with you to meet my/our pay in obligations in the succeeding settlements in the commodity segments. 3. It is observed that many times the date on which payment is due to me/us from you and the date on which I/We are required to make payment to you are very close and therefore exchange of cheques become unnecessary paper work. I/We therefore request you not to issue cheques/make payments settlement wise unless specifically advised by me/us. I/We agree that you shall not be required to pay any interest/charges/cost in respect of funds or commodities/securities so held by you on a running account basis. 4. I/We hereby give my/our consent to you to maintain my/our account on a Running Account basis instead of on a settlement-to-settlement basis. The commodities/securities lying with you should be considered as margin deposits from me/us. 5. I/We authorize Edelweiss Comtrade Ltd that as per the Exchange / FMC requirements, they could settle accounts of clients every quarter subject to the conditions laid down by FMC/Exchanges form time to time. 6. I/We declare that this authorisation is revocable at my/our options at any time and I/We shall arrange to give prior notice of such revocation in writing to Edelweiss Comtrade Ltd duly signed by me/us. Provided, however, that the revocation shall not so operate as to preclude or deny execution of transactions as are required for the purpose of fulfilling all obligations (towards settlement, delivery, margin or otherwise), arising out of transactions executed for and on behalf of me/us on the commodity exchanges prior to the time of receipt of such revocation by you. 7. I/We agree that in case, I/we desire to take any pay outs from my/our trading account, I/We will intimate about the same and accordingly Edelweiss Comtrade Ltd shall upon due scrutiny of my/our account and upon adherence to its policy/procedure, shall release eligible amount to me/us. 8. I/We agree that this authorisation shall have an equal binding effect to the successors, executors and assigns of Edelweiss Comtrade Limited. 9. I/We hereby authorize you to transfer/adjust all the additional funds/securities lying in my/our ledger account after meeting my obligations/dues, to the collateral account to avail exposure or keep all funds/securities in your margin account with you to meet my margin obligations or keep the same with any exchange and/or with clearing member in the form of fixed deposit or any other form to avail exposure/meet margin requirements. I/We understand that there would not be any interest/ commission payable to me/us in the event of above arrangement. This arrangement would be without any consideration or the fund/securities so moved will not bear any interest/fees/ charges. Yours faithfully, : Signature (14) Client's Name : Place : Date : (The authorization shall be signed by the client only and not by any person authorized on his behalf) 19 V05/JULY/2017

26 Date : To, Edelweiss Comtrade Ltd. (Edelweiss) Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Ref. : Client Code : Sub: My/Our request for trading in commodity forward contracts/commodity derivatives on NCDEX as your client I/We, the undersigned, have taken cognizance of circular no. NCDEX/TRADING-114/2006/247 date September 28, 2006, NCDEX/TRADING-070/2007/188 dated August 01, 2007 and NCDEX/TRADING-003/2012/010 dated January 10, 2012 issued by National Commodity & Derivatives Exchange Limited (NCDEX) on the guidelines for calculation of net open positions permitted in any commodity and I/We hereby undertake to comply with the same. I/We hereby declare and undertake that we will not exceed the position limits prescribed form time to time by NCDEX or Forward Markets Commission and such position limits will be calculated in accordance with the contents of above stated circular of NCDEX as notified from time to time. I/We undertake to inform you and keep you informed if I/any of our Partners/directors/karta/trustee or any of the partnership firms/companies/hufs/trusts in which I or any of above such person is a partner/director/karta/trustee, takes or holds any position in any commodity forward contract/ commodity derivative on NCDEX through you or through any other member of NCDEX, to enable you to restrict our position limit as prescribed by the above referred circular of NCDEX as modified from time to time. I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/us as your clients on NCDEX only on the basis of our above assurances and undertaking. Client Signature : (15) Client Name Address : : : Place Date : : (In case of Corporate, please affix company seal) (In case of Non-Individual, Authority letter should be obtained on preprinted letterhead of the Company). 20 V05/JULY/2017

27 Date : To, Edelweiss Comtrade Ltd. (Edelweiss) Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Ref. : Client Code : Sub: My/Our request for trading in commodity forward contracts/commodity derivatives on MCX as your client I/We, the undersigned, have taken cognizance of circular no. MCX/338/2006 date August 21, 2006, MCX/541/2006 dated December 7, 2006 and MCX/T&S/014/2012 dated January 12, 2012 issued by Multi Commodity Exchange of India Ltd (MCX) on the guidelines for calculation of net open positions permitted in any commodity and I/We hereby undertake to comply with the same. I/We hereby declare and undertake that we will not exceed the position limits prescribed form time to time by NCDEX or Forward Markets Commission and such position limits will be calculated in accordance with the contents of above stated circular of NCDEX as notified from time to time. I/We undertake to inform you and keep you informed if I/any of our Partners/directors/karta/trustee or any of the partnership firms/companies/hufs/trusts in which I or any of above such person is a partner/director/karta/trustee, takes or holds any position in any commodity forward contract/ commodity derivative on NCDEX through you or through any other member of MCX, to enable you to restrict our position limit as prescribed by the above referred circular of MCX as modified from time to time. I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/us as your clients on MCX only on the basis of our above assurances and undertaking. Client Signature : (16) Client Name Address : : : Place Date : : (In case of Corporate, please affix company seal) (In case of Non-Individual, Authority letter should be obtained on preprinted letterhead of the Company). 21 V05/JULY/2017

28 Date : To, Edelweiss Comtrade Ltd. (Edelweiss) Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Client Code : I/We may undertake high value transaction of Rs.5 lakhs or more in a day depending on market volatility in any of the Exchange/s, where I/We am/are registered as client with Edelweiss. Purposes of doing transaction are: (Please tick the option whichever is applicable.) Trading / Speculation Arbitrage Hedging All of above (17) Client Signature : Client Name Place Date : : : 22 V05/JULY/2017

29 Date : To, Edelweiss Comtrade Ltd. (Edelweiss) Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Sub: Sharing of Data and Information I/We am/are holding a Trading a/c. no. with Edelweiss Comtrade Ltd. and / or Comtrack / Demat A/c. No. for commodity and/or Demat A/c. no. for Equity with Edelweiss Group. I/We am/are also availing the various financial products/facilities offered by your associates / group companies. I/We am/are aware that while availing such products/facilities, these associates / group companies may feel a need to obtained information regarding my/our account with you to facilitate their day to day operational needs to provide me hassle free services. In view of the above, I/We hereby authorized you to share the following information / document / data, pertaining to my/our aforesaid account with you, which interalia includes details above me/us and/or my/our transactions, with your associates/group companies which is offering the products / facilities availed by me/us. 1. Information provided by me / us in the Trading and Comtrack / Demat Account Opening Kit. 2. My/Our holdings in commodities / securities. 3. Ledger balances in my/our Trading Accounts for all segments of your company and/or group company. 4. Transaction cum holding statement of my DP account with your group companies. To the extent appropriate for our relationship with you, personal information may be shared for the following purposes : - a. to comply with applicable laws, rules and regulations, including anti-terrorism, KYC, anti-money laundering and tax reporting rules and regulations. b. to comply with legal process, to respond to requests from public, regulatory or government authorities (including authorities outside your country of residency), and to allow us to pursue remedies and limit damage. c. to any of our associate / affiliate / group entities including our service providers performing delegated outsourced function to enable them to perform internal business processes (which facilitate transactions) such as risk management purposes, data analysis, audits, developing and improving new products and services, etc d. to any of our associate / affiliate / group entities to enable them to provide you with appropriate products and services. I/We would have no objection to Edelweiss Sharing the above information, about my / our Trading and / or Comtrack / Demat Account, with its group/associate companies or affiliates. Your Faithfully, Client Signature : (18) Client Name Address : : : (In case of Corporate, please affix company seal) 23 V05/JULY/2017

30 Date : To, Edelweiss Comtrade Ltd. (Edelweiss) Edelweiss House, Off CST Road, Kalina, Mumbai Dear Sirs, Ref : Client Code Sub : Authority to remit Funds Pay Out electronically into my bank account This has reference to my trading account number with you. I/We hereby, irrevocably, authorise Edelweiss Comtrade Ltd. to credit my account Number with Bank, Branch electronically i. e. through Net Banking, RTGS, NEFT etc. for all the funds pay out due to me. I/We confirm that I/We am/are the first holder and bonafide owner of the above mentioned bank account. I/We am/are enclosing documentary proof in this regard for your reference and record. Bank Name Bank Account Number (All digits) : : Account Type Branch Address : : : IFSC Code (11 Digits-for RTGS to be obtained from the bank) : IFSC Code 11 Digit-for NEFT to be obtained from the bank) : I/We am/are aware and understand the risks associated with electronically transfer of funds and hereby indemnify Edelweiss from all liabilities losses resulting either from delay in crediting of pay out amount and / or non execution of such electronic pay out instruction. Thanking you, Yours faithfully, Signature Mobile Number id: : (19) : : We confirm the Bank details and account holder signature mentioned above Signature and Seal of Bank Authority (Compulsory) 24 V05/JULY/2017

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