List of Documents Attached for A/c Opening 1 Set (NRI) Single / Joint Applicant

Transcription

1 List of Documents Attached for A/c Opening 1 Set (NRI) Single / Joint Applicant S.No Documents AP W1 IPVA APN N W2 Total 1 PMS Agreement along with POA* in favour of DHFL Pramerica Asset Managers Pvt. Ltd. (Ensure the date of PMS Application is the date of IPV) 2 Letter Confirming Name of the Client in case of difference in Proof of Identity & Address (Separate Confirmation for each applicant) Letter confirming understanding of Risk Profiling Letter confirming Registration of POA to Bank & Demat A/c of the Client NRI Declaration HDFC Bank Ltd - Bank A/c Opening Form (PIS & NON PIS) Based on Client Choice of NRI Bank A/c, Portfolio Investment Scheme (PIS) Application Form for:- A.) NRE A/c NRE PIS application form along with Annexure I and RPI B.) NRO A/c NRO PIS application form along with Annexure II & III and NRI Application. 7A If Client has no existing PIS Permission, then only the above documents are required B If Client has existing PIS Permission, then a) If PIS Permission is from HDFC Bank, then client to provide the following documents. I. Certified copy of the valid Approval (Existing PIS Permission copy) II. Extension of PIS Permission (Signed by Client) (format provided) b) If PIS Permission is from any Bank other than HDFC Bank, then client to provide the following documents I. Certified copy of the valid Approval (Existing PIS Permission copy) II. NOC from existing Bank (Signed by Client s Bank) (format provided) III. Certificate from existing bankers confirming the details of his current Demat holdings (confirming date and cost of acquisition) which were purchased through the NRE / NRO

2 account with Existing Bank. 8 Nomination form NA1(PIS & NON PIS) Annexure 1 Address of Joint Applicants HDFC Bank Ltd Demat A/c Opening Form KYC Form for Demat A/c (HDFC Format) (Separate Confirmation for each applicant) FEMA Declaration Trading Account (First Applicant name Only) application form and supporting documents. (To be Signed by First Applicant Only) Annexure 2&3 Client Acknowledgement NRI Declaration Trading A/c Trading A/c Tariff FATCA Confirmation For NRI Clients from US**, please provide either Form W-8 Form W Total Signatures Full Signature of Client APN - Full Signature Across Photo Nominee AP - Full Signature Across Photo - Client N - Nominee Signature W1 - Witness One W2 - Witness Two IPVA - IPV Agent of HDFC Bank

3 Important Note:- * Refer S. No. 1 - Power of Attorney (POA) of NRI Client, i.e. from the client to PAMPL to be notarised at the NRI Client s Local Location (Pg 21 to 23). ** The investment is not an offer for sale, or a solicitation of an offer to buy, in the United States or to any US Person of any Units of the Scheme. "US Person" includes a natural person, residing in the United States or any entity organized or incorporated under the laws of the United States. US Citizens living abroad may also be deemed "US Persons" under certain rules. The Scheme offered hereunder has not been and will not be registered under the United States Securities Act of 1933 as amended (the "Securities Act"), for offer or sale as part of its distribution and the Fund or the AMC have not been and will not be registered under the United States Investment Company Act of This does not constitute, and should not be construed as, "general solicitation or general advertising" as defined under Regulation D of the Securities Act, or "directed selling efforts" under Regulation S of the Securities Act. The AMC, being a wholly owned subsidiary of a US based parent company, may have certain reporting obligations under U.S. tax laws in respect of investments by and payments to US based clients of the India operation. The AMC may also be obligated to withhold US tax under US tax laws, if the AMC makes any payment / distributions to US clients who do not have or who have not provided their US taxpayer ID, and also report all such payments to US clients in a (US) Form Thus, notwithstanding what is stated in the foregoing paragraph, if any US based NRI or PIO invests in any strategy of the PMS, such investor may be required to fill in and sign the prescribed Form W-9 (including US taxpayer ID/Social Security Number), if he/she is a US citizen or US resident to avoid U.S. tax withholding, if required, at the time of any payments; and if such an investor is a not a US citizen or resident, he/she may be required fill in and sign the prescribed Form W-8. The respective forms are available at and

4 List of Documents for NRI Applicants S.No Documents Copies 1 Proof of Identity - PAN Card (Each Applicant) - self attested by each Applicant. (To be certified by the IPV Agent) 2 Local Proof of Address (Each Applicant) - self attested by each Applicant. (To be certified by the IPV Agent) 3 Overseas Proof of Address (Each Applicant) - self attested by each Applicant. (To be certified by the IPV Agent) 4 Valid Passport Copy of the Applicants self attested by each Applicant. (To be certified by the IPV Agent) 5 Valid Visa Copy of the Applicants self attested by each Applicant. (To be certified by the IPV Agent) 6 Immigration Stamp copy of Passport (Proof of Entry in India) Self attested by each Applicant. (To be certified by the IPV Agent) 7 PIO Card / OCI Card / PIO declaration in case the NRI / PIO relationship is not established based on the documents submitted by the client Non English Declaration if the address proof is in Foreign Language 1 9 Photographs of Applicants : PMS Application Bank A/c Opening Form Demat A/c Opening Form HDFC KYC Form Trading A/c (1 st Applicant Only) 10 Photograph of Nominee : Demat A/c Opening Form 5 1 List of Documents that can be taken as ID/Address (Local / Overseas) Proof for NRI Applicants:- Passport Pan Card Driving License Aadhaar Card / E-aadhaar Letter Bank Statements (Last 3 Months) Utility Bills Resident Card.

5 Date: To, HDFC Bank Ltd. Dear Sir/Madam, This is to inform you that my name as specified on is Request you to kindly consider my complete name as mentioned on the and open the account with this name only. Thanking you. Yours Truly, (First Applicant Name & Signature)

6 Date: To, HDFC Bank Ltd. Dear Sir/Madam, This is to inform you that my name as specified on is Request you to kindly consider my complete name as mentioned on the and open the account with this name only. Thanking you. Yours Truly, (Second Applicant Name & Signature)

7 Date: From To The Branch Manager, HDFC Bank, Fort Branch, Mumbai. Dear Sir, Reg.: Registration of Power of Attorney (POA) of my /our Bank & Demat Account with you. I, / We have granted a Power of Attorney to DHFL Pramerica Asset Managers Private Limited, to allow operations in my / our above-mentioned account with you. I / We have also granted a Power of Attorney to HDFC Bank, to allow operations in my / our above-mentioned Demat account with you. The original / attested copies of POA are enclosed. I / We will inform the Bank immediately in writing, in case any of the POA is revoked by me / us. Till such time the bank can continue to act on the POAs. Kindly arrange to register the subject POAs in your records. Further, please register the correspondence address for Bank account as _ and dispatch all the relevant deliverables necessary for operation of the account to the above address. Further, please register the correspondence address for Demat as HDFC Bank Limited - Custody Services, Lodha - I Think Techno Campus, Building - Alpha, 8th Floor, Near Railway Station, Kanjurmarg (E),Mumbai and dispatch all the relevant deliverables necessary for operation of the account to the above address. Yours Faithfully, Thanking You, (First Applicant) (Second Applicant) (Third Applicant)

8 Date:- To, DHFL Pramerica Asset Managers Pvt. Ltd., 2 nd Floor, Nirlon House, Dr. A.B. Road, Worli. Mumbai Dear Sir / Madam, Sub.: NRI Declaration I / We hereby declare the following:- 1) Confirm if you have any PIS account with other authorised dealer: Yes No If Yes, mention the dealer name 2) Confirm if have any demat account with other DP s : Yes No If Yes, mention the DP name 3) Confirm if you have any holdings in demat / physical mode acquired through primary / secondary market under ordinary resident / NRI capacity (repatriable / non repatriable basis) : Yes No 4) Confirm how the corpus would be provided to the proposed PMS Account: Cash Securities (First Applicant Name & Sign) (Second Applicant Name & Sign) (Third Applicant Name & Sign)

9 To, The Manager HDFC Bank Ltd Depository Operations Subject: FEMA Declaration Dear Sir, I (First/Sole holder)/we agree that I/We have complied with FEMA regulations and shall continue to do so in the future with respect to any new regulations that may be introduced by the Indian Government from time to time.. Name of all Account Holder/s Signature of all Account Holder/s Date: Place:

10 APPLICATION FOR PORTFOLIO INVESTMENT SCHEME (NRE) Date: Broker's name : The Manager NRI and PIS Services Customer's PAN : HDFC Bank branch. Dear Sir, Ref: Application for permission to deal in shares in secondary market under the Portfolio Investment Scheme (PIS) We hereby appoint HDFC Bank as a Designated Bank for PIS. We hereby advise that we have read and understood the terms and conditions as specified under the portfolio Investment Scheme and hereby declare that we agree to comply with all statutory formalities under the PIS scheme from time to time. We confirm that as on date, we do not hold PIS PERMISSION (Repatriable as well as non repatriable) with any other bank. We hereby agree: The facility is available only to customers maintaining their PIS account with designated branches of HDFC Bank I/We agree that if the PIS account/pis Permission is transferred from any other bank to HDFC Bank, then I/We shall furnish a No Objection Certificate from my/our present banker along with a holding statement (having details of scrip name, date of purchase, cost of purchase, quantity) as specified by HDFC Bank along with a latest copy of the Demat Statement of securities. To deal with only one designated branch at any given point of time for PIS. All transactions under PIS will be routed through designated branch only. That both the NRE and NRO PIS accounts and PIS PERMISSION will be held with only one bank at any given point in time. The NRE/ NRO PIS account will not be used to route any other transactions besides transactions related to the purchase and sale of shares. All routine transactions, Demat charges, dividend warrants etc will be routed through the regular NRE/NRO savings account (NON-PIS savings account) held with the bank. To submit the complete details of all shares held by me which was purchased from the Primary market as a non resident or from the primary / secondary market prior to becoming a non resident in the formats as specified by the bank. To do only delivery based transactions and not indulge in speculative transactions. To purchase and sell shares of an Indian company, through registered broker on a recognized stock exchange. To place purchase orders only if the Bank can earmark sufficient balance covering the purchase consideration of securities and other applicable charges in client's Bank account. To report to the Bank all transactions done directly through stockbrokers within 48 hours after trade, by submitting original broker contract notes to PIS designated branch only where PIS account is maintained. Details like, PIS Permission number, PIS account, purchase payments (cheque no, date of cheque, gross amount of purchase) will be mentioned on purchase contract note. To mention PIS PERMISSION number on sale contract note. To report all purchase or sale of shares in the secondary market through the PIS account. To send details to the Bank of all payments made to the stock broker on account of purchase of securities along with the details of the securities purchased in the format prescribed or may be prescribed by the Bank from time to time.

11 Payments for shares/ receipts from the broker on account of sale of shares will be made against the amounts specified on the bills and no adjustment of purchases against sale transactions will be done even if various sale and purchase transactions are doing during the same period. To deposit all payment instruments (cheque/dd etc) received from a stockbroker on account of sale of securities for crediting in appropriate account along with complete details and the bills at PIS designated branch where PIS account is maintained. The purchase of equity shares/convertible debentures in each company with repatriation and non repatriation benefits shall not exceed 5 % (or as prescribed by Reserve Bank of India from time to time) of the paid up capital of the company, subject to an overall ceiling of 10 % (or as prescribed by Reserve Bank of India from time to time) All consequences of failure in such compliance, including any losses arising out of reversal of transactions shall be to our account. The bank will recover its fees /charges applicable for PIS by the debit to the NRE/NRO savings (non-pis) account held. The bank will deduct capital gains tax as applicable on each transaction and the sale proceeds net of tax will be credited to the designated account within 48 working hours after receipt of clear funds from broking firm. To submit the CA certificate and undertaking as per the formats specified under PIS along with net sale proceeds of shares in case I/We are arranging to PIS capital gains separately through our chartered accountant. To allow the Bank to calculate the Capital Gains Tax on transactions done through HDFC securities. The Bank will be able to set off losses against capital gains on equity shares only. The benefit of set off of losses is available per contract note basis (i-e: losses made in one contract note can be set off against the gains made on that contract note only. The bank will report purchase and sale contract notes on FIFO basis and compute capital gain tax accordingly, even if trades have been executed through multiple brokers. In case I sell shares some of which belong to PIS and others to Non PIS account, all the sale proceeds after the deduction of TDS will be credited to the PIS account. Tax deducted at source by the bank will not be on exchange rate adjustment. The sale made will be adjusted on First In First Out basis (FIFO) at the PIS permission level (for eg: if a customer has multiple Demat accounts-- FIFO will be applied across them while calculating capital gains) for the purpose of calculating capital gains. The bank will not undertake any follow up for deliveries of any shares purchased by us. The bank will not undertake monitoring and follow up of corporate actions associated with any holdings of the account holder. To ensure before placing / conveying Sale orders that I/We actually hold free shares (shares pending Demat or locked /pledge are not free shares). Not to make any contract for sale either directly through a stockbroker or through the Bank in respect of any securities, which the client has not taken delivery of. Shares purchased in the primary market, shares under corporate action, and during resident tenor are not to be considered under the PIS scheme. Therefore any sales proceeds pertaining to NON PIS Scheme will be credited directly into your NON -PIS account. However, in case the sale contract consist of PIS as well non PIS shares, then the sale proceeds will be credited to PIS account only. In case of a delay or default in providing details pertaining to shares within the prescribed time, I/we shall be solely responsible for the following consequences:

12 Any impact on FIFO method of capital gains computation for such transactions and/or subsequent transactions Any delay in credit to my PIS/Savings Bank account. In case I/We are unable to provide documentary evidence that the shares were bought from the NRE accounts to the satisfaction of the Bank, the sales proceeds will be credited to my Non Repatriable Account ( NRO) or shall be kept on hold by the Bank till the required details are submitted by me. I/We shall not purchase Banned/Cautioned scrips that are prohibited by RBI. In case of default, I/We shall arrange to sell the same immediately and losses and applicable charges, if any, on account of such transactions will be borne by me/us and I/we shall be responsible for legal consequences, if any. Further, the First in First out (FIFO) method of Capital Gain computation shall be affected and accordingly Tax shall be deducted at source. I/We agree to adhere to the RBI guidelines and restrictions on purchase of shares (Banned / Caution) and shall refer RBI website before dealing on recognized stock exchange (check site I/We shall intimate the bank about any change in the status of security holdings on account of Corporate Actions or otherwise (IPO/FPO, Rights, Buy Back, ESOP, Inheritance, Gift, off-market transactions etc.,) to facilitate proper reporting under NRE/NRO PIS to RBI and Capital Gain computations as per the Income Tax Act, As an NRI /PIO, under PIS facility I/we will not invest in any company which is engaged or proposes to engage in the following activities (i)business of chit fund, or ii) Nidhi company, or ( iii) Agricultural or plantation activities, or (iv) Real estate business* or construction of farm houses, or (v) Trading in Transferable Development Rights (TDRs).[* Real estate business" does not include construction of housing / commercial premises, educational institutions, recreational facilities, city and regional level infrastructure, townships]. In case I wish to avail of DTAA benefit; I will submit the required documents in the beginning of every financial year. Any changes such as a change in the residential status/name/address/ ID/telephone numbers/contact person etc, in any of my Accounts shall be intimated to the Bank Immediately. The Bank shall comply with instructions and procedures as laid down by Regulatory Authorities for PIS from time to time. I /We shall indemnify and hold harmless the Bank against any direct losses costs or claims which Bank might incur/suffer as a result under PIS. I/We specifically agree to hold the Bank harmless from any and all claims and agree that the Bank shall not be liable for any loss, actual or perceived, caused directly or indirectly by equipment failure, communication line failure, system failure, Internet failure, securities failure on the Internet, unauthorized access or any other problem technological or otherwise, that might prevent the client from executing or the Bank from executing an order or other conditions beyond Bank's control. Yours Sincerely, First Applicant Second Applicant Third Applicant

13 RPI (To be submitted to designated branch of an authorised dealer) Application from Non-Resident individuals of Indian Nationality or origin (NRIs) for purchase of eligible through stock exchange/s in India with repatriation benefits 1 Particulars of the Applicant: 1st Holder 2nd Holder 3rd Holder I Full Name II Overseas Address III Nationality IV Details of Current Passport: a. Passport No. b. Place and Date of Issue c. Issued by d. Country of residence as stated in the passport e. Country of birth V VI VII VIII If the applicant is not a citizen of India, the basis on which he/she claims to be a person of Indian Origin (Please see footnote) Whether resident outside India permanently; if not, since when residing abroad. Occupation (employment, business, vocation, etc) Relationship with other joint holders 2 Details of bank account with HDFC Bank ltd

14 I NRE non PIS SB account Number II NRE PIS SB account Number with PIS designated branch 3 Whether the NRI applicant already holds any eligible securities acquired through Primary market with benefit of repatriation.if so,please attach a complete list of such shares/convertible debentures indicating the name and address of the company,total number and face value of the shares/convertible debentures held along with reference number and date of RBI approval. (Format of Annexure 1 attached) I/We solemnly declare that the particulars given above are true and correct to the best of my/our knowledge and belief and that I/we am/are citizen(s) of India/person of Indian origin. I/We hereby undertake that I/we have no dealing/will not deal with any other designated branch/bank under PIS. I/We agree and undertake to ensure that my/our total holding of equity/preference shares/convertible debentures in any one Indian company that may be allowed to be purchased through stock exchange/s (including the equity/preference shares/convertible debentures already held, if any, in that company) with repatriation benefits/non repatriate shall, at no time, exceed five per cent of the paid-up capital/paid-up value of each series of convertible debentures of that company. Place: Date: (Signature of the first holder) (Signature of second holder) (Signature of third The eligible securities will include shares/debentures/bonds of Indian companies,govt.securities (other than bearer securities)/treasury bills/units of public sector/private sector mutual fund scheme including units of UTI. Note :For the purpose of the facility of investment in shares and securities, a person (not being a citizen of Pakistan or Bangladesh) shall be deemed to be of Indian Origin, if (a) he,at any time, held Indian Passport or (b) he or either of his parents or any of his grandparents was an Indian and a permanent resident in undivided India at any time. A spouse (not being citizen of Pakistan or Bangladesh) of a citizen of India or of a person of Indian origin will so be deemed to be Indian Origin even thought she may be of non-indian origin.

15 ANNEXURE I FOR SHARES PURCHASED THROUGH PRIMARY MARKET AS AN NRI ON REPATRIABLE BASIS (NRE SHARES) No of shares Date of purchase (Date/Month/Year) Face Value/ Acquisition price RBI Approval number Account Holder's Signature Name of the Account holders ( ) ( ) ) *** Please attach a Demat latest holding copy if any shares to be reported in the above annexure along with the repatriation proof.

16 APPLICATION FOR PORTFOLIO INVESTMENT SCHEME (NRO) Date: Broker's name : The Manager NRI and PIS Services Customer's PAN : HDFC Bank branch. Dear Sir, Ref: Application for permission to deal in shares in secondary market under the Portfolio Investment Scheme (PIS) We hereby appoint HDFC Bank as a Designated Bank for PIS. We hereby advise that we have read and understood the terms and conditions as specified under the portfolio Investment Scheme and hereby declare that we agree to comply with all statutory formalities under the PIS scheme from time to time. We confirm that as on date, we do not hold PIS PERMISSION (Repatriable as well as non repatriable) with any other bank. We hereby agree: The facility is available only to customers maintaining their PIS account with designated branches of HDFC Bank I/We agree that if the PIS account/pis Permission is transferred from any other bank to HDFC Bank, then I/We shall furnish a No Objection Certificate from my/our present banker along with a holding statement (having details of scrip name, date of purchase, cost of purchase, quantity) as specified by HDFC Bank along with a latest copy of the Demat Statement of securities. To deal with only one designated branch at any given point of time for PIS. All transactions under PIS will be routed through designated branch only. That both the NRE and NRO PIS accounts and PIS PERMISSION will be held with only one bank at any given point in time. The NRE/ NRO PIS account will not be used to route any other transactions besides transactions related to the purchase and sale of shares. All routine transactions, Demat charges, dividend warrants etc will be routed through the regular NRE/NRO savings account (NON-PIS savings account) held with the bank. To submit the complete details of all shares held by me which was purchased from the Primary market as a non resident or from the primary / secondary market prior to becoming a non resident in the formats as specified by the bank. To do only delivery based transactions and not indulge in speculative transactions. To purchase and sell shares of an Indian company, thorugh registered broker on a recognized stock exchange. To place purchase orders only if the Bank can earmark sufficient balance covering the purchase consideration of securities and other applicable charges in client's Bank account. To report to the Bank all transactions done directly through stockbrokers within 48 hours after trade, by submitting original broker contract notes to PIS designated branch only where PIS account is maintained. Details like, PIS Permission number, PIS account, purchase payments (cheuqe no, date of cheque, gross amount of purchase) will be mentioned on purchase contract note. To mention PIS PERMISSION number on sale contract note. To report all purchase or sale of shares in the secondary market through the PIS account. To send details to the Bank of all payments made to the stock broker on account of purchase of securities along with the details of the securities purchased in the format prescribed or may be prescribed by the Bank from time to time. Payments for shares/ receipts from the broker on account of sale of shares will be made against the amounts specified on the bills and no adjustment of purchases against sale transactions will be done even if various sale and purchase transactions are doing during the same period.

17 To deposit all payment instruments (Cheque/DD etc) received from a stockbroker on account of sale of securities for crediting in appropriate account along with complete details and the bills at PIS designated branch where PIS account is maintained. The purchase of equity shares/convertible debentures in each company with repatriation and non repatriation benefits shall not exceed 5 % (or as prescribed by Reserve Bank of India from time to time) of the paid up capital of the company, subject to an overall ceiling of 10 % (or as prescribed by Reserve Bank of India from time to time) All consequences of failure in such compliance, including any losses arising out of reversal of transactions shall be to our account. The bank will recover its fees /charges applicable for PIS by the debit to the NRE/NRO savings (non-pis) account held. The bank will deduct capital gains tax as applicable on each transaction and the sale proceeds net of tax will be credited to the designated account within 48 working hours after receipt of clear funds from broking firm. To submit the CA certificate and undertaking as per the formats specified under PIS along with net sale proceeds of shares incase I/We are arranging to PIS capital gains separately through our chartered accountant. To allow the Bank to calculate the Capital Gains Tax on transactions done through HDFC securities. The Bank will be able to set off losses against capital gains on equity shares only. The benefit of set off of losses is available per contract note basis (i-e: losses made in one contract note can be set off against the gains made on that contract note only. The bank will report purchase and sale contract notes on FIFO basis and compute capital gain tax accordingly, even if trades have been executed through multiple brokers. Incase I sell shares some of which belong to PIS and others to Non PIS account, all the sale proceeds after the deduction of TDS will be credited to the PIS account. Tax deducted at source by the bank will not be on exchange rate adjustment. The sale made will be adjusted on First In First Out basis (FIFO) at the PIS permission level (for eg: if a customer has multiple Demat accounts-- FIFO will be applied across them while calculating capital gains) for the purpose of calculating capital gains. The bank will not undertake any follow up for deliveries of any shares purchased by us. The bank will not undertake monitoring and follow up of corporate actions associated with any holdings of the account holder. To ensure before placing / conveying Sale orders that I/We actually hold free shares (shares pending demat or locked /pledge are not free shares). Not to make any contract for sale either directly through a stockbroker or through the Bank in respect of any securities, which the client has not taken delivery of. Shares purchased in the primary market, shares under corporate action, and during resident tenor are not to be considered under the PIS scheme. Therefore any sales proceeds pertaining to NON PIS Scheme will be credited directly into your NON -PIS account. However, in case the sale contract consist of PIS as well non PIS shares, then the sale proceeds will be credited to PIS account only. Incase of a delay or default in providing details pertaining to shares within the prescribed time, I/we shall be solely responsible for the following consequences: Any impact on FIFO method of capital gains computation for such transactions and/or subsequent transactions Any delay in credit to my PIS/Savings Bank account. In case I/We are unable to provide documentary evidence that the shares were bought from the NRE accounts to the satisfaction of the Bank, the sales proceeds will be credited to my Non Repatriable Account ( NRO) or shall be kept on hold by the Bank till the required details are submitted by me.

18 I/We shall not purchase Banned/Cautioned scrips that are prohibited by RBI. In case of default, I/We shall arrange to sell the same immediately and losses and applicable charges, if any, on account of such transactions will be borne by me/us and I/we shall be responsible for legal consequences, if any. Further, the First in First out (FIFO) method of Capital Gain computation shall be affected and accordingly Tax shall be deducted at source. I/We agree to adhere to the RBI guidelines and restrictions on purchase of shares (Banned / Caution) and shall refer RBI website before dealing on recognized stock exchange (check site I/We shall intimate the bank about any change in the status of security holdings on account of Corporate Actions or otherwise (IPO/FPO, Rights, Buy Back, ESOP, Inheritance, Gift, off-market transactions etc.,) to facilitate proper reporting under NRE/NRO PIS to RBI and Capital Gain computations as per the Income Tax Act, As an NRI /PIO, under PIS facility I/we will not invest in any company which is engaged or proposes to engage in the following activities (i)business of chit fund, or ii) Nidhi company, or ( iii) Agricultural or plantation activities,or (iv) Real estate business* or construction of farm houses,or (v) Trading in Transferable Development Rights (TDRs).[* Real estate business" does not include construction of housing / commercial premises,educational institutions,recreational facilities, city and regional level infrastructure, townships]. In case I wish to avail of DTAA benefit; I will submit the required documents in the beginning of every financial year. Any changes such as a change in the residential status/name/address/ ID/telephone numbers/contact person etc, in any of my Accounts shall be intimated to the Bank Immediately. The Bank shall comply with instructions and procedures as laid down by Regulatory Authorities for PIS from time to time. I /We shall indemnify and hold harmless the Bank against any direct losses costs or claims which Bank might incur/suffer as a result under PIS. I/We specifically agree to hold the Bank harmless from any and all claims and agree that the Bank shall not be liable for any loss, actual or perceived, caused directly or indirectly by equipment failure, communication line failure, system failure, Internet failure, securities failure on the Internet, unauthorized access or any other problem technological or otherwise, that might prevent the client from executing or the Bank from executing an order or other conditions beyond Bank's control. Yours Sincerely, First Applicant Second Applicant Third Applicant

19 NRI (To be submitted to designated branch of an Authorised Dealer) Application from Non-Resident individuals of Indian Nationality or origin (NRIs) for purchase of eligible through stock exchange /s in India without repatriation benefits (i) 1 Particulars of the Applicant: 1st Holder 2nd Holder 3rd Holder Full Name (ii) Overseas Address* *(Local address may be given if second,third holder is resident in India) (iii) Nationality (iv) (v) (vi) (vii) (viii) (a) (b) (c) (d) (e) Details of Current Passport: Passport Number Place and Date of Issue Issued by Country of residence as stated in the passport Country of birth If the applicant is not a citizen of India, the basis on which he/she claims to be a person of Indian Origin (Please see footnote) Whether resident outside India permanently; if not, since when residing abroad. Occupation (employment business,vocation etc Relationship with other joint holders 2. Details of Bank account with HDFC Bank 1st Holder 2nd Holder 3rd Holder (i) (ii) NRO non PIS SB account Number NRO PIS SB account Number with PIS designated branch

20 Whether the NRI applicant already holds any eligible securities acquired through Primary market with benefit of non repatriation or acquired as a resident Indian during resident tenure. If so,please attach a complete list of such shares/convertible debentures indicating the name and address of the company,total number and face value or acquisition price of the shares/convertible debentures held. (Format of Annexure II and III is attached) (1) I/We solemnly declare that the particulars given above are true and correct to the best of my/our knowledge and belief that I/we am/are citizen(s) of India/person of Indian origin. (2) I/We hereby undertake that I/We have no dealing/will not deal with any other designated branch/bank under PIS (3) I/We agree and undertake to ensure that my/our total holding of equity/preference shares/convertible debentures in any one Indian company that may be allowed to be purchased through stock exchange/s (including the equity/preference shares/convertible debentures already held, if any, in that company) with repatriation benefits / non repatriation shall, at no time, exceed five per cent of the paid-up capital/paid-up value of each series of convertible debentures of that company. Place: Date: (Signature of the 1 st applicant) (Signature of the 2 nd applicant) (Signature of the 3 rd The eligible securities will include shares/debentures/bonds of Indian companies, Govt.securities (other than bearer securities),treasury bills/units of public sector/private sector Mutual Fund scheme including units of UTI. Note : For the purpose of the facility of investment in share and securities,a person (not being a citizen of Pakistan or Bangladesh) shall be deemed to be of 'Indian origin' if (a) he,at any time,held Indian passport,or (b) he or either of his parents or any of his grandparents was an Indian and a permanent resident in undivided India at any time.a spouse (not being a citizen of Pakistan or Bangladesh) of a citizen of India or of a person of Indian origin will so be deemed to be of Indian origin even though she may be of non Indian origin.

21 ANNEXURE II FOR SHARES PURCHASED THROUGH PRIMARY MARKET AS AN NRI ON NON-REPATRIABLE BASIS (NRO SHARES) Company No of shares Date of purchase (Date / Month / Year) Face Value/ Acquisition price Account Holder's Signature Name of the Account holders( )( ) ) *** Please attach a Latest Demat holding copy if any shares to be reported in the above annexure

22 ANNEXURE III FOR SHARES PURCHASED THROUGH PRIMARY MARKET AND SECONDARY MARKET DURING RESIDENT STATUS OR RECEIVED IN INHERITTANCE Company No of shares Date of purchase (Date/Month/Year) Face Value/ Acquisition price Details of Brokers Contract (if any) Account Holder's Signature Name of the Account holders( )( ) ) *** Please attach a latest Demat holding copy if any shares to be reported in the above annexure

23 HDFC BANK Nomination Form DA 1 NOMINATION Nomination under Section 45 ZA of the Banking Regulation Act 1949 and Rule 2(1) of the Banking Companies (Nomination) Rule 1985 in respect of Bank deposits. I/We Name(s) and address(es) nominate the following person to wllom in the event of my/our/minor's death the amount of deposit in the account, particulars whereof are given below. may be returned by HDFC Bank Ltd., (Name of bl'ojlcl1 where account is held). Nature of Deposit Account No. Additional details, if any 1'l!nOac Detafls of Your...,._ Name & Address Relationship Date of Birth of of nominee with Depositor, Age Nominee if any * As the nominee is a minor on this date, I/We appoint Name. address & age to receive the amount of the deposit in the Account on behalf of the nominee in the event of my/our/minor's death during the minority of the nominee. Name 1) 2) Address Signature W1 W2 1, Place: Date:.. Leave out if nominee is not a minor. "*Signature(s) I *Thumb impression(s) of Depositor(s) ** Where deposit is made in the name of a minor. the nomination should be signed by a,person lawfully entitled to act on behalf of the minor.,... Thumb impression shall be attested by 2 witnesses. Nomination Serial No. -

24 HDFC BANK Nomination Form DA 1 NOMINATION Nomination under Section 45 ZA of the Banking Regulation Act 1949 and Rule 2(1) of the Banking Companies (Nomination) Rule 1985 in respect of Bank deposits. I/We Name(s) and address(es) nominate the following person to wllom in the event of my/our/minor's death the amount of deposit in the account, particulars whereof are given below. may be returned by HDFC Bank Ltd., (Name of bl'ojlcl1 where account is held). Nature of Deposit Account No. Additional details, if any 1'l!nOac Detafls of Your...,._ Name & Address Relationship Date of Birth of of nominee with Depositor, Age Nominee if any * As the nominee is a minor on this date, I/We appoint Name. address & age to receive the amount of the deposit in the Account on behalf of the nominee in the event of my/our/minor's death during the minority of the nominee. Name 1) 2) Address Signature W1 W2 1, Place: Date:.. Leave out if nominee is not a minor. "*Signature(s) I *Thumb impression(s) of Depositor(s) ** Where deposit is made in the name of a minor. the nomination should be signed by a,person lawfully entitled to act on behalf of the minor.,... Thumb impression shall be attested by 2 witnesses. Nomination Serial No. -

25 Dated TO WHOMSOEVER IT MAY CONCERN Dear Sir or Madam, Re: Cancellation of PIS Permission dt., Closure of PIS SB A/c. No. We hereby confirm that we have cancelled the above mentioned NRE/NRO PIS permission from our end and have closed the PIS Savings account. ( Account no. ) There are no current holdings in your account. Further we confirm that from this date we will not report any transactions to RBI under Portfolio Investment Scheme under above referred permission. Assuring you the best of our services. Thanking You, Yours Sincerely, (First Holder) (Second Holder)

26 Date: - The Manager, HDFC Bank Ltd., NRI Services PIS Section, , Tulsiani Chambers, Nariman Point, Mumbai Dear Sir / Madam, Re.: Extension of PIS Permission. I have already taken PIS permission on repatriable / non-repatriable basis. My PIS Permission details are as follows: - Customers Name Permission number NRE / NRO saving account no. and NRE / NRO PIS account no. I wish to trade on an Online / Offline basis through HDFC Securities / Broker on repatriable / non - repatriable basis. I request you to issue extension letter from Online / Offline to Online / Offline on repatriable / non - reatriable basis. Kindly provide the same at the earliest. Thanking you, Yours Sincerely, (First Applicant Name & Signature)

27 Date: - The Manager, HDFC Bank Ltd., NRI Services PIS Section, , Tulsiani Chambers, Nariman Point, Mumbai Dear Sir / Madam, Re.: Extension of PIS Permission. I have already taken PIS permission on repatriable / non-repatriable basis. My PIS Permission details are as follows: - Customers Name Permission number NRE / NRO saving account no. and NRE / NRO PIS account no. I wish to trade on an Online / Offline basis through HDFC Securities / Broker on repatriable / non - repatriable basis. I request you to issue extension letter from Online / Offline to Online / Offline on repatriable / non - reatriable basis. Kindly provide the same at the earliest. Thanking you, Yours Sincerely, (Second Applicant Name & Signature)

28 Know Your Client (KYC) Application Form (For Individuals Only) Please fill in ENGLISH and in BLOCK LETIERS... A. Identity Details (please see guidelines overleaf) 1. Name of Applicant (As appearing in supporting 1dentif1calion document) Name f AiL. Application D&K SECURITIES CVL \\1: L'N0 Ri,f.\\'.l) '.'.10.\'L\' No. AP PHOTOGRAPH Father's/Spouse Name 2. Gender D Male D Female B. Marital status D Single D Married 3. Nationality D Indian OOther C. Date of Birth I I Please affix the recent passport size photograph and sign across it 4. Status Please tick (./) D Resident Individual D Non Resident D Foreign National (Passport Copy Mandatory for NRls & Foreign Nationals) 5. PAN Please enclose a duly attested copy of your PAN Card Aadhaar Number, if any: Proof of Identity submitted for PAN exempt cases Please Tick (./) D UID (Aadhaar) D Passport D Voter ID D Driving Licence D Others (Please see guideline 'D' overleaf Address Details (please see guidelines overleaf) 1. Address for Residence/Correspondence City I bwn I Village State 2. Contact Details el.(off.) Mobile D) (STD) Id. Country el.(res.) )) {STD) Fax J (STD) n Code 3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick(,/) against the document attached. 0 Passport 0Ration Card ORegistered Lease/Sale Agreement of Residence ODriving License OVoter Identity Card O*Latest Bank Ale Statement/Passbook 0 *Latest elephone Bill (only Land Line) O*Latest Electricity Bill O*Latest Gas Bill O Others (Plea.se specify) *Not more than 3 Months old. Validity/Expiry date of proof of address su1bmitted / / 4. Permanent Address of Resident Applicant if different from above 81 OR Overseas Address (Mandatory) for Non-Resident Applicant City I bwn I Village State Country Pin Code S. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick(,/) against the document attached. D Passport DRation Card DRegistered Lease/Sale Agreement of Residence D Driving License OVoter Identity Card O*Latest Bank Ale Statement/Passbook D *Latest elephone Bill (only Land Line) O*Latest Electricity Bill O*Latest Gas Bill OOthers (Please specify) *Not more than 3 Months old. Validity/Expiry date of proof of address suibmitted / / 6. Any other information: 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 Llwe may be held liable for it. Place: AMC ntermediary name OR code D (Originals Verified) Self Certified Document copies received D (Attested) True copies of documents received Main Intermediary Date: SIGNATURE OF APPLICANT FOR OFF ICE USE ONLY IPV DoneO on I I Si'd /Std1, p of rhe ntr,rm,,u,ary ;hou d ron1a11 Slaff Ndme- 0 s gnat!ori N.inie 01 1he OroJn M1ori S1qniltJre Date s., /S,dmp 01 th1: m1enied1a11 sho d cont,,rn Staff N.iir, D s1gnat1on i lalfl!.' 01 1he OrQan1zat1on 191,r1t111e Date

29

30 Annexure 3 A. Bank Account(S) Details Bank Name Branch address Bank account no. TRADING ACCOUNT RELATED DETAILS Account Type: Saving/Current/ Others-In case of NRI/NRE/NRO MICR Number Non-individuals IC code B. Depository Account(s) Details Depository Depository Name Participant Name (NSDL/CDSL) Beneficiary name DP ID Beneficiary ID (BO ID) C. Unique Client Code (UCC) and Custodian Participant Code: UCC Code NSE CP Code BSE CP Code D. Back Office Contact Details: Contact Person Tel No Mobile E. Front Office Contact Details: Contact Person Tel No Mobile F. Format of Trade Confirmation (if other than the prescribed contract note format, please provide a sample trade confirmation file): (Please specify the ids (distribution list) for sending the trade confirmations) Trade confirmations can also be sent through OMGEO our BIC Code is BKSEINB1XXX. You may provide us your acronym so that the same can be sent through OMGEO STP Provider : Omgeo Code (if any) : Id : Group Id : G. Gross Annual Income Details (please specify): Income Range per annum: Below Rs 1 Lac / 1-5 Lac /5-10 Lac / Lac / 25 Lacs-1 crore/ > 1 crore OR H. Net Worth as on (Date)... (dd/mm/yyyy): (*Net Worth Should Not Be Older Than 1 Year) I. PAST ACTIONS: (Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years, if any) 8

31 J. TRADING PREFERENCES *Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. Exchanges Signature National Stock Exchange of CM Segment (Cash) India Ltd. (NSE) F&O Segment Bombay Stock Exchange Ltd. (BSE) CM Segment (Cash) # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. K. PLEASE TICK, IF APPLICABLE FOR ANY OF YOUR AUTHORIZED SIGNATORIES / PROMOTERS / PARTNERS / KARTA / TRUSTEE / WHOLE TIME DIIECTOR: Politically Exposed Person (PEP)/ Related to a Politically Exposed Person (PEP) L. ANY OTHER INFORMATION: DECLARATION 1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. 2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 3. I/We further confirm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker s designated website ( if any. ( ) Date Signature of Client/ (all) Authorized Signatory (ies) Any queries relating to the client account details can be addressed to the following (Please specify the contact details, if different from the above): Title: : Name: : Designation: : Address: : Tel.: : : 9

32 To, Batlivala & Karani Securities India Pvt. Ltd. Ground Floor, City Ice Building, 298, Perin Nariman Street, Fort, Mumbai Tel: Fax: ANNEXURE FOR NRI CLIENTS ONLY Client Code: Dear Client, Client Name: Sub: Trading by NRIs & Compliance of RBI Stipulations This is with reference to NSE Circular No. NSE / MEM / 5676 dated December 21, 2004 and Reserve Bank of India letter dated September 7, 2004 relating to trading by NRIs compliance. The relevant contents of the letter are as reproduced below. We advise that if NRIs intend to trade on the stock exchange in India they will have to comply with the requirements of the Portfolio Investment Scheme (PIS) which are stipulated in terms of Schedule 3 to Notification No. FEMA 20/2000-RB dated 3 rd May, 2000 the provisions of which are briefly set forth below. 1. All the transactions under PIS are routed through a registered stock broker on a recognized stock exchange and through a designated bank. 2. Paid-up value of Share/convertible debentures by NRI on repatriation and non-repatriation basis does not exceed 5% of the paid-up value of share/paid-up value of each series of convertible debentures issued by the company. 3. Payment for purchase of shares/debentures is made by inward remittance in foreign exchange and through normal banking channel or out of funds held in NRE/FCNR account, if shares are purchased on repatriation basis. 4. NRI investor takes delivery of the shares purchased and gives delivery of shares sold. Thus you are requested to comply with the above provisions. Thanking you, For Batlivala & Karani Securities India Pvt. Ltd. The above matter read and agreed to comply, Place: Client s Signature Date: D D M M Y Y Y Y

33 To, Batlivala & Karani Securities India Pvt. Ltd. Ground Floor, City Ice Building, 298, Perin Nariman Street, Fort, Mumbai Tel: Fax: Dear Sir, I/We, hereby, acknowledge of having read, understood and in receipt of the following documents which is in accordance with SEBI circular no. CIR/MIRSD/16/2011 dated August 22, 2011: 1. Photocopy of duly executed KYC form including Mandatory Documents. 2. Rights and Obligations of Stock Brokers, Sub-brokers and Clients. 3. Risk Disclosure Document for Capital Market and Derivatives Segment. 4. Guidance Notes - Do s and Don ts for Trading on the Exchange(s) for Investors and 5. All other documents / proof s executed / submitted by me. I/We am/are in knowledge that the above documents (2), (3) and (4) are also available on Batlivala & Karani Securities India Pvt. Ltd. Website: I, further, acknowledge that the other details related to my account are as under: Trading code: Client Name: My Id: Mobile No: Client s Signature Place: Date: D D M M Y Y Y Y