Annexure 1 ACCOUNT OPENING KIT INDEX Sr. No. Name of the Document Brief Significance of the Document Page No. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES 1. Account Opening Form A. KYC form - Document captures the basic information about the constituent and an instruction/check list. 2 3 B. Document captures the additional information about the constituent relevant to trading account and an 4 5 instruction/check list. C. KYC for Demat Account 6-9 D. Instruction / Checklist for filing KYC Form 10 13 2. Rights and Obligations Document stating the Rights & Obligations of Depository Participant and Beneficial Owner. 3. Rights and Obligations Document stating the Rights & Obligations of stock broker/trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). 4. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market. 5. Guidance note Document detailing do s and don ts for trading on exchange, for the education of the investors. 6. Policies and Procedures Document describing significant policies and procedures of the stock broker (to be added by the stock broker). 7. Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) (to be added by the stock broker). VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER - 1 - Refer www.spjainsec.com 8. Running a/c Authorisation Required for maintaining client account on a running basis 14 9. ECN Authorisation Required for receiving contract note / communication in electronic form 15 10 Account Operation terms Required for operation convenience of trading & demat accounts 16 11 AML requirement Literature of AML for PMLA information Refer www.spjainsec.com Name of Stock Broker Registered Office / Correspondence Office Address S.P.JAIN SECURITIES PVT LTD 14, Ambalal Doshi Marg, Raja Bahadur Bldg, 2,3 rd floor, Fort, Mumbai 400 023 Exchange B S E SEBI Registration No.& Date NSE SEBI Registration No.& Date INB011059533 Dt 07/07/1999 INB231059537 Dt 28/07/2006 BSE Membership No. 6 2 0 NSE Membership No. 1 0 5 9 5 Phone 022 22666313/324/325 Fax 022 22696105 Email for grievance spjainsecurities@mtnl.net.in Website www.spjainsec.com BSE Compliance Officer Name Bankim Desai NSE Compliance Officer Name Bankim Desai Phone No. 022 22666313/324/325 Phone No. 022 22666313/324/325 Email spjainsec@yahoo.co.in Email spjainsec@yahoo.co.in For any grievance/dispute please contact stock broker S.P.Jain Securities Pvt Ltd at the above address or email id spjainsecurities@mtnl.net.in Website:www.spjainsec.com Phone no. 91-022-22666313/324/325. In case not satisfied with the response, please contact the concerned exchange(s) for BSE Email id ig@bseindia.com and Phone No. 91-022- 22728097 for NSE Email id ignse@nse.co.in Phone No.91-022-26598190. I/WE Confirm that I/we have received the copy all the documents mentioned above Electronically / Physical. X (Signature of Client)
Annexure 2 KNOW YOUR CLIENT (KYC) APPLICATION FORM For NON Individuals PHOTOGRAPH Please affix your recent passport size photograph and sign across it Please fill this form in ENGLISH and in BLOCK LETTERS. A. IDENTITY DETAILS Name of the applicant Date of Incorporation Place of Incorporation Date of Commencement of business PAN Registration no.(e.g.cin) Status (Please tick any one) Private Ltd Co/ Public Ltd Co/ Body Corporate/ Partnership/ Trust/ Charities/ NGO s/ FI/ FII/ HUF/ AOP/ Bank/ Government Body/ Non-Government Organisation/ Defense Establishment/ BOI/ Society/ LLP/ Others (Please specify) B. ADDRESS DETAILS Address for Correspondence City/Town/Village State Contact Telephone No. (O) Contact Telephone No. (R) Contact E-mail ID Specify the proof of address submitted for Correspondence Address Registered address (if different from above) City/Town/Village State Specify the proof of Address submitted for Registered Address PIN Code Country Contact Fax No. Contact Mobile No. PIN Code Country - 2 -
C. OTHER DETAILS Name, PAN, residential address and photograph of Promoters/Partners/ Karta/ Trustees and whole time directors Name Name Designation Residential Address Designation Residential Address PAN DIN Name Designation Residential Address PAN DIN Name Designation Residential Address PAN DIN Aadhaar number of Promoters/ Partners /Karta D. OTHER DETAILS Gross Annual Income (please specify) OR PAN DIN Income Range per annum: Below 1,00,000 1,00,001 to 5,00,000 5,00,001 to 10,00,000 10,00,001 to 25,00,000 More than 25,00,000 Net Worth as on Date Rs. Net worth should not be older than 1 year Occupation Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others (Specify) Please tick if applicable Any other information Politically Exposed Person (PEP) Related to Politically Exposed Person DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. Signature of the Applicant FOR OFFICE USE ONLY Name Signature (Signatures should be preferably in black ink). (Originals Verified) True copies of documents received Self Certified Document copies received Seal/Stamp Date: - 3 -
Annexure 3 TRADING ACCOUNT RELATED DETAILS For Individuals & Non-individuals A. BANK ACCOUNT(S) DETAILS Bank Name Branch Address Bank Account no. Account Type Saving/Current Others in case of NRI/NRE/NRO MICR Number IFSC Code B. DEPOSITORY ACCOUNT(S) DETAILS Depository Participant Name Depository Name Beneficiary Name DP ID Beneficiary ID (BO ID) C.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 BSE Segments Cash F&O Currency Other Segments NSE # If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. D. PAST ACTIONS Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years: E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-brokers s Name: SEBI Registration Number Registered Office Address : Phone :- Fax :- Website :- Whether dealing with any other stock broker / sub-broker (if case dealing with multiple stock brokers/subbrokers, provide details of all) Name of Stock Broker: Name of Sub-broker, if any Client Code: Exchange Details of disputes/dues pending from/to such stock broker / sub-broker - 4 -
F. ADDITIONAL DETAILS Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify) Specify your Email id, if applicable: Whether you wish to avail of the facility of internet trading/ wireless technology (please specify) Number of years of Investment/ Trading Experience : In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of company/firm/others: Any other information G. INTRODUCER DETAILS (optional) Name of Introducer : (Surname ) (Name) (Middle Name) Status of the Introducer : - Sub-broker/ Remisier/ Authorizes Person / Existing Client/ Other, please specify Address and phone no, of the Introducer Signature of the Introducer 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 of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/We may be held liable for it. 2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 3. I/We further confirm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for information on stock broker s designated website, if any. Place Date Signature of Client/(all) Authorized Signatory (ies) Proprietory Trade Declaration This has reference to circular No.SEBI/MRD/SE/CIR 42/2003 dated November 19, 2003, on the subject matter, as directed by SEBI vide abovementioned circular we hereby disclose that S.P.Jain Securities Pvt Ltd undertakes the business for clients as well as proprietary trading in the Cash & Derivatives segments both. - 5 -
CDSL Annexure 4 Additional KYC Form for Opening a Demat Account S.P.Jain Securities Pvt. Ltd. 14, Raja Bahadur Building, 3 rd Floor, 14, Ambalal Doshi Marg, Fort, Mumbai 400 023. Phone : 66 31 41 08 / 66 31 41 09 * Fax : 269 61 05 * CIN No.U67120MH1999PTC119007 E-mail : spjainsecurities@mtnl.net.in Website:www.spjainsec.com Depository Participant of Central Depository Services (India) Ltd. Depository Participant ID 120285 SEBI REGN.No. IN-DP-CDSL-190-2002 (To be filled by the Depository Participant) Application No. Date D D M M Y Y Y Y DP Internal Reference No. DP ID Client ID (To be filled by the applicant in BLOCK LETTERS in English) I/We request you to open a demat account in my/ our name as per following details:- Holders Details Sole / First Holder s Name Second Holder s Name Third Holder s Name PAN UID PAN UID PAN UID Name * * In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above. Type of Account (Please tick whichever is applicable) Status Sub Status Individual Individual Resident Individual Resident Negative Individual-Director Nomination Individual Director s Relative Individual HUF / AOP Individual Promoter Minor Individual Margin Trading A/C Others(specify) (MANTRA) NRI NRI Repatriable NRI Non-Repatriable NRI Repatriable Promoter NRI Non-Repatriable Promoter NRI Depository Receipts Others (specify) Foreign National Foreign National Foreign National - Depository Receipts Others (specify) I / We instruct the DP to receive each and every credit in my / our account (If not [Automatic Credit] marked, the default option would be `Yes ) Yes No I / We would like to instruct the DP to accept all the pledge instructions in my / our account without any other further instruction from my / our end (if not marked, the default option would be No ) Yes No Account Statement Requirement As per SEBI Regulation Monthly Daily Weekly Fortnightly - 6 -
I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID Yes No I / We would like to share the email ID with the RTA Yes No I / We would like to receive the annual report Physical / Electronic / Both Physical and Electronic (Tick the applicable box. If not marked the default option would be in Physical) Do you wish to receive dividend / interest directly in to your bank account given below through ECS? (If not marked, the default option would be `Yes ) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No Bank Details [Dividend Bank Details] Bank Code (9 digit MICR code) IFS Code (11 character) Account number Account type Saving Current Others (specify) Bank Name Branch Name Bank Branch Address City State Country Pincode (i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or) (ii) Photocopy of the Bank Statement having name and address of the BO (iii) Photocopy of the Passbook having name and address of the BO, (or) Letter from the Bank. (iv) In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document. SMS Alert Facility Refer to Terms & Conditions given as Annexure - 2.4 Transactions Using Secured Texting Facility (TRUST). Refer to Terms and Conditions Annexure 2.6 MOBILE NO. +91 [(Mandatory, if you are giving Power of Attorney ( POA)] (if POA is not granted & you do not wish to avail of this facility, cancel this option). I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Conditions prescribed by CDSL for the same. Yes No I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST Stock Exchange Name/ID Clearing Member Name Clearing Member ID (Optional) Easi To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online. I/We have read the terms & conditions DP-BO agreement 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 / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action. - 7 -
Name Sole / First Authorised Signatory Second Authorised Signatory Third Authorised Signatory Designation Signature (Signatures should be preferably in black ink). Sign across photograph Sign across photograph Sign across photograph 1 st Holder 2 nd Holder 3 rd Holder Acknowledgement Receipt Application No.: Date: We hereby acknowledge the receipt of the Account Opening Application Form: Name of the Sole / First Holder Name of Second Holder Name of Third Holder Depository Participant Seal and Signature - 8 -
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INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/pio Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. B. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/ document with applicant's Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/debit cards issued by Banks. C. Proof of Address (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.) 1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook -- Not more than 3 months old. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority. 6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members. 7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. The proof of address in the name of the spouse may be accepted. - 10 -
D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs 50, 000/- p.a. 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary. E. List of people authorized to attest the documents: 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or 2. Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 3. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in 4. India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents. - 11 -
F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below : Types of Entity Documentary requirements Corporate Copy of the balance sheets for the last 2 financial years (to be submitted every year). Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/whole time director/md (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures. Partnership Firm Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners. Trust Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/ca. Photograph, POI, POA, PAN of Trustees. HUF PAN of HUF. Deed of declaration of HUF/ List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta. Unincorporated association of a body of individuals Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures. Banks/Institutional Investors Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures. Foreign Institutional Investors Copy of SEBI registration certificate. (FII) Authorized signatories list with specimen signatures. Army/ Government Bodies Self-certification on letterhead. Authorized signatories list with specimen signatures. Registered Society Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary. - 12 -
INSTRUCTIONS/ CHECKLIST 1. Additional documents in case of trading in derivatives segments illustrative list : Copy of ITR Acknowledgment Copy of Annual Accounts In case of salary income Networth Certificate Salary Slip, Copy of Form 16 Copy of demat holding statement. Bank account statement for last 6 months Any other relevant documents substantiating ownership Self declaration with relevant supporting documents. of assets * In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client form time to time. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be submitted. Demat master or recent holding statement issued by DP bearing name of the client. For individuals: a. Stock broker has an option of doing in-person verification through web camera at the branch office of the stock broker/sub-broker s office. b. In case of non-resident clients, employees at the stock broker s local office, overseas can do in-person verification. Further, considering the infeasibility of carrying out In-person verification of the non-resident clients by the stock broker s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted. For non-individuals: a. Form need to be initialized by all the authorized signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of company/firm/others and their specimen signatures. FOR OFFICE USE ONLY UCC Code allotted to the Client :- Name of the Employee Employee Code Designation of the Employee Date Signature Documents verified with originals Client interviewed By In-person Verification done by I/We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the nonmandatory documents. I/We have also made the client aware of Rights and Obligation documents(s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the Policy and Procedures, increase in tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the Rights ad Obligations and RDD would be made available on my/ur website, if any, for the information of the clients. Signature of Client/(all) Authorized Signatory (ies) Seal/Stamp of the Stock Broker Date:- - 13 -
ALL EXCHANGES RUNNING ACCOUNT AUTHORISATION - VOLUNTARY (Kindly note that these additional clause(s)/ documentation(s) are voluntary and at the discretion of the stock broker/ trading member and the client. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document) To, S.P.Jain Securities Pvt Ltd 14, Ambalal Doshi Marg, Raja Bahadur Bldg, 2,3 floor Fort, Mumbai 400 023. Sir(s), Re: Running Account Authorisation We are aware that as per the SEBI/ Exchange requirements, the settlement of funds/securities shall be done within one working day of the payout. However, we request you to kindly keep my account as a running account, which will entail that all securities and funds due to us on payout shall be withheld with yourselves and given to us only on demand. We understand that: 1. For the purpose of operational convenience, I/We hereby give my/our consent to maintain my/our account both for funds and securities, on running account basis. I /We also consent to your retaining of funds & securities as the case may be towards the margin or for settlement of funds & securities in any segment of any of the stock exchanges. 2. I/We will make the written request for any payout of funds / securities to be done by you. 3. I/We authorize you to deposit any of the securities kept as collateral by me/us from time to time with any of the Stock Exchange or respective Clearing corporation of the concerned Stock Exchange towards margin. 4. I/We also agree to your transfer of securities in my demat account on payout of the same without any adjustment being made towards the shares to be delivered by me in the payin of the ensuing settlement I/We shall be fully responsible for carrying the payin of the securities sold by us. 5. The manner of renewal will be as per the policies on your website www.spjainsec.com which under all circumstances shall be conforming to the norms prescribed by SEBI/ Exchanges 6. I/We can revoke this running account authorization at any time, however such termination shall be subject to physical delivery of revocation letter at your registered office to make necessary changes in making my account without running account authorization. 7. I/We agree to bring to your notice any dispute arising from the statement of account / securities within 7 working days form the date of the receipt of the same. 8. I/We authorize you to settle my/our account with you once in a calendar month / once in a calendar quarter. Thanking you (Client Signature) Date:- - 14 -
Digitally Signed Contracts/ Communications All Exchanges - Voluntary (Kindly note that these additional clause(s)/ documentation(s) are voluntary and at the discretion of the stock broker/ trading member and the client. The same are required in order to ensure smooth communication between the stock broker/ trading member and the client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document) To, S.P.Jain Securities Pvt Ltd 14, Ambalal Doshi Marg, Raja Bahadur Bldg, 2,3 floor Fort, Mumbai 400 023. Re: Digitally signed contract/communication confirmation I/We hereby consent for receiving Authenticated Digitally Signed Electronic Contract Note (ECN) and other communication via email on our email ID as Mobile No. You shall be issuing ECNs authenticated by means of digital signatures issued & specified by the Certifying Authority under the Information Technology Act, 2000. ECN sent by you through the e-mail shall be digitally signed, encrypted, non tamper able and shall comply with the provisions of the IT Act, 2000. You will allot a unique user name and password to enable us to access the ECNs posted on the website www.spjainsec.com in a secured way with an option to access the same for a reasonable period of time. My non-verification or not accessing the contract notes on regular basis shall not be a reason for disputing the contract note at any time. I/We have noted that non-receipt of bounced mail notification from our email ID shall amount to delivery of the ECNs/ communication at my/our e-mail ID I/We have noted that Where ever the ECNs have not been delivered or has been rejected in case of bounced mail you shall send a physical contract note to me/us. I/We agree that In case of failure in system or errors in sending the digital contract notes, the contract notes issued in physical form shall be binding on me/us I/We have noted that any other communication such as STT statement, Financial & Securities Statements, Daily Obligation Statement/ Margin Statement or any other information sent by you on the above email id will be treated as the delivery of the information provided. I/We also agree that in absence of my/our communication regarding non receipt of the email / information will be deemed as receipt of the email sent by you electronically. Any change in the email ID shall be communicated by us through a physical letter to yourselves or fresh submission of this letter should be treated as sufficient for change in my email id for all communication. Email ID given above is the new Email ID hence forth, the same can be updated in all of my details where ever required. I/We hereby authorize the undersigned Mr. Ms. to collect & acknowledge on my/our behalf the Bills / Contracts of my / our daily transactions & any other documents. (Client Signature) (Signature of the Authorized Signatory) Date:- - 15 -
LETTER FOR OPERATIONS OF ACCOUNT ALL EXCHANGES - VOLUNTARY (Kindly note that these additional clause(s)/ documentation(s) are voluntary and at the discretion of the stock broker/ trading member and the client. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document) To, S.P.Jain Securities Pvt Ltd 14, Ambalal Doshi Marg, Raja Bahadur Bldg, 2,3 floor Fort, Mumbai 400 023. Sir(s), Re: Letter for operations of account For the smooth operations of the account, kindly note our following instructions: 1. I/We authorize you to accept buy / sell order for securities over the telephone / fax / email or by any other mode of information / communication conveyed by me/us and no need to take separate instructions in writing every time. All such orders and trades will be binding on me/us. 2. I/We agree that I/We do not require your modification / confirmation / cancellation slips and trade confirmation slips. 3. I/We authorize you to debit my/our account with you towards the Debit dues of the Demat Account held with you. I/We will not object to any such debit entries made by you towards the debit dues in my/our demat account with you. 4. I/We agree that any information for adjustment of the securities in ensuing payin obligation will be made by me prior to the date of the payout & will be at your discretion without any responsibility on you to do the same. 5. I /We hereby authorize you to debit my/our trading account for debit in my/our demat account (Depository Account) held with you as and when bills are raised or at your discretion & shall not be binding on you to do so. 6. I/We hereby authorize you to debit my/our trading account for Internet trading / Securities pledged towards margin or any other facilities voluntarily being availed by me & chargeable from time to time. I also hereby authorize you to debit my trading account in case of charges / penalties levied for non-compliance of the Bye Laws, Rules and Regulations as laid down by SEBI / Exchanges / Depositories or any other government authorities. 7. I/We hereby agree to your adjustment of the financial obligation in same / different segment & same / different exchanges by way of Journal Entries or Financial transactions & same will be binding on me / us. Thanking you (Client Signature) Date:- - 16 -