MCX Individual Non-Individual Client Name Client Code CLIENT REGISTRATION FORM
INDEX OF DOCUMENTS S. No. Name of the Document Brief Significance of the Document Page No. 1. KRA Form and Account Opening Form MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES A. KYC Form - Document captures the basic information about the constituent and an instruction/check list. B. Document captures the additional information about the constituent relevant to Trading account and an instruction/check list. 1-5 2. 3. 4. 5. 6. 7. 1. 2. 3. 4. 5. 6. Document detailing the rate/amount of brokerage & Tariff sheet other charges levied on the client for trading on 5 commodity exchange(s). One time declaration Policies and Procedures Rights and Obligations Risk Disclosure Document (RDD) Guidance note Document describing significant policies and procedures of the Commodity Broker Document stating the Rights & Obligations of commodity broker/trading member, sub-broker / Authorised Person and client for trading on exchange (including additional rights & obligations in case of internet/wireless technology based trading). Document detailing risks associated with dealing in the commodities market. Document detailing do s and don ts for trading on exchange, for the education of the investors. VOLUNTARY DOCUMENTS AS PROVIDED BY THE COMMODITY BROKER Standing Instruction To Maintain Running Account Electronic Contract Note [ECN] Acknowledgement HUF Declaration Declaration By The Person Filling The Form Declaration For Name Difference Declaration for Open Interest Position and high value transactions Authorisation to maintain Running Account Authorisation Acknowledgement From Client Authorisation Vernacular Languages Declaration IMPORTANT INSTRUCTIONS 5 SEPARATE COPY FOR CLIENT ALSO AVAILABLE ON www.greenbucksonline.com 6 7 7 8 9 9 1. All details to be filled in Capital Block letters in Black / Blue Ink Only. 2. Email ID & Mobile number is mandatory for account related passwords and transaction details. 3. Corrections in the KYC form should be counter signed. 4. Strike off whichever option, in the account opening form, is not applicable. 5. All Originals to be produced for physical verification. 6. If any proof of identity or address is in a regional language, then translation into English is required. 7. Sole proprietor must make the application in his individual name & capacity. 8. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
Relationships forever... KNOW YOUR CLIENT (KYC) APPLICATION FORM (FOR INDIVIDUALS ONLY) Application No. : Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options A. IDENTITY DETAILS GREENBUCKS COMTRADE PRIVATE LIMITED CIN : U97000UP2007PTC045139 GSTIN : 07AACCG8327P1Z3 Exchange Member ID SEBI Regn No. DATE MCX 35555 INZ000029330 09 / 03 / 2016 1. Name of Applicant Father s/ Spouse Name 2. a. Mother Name b. Maiden Name 3. a. Gender Male Female b. Date of birth c. Marital Status 4. Nationality Indian 5. Status 6. PAN Aadhaar 7. Aadhar 8. Specify the proof of identity submitted : B. ADDRESS DETAILS Single Married Resident Individual PHOTOGRAPH Paste color passport size photo & sign across it 1/14 Applicant Signature 1. Correspondence Address City/Town/Village State 2. Contact/ Mobile No Tel (Off.) 3. Specify the proof of Correspondence Address submitted: 4. Permanent Address (if different from above correspondence address) Pin Code Country Tel (Res.) Email id Validity Date Same as correspondence address City/Town/Village State 5. Specify the proof of Permanent Address submitted: Pin Code Country Validity Date DECLARATION I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. Place Date Details of Employee/SB/AP Name & E Code Designation Date / Place Signature FOR OFFICE USE ONLY 01 Signature of Applicant Greenbucks Comtrade Private Limited Documents verified with Originals & In-Person Verification done by PLACE 2/14 Greenbucks Comtrade Pvt. Ltd. Seal/Stamp of the Intermediary
CKYC Reference No.: CHECKLIST FOR KYC 14 DIGITS KYC NUMBER (PLEASE TICK WHEREVER APPLICABLE) PAN Card Photograph Additional Proof of Identity (Any One) Proof of Address (Any One) Permanent / Correspondence * Mandatory Bank Proof With MICR / IFSC Code (1st Holder only) Proof of Income (Any One) Mandatory for Derivatives Segments) (1st Holder only) Client Name 1. 2. 3. Note: Valid Documents (Copies of all documents to be self attested) Account Holder & Joint Holder s (If any) One Colored Passport Size Photograph a. PAN Card* b. Unique Identification Number (UID) (Aadhaar)* c. Valid Passport d. Valid Driving License e. Voter ID f. Other (Pls. Specify) a. Unique Identification Number (UID) (Aadhaar)* b. Valid Passport c. Valid Driving License d. Voter ID e. Bank Statement/Passbook (not more than 3 months old must contain complete address of client) f. Electricity Bill (not more than 3 months old) g. Resident Landline Tel. Bill (not more than 3 months old) a. Bank Statement / Bank Passbook with cheque leaf (not more than 3 months old) b. Banker s Certificate on letter head of the Bank (ORIGINAL) c. Cancelled Personalized Cheque leaf KRA document used (Email Id & Phone number to be provided on given KRA Form) KRA document used Please Tick h. Other (Pls. Specify) a. Copy of latest ITR acknowledgment b. In case of salary income - Salary Slip, Copy of Form 16 c. Net-worth certificate (Not more than 1 year old) d. Copy of Demat Account Holding Statement (not more than 3 months old) e. Bank Account Statement for last 6 months reflecting income FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL Are you Indian Resident Person? (Refer Risk Disclosure Document at www.greenbucksonline.com Specify country of residence for tax purpose (If above clause is no) Specify Tax Identification No. / Others First Holder Second Holder Third Holder a. If you are a U.S. person and / or if your tax residency / nationality / citizenship is other than India, then please provide declaration / self certification under FATCA / CRS. This declaration form can be downloaded from www.greenbucksonline.com or call at KYC Helpdesk at +91-11-43204000 (30 Lines) or write to admin@greenbucksonline.com b. Sole Proprietor must make the application in his individual name & capacity. 02 Yes No Yes No Yes No 3/14
ADDITIONAL KYC DETAILS FOR TRADING ACCOUNT TYPE OF ACCOUNT : Individual Sub Status Resident Other A. BANK ACCOUNT DETAILS (BANK 1 WILL BE CONSIDERED FOR PAYOUT OF FUNDS) Bank 1 : Bank Name & Branch Location: Account No. MICR Code Bank 2 : Bank Name & Branch Location: Account No. MICR Code B. DEPOSITORY ACCOUNT(S) DETAILS Depository Participant Name Beneficiary Name DP ID D. PAST REGULATORY ACTIONS Savings IFSC Code Savings IFSC Code Current Current Note: Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client. 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 Multi Commodity Exchange Ltd. Date Beneficiary ID (BO ID) Signature of Applicant Applicant Signature Applicant Signature Details of any action / proceedings initiated / pending / taken by SEBI / Commodity Exchange / Stock Exchange any other authority against the applicant / constituent or its Partners / promoters / whole time directors /authorized persons in charge of dealing in commodities during the last 3 years: No If yes, please specify E. INTRODUCER DETAILS Status of Introducer Introducer Name: Address of SB/AP: NSDL CDSL 4/14 Relation CKYC No: Sub-broker/AP Employee Existing Client Others (Specify): SB/AP/Emp/Client Code: Mobile No: Signature of the Introducer F. DEALING THROUGH SUB-BROKERS / AUTHORISED PERSON (AP) / OTHER STOCK BROKERS If Yes, please specify: Name of Broker/SB/AP Name of Exchange Details of disputes/dues pending from/to such stock broker/sub-broker: SEBI Registration No Whether you are a Member / Sub-broker / AP of any Exchange Yes No Trading Code G. STANDING INSTRUCTIONS / OTHER DETAILS / EMAIL-SMS ALERT / CONTRACT NOTE PREFERENCE To send Electronic Transaction, ECN / Bill & all correspondence at Applicant Email ID stated in KYC Yes No To avail facility of Internet Trading & Wireless Technology Yes No To receive Rights & Obligations, RDD, Guidance Note, Policies & Procedures & all non mandatory documents in electronic and also displayed for information on website www.greenbucksonline.com Declaration for Email & Mobile Number Self Spouse Child Parent Yes No 03
H. INFORMATION FOR PREVENTION OF MONEY LAUNDERING ACT, 2002 & OTHER DETAILS Experience Gross Annual Income Occupation (Please tick) Number of years of Investment / Trading Experience OR Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs >25 Lacs Net Worth in ` (*Net worth should not be older than 1 year) Govt Service Public Sector Housewife Professional Business Student as on date Private Sector Service Retired Is the Client Politically Exposed Person (PEP) or Related to a PEP Yes No Agriculturist Others (Pls Specify) More then 1 Crore I. SALES TAX / VAT REGISTRATION DETAILS Registration No Local Sales Tax Other Sales Tax Central Sales Tax Local VAT Other VAT State Name Validity Date J. NOMINEE DETAILS FOR INDIVIDUAL ONLY Name Address Pin Code Pan Card WITNESSES (ONLY APPLICABLE IN CASE THE ACCOUNT HOLDER HAS MADE NOMINATION) Name Same as 1st Holder Relationship with Nominee (if any): GUARDIAN DETAILS (IF NOMINEE IS A MINOR) Name Address Tel Relationship with Nominee (if any): Place: Else fill below details Aadhar No Name I/We wish to nominate Tel Date of birth This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us. Nomination Registration No.: City Guardian Signature: I/We do not wish to nominate 5/14 Date: Address Address Signature of 1st Witness Signature of 2nd Witness Note: 1. Where the holder is minor, person law fully entitled to act on behalf of the minor should sign the nomination. 2. Birth Certificate is required incase of minor. 04
OFFICE USE ONLY I / We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the Policy and Procedures, tariff sheet and all the nonmandatory 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. Details of Employee/SB/AP Name & E Code Designation Date / Place Signature Greenbucks Comtrade Private Limited Documents verified with Originals & In-Person Verification done by CLIENT DECLARATION - OPEN INTEREST POSITION I/We, the undersigned, have taken cognizance of circulars issued by Regulator / Commodity Exchanges from time to time 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 I / we will not exceed the position limits prescribed from time to time by Commodity Exchanges or Regulator and such position limits will be calculated in accordance with the circulars on position limits as modified 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 Exchanges through or through any other member (s) or Exchanges, to enable you to restrict our position limit as prescribed by the above referred circular of Exchanges as modified from time to time. I / We confirm that you have agreed to enter order in commodity forward contracts / commodity derivatives for me / us as your clients on Commodity Exchanges only on the basis of our above assurances and undertaking. I/We further undertake to bear any liable / penalty / charges levied by Commodity Exchanges / Regulator. Date: / / Place : DECLARATION PLACE 6/14 I / We declare that the particulars furnished above are true & correct to the best of my / our knowledge & belief. I / We agree & undertake to intimate you of any change in any of the above points immediately and to the exchanges also. 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 & suitable action. I / We confirmed having received, read/been explained and understood the content of the Rights and Obligations Document, Risk Disclosure Document, Guidance Note and Do s and Don ts 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 also confirm having read/been explained and understood the contents of the document on policy and procedures of the commdity broker and the tariff sheet. I / We have also the informed that the standard set of documents has been displayed for information on stock broker s designated website i.e. www.greenbucksonline.com Place: 7/14 Date: TARIFF SHEET Greenbucks Comtrade Pvt. Ltd. Authorised Signatory (Attest with seal) BROKERAGE FIXED % MINIMUM / LOT Jobbing Commodity Market Delivery Options 8/14 05
DISCLOSURE Greenbucks Comtrade Private Limited discloses herewith that it is undertaking proprietary trading in addition to trades done for its clients. Risk of Option holders: Additional Risk Disclosure documents for Options Trading 1. An option holder runs the risk of losing the entire amount paid for the option in a relatively short period of time. This risk reflects the nature of an option as a wasting asset which becomes worthless when it expires. An option holder who neither sells his option in the secondary market nor exercises it prior to its expiration will necessarily lose his entire investment in the option. If the price of the underlying does not change in the anticipated direction before the option expires, to an extent sufficient to cover the cost of the option, the investor may lose all or a significant part of his investment in the option. 2. The Exchanges may impose exercise restrictions and have absolute authority to restrict the exercise of options at certain times in specified circumstances. Risks of Option Writers: 1. If the price movement of the underlying is not in the anticipated direction, the option writer runs the risks of losing substantial amount. 2. The risk of being an option writer may be reduced by the purchase of other options on the same underlying interest and thereby assuming a spread position or by acquiring other types of hedging positions in the options markets or other markets. However, even where the writer has assumed a spread or other hedging position, the risks may still be significant. A spread position is not necessarily less risky than a simple 'long' or 'short' position. 3. Transactions that involve buying and writing multiple options in combination, or buying or writing options in combination with buying or selling short the underlying interests, present additional risks to investors. Combination transactions, such as option spreads, are more complex than buying or writing a single option. And it should be further noted that, as in any area of investing, a complexity not well understood is, in itself, a risk factor. While this is not to suggest that combination strategies should not be considered, it is advisable, as is the case with all investments in options, to consult with someone who is experienced and knowledgeable with respect to the risks and potential rewards of combination transactions under various market circumstances. 9/14 06
Electronic Contract Note [ECN] DECLARATION (VOLUNTARY) To, Greenbucks Comtrade Private Limited Head Office : S-193, School Block, Shakarpur, Delhi-110092 Phone: +91-11-43204000 Fax : +91-11-43204021 Appendix A Dear Sir, I, a client with Member M/s. Greenbucks Comtrade Private Limited of MCX undertake as follows: I/we am/self want the same in the electronic form. I/we am aware that the Member has to provide electronic contract note 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/are 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 email operations. My/our email id is *. This has been created by me/us and not by someone else. I/we am/are aware that this declaration form should be in English or in any other Indian language known to me/us. I/we am/are aware that non-receipt of bounced mail notification by the member shall amount to deliver of the contract note at the above email id. The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me. I/.We am/are aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same. *(The email is must be written in own handwriting of the client) Unique Client Code : PAN : Client Name : Address : Date: / / Place : For Office Use Only Verification of the client signature done by, Name of the designated officer of the Member 10/14 Date : / / Note : 1. You can revoke ECN facility and opt for the Contract Note in the physical form only by giving 7 working days notice to the member and copy of the same would be retained by you. 2. In case, due to any reason, whatsoever, if contract note is sent in physical form including bouncing of email, charges, if applicable, shall be debited. I/We... hereby confirm that I/We have received the copy of KYC Forms, Risk Disclosure Documents, Investor Right s & Obligations, Guidance Note (Do s and Don ts), alongwith internet/wireless technology based trading. I/We also confirm that I/We got my unique client code. Date Place Client Code : / / : : TEAR HERE ACKNOWLEDGEMENT FROM CLIENT 11/14 07
To, Greenbucks Comtrade Private Limited Head Office : S-193, School Block, Shakarpur, Delhi-110092 Phone: +91-11-43204000 Fax : +91-11-43204021 Dear Sir / Madam, HUF DECLARATION We confirm that the undersigned are all members of (HUF), and we have no objection to the Karta, Mr. operating a trading a/c with M/s. Greenbucks Comtrade Private Limited. NAME OF THE FAMILY MEMBERS DATE OF BIRTH SEX SIGNATURE 1. D D M M Y Y Y Y Male Female 2. D D M M Y Y Y Y Male Female 3. D D M M Y Y Y Y Male Female 4. D D M M Y Y Y Y Male Female 5. D D M M Y Y Y Y Male Female Yours truly, Signature of Karta STANDING INSTRUCTION TO MAINTAIN RUNNING ACCOUNT (VOLUNTARY) I / We request you to maintain my / our accounts for funds and securities on running accounts basis instead of bill to bill settlement basis, unless I/we specifically request you for a payout of available free funds or securities in the account. You may settle the accounts at monthly / quarterly or at such other intervals as SEBI / Commodity Exchanges may specify from time to time. I / We further authorize you to retain securities and/or funds as may be permitted by Commodity Exchanges / SEBI from time to time or towards other unbilled services and/or charges applicable on my account, while settling the accounts. I/We further authorize you to also retain an amount of up to Rs. 50,000/- (Fifty Thousand Only) or any other sum as may be permitted by SEBI / Commodity Exchanges from time to time, while settling my / our account. I / We understand and agree that no interest will be payable on the amount of funds retained by you as above. I / We agree that Greenbucks Comtrade Pvt. Ltd. shall not be liable for any claim for loss or loss of profit or for any consequential, incidental, special or exemplary damages, or otherwise, caused by retention of such securities / funds. The standing instruction / authorization for maintaining my/our account as running account shall remain valid until revoked in writing, addressed to you. Date Place Client Code : / / : : 12/14 TEAR HERE Relationships forever... 08
DECLARATION BY THE PERSON FILLING THE FORM (Forms filled in by scribe OR for forms signed in vernacular languages) To, Greenbucks Comtrade Private Limited Head Office : S-193, School Block, Shakarpur, Delhi-110092 Phone: +91-11-43204000 Fax : +91-11-43204021 I/We Mr./Ms/Mrs./M/s. R/o having known the applicant for a period of Yrs Months do hereby declare that Mr. /Ms / Mrs. /M/s.. R/o wishes to open Trading account with M/s Greenbucks Comtrade (P) Ltd, for the purpose of Trading in MCX. I/We have explained all the terms and conditions contained in Member Client Agreement. I/We have also explained the Risk Disclosure Document (RDD) & meaning and purpose of all the authorizations and standing instructions pertaining to Trading in MCX. Further, I/We declare that, I/We have read and explained the rules, Bye-Laws and Regulations of the MCX and Mr. /Ms /Mrs. /M/s. agrees to abide by them. Signature of Scribe Name of Scribe Address of Scribe 13/14 Signature of Client Name of Client Address of Client Witness Signature : Name : Address : : VOLUNTARY Date: / / Place : DECLARATION FOR NAME DIFFERENCE To, Greenbucks Comtrade Private Limited Head Office : S-193, School Block, Shakarpur, Delhi-110092 Phone: +91-11-43204000 Fax : +91-11-43204021 Dear Sir, This is to certify that the name in PAN Card and the name in PAN Card site and the name on bank proof or cheque and the name on my address proof all are same and all belongs to me. Further I declare that I have no objection if you provide all my payouts in the name (which is printed on cheque. Bank proof). I request you therefore to open the account with your company on my aforesaid representation as per the form duly filled in by me and accept the documents furnished by me in support thereof. I agree to abide by all the terms & conditions of the company as are applicable for the opening and operation of the said account. I state that without prejudice to the company's rights, other rights in law or under the terms & conditions or otherwise, I shall be liable to pay damages and compensation to the company, which may be incurred or suffered by the company upon the company opening the said account as requested by me relying on my aforesaid representation. VOLUNTARY 14/14 Signature : Name : Place : Date: / / 09
Form No. Branch Name Client Code WE ALSO OFFER > Equity Trading > Currency Derivatives Trading > Depository Services > Online Trading > Web Based Real Time Back Office > Web Based Depository Services > SMS Alert Group Companies GreenbucksSecuritiesPvt.Ltd. Memebr NSE (CM, F&O, CDS) BSE (CM, F&O) DP - CDSL GreenbucksConsultancyPvt.Ltd. GreenbucksComtradePrivateLimited CIN : U97000UP2007PTC045139 GSTIN : 07AACCG8327P1Z3 MEMBER : MCX-35555 SEBI Regn. No.: INZ000029330 Regn. Date: 09-03-2016 Head Office: S-193, School Block, Shakarpur, Delhi-110092 Ph.: +91-11-43204000 Fax: +91-11-43204021 Corporate Office: B-161, Lok Vihar, Pitampura, New Delhi-110034 Ph.: +91-11-49994000 Fax: +91-11-49994099 Regd. Office : S-12/A, Aditya City Centre, Vaibhav Khand, Indirapuram, Ghaziabad-201012 (U.P) E-mail: admin@greenbucksonline.com Compliance Officer s Name : Sandeep Jha, Phone No. : +91-11-43204000, E-mail Id : sandeepj@greenbucksonline.com CEO s Name : Sandeep Jha, Phone No. : +91-11-43204000, E-mail Id : admin@greenbucksonline.com Note: For any grievance/dispute please contact Greenbucks Comtrade Private Limited at the above address or email id: contactus@greenbucksonline.com and Phone No.: +91-11-43204000. In case not satisfied with the response, please contact the concern exchange at : MCX, Email Id: grievance@mcxindia.com, Tel. No.: +91-22-66494070 w w w. g r e e n b u c k s o n l i n e. c o m