Name of the Trading Member : Lunia Investments & Finance Pvt Ltd., SEBI Registration No and Date (C.M) : INB230857033, Date: 12-Jan-1996 SEBI Registration No and Date (F&O) : INF230857033, Date: 27-Aug-2003 Registered office Address : Old no: 144 N s c Bose Road, 3 rd Floor, : Davey Complex, Sowcarpet : Chennai 600079. Phone No : 044 25393414 Fax No: 044-25393418 Web Site : www.lifco-online.com Correspondence office Address : Old no: 144 N s c Bose Road, 3 rd Floor, : Davey Complex, Sowcarpet : Chennai 600079. Phone No : 044 25393414 Fax No: 044-25393418 Web Site : www.lifco-online.com Compliance Officer Name : G.Magesh Phone Number : 044 25393414 Mobile: 9941291700 Email id : backoffice@lifco-online.com CEO Name : Kushal Kumar Ranka Phone Number : 044-25393414 (M) 9840117709 Email id : lifco_kkr@yahoo.co.in PCM ID Clearing Member Name Address Our Derivative Clearing Member Sebi Reg No : INF 231133630 Tel No : 022-28570965 : C50008 : IL&FS : Plot No. C 22 G Block : Bandra Kurla, Complex Mumbai 400 051 Capital market Clearing Member Name of the Clearing Member : Lunia Investments & Finance Pvt Ltd., C.M Clearing No : 08570 For any grievance/dispute please contact Lunia Investments & Finance Pvt Ltd., at the above address or email id : compliance@lifco-online.com and phone Number 044-25393418. In case not satisfied with the response, please contact the concerned exchange(s) at : ignse@nse.co.in and Phone no: 022 26598190 1
Annexure -1 Account Opening Kit INDEX Mandatory Documents As Prescribed By Sebi & Exchanges Sr. No Name of the Document Brief Significance of the Document Pages No From To 1 Account Opening Form A.KYC form Document captures the basic information about the constituent and an instruction / check list. 3-9 B. Document captures the additional information about the constituent relevant to trading account and an instruction/check list. 2 Rights and Obligations Document stating the Right & 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) 3 Risk Disclosure Document detailing risks associated with Document (RDD) dealing in the securities market. 4 Guidance note Document detailing do s and don ts for trading on exchange, for the education of the investors. 5 Policies & Procedure Document describing significant policies and procedures of the stock broker 6 Tariff sheet Document detailing the rate / amount of brokerage and other charges levied on the client for trading on the stock exchange(s) 10-17 18-22 23-24 25-28 29-29 Voluntary Documents As Provided By The Stock Broker Sr. Name of the Brief Significance of the Document No Document 7 Intimation Declaration for PRO Trading & Declaration for Mobile Number 8 Declaration Client Defaulter Declaration & PMLA Declaration 09 Running account authorization 10 Authorization of group /Family Dealings Letter of Authority 11 Pages No From To 30-30 31-31 Authority to the Trading Member to maintain a 32-32 running account Authorization of Family group Accounts 33-34 Required for facilitating the clients accounts with ease of operation 34-36 2
A. IDENTITY DETAILS Annexure - 2 KNOW YOUR CLIENT (KYC) APPLICATION FORM Please fill this form in ENGLISH and in BLOCK LETTER 1. Name of the Applicant:... Photograph across the signature 2. Father s/ Spouse Name:. 3. a. Gender: Male Female b. Marital status: Single Married c. Date of birth: dd/mm/yyyy) 4. a. Nationality: Indian b. Status : Resident Individual Non Resident Foreign National 5. a. PAN: b. Unique Identification Number (UID)/ Aadhaar, if any: 6. Specify the proof of Identity submitted:.. B. ADDRESS DETAILS 1. Address for correspondence : :. City/town/village Pin Code State Country : : : :. 2. Contact Details : Tel.(Off.)..Tel. (Res.) : Mobile No.:.. : Fax:...Email id :.. 3. Specify the proof of address submitted for correspondence address:... 4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant) City/town/village Pin Code State Country :. :. :. :. 5. Specify the proof of address submitted for permanent address:.. 3
C. OTHER DETAILS 1. Gross Annual Income Details (please specify): Income Range per annum: Below Rs 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lacs or Net-worth as on (date) (----------------- ) (*Net worth should not be older than 1 year) 2. Occupation (please tick any one and give brief details): Private Sector Public Sector Government Service Business Professional Agriculturist Retired Housewife Student Others :. 3. Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP) :.. 4. Any other information: 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 Date: (dd/mm/yyyy) FOR OFFICE USE ONLY (Originals verified) True copies of documents received (Self-Attested) Self Certified Document copies received (..) Signature of the Authorized Signatory Date. Seal/Stamp of the intermediary 4
Annexure 3 TRADING ACCOUNT RELATED DETAILS A.BANK ACCOUNT(S) DETAILS For Individuals & Non-individuals Bank Name Branch Address Bank Account Number AccountType: Saving/Current/ Others-Incase NRI/NRE/NRO of MICR Number IFSC code B. DEPOSITORY ACCOUNT(S) DETAILS Depository Participant Name Depository Name (NSDL/CDSL) 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 Segments National Stock Exchange Of India Ltd., Cash * F&O * Currency Derivative * # 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:.. 5
E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details: Sub-broker s Name:.. SEBI Registration number: Registered office address: Phone No:.. Fax No:... Website:... Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all) Name of stock broker: Client Code:. Name of Sub-Broker, if any : Exchange:.... Details of disputes/dues pending from/to such stock broker/sub- broker:. F. ADDITIONAL DETAILS Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify): Physical Contract No : Yes No Electronic Contract Note (ECN) : Yes No Specify your Email id, if applicable:.. Whether you wish to avail of the facility of internet trading/wireless technology (please specify): Internet Trading Facility : Yes No Wireless Technology Facility : Yes No Investment Experience: No Prior Experience, In Stocks.. years, In Derivatives years In other Investments Related Field..years. G. INTRODUCER DETAILS (optional) Name of the Introducer:.. (Surname) (Name) (Middle Name) Status of the Introducer: Sub-broker Remisier Authorized Person Existing Client Others, please specifiy.. Address and phone no. of the Introducer: Signature of the Introducer: 6
H. NOMINATION DETAILS (for individuals only) I/We wish to nominate I/We do not wish to nominate Name of the Nominee: Relationship with the Nominee: PAN of Nominee:... Date of Birth of Nominee:. Address and phone no. of the Nominee:.. If Nominee is a minor, details of guardian: Name of guardian: Signature of guardian. Address and phone no. of Guardian :. WITNESSES (Only applicable in case the account holder has made nomination) Name ------------------------- Name ----------------------------- Signature ------------------------- Signature ---------------------------- Address -------------------------- Address ------------------------------ 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. Place ----------------------- (-----------------------------------------------) Date ------------------------ Signature of Client 7
FOR OFFICE USE ONLY UCC Code allotted to the Client: -------------------- Name of the Employee Documents verified with Originals Client Interviewed By In-Person Verification done by Employee Code Designation of the employee Date Signature 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 non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the Rights and Obligations and RDD would be made available on my/our website, if any, for the information of the clients. For Lunia Investments & Finance Pvt Ltd., Authorized Signatory Date. Seal/Stamp of the stock broker 8
INSTRUCTIONS/ CHECK LIST 1. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Net worth certificate Form 16 Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating Self declaration with relevant supporting ownership of assets. documents. *In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. 2. 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. 3. Demat master or recent holding statement issued by DP bearing name of the client. 4. 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 inperson 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. 5. 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 IBT USERS EMAIL ID : MOBILE NUMBER : LAND LINE NUMBER : SEGMENT ENABLE : NSE- CM NSE-FAO NSE-CDS PRODUCT TYPE : EXE VERSION BROWSER VERSION Client Signature 9