Motilal Oswal Financial Services Ltd · 2020. 4. 27. · Motilal Oswal Financial Services Limited...

86
VERSION 2 / February 20 Motilal Oswal Financial Services Ltd Motilal Oswal Financial Services Limited (MOFSL)* Member of NSE, BSE, MCX, NCDEX CIN No.: L67190MH2005PLC153397 Registered Office Address: Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025; Tel No.: 022-71934263; Website www.motilaloswal.com Correspondence Office Address: Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai- 400 064. Tel No: 022 7188 1000. Registration Nos.: Motilal Oswal Financial Services Limited (MOFSL)*: INZ000158836 (BSE/NSE/MCX/NCDEX); CDSL and NSDL: IN-DP-16-2015; Research Analyst: INH000000412. AMFI: ARN - 146822; Investment Adviser: INA000007100; Insurance Corporate Agent: CA0579. Motilal Oswal Asset Management Company Ltd. (MOAMC): PMS (Registration No.: INP000000670); PMS and Mutual Funds are offered through MOAMC which is group company of MOFSL. Motilal Oswal Wealth Management Ltd. (MOWML): PMS (Registration No.: INP000004409) is offered through MOWML, which is a group company of MOFSL. • Motilal Oswal Financial Services Limited is a distributor of Mutual Funds, PMS, Fixed Deposit, Bond, NCDs, Insurance Products and IPOs. • Real Estate is offered through Motilal Oswal Real Estate Investment Advisors II Pvt. Ltd. which is a group company of MOFSL. • Private Equity is offered through Motilal Oswal Private Equity Investment Advisors Pvt. Ltd which is a group company of MOFSL. • Research & Advisory services is backed by proper research. Please read the Risk Disclosure Document prescribed by the Stock Exchanges carefully before investing. There is no assurance or guarantee of the returns. Investment in securities market is subject to market risk, read all the related documents carefully before investing. Details of Compliance Officer: Name: Neeraj Agarwal, Email ID: [email protected], Contact No.:022-71881085. * MOSL has been amalgamated with Motilal Oswal Financial Services Limited (MOFSL) w.e.f August 21, 2018 pursuant to order dated July 30, 2018 issued by Hon'ble National Company Law Tribunal, Mumbai Bench. Customer having any query/feedback/ clarification may write to [email protected]. In case of grievances for Securities Broking write to [email protected], for DP to [email protected] Investment in securities market are subject to market risks, read all the related documents carefully before investing. Paperwork hua purana, e-KYC ka hai zamaana. Forget this form, switch to e-KYC. KNOW YOUR CLIENT (KYC) APPLICATION FORM (BSE,NSE,CDSL,MCX,NCDEX) No money / cash to be paid to any of ours Authorised Person. Any funds pay-in / fees / charges are to be paid only by cheque / RTGS in favour of Molal Oswal Financial Services Ltd. only.”

Transcript of Motilal Oswal Financial Services Ltd · 2020. 4. 27. · Motilal Oswal Financial Services Limited...

  • VERSION 2 / February 20

    Motilal Oswal Financial Services Ltd

    Motilal Oswal Financial Services Limited (MOFSL)* Member of NSE, BSE, MCX, NCDEX CIN No.: L67190MH2005PLC153397Registered Office Address: Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025; Tel No.: 022-71934263; Website www.motilaloswal.com Correspondence Office Address: Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai- 400 064. Tel No: 022 7188 1000. Registration Nos.: Motilal Oswal Financial Services Limited (MOFSL)*: INZ000158836 (BSE/NSE/MCX/NCDEX); CDSL and NSDL: IN-DP-16-2015; Research Analyst: INH000000412. AMFI: ARN - 146822; Investment Adviser: INA000007100; Insurance Corporate Agent: CA0579. Motilal Oswal Asset Management Company Ltd. (MOAMC): PMS (Registration No.: INP000000670); PMS and Mutual Funds are offered through MOAMC which is group company of MOFSL. Motilal Oswal Wealth Management Ltd. (MOWML): PMS (Registration No.: INP000004409) is offered through MOWML, which is a group company of MOFSL. • Motilal Oswal Financial Services Limited is a distributor of Mutual Funds, PMS, Fixed Deposit, Bond, NCDs, Insurance Products and IPOs. • Real Estate is offered through Motilal Oswal Real Estate Investment Advisors II Pvt. Ltd. which is a group company of MOFSL. • Private Equity is offered through Motilal Oswal Private Equity Investment Advisors Pvt. Ltd which is a group company of MOFSL. • Research & Advisory services is backed by proper research. Please read the Risk Disclosure Document prescribed by the Stock Exchanges carefully before investing. There is no assurance or guarantee of the returns. Investment in securities market is subject to market risk, read all the related documents carefully before investing. Details of Compliance Officer: Name: Neeraj Agarwal, Email ID: [email protected], Contact No.:022-71881085.

    * MOSL has been amalgamated with Motilal Oswal Financial Services Limited (MOFSL) w.e.f August 21, 2018 pursuant to order dated July 30, 2018 issued by Hon'ble National Company Law Tribunal, Mumbai Bench.

    Customer having any query/feedback/ clarification may write to [email protected]. In case of grievances for Securities Broking write to [email protected], for DP to [email protected]

    Investment in securities market are subject to market risks, read all the related documents carefully before investing.

    Paperwork hua purana,

    e-KYC ka hai zamaana.

    Forget this form, switch to e-KYC.

    KNOW YOUR CLIENT (KYC) APPLICATION FORM(BSE,NSE,CDSL,MCX,NCDEX)

    No money / cash to be paid to

    any of ours Authorised Person.

    Any funds pay-in / fees / charges

    are to be paid only by cheque /

    RTGS in favour of Mo�lal Oswal

    Financial Services Ltd. only.”

  • INDEX OF DOCUMENTS

    Sr.No.

    Brief Significance of the Document

    Account Opening Form1.

    Name of the Document

    A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

    Tariff sheet2.

    3.

    Page No.

    1-8

    9-12

    16-18

    4.

    30-32

    Rights and Obligations6.

    Risk Disclosure Document (RDD)7.

    Guidance note8. 47-48

    49-51

    39-42

    43-46

    33-34

    Document detailing do’s and don’ts for trading on exchange, for the education of the investors.

    B. Document captures the additional information about the constituent relevant to trading account.

    A. KYC form - Document captures the basic information about the constituent along with an instruction/check list for filling KYC form.

    Document detailing the rate / amount of brokerage and other charges levied on the client for trading on the stock exchange(s).

    Document describing significant policies and procedures of the stock broker.

    Document stating the Rights & Obligations of stock broker/trading member, Authorised Person and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading).

    Document detailing risks associated with dealing in the securities market.

    Policies and Procedures

    FATCA Declaration FATCA Declaration

    STANDARD DOCUMENTS FOR DP, EQUITIES, DERIVATIVES & MARGIN TRADING FACILITY

    5. Rights and Obligations of Beneficial Owner and Depository Participant

    Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories 37-38

    Pro

    vid

    ed

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    rou

    gh

    Se

    para

    te H

    andB

    ook

    Application for Demat Account14.

    B - VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

    Power of Attorney15.

    16.

    Authority to Retain funds as running account

    17.

    Voluntary Clauses(Terms & conditions) - Annexure A

    12-15

    19-20

    21-26

    28

    For Availing Trust FacilityAll TRUST related Forms and Terms& Conditions are available onMOFSL Website.

    Common Registration Form for availing SMS Alert and/or TRUST facility19.

    Form for registering Clearing Members on whose behalf the securities can betransferred from the account of the BO on the basis of SMS under TRUST facility

    Combined Registration Form for availing SMS Alert and /or TRUST facility and for registering Clearing Members on whose behalf the securities can be transferred from the account of BO on the basis of SMS under TRUST facility

    De-registration Form for TRUST

    Terms And Conditions for availing Transaction Using Secured Texting (TRUST)Service offered by CDSL. Annexure 2.6

    20. Do’s & Dont’s 27

    36Family Declaration - Email / Mobile Updation in Family Codes

    Voluntary Document

    63

    10. Uniform Risk DisclosureDocument (RDD)

    Rights and Obligations ofMembers, Authorized Personsand Clients

    11.

    Do’s and Don’ts for the Investors13.

    12.

    52-54

    55-62

    64-65

    STANDARD DOCUMENTS FOR COMMODITIES

    Document detailing risks associated with dealing in the commodities market.

    Document stating the Rights & Obligations of member, Authorized Person and client for trading on exchanges.

    Document detailing do’s and dont’s for trading on exchange, for the education of the investors.

    Risk Disclosure Documents for Options

    Documents pertaining risk associated with dealing in the options

    18. 29Consent for Electronic ContractNote

    Consent for Electronic Contract Note

    Additional KYC details for opening a demat account

    Power of Attorney provided to broker to facilitate payin of securities/commodities and other authorizations.

    Additional clauses other than specified by SEBI to facilitate transactions of Client.

    For the purpose of operational convenience, this authorization is required to maintain the client account for the funds on running account basis.

    Motilal Oswal Financial Services Limited

    Rights & Obligations of Stock Brokers & Clients for Margin Trading Facility (MTF)

    Rights and Obligations - MTF9.

    Application to avail Margin Trading Facility under MOFSL. 35

  • Motilal Oswal Financial Services Limited

    For any grievance / dispute please contact stock broker (Motilal Oswal Financial Services Limited) at the above address or Email id [email protected] for stock broking related dispute or [email protected] for DP related dispute or can speak on Phone No. 91-22-71881000. In case not satisfied with the response, please contact BSE at [email protected] and Phone no. 91-22-22728016 and NSE at [email protected] and Phone no. 18002660058 and CDSL at [email protected] and phone No. 1800-200-5533 and NSDL at [email protected] and Phone No. 022-24994200 and MCX at [email protected] and Phone no. 91-22-66494070 and NCDEX at [email protected] and Phone no. +91-22-66406789.

    “You can also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575”.

    Motilal Oswal Securities Ltd. (MOSL)has been amalgamated with Motilal Oswal Financial Services Limited (MOFSL) w.e.f August 21, 2018 pursuant to order dated July 30, 2018 issued by Hon'ble National Company Law Tribunal, Mumbai Bench.

    Motilal Oswal Financial Services LimitedName of stock broker/trading member/clearing member

    SEBI Registration No. and date

    SEBI Registration number as Research Analyst INH000000412, November 29, 2018

    INZ000158836 (BSE/NSE/MCX/NCDEX) - February 05, 2019

    CDSL and NSDL : IN-DP-16-2015 - February 14, 2019

    Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025. Ph: +91-22-71934200 / 71934263 Fax: +91-22-50362365 Website: www.motilaloswal.com

    Registered Office Address

    Name of COO

    Name of compliance officer Mr. Neeraj Agarwal Ph: +91-22-71881085 Email Id: [email protected]

    Mr. Ajay Menon Ph: +91-22-71881000 Email Id: [email protected]

    Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai - 400 064. Ph: +91-22-71881000 Fax: +91-22-71881333 Website: www.motilaloswal.com

    Correspondence Office Address

    NERL: 50144 ComRIS : M1100050 - 06-Mar-2018 CCRL : 10055930 - 11-Sep-2018

    SEBI Registration Number as Investment Advisor INA000007100, November 29, 2018

  • WATCH OUTS / LAST MINUTE REVISION

    1. The A/c opening form is filled properly in BLACK INK and BLOCK LETTERS ONLY and do have : a. Clients Name and Signature at places marked in Grey color. b. Joint holders signature will be required against the symbols. c. Address - as it appears on the address proof. In case permanent & Correspondence addresses are different,

    make sure to provide address proof for both of them. d. Witness signature at places marked in Light Grey color. e. N. A. mentioned at all places not applicable to the client.2. White ink is not allowed either on form or on agreement. All corrections to be countersigned with full signature. 3. All proofs, photographs and signature on the form should be clearly visible and should be self attested by client.4. In Person Verification, PAN & Document verification from original has to be done by SEBI registered / Authorised

    Person only.5. In case of DP in joint names, all the proofs - PAN card and address proof - should be provided for the 2nd & 3rd

    Holder also

    TRADING & DEMAT ACCOUNT CHECKLIST (INDIVIDUAL / NRI) - ACOP Individual Version 2

    Required Validation

    Proofs

    ID Details Address Details Bank Details

    Name Sign Photo Bank Name & A/c No.

    MICR / IFSCCode

    PAN Card *Passport

    *Driving Licence Voter ID

    UID (Aadhaar)Ration Card

    ** Telephone Bill(Mobile bill not accepted)

    **Electricity Bill #Bank Statement ##Bank Passbook

    Cancelled Cheque (With Client name &A/c No. Printed)

    Bank Verification Letter

    (Original)

    üüüü

    üüü

    üüüü

    üüü

    üüü

    Abbreviations :

    PROOF FOR EXISTING DEMAT ACCOUNT HOLDERS

    DP Statement

    1. Clients name & DP A/c No. on the proof of DP should match with that mentioned in the account opening form. 2. DP statement should clearly show DP ID & Client ID.3. For E-Broking clients, Demat A/c should be opened with MOFSL only with POA.

    PROOFS FOR NRI (NON RESIDENT INDIAN)

    1. PAN card 2. Valid Passport / PIO Card / OCI Card as proof of Identity. Proof of Foreign Address and Indian Address (If any)3. Bank A/c should be either Repatriable Bank A/c for NRE OR Non-Repatriable A/c for NRO Status.4. Proof of Demat Account should be only with NRI status.5. Permission for dealing in securities from Authorized Dealer (Bank) / RBI.

    PROOF OF FINANCIAL DETAILS, any one

    Copy of Annual Accountsü

    Demat Holding Statement

    Copy of Income Tax Return ü

    Networth Certificateü ü

    Copy of Form 16 (Salary Certificate)ü

    Bank Statements for last 6 months ü

    ü Client Master Report (CMR)ü

    ü

    ü

    üü

    ü ü ü ü ü ü ü

    üü

    üü

    ü

    ü

    ü ü

    üü ü

    üü

    *1) The Proof should be valid on the DATE of agreement. **2) The Proof should not be more than 3 months old. #3) Bank Statement should be original and of latest quarter. It should have Bank Manager's Stamp & Sign, if original

    stationery is not available.##4) Bank Passbook should have Bank Manager's Stamp & Sign if it is hand written.

    CorrespondenceAddress

    PermanentAddress

    ü ü

    .

    Motilal Oswal Financial Services Limited

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  • 1

    1100010900

    Motilal Oswal Financial Services Limited

    PLEASE

    AFFIX

    RUBBE

    R STAM

    P & SIG

    N

    Name of the Organization

    Person name doing IPV / docs / PAN verification

    Designation / MOFSL Employee code

    Date of IPV / Document Verification

    Date of PAN Verification with IT Site

    Signature of the Person

    Motilal Oswal Financial Services Limited

    Sole/First Holder

    1/18

    2/18

    7.

    Landmark

    Landmark

    Please enclose duly attested copy of your Aadhar Card

    ACOP Individual Version 2

    NSE / BSE / MCX / NCDEX - AP Registration Number

  • 2 ACOP Individual Version 2

  • CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

    Important Instructions:

    A) Fields marked with ‘*’ are mandatory fields.

    B) Please fill the form in English and in BLOCK letters.

    C) Please fill the date in DD-MM-YYYY format.

    D) Please read section wise detailed guidelines / instructions

    at the end.

    E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

    F) List of two character ISO 3166 country codes is available at the end.

    G) KYC number of applicant is mandatory for update application.

    H) For particular section update, please tick (P) in the box available before the

    section number and strike off the sections not required to be updated.

    For office use only

    (To be filled by financial institution)

    Application Type*

    KYC Number

    Account Type*

    New Update

    Normal Simplified (for low risk customers) Small

    (Mandatory for KYC update request)

    Prefix First Name Middle Name Last Name

    Name* (Same as ID proof)

    Maiden Name (If any)

    Mother Name

    Gender*

    Marital Status*

    Citizenship*

    Residential Status*

    M -

    Married

    IN- Indian

    Person of Indian Origin

    Male F- Female T-Transgender

    Unmarried Others

    Others (ISO 3166 Country Code )

    (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

    A- NREGA Job Card

    B- Others (any document notified by the central government

    C- Simplified Measures Account - Document Type code

    Identification Number

    Identification Number

    3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)

    (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted

    Address Type* Residential / Business Residential Business Registered Office Unspecified

    Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card

    Address

    State / U.T Code* ISO 3166 Country Code*

    1. PERSONAL DETAILS (Please refer instruction A at the end)

    2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)

    3. PROOF OF ADDRESS (PoA)*

    3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

    Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

    State / U.T Code* ISO 3166 Country Code*

    3

    Signature & Stamp

    1st Holder

    3/18

    Signed for and on behalf of

    ACOP Individual Version 2

    Addition of Related Person Deletion of Related Person

    (In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)

    (If KYC number and name are provided, below details of section 6 are optional) el. (Off)

    KYC Number of Related Person (if available*)

    Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

    Name*

    Prefix First Name Middle Name Last Name

    PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

    A- Passport Number

    B- Voter ID Card

    C- PAN Card

    D- Driving Licence

    E- UID (Aadhaar)

    F- NREGA Job Card

    Z- Others (any document notified by the central government) Identification Number

    Passport Expiry Date

    Driving Licence Expiry Date

    D D M M Y Y Y Y

    D D M M Y Y Y Y

    S- Simplified Measures Account - Document Type code Identification Number

    Self Empliyed X- Not CategorisedOccupation Type*

    • I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

    NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.

    Sole/First Holder

  • 4 ACOP Individual Version 2

    CENTRAL KYC REGISTRY I Instructions/ Check list/ Guidelines for filling Individual KYC Application Form

    General Instructions:1 Fields marked with '*' are mandatory fields.2 Tick ' ' wherever app licable.3 Self-Certification of documents is mandatory.4 Please fill the form in English and in BLOCK Letters .5 Please fill all dates in DD-MM-YYYY format.6 Wherever state code and countr y code is to be furnishe d, the same should be the two-digit code as per Indian Motor Vehi cle, 1988 and

    ISO 3166 countr y code respectively list of which is available at the end.7 KYC number of applicant is mandatory for updation of KYC details.8 For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be

    updated.9 In case of 'Small Account type' only personal details at section number 1 and 2, photograph, signature and self-certification required.

    A Clarification/ Guidelines on filling 'Personal Details' section1 Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr / etc.). The name should match the name as mentioned in the Proof of Identity

    submitted failing which the application is liable to be rejected.2 Either father's name or spouse's name is to be mandatorily furnished. In case PAN is not available father 's name is mandatory.

    B Clarification/ Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India1 Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdicti on. Ho wever, if the said jurisdiction has

    issued a high integrity number with an equivalent level of identification (a "Functional equivalent "), the same may be reported. Examples of hat type of number for individual include , a social securit y/insuran ce number, citi zen/ personal identi fication/ services code/number, and resident registration number)

    C Clarification/ Guidelines on filling 'Proof of Identity [Pol)' section1 If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.2 Mention identification / reference number if 'Z- Others (any document notified by the central government)' is ticked.3 In case of Simplified Measures Accounts for verifying the identity of the app licant , any one of the following documents can also be submitted

    and undernoted relevant code may be mentioned in point 3 (S).Document Code Description 01 Identity card with applicant's photograph issued by Central/ State Government Departments, Statut ory/ Regulatory

    Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and Public Financial Institutions. 02 Letter issued by a gazetted officer , with a duly attested photograph of the person.

    D Clarification/ Guidelines on filling 'Proof of Address [PoA] - Current/ Permanent/ Overseas Address details' section1 PoA to be submitted only if the submitted Pol does not have an address or address as per Pol is in valid or not in force.2 State/ U.T Code and Pin/ Post Code will not be mandator y for Overseas addresses.3 In case of Simplified Measures Accounts for verifying the address of the applica nt, any one of the following documents can also be

    submitted and undernoted relevant code may be mentioned in point 4.1.Document Code Description 01 Utility bill which is not more than two months old of any service provider (ele ctricity, telephone , post-paid mobile phone,

    piped gas, water bill). 02 Property or Municipal Tax receipt. 03 Bank account or Post Office savings bank account statement. 04 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public

    Sector Undertakings, if they contain the addre ss. 05 Letter of allotment of accommodation from emplo yer issued by State or Central Government departments, statutory

    or regulatory bodies, public sector undertakings, scheduled commercial banks, financial institution s and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation .

    06 Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.

    E Clarification/ Guidelines on filling 'Proof of Address [PoA] - Correspondence/ Local Address details' section1 To be filled only in case the PoA is not the local address or address where the customer is currentl y residing. No separate PoA is required to

    be submitted.2 In case of multiple correspondence / local addresses, Please fill 'Annexure Al’

    F Clarification/ Guidelines on filling 'Contact details' section1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999).2 Do not add 'O' in the beginning of Mobile number.

    G Clarification/ Guidelines on filling 'Related Person details' section1 Provide KYC number of related person if available .

    H Clarification/ Guidelines on filling 'Rel ated Person details - Proof of Identity [Pol] of Related Person' section1 Mention identification / reference number if 'Z- Others (any document notified by the central government)' is ticked.

  • 5

    1100010900

    Motilal Oswal Financial Services Limited

    PLEASE

    AFFIX

    RUBBE

    R STAM

    P & SIG

    N

    Name of the Organization

    Person name doing IPV / docs / PAN verification

    Designation / MOFSL Employee code

    Date of IPV / Document Verification

    Date of PAN Verification with IT Site

    Signature of the Person

    Motilal Oswal Financial Services Limited

    Joint Applicant Details (2nd Holder)

    7.

    Landmark

    Landmark

    Please enclose duly attested copy of your Aadhar Card

    ACOP Individual Version 2

    NSE / BSE / MCX / NCDEX - AP Registration Number

  • 6 ACOP Individual Version 2

    CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

    Important Instructions:

    A) Fields marked with ‘*’ are mandatory fields.

    B) Please fill the form in English and in BLOCK letters.

    C) Please fill the date in DD-MM-YYYY format.

    D) Please read section wise detailed guidelines / instructions

    at the end.

    E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

    F) List of two character ISO 3166 country codes is available at the end.

    G) KYC number of applicant is mandatory for update application.

    H) For particular section update, please tick (P) in the box available before the

    section number and strike off the sections not required to be updated.

    For office use only

    (To be filled by financial institution)

    Application Type*

    KYC Number

    Account Type*

    New Update

    Normal Simplified (for low risk customers) Small

    (Mandatory for KYC update request)

    Prefix First Name Middle Name Last Name

    Name* (Same as ID proof)

    Maiden Name (If any)

    Mother Name

    Gender*

    Marital Status*

    Citizenship*

    Residential Status*

    M -

    Married

    IN- Indian

    Person of Indian Origin

    Male F- Female T-Transgender

    Unmarried Others

    Others (ISO 3166 Country Code )

    (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

    A- NREGA Job Card

    B- Others (any document notified by the central government

    C- Simplified Measures Account - Document Type code

    Identification Number

    Identification Number

    3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)

    (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted

    Address Type* Residential / Business Residential Business Registered Office Unspecified

    Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card

    Address

    State / U.T Code* ISO 3166 Country Code*

    1. PERSONAL DETAILS (Please refer instruction A at the end)

    2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)

    3. PROOF OF ADDRESS (PoA)*

    3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

    Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

    State / U.T Code* ISO 3166 Country Code*

    Signature & Stamp

    2nd HolderSigned for and on behalf of

    Addition of Related Person Deletion of Related Person

    (In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)

    (If KYC number and name are provided, below details of section 6 are optional) el. (Off)

    KYC Number of Related Person (if available*)

    Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

    Name*

    Prefix First Name Middle Name Last Name

    PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

    A- Passport Number

    B- Voter ID Card

    C- PAN Card

    D- Driving Licence

    E- UID (Aadhaar)

    F- NREGA Job Card

    Z- Others (any document notified by the central government) Identification Number

    Passport Expiry Date

    Driving Licence Expiry Date

    D D M M Y Y Y Y

    D D M M Y Y Y Y

    S- Simplified Measures Account - Document Type code Identification Number

    Self Empliyed X- Not CategorisedOccupation Type*

    • I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

    .

    NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.

    Joint Applicant Details (2nd Holder)

  • 1100010900

    Motilal Oswal Financial Services Limited

    PLEASE

    AFFIX

    RUBBE

    R STAM

    P & SIG

    N

    Name of the Organization

    Person name doing IPV / docs / PAN verification

    Designation / MOFSL Employee code

    Date of IPV / Document Verification

    Date of PAN Verification with IT Site

    Signature of the Person

    Motilal Oswal Financial Services Limited

    Joint Applicant Details (3rd Holder)

    7.

    Landmark

    Landmark

    Please enclose duly attested copy of your Aadhar Card

    7 ACOP Individual Version 2

    NSE / BSE / MCX / NCDEX - AP Registration Number

  • 8 ACOP Individual Version 2

    CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

    Important Instructions:

    A) Fields marked with ‘*’ are mandatory fields.

    B) Please fill the form in English and in BLOCK letters.

    C) Please fill the date in DD-MM-YYYY format.

    D) Please read section wise detailed guidelines / instructions

    at the end.

    E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

    F) List of two character ISO 3166 country codes is available at the end.

    G) KYC number of applicant is mandatory for update application.

    H) For particular section update, please tick (P) in the box available before the

    section number and strike off the sections not required to be updated.

    For office use only

    (To be filled by financial institution)

    Application Type*

    KYC Number

    Account Type*

    New Update

    Normal Simplified (for low risk customers) Small

    (Mandatory for KYC update request)

    Prefix First Name Middle Name Last Name

    Name* (Same as ID proof)

    Maiden Name (If any)

    Mother Name

    Gender*

    Marital Status*

    Citizenship*

    Residential Status*

    M -

    Married

    IN- Indian

    Person of Indian Origin

    Male F- Female T-Transgender

    Unmarried Others

    Others (ISO 3166 Country Code )

    (Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

    A- NREGA Job Card

    B- Others (any document notified by the central government

    C- Simplified Measures Account - Document Type code

    Identification Number

    Identification Number

    3.1 CURRENT / PERMANENT / OVERSEAS ADDREDD DETAILS (Please see instruction D at the end)

    (Certified copy of any one of the following Proof of Address [PoA] needs to be submitted

    Address Type* Residential / Business Residential Business Registered Office Unspecified

    Proof of Address* UID (Aadhaar) Simplifed Measures Account - Document Type code NREGA Job Card

    Address

    State / U.T Code* ISO 3166 Country Code*

    1. PERSONAL DETAILS (Please refer instruction A at the end)

    2. PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)

    3. PROOF OF ADDRESS (PoA)*

    3.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

    Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

    State / U.T Code* ISO 3166 Country Code*

    Signature & Stamp

    3rd HolderSigned for and on behalf of

    Sole / Joint 3rd Holder

    Addition of Related Person Deletion of Related Person

    (In case of additional related persons, ple4. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)

    (If KYC number and name are provided, below details of section 6 are optional) el. (Off)

    KYC Number of Related Person (if available*)

    Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

    Name*

    Prefix First Name Middle Name Last Name

    PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

    A- Passport Number

    B- Voter ID Card

    C- PAN Card

    D- Driving Licence

    E- UID (Aadhaar)

    F- NREGA Job Card

    Z- Others (any document notified by the central government) Identification Number

    Passport Expiry Date

    Driving Licence Expiry Date

    D D M M Y Y Y Y

    D D M M Y Y Y Y

    S- Simplified Measures Account - Document Type code Identification Number

    Self Empliyed X- Not CategorisedOccupation Type*

    • I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

    .

    NOTE: For Checklist, State, Country Code & Annexure A1 & B1 as per CKYC guidelines, kindly visit www.motilaloswal.com / download option.

  • OTHER DETAILS

    (Please tick ( ) : Upto 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lac

    as on (date)(*Net worth should not be older than 1 year) D D M M Y Y Y Y

    Gross Annual Income Details

    Net-worth in `.Or

    9

    Bank Name

    Branch Name

    Branch Address

    Bank A/c No.

    A/c Type Savings Current Others

    MICR Number IFSC Code

    Internet Banking status Enabled Not Enabled Currency: Rs.

    Proof of Bank submitted Bank Statement# Cancelled Cheque (with client name and A/c no. printed)

    Bank Passbook## Bank Verification Letter (original)

    DEPOSITORY ACCOUNT(S) DETAILS ( if existing )

    Depository Participant Name

    P. N.: In case of NRI's, Bank Account should be Repatrible Bank Account for NRE or Non Repatrible Bank Account for NRO.

    Depository Name:

    DP ID CDSL Beneficiary ID (BO ID)

    DP ID NSDL Beneficiary ID (BO ID)

    DP ID NERL Beneficiary ID (BO ID)

    DP ID COMRIS Beneficiary ID (BO ID)

    DP ID CCRL Beneficiary ID (BO ID)

    BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER

    (Mandatory for E-Broking)

    PEP Politically Exposed Person Related to a Politically Exposed Person

    For definition of PEP, please refer guideline relating to Instructions/Checklist for filling KYC form

    Any Other Information

    1) Clients name & DP A/c No. on the proof of DP submitted should match with that mentioned in the account opening form.2) DP statement should clearly show DP ID & Client ID.3) For E-Broking clients, Demat A/c should be opened with MOFSL only with POA.

    Beneficiary Name

    Second Holders Name

    Third Holders Name

    Proof of DP submitted DP Statement Client Master Report (CMR)

    CDSL NSDL NERL COMRIS

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    Occupation (Please tick ( ) any one and give brief details) : Private Sector Service Public Sector

    Government Service Business Professional Agriculturist Retired

    Housewife Student Forex Dealer Others (Please specify)_______

    Not a Politically Exposed Person (PEP) Not related to a Politically Exposed Person (PEP)

    CCRL

  • 10

    PAST ACTIONS

    GST DETAILS

    GST Number

    GST Implementation Location

    Details of any action/proceedings initiated/pending/taken by FMC/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:

    ADDITIONAL DETAILS

    Facilities For Trading Whether you wish to avail the facility of Internet trading Wireless technology (Mobile Trading)

    Contract Note and

    Standard Documents

    Years in Stocks Years in Derivatives Investment/Trading Experience

    Primary purpose of dealing Intraday Positional Investment

    In Derivatives: Trading Hedging Investment

    Stock Portfolio NIL < 5 Lacs 5-20 Lacs 20-50 Lacs > 50 Lacs

    Commodity Portfolio NIL < 5 Lacs 5-20 Lacs 20-50 Lacs > 50 Lacs

    Educational Qualification Under Graduate Graduate Post Graduate Professional

    Any other information

    In Equities:

    Communication Mode(If Yes then please fill in Appendix-A)

    :

    Whether you wish in Electronic Form (Email id same as mentioned on KRA Page)

    to receive in Physical Form

    Years In Commodities

    Years in Other investment related fields No Prior Experience

    Do you intend to invest in the stock/commodity market with : Own Funds Borrowed Funds

    Details of the relatives, having account with MOFSL

    INFORMATION IN RELATION TO THE PREVENTION OF MONEY LAUNDERING ACT, 2002

    Details of the corporate/partnership firm/trust, etc where client is affiliated

    Name

    Relationship UCC

    Name

    Relationship UCC

    Nature of Business Entity Type

    Funds Detail

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    If, you do not wish to trade on any Exchanges and any of its segment / Mutual Fund, Please mention here ____________________.

    TRADING PREFERENCE

    Please sign in the relevant boxes where you wish to trade. Please strike off the segment not chosen by you.

    NSE & BSE

    Cash / Mutual FundSegments F&O

    4/18

    Currency

    6/185/18

    Debt

    MCX, NCDEX, BSE & NSE

    7/18 8/18

    ExchangesCommodity-Futures/Options/Options on Commodity futures / Derivatives

  • 11

    INTRODUCER DETAILS (optional)

    Name of the Introducer

    Address

    Status of the Introducer Remisier Authorised Person Existing Client Others

    M I D D L E L A S T F I R S T

    Signature of the Introducer

    Facebook ID

    Twitter ID

    Linkedin ID

    SOCIAL MEDIA INFORMATION OF THE CLIENT

    If you are dealing through MOFSL Authorised Person, provide the following details:

    SEBI / Exchange Registration No.

    Authorised Person Name

    DEALINGS THROUGH REGISTERED AUTHORISED PERSON

    Registered office

    Address

    Contact Details : Website

    Phone No. Fax No.

    Phone No.:

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    DEALINGS THROUGH OTHER STOCK BROKERS

    If you are dealing with any other stock / commodity broker / Authorised Person, provide the following details:

    (in case dealing with multiple stock / commodity brokers / Authorised Person, provide details of all)

    Name of Stock broker Client Code

    Name of Authorised Person Exchange

    Details of disputes/dues pending from/to such Stock broker / Authorised Person

    Pls select ( ) on the below appropriate category depending upon your proposed nature of your activity against each product type.

    Client Categorisation

    Commercial - □

    Product type

    Bullion - □

    Base Metals - □

    Energy - □

    Agri-Commodities - □

    Non Commercial - □

    Product type

    Bullion - □

    Base Metals - □

    Energy - □

    Agri-Commodities - □

  • 12

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    Type of account in DP (Please whichever is applicable)

    Individual Resident Individual Director Individual Promoter Individual Directors Relative

    Individual Margin Trading A/c (MANTRA) Other (specify) ____________________________

    NRI - Non Repatriable NRI Repatriable NRI - Depository Receipts

    NRI - Non Repatriable Promoter NRI Repatriable Promoter Other (specify) __________

    Foreign National Foreign National - Depository Receipts Other (specify) ____________

    Foreign Individual - QFI (MF)

    Status Sub-Status

    Individual

    NRI

    Foreign National

    Qualified Foreign Investor

    FOR NEW DEMAT ACCOUNT WITH MOFSL (All Holders should be major i.e. more than 18 years of age)

    CLIENT CATEGORISATION - COMMODITY WISE

    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

    AADHAR NO.

    PAN

    AADHAR NO.

    PAN

    AADHAR NO.

    • 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.

    • I / We confirm having read / been explained and understood the contents of the tariff sheet and all voluntary / non mandatory documents & policy & procedures.

    • I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s), 'Risk Disclosure Document' and Do’s and Dont’s. I/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.

    • I/We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the bye laws as are in force from time to time. I /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 MOFSL 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.

    st 1 holder nd 2 holderrd 3 holder

    Client Signature

    Client Name

    DECLARATION

    9/18 . .

    Option for Issue of DIS BookletI/We hereby state that

    Option 1 : I/ We require you to issue Delivery Instruction Slip (DIS) booklet to me/us immediately on opening my/our CDSL account through I/we have issued a Power of Attorney (POA) / executed PMS Agreement in favour of/with Motilal Oswal Financial Services Limited (name of the Attorney / Clearing Member/ PMS Manager) for executing delivery instruction for setting stock exchanges trades (settlement related transactions ) effected through such Clearing Member/ by PMS Manager .Or Option 2 : I/ We do not require the Delivery Instruction Slips (DIS) for the time being, since I /We have issued a POA / executed PMS agreement in favour of /with Motilal Oswal Financial Services Limited (name of the attorney / Clearing Member / PMS Manager ) for executing delivery instructions for setting stock exchange trade (settlement related transaction ) effected through such Clearing Member / by PMS Manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me/us immediately on my/our request at any later date.

    Sig

    n to

    be

    use

    for c

    ropp

    ing

    The Customer is required to select appropriate category depending upon their proposed nature of activity against each commodity type. Please fill “COMMODITY CLIENT CATEGORISATION” declaration given under the link www.motilaloswal.com>>>>BIZOPS>>>>Information>>>>DOWNLOAD and submit the signed categorisation declaration to head office.

  • Yes No

    DP FACILITIES

    A/c Statement Requirement As per SEBI Regulation

    I / We instruct the DP to receive each and every credit in my / our account

    (If not marked, the default option would be `Yes')

    To Register for , please visit website www.cdslindia.com easi Yes No

    WeeklyDaily Fortnightly Monthly

    Mobile No. same as mentioned on KRA Page(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 )

    SMS Alert Facility (Refer Terms and conditions Annexure- 2.4 as per CDSL communique No. 1574 dated 12th May 2009

    Yes No

    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.

    I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST

    Transactions UsingSecured Texting Facility(TRUST).Refer to Terms andConditions Annexure -2.6 as per CDSL communique No. 3804 dated 13th July 2013

    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.

    Easi

    Stock Exchange Name

    Bombay Stock Exchange (BSE) Motilal Oswal Financial Services Ltd.

    Motilal Oswal Financial Services Ltd.

    Clearing Member Name Clearing Member ID (Optional)

    National Stock Exchange ofIndia Limited (NSE)

    Yes No

    Yes No

    I/ We would like to instruct DP to accept all the pledge instructions in my/our account without any other furtherinstruction from my/ our end.(If not marked, the default option would be “No”)

    I/ We would like to share the email id with the RTA.

    I/ We would like to receive the Annual Report : Physical Electronic Both physical and ElectronicYou will be receiving Consolidated Account Statement (CAS) in Electronic form, if you wish to receive CAS in Physical form or do notwish to receive the same, kindly contact your DP(Tick the applicable box, if not marked the default option would be in physical)

    Yes No

    Yes No

    I/We request you to send Electronic Transaction cum holding Statement at the Email ID

    I/We wish to receive dividend / interest directly in to my 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]

    Name of Stock Exchange

    Name of CC/ CH

    Clearing Member ID Trading Member ID :

    Clearing Member Details (To be filled by CMs only )

    13 ACOP Individual Version 2

  • Nomination Form

    Dear Sir/ Madam,I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:

    I/We do not wish to nominate any one for this Trading and Demat account

    (Selection of anyone option & signatures of all account holders is compulsory on this form).

    To,Motilal Oswal Financial Services LimitedPalm Spring Centre, 2nd Floor,Palm Court Complex, New Link Road,Malad – West, Mumbai - 400 064.

    I/We nominate the following person/s who is are entitled to receive funds/security balances lying in my/our account, particularswhereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

    BO Account Details

    DP ID Client ID

    Name of the Sole / First Holder

    Name of Second Holder

    Name of Third Holder

    Nomination Details

    *First Name

    Nominee Name

    Middle Name

    *Last Name

    Date of birth

    Nominee 1 Nominee 2 Nominee 3

    *Country

    *City

    Telephone Number

    *Address

    *State

    *PIN

    1 2 0 1 0 9

    *Relationship with the client

    Date of birth (mandatory if Nominee is a minor):

    *PAN No:

    UID

    Email ID

    *Residual Funds/Securities [please tick any one nominee.

    If tick not marked default will

    be first nominee]:

    *Percentage of allocation of funds/securities:

    % % %

    14

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

  • First/Sole Holder Second Holder Third Holder

    * Name

    * Signature

    Note: One witness shall attest signature (s) / Thumb impression(s).Details of the Witness

    *Names of Witness

    *Address of Witness

    Note: Residual funds/securities: incase of multiple nominees, please choose any one nominee who will be credited with residual funds/securities remaining after distribution of funds/securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual funds/shares, if any.

    *Marked is Mandatory fieldThis nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

    Place: _______________________ Date:______________________

    Witness

    . .

    .

    *PIN

    *Country

    *City

    Telephone Number

    Name of the Guardian of Nominee (if the nominee is minor):

    *Address of the Guardian of nominee:

    *State

    Age

    Email ID:

    *First Name

    Middle Name

    *Last Name

    *Relationship of Guardian with Nominee

    *Contact No. of Witness

    *Signature of Witness

    (To be filled by DP)Nomination Form a ccepted and registered wide Registration No. _____________________ dated ______________.

    (Authorised Signatory)

    Fax No of Nominee.:

    Fax No of Guardian.:

    For Motilal Oswal Financial Services Limited

    10/18

    15

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

  • 16

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    Account Maintenance Charges (AMC)

    Scheme

    ParticularsTRX

    Scheme5 Year

    TRX SchemeAMC Scheme AMC Scheme

    Motilal Oswal Financial Services Ltd. DP TARIFF SHEET

    NIL

    Rs.199/-

    Rs. 35 or 0.035% (whichever is higher

    Rs. 40 or 0.040% (whichever is higher)

    Rs. 40 or 0.040% (whichever is higher)

    Account Administration Charges (AAC)

    Trx Charges towards shares sold

    Within MOFSL

    Off market Transfer within MOFSL

    Rs. 30 or 0.040% (whichever is higher)

    Rs.899/-

    Rs.199/-

    Rs. 40 or 0.040% (whichever is higher)

    NIL

    Rs.2500/-

    Common Tariff applicable to all Scheme

    Dematerialisation Rs.50/- per request +Rs.50/- per certificate

    RematerialisationRs.35/- per certificate or per 100 shares and part there of which ever is higer and Rs.25/- per Restate of Statement of Account/Redemption

    Pledge/ Unpledge/Closure/Invocation

    Rs.35/- per Pledge Instruction

    1. Except for the month of April, an amount of Rs. 250/- (non adjustable / Non refundable) will be charged for each scheme change request. The new scheme will be applicable from the day on which the scheme is changed without adjustment of previous bills.

    2. The first year, AAC and AMC will be charged on pro rata basis from the month of account opening. Subsequently, it will be charged anually in the month of April for next financial year. For Corporate Accounts additional Rs.500/- P.A. will be charged towards CDSL/NSDL AMC** in all the scheme.

    3. In case the account is closed during the year, AMC for the remaining quarter ending upto December will be refunded to the client. However, AAC charges will not be refunded.

    4. Rates are subject to revision from CDSL /NSDL. DP reserves the right to ammend the tariff at any given point of time. Goods and Service Tax (GST) will be charged extra as per regulation.

    5. Rs. 50/- will be charged to client for new DIS book.

    6. Rs. 50/- will be charged toward per Demat / Remat rejection case.

    7. Rs. 30/- per Inter Settlement pool to pool charges for pay out shares received in MOFSL POOL account will be charged.

    8. I / We am / are aware of the Basic Service Demat Account (BSDA) scheme that may be applicable to my demat account as and when value of my demat holdings is within the cut off value as specified by SEBI / Regulators and as per other conditions as applicable from time to time. In this regards I / we wish to select following option:

    I / We do not wish to opt for BSDA scheme although my / our demat account may be eligible for the same in future and I / We request MOFSL to continue my / our demat account in normal scheme as availed by me / us at the time of account opening / modified (if any) to avail regular DP Services.

    I / we wish to opt for BSDA scheme in case my / our demat account is eligible for BSDA scheme anytime in future as per then prevailing regulatory guidelines. I / we are further aware that such BSDA scheme will be made applicable to our demat account from next billing cycle. I / We further aware that in case if value of my / our holdings goes above the cut off value as per BSDA guidelines or any other stipulated conditions of BSDA is breached, I/ we shall be levied normal DP charges as per normal scheme availed by me / us.

    9. There is a facility to avail Annual Report of the Company in Electronic form by submitting email id & opt for the same. You may register your email id in RTA / Company records also by opting for the same. To avail these facilities, you are requested to contact your Branch.

    Off market Transfer outside MOFSL

    Rs. 40 or 0.040% (whichever is higher)

    Rs.799/- (Upfront for 5 years from the date

    of selection of the scheme)

    Rs. 20/- or 0.025% (Whichever is higher)

    Fresh Admin charges of Rs. 799/- will be applicable after completion of 5 year

    Rs. 30 or 0.030% (whichever is higher) Rs. 40/-

    Rs. 40/- or 0.040% (whichever is higher)

    NIL

    NIL

    BSDATRX17

    BSDA TRXScheme

    NIL

    NIL

    Rs. 50 or 0.050% (whichever is higher)

    Rs. 50 or 0.050% (whichever is higher)

    Rs. 50 or 0.050% (whichever is higher)

    BSDAAMC17

    BSDA AMC Scheme

    NIL

    Rs.100/-

    Rs. 50 or 0.050% (whichever is higher)

    Rs. 50 or 0.050% (whichever is higher)

    Rs. 50 or 0.050% (whichever is higher)

    Rs. 20/-

    TRX17 TRX5YR17 AMC17 LIFETIME19 AMC19

    AMC Scheme

    Rs. 199/-

    Rs.550/-

    Rs. 30 or 0.03%(whichever is higher)

    Rs. 40 or 0.04%(whichever is higher)

    Rs. 40 or 0.04%(whichever is higher)

    (Tariff to be continued….)

  • 17

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    Transaction Type

    Table No.

    Brokerage Rate (%)

    Min. Brokerage (Rs.)

    EQUITIES & DERIVATIVES TARIFF SHEET

    BROKERAGE FOR TRADING ACCOUNT

    Intraday(First leg)

    Intraday(First leg)

    Intraday(Second leg)*

    Intraday(Second leg)*

    OptionsDelivery DeliveryFutures(First Leg)

    Futures(First Leg)

    Futures(Second leg)*

    Futures(Second leg)*

    Options

    Equity Cash Equity F&O Currency Debt

    Value Pack schemeOR

    Amount Validity Months

    Terms and Conditions

    Second leg - if squared off on the same day*

    - Account Opening charges (Including KRA charges) for Trading Account is Rs. 1000/-

    - SEBI Turnover Fees, STT, Goods and Service Tax (GST), Stamp Duty, &Transaction Charges will be levied separately from brokerage as applicable from time to time.

    “There will be a broking AMC of Rs.299/- will be applicable. The broking AMC will be free for first year from date of activation.”

    Please note that in Cash Segment brokerage will be charged at the highest value, which will be derived after considering following 3 criteria:

    • Brokerage slab (as mentioned in above Tariff Sheet) • For intra-day trades, brokerage up to Rs. 15 for each executed order

    • For delivery based trades, brokerage up to Rs. 30 for each executed order

    (Above 3 criteria are subject to maximum rate(s) as prescribed by the regulator(s) from time to time)

    The above shall be read in conjunction with paragraph on “Applicable Brokerage rates” as mentioned in Policies &Procedures.

    You may check the prevailing brokerage rate applicable to you through your secured client login. You can access to Client login by keying your UCID/ Client code and password through website www.motilaloswal.com.

    Details of your Secured login will be given in welcome letter send to you upon activation of your account with MOFSL.

    Brokerage Rate

    Asset Class ( Type) Liquid

    0.05%

    MUTUAL FUND TARIFF SHEET

    STP

    0.10%

    Bond, Debt, Gilt,Hybrid, MIP

    0.15%

    Balanced, Equity,Equity(G), Equity(S), FOF

    0.50%

    Table No.

    Brokerage Rate (%)

    Min. Brokerage (Rs.)

    OR

    Other Charges : Cash Segment – Maximum of 0.02% on Transaction ValueFutures Segment – Maximum of 0.006% on Transaction valueOptions Segment – Maximum of 0.06% on Transaction ValueCDS Futures Segment – Maximum of 0.006% on Transaction valueCDS Option segment – Maximum of 0.06% on Transaction Value

    1. Other Charges represents a consolidated charge towards providing various value added services such as Trade confirmation SMS, Electronic Account Access, Portfolio Tracker, access to research reports, Market News SMS etc..

    2. In case of option contracts, other charges shall be charged on transaction value calculated as Premium into Qty executed.

    In addition to above, charges levied on account of Cheque Return, Wrong reporting of Cheques, DP Scheme Charges for DIS Re - Issuance, Issue of Duplicate Statements, Interest Charges etc. may be recovered from your account.

    Complete details are made available in your secured Client login. You can access to Client login by keying your UCID/ Client code and password through website www.motilaloswal.com.

    MOFSL reserves the rights to change the brokerage as well as other tariff from time to time under intimation to client.

    (Tariff to be continued….)

  • 18

    1st Holder Signature 2nd Holder Signature 3rd Holder SignatureSigned for and on behalf of

    . .Signature

    11/18

    - SEBI Turnover Fees, CTT, Goods & Service Tax (GST), Stamp Duty, Transaction Charges and other statutory charges will be levied separately from brokerage as applicable from time to time.

    - Delivery related charges i.e. Delivery Charges, Warehouse Charges, Vault Charges etc. will be levied separately as per guidelines.

    - All Charges levied by Exchange(s) / Regulator(s) will be recovered from your account as applicable. - In addition to above, Charges levied on account of Cheque Return, Wrong Reporting of Cheque, Issue of Duplicate

    Statements, Interest Charges etc. may be recovered from your account as applicable.

    MOFSL reserves the rights to change the Brokerage as well as other tariff from time to time under intimation to client. You may check the prevailing brokerage rate applicable to you through your secured client login.

    Complete Details of above charges are made available in your secured client login.

    You can access to Client login by Keying your UCID / Client Code and password through our website: www.motilaloswal.com. Details of your secured login will be given in Welcome Letter / email send to you upon activation of your account with MOFSL.

    Futures

    Futures

    Options

    Options

    Delivery

    Delivery

    Brokerage %

    Brokerage %

    MCX

    NCDEX

    Charge on

    Charge on

    Table No.

    Table No.

    One Side

    One Side

    One Side

    One Side

    Both Side

    Both Side

    Both Side

    Both Side

    COMMODITY TARIFF SHEET

    Motilal Oswal Financial Services Limited

    ACOP Individual Version 2

    (Tariff cont