Client Registration FormKUNVARJI FINSTOCK PVT. LTD.
Individual & Non-Individual
Form No. :
Client Name : _________________________________________________
Client Code : ________________ BO ID : 12048400 _________________
Branch / RM Name : _________________________________________________
Sub-broker / AP Name : _________________________________________________
Group Code : _________________________________________________
FOR OFFICE USE ONLY
CASH F&O CURRENCY DEMAT
NSE NSE NSE CDSL
BSE BSE BSE
MCX-SX MCX-SX MCX-SX
TM
KUNVARJI FINSTOCK PVT. LTD.Regd. Office: Block-B, 1st Floor, Siddhi Vinayak Towers, Makarba, Ahmedabad - 380 051.Phone: +91 79 6170 0000 | Fax: +91 79 2970 2196 | Email: [email protected], [email protected]
DOCUMENTS TO BE RETAINED BY STOCK BROKER
Audit 1
Audit 2
Date Name Signature
Phone Verification
KYC Entry
UCC Upload
UCC Client Code: ______________ BO ID: 12048400 ______________
Client risk categorisation under PMLA: (Tick (ü) any one) Low risk Medium risk High risk
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 our website, if any, for the information of the clients.
Signature of the employee
For Kunvarji Finstock Pvt. Ltd.
Signature of Sub-broker orAuthorised person
Introduced by: Another Constituent Director Employee of Trading member Sub Broker Any other person (please specify):_______ ___________
Signature
UCC of the Introducer(if registered with the Trading Member)
Name of the Introducer First Name Middle Name Last Name
Signature of the employee
Introducer’s PAN Number(Kindly enclose copy of PAN Card)
Introducer’s Address(Kindly enclose proof of address)
(Name and designation of the employee who interviewed the client)
Name of the employee : _____________________________
In case the Introducer is not registered with the Trading Member, kindly provide details of the introducer.
FOR OFFICE USE ONLY
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Name of the Employee
Employee Code
Designation of the employee
Date
Signature
Documents verifiedwith Originals
Client Interviewed By In-Person Verification
done by
KRA Upload
TM
Index of Documents
Sr. No. Name of the Document Brief Significance of the Document Page No.
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI, EXCHANGES & CDSL
1 KYC and Account Opening Form A. KYC Form documents captures the Basic information about 4 - 14
(For Trading and Demat Account) the client and an instruction / checklist
B. Document captures the Additional Information about the 15 - 23
client relevant to Trading Account and beneficial
owner’s account
2 Tariff Sheet for Trading and A. Document provides details of rate / amount of brokerage 24
Demat Account and other charges levied on the client for trading on the
Stock Exchange(s)
B. Document provides details of charges for depository 25
services
3 Rights and Obligations of beneficial Document stating the rights and obligations of beneficial owner
owner and depository participant as and Depository Participant for Demat Account as prescribed by
prescribed by SEBI and depository SEBI and Depositories
4 Rights and Obligations of stock Document states the Rights & Obligations of the Stock Broker,
broker and client Sub-Broker and Client for trading on exchanges (including
additional rights & obligations in case of Internet / Wireless
Technology based tradings)
5 Risk Disclosure Document (RDD) Document provides the details of risks associated while dealing
in the Securities Market
6 Guidance Note Document details Do's and Don'ts for trading on Exchanges, for
the education of the investors
7 Policies & Procedures Document describes significant policies and procedures of the
Stock Broker
VOLUNTARY DOCUMENTS AS PROVIDED BY
THE STOCK BROKER AND DEPOSITORY PARTICIPANT
8 Direct Debit authorisation Document authorises KFPL to Debit amount due by the Client
Form (mandate form)Demat A/C. from his Bank Account - Demat Account.
9 Terms & Conditions for SMS Document details the Terms & Conditions for getting alerts 26 - 28
alert from CDSL (Annexure 2.4) through SMS from CDSL for securities debited & credited to
client's demat account (Recommended to register in the Client's
own interest)
10 Terms and Conditions for Document details Terms And Terms And Conditions for availing 29 - 30
TRUST (Annexure 2.6) Transaction Using Secured Texting (TRUST) Service offered
by CDSL
11 Power of Attorney in favour Limited Power of Attorney given by a Client to KFPL to debit his 31 - 32
of KFPL demat A/c with KFPL-DP to deliver securities as per client’s
settlement margin obligation
Included
in client
copy
Perforated
Page
03
Index of Documents
Sr. No. Name of the Document Brief Significance of the Document Page No.
12 Declaration by Karta Document for declaration by Karta & details of 33
Coparceners for HUF
13 Additional Clauses of Rights and Document states the additional Rights & Obligations of 34 - 36
Obligations of Stock Broker, Stock Broker / Sub-broker / Authorised Person and client for
Sub-Broker and client trading on exchanges
14 Running Account Authorisation Document authorises KFPL to maintain Client’s Account on 37 - 38
Running Account mode i.e. funds will be remitted only on his request
15 Letter of Operation of Account Various operative instructions to the stock broker for day to day 39 - 40
operation of account of the client including authority for debit of
depository charges
16 Letter giving details of Authorised Letter giving details of persons authorised by the client to 41
representatives interact with the stock Broker on His/Her its behalf
17 Acknowledgement and Letter signed by client acknowledging and confirming receipt 42
Confirmation of the documents prescribed and that the same have been
explained to the client
18 Information about Provisions of Document provides a brief note on Prevention of
Prevention of Money Laundering Money Laundering Act. and Rules
Act, 2002 (PMLA)
19 Board Resolution Format Format of Board Resolution for Corporate Client to open and
operate Trading and Demat Account
20 Declaration by Partnership Firm for Format of Declaration for opening a demat account by
Opening a demat account Partnership Firm
21 Declaration by Partnership Firm for Format of Declaration by Partnership Firm for mapping a
mapping a demat account with their demat account with their trading account
trading account
22 Shareholding Pattern Format of Shareholding pattern for Corporate Client
COLOR REPRESENT DOCUMENTS HANDED OVER TO CLIENT
SYMBOL REPRESENT CLIENT SIGNATURE
First Holder / Authorised Person Signature
Second Holder / Authorised Person Signature
Third Holder / Authorised Person Signature
.
"
@
Included
in client
copy
INSTRUCTION / CHECK-LIST OF DOCUMENTS FOR OPENING TRADING AND DEMAT ACCOUNT
Instructions to the Applicants (BOs) for account opening:
1. Signatures can be in English or Hindi or any of the other languages contained in the 8th Schedule of the Constitution of India. Thumb impressions and signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate / Special Executive Officer under his/her official seal.
2. Signatures should be preferably in black ink.
3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public / Special Executive Magistrate / Special Executive Officer are to be provided in case of attestation done by them.
4. In case of additional signatures (for accounts other than individuals), separate annexures should be attached to the account opening form.
5. In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self-certified copy thereof, must be lodged along with the application.
6. All correspondence / queries shall be addressed to the first / sole applicant.
7. Strike off whichever option, in the account opening form, is not applicable.
1. Additional documents in case of trading in derivatives segments - illustrative list:
INSTRUCTIONS / CHECK LIST
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate
Copy of demat account holding statement. Bank account statement for last 6 months
Any other relevant documents substantiating ownership of assets. Self declaration with relevant supporting documents.
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 in-person' verification. Further, considering the infeasibility of carrying out 'In-person' verification of the non-resident clients by the stock broker's staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted.
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.
*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.
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General Instruction:
• Self attested copy of Pan Card is Mandatory for all holders
• Client Name on KYC form must be as per PAN Card
• Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted
• If correspondence & permanent address are different, then proofs for both have to be submitted.
• Signature must match with signature on Photo ID Proof
• Latest Passport Size Colour Photo need to paste on required places and signature across the photograph
• All documents submitted by client must be self attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized attesting the documents, as per mentioned list.
• Proprietary firm and Partnership firm can not open demat account. They must make application in individual name & capacity.
• Minor: Trading A/c cannot be opened in name of Minor. Demat A/c - Joint A/c not permitted with minor, KRA form, Pan and Proof of address of both Minor and Guardian to be submitted.
• All Corrections on the form should be countersigned with full signature. White ink is not allowed either in form or agreement.
• For opening an account with Depository Participant for a minor, photocopy of the school leaving certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.
• If any proof of identity or address is in a foreign language then translation into English is required.
• For Non-residents and foreign nationals (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.
• Politically Exposed Persons(PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc.
List of People authorized to attest the documents:
• Notary Public, Gazetted Officer, Manager of a scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).
• In Case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest the documents.
For Introducer:
• Introducer should personally verify account holders details like, Photograph, identity, address, etc. and affix “In Person Verification” stamp with his name, designation, signature on it.
• All Copies of documents must be Verified against their originals, stamped as “Verified with Original” and signed by authorized person with his name mentioned alongside his signature.
• Witness details should be filled up and witness should sign on all required places
Note:
• If Demat A/c is to be opened with two or more joint holders, Kindly submit KRA from for each joint holder along with specified documents
• In case of Demat A/c to be opened in the name of minor, please submit separate KRA form of guardian with specified documents
Table A - Individual
Type of Proof Acceptable Validity Period
KYC Proofs
Identity Proof Passport Valid on date of account opening
(Any One) Voter ID Card N.A.
Driving License Valid on date of account opening
UID - Aadhaar Card N.A.
Address Proof Passport Valid on date of account opening
(Any One) Voter ID Card N.A.
Ration Card N.A.
UID - Aadhaar Letter N.A.
Driving License Valid on date of account opening
Registered Lease or sale agreement of Residence Valid on date of account opening
BSNL/MTNL Landline Telephone Bill Not more than 3 months old on date of A/c opening
Bank Account Statement/Passbook Not more than 3 months old on date of A/c opening
Electricity Bill Not more than 3 months old on date of A/c opening
Bank Proof A. Preprinted name of the account holder on cancelled cheque leaf specifying the MICR Code and/or IFSC Code
(Any One) B. Bank Statement
C. Bank Passbook having name and address of the BO with bank name & logo
D. Letter from Bank
In case of options B, C, and D above, MICR / IFSC code of the branch should be present / mentioned on the
document and it shall be self-certified by the BO.
Income Proof • Copy of ITR Acknowledgement
(Any One) • Copy of Annual Reports
• Copy of Form 16 in case of Salary Income
• Latest Net worth Certificate
• Salary Slip - 3 months latest
• Bank Account Statement for last 6 months
• Copy of Latest demat account holding statement with valuation
• Any other relevant documents substantiating ownership of assets
• Self declaration along with relevant supporting documents
Table B - Non Individual
Type of Proof Acceptable Validity Period
KYC Proofs
Address Proof Registered Leave and License agreement Agreement date not more than 3 months old as on
(Any One) date of A/c opening
BSNL/MTNL Landline Telephone Bill Not more than 3 months old on date of A/c opening
Bank Account Statement/Passbook Not more than 3 months old on date of A/c opening
Electricity Bill Not more than 3 months old on date of A/c opening
Bank Proof Preprinted name on cancelled cheque leaf specifying the MICR Code or/and IFSC Code
(Any One) Cancelled cheque leaf specifying the MICR code or/and IFSC code along with Latest Bank Passbook/
Bank Statement
Income Proof • Copy of ITR Acknowledgement
(Any One) • Copy of Annual Reports
• Latest Net worth Certificate
• Bank Account Statement for last 6 months
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Type of A/c Type of KYC Proofs Proof Required & Acceptable Proof Options
Individual Pan Card Required for all holders Pan card copy
Proof of Identity Required for all holders Pls. refer Table A
Photograph Photograph of all holders singed across by client himself
Proof of Address Required for all holders Pls. refer Table A
Bank Proof Required for First/Sole holder Pls. refer Table A
DP Proof Demat Client master of recent holding statement issued by
DP bearing name of the A/c
Income proof for trading Required for Trading A/c client Pls. refer Table A
in Derivatives Segments
HUF Pan Card Required for following 1. HUF 2. Karta Pan card copy
Proof of Identity Required for Karta Pls. refer Table A
Photograph Photograph of Karta signed & stamp across on it
Proof of Address Required for following 1. HUF 2. Karta For HUF:
Pls. refer Table B
For Karta:
Pls. refer Table A
Bank Proof Required for HUF Pls. refer Table B
Income proof for trading Required for HUF Pls. refer Table B
in Derivatives Segments
Additional Docs • Deed of Declaration of HUF/List of Coparceners
• Bank Passbook/Statement - not more than 3 months old
Partnership Pan Card Copy of pan card require ........................ for following:
1 Partnership Firm 2 All Partners
Photograph Photographs of All Partners
Proof of Identity Require for all Partners Pls. refer Table A
Proof of address Required for following: For Partnership Firm:
1 Partnership Firm 2 All Partners Pls. refer Table B
For Partners:
Pls. refer Table A
Bank Proof Required in name of Partnership Firm Pls. refer Table B
Additional Docs • Certificate of registration (for Registered partnership
firm only)
• Copy of the balance sheets for the last 2 financial years
(to be submitted every year)
• Copy of Partnership deed
• Letter from partnership firm with list of Authorised
signatories with specimen signatures
• Authority Letter to Open demat A/c in the partner’s name
• Authority letter for operation of trading A/c
• Pan card & Address proof of person who hold more than
15% share of profit of the firm
Corporate Pan Card Copy of pan card require for following:
1 Applicant Corporate
2 Authorised Signatories
3 Whole time Directors
4 Individual Promoters holding control - either directly or indirectly
Photograph Photographs for following:
• Authorised Signatories
• Whole time Directors
• Individual promoters holding control - either directly or indirectly
Type of A/c Type of KYC Proofs Proof Required & Acceptable Proof Options
Proof of Identity Required for following: Pls. refer Table A
1 Authorised Signatories
2 Whole time Directors
3 Individual Promoters holding control - either directly or indirectly
Proof of address Required for following: For Applicant
1 Applicant Corporate Corporate:
2 Authorised Signatories Pls. refer Table B
3 Whole time Directors For Authorised
4 Individual Promotes holding control - either directly Signatories, Whole
or indirectly time Directors,
Individual Promoters:
Pls. refer Table A
Bank Proof Required in name of Corporate Pls. refer Table B
Additional Docs • Copy of the Memorandum and Articles of Association
and Certificate of incorporation
• Copy of the Annual Audit Reports for the last 2 financial
years (to be submitted every year)
• Copy of latest share holding pattern including list of all
those holding control, either directly or indirectly, in the
company in terms of SEBI takeover Regulation, duly
certified by the company secretary/whole time director/
MD (to be submitted every year)
• DIN number of whole time directors/two directors in
charge of day to day operations.
• Board Resolution for investment in securities market,
Authorised signatories list with specimen signatures
• Pan card & Address proof of persons holding more than
25% of paid up capital of company
Trust Pan Card Required for following:
1 Applicant Trust 2 All Trustees
Photograph Photographs of all Trustees
Proof of Identity Require for all Trustees Pls. refer Table A
Proof of address Required for following: For Trust:
1 Trust 2 All Trustees Pls. refer Table B
For Trustees:
Pls. refer Table A
Bank Proof Required in name of Trust Pls. refer Table B
Additional Docs • Certificate of registration (for Registered trust only)
• Copy of the balance sheets for the last 2 financial years
(to be submitted every year)
• Copy of Trust deed
• List of trustees certified by managing trustees/CA
• Certified true copy of Board Resolution to open the demat
account and specifying the persons authorized by the
Board to act as Authorized signatory (ies) to operate the
demat account - For Registered Trust.
• Authority letter for operation of trading A/c
• Pan card and address proof of beneficiaries, who has 15%
or more interest in the Trust.
Know Your Client (KYC)Application Form (For Individuals Only)
Please fill in ENGLISH and in BLOCK LETTERSApplication No.:
A. Identity Details (please see guidelines overleaf)
1. Name of Applicant (As appearing in supporting identification document).Name
Father’s/Spouse Name
PHOTOGRAPH
Please affix
the recent passport
size photograph and
sign across it2. Gender Male Female B. Marital status Single Married C. Date of Birth
(Please specify)
4. Status Please tick (ü) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)
3. Nationality Indian Other
5. PAN Please enclose a duly attested copy of your PAN Card
Aadhaar Number, if any:
6. Proof of Identity sumbitted for PAN exempt cases Please tick (ü)
UID (Aadhaar) Passport Voter ID Driving Licence Others
B. Address Details (please see guidelines overleaf)
1. Address for Correspondence
2. Contact Details
Tel. (Off.)
Mobile
E-Mail Id.
(ISD) (ISD)
(ISD) (ISD)
(ISD)
(ISD) (ISD)
(ISD)Tel. (Res.)
Fax
4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü) against the document attached.
Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please specify)
* Note more than 3 Months old. Validity/Expiry date of proof of address submitted
d d m m y y y y
d d m m y y y y
5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü) against the document attached.
Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please specify)
* Note more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y
6. Any other information:
DECLARATION SIGNATURE OF APPLICANT
FOR OFFICE USE ONLY IPV Done on d d m m y y y y
I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief andI undertake to inform you of any changes therein, immediately. In case any of the above information is found to befalse or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.
Place: Date:
Kunvarji Finstock P. Ltd.Code: 1200003087
(Originals Verified) Self Certified Document copies received
(Attested) True copies of documents received
Main Intermediary
Seal/Stamp of the intermediary should contain
Staff Name
Designation
Name of the Organization
Signature
Date
Seal/Stamp of the intermediary should contain
Staff Name
Designation
Name of the Organization
Signature
Date
City / Town / Village
State
Pin Code
Country
City / Town / Village
CountryState
Pin Code
I
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TM
Kunvarji Finstock P. Ltd.Code: 1200003087
Know Your Client (KYC)Application Form (For Non-Individuals Only)
Please fill in ENGLISH and in BLOCK LETTERS
A. Identity Details (please see guidelines overleaf)
1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).Name
PHOTOGRAPH
Please affix
the recent passport
size photograph and
sign across it
4. Status Please tick (ü) Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non-Government Organisation
Defence Establishment Body of Individuals Society LLP Others
5. Permanent Account Number (PAN) (MANDATORY)
DECLARATION
FOR OFFICE USE ONLY
I hereby declare that the details furnished above are true andcorrect to the best of my/our knowledge and belief and I/we undertaketo inform you of any changes therein, immediately. In case any of theabove information is found to be false or untrue or misleading ormisrepresenting, I am/we are aware that I/we may be held liable for it.
Place: Date:
(Originals Verified) Self Certified Document copies received
(Attested) True copies of documents received
Main Intermediary
Seal/Stamp of the intermediary should contain
Staff Name
Designation
Name of the Organization
Signature
Date
B. Address Details (please see guidelines overleaf)
1. Address for Correspondence
City / Town / Village
State
Pin Code
Country
N
2. Date of Incorporation d d m m y y y y
Place of Incorporation
3. Registration No. (e.g. CIN)
Date of commencement of business d d m m y y y y
(Please specify)
Please enclose a duly attested copy of your PAN Card
4. Registered Address (If different from above)
City / Town / Village
State
Pin Code
Country
NAME & SIGNATURE(S)
OF AUTHORISED
PERSON(S)
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü) against the document attached.
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf). (Please specify)
* Note more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y
5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (ü) against the document attached.
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf). (Please specify)
* Note more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y
C. Other Details (please see guidelines overleaf)
1. Name, PAN, DIN/Aadhaar Number, Residential address and Photographs of Promoters/Partners/Karta/Trustees/whole time directors(Please use the Annexure to fill in the details)
2. Any other information:
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Application No.:
2. Contact Details
Tel. (Off.)
Mobile
E-Mail Id.
(ISD) (ISD)
(ISD) (ISD)
(ISD)
(ISD) (ISD)
(ISD)Tel. (Res.)
Fax
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I/We are registered with KRA YES NOIf Yes, I/We hereby authorise you to obtain details of my documents from KRA and use the same for the purpose of registration. I/We hereby confirm that our details with KRA are accurate and updated.
ADDITIONAL DETAILS FOR OPENING TRADING ACCOUNT(Individual / Non-Individual)
E. PROOF OF FINANCIAL DETAILS (Attached any one of the below. Mandatory for trading in F&O /
Currency segment)
ITR Acknowledgment Annual Accounts Net Worth Certificate Salary Slip Form 16Bank Account Statement (for last 6 months) Demat holding statement Self declaration
along with relevant supporting Any other relevant documents substantiating ownership of assets
15
PAN No.:
#If in future the client wants to trade on any new segment/exchange separate authorization /letter should be submitted to the stock broker.
Name of Applicant:
C. DEPOSITORY ACCOUNT DETAILS:
Depository Participant Depository Name Beneficiary Name DP ID Beneficiary IDName (NSDL/CDSL) (BO ID)
Note:
1. Account number mentioned in 1 Row will be updated in your Trading account (for receipt and payment of funds).
2. If you wish to make pay-in of funds for your purchases from more than one bank account, please provide details of additional bank account(s).
3. Please submit copy of cheque for all Bank Accounts mentioned above to confirm MICR & IFSC Code of the Bank's Branch.
B. BANK DETAILS:
Bank Name & Account Number Account Type: (Strike off MICR Code# IFSC code#Branch Address which ever is not applicable)
SB / Current / NRE / NRO /PIS-NRE / PIS-NRO
SB / Current / NRE / NRO
SB / Current / NRE / NRO
D. TRADING PREFERENCE:Please sign in the boxes relevant to the exchange and segment where in you wish to trade. Strike Off remaining al other boxes:
CURRENCYDERIVATIVES
EQUITYDERIVATIVES
CASHMARKET
MCX-SXBSENSESegment / Exchange
TM
A. KRA REGISTRATION DETAILS:
Please provide details of any actions/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 (Use annexure for additional information, if required)
G. DETAILS OF PAST REGULATORY ACTIONS:
J. Consent for receiving SMS/EMAIL alerts from Concerned Stock Exchanges
I/We wish to avail the SMS/Email alert facility offered by respective Exchanges showing details of my daily transactions executed through Kunvarji Finstock Pvt. Ltd on my e-mail id / mobile no. provided in KYC form.
(The above facility is provided by Exchanges and will be activated once the details are verified by Exchanges and confirmed by you)
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' and 'Guidance Note'. 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 KFPL's designated website.
I. ADDITIONAL DETAILS:
Whether you wish to receive Electronic Contract Note (ECN) which may be sent at youremail id as stated in KYC OR
Physical Contract note
Whether you wish to avail of the facility of Internet Trading Yes No
If Yes, whether you wish to avail facility of Mobile Trading Yes No
Number of years of Investment / Trading Experience
Any other information:
H. DEALINGS THROUGH SUB-BROKER(S) / AUTHORISED PERSONS (APs) AND OTHER STOCK BROKER(S)
/ SUB-BROKERS / APs:(A) If dealing through KFPL's Sub-broker / APs, please provide the following details: (SBs/APs to provide their prescribed details or
affix their rubber stamp here)
(B) If dealing through other Stock-brokers and/or their Sub-broker /APs, please provide the following details:
Sub-Broker's Name
Office Address
SEBI Registration No.
Phone No.
Stock-Broker’s Name
Sub-Broker / AP Name, if any
Client Code Exchange
Details of disputes / dues pending from/to such Stock Broker/Sub-broker:
Signature of Client /(all) Authorised Signatory (ies)
@
F. PROOF OF EXISTING DEMAT ACCOUNT:
Client Master Latest Transaction / Holding Statement of Demat Account (please tick whichever is applicable)
ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT (Individual)
1 2 0 4 8 4 0 0DP ID Client ID
(To be filled by Applicant in BLOCK LETTERS in English)
I / We request you to open a demat account in my / our name as per following details
Holders Details:
Sole/First Holder's Name
PAN No. UID
Second Holder's Name
PAN No. UID
Third Holder's Name
PAN No. UID
Name*
*In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.
17
TM
Status Sub-Status
Individual □ Individual Resident □ Individual Director
□ Individual Director Relative □ Individual HUF /AOP
□ Individual Promoter □ Individual Minor
□ Individual Margin Trading (Mantra) A/c □ Others (Specify)
NRI □ NRI Repatriable □ NRI Non Repatriable
□ NRI Repatriable Promoter □ NRI Non Repatriable Promoter
□ NRI - Depository Recipts □ Others (specify) ____________________
Foreign National □ Foreign National □ Foreign National Depository Receipts
□ Others (Specify)________________________
TYPE OF ACCOUNT* (Tick whichever is applicable)
Details of Guardian (in case the account holder is minor)
Guardian's Name
PAN no.
Relationship with the
applicant
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 the DP any change(s) in the
details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or
suppression of any material information will render my account liable for termination and suitable action.
In case non -resident account, I / We also declare that I / We have complied and will continue to comply with FEMA regulations.
Name
Signature
First / Sole Holder or
Guardian (in case of Minor)
Second Holder Third Holder
@ . "
ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT (Non - Individual)
(To be filled by Applicant in BLOCK LETTERS in English)
I / We request you to open a demat account in my / our name as per following details
1 2 0 4 8 4 0 0DP ID Client ID
Holders Details:
Sole/First Holder's Name
Search Name
PAN No.
TYPE OF ACCOUNT* (Tick whichever is applicable)
Status
Body Corporate Bank Trust Mutual Fund OCB FII
CM FI Clearing House Others(specify)______________
Sub-Status
To be filled by the DP
SEBI RegistrationNo. (If applicable)
RBI RegistrationNo.(If applicable)
SEBI Registration(Date)
RBI ApprovalDate
Nationality Indian Others (specity)
Clearing Member Details (To be filled by CMs only)
Trading Member ID
Name of Stock Exchange
Name of CC / CH
Clearing Member ID
I/We have received and read the document of ‘Rights and Obligations of BO-DP (DP-CM agreement for BSE Clearing Member Accounts) including the schedules thereto and the 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 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.
Name
Sole / First Authorised Signatory
SecondAuthorised Signatory
ThirdAuthorised Signatory
Designation
Signature
@ . "
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COMMON DETAILS FOR INDIVIDUAL AND NON-INDIVIDUAL DEMAT A/c
I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit] (If not marked, the default option would be ‘Yes’) Yes No
I / We would like to instruct the DP to accept all the pledge instructions inmy /our account without any other further instruction from my / our end Yes No( If not marked, the default option would be ‘No’)
Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly
I / We request you to send Electronic Transaction-cum-Holding Statement at the Yes No email ID______________________
I/ We would like to share the email ID with the RTA Yes No
I / We would like to receive the Annual Report Physical / Electronic / Both Physical and Electronic(Tick the applicable box. If not marked the default option would be in Physical)
I / We wish to receive dividend / interest directly in to my bank account given belowthrough ECS (If not marked, the default option would be ‘Yes’) Yes No
[ECS is mandatory for locations notified by SEBI from time to time]
Bank Details [Dividend Bank Details]
(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)
(ii) Photocopy of the Bank Statement having name and address of the BO
(iii) Photocopy of the Passbook having name and address of the BO, (or)
(iv) Letter from the Bank.
In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.
Bank Code (9 digit MICR code)
IFS Code (11 character)
Account number
Account type Saving Current Others (specify)______________
Bank Name Branch Name
Bank Branch Address
City: State: Country: PIN code
SMS Alert Facility MOBILE NO. +91 _______________________Refer to Terms & Conditions [(Mandatory , if you are giving Power of Attorney ( POA)] given as Annexure - 2.4 (if POA is not granted & you do not wish to avail of this facility, cancel this option).
Transactions Using Secured I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.Texting Facility (TRUST). Refer I have read and understood the Terms and Conditions prescribed by CDSL for the same. to Terms and Conditions Yes NoAnnexure - 2.6 I/We wish to register the following clearing member IDs under my/our below
mentioned BO ID registered for TRUST
Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)
Easi To register for easi, please visit our website www.cdslindia.com.Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.
Sole / First Holder / Second Holder / Third Holder / Authorised Signatory Authorised Signatory Authorised Signatory
.@ "Signature
Name
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21
PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person
OTHER DETAILS FOR OPENING AN ACCOUNT
FOR INDIVIDUAL ACCOUNT:
Sr. No. Name of the Authorised signatories / Relation with the Applicant ( i.e. promoters, Please tick the Promoters / Partners / Karta / Trustees / whole time directors etc. relevant option.
Whole Time Directors
Details of Politically Exposed Persons (PEP) / Related to Politically Exposed Person (RPEP) (For Non - Individual)
ANNEXURE - 2.2 A
PEP RPEP
PEP RPEP
PEP RPEP
PEP RPEP
PEP RPEP
Sole / First Second Third Authorised Signatory Authorised Signatory Authorised Signatory
.@ "Signature
Name
FOR NON INDIVIDUAL ACCOUNT:
1. Gross Annual Income details in Rs. (Please tick (ü):Upto 1 lac 1-5 lac 5-10 lac 10-25 lac 25 lac -1 Crore > 1 Crore
2. Net-worth in Rs. _____________________ as on date ___________ (Net-worth should not be older than 1 year)
3. Please tick, if any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Directors is either
Politically Exposed Person (PEP) or Related to Politically Exposed Person(RPEP)
Please provide details as per Annexure 2.2 A.(Annexure 2.2 A given below)
4. Any other Information:
1. Gross Annual Income details in Rs. (Please tick (ü):Below 1 lac 1-5 lac 5-10 lac 10-25 lac > 25 lacs OR
Net-worth in Rs. _____________________ as on date ___________ (Net-worth should not be older than 1 year)
2. Occupation (Please tick (ü) any one and give brief details):Private Sector service Public Sector Service Government Service Business RetiredProfessional Agriculturist Housewife Student Others(specify)___________
3. Please tick, if applicable: Politically Exposed Person (PEP) Related to Politically Exposed Person(RPEP)
4. Any other Information:
Name
Signature
First / Sole Holder or
Guardian (in case of Minor)
Second Holder Third Holder
@ . "
TM
NOMINATION DETAILS (FOR TRADING AND DEMAT ACCOUNT) (FOR INDIVIDUAL A/C ONLY)
This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.
Note: Two witnesses shall attest signature(s) / thumb impression(s)
Name of witness
Address of witness
Signature of witness
First Witness Second Witness
Name
Signature
Trading ID 2 0 4 8 4 0 0BO ID 1
First / Sole Holder or
Guardian (in case of Minor)
Second Holder Third Holder
As the nominee is a minor as on date, to receive the securities/funds in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian:
Full Name of Guardian of Nominee
City State
Country PIN code
Telephone No. Fax No.
E-mail ID
Relationship of Guardianwith Nominee
Address
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 account.
I / We nominate the following person who is entitled to receive security / funds balances lying in my / our account, particulars whereof are given below, in the event of my / our death.
Full Name of the Nominee
City State
Country PIN code
Telephone No. Fax No.
PAN UID
E-mail ID
Relationship with BO (If any)
Date of birth (mandatoryIf nominee is a minor)
Address
@ . "
Details of the Witness
23
To,Kunvarji Finstock Private LimitedBlock-B, 1st Floor, Siddhi Vinayak Towers,Makarba, Ahmedabad – 380 051.
Dear Sir/Madam,
I / We hereby state that: [Select one of the options given below]
OPTION 1:
I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with _____________________________________________________________________________________ (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager.
Yours Faithfully
OR
OPTION 2:
I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS agreement in favour of / with ______________________________________________________________ (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] 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.
Yours Faithfully
Second Holder /Authorised Person’s Signature
.First Holder /
Authorised Person’s Signature
@Third Holder /
Authorised Person’s Signature
"
Third Holder /Authorised Person’s Signature
"Second Holder /
Authorised Person’s Signature
.First Holder /
Authorised Person’s Signature
@
TM
Note:
1. If Brokerage rates are not filled up by the client, the client will deemed to have agreed to default brokerage rates as mentioned
above.
2. KFPL reserves the right to change any of the terms mentioned herein above from time to time.
3. The client authorises Kunvarji Finstock Pvt. Ltd Stock Broker to recover demat charges payable to KFPL DP by debit entry in sale bill
and/or by debit to his ledger account.
st st nd ndEquity 1 Leg Default 1 Leg 2 Leg (same day) Default 2 Leg
%age Min. %age Min. %age Min. %age Min.
Intraday Cash 0.10% 10 paisa 0.10% 10 paisa
Delivery 1 % 10 paisa 1 % 10 paisa
Future 0.10% 10 paisa 0.10% 10 paisa
Options (Per lot) 2.5 % 100 Rs. 2.5 % 100 Rs.
Contract Minimum 25 Rs.Brokerage
st st nd ndCurrency 1 Leg Default 1 Leg 2 Leg (same day) Default 2 Leg
Derivatives %age Min. %age Min. %age Min. %age Min.
Future 0.10% 10 paisa 0.10% 10 paisa
Options (Per lot) 2.5 % 100 Rs. 2.5 % 100 Rs.
Sr. No. Other Charges Amount
1 Dispatch Charges for physical contract note Rs. 10 per contract note
2 Securities pay out from client beneficiary A/c Rs. 15 per scrip
3 Clearing Charges Reimbursement of charges levied byClearing Member
4 Security Transaction Tax @ rates notified by Government
5 Stamp Duty @ rates notified by Government
6 Service Tax @ rates notified by Government onbrokerage & other charges exceptSTT & Stamp duty
Client Code: _______________
TARIFF SHEET FOR TRADING ACCOUNT
Signature of Client /(all) Authorised Signatory (ies)
@
@Signature of Client
TM
Sr No.
1 Account Opening Charges
2 Agreement Charges ` 20/- ` 20/-
(One Time Charge)
3 Annual Maintenance Charges - Individual / NRI ` 200/- NIL
Annual Maintenance Charges - Corporate ` 1000/- Not Applicable
4 One time Charge Not Applicable ` 999/- (Inclusive of Service Tax)
5 Off-Market / Market - Buy NIL NIL
6 On-Market ` 15/- per transaction ` 20/- per transaction
7 Off Market Transfer to Margin Account ` 20/- per transaction ` 20/- per transaction
8 Off Market Transfer to other than margin a/c ` 20/- per transaction ` 50/- per transaction
9 Same Day Pay - in (Late fees) ` 30/- per transaction ` 100/- per transaction
10 Custody Charges NIL NIL
11 Demat Charges ` 30/- per transaction ` 30/- per transaction subject to minimum ` 100/- subject to minimum ` 100/-
12 Remat Charges ` 100/- or actual ` 100/- or actual
whichever is higher whichever is higher
13 Pledge Charges
(a) Creation ` 25/- ` 100/-(b) Closure ` 25/- ` 100/-(c) Invocation ` 25/- ` 100/-
14 On Demand: Additional Holding / Transaction
Delivery Slip Book (10 Slips) ` 30/- per Slip Book ` 50/- per Slip Book
NIL NIL
Yearly AMC SchemeDescriptionLifetime AMC Free Scheme
(Only for individual)
` 5/- per page, subject tominimum ` 10/-
` 5/- per page, subject tominimum ` 10/-
DEPOSITORY TARIFF PLAN
Note:
• We reserve the rights to change the service charges with 30 days prior notice.
• In Case of delays in payment of charges within the due date, demat account will be frozen for all operation till such time all dues are cleared.
• All instruction for market Transfer must be received at least 24 hours before the execution date, late instruction would be accepted at the account holder's sole risk and responsibility.
• The Client authorises Kunvarji Finstock Pvt. Ltd. DP to recover demat charges by debit entry in the sale bill and/or by debit to his ledger account with Kunvarji Finstock Pvt. Ltd. Stock Broker.
• Service Tax will be charged extra as applicable on all above services.
I/We confirm that, I/we have been explained provisions of SEBI Circular No. CIR/MRD/DP/22/2012 dated 27-08-2012 in respect of facility of Basic Services Demat Account and applicable reduced AMC charges subject to fulfillment of eligibility criteria.
I/We confirm that, I/we are not opting for the said facility and have opted for normal services demat account with applicable charge structure as agreed by us.
Wish to opt for Rajiv Gandhi Equity Saving Scheme. Yes No
Third Holder /Authorised Person’s Signature
"Second Holder /
Authorised Person’s Signature
.First Holder /
Authorised Person’s Signature
@
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TM
Terms And Conditions-cum-Registration / Modification
Form for receiving SMS Alerts from CDSL
Definitions:
In these Terms and Conditions the terms shall have following
meaning unless indicated otherwise:
1. “Depository” means Central Depository Services (India)
Limited a company incorporated in India under the
Companies Act 1956 and having its registered office at 17th
Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all
its branch offices and includes its successors and
assignees.
2. ‘DP’ means Depository Participant of CDSL. The term
covers all types of DPs who are allowed to open demat
accounts for investors.
3. ‘BO’ means an entity that has opened a demat account with
the depository. The term covers all types of demat
accounts, which can be opened with a depository as
specified by the depository from time to time.
4. SMS means “Short Messaging Service”
5. “Alerts” means a customized SMS sent to the BO over the
said mobile phone number.
6. “Service Provider” means a cellular service provider(s)
with whom the depository has entered/will be entering into
arrangements for providing the SMS alerts to the BO.
7. “Service” means the service of providing SMS alerts to the
BO on best effort basis as perthese terms and conditions.
Availability:
1. The service will be provided to the BO at his / her request
and at the discretion of the depository. The service will be
available to those account holders who have provided their
mobile numbers to the depository through their DP. The
services may be discontinued for a specific period /
indefinite period, with or without issuing any prior notice for
the purpose of security reasons or system maintenance or
for such other reasons as may be warranted. The
depository may also discontinue the service at any time
without giving prior notice for any reason whatsoever.
2. The service is currently available to the BOs who are
residing in India.
3. The alerts will be provided to the BOs only if they remain
within the range of the service provider’s service area or
within the range forming part of the roaming network of the
service provider.
4. In case of joint accounts and non-individual accounts the
service will be available, only to one mobile number i.e. to
the mobile number as submitted at the time of registration/
modification.
5. The BO is responsible for promptly intimating to the
depository in the prescribed manner any change in mobile
number, or loss of handset, on which the BO wants to
receive the alerts from the depository. In case of change in
mobile number not intimated to the depository, the SMS
alerts will continue to be sent to the last registered mobile
phone number. The BO agrees to indemnify the depository
for any loss or damage suffered by it on account of SMS
alerts sent on such mobile number.
Receiving Alerts:
1. The depository shall send the alerts to the mobile phone
number provided by the BO while registering for the service
or to any such number replaced and informed by the BO
from time to time. Upon such registration / change, the
depository shall make every effort to update the change in
mobile number within a reasonable period of time. The
depository shall not be responsible for any event of delay or
loss of message in this regard.
2. The BO acknowledges that the alerts will be received only if
the mobile phone is in ‘ON’ and in a mode to receive the
SMS. If the mobile phone is in ‘OFF” mode i.e. unable to
receive the alerts then the BO may not get / get after delay
any alerts sent during such period.
3. The BO also acknowledges that the readability, accuracy
and timeliness of providing the service depend on many
factors including the infrastructure, connectivity of the
service provider. The depository shall not be responsible for
any non-delivery, delayed delivery or distortion of the alert
in anyway whatsoever.
4. The BO further acknowledges that the service provided to
him is an additional facility provided for his convenience
and is susceptible to error, omission and/ or inaccuracy. In
case the BO observes any error in the information provided
in the alert, the BO shall inform the depository and/ or the
DP immediately in writing and the depository will make best
possible efforts to rectify the error as early as possible. The
BO shall not hold the depository liable for any loss,
damages, etc. that may be incurred/ suffered by the BO on
account of opting to avail SMS alerts facility.
5. The BO authorizes the depository to send any message
such as promotional, greeting or any other message that
the depository may consider appropriate, to the BO. The BO
ANNEXURE - 2.4
TM
27
agrees to an ongoing confirmation for use of name, email
address and mobile number for marketing offers between
CDSL and any other entity.
6. The BO agrees to inform the depository and DP in writing
of any unauthorized debit to his BO account /
unauthorized transfer of securities from his BO account,
immediately, which may come to his knowledge on
receiving SMS alerts. The BO may send an email to CDSL
at [email protected]. The BO is advised not to
inform the service provider about any such unauthorized
debit to/ transfer of securities from his BO account by
sending a SMS back to the service provider as there is no
reverse communication between the service provider
and the depository.
7. The information sent as an alert on the mobile phone
number shall be deemed to have been received by the BO
and the depository shall not be under any obligation to
confirm the authenticity of the person(s) receiving the alert.
8. The depository will make best efforts to provide the service.
The BO cannot hold the depository liable for non-availability
of the service in any manner whatsoever.
9. If the BO finds that the information such as mobile number
etc., has been changed with out proper authorization, the
BO should immediately inform the DP in writing.
Fees:
Depository reserves the right to charge such fees from time to
time as it deems fit for providing this service to the BO.
Disclaimer:
The depository shall make reasonable efforts to ensure that the
BO's personal information is kept confidential. The depository
does not warranty the confidentiality or security of the SMS
alerts transmitted through a service provider. Further, the
depository makes no warranty or representation of any kind in
relation to the system and the network or their function or their
performance or for any loss or damage whenever and
howsoever suffered or incurred by the BO or by any person
resulting from or in connection with availing of SMS alerts
facility. The Depository gives no warranty with respect to the
quality of the service provided by the service provider. The
Depository will not be liable for any unauthorized use or access
to the information and/ or SMS alert sent on the mobile phone
number of the BO or for fraudulent, duplicate or erroneous use/
misuse of such information by any third person.
Liability and Indemnity:
The Depository shall not be liable for any breach of
confidentiality by the service provider or by any third person
due to unauthorized access to the information meant for the
BO. In consideration of the depository providing the service,
the BO agrees to indemnify and keep safe, harmless and
indemnified the depository and its officials from any damages,
claims, demands, proceedings, loss, cost, charges and
expenses whatsoever which a depository may at any time
incur, sustain, suffer or be put to as a consequence of or arising
out of interference with or misuse, improper or fraudulent use
of the service by the BO.
Amendments:
The depository may amend the terms and conditions at any
time with or without giving any prior notice to the BOs. Any
such amendments shall be binding on the BOs who are already
registered as user of this service.
Governing Law and Jurisdiction:
Providing the Service as outlined above shall be governed by
the laws of India and will be subject to the exclusive jurisdiction
of the courts in Mumbai.
I/We wish to avail the SMS Alerts facility provided by the
depository on my/our mobile number provided in the
registration form subject to the terms and conditions
mentioned below. I/ We consent to CDSL providing to the
service provider such information pertaining to
account/transactions in my/our account as is necessary for
the purposes of generating SMS Alerts by service provider,
to be sent to the said mobile number.
I/We have read and understood the terms and conditions
mentioned above and agree to abide by them and any
amendments thereto made by the depository from time to time.
I/We further undertake to pay fee/ charges as may be levied by
the depository from time to time.
I / We further understand that the SMS alerts would be sent for
a maximum four ISINs at a time. If more than four debits take
place, the BOs would be required to take up the matter with their
DP.
I am/ We are aware that mere acceptance of the registration
form does not imply in any way that the request has been
accepted by the depository for providing the service.
TM
ANNEXURE - 2.4
I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).
The mobile number is registered in the name of :______________________________________________________________
E-mail ID :__________________________________________________________________________________________
(Please write only one valid E-mail ID on which communication, if any, is to be sent)
Sole / First Holder's Name : ____________________________________________________________________________
Second Holder's Name : ____________________________________________________________________________
Third Holder's Name : ____________________________________________________________________________
Date: ___/___/_____
Place: ___________
Note:
1. If the account holder is HUF, only the Karta under stamp of HUF should sign
2. In case of corporate account, the authorized signatory / director as per the resolution submitted should sign with stamp of the
company
3. In case of partnership firm, since the demat account is in the name of partners all partners should sign without stamp of the
partnership firm
Second Holder /Authorised Person’s Signature
.First Holder /
Authorised Person’s Signature
@Third Holder /
Authorised Person’s Signature
"
Mobile number on which
massages are to be sent(Please write only the mobile number without prefixing country code or zero)
+91
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)
1 2 0 4 8 4 0 0BOID
TM
ANNEXURE - 2.4
:
ANNEXURE - 2.6
Terms And Conditions for availing Transaction Using
Secured Texting (TRUST) Service offered by CDSL
1 Definitions:
In these Terms and Conditions the terms shall have
following meaning unless indicated otherwise:
i. “Depository" means Central Depository Services (India)
Limited (CDSL)
ii. TRUST means “Transactions Using Secured Texting”
service offered by the Depository.
iii. “Service Provider” means a cellular service provider(s)
with whom the Depository has entered / shall enter into an
arrangement for providing the TRUST service to the BO.
iv. “Service” means the service of providing facility to receive
/ give instructions through SMS on best effort basis as
per the following terms and conditions. The types of
transaction that would normally qualify for this type of
service would be informed by CDSL from time to time.
v. “Third Party" means the operators with whom the Service
Provider is having / will have an arrangement for
providing SMS to the BO.
2 The service will be provided to the BO at his / her request
and at the discretion of the depository provided the BO has
registered for this facility with their mobile numbers through
their DP or by any other mode as informed by CDSL from
time to time. Acceptance of application shall be subject to
the verification of the information provided by the BO to the
Depository
3 The messages will be sent on best efforts basis by way of
an SMS on the mobile no which has been provided by the
BOs. However Depository shall not be responsible if
messages are not received or sent for any reason
whatsoever, including but not limited to the failure of the
service provider or network.
4 The BO is responsible for promptly informing its DP in the
prescribed manner any change in mobile number, or loss of
handset on which the BO wants to send / receive messages
generated under TRUST. In case the new number is not
registered for TRUST in the depository system, the
messages generated under TRUST will continue to be sent
to the last registered mobile number. The BO agrees to
indemnify the depository for any loss or damage suffered
by it on account of messages sent on such mobile number.
5 The BO agrees that SMS received by the Depository from
the registered mobile number of the BO on the basis of
which instructions are executed in the depository system
shall be conclusive evidence of such instructions having
been issued by the BO. The DP / CDSL will not be held liable
for acting on SMS so received.
6 The BO shall be responsible for submitting response to the
'Responsive SMS' within the specified time period.
Transactions for which no positive or negative confirmation
is received from the BO, will not be executed except for
transaction for deregistration. Further, CDSL shall not be
responsible for BOs not submitting the response to the said
SMS within the time limit prescribed by CDSL.
7 The BO agrees that the signing of the TRUST registration
form by all joint holders shall mean that the instructions
executed on the basis of SMS received from the registered
mobile for TRUST shall be deemed to have been executed
by all joint holders.
8 The BO agrees to ensure that the mobile number for TRUST
facility and SMS alert (SMART) facility is the same. The BO
agrees that if he is not registered for SMART, the DP shall
register him for SMART and TRUST. If the mobile number
provided for TRUST is different from the mobile number
recorded for SMART, the new mobile number would be
updated for SMART as well as TRUST.
9 BOs are advised to check the status of their obligation from
time to time and also advise the respective CMs to do so. In
case of any issues, the BO / CM should approach their DPs
to ensure that the obligation is fulfilled through any other
mode of delivery of transactions as may be informed /
made available by CDSL from time to time including
submission of Delivery Instruction Slips to the DP.
10 The BO acknowledges that CDSL will send the message for
confirmation of a transaction to the BO only if the Clearing
Member (registered by the BO for TRUST) enters the said
transaction in CDSL system for execution through TRUST
within prescribed time limit.
29
TM
ANNEXURE - 2.6
11 The BO further acknowledges that the BO / CM shall not
have any right to any claim against either the DP or
Depository for losses, if any, incurred due to non receipt of
response on the responsive SMS or receipt of such
response after the prescribed time period. In the event of
any dispute relating to the date and time of receipt of such
response, CDSL's records shall be conclusive evidence
and the Parties agree that CDSL's decision on the same
shall be final and binding on both Parties.
12 The BO may request for deregistration from TRUST at any
time by giving a notice in writing to its DP or by any other
mode as specified by Depository in its operating
instructions. The same shall be effected after entry of such
request by the DP in CDSL system if the request is received
through the DP.
13 Depository reserves the right to charge such fees from time
to time as it deems fit for providing this service to the BO.
14 The BO expressly authorises Depository to disclose to the
Service Provider or any other third party, such BO
information as may be required by them to provide the
services to the BO. Depository however, shall not be
responsible and be held liable for any divulgence or leakage
of confidential BO information by such Service Providers or
any other third party.
15 The BO takes the responsibility for the correctness of the
information supplied by him to Depository through the use
of the said Facility or through any other means such as
electronic mail or written communication.
16 The BO is solely responsible for ensuring that the mobile
number is not misused and is kept safely and securely. The
Depository will process requests originated from the
registered Mobile as if submitted by the BO and Depository
is not responsible for any claim made by the BO informing
that the same was not originated by him.
17 Indemnity:
In consideration of providing the service, the BO agrees that
the depository shall not be liable to indemnify the BO
towards any damages, claims, demands, proceedings,
loss, cost, charges and expenses whatsoever as a
consequence of or arising out of interference with or
misuse, improper or fraudulent use of the service by the BO.
18 Disclaimer:
Depository shall be absolved of any liability in case:-
a. There is loss of any information during processing or
transmission or any unauthorized access by any other
person or breach of confidentiality.
b. There is any lapse or failure on the part of the service
providers or any third party affecting the said Facility and
that Depository makes no warranty as to the quality of
the service provided by any such service provider.
c. There is breach of confidentiality or security of the
messages whether personal or otherwise transmitted
through the Facility.
TM
Third Holder /Authorised Person’s Signature
Second Holder /Authorised Person’s Signature
First Holder /Authorised Person’s Signature
".@
KUNVARJI FINSTOCK PVT. LTD.
31
POWER OF ATTORNEY IN FAVOUR OF KUNVARJI FINSTOCK PVT. LTD.
In the event of the Stock Broker acquiring membership of any new Exchange or any Segment of any new / existing Exchange and in
the event of my / our executing transactions after opening trading account with the Stock Broker for such new Segment(s) /
Exchange(s), the relevant demat account operated by the Stock Broker shall be added to the above list; and I / we shall be deemed
to have consented to such addition(s).
ii. to redeem mutual funds units held by me/us in demat form in my / our above beneficiary account in accordance with my / our
instructions and to execute DIS for meeting obligations arising out of such instructions.
TO ALL TO WHOM THESE PRESENTS SHALL COME. I / we ______________________________________________________
_____________________________________________________________________ residing at / having its registered office
at______________________________________________________________________________, send greetings.
Whereas I/ we hold beneficial owner account number _________________________________________________ with Central
Depository Services (India) Limited (CDSL), through M/S KUNVARJI FINSTOCK PVT. LTD., registered with Securities and Exchange
Board of India (SEBI) as Depository Participant having DP ID - 12048400 and SEBI Registration No.- IN-DP-CDSL-390-2007.
And Whereas I/ we am/ are desirous to buy and sell securities through M/S KUNVARJI FINSTOCK PVT. LTD. who is a stock broker
registered with SEBI and member of recognized stock exchange/s.
And Whereas I / we am / are desirous of appointing M/S KUNVARJI FINSTOCK PVT. LTD., as my / our constituted attorney to operate
my / our beneficial owner account on my / our behalf for a limited purpose in the manner hereinafter appearing and subject to
conditions as provided herein.
NOW KNOW WE ALL AND THESE PRESENTS WITNESS THAT I/ we do hereby nominate, constitute and appoint M/S KUNVARJI
FINSTOCK PVT. LTD. (hereinafter referred to as “the stock broker”) as my true and lawful attorney and authorise it to perform the
following functions on my behalf:
I. to transfer securities held in my / our aforementioned beneficial owner account(s) or any other account informed by me in writing
to the stock broker from time to time to the demat accounts (as per details given below) of the stock broker maintained for the
purpose of settlement of trades and margin obligations arising out of trades executed by me / us on any recognized stock
exchange through the stock broker. However, the said power will be restricted to only transfer of securities towards margin /
delivery obligations arising out of trades executed by me / us through the stock broker on any recognized stock exchange,
provided that I / we have opened trading account with the stock broker for such Exchanges.
TM
SR. NO. DEMAT ACCOUNT NO. RELATED TO EXCHANGE & SEGMENT PURPOSE
1 12048400 00000902 NSE - CASH SEGMENT PAY IN
2 IN301151 22143972 NSE - CASH SEGMENT MARGIN
3 12048400 00000881 BSE - CASH SEGMENT PAY IN
4 12048400 00021101 BSE - CASH SEGMENT MARGIN
5 IN300126 11199463 NSE - F&O SEGMENT MARGIN
6 12048400 00128072 NSE - CURRENCY DERIVATIVES SEGMENT MARGIN
7 12048400 00128087 MCX-SX - CURRENCY DERIVATIVES SEGMENT MARGIN
8 12048400 00205220 USE - CURRENCY DERIVATIVES SEGMENT MARGIN
9 12048400 00234484 MCX-SX - CASH SEGMENT PAY IN
10 12048400 00244091 MCX-SX - CASH SEGMENT MARGIN
11 12048400 00244021 MCX-SX - F&O SEGMENT MARGIN
12 12048400 00243877 BSE-F&O SEGMENT MARGIN
13 16014800 00555401 NSE - CASH SEGMENT MARGIN
14 12048400 00268640 NSE - F&O SEGMENT MARGIN
KUNVARJI FINSTOCK PVT. LTD.
iii. to apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of shares, tendering
shares in open offers etc pursuant to oral/written/electronic instructions given by me/us to the stock broker.iv. to pledge the securities in favor of the stock broker for the limited purpose of meeting my/our margin requirements in connection
with the trades executed by me/us on any recognized stock exchange through the stock broker.v. to return to me/us, the securities or funds that may have been received by the stock broker erroneously or those securities or funds
that the stock broker was not entitled to receive from me/us;vi. to send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by way of SMS/
email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time. I/We ratify the instructions given by the aforesaid stock broker to the depository participant named hereinabove in the manner
specified herein.I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked
(without notice) in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received
by the stock broker in his office at :
Signed and delivered by the within named Beneficial Owner/s
The Compliance OfficerKunvarji Finstock Pvt. Ltd.Block-B, 1st Floor, Siddhi Vinayak Towers,Makarba, Ahmedabad - 380 051.
I/We Accept
For, Kunvarji Finstock Pvt. Ltd.
Authorised Signatory
Date: ___/___/_____
Note:
1. If the account holder is HUF, all coparceners under stamp of HUF should sign
2. In case of corporate account, the authorized signatory / director as per the
resolution submitted should sign with stamp of the company
3. In case of partnership firm, since the demat account is in the name of partners
all partners should sign without stamp of the partnership firm
In the presence of (Name & Address of witness)
(Name of Witness) _____________________
(Address) ___________________________
Date:____________ Place:_____________ (Sign of Witness)
1. __________________________________________
(Name of First Holder)
3. __________________________________________
(Name of Third Holder)
2. __________________________________________
(Name of Second Holder)
First Holder /Authorised Person’s Signature
@
Second Holder /Authorised Person’s Signature
.
Third Holder /Authorised Person’s Signature
"
TM
33
I,________________________________________________________________________________________________
(Name of the Karta) the Karta of __________________________________________________________________________
Hindu Undivided Family (HUF) do hereby declare that I am the Karta of HUF is authorized to execute & operate the depository account
opened with you on behalf of HUF and I state that all the members of HUF are jointly and severally responsible for dealing/transaction/
delivery slips that are executed by me on behalf of the HUF and shall abide by the respective Exchange, Bye Laws, and Regulations.
I further state that I am well aware of the CDSL procedures and shall comply with CDSL provisions under its Byelaws, Rule and
Regulations and also provide with the necessary information/details from time to time to the above trading member.
Name of the family Members including Karta with names in full, relation and Date of Birth are as under:
Thanking you,
Yours faithfully,
__________________________Signature of Karta with HUF stamp
Sr. No. Name Date of Birth Relation with Karta
DECLARATION BY KARTA
TM
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB BROKERS AND CLIENTS - (VOLUNTARY CLAUSES)
In addition to the above, the parties hearby agree to the
below mentioned :
1. Authorisation for Debit: Without prejudice to any other
clause of this document and/or the general terms and
conditions, the client understands and agrees that the
Stock Broker may charge additional financial charges
according to the Rules, Bye-laws and Regulations of the
relevant exchange and usual custom of the market for any
extra services rendered by the Stock Broker and as
required by the client, or for such extra reasonable costs,
including legal fees, incurred by the Stock Broker for
collecting the dues payable by the client to Stock Broker, an
exchange, clearing corporation/ clearing house, any agent
or sub-broker of the Stock Broker and/or any other
individual, par tnership, corporation, company,
organisation, association, trust or other entity acting for or
on behalf of the Stock Broker.
2. In case where the payment by the client towards margin is
made through cheque / pay order / demand draft issued in
favour of Stock Broker, any trades would be executed by
the Stock Broker only upon the realization of the funds of
the said cheque / pay order / demand draft, or at the
discretion of the Stock Broker
3. The client hereby unconditionally, absolutely, and
irrevocably undertakes to pay immediately any amount
due and payable on being called upon to do so, merely on a
demand in writing or otherwise from the Stock Broker
stating that the amount has become due and any such
demand made on the client shall be conclusive as regards
the amount due and payable by the client.
4. Lien: All the securities and /or properties placed with the
Stock Broker shall be subject to a lien for the discharge of
any and all indebtedness or any other obligation that the
client may have to Stock Broker. All of the client's securities
and/ or other property shall be held by the Stock Broker as
security for payment of any such obligation or
indebtedness to Stock Broker. In enforcing its lien, Stock
Broker at its sole discretion may determine which
securities and / or other properties are to be sold or which
contracts are to be enforced.
5. The Client agrees & authorises the Stock Broker to instruct
the concerned Depository Participant to block any security
sold from the designated security account against his
order or the order of his power of attorney holder to sell
securities. If their order gets executed either fully or
partially then the securities sold would be transferred to the
Stock Brokers Account. The Client further agrees and
confirms that the Client will not pledge or otherwise any
security that has been blocked by the concerned
Depository Participant on the instructions of the Stock
Broker, the Client or by its power of attorney holder at any
time, and the Client authorizes the Stock Broker to instruct
the concerned Depository Participant on Client's behalf to
dishonour any such instructions.
6. Acting as a Sub-Broker: The Client agrees that he will not
act as a Sub-Broker without prior written permission of the
Stock Broker, the stock exchange and without obtaining
certificate of Registration from Securities and Exchange
Board of India (SEBI).
7. The client agrees that each participating Exchange or
association or agency that supplies any data to be
displayed on the website asserts a proprietary interest in
all of the market data it furnishes to parties that
disseminate the said data. Neither the Stock Broker nor any
agency or any supplier of market data guarantees the
timeliness, sequence, accuracy, completeness, reliability
or content of market information, or messages
disseminated to or by the party. The services of Stock
Broker are provided on an "as available" basis without
warranties of any kind, either express or implied, including,
without limitation, those of merchantability and fitness for a
particular purpose.
8. Neither the Stock Broker nor any other party disseminating
any data/message/information through the Website shall
be liable for any inaccuracy, error, omission or delay in the
transmission or delivery of:
(1) Any such data, information or message, or
(2) Any loss or damage arising from or occasioned by (I) Any
such in accuracy, error, delay or omission, (ii) Non-
performance, or (iii) Interruption in any such data,
information or message, due to either any act or omission
by the Stock
Broker or any disseminating party or to any "force majeure'
(e.g flood extra ordinary weather condition, earthquake or
other act of nature fire, war, insurrection, riot, labour
dispute, accident, action of government, communications,
power failure equipment or software malfunction) or any
other cause beyond the reasonable control of the stock
Broker or any disseminating party.
9. The Client acknowledges that the Stock Broker shall neither
be under any obligation to provide the Client with any tax,
legal, accounting investment advice or advice regarding
the suitability or profitability of investment of any kind, nor
do the Stock Broker give any advice or give any opinion
TM
35
with respect to the nature, potential value or suitability of
any particular transaction or investment strategy. The
client acknowledges that the employees of the Stock
Broker or the Stock Broker himself are not authorised to
give out any advice and the clients shall at all times be
responsible and liable for his own actions / inaction.
The client may be able to access investment research
reports through the internet from the web-site, including
computerised on-line service or physical copy. The
availability of such information does not constitute a
recommendation to buy or sell any of the investment
products. Any investment decision will be based solely on
the clients own evaluation of financial circumstances and
investment objective. Any real-time quotes provided are
only for the clients own use and the client shall not furnish
such data to any other person or entity.
10. The Client is authorised to use materials which are made
available by the Stock broker, or of other third parties at the
Stock Broker's website for client's own needs only in
accordance with the terms and conditions specified for
such usage, and Client is not authorised to resell access to
any such materials or to make copies of any such materials
for sale or use by others. Client will not delete copyright or
other intellectual property rights notices from print outs of
electronically accessed materials.
11. The Client shall, at all times, be responsible for the
Investment decisions and/or orders placed or applications
preferred by the Client either electronically or otherwise.
The Client shall neither hold nor seek to hold the Stock
Broker or any of its Directors, officers employees, agents
or affiliates, liable for any loss including but hot limited to
the trading losses incurred by the Client. The Client
understands that the placing of the order with the Stock
Broker electronically or otherwise does not guarantee
execution of the said order or the acceptance of the
application. Though orders will generally be routed to the
exchange's computer systems within a few seconds from
the time the order is placed by the Client to the Stock
Brokers trading system, the Stock Broker shall not be liable
for any delay in the execution of any order or any resultant
toss on account of that delay. The Stock Broker shall not be
deemed to have received any order electronically or
application unless it has confirmed the same.
12. Incase of a market order the Client agrees that he/she/it will
receive the price at which the order has been executed by
the exchanges computer systems and such price may be
different from the price at which the security is trading
when his/her/its order is entered into the Stock Brokers
trading system.
13. The client hereby agrees that Stock Broker or the
exchanges shall not be liable for non-execution of any
order caused due to suspension, interruption, non-
availability or malfunctioning of the online as well as offline
trading service or the exchange system or services for any
reasons whatsoever.
14. The client is aware that Stock Broker may tape record the
conversation between the client / client's representative
and the Stock Broker, either directly or over the telephone,
and hereby specifically permits the Stock Broker to do so.
Such recording may
be relied upon by the Stock Broker as valid evidence as and
when required.
15. The Stock Broker may, however, assign their rights and
obligations to any third person without the prior consent of
the client.
16. The rights and obligation of stock brokers, sub brokers and
clients can be altered, amended and /or modified by the
parties mutually in writing without derogating from the
contents of these document.
17. SEVERANCE: In case any one or more of the provisions
contained in this document becomes invalid, illegal or
unenforceable in any respect under any law, the validity,
legality and enforceability of the remaining provisions
contained herein shall not in any way be affected or
impaired there to.
18. WAIVER: No forbearance, relaxation or inaction by any
party at any time me to require the performance of any
provision of this document shall in any way affect, diminish
or prejudice the right of such party to require the
performance of that or any other provision of this
document or be considered to be a waiver of any right,
unless specifically agreed in writing .
19. NOTICES: All notices or communications issued under this
document shall be served in any one or more or all of the
following ways and such notice or communication under
(i) to (xii) below shall be served at the ordinary business
address and / or ordinary place of residence and / or last
known address of the client in any one or more of the
following ways.
i) by post
ii) by registered post
iii) under certificate of posting
iv) by express delivery post
TM
v) by telegram
vi) by affixing it on the door at the last known business or
residential address
vii) by oral communication to the party or on the last known
telephone number or on the recording machine of such
number
viii) by advertising it in at least one prominent daily
newspaper having circulation in the area where the
last known business or residential address of the
client is situated
ix) by sending a message through trading system
x) by notice posted on the notice board of the Exchange
if no address be known
xi) by electronic mail or fax
xii) by hand delivery
20. Clauses for communication of margin report, ledger
account etc. through email:
A. As per the authorisation provided by the client to
receive contract notes in electronic form by email, the
client also authorises the stock broker to send all
communication including statement of account,
margin report and any other communication by email
sent to the client on his registered email id. The
clauses in mandatory document relating to bounced
email will be applicable.
B. The client is aware that the stock broker has
established systems which enable the clients to
access in secured manner their own contract notes,
ledger account and other reports through internet by
logging into website of the stock broker i.e. www.
kunvarji.com
C. In case where the stock broker is not able to provide
these documents to the client through email due to
any reason, the stock broker shall ensure that such
documents shall be sent to the client in physical form
as per the time schedule stipulated in Bye-laws,
Rules and Regulations of the Stock Exchange.
D. The client shall take all the necessary steps to ensure
confidentiality and secrecy of his own login name and
password. Unless the client lodges a complaint with
the stock broker as to his inability to access the
system, it would be presumed that all the
communications sent by email by stock broker to the
client have been properly delivered.
E. In case where the stock broker is not able to provide
contract notes and other documents to the client
through internet due to any unforeseen problem the
stock broker shall ensure that, the contract note(s)
and other documents reach the client in physical form
as per the time schedule stipulated in Byelaws, Rules
and Regulations of the Stock Exchange.
F. The Client shall take all the necessary steps to Ensure
confidentiality and secrecy of the login name &
password. Unless the Client lodges a complaint with
the Stock Broker as to his inability to access the
system, it would be presumed that contract notes and
all other documents have been properly delivered.
21. The client is informed that this document is also displayed
by the stock broker on his website www.kunvarji.com as
modified and amended from time to time.
Signature of Client /(all) Authorised Signatory (ies)
TM
37
(Kindly note that these additional clauses/documentations are voluntary and executed at the discretion of the stock broker and the
client. The same are required in order to maintain running account on day to day basis between the stock broker and the client. The
client need not execute this document if he/she does not wish to. The client has right to terminate this document.)
From,
Client Code : _______________
Name : _______________
Address : _______________
_______________
_______________
To,
Kunvarji Finstock Pvt. Ltd.
Block-B, 1st Floor,
Siddhi Vinayak Towers,
Makarba,
Ahmedabad - 380 051.
Sub: Running Account Authorisation
I/We have trading account with you under the captioned client code. I/We understand that as per Regulations of the Exchange, as a
Stock Broker, you are required to settle my/our account(s) by payment and delivery of securities within time prescribed by SEBI/
Exchanges from time to time after payout. In order to ensure smooth operations of my/our account(s) and to do away with the
requirement of daily receipt of funds against sale and payment of funds against purchase and transfer of securities, I request you to
maintain my/our account(s) on “RUNNING ACCOUNT BASIS”.
ALL EXCHANGES RUNNING ACCOUNT AUTHORISATION - VOLUNTARY
1. In order to facilitate operations, I/we authorize you the
Stock Broker to maintain a running account with you,
instead of settlement to settlement clearance of funds/
securities due to me/us. This authorization is valid and
applicable for my/our client account(s) with you for each
segment and each Exchange where I/we have opened
my/our trading account(s).
2. The pay out of funds/securities may be retained by you and
no interest shall be payable by you on such securities
/funds so retained. I/We authorise you to appropriate such
retained funds and/or securities to meet our obligations for
margin or for settlement across exchanges, segments and
settlements. Only on my/our written request(s), you shall
make payment out of my/our credit balance(s) to the extent
of unencumbered credit balance(s) and shall t r a n s f e r
my/our securities to my/our Demat account(s) out of
my/our securities retained by you.
3. I/We authorise you to transfer my/our debit/credit balances
in my/our ledger accounts for different segments and for
different Exchanges inter se. Such transfer may be affected
by journal entry or by actual transfer of funds as may be
required.
4. I/We also authorize you to consider the funds/securities so
retained by you towards collateral margin for allowing
enhanced trading limit to me/us.
5. I/We agree that you shall not be liable for any claim for loss
of profit, or for any consequential, incidental, special or
exemplary damages, caused by retention of such
securities/funds under these instructions or otherwise.
6. I/We authorise you to debit and recover depository charges
payable by me/us for depository services rendered by you
as DP of CDSL in respect of my/our beneficiary account(s),
out of funds held in my/our client ledger account(s) in any
segment/Exchange.
7. VALIDITY: These instructions are valid until the same are
revoked by me / us through written communication.
Date: ___/___/_____
TM
8. I opt for : Monthly Settlement
Quarterly Settlement
9. QUARTERLY / MONTHLY SETTLEMENT: I/We understand
that, as per regulations, Client's ledger account with Stock
Brokers is required to be settled to zero once in every month
or once in every quarter depending upon the preference
indicated by the client. I/We request you to settle our ledger
account as well as securities account to zero once in every
quarter, for all segments taken together or on different
dates for different settlements as may be feasible. You may
retain such amount of funds and/or securities as would be
required to meet obligations on open positions as on the
date of settlement and for settlement obligations or margin
obligations for ensuing 5 days. I/We undertake to inform
you in writing any discrepancy that I/we may find in
statement of account(s) and statement of securities
forwarded to me/us pursuant to such settlement(s), within
7 days from the date of receipt of such statements.
10. REVOCATION: I/We understand that, I/we have right to
revoke this authorization at any time by sending a written
communication to that effect to you.
11. While settling my / our A/c on quarterly / monthly basis, you
are hereby authorised to retain balance upto ̀ 10,000/-. In
case of credit balance of less than ̀ 10,000/-, no quarterly
/ monthly settlement may be done.
Yours faithfully,
Note:
The authorization shall be signed by the client only and not by
any of his/her/its authorized person on behalf of the client or
any holder of power of attorney.
Signature of Client /(all) Authorised Signatory (ies)
TM
39
(Kindly note that this additional document is voluntary and to be signed at the discretion of the client and stock broker/ trading
member. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the
client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document)
To,
Kunvarji Finstock Pvt. Ltd.
Makarba, Ahmedabad - 380 051.
Dear Sir / Madam,
Sub: Letter for Operations of Account
For the smooth operations of the account, kindly note our following instructions:
I. Order
1. I/We shall be giving verbal instructions for placing/modifying/cancelling my/our orders for trade executions, pay- out instructions
etc. over telephone or in person and the same shall be binding to me/us.
2. I/we do not require order confirmation/ modification/cancellation slip or trade confirmation slip generated by the trading system.
II Communication
In case of any document/ledger/account position/transaction reports etc. are required by me/us, I/we shall obtain the same from
your offices or get it collected through our representative. I/we am/are aware that you have installed systems and software which
enable me/us to access my/our account details/ transaction reports and all matters pertaining to my/our account through internet
in a secured manner using our user id and password.
III Other Instructions
1. I/We understand that errors might be committed by dealers/ computer operators resulting in punching of wrong client codes while
making order entry. Exchange rules provide for modification for such wrongly entered client codes to correct client codes. I/we
undertake to sign such papers/documents as may be required for the purpose of authentication for client code modification as and
when required.
2. My/our funds lying with you may be used for the purpose of depositing the same with the exchange for the purpose of margin or
placing FDR with banks which may be submitted to the exchange/ clearing corporation for margin or used as collateral for
obtaining bank guarantees for meeting margin/ additional base capital requirement of exchange/ clearing corporation.
3. I/we authorize you to use securities deposited by me/us with you to further use the same for meeting margin/additional capital
requirements of the Exchange by pledging or depositing the same in any manner as may be required.
4. I/we agree that you are authorised to charge delayed payment charges for over due amount @ 1.5% per month.
5. I/We undertake to execute my/our own sale purchase transactions in securities through you and shall not act as unregistered
intermediary. I/We shall intimate to you changes in my/our address details, bank details, demat account details etc. as soon as
possible.
6. You are authorized to debit and recover charges for depository services from my/our bills, ledger of any Exchange or segment.
LETTER OF OPERATION OF ACCOUNT
TM
7. I/We opt to receive contract notes, margin statement, ledger and other account reports, reports at the time of quarterly account
statement, depository transaction and holding statement and other communications on my email id which is provided in client
registration form, authenticated by means of digital signature obtained from certified authority designated under the Information
Technology Act,2000.
Thanking you
Yours truly,
Client Name : ________________
Client Code : ________________
BO ID : 12048400 ________
Date: ___/___/_____
Signature of Client /(all) Authorised Signatory (ies)
TM
41
(Kindly note that this additional document is voluntary and to be signed at the discretion of the client and stock broker/ trading
member. The same are required in order to ensure running on a day to day basis between the stock broker/ trading member and the
client. The client need not execute this document if he / she does not wish to. The client has the right to terminate the document)
To,
Kunvarji Finstock Pvt. Ltd.
Block-B, 1st Floor,
Siddhi Vinayak Towers,
Makarba, Ahmedabad - 380 051.
Dear Sir / Madam,
Sub: Authorised representatives
Kindly find below a list of authorized representative to represent me/us, their authority including but restricted to
1. Placing/ modifying/ cancelling orders on my/our behalf
2. Acknowledging contract notes issued by you to me/us for our trades
3. Communicating changes in my/our KYC details
4. All other communications from me/us to you
Thanking you,
Client Name: ________________
LETTER FOR AUTHORISED REPRSENTATIVES - ALL EXCHANGES - VOLUNTARY
Sr. No. Name of the representative Signature Relation, if any
1.
2.
3.
4.
Date: ___/___/_____
Signature of Client /(all) Authorised Signatory (ies)
TM
KUNVARJI FINSTOCK PVT. LTD.
Date: ___/___/_____From,
Client Name: _______________________ Client Code: ________________________
Address: __________________________
__________________________________
__________________________________
To,
Kunvarji Finstock Pvt. Ltd.
Makarba, Ahmedabad - 380 051.
Dear Sir / Madam,
Sub: Acknowledgment and confirmation
I/ We confirm that, I/we have received the following documents from you and that we have read and understood the contents of the same.
1. Index of documents explaining brief significance of the documents.
2. Rights and obligations of stock brokers, sub brokers and clients including the same related to internet and wireless technology
based trading facility provided by the stock brokers to the clients
3. Risk Disclosure Document for capital market and derivatives segments
4. Guidance Note - Dos & don'ts
5. Policies & Procedures
6. Tariff sheet
7. Additional Clauses of Rights & Obligations
8. AML literature
9. Rights and Obligations of Beneficial Owner and Depository Participant
10. Direct Debit authorisation form - (Mandate Form for Demat Account)
I/We have been explained the above documents as required by me/us. I/ We have been informed that these documents are also
available on your website www.kunvarji.com
I/We have also been explained all the voluntary documents, their significance and that I/we have right to disagree with all or any of
them. Having understood all these documents and after careful evaluation of each of them, I/we have agreed to abide by the said
documents. I/We have also put my/our signature(s) wherever required.
I/ We have also been informed that you may avail of services of clearing member for clearing trades on the Exchange for any or all
segments.
I/We confirm that I/we have been informed that Kunvarji Finstock Pvt. Ltd. is engaged in proprietary trading i.e. trading in securities
market on its own account.
Yours faithfully,
BO ID: 12048400 ____________________
Signature of Client /(all) Authorised Signatory (ies)
TM
KUNVARJI FINSTOCK PVT. LTD.
FROM,
NAME OF CLIENT : __________________________
CLIENT CODE : __________________________
ADDRESS : __________________________
DEALING OFFICE : __________________________
SUB BROKER OR AP : __________________________
To,Kunvarji Finstock Private Limited
Makarba, Ahmedabad - 380 051.
Dear Sir / Madam,
Sub: Authorisation and instructions for buying, selling and dealing in Mutual Fund units and Liquid BEES or
any other similar ETF on Exchange on my account
1. I/We are registered with you under the above client code for my/our transactions through you in securities market on
different stock exchanges and segments.
2. I/We understand that Stock Exchange systems allow registered clients to purchase, sell or deal in new products like liquid
BEES, other similar ETF and units Mutual Funds whose predominant investment objective is to invest in short term
securities and Government debt papers including treasury bills etc. I/We wish to instruct you to buy, sell and deal in Liquid
BEES units or any other ETF or Mutual Fund of similar nature with a view to invest our credit balance with you to earn
relatively risk free returns.
3. Such buying , selling and dealing in of securities described in para (2) shall be undertaken by you on my/our account as per
our below mentioned instructions
(A) Buying of such units of ETF or mutual fund units can be done by you to the extent of unencumbered clear credit
balance available in our account.
(B) You may execute sale transactions of such units of ETF or mutual funds to the extent of our holding.
(C) Such buying and selling transactions shall be executed by you without our orders and instructions based on
unencumbered clear credit balance or our holding and we shall be always deemed to have given orders for the same.
(D) This letter and instructions contained herein do not caste any obligation on you to act as such. I/We understand that,
you shall provide such services on best effort basis.
(E) We are aware that ETF and Mutual Funds pay to you trail commissions on such investment proportionately for the period of holding.
(F) We are aware of the features and risk factors associated with these products.
(G) We understand that, you will not charge any brokerage on these purchase and sale transactions mentioned hereinabove.
We are also informed that benefit of waiver of transaction charges by Exchanges, if any, shall be passed on to us.
Thanking you
Yours Faithfully,
AUTHORISATION AND INSTRUCTION TO BUY & SELL ETF & MUTUAL FUND UNIT ON EXCHANGES
Date: ___/___/_____
OFFICE USE ONLY
Date of receipt _______________________ Name and signature of official receiving ________________________
Date of updation in Back Office Software _________________________________________________
Signature and name of person ___________________________________
Signature of Client /(all) Authorised Signatory (ies)
43
TM
KUNVARJI FINSTOCK PVT. LTD.B-wing, Siddhivinayak Towers, Near D. A. V. School,
Next to Kataria House, Off S. G. Road, Makarba, Ahmedabad - 380 051.
Phone: +91 79 6666 9000 | Fax: +91 79 2970 2196 | Email: [email protected], [email protected]
@kunvarji_fin/kunvarji.group ||www.kunvarji.com
Version May/2015
TM
Date
Sponsor Bank Code HDFC0000060 Utility Code HDFC00186000008074
I/We hereby authorize Kunvarji Finstock Pvt. Ltd. to debit (tick )ü SB /CA /CC / SB-NRE /SB-NRO /Other
(Tick ü)
CREATE
MODIFY
CANCEL Bank A/c Number
with Bank IFSC or MICR
an amount of Rupees `
DEBIT TYPE Fixed Amount Maximum Amount
Reference 1 Phone No.
Reference 2 Email ID
This is confirm that the declaration has been carefully read, understood & made by me/us.
From
To
Or
PERIOD
Until Cancelled
Signature Primary A/c Holder Sign of A/c Holder Sign of A/c Holder
1 Name as in bank records 2 Name as in bank records 3 Name as in bank records
UMRN
FREQUENCY Mthly Qtly H-Yrly As & when presentedYrly
ACKNOWLEDGEMENT
Form No. :
Received the application from Mr./Ms. ....................................................................................... as the Sole / First holder along
with ................................................................................... and ..................................................................................... as
the Second and Third holders respectively for opening Trading and / or Demat account selected as below Your account will be
opened after due verification by us.
Your Client Id will be intimated to you once your account gets opened successfully. Please quote BO ID & Client ID allotted to you in
all your future Correspondence.
NSE CASH BSE CASH MCX-SX CASH DEMAT A/C
NSE F & O BSE F & O MCX-SX F & O
NSE CURRENCY BSE CURRENCY MCX-SX CURRENCY
Name of Relationship Manager ________________________________
Mobile No. of Relationship Manager ________________________________
For, Kunvarji Finstock Pvt. Ltd.
Authorised SignatoryDate: ___/___/_____
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