Client Registration From - Non Individual

Transcription

-: Registered Office :1st Floor, Nisarg Apartment, Above Saraswat Bank, Besant Road, Vile Parle (W),
Mumbai - 400 056. Maharashtra. Tel.: +91-22-67338900 / 904. Fax: +91-22-26104462, India.
Tel. : +91-22-67804700 / 67147800 / 67147900 • Fax : +91-22-67804776
Email : [email protected] • Website : www.anugrahsb.com
Compliance Officer: (BSE/NSE/MCX-SX)
Director
:PARESH MULJI KARIYA, +91-22-67147700/800, [email protected]
Compliance Officer (BSE/NSE/MCX-SX) :VIRAL DESAI, +91-22-67338970, [email protected]
(CDSL)
:KIRAN PAREKH, +91-22-67147816, [email protected]
Compliance Officer
Client Registration Application Form
ALL THESE DOCUMENTS ARE MANDATORY AS PER THE UNIFORM DOCUMENTARY
REQUIREMENTS STATED BY SEBI VIDE CIRCULAR NO. CIR/MIRSD/161/2011/ DT. 22/8/2011
CORPORATE / HUF / PARTNERSHIP
SR. NO.
:
A/C. OPENING DATE :
CLIENT NAME
:
CLIENT CODE NO.
:
BRANCH NAME
:
BRANCH CODE
:
REMISIER CODE
:
BO ID
:
1 2 0 4 0 0 0 0
Non - Individual
ANUGRAH STOCK & BROKING PVT. LTD.
BRANCHES
Malad
:
A/4, Shanti Nagar, S.V. Road, Between N.L. High School & Milap Cinema, Malad (West), Mumbai - 400 064.
Maharashtra. Tel. : +91-22-67255124 / 28077695 / 28058265 • E-mail : [email protected]
Thane
:
105-106, 1st Floor, Mahavir Tower, Near MTNL Office & Ganesh Cinema Cross Edulji Road, Charai,
Thane (West) - 400601. Maharashtra. Tel. : +91-22-25304780 / 81 • E-mail : [email protected]
Ahmedabad
:
217-218/A, 2nd Floor, Sakar 7, Nehru Bridge Corner, Ashram Road, Ahmedabad - 380 006
Gujarat. Tel.: +91-79-65106510 • E-mail: [email protected]
Surat
:
45 ‘B’, Meher Park, ‘A’ Tower, Opp. Vanita Visram Ground, Athwagate, Surat - 395001.
Tel.: +91-261-2462346. • Email: [email protected]
Valsad
:
Shop No. 11 & 12, Ground Floor, K. B. Mall, Halar Road, Valsad - 396001. Gujarat.
Tel. : +91-2632-241451 / 241642 / 643 • E-mail : [email protected]
Sikar
:
Aanchal Securities, ‘Aanchal’, Opp. Jeevan Jyoti Hospital, Gandhi Nagar, Sikar - 332001. Rajasthan
Tel. : +91-1572-271006 / 321275 • E-mail : [email protected]
Hyderabad
:
102, 9-1-87, S.D. Road, Sangeet Cinema, X Road, Secunderabad - 500003. Andhra Pradesh
Tel. : +91-40-66323366 / 66801144 • E-mail : [email protected]
SEGMENT
EXCHANGE
National Stock Exchange of
India Ltd. (NSE)
Bombay Stock Exchange Ltd.
(BSE)
MCX Stock Exchange-Sx Ltd.
(MCX-SX)
Central Depository Services (India) Ltd.
DATE
SEBI REGISTRATION NO.
Cash
14/08/2002
INB 231185639
F&O
02/06/2004
INF 231185639
CDX
27/08/2008
INE 231185639
MFSS
10/01/2011
Cash
06/05/2004
INB 011185635
F&O
16/02/2005
INE 011185635
Cash
19/03/2013
INB 261185632
F&O
19/03/2013
INF 261185632
CDX
20/03/2013
INE 261185632
Depository Participant
04/08/2010
IN-DP-CDSL-309-2005
For any grievance/dispute email at [email protected] or / call +91-22-671478 /21/22
In case not satisfied with the response, please contact the concerned exchange(s)
Exchange
Email ID
Phone
NSE
[email protected]
91-22-26598190
BSE (North)
[email protected]
91-11-41510481
(East)
[email protected]
91-33-22133184
(South)
[email protected]
91-44-420089959
(West)
[email protected]
91-22-22721233/34
MCX -SX
[email protected]
91-22-67318933
INDEX
S. No.
Brief Significance of the Document
Name of the Document
Page No.
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
A. Applicant Form
A1. KYC form - Document captures the basic information about the constituent and
an instruction / check list.
B. Document captures the additional information about the constituent relevant to
trading account and an instruction /check list.
A1 - A3
1.
Account Opening Form
2.
Brokerage Structure
Document detailing the rate/amount of brokerage and other charges levied on the
client for trading on the stock exchange(s).
5
3.
Rights and obligations
Document stating the Right & Obligations of stock broker/trading member, subbroker and client for trading on exchanges (including additional rights & obligations
in case of internet / wireless technology based trading).
6 - 10
4.
Risk Disclosure Document
(RDD)
Document detailing risks associated with dealing in the securities market.
11 - 14
5.
Guidance note
Document detailing do's and don'ts for trading on exchange, for the education of the investors.
15 - 16
6.
Policies and Procedures
7.
8.
1-4
Document describing significant policies and procedures of the stock broker.
17
Tariff Sheet
As per SEBI Circular Annexure 1
18
AnnexureA
Person Authorise to Deal
21
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
1.
Authority letter
and Disclosure
2.
Demat Account Opening
Form (CDSL)
3.
Mutual Fund Service System Facility
1.
2.
Authorisation where client wants to maintain running account.
Authority Letter
19 - 20
1.
KYC Form – Document captures the basic and additional information about the
constituent(s).
SMART facility – Terms and conditions-cum-registration form for receiving SMS
alert from CDSL.
22 - 27
2.
Terms & Conditions for availing Mutual Fund services of NSE MFSS facility.
28
4.
Sample Formats
Authority Letter / Dordresoulation
5.
Power of Attorney (POA)
Authority to operate demat account and other permissions for smooth operations.
-
6.
CDSL Agreement
Agreement between a participant and a person seeking to open a beneficial account
-
29 - 30
N
(For Non-Individuals Only)
EQUITY  DERIVATIVES  COMMODITIES  CORPORATE FINANCE  PMS  IPO  MF  INSURANCE  REALTY
(Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name.)
2. Date of Incorporation
Place of Incorporation
3. Registration No. (e.g. CIN)
Date of commencement of business
Private Ltd. Co.
FI
FII
HUF
Defence Establishment
AOP
Public Ltd. Co.
Bank
Body of Individuals
Body Corporate
Government Body
Trust / Charities / NGOs
1.
Others (Please specify)
LLP
Society
Partnership
Non-Government Organisation
5. Permanent Account Number (PAN) (MANDATORY)
Client’s Signature
Please enclose a duly attested copy of your PAN Card
*Latest Bank Account Statement
Registered Lease / Sale Agreement of Office Premises
*Latest Bank Account Statement
Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf),
Registered Address (if different from above)
Any other proof of address document (as listed overleaf),
25 Lacs-1 Crore
> 1 Crore
2.
3. Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/Whole time directors
(Please use the Annexure to fill in the details)
4. Is the entity involved/providing any of the following services
- For Foreign Exchange / Money Changer Services
- Money Lending / Pawning
YES
NO
YES
NO
- Gaming / Gambling / Lottery Services (e.g. casions, betting syndicates)
YES
NO
5. Any other information
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.
NAME & SIGNATURES
OF AUTHORISED
PERSON(S)
A1
A.
IMPORTANT POINTS :
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Self attested copy of PAN card is mandatory for all clients.
Copies of all the documents submited by the alpplicant should be self attested and accompanied by
Originals for varification . In case the original of any document is not produced for verification then the
copies should be properly attested by entities authorised for attesting the documents, as per below
mentioned list.
If any proof of identity or address is in a foreign language , then translation into english is required.
Name and Address of applicant mentioned on the KYC Form should match with the documentry proof
submitted.
If correspondance and parmanent address are different then proof for both have to be submitted.
Sole properiter must make the application in his indivisual name and capacity.
For non- residence and foriegn nations (allowed to trade subject to RBI and FEMA Guidelines) copy of
passport / PIO Card and OCI Card and oversis address proof is mandatory.
For foreign entities CIN is optional and in the absense of DIN no. for the directors, their passport copy
should be given .
In case of Murchant navy NRI'S Mariner's declaration or cettified copy of CDC
(Continous Discharge Certificate)is to be submitted .
For opening an account with Dipository participant or mutual fund for amin or photocopy of the school
leaving certificate/Mark sheet issued by Higher secondary board /Passport of minor Birth certificate
must be proivded.
Politically exposed Person (PEP) are defined as individuals who are or have been entrusted with
prominent public function in a forien country eg. Head of state or of Governments ,Senior politicians/
Senoir Government / Judical /military officers Senior exicutive of state owned Corporation important
party officials etc.
B . Proof Of Identity (POI) : List of documents admissible as Proof of Identity :
1. PAN card with photograph. This is mandatory requirment for all application except those who are
specifically exempt From obtaining PAN (Listed In Section D).
2. Unique Identification Number (UID) (Addhar) Passport/ Voter ID Card / Driving Licence.
3. Identity card / Documents with applicants Photo issued by any of the following :
Central state Government and its Departments Statutory / Regulatory Authorities Public sector
Undertakings Scheduled Commercial Banks Public financial institutions, Colleges affiliated to
universities Proffessional Bodies Such as ICAL ,ICWAI ,ICSI Bar Council etc. to their Members and
Credit Cards/ Debit Cards Issuied by banks.
2.
3.
4.
5.
6.
7.
8.
Utility bills like telephone Bills (only land line) Electricity bill or Gas bill not more than 3 months old.
Bank accuont statement /Passbook - Not more than 3 months old.
Self declaration by high court and Supreme court judges giving the new address in respected of their
own account.
Proof of address Issued by any of the following :
Bank managers of scheduled Commercial Banks/ Scheduled Co-operative Bank / Multinational
Foreign bank / Gazzeted officers Notary Public /Elected representative to to the legislative Assembly /
Parliament / Documents Issued by any Government or Statutory authority .
Identity card / document with address issued by any of the following :
Central / State Government and its departments , Statutory / regulatory authorities PublicSector
undertaking ,Scheduled Commercial Banks, Public Financial Institutions ,Colleges affailiated to
Universities and Proffesional bodies Such as ICAL ,ICWAI ,ICSI ,Bar Concil etc to their members.
For fill / sub account , Power of Atorney given by Fill / Sub Account to the custodies ( Which are
duly notarized and /or Apposited or Consularised ) that gives the registered address should be taken.
The Proof of Address in the name of the Spouse may be accepted.
D . Excemptions / Clarification to PAN :
(* Sufficient documentary evidence in support of such cliams to be collected * )
1.
2.
3.
4.
5.
In case of transaction undertaken on behalf of Central Government and / or State Government
by officials appointed by Courts eg. Official liquidators ,Court recievers etc.
Investors residing in the state of sikkim.
UN Entities / Multilatirial agencies exempt from paying taxes / filling tax returns in india.
SIP of mutual funds Upto RS. 50,000 /- P.A .
In case of institutional clients namely ,FIIs, Mfs ,VCFs, FVCs , Scheduled commercial banks
Multilateral and bilaterial departments Financial institutions , State industrial development
Corporations Insurance Companies Registered with IRDA and Public financial Institutions as defined
under section 4A Of the companies act 1956 Custodian shall verify the PAN CRAD Details with original
PAN CARD and Provide duly certified copies of such Verified PAN Details to the intermedialy.
E. List of people authorisde to attest the documents :
1.
C . Proof Of Address (POA) : List of documents admissible as Proof of Address :
(* Documents having an expiry date should be valid on the date of submisssion)
1.
Passport / Voters Identity card / Ration card / Registered Lease or Scale Agreement
of Residence / Driving Lience / Flat mantainance bill / Insurance copy.
2.
Notary public ,Gazzeted officers,Manegers of scheduled Commercial Cooperative Bank Or
Multinational Foriegn Bank ( Name ,Designation , Seal Schuld be Affixed on the copy )
In case of NRIs authorised officials of overseas branches of scheduled commercial banks registered in
inida ,Notary Public ,Court Magistrate, Judge , Indian Embassy / Consulate General in the country
where the clients resides are permitted to assets the documents .
F . In Case of Non-Individuals ,Additional document to be Obtained from non individuals ,Over and above the POI & POA ,AS Mentioned below :
Types Of Entity
Documentry Requirments
* Copy of the Balance Sheet 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
Corporate
Partnership firm
Trust
HUF
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
in terms of SEBI Take over regulations , Duly Certified by the company
Secretary / Whole Time Directors / MD (To be submitted every year ).
Photograph ,PDI , POA , PAN and DIN Numbers of whole time directors in charge of day to day operations.
Photograph ,PDI , POA , PAN Of individuals promoters holding control - either directly or indirectly .
Copies of the Memorandum and Articles of Associations and Certificate of Incorporation .
Copy of the Board Resolution for invesment in securities market .
Authorised Signatories list with specimen signature .
Copy of the the balance sheets for the last 2 financial year (To be submitted every year)
Certificate of Registration (For registered partenership firm only)
Copy of partnership deed
Authorised signatories list with specimen signature
Photograph ,POI , POA , PAN Of Pattern
Copy of the balance sheets for the last 2 financial year (To be submitted every year)
Certificate of Registration (For registered trust only) Copy of Trust Deed
List of trustees certified by managing trustee/CA.
Photograph ,POI , POA , PAN Of Trustees.
PAN of HUF
Deed of Declaration of HUF/ LIST of Copartners
Bank Pass- Book /Bank Statement in the name of HUF
Photograph ,POI , POA , PAN Of Karta
Unicorporated Association
or a body of individuals
* Proof of Existence / Constitution document
* Resolution of the managing body & Power of attorney granted to transact business on its behalf
* Authorized signatories list with specimen signature.
Banks / Institutional Investors
* Copy of the Constitution / Registration or annual report / Balance sheet for the last 2 financial years
Foreign Institutionals
Investors (FII)
* Copy of SEBI Registration Certificate
Army / Government Bodies
* Self Certification on letterhead
Registered Society
*
*
*
*
Copy of Registration Certificate Under Societies Registration Act
List of Managing Committee members
Committee resolution for persons authorized to act as authorised signatories with specimen signature
True Copy of Society Rules and Bye Laws certified by the Chairman / Secretary.
A2
Details of Promoters/ Partners/ Karta/ Trustees and whole directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals
Name of Applicant
Sr.
No.
PAN
PAN of the Applicant
DIN (For Directors) /
UID (For Others)
Name
Residential /
Registered
Address
Relationship
with Applicant
(i.e. promoters,
whole time
directors etc.)
Whether
Politically
Exposed
Photograph
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO
Name & Signature of the Authorised Signatory(ies)
Date
d
d
/
m
m
/
y
y
y
y
PEP: Politically Exposed Person
RPEP: Related to Politically Exposed Person
A3
DOCUMENTS REQUIRED - CHECKLIST
FOR HUF
DOCUMENTS
POI
POA
Bank & MICR/IFSC Proof
Income Proof
Proof of Demat A/c
(Provide any one proof of each, as per table below)
DOCUMENTS OF KARTA (Individual member in whose name HUF is formed)
Photograph pasted on page A3
POI
POA
SIGNATURES OF ALL COPARCENERS (family members other than Karta)
Signatures on page A3 / Deed of declaration of HUF (any one)
Signatures of all major coparceners on Power of Attorney on page 27
FOR CORPORATE
DOCUMENTS
POI
POA
Income Proof
Proof of Demat A/c
Board Resolution for investments in securities market with name of authorised signatory(ies) and mode of operations
(jointly or severally)
 On Letter Head of Company and should be certified by two directors
anugrahsb.com
 download format from www._______________
Articles & Memorandum of Association (alongwith Certificate of Incorporation)
Latest shareholding pattern
 Including list of all those holding control, either directly or indirectly, in the company in terms of SEBI Takeover
Regulations, duly certified by the company secretary / WTD / MD (to be submitted every year)
 In case corporate shareholder holding more than 25% shares, shareholding pattern of that corporate is also required
Balance Sheets for last 2 financial years (to be submitted every year)
DOCUMENTS OF ALL WHOLE TIME DIRECTORS (WTD) / TWO DIRECTORS IN CHARGE OF DAY TO DAY OPERATION
POI
POA
DOCUMENTS / SIGN OF ALL AUTHORISED SIGNATORY(IES)
Photograph pasted on page A3/ on letterhead of Company
Signatures on page A3 / on letterhead of company
DOCUMENTS OF ALL INDIVIDUAL PROMOTERS HOLDING CONTROL EITHER DIRECTLY OR INDIRECTLY
POI
POA
1
FOR PARTNERSHIP FIRM
DOCUMENTS
POI
POA
Income Proof
Proof of Demat A/c
Certificate of Registration (in case of registered Partnership Firms Only)
Partnership Deed
 download format from www.anugrahsb.com)
Authority letter (
Balance Sheet for last 2 financial years (to be submitted every year)
DOCUMENTS OF ALL PARTNERS
KYC of all partners (Download from www.anugrahsb.com)
 Demat A/c will be opened in the name of partners
POI
POA
DOCUMENTS & SIGN OF ALL AUTHORISED SIGNATORY(IES)
Please ensure
1. Proof of Identity (POI)
 If Name/Photo/Signature on PAN Card is not clear, then submit additional POI
 PAN number is mandatory for all applicants except for applicants residing in state of Sikkim
2. Proof of Address (POA)
 If correspondence & permanent addresses are different, then proofs for both sould be submitted
 Address in proof should match with address in KYC form
 In case of Individual - POA in name of spouse may be accepted. In such case proof to establish
relationship such as ration card,Passport, Marriage Certificate should be provided
3. Bank + MICR/IFS Code Proof
 Proof should contain IFS Code (11 digits) / MICR Code (9 digits) of Bank
 If name is not pre-printed on cheque - then submit additional proof containg the Bank
A/c number and Name of Client
4. Income Proof
 Mandatory if you wish to trade in Derivatives (F&O/Currency) segments
5. Demat A/c Proof
 Not required if you are opening new Demat a/c
* Documents should not be more than 3 months old
* * Documents having expiry date should be valid on the date of submission
2
TRADING & DEMAT ACCOUNT RELATED DETAILS
*PLEASE FILL IN BLOCK LETTERS WITH BLACK INK ONLY.
A. BANK ACCOUNT(S) DETAILS (*default for trading & demat)
(I) Photocopy of the cancelled cheque having the name of the account holder
(ii) Photocopy of the Bank Pass Book / Statement having name and address of the Client
(iii) Letter from the Bank.
(iv) In case of option (ii), (iii) and (iv) above, MICR code of the branch should be mentioned on the document.
B. DEPOSITORY ACCOUNT(S) DETAILS
C. TRADING PREFERENCE
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
SEGMENT
EXCHANGE
National Stock Exchange of
India Ltd. (NSE)
Bombay Stock Exchange Ltd.
(BSE)
MCX Stock Exchange Ltd.
(MCX-SX)
SIGNATURE
Cash
2.
F&O
3.
Currency Derivatives
4.
MFSS
5.
Cash
6.
F&O
7.
Cash
8.
F&O
9.
Currency Derivatives
10.
# If, In future, the client wants to trade on any new segment / exchange, separate authorization / letter should be
taken from the client by the stock broker.
D. PAST ACTIONS
Details of any action / proceedings initiated / pending / taken by SEBI / Stock Exchange / any other authority
against the applicant / constituent or its partners / promoters / whole time directors / authorised persons in
charge of dealing in securities during last three years.
(Please Specify)
3
E. DEALING THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
1. If Client is dealing through the sub-broker, provided the following details :
Name of the Sub-Broker
Sub-broker SEBI Registration No.
Sub-Broker's Regd. Off. Add.
Sub-Broker's Phone/Fax No.
Sub-Broker's Website
2. Whether dealing with any other stock broker/Sub broker [(In case dealing with multiple stock brokers / sub- brokers, please
provide details of all)]
Name of the stock broker
Name of Sub-Broker (If any)
Client Code (UCC)
Exchange
Details of disputes / dues pending from / to such stock broker / sub-broker
(Please Specify)
F. ADDITIONAL DETAILS
1. Whether you wish to receive :
Electronic Contract Note (ECN)
or
Physical Contract Note
E Statement of Account
or
Physical Statement of Account
E Transaction Com Holding Statment or
Physical Statement of Account
E-mail id :
Yes
2. Whether you wish to avail of the facility of internet trading / wireless technology :
No
3. Trading Experience / Number of Years of Investment
No Prior Investment Experience
____Years in Equities
____Years in Derivatives
_____Years in other Investment related fields
4. Name, designation, PAN UID Signature, Residential Address and Photograph of person authorised to deal in
securities on behalf of company/firm/other: (As per Annexcure A)
5. Any other information :
G. DETAIL OF INTRODUCER (OPTIONAL)
Introduced by :
Sub-Broker
Existing Client
Remisier
Authorised Person
Others
(Please Specify)
Name of Introducer :
(Surname)
Sub-Broker Registration No.
(Name)
UCC :
(Middle Name)
Employee Code :
PAN NO. :
Address :
City :
Pin :
State :
Country :
Phone :
Signature of the Introducer :
4
H. DECLARATION
1.
2.
3.
We hereby declare that the details furnished above are true and correct to the best of our knowledge and belief and 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, we are aware that we may be held liable for it.
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.
We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disclosure
Document'. We do hereby agree to be bound by such provisions as outlined in these documents. We have also been informed that
the standard set of documents has been displayed for Information on stock broker's designated website, if any.
Place :
11.
Date :
D D M M Y Y Y Y
Signature of Client / Authorized Signatory along with Rubber Stamp
J. BROKERAGE SLAB (Subject to Change with Prior Notice)
FNO Derivative
FNO Options
(Per Lot)
CDX Derivative
- - - N.A. - - - - - N.A. - - -
CDX Options
(per Lot)
- - - N.A. - - - - - N.A. - - -
K. FOR OFFICE USE ONLY
UCC allotted to the client:
Details of the
Employee/Sub Broker/AP
Documents Verified
with Originals
Client Interviewed By
In-Person Verification
Done By
Name
Designation
Code
Date
Signature
We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents. We
have also made the client aware of 'Rights and Obligations' document(s), RDD and Guidance Note. We have given/sent a copy of all the
KYC documents. 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. 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 :
Date :
Seal/Stamp
Signature of the authorised signatory
D D M M Y Y Y Y
5
6
7
8
9
10
11
12
13
14
15
16
POLICIES & PROCEDURES
A.
Penny Stocks
Clients may note that all the stocks and securities listed on the Stock Exchange are not actively traded. In other words, there are no
readily available sellers or buyers in some securities and/or there are not sufficient trades or volumes from which the market price
may be arrived at with some reliability. Such stocks are called 'illiquid securities' or 'Penny stocks'. They are comparatively more
vulnerable to market manipulation and / price rigging. The spread, i.e., the difference between the offer price and bid price is usually
wide and their purchase or sale at a given time may be difficult and in any case uncertain. Exchanges bring out monthly list of such
securities based on the volume during the last calendar month.
We do not encourage trading in penny stocks. We may impose higher margin percentage and/or fix small exposure limits in respect
of Penny Stocks and not permit the client to concentrate in such stocks. We may impose further restrictions as to Penny Stocks
through the RMS policy. Client's instructions for trading in illiquid securities may be rejected without assigning any reason.
B. The limits will be 4 times exposure of the deposit value (Composite Ledger + Stock Collateral). For FNO segment client's limit is
based on the actual margin prescribed by the exchange time to time.
C. The applicable brokerage rate will not be exceeding 2.5%.
D. The client will be charged interest on their financial ledger debit balance inclusive of margin if any. Any penalties imposed by the
exchanges or any regulatory bodies to Anugrah for any default made by the client, will be debited in the financial ledger of the
client respectively.
E. We will be having right to sell your securities or close positions in derivatives, without giving prior notice, on account of non-payment
of dues & it will be limited to the extent of short of settlement, margin obligation & financial global ledger debit balance.
F.
The shortages in obligations arising out of internal netting of trades, in such cases Anugrah will buy those short shares on behalf of
the seller and will be delivered to the respective client who is buyer of the shares.
G. If the client has shortfall balance in the financial ledger after considering margin (initial & exposure) and the value of stock lying in
beneficiary after appropriate haircut. The client may not be allowed to take further position or has to close the existing position
of a client.
H. De-registering a Client
ANUGRAH may de-register a client in any of the following events :
a.
Death of a client who is a natural person;
b.
Liquidation or winding up of a client who is a corporate;
c.
Insolvency or bankruptcy of the client;
d.
The client being debarred from dealing in securities by an order of SEBI, other Regulatory Authority or Court;
e.
The client is convicted of fraud or other offence in relation to securities and the said conviction is not stayed by that authority
of court or superior thereto.
De-registering of a client will not absolve him from his obligations for transactions at the time of de-registration.
I.
Only written request from the client is accepted for temporarily suspending, closing, deactivation or activation of the trading
account.
J.
The Payment Gateway facility, when provided, shall depend upon the working of the Payment Gateway owned/controlled by the
concerned bank/service provider. The Member shall not be responsible for any delay, defect or discontinuity of service of any
Payment Gateway.
K. Once the UCC of client gets de-registered, the clients trading & financial account will be closed permanently & if the same client
wants to open the trading account again then the client has to fulfill the new KYC & its related requirements and only then new UCC
will be allotted.
L.
We hereby declare that in addition to trading on behalf of client, we are also doing proprietary share trading on our own account.
17
TARIFF SHEET
DEPOSITORY AND OTHER RELATED CHARGES :
360/-
REGULAR PER ANNUM
1000/-
ONE TIME LIFE TIME FOR (HUF)
ONE TIME LIFE TIME FOR (CORPORATE / PARTERSHIP / NRI)
12.
18
VOLUNTARY
AUTHORISATION WHERE CLIENT WANTS TO MAINTAIN RUNNING ACCOUNT
We confirm that we are desirous of regularly dealing in CM & F&O segments of securities on the stock exchange(s). We
request you to maintain the account, both for securities and funds, with you on a running account basis without settling the
account on each settlement of each transaction on my behalf. This will facilitate us in doing my transactions through you.
We also request you to consider the balances in my running funds & securities account for purpose of margins/any other of
my obligations due to you. In view of the above, it would be proper for you to retain all amounts payable and all securities
receivable be us until specifically requested by us in writing to be settled or to be dealt with in any other manner. We
Understand and agree that no interest will be payable to us on the amounts or securities so retained by you.
We agree and empower/authorize you
a. to act in your discretion of merging balances kept under various accounts held with the you, such as Online
Trading Account, Offline Trading Account,NSDL (or CDSL) DP Account, CM Trading Account and F&O Trading
Account, MFSS etc., to nullify the debit in any of us other account held with you without taking any further
instructions from us;
b. To merge the securities kept with you in various accounts in order to nullify the debit in any account of our
account;
c. To withhold the credit of securities to our demat account if any sum is due from us;
d. To withhold the securities to meet our liabilities to you under the trading agreement;
e. To debit our trading account towards depository charges payable by us the designated depository participant and
make onward payment to the designated depository participant upon receipt of intimation from the designated
depository participant;
f. To block securities against pending order or pledge securities in your favour against any of our dues;
We have the liberty to revoke this authorization at any time in writing with prospective effect.
It is understood that the “Actual settlement of funds and securities'' shall be done by you at least once in a calendar quarter.
While settling the account you will be sending we a `statement of account', containing an extract from the client ledger for
funds and an extract from the register of securities displaying all receipts/deliveries of funds/securities. The statement
shall also explain the retention of funds/securities and the details of the pledge, if any. Such periodic settlement of the
running account shall not be necessary when (a) we start availing margin trading facility as per SEBI circular; or (b) The
margin provided by us to you is in the form of Bank Guarantee (BG)/Fixe Deposit Receipt (FDRs).
On settlement date you may retain the requisite securities/funds towards any outstanding obligation and may also retain
funds expected to be required to meet margin obligation (as estimated by you) for the next 5 trading days, calculated in
the manner specified by respective Exchanges.
The statement of Account so issued by you or the settlement made by you shall be taken as correct and shall be binding
upon us unless a discrepancy or dispute arising from such statement or settlement or receipt/disposal of funds/securities,
as the case may be, is brought to your notice with relevant facts/documents within seven working days.
We understand that, unless otherwise required to meet my obligations for margin or on settlement you shall transfer the
funds/securities lying with you in credit of our account within one working day and those lying with the Clearing Member or
Clearing Corporation within three working days of our request for transfer.
Our preference for actual settlement of funds and securities is at least:
Once in a Calendar Quarter
Name of Client: __________________________________
Once in a Calendar Month
13.
Signature with Rubber Stamp of (all) Authorized Signatory(ies)
Place : _________________
Date :
D D M M Y Y Y Y
19
VOLUNTARY
AUTHORITY LETTER
To
1st Floor, Nisarg Apartment, Above Saraswat Bank,
Besant Road, Vile Parle (W),
Mumbai - 400 056. Maharashtra.
Email : [email protected]
We
we
We
2
Authorization to debit Demat Account operating charges : We have opened/have a Beneficiary accournt with you and we have
a trading account with you for investment and trading purpose. It will be very difficult for us to issue separate cheques against
your depository bills. Hence, we authorize you to debit the trading account for the debit charges payable to you as Depository
Participant for providing depository services. Any such sum debited to our account shall be binding on us.
3
We have created our E-Mail ID as
We
by us
Further, we authorise you to issue Contract Notes in digital format we authorise you not to provide us Order Confirmation
/Modification/ Cancellation Slips and Trade Confirmation Slips to avoid unnecessary paper work, we shall get the required details
from the Contract Notes issued to us.
We
we
In the event of non-receipt of the mail bounced mail notification by the member, it shall be construed as the contract note
having been delivered by the member at the email ID of the mention by the client
20
Annexure A
For Corporate, Partnership Firm Etc.
PERSONS AUTHORIZED TO DEAL
1. Name : Mr. / Ms. / Mrs. :
Designation :
PAN NO. :
Residential Address :
City :
Pin :
Phone :
Mobile :
Signature with Stamp
E-mail :
2. Name : Mr. / Ms. / Mrs. :
Designation :
PAN NO. :
City :
Pin :
Phone :
Mobile :
E-mail :
3. Name : Mr. / Ms. / Mrs. :
Designation :
PAN NO. :
City :
Pin :
Phone :
Mobile :
E-mail :
FOR HUF Only
LIST OF FAMILY MEMBERS
I, the Karta of HUF hereby declare that following are the Hindu Undivided Family(HUF)
S.No.
Name of the Member
Relationship with Kata
Date of Birth
Signature
1
2
3
4
5
X
Signature of Karta
21
ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT
1st Floor, Nisarg Apartment, Above Saraswat Bank, Besant Road, Vile Parle (W),Mumbai - 400 056. Maharashtra, INDIA
Search name
Search Name
Status
Body Corporate
FI
CM
Banks
Trust
Clearing House
Sub-Status
Mutual Fund
OCB
To be filled by the DP
FII
Other (Specify)
SEBI Registration No.
(If Applicable)
SEBI Registration
Date
D
D
M
M
Y
Y
Y
Y
RBI Registration No.
(If Applicable)
RBI Approval Date
D
D
M
M
Y
Y
Y
Y
Nationality
Indian
Others (Specify)
I/we would like to instruct the DP to accept all the pledge instructions in my
/ our account without any other further instruction from my /our end
(If not marked, the defauit option would be ‘No’
I/We would like to share the email ID with the RTA
I/We would like to receive the Annual Report
Physical /
Electronic /
Both Physical and Electronic
(Tick the applicable box. If not marked the default option would be Physical)
Clearing Member Details (To be filled by CMs Only)
Name of Stock Exchange
Name of CC/CH
Clearing Member ID
Trading Member ID
22
24
1st Floor, Nisarg Apartment, Above Saraswat Bank, Besant Road, Vile Parle (W), Mumbai - 400 056.
Maharashtra, INDIA.
Transactions Using
Secured Texting Facility
(TRUST)
Refer to Terms and
Conditions Annexure 2.6
I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.
I have read and understood the Terms and Conditions prescribed by CDSL for the same.
I/We wish to register the following clearing member IDs under my/our below mentioned BO
ID registered for TRUST
Stock Exchange Name/ID
Clearing Member Name
Clearing Member ID (Optional)
14A
14A
23
24
25
15.
26
We have read the DP-BO agreement (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. We declare
that the particulars given by us above are true and to the best of our knowledge as on the date of making this application. We
further agree that any false/misleading information given by us or suppression of any material information will render Our account
liable for termination and suitable action.
Sole / First Authorised
Signatory
Third Authorised Signatory
Signature Designation
Name
Second Authorised Signatory
(Signatures should be preferably in black ink.)
(In case of more authorised signatories, please add annexure)
ONLY FOR POA WITH HUF
Date: _________________
To
Sub: NOC for Power of Attorney
I, Karta of __________________________________________ is interested in opening a trading and demat account with ANUGRAH
STOCK & BROKING PVT. LTD. for our HUF. All the co-parceners are agreeing and signing below for executing Power of Attorney in favour
of ANUGRAH STOCK & BROKING PVT. LTD.
Name of Coparcener
Relationship
Date of Birth
Sex
Signature
1)
2)
3)
4)
5)
Yours faithfully,
(Stamp and Signature)
27
MUTUAL FUND SERVICE SYSTEM FACILITY
Dear Sir / Madam,
Sub : Mutual Fund Service System (MFSS) Facility
I/We _____________________________________________ am/are registered as your client with Client Code No. _______________
and have executed the Trading Member and Client Agreement for the purpose of trading in the Capital Market segment of National Stock
Exchange of India Ltd. (Exchange)
I/We am/are interested in availing the MFSS facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes
permitted to be dealt with on the MFSS of the Exchange.
For the purpose of availing the MFSS facility. I/We state that Know Your Client details as submitted by me/us for the stock broking may be
considered for the purpose of MFSS and I/we further confirm that the details contained in same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the SEBI Circular no SEBI/IMD/CR No. 11/183204/2009 date
November 13, 2009. Exchange circular no NSE/MFSS/003/2009 dated November 24, 2009 and the other related circulars issued from
time to time in this regard.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of
India and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addenda
issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide by the
terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/We therefore request you to register me/us a your client for participating in the MFSS.
Thanking you,
Yours Faithfully,
D D M M Y Y Y Y
16.
Details of terms & conditions for the Investor / Client for using New MFSS facility
1.
1.1
1.2
1.3
1.4
1.5
2.
2.1
2.2
2.3
Pre-requisites for becoming Investor / Client for the 2.4.
MF/MFSS facility
The client who is desirous of investing in units of mutual fund 2.5.
schemes through the New MFSS.
The Client intends to execute his instruction for the 2.6.
subscription/redemption of units of Mutual Fund Schemes
through the Participant of the New MFSS.
2.7.
The client has satisfied itself of the capacity of the Participant
to deal in Mutual Fund units and wishes to execute its
instruction through the Participant and the client shall from
time to time continue to satisfy itself of such capability of the 2.8.
Participant before executing transacting through the
Participant.
The Client has approached to the Participant with the
application for availing the New MFSS facility.
The client has submitted relevant KYC (Know Your Client)
details to the Participants.
2.9.
The client has read and understood the risks involved in
investing in Mutual Fund Schemes.
The client shall be wholly responsible for all his investment
decisions and instruction.
The client shall ensure continuous compliance with the
requirements of the NSEIL, SEBI and AMFI.
The Client shall pay to the Participant fees and statutory
levies as are prevailing from time to time and as they apply to
the Client's account, transactions and to the services that
Participant renders to the Client.
The client will furnish information to the Participant in
writing, if any winding up petition or insolvency petition has
been filed or any winding up or insolvency order or decree or
award is passed against him or if any litigation which may
have material bearing on his capacity has been filed against
him.
In the event of non-performance of the obligation by the
Participant, the client is not entitled to claim any
Terms and Conditions
compensation either from the Investor Protection Fund or
The client shall be bound by circulars issued by NSEIL, Rules,
from any fund of NSEIL or NSCCL.
Regulations and circulars issued there under by SEBI and
2.10.In case of any dispute between the Participants and the
relevant notifications of Government authorities as may be
investors arising out of the MFSS facility, NSEIL and / or
in force from time to time.
NSCCL agrees to extend the necessary support for the
The client shall notify the Participant in writing if there is any
speedy redressal of the disputes.
change in the information in the'client registration form'
I have read and understood the above and I agree to abide
provided by the client to the Participant at the time
registering as a client for participating in the New MFSS or at by the same.
any time thereafter.
The client shall submit to the Participant a completed
17.
application form in the manner prescribed format for the
purpose of placing a subscription order with the Participant.
28
(PARTNERSHIP)
SAMPLE AUTHORITY LETTER IN FAVOUR OF A PARTNER(S)
(To be printed on pre-printed Letterhead of Firm)
Dated:
To
Dear Sir/Madam,
We are the partners of M/s. ____________________________________________________ a partnership firm, having its office at
__________________________________________________________________________________________________________
hereby authorize Mr./Ms. ________________________________ and Mr./Ms. ___________________________________ to open a
securities trading account in Capital Market Segment and/or F&O Segment on behalf of the Firm M/s
___________________________________ with yourself for sale and purchase of shares/debentures/derivative instruments in the
Capital Market Segment (CM) and/or Futures and Options Segment (F&O) and/or Currency derivative Segment (CDX) or any other
segment that may be introduced by NSE/BSE/MCX-SX in future. He/She/They is/are authorized on behalf of the firm to deal in
Equities, Derivatives, Debentures and the said Trading Members are hereby authorized to honor all instructions oral or written, given
on behalf of the firm by him/her/them.
Mr./Ms. _________________________________ and Mr./Ms ______________________________________ is/are authorized to sell,
purchase, transfer, endorse, negotiate documents and/or/otherwise deal through yourself on
behalf of the firm M/s.
______________________________________. He/She/They is/are also authorized to sign, execute and submit such applications,
undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to open
account and give effect to this purpose.
We also recognize that a beneficiary account cannot be opened with a Depository Participant in the name of the partnership firm as per
depository regulations. To facilitate the operation of the above trading account with you and for the purpose of completing the securities
transfer obligations, pursuant to the. trading operations, we authorize you to recognize the Beneficiary Account Number
________________________ with depositor having DP ID ______________________ opened as a joint account in the name of
Partners of the firm. We agree that the obligations for shares purchased and/or sold by the firm will be handled and completed through
transfers to/from the above mentioned account. We recognize and accept transfers made by you to the beneficiary account as complete
discharge of obligations by you in respect of trades executed in the above trading account of the firm.
Your Truly,
Name
Address
(Signature of Partner)
(Signature of all the Partners with the rubber stamp required)
28
(BODY CORPORATE)
SAMPLE COPY/FORMAT OF BOARD RESOLUTION IN CASE OF THE CORPORATE
(To be obtained on pre-printed Letterhead of the Corporate)
CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OF DIRECTORS OF M/s.
______________________________________ HAVING ITS REGISTERED OFFICE AT ______________________________________
__________________________________________________________________________________________________________
HELD ON _____ DAY OF __________ 20 ______ AT _____________________________________
Resolved that the company do agree with Anugrah Stock & Broking Pvt. Ltd., Member of the National Stock Exchange of India Ltd.
(NSE), Bombay Stock Exchange Ltd. (BSE), Mcx Stock Exchange Ltd - (MCX-SX) for the purpose of dealing on Capital Market/
Cash Segment, Derivatives/Futures & Options Segment, Currency Derivatives Segment or any other Segment that may be introduced
by NSE/BSE/MCX/SX in future and the said Member be and is hereby authorized to honour instructions, oral/written or electronic, given
on behalf of the company by any of the under noted authorized signatories:
S.No.
Name
Designation
Signature
1
2
3
who is/are authorized to sell, purchase, transfer, endorse, negotiate documents and/or otherwise deal through Anugrah Stock &
Broking Pvt. Ltd. on behalf of the company. RESOLVED FURTHER THAT Mr.____________________________________________
Director, and/or Mr. __________________________________________________________________________________________
authorized signatory of the company be and is/are hereby authorized to sign, execute and submit such applications, undertakings,
agreements, Power of Attorney and other requisite documents, writings and deeds as may be deemed necessary or expedient to open
and operate the aforesaid account and give effect to this resolution.
RESOLVED FURTHER THAT Mr. ________________________________ Director, and/or Mr. _________________________________
authorized signatory of the company be and is / are hereby authorized to open a Demat Account with M/s. Anugrah Stock & Broking
Pvt. Ltd., a Depository Participant of Central Depository Services Ltd.(CDSL) and to sign, execute and deliver orders, instruction letters,
share transfer forms and such other requisite documents as may be considered necessary from time to time.
And RESOLVED FURTHER THAT, the common seal of the company be affixed, wherever necessary, in the presence of the Directors or
anyone director, who shall sign the same in token of their presence.
30
Name of All Holders
Permanent Address
18.
Name of All Holders
Besant Road, Vile Parle (W), Mumbai - 400 056.
To transfer securities held in my/our aforementioned beneficial owner account(s) or any other account informed by me/us in
writing to the stock broker from time to time to the demat account nos. CDSL BSE Principal A/c No. 1204000000000460, CDSL NSE Pool A/c No. 12040000-00000437, NSDL BSE Pool A/c No.IN300271-10128912, NSDL
NSE Pool A/c No. In300271-10112942, NSDL BSE CMBP ID-IN609214, NSDL NSE CMBP ID- IN511994, MCX Sx
Pool NSDL A/c No. IN300271-10174251, NSDL MCX Sx CMBP ID-IN473687, CDSL Pool A/c No.
1204000000225580 & Anugrah Client Beneficiary A/c No. 12040000-00000023 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 to the Clearing
Member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined/ will join as a
member or to any demat accounts linked to the said Clearing Member ID provided that I/we have executed a Client Member
Agreement with the stock broker for such exchanges.
ASBPL
31
Name of All Holders
19.
32
Besant Road, Vile Parle (W), Mumbai - 400 056.
Name of All Holders
20.
Permanent Address
33
21.
Termination
in writing and shall be Legally effective only when it is delivered to addressee at the last know
address in the manner prescribed in the operating instructions.
22.
34

Client Registration From - Non Individual

Transcription

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