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A000143555
Branch Code Q78
Client Code
Employee/AP Code
Branch Authorised Person
Wealth
HNI
Retail
Others (P lease specify)
Signature of Introducer
Introducer Details - Optional
Name of the IntroducerSurname Name Middle Name
Status of the Introducer Sub-Broker Remisier Authorized Person Existing Client Employee
Address of the Introducer
Phone No. of the Introducer
Are you an employee of ABG Related to Employee of ABG Ex-Employe of ABG Business relationship with ABG
Name of Company : Designation :
No. of years of Association: Y Y
Affiliaction/Employment with Aditya Birla Group
Annexure - 1 ACCOUNT OPENING KIT
INDEX
S.No. Name of the Document Brief Singnature of the Document Page No.
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGE
1.AccountOpening Form
A. KY C form - Document captures basic information about the Client1-7
B. Document capture aditional information about the client
2. Tariff sheetDocument detailing tariff, brokerage, interest and other charges levied to Clientfor trading and demat services.
8-9
VOLUNTARY DOCUMENTS AS PROVIDEED BY THE STOCK BROKER
3.SuitabilityAssessmentQuestionaire
Document assessing the suitability of client 10-11
4.VoluntaryAuthorizationLetter
Document authorizing Stock Broker to maintain running account, to senddocuments throught E-mail, to send SMS, as well as debit DP charges to tradinga/c.
12
5.Mobile/EmailDeclaration
Declaration for updating same mobile number and email address for trading anddemat account.
13
Name of the Branch / SB / AP HO- ONLINE VERTICAL2
Branch / SB / Ap Code
Introducer Details:
TWS Terminal ID
Introducer (Please Tick) Branch Franchisee-SB/Ap DSA/CPABMML Others
Employee Code DSA/CP Code
Account Type: Trading & Demat Only Trading Only Demat
Account Mode (Please Tick) Offline Online
Scheme (Please Tick) Normal Empower TraderMargin (above Rs. 50,000) Corporate Others
Verified by-Account Opening Department:
Name : Signature :
To be mandatorily filled by Branches/Sub Brokers/Authorised Persons
Prefix First Name Middle Name Last Name
Ms SUPRIYA RAJARAM DESHMUKHName*(Same of IDproof)
MrMaiden Name (If any*)
Mr DADFather/Spouse Name*
Mrs MOMMother Name*
Date of Birth* 1 6 - 1 2 - 1 9 9 3
Gender* M-Male F-Female T-Transgender
Marital Status* Married Unmarried Others
Citizenship* In-Indian Others(ISO 3166 Country Code
Residential Status* Resident Individual Non Resident Individual
Foreign National Person of Indian Origin
Occupation Type* S-Service Private Sector Public Sector Government Sector
O-Others Professional Self Employed Retired Housewife Student
Agriculturist B-Business X-Not Categorised
1. PERSONAL DETAILS (Please refer instruction A at the end)
Photo
Signature/ThumbImpression
2.TICK IF APPLICABLE RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S)OUTSIDE INDIA (Please refer instruction B at the end)
3.PROOF OF IDENTITY (Pol)* (Please refer instruction C at the end)
A-Passport Number Passport Expiry Date
Application Type* New Update Application No.: A000143555
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
For office use only(To be filled by financial institution) KYC Number (Mandatory for KYC update request)
Account Type* Normal Simplified"(for low risk customers) Small
ISO 3166 Country Code of Jurisdiction of Residence*
Tax Identification Number or equivalent(If issued by juridiction)*
Place/City of Birth ISO 3166 Country Code of Birth*
B-Voter ID card C-PAN card BMMPD2775A D-Driving Licence Driving Licence Expiry Date E-UID(Aadhar) F-NREGA Job Card Z-Others(any document notified by the central governmnet) Identification Number S-Simplified Measures Account-Document Type code Identification Number
1
ADDITIONAL DETAILS REQUIRED*(Mandatory only if section 2 is ticked)
(Certified copy of any one of the following Proof of Identity [Pol] need to be submited)
4.PROOF OF ADDRESS (PoA)* 4.1 CURRENT/PERMANENT/OVERSEAS ADDRESS DETAILS (Please see instruction D at the end)
Same as Current/Permanent/Overseas Address Details (In case of multiple correspondence/local addresses,please fill 'Annexure A1,available in our website"www.stocksandsecurities.adityabirlacapital.com")
4.2. CORRESPONDENCE / LOCAL ADDRESS DETAILS (Please see instruction Eat the end)
4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES*(Applicable if section 2 is ticked)
Line1* VVVBBBBN
Line2
Line3City/Town/Village* THANE District*
Pin/Post Code* 4 0 0 6 0 4 State/U.T Code* Maharashtra ISO 3166 Country Code* India
5.CONTACT DETAILS (All communication will be sent on provided Mobile no./Email Id)(Please refer instruction F at the end)
6.DETAILS OF RELATED PERSON* (In case of additional related persons,please f ill 'Annexure B1,available in our website"www.stocksandsecurities.adityabirlacapital.com")(Please refer instruction G at the end)
PROOF OF IDENTITY[PoI] OF RELATED PERSON* (Please see instruction(H)at the end)
A-Passport Number Passport Expiry Date
7. REMARKS (If any)
8. APPLICANT DECLARATION
2
Line1* VVVBBBBN
Line2
Line3City/Town/Village* THANE District*
Pin/Post Code* 4 0 0 6 0 4 State/U.T Code* Maharashtra ISO 3166 Country Code* India
Same as Current I Permanent / Overseas Address details Same as Correspondence / Local Address details
Line1*
Line2
Line3City/Town/Village* State*
ZIP Post Code* ISO 3166 Country Code*
B-Voter ID card C-PAN card
D-Driving Licence Driving Licence Expiry Date
E-UID(Aadhar) F-NREGA Job Card
Z-Others(any document notified by the central governmnet)
Identification Number
S-Simplified Measures Account-Document Type code Identification Number
Date 17/04/2019 Place THANE
I hereby declare that the details furnished above are true and correct to the best of my knowledgeand belief and I undertake to inform you of any changes therein. immediately In case any of theabove information is found to be false or untrue or misleading or misrepresenting. am aware thatmay be held liable for it.I hereby consent to receiving information from Central KYC Registry through SMS/Email on theabove registered number\email address. Signature \ Thumb Impression of Applicant 1.
Signature/Thumb Impression of Applicant
(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)
Address Type* Residential/Business Residential Business Registered Office Unspecified
Proof of Address* Passport Driving Licence UID (Aadhaar) Voter Identity Card NREGA Job Card
Others Simplified Measures Account-Document Type code
Address
Tel. (Off) - Tel.(Res) -
Mobile 9 1 - 8 6 5 2 3 0 1 4 6 1 Fax -
Email ID
Addition of Related Person Deletion of Related Person KYC Number of Related Person(if available)
Related Person Type* Guardian of Minor Assignee Authorized Representative
Name*
Prefix First Name Middle Name Last Name
(If KYC number and name are provided, below details of section 6 are optional)
9. ATTESTATION/FOR OFFICE USE ONLY
3
KYC VERIFICATION CARRIED OUT BY HO
Date D D - M M - Y Y Y Y
Emp.Name
Emp.Code
Emp.Designation
Emp.Branch
Institution code I N O 1 1 3
Employee Signature
Documents verified withOrigianl/ClientInterviewed/IPV ByName of the Employee/SB/APEmployee/SB/AP CodeDesignation of theEmployess/SB/AP
Signature / Seal
For Aditya Birla Money Limited(For HO Use)
Authorised Signatory(Round Seal/Date)
IPV Done On D D M M Y Y Y Y
UCC Code alloted to the client
2
3
4
5
6
7
1. Trading preferences (please sign in the relevant boxes where you wish to trade. The segment not Chosen should be struck off bythe client.)
Name of Segment Name of Exchange Signature
Cash &
Mutual Funds
NSE
BSE
F & O
NSEIncome Proof to be submitted as per
BSEGuidelines in Rights & Obligations
Currency
NSE
BSEIncome proof to be submitted as per Guidelines in rights & Obligations
# If, in future, the clients wants to trade on a new segment/ new exchange separate authorization/ letter should be taken from the client by the stockbroker.
Under Graduate or less Graduate Post Graduate
Own House Rented House Leased Property
Government Services Public Sector Private sector Business Student Housewife Agriculturist Retired Professional Finance Doctor Engineer Other(Please Specify)
Primary Income: Salary Business PensionSecondary Income: Rental Dividend Salary of dependents
1-3 Years 3-7 Years 7-10 Years 10 Years andAbove
NA
Below Rs. 1 Lac 1-5 Lacs 5-10 Lacs 10-25 LacIncome RangePer annum >25 Lacs
Net -worth ason
(date)1 7 - 0 4 - 2 0 1 9
100.00(Net worth should not be older than 1year)
Politically Exposed Person Related to a Politically Exposed Person None
2. Other Details
a.EducationalQualification
b. Residing in
c. Occupation(please tickany one)
d. Source ofIncome
e. Total workExperience
f. GrossAnnualIncome Details(pleasespecify)
g. Please tick(whichever isapplicable)
Documents Received Certified Copies (Original verified)True copies of documents received (Self-Attested)Self Certified Document copies received
I intend to invest in the stock market with: Own funds Borrowed funds
In case of borrowed funds, please specify the sources of funds:
a. Are you person with U.S. Indicia: Yes No
b. Please specify your country of Birth:
c. Place of birth: (Place of Birth is not required if country of birth is India)
d. Are you a US Person: Yes No
e. Are you taxable in any other country: Yes No
Yes No
4
3. Bank Details
Account Type Savings Current Others (please specify)
Bank Account No. 999
MICR Number 4 0 0 1 0 9 0 0 1 IFSCCode
T J S B 0 0 0 0 0 0 1
Bank Name TJSB SAHAKARI BANK LTD
Bank Address MADHUKAR BHAVAN, ROAD NO.16, WAGLE E
City THANE THANE Pincode 400604
State MAHARASHTRA Country India
Please provide additional bank account details (if any) as annexures with proofs.
(Through which Transactions would be routed. Details and proof of bank accounts is Required)
4. INFORMATION PROVIDED BY THE CLIENT IN RELATION TO THE PREVENTION OF MONEY LAUNDERING ACT, 2002Income/net worth /occupation/PEP Details provided here in above may be considered under SEBI PMLA requirements.
I undertake to update my financial position as required by SEBI.
I confirm that I will immediately inform ABML in case am convicted or any action is taken against me by any government/judicial authority.
I hereby declare that I am beneficial owner of the Trading/Demat Account opened with ABML.
FOR OFFICE USE ONLY
RISK CATEGORY:
HIGH MEDIUM LOW
5. Foreign Account Tax Compliance Act (FATCA)- Self declaration
In order to comply with FATCA and Common Reporting Standards (CRS) norms, we request you to kindly provide the following details:
6. Depositary Account Details:
Depository Participant Name: ADITYA BIRLA MONEY LIMITED Depository Name: CDSL
DP ID : 1 2 0 3 7 6 0 0 Beneficiary ID (BO ID):
7. Past Actions
Details of any actions/proceedings/initiated /pending/taken by SEBI/ Stock Exchange/ any other authority against the applicant/ Constituent orits Partners/Promoters/ Whole time Directors/authorized persons in charge of dealing in securities during the last 3 years.
If yes, provide details:
8. Dealings through Sub-Brokers and Other Stock Brokers
If client is dealing through the Sub-Broker, provide the following details:
Sub-Broker’s Name: SEBI Registration number:
Registered Office Address:
Phone: Fax: Website:
5
Yes No
Yes No3. SMS Alert FacilityRefer to Terms &ConditionsGiven as Annexurein Rights& ObligationsBooklet.
Mobile No. +91 8652301461Mandatory, if you are givingpower ofAttorney (POA)If POA is not granted & you donot wish toavail of this facility, cancel thisoption.
Yes No
Daily Weekly Fortnightly Monthly Electronic Transaction-cum-Hoding
Statement (ESOTH) Electronic Contract Note (ECN) Physical Contract Note
(Charges applicable)
Yes No
Yes No
Yes No
Nil
Yes No
Yes No
Electronic Physical Both Physical and Electronic
Option 1:I /We require you to issue Delivery Instruction Slip Booklet to me/us through we have issued POA.
Option 2:I/We do not require the DeliveryInstructions Slip for the time being.
Electronic Physical
Yes No
9. Standing Instruction
1. Account to be Operated through Power of Attorney (POA)
2. I/We instruct the DP to receive each and every credit in my/Ouraccount (if not marked, the default option would be Yes)
(Automatic Credit)
4. Account Statement Requirement As per SEBI Regulation
5. Whether you wish to receive physical contract note/ Electronic Contract Note (ECN)/ Electronic Transaction and Holding Statement (If ECN & ESOTH is opted,”Authorization for sending documents Through E-mail” shall be executed)[email protected]
6. I/We wish to receive dividend/interest directly in to my/ourBank account as given above through ECS (If not marked, thedefault option would be ‘Yes) [ECS is mandatory for locationsnotified by SEBI from time to time]7. To register for easi,please visit CDSL website www.cdslindia.com(Easi allows a BO to view ISIN Balances, transactions and valueOf the portfolio through Internet.)8. Whether you wish to avail of the facility of Internet Trading/Wireless Technology(please specify):
9. Investment/ Trading experience
10. I/We would like to instruct the DP to accept all the pledgeinstructionsIn my/our account without any other further instruction fromMy/our end (if not marked, the default option would be ‘No’)
11. I/We would like to share the email ID with the RTA
12. I/We would like to receive the Annual Report of companies heldby me/us.(Tick the appropriate box. If not marked the default optionWould be in Physical)
13. I/We have issued a Power of Attorney (POA) in favourof Aditya Birla Money Limited for Executing deliveryinstructions for settling stock exchange trades effectedthrough clearing member, margin obligations etc.
14. I / We wish to receive the following documents a.Rights & Obligations b.Rights and Obligations of the Beneficial Owner and Depository
Participant c.Risk Disclosure Document d.Guidance Note e.Policies & Procedures f.Additional (Voluntary) Rights & Obligations
Terms and Conditions-cum-Registration / Modification Form forreceiving SMS Alerts from CDSL Definitions
15. I/We wish to avail BSDA facility
Whether dealing with any other stock brokers/Sub-brokers (In case dealing with Multiple Stock Brokers/Sub- Brokers, provide details of all)
Name of Stock Broker: Name of Sub-Broker, if any
Client code: Exchange:
Details of disputes/dues pending from/to such Stock Broker/ Sub-Broker:
Signature of Nominee Signature of Guardian
Date D D M M Y Y Y Y Nomination Registration No:
6
10. Type Of Account (Please Tick Whichever is applicable)
Status Sub Status
Individual Individual Resident Individual-Director
Individual Director’s Relative Individual HUF/AOP
Individual Promoter Others (Please specify)
Individual Margin Trading A/C (Mantra)
11. Nomination OptionI/We do not wish to make a nomination.I/We nominate the following person who is entitled to receive amounts/security balance lying in my/our trading & demat accounts, whose particulars where of are given below,in the event of my/our death.
Nomination Details Nominee 1 Nominee 2 Nominee 3
Nominee Name : *First Name: Middle Name: *Last Name:
*Address:
*City:
*State:
*Pin:
*Country:
Telephone No:
Fax No:
Nomination Details Nominee 1 Nominee 2 Nominee 3
PAN No:
UID :
Email ID
*Relationship with the BO:
Date of birth (mandatory if Nominee is a minor):
Name of the Guardian of Nominee (if the nominee is minor): *First Name: Middle Name: *Last Name
*Address of the Guardian of nominee:
*City:
*State:
*Country:
*Pin:
Age:
Telephone No:
Fax No:
Email ID:
*Relationship of the Guardian with the Nominee:
*Percentage of allocation ofsecurities:
*Residual Securities [please tick one nominee.If tick not marked default will befirst nominee]:
Two witness shall attest signature(s)/thumb impression(s)
1) Name 2) Name
Address Address
Signature Signature
DECLARATION CUM ACKNOWLEDGEMENT1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belif and I/we undertake to informyou of any changes therein,imidiately.Incase any of the above information is found to be false or untrue or misleading or misrepresenting,I am/we areaware that I/we may be held liable for it.
2. I/We confirm having read/been Explained and understood the contents of the documnet on policy and procedures of the stock broker and the tariffsheet.
3. I/We have been informed that the standard set of document has been displayed for information on Stock Broker's designated websitewww.stocksandsecurities.adityabirlacapital.com and any change in the Rights and obligations and RDD eould be made avaolable on Stock Broker'sdesignated website www.stocksandsecurities.adityabirlacapital.com. I/We have been also informed that any chane in the 'Policy andProcedures','tariffsheet'and all the non mandatory documents would be duly intimated to me/us and also displayed for information on the StockBroker's designated website www.stocksandsecurities.adityabirlacapital.com
I/We further confirm having read and understood the contents of the 'Rights and Obligations'document(s),Rights and Obligations of the BenificialOwner and Depository Participant,'Risk Disclosure Document'(RDD),'Guidance Note', 'Policies & Procedures',Tariff Sheet, Additional (Voluntary)Rights & Obligations and all other non-mandatory documents. I/We do hereby agree to be bound by such provisions as outlined in thesedocuments.
4. I/We further confirm to receive the following documents at my / our registered e-mail id provided in the KYC:
a. Rights & Obligationsb. Rights and Obligations of the Beneficial Owner and Depository Participant.c. Risk Disclosured. Guidance Notee. Polices and Proceduresf. Additional(Voluntary)Right & Obligationsg. Terms And Conditions-cum-Registration/ Modification Form for receiving SMS Alert From CDSL Definition.
5. I/We have read the Rights and Obligation document (Annexure 2.7) and terms & conditions (Annexure 2.4) and agree to abide by and be boundby 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 ofmy/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any changes(s) in the details /Particularsmentioned by me/us in this form. I/We further agree that any false/misleading informations given by me/us or suppression of any materialinformation will render my account liable for termination and suitable action.
6. I/We here by declare that the details furnished under FATCA are true and correct to the best of my/our knowledge and belief.In case of anychange in the given status on a future date,I/We undertake to inform ABML the same within 30 days. I/We agree that as may be required bydomestic regulators/tax authorities,ABML may also be reqired to report,reportable details to CBDT/regulatory authority and comply with its direction.
SUPRIYA RAJARAM DESHMUKH8
Name Signature
Sole First Holder / Guardian(in case of Minor)
7
8
9 Client Signature (in full)
TARIFF DETAILS
SCHEDULE OF TRADING CHARGES
Details of Charges Statutory Rate Standard Rate
Account Opening Charge As decided by Broker Rs. 750
Brokerage-Equity-Intra Day 2.5% 0.03%
Brokerage-Equity-Delivery 2.5% 0.30%
Brokerage-Equity Derivatives-futures 2.5% 0.03%
Brokerage-Equity Derivatives-Options 2.5% of premium or Rs. 100 per lot(whichever is higher)
2.5% of premium or Rs. 100 per lot(whichever is higher)
Brokerage-Currency Derivatives-futures 2.5% 0.03%
Brokerage-Currency Derivatives-Options 2.5% of premium or Rs. 100 per lot(whichever is higher)
2.5% of premium or Rs. 100 per lot(whichever is higher)
Minimum Brokerage / per Share (where the market value is less thanRs.10per share) Upto 25 paise per share 3 paise per share
A minimum brokerage of Rs.20 per executed order will be charged subject to a maximum of 2.5% of the traded value
Committed Brokerage Revenue per month / Segment(Mandatory to be filled in case if there is any concession of brokerage is extended)
Committed Brokerage / Volume (in Rs.) Segments
Equity / Equity Derivatives / Currency Derivatives
DEMAT ACCOUNT TARIFFDescription Non BSDA BSDA DP Tarrif(Only for Individuals)
Lifetime AMC Tariff Normal Scheme Tarriff
LIFE TIME AMC Rs.1500/- (Only for Individuals) Nil Nil
Annual Maintenance Charges Nil Rs.450/- for Individuals&Rs.1000/- forcorporates
Nil Holding Rs.50000/- Rs.100Rs50001 to Rs2 lacs
Transaction Fee - Market Trades POA Rs.20/-, Ext.Brokr Rs.30 or0.03% on maxRs1000
ABML POA Rs.30/-,Ext. Brokr minRs.30or0.03% on
ABML Rs.75/-,Exter Brokr minRs.75or0.05% whicheve
Transaction Fee - Off Market Trades
Pledge Creation Rs.50/- Rs.50/- Rs.100/-
Pledge invocation/Closure/Confirmation Rs.50/- Rs.50/- Rs.100/-
Demat Charges Rs.5 .00/- per certificate plusRs.50 /- per request
Rs.5 .00/- per certificate plus Rs.50 /-per request
Rs25.00/- per certificate plus Rs.50 /-per request
Demat/remat/Delivery instruction SlipRejection Charges Rs.40/- Courier cost Rs.50/- Courier cost Rs.50/- Courier cost
Remat Charges A flat fee of Rs.15/- per certi orRs.15/- for every 100 securiti
A flat fee of Rs.15/- per certificate orRs.15/- for every 100 securiti
A flat fee of Rs.25/- per certificate orRs.25/- for every 100 securiti
DIS Book Issue Charges First Book Free, Rs. 40/- foradditional Book
First Book Free, Rs. 50/- for additionalBook
First Book Free, Rs. 50/- for additionalBook
CAS Dispatch Charges Actual Depository Charges Actual Depository Charges Actual Depository Charges
Destat-Conversion of MF units representedby SOA into Dematerialized form
Flat fee of 10/-per trans pluscourier chargs Rs40
Flat fee of 10/-per trans plus courchargs Rs.50
Flat fee of 25/-per trans plus CourierChar Rs.50
Restat-Conversion of Demat MF units intoSOA
Flat fee of 10/-per trans plus courchargs Rs.40
Flat fee of 10/-per trans plus courchargs Rs.50
Flat fee of 25/-per trans plus CourChargs Rs.50
Goods & Services Tax and other statutory levies (like STT & Transaction charges) as prescribed by Government and Regulatory authorities fromtime to time,would be applicable in addition to above charges. I agree to the above Tariff structure and Terms and Conditions printed on the overleaf.
9
Terms and Conditions:
Rs.1500/- (Only for Individuals)
1.In case of Life time free AMC, if accountis closed before 12 months, then AMCof Rs. 500/- will be levied.
9.
Brokerage rate/Interest on the amounts lent by it to the client towardssecurities transactions and / or marginrequirements/Taxes/Levies/Tariff/Service standards are subject to change.Stock Broker/Depository Participant shall have the sole discretion tochange applicable Brokerage rates/Interest on the amounts lent by it tothe client towards securities transactions and/or marginrequirements/Taxes/Levies/Tariff and changes (if any) would becommunicated to clients through email/ordinary post/website upload/SMSand such communication shall suffice as notice of change in Brokeragerates/Interest/Taxes/Levies/Tariff.
2.Lifetime would mean the life time ofbeneficiary holder or
whichever is earlier.10. Additional services (if any) would be charged separately.
3.
In case the Demat account under BSDAfacility does not meet the eligibility asper guideline issued by SEBI or any suchauthority at any point of time, the BSDAaccount will be converted to regularDemat account without furtherreference and charges will be levied asapplicable to regular accounts asinformed by the ABML.
11.Client shall at all times maintain a minimum balance of Rs.1000/- in hisaccount to meet various dues pertaining to trading / demat accounts.
4.All other delivery/dispatch chargesincurred by DP from time to time will berecovered.
12.Account opening charges would not be refunded if the account is notopened due to non-submission of required details/documents by client.
5.
Document handling charge of Rs.25 shallbe applicable to delivery of alldocuments in physical mode. However ifa customer who has opted to receivedocuments in electronic mode receivesdocuments in physical mode (due tobounce of mails or otherwise),document handling charge of Rs. 50shall be applicable.
13.
As Borrower of funds, the Client authorizes the Company (ABML) tocharge interest at the rate of 24% on the amounts lent by the Companyto the client under Funding Facility. The client hereby agress that theFunding Facility offered is in the nature of an interest bearing loan towardsfulfilling client's obligations. Interest rate for such lending activity is subjectto change. Changes would be communicated by the Company to clientsthorugh e-mail / website dispaly / sms / ordinary post and suchcommunication shall suffice as notice of change in interest.
6.
In case the total brokerage earned persegment per exchange is not exceedingRs. 50/- then a sum of Rs. 50/- or suchother sum as may be decided by theStock Broker will be charged persegment per exchange as minimumprocessing fee.
14.
An account opening fee of Rs. 750/- is applicable unless the same iswaived based on the scheme chosen by the client. The fee is alsoapplicable if the Client fails to comply with the terms & conditions of aspecific scheme.
7.
Brokerage rates and Depository tariffindicated above are exclusive of allstatutory levies/ taxes and chargeslevied by Exchanges/Depositories.Statutory levy/tax and/orexchange/depository charges (if any)will be levied separately .
15.Standard brokerage as mentioned above would automatically be applicablein case tariff is not agreed upon for any segment/exchange.
8.
Shares transferred on account of inter -settlement / inter exchange/dues(custodial) to beneficiary account wouldbe charged at Rs. 20 per ISIN.
16.
Any deviation in the brokerage/volume commitment (basis which a lowerbrokerage is charged) will result in revision of the lower brokerage rate tostandard rate of brokerage (rack rates) as specified in the tariff sheetabove or the maximum statutory brokerage specified by SEBI/Exchangeswith retrospective effect.
10 Client Signature (in full)
10
Voluntary Document Suitability Assessment cum Declaration
Please respond to the below questionnaire to review suitability for trading in Securities market ( including derivatives segment)
Questionnaire Yes No
1
Do you understand that dealing / trading in equities & derivatives markets is subject to performance of securities/ volatility / market risk and forces affecting securities market and there is no assurance that your investmentObjectives will be achieved. Likewise do you understand that your investment objectives will be achieved.Likewise do you understand that research recommendations are also subject to the above mentioned risks.
2 Do you understand that trading in derivatives segment is based on leveraging and is subject to high risk due tovolatility and price fluctuations? Hence, do you understand that trading in derivative requires high risk appetite.
3Do you that trading in derivatives contracts typically requires additional capital in the form of Margins / ortopping up of Mark to Market (M2M) losses, which in turn, would required sound financial background andwithstand any volatility in the market?
You are advised to avoid trading in securities market if:
You have answered ‘No’ to any the questions above
Your age is above 60 years and you are a retired person
You have no prior experience of dealing in intraday trading / trading in derivative contracts
You are looking for returns of fixed amount or protection of principal or growth in capital
You are not a person of trader profile are prefers low return investment strategy
Investment you are considering in intraday trading / trading derivative contracts is more than 10% of your totalinvestment surplus / saving corpus.
INVESTMENT DETAILS
Category New toMarket
BasicKnowledge
GoodKnowledge
Expert
Equity
Futures
Options
Currency
Commodity
CurrentInvestment in 0-5 lacs5-10 lacs10-25 lacs>25 lacs
FD
Securities
Bond
Mutual Funds
House Property / Land
Declaration
I have reviewed the suitability assessment questionnaire given above and based on my risk assessment, financial background and investmentobjective, I confirm that trading in equity / derivative contracts is appropriate or suitable for me. Further by signing this document, I confirm that Ihave been apprised of the risks involved in investing in securities market and in particular all types of derivative contracts.
I confirm that there is no assurance on profits or any fixed or guaranteed return while executing transactions in the securities market. I confirm thatthe research recommendations disseminated by ABML through its employees / associates are incidental to its stock broking services andtransaction affected basis the same are in good faith and are I authorize the same.
I also confirm that I will not hold ABML or its group companies, associates or any of its employees, directors, officers or sub brokers / authorizedpersons responsible or liable for any direct or indirect, punitive, special or exemplary damages, for any profit / loss arising or resulting due totransactions effected in my trading / demat account.
I may, in advance, instruct the dealer for placement of orders in my trading account basis market events / market view / recommendations and I maynot be available for re-confirmation on such order placement. I also understand that all orders placed in the derivative segment / trade confirmationswith account balances are send to my registered mobile Number.
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11 (Signature of client)
I also understand that contract notes,margin bills,statement of account,profit and loss statements, statement of transaction holding(if any ) are sentto my registered e-mail id and I shall bring any discrepancy Therein to your notice within 24 hours from the date of receipt of the saiddetails/documents, in writing,failing which it shall be legally construed that the transactions have been effected by me and I shall not challenge thesame in any forum/court of law.I further confirm the levy of interest on the amounts lent by the Stock Broker towards securities transactions and / ormargin requirements and payable by me in my trading / demat accounts as agreed by me in the tariff sheet and I undertake not to challenge the levyof such Interest at a later point of time.
I further agree that I may acknowledge net positions/statement of accounts/statement of transactions/profit and loss statements by affixing mysignature on the said documents and that would amount to confirmation of transactions effected in my trading account and would not be disputed inmanner at any point of time.I have been inform and I acknowledge that ABML does not authorize any of its employees to send anydetails/documents pertaining to my trading/ demat accounts and I shall not depend upon or take into consideration any mail/document shared by anyemployee of
ABML except the mails/documents received from the below mentioned email ids:
Documents E Mail ID
Contract Note ereports.stocksandsecurities@abm.adityabirlacapital.orgcare.stocksandsecurities@adityabirlacapital.com
Demat transaction statement and holding stocksandsecurities@abm.adityabirlacapital.orgcare.stocksandsecurities@adityabirlacapital.com
Statement of accounts ebills.stocksandsecurities@abm.adityabirlacapital.orgcare.stocksandsecurities@adityabirlacapital.com
I understand that surveillance department of ABML on a random basis will seek confirmation as to whether am trading through my trading accountand affirmative confirmation to that effect would be deemed by ABML as confirmation of all transaction effected in my account and I undertake not tochallenge the same in any manner at a later point of time as the transactions are owned by me upon such confirmation.
I confirm having read and understood all the contents of the suitability assessment cum declaration as given hereinabove and I agree to the same.
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Ref: 1. Trading account no: 2. Demat account no:
12 (Sole/First Holder)
Voluntary Authorization LetterTo:Aditya Birla Money LimitedAli Centre, 53, Greams Road,Chennai -600 006.Sub:Voluntary Authorization Letter
1. Running Account AuthorizationI request you to maintain my trading account on a running account basis and retain the available credit balance i.e. funds towards my margin / pay-in/ other future obligation(s) on all segments(s) of Exchange(s) / Clearing Corporation unless I instruct you otherwise. I agree that no interest need bepaid in respect of funds so retained by you.
I request you to retain securities with you(accruing either by way of transfers effected by me or by way of any credit that is due to me on account oftransactions undertaken by me through my trading account) for my margin / pay-in / other-future obligation(s) at any segment(s) of any or all theExchange(s) / Clearing corporation, unless I instruct you to transfer the same to my demat account.
I request you to settle my funds and securities once in Calendar Month or Calendar Quarter or such other higher period allowed by SEBI /Exchanges(s) from time to time.
I authorize you maintain a minimum credit balance of Rs.10000/- at any point in my trading account from the amounts due and payable to me.
I also authorize you to transfer / adjust all the additional funds and securities lying to my credit in my trading account against my settlementobligations in any of the segments in any of the Exchanges in which I have opted to trade.
I confirm that this running account authorization can be revoked me at any point of time.
2. Authorization for sending documents through E-Mail
TradingI hereby authorize you to send any and all documents pertaining to my trading account (including but not limited to Electronic Contract Notes /Statement of Funds and Securities / Margin Bills etc. / Notices / Letters / Trade Confirmations / Circulars / Amendments etc.) to the belowmentioned e- mail id.DepositoryI hereby authorize you to send any and all documents pertaining to my demat account (including but not limited to Statement of Transaction /Statement of Holding / Rejection Intimation/ Bills / Amendments / Debit – Credit Intimations etc.) to the below mentioned e-mail id.E-Mail ID: [email protected] hereby declare that I have read and understood Additional Rights and Obligations pertaining to Delivery of Documents and agree to the same.
3. Contact Number DeclarationI confirm and declare that the contact number(s) given in the KYC Form or any updation thereto (either in writing or through internet) belong to me /my relative / my acquaintance and as such authorize you to either call or send any / all information pertaining to my trading / demat accounts and / orany promotional material related to financial products manufactured / distributed by you or your group / associate companies (including but notlimited to alerts / confirmations / passwords/ research recommendations / intimation of account balances / commercial communication etc.) on thesaid contact numbers.
I further confirm that I will neither hold you or your service provider liable nor will institute complaint under the Telecom Commercial CommunicationsCustomer Preference (TRAI) Regulations 2010 or such other applications legislations including amendment thereof.
I further agree and confirm to the applicability of all Regulations / Rights and Obligations / Circulars issued by SEBI / Exchanges / Depositories andAdditional Rights and Obligations pertaining to receipt of communication on contact numbers in addition to this declaration.
4. Authorization to debit various depository ChargesI confirm and consent for debiting any and all depository charges (including but not limited to schedule of charges agreed upon by me / inter-settlement charges / statutory charges / taxes etc.) to my trading account irrespective of the balance in my trading account.
I further confirm that once the4 charges are debited to my trading account and the same shall be treated like any other trading debit and as suchauthorize you to recover the same from available balances in my trading account, including sale of securities available to my creadit in margin / dues/ demat account(s).
(Please sign here,incase if you are accepting all the above clauses.)
DependentParentsDependentParents
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DECLARATION FOR UPDATING MOBILE NUMBER AND EMAIL ADDRESS FOR TRADING AND DEMAT ACCOUNT(Only under exceptional circumstances)
To,Aditya Birla Money LimitedAli Centre, No 53, Greams Road, Chennal - 600 006
I hereby confirm that the mobile number / email id provided by me as per KYC belongs to
Mobile 8652301461
Email [email protected]
I hereby confirm that the mobile number / email id provided by me has also been updated to my other family member accounts as given below. Irequest you to kindly update the same mobile number and / or E-mail ID to my tradding and / or demat account also.
Client Code of the family Member
Demat ID of the family Member
Family* Members Name Mobile Number Email ID
Relationship With the Client
"Family" for this purpose would mean self, spouse, dependent children and dependent parents
I hereby declare that the details furnished are true and correct to the best of my knowledge and belief. I further undertake to keep you informed aboutthe changes in the mobile number/email id and non-receipt of such updation may be construed that the above given mobile number/email id is validand subsisting.
In case any of the above information is found to be false or untrue or misleading of misrepresenting. I am aware that I may be held liable for it.
Client name Client Signature
Client ID DP ID
Date 17/04/2019
Place THANESUPRIYA RAJARAM DESHMUKH
(Customer Name)
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Aditya Birla Money Limited
Registered Office Corporate Office
Indian Rayon Compound, Veraval, Gujarat - 362 266. Ali Centre, No. 53, Greams Road, Chennai - 600 006.
National Stock Exchange of India Limited INZ000172636
Bombay Stock Exchange Limited INZ000172636
Central Depository Services (India) LimitedSEBI Reg. No. IN-DP-17-2015
National Securities Depository Limited
CLEARING MEMBER(In Equity Segment & BSE Equity Derivatives Segment)
CLEARING MEMBER(In NSE / MSEI Equity Derivatives &
NSE / BSE / MSEI Currency Derivatives Segment)
Aditya Birla Money Ltd.Ali Centre,53, Greams Road, Chennai - 600 006.
Axis Bank Ltd.CM No. : INF 231133937Jeevan Prakash Building,Sri P M Road, Fort, Mumbai - 400 001.
Director Compliance OfficerMr. TUSHAR SHAHTelephone No.: +91- 44 - 3919 0002 / 03E-mail ID: [email protected]
Mr. VISHWANATH RAMANTelephone No.: +91- 44 - 3919 0002 / 03E-mail ID: [email protected]
Please contact us at the above address or mail us at for trading related queries / [email protected] for depositoryrelated queries or call our customer care department ® Telephone No.(s): +91 - 1800 270 7000. If not satisfied with our response, you may contactthe concerned exchange(s) / Depositories(s) at:
Contact details in case of Grievance / Dispute :
Name Telephone Number E-mail ID
National Stock Exchange of India Limited +91-22-2659 8190 [email protected]
Bombay Stock Exchange Limited +91-22-2272 1233 / 4 [email protected]
Central Depository Services (India) Limited +91-22-2272 3333 [email protected]
National Securities Depository Limited +91-22-2499 4200 [email protected]
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