INDEX OF DOCUMENTS - Motilal · PDF fileINDEX OF DOCUMENTS Sr. No. ... It should have Bank Manager's Stamp & Sign, if original ... Individual Margin Trading A/c (MANTRA)

INDEX OF DOCUMENTS

Sr.No.

Brief Significance of the Document Page No.

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

Document detailing the rate / amount of brokerage and other chargeslevied on the client for Demat Account

Additional KYC details for opening a demat account

Rights and Obligations of Beneficial Owner and Depository Participantas prescribed by SEBI and Depositories

Power of Attorney provided to broker to facilitate payin of securities andother authorizations.

Account Opening Form1.

Name of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1-6

11Tariff sheet2.

Application for Demat Account

VOLUNTARY DOCUMENTS AS PROVIDED BY DEPOSITORY PARTICIPANT

7-10

Rights and Obligations of Beneficial

Owner and Depository Participant

Power of Attorney

12-13

14-15

3.

4.

5.

6. Voluntary DocumentDeclaration of Mobile Number 16

Family Declaration - Email / Mobile Updation in Family Codes 17

Motilal Oswal Securities Limited

BSE-INB011041257-30-Sep-2000

BSE-INF011041257-23-May-2000

BSE-CD-16-Jan-2014

NSE -INB231041238 - 16-Mar-1999

NSE -INF231041238 - 06-Jun-2000

NSE -INE231041238 - 17-Jan -2013

MCX-SX- INB261041231 - 17-Jan -2013

MCX-SX- INF261041231 - 17-Jan -2013

MCX-SX- INE261041231 - 17-Jan -2013

CDSL-IN-DP-09-99 - 12-Apr-1999

Name of stock broker/tradingmember/clearing member

SEBI Registration No. and date

For any grievance / dispute please contact stock broker (Motilal Oswal Securities Limited) at the above address or Email id [email protected] stock broking related dispute or [email protected] for DP related dispute or can speak on Phone No. 91-22-30801000. In case notsatisfied with the response, please contact BSE at [email protected] and Phone no. 91-22-22728097 and NSE at [email protected] and Phone no. +91-22-26598190 and MCX - SX at [email protected] and Phone no. +91-22-67318933 / 9000

Name of COO

Name of compliance officer Mr. Neeraj Agarwal Ph: +91-22-30801000 Email Id: [email protected]

Mr. Ajay Menon Ph: +91-22-30801000 Email Id: [email protected]

NSDL-IN-DP-NSDL-152-2000-24-July-2000

Motilal Oswal Tower, Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi, Mumbai-400025.

Ph: +91-22- Fax: +91-22- Website: www.motilaloswal.com39804200 33124997Registered Office Address

Palm Spring Centre, 2nd Floor, Palm Court Complex, New Link Road, Malad (West), Mumbai - 400 064.Ph: +91-22-30801000 Fax: +91-22-28449002 Website: www.motilaloswal.com

Correspondence Office Address

TRADING & DEMAT ACCOUNT CHECKLIST (INDIVIDUAL / NRI) - VERSION 1.8.1

Required Validation

Proofs

ID Details Address Details Bank Details

Name Sign Photo Bank Name& A/c No.

MICR / IFSCCode

PAN Card

Passport

Driving Licence

Ration Card

Telephone Bill

Electricity Bill

Cancelled Cheque

Bank Verification Letter

*

*

**

**

Voter ID

UID (Aadhaar)

Bank Statement

Bank Passbook

(Original)

(Mobile bill not accepted)

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

#

##

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Abbreviations :

PROOF FOR EXISTING DEMAT ACCOUNT HOLDERS

DP Statement

1. Clients name & DP A/c No. on the proof of DP should match with that mentioned in the account opening form.

2. DP statement should clearly show DP ID & Client ID.

3. For E-Broking clients, Demat A/c should be opened with MODES only with POA.

PROOFS FOR NRI (NON RESIDENT INDIAN)

1. PAN card

2. Valid Passport / PIO Card / OCI Card as proof of Identity. Proof of Foreign Address and Indian Address (If any)

3. Bank A/c should be either Repatriable Bank A/c for NRE OR Non-Repatriable A/c for NRO Status.

4. Proof of Demat Account should be only with NRI status.

5. Permission for dealing in securities from Authorized Dealer (Bank) / RBI.

PROOF OF FINANCIAL DETAILS, (for clients who wish to trade in F&O)any one

Copy of Annual Accounts�

Demat Holding Statement

Copy of Income Tax Return�

Networth Certificate� �

Copy of Form 16 (Salary Certificate)�

Bank Statements for last 6 months�

� Client Master Report (CMR)�

�

�

�

�

� � � � � � �

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1) The Proof should be valid on the DATE of agreement.2) The Proof should not be more than 3 months old.

*

**

3) Bank Statement should be original and of latest quarter. It should have Bank Manager's Stamp & Sign, if originalstationery is not available.

4) Bank Passbook should have Bank Manager's Stamp & Sign if it is hand written.

#

##

CorrespondenceAddress

PermanentAddress

� �

WATCH OUTS / LAST MINUTE REVISION

1. TheA/c opening form is filled properly in BLACK INK and BLOCK LETTERS ONLY and do have :a. Clients Name and Signature at 6 places marked in Grey color.b. Joint holders signature will be required against the symbols.c. Address - as it appears on the address proof. In case permanent & Correspondence addresses are different,

make sure to provide address proof for both of them.d. Witness signature at 4 places marked in Light Grey color.e. N.A. mentioned at all places not applicable to the client.

2. White ink is not allowed either on form or on agreement.All corrections to be countersigned with full signature.3. All proofs, photographs and signature on the form should be clearly visible and should be self attested by client.4. In Person Verification, PAN & Document verification from original has to be done by SEBI registered Sub-broker /

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

Holder also

.

CH

EC

KL

IST

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BL

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t N

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uire

men

ts a

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on

Card

Tele

ph

on

e B

ills

/E

lectr

icit

y B

ill/

Gas B

ill/

Mo

bile B

ill

NA

Sig

natu

re s

hould

be c

learly

visi

ble

and s

hould

matc

h

•

Sig

natu

re s

hould

be c

learly

visi

ble

and s

hould

matc

h

•A

ddre

ss m

entio

ned in

pass

port

should

matc

h w

ith the a

ddre

ssm

entio

ned in

KY

C

•

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

NA

Colo

ure

d P

hoto

copy

pre

ferr

ed

•

Photo

copy

of N

am

e a

nd

Addre

ss p

age

(2 p

ages)

Colo

ure

d P

hoto

copy

pre

ferr

ed

• •

Colo

ure

d P

hoto

copy

pre

ferr

ed o

fA

adhar

Card

(fr

ont and r

eve

rse)

• •

Photo

copy

of N

am

e/A

ddre

ss a

nd

Fam

ily m

em

bers

list

page (

2 p

ages)

•

The P

roof sh

ould

not be m

ore

than

3 m

onth

s old

Should

be v

alid

for

next

10 d

ays

post

Act

ivatio

n#

Gas

Cyl

inder

bill

/rece

ipt and M

obile

Bill

not acc

epta

ble

• • •

Photo

copy

of N

am

e a

nd

Addre

ss p

age

(2 p

ages)

Valid

for

atle

ast

next

TW

O m

onth

s fr

om

the d

ate

of A

ccount

Act

ivatio

n#

• •

Photo

copy

of N

am

e a

nd

Addre

ss p

age

(2 p

ages)

Valid

for

atle

ast

next

TW

O m

onth

s fr

om

the d

ate

of A

ccount

Act

ivatio

n#

Learn

ing L

icense

is N

ot A

ccepta

ble

• • •

Sig

natu

re s

hould

be c

learly

visi

ble

and s

hould

matc

h

•A

dd

ress

me

ntio

ne

d in

Drivi

ng

Lic

en

ce s

ho

uld

ma

tch

with

th

e a

dd

ress

me

ntio

ne

d in

KY

C

•

Ad

dre

ss m

en

tion

ed

in V

ote

r Id

\sh

ou

ld m

atc

h w

ith t

he

ad

dre

ssm

en

tion

ed

in K

YC

•

Ad

dre

ss m

en

tion

ed

inA

ad

ha

rca

rd s

ho

uld

ma

tch

with

th

ea

dd

ress

me

ntio

ne

d in

KY

C

•

Ad

dre

ss m

en

tion

ed

in R

atio

nC

ard

sh

ou

ld m

atc

h w

ith t

he

ad

dre

ss m

en

tion

ed

in K

YC

•

Ban

k S

tate

men

tO

rigin

al B

ank

Sta

tem

ent

Late

st q

uart

er

(3 m

onth

s tr

ansa

ctio

ns)

.B

ank

Attest

atio

n is

Mandato

ry w

here

the B

ank

state

ment does

not co

nta

inpre

-printe

d B

ank

logo, addre

ss a

nd

oth

er

rele

vant deta

ils a

bout th

e B

ank.

(Bank

Attest

atio

n s

hould

conta

inA

uth

orize

d s

ignato

ry o

f B

ank

with

Nam

eand E

mplo

yee C

ode a

nd B

ank

seal)

• •

Nam

e,P

hoto

gra

ph, D

ate

of B

irth

should

matc

hS

ignatu

re s

hould

be c

learly

visi

ble

• •

Nam

e,P

hoto

gra

ph s

hould

matc

h

•

Nam

e,P

hoto

gra

ph s

hould

matc

h

•

NA

NA

Nam

e,P

hoto

gra

ph, D

ate

of B

irth

should

matc

hS

ignatu

re s

hould

be c

learly

visi

ble

• •

Nam

e,P

hoto

gra

ph, D

ate

of B

irth

should

matc

hS

ignatu

re s

hould

be c

learly

visi

ble

• •

NA

Ad

dre

ss m

en

tion

ed

inB

an

k S

tate

me

nt

sho

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tch

with

th

e a

dd

ress

me

ntio

ne

d in

KY

C

•T

he

belo

wsh

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matc

hw

ithth

edeta

ilsm

entio

ned

inK

YC

Acc

ount hold

er

Nam

eB

ank

Acc

ount N

oB

ank

Acc

ountTyp

e[S

avi

ngs/

Curr

ent]

•N

A

•

• • •

Ad

dre

ss m

en

tion

ed

inTe

lep

ho

ne

/Ele

ctric

Bill

s sh

ou

ldm

atc

h w

ith t

he

a

dd

ress

me

ntio

ne

d in

KY

C

•

Mot

ilal O

swal

Sec

uriti

es L

imite

d

Please tear this page here for your personal reference

Ban

kV

erif

icat

ion

Let

ter

Ban

k's

orig

inal

Let

ter

head

Ban

kA

ttest

atio

n sh

ould

con

tain

Aut

horiz

ed s

igna

tory

of B

ank

with

Nam

ean

d E

mpl

oyee

Cod

e an

d B

ank

seal

Clie

nt N

ame,

Acc

ount

Num

ber,

Add

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,S

igna

ture

,Acc

ount

Type

, IF

SC

, MIC

R(f

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at a

vaila

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in W

IRE

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oad

optio

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• •

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nt's

late

st p

hoto

sho

uld

beat

test

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y B

ank

Clie

nt N

ame

Ban

kA

/c n

oA

ddre

ss

• • •

Clie

nt's

late

stph

oto

shou

ldbe

atte

sted

byB

ank

Clie

nt N

ame

Ban

kA

/c n

oA

ddre

ssIF

SC

MIC

RA

ccou

ntTy

pe(S

avin

gs/C

urre

nt)

• • •• • • •

Clie

nt's

late

st p

hoto

sho

uld

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ttest

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y B

ank

Clie

nt N

ame

Ban

kA

/c n

oA

ddre

ssIF

SC

MIC

RA

ccou

ntTy

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avin

gs/C

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Clie

nt S

igna

ture

• • •• • • • •

Ban

k P

assb

oo

k

Orig

inal

Can

celle

d C

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e le

af•

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k P

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ook

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ank

Det

ails

Clie

nt D

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test

qua

rter

(3

mon

ths

tran

sact

ions

)pa

ges.

Ban

kA

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atio

n is

Man

dato

ry w

here

the

Ban

k st

atem

ent d

oes

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onta

inpr

e-pr

inte

d B

ank

logo

, add

ress

and

othe

r re

leva

nt d

etai

ls a

bout

the

Ban

k.(B

ank

Atte

stat

ion

shou

ldco

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nA

utho

rized

sign

ator

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Ban

kw

ithN

ame

and

Em

ploy

eeC

ode

and

Ban

kse

al)

• • • • •

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nt's

late

st p

hoto

sho

uld

beat

test

ed b

y B

ank

Clie

nt N

ame

Ban

kA

/c n

o

• • •

NA

The

can

celle

d ch

eque

shou

ld h

ave:

Pre

prin

ted

Clie

nt N

ame

Pre

prin

ted

Acc

ount

No

IFS

CM

ICR

• • ••

Add

ress

men

tione

d in

Ban

k P

assb

ook

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ld m

atch

with

the

addr

ess

men

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d in

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C

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with

the

deta

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ount

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• • • •

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NA

Can

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•

Toav

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Ob

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and

Del

ays

1.E

nsur

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ture

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Dat

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men

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The

A/c

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Inpe

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Ver

ifica

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PA

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Che

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the

Doc

umen

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cann

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Fill

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Fill

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plet

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rm a

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ark

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. whe

re n

ot a

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•

1

1100010900


PLEASE AFFIX RUBBER STAMP & SIGN

Name of the Organization

NSE / BSE - SEBI / AP Registration Number

Person name doing IPV / docs / PAN verification

Designation / MOSL Employee code

Date of IPV / Document Verification

Date of PAN Verification with IT Site

Signature of the Person


1/6

2/6

Sole / Joint First Holder

2

3

1100010900











Joint Applicant Details (Second Applicant)

4

5

1100010900











Joint Applicant Details (Third Applicant)

6

7

ADDITIONAL DETAILS

Educational Qualification Under Graduate Graduate Post Graduate Professional

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

Any other information

Details of any action/proceedings initiated/pending/taken by SEBI/Stock exchange/any other authority against the applicant/constituentor its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:

PAST ACTIONS

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

Details of the relatives, having account with MOSL

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

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

Name

Relationship UCC

Name

Relationship UCC

Nature of Business Entity Type

Funds Detail

Bank Name

Branch Name

Branch Address

Bank A/c No.

A/c Type Savings Current NRI/NRE/NRO Others

MICR Number IFSC Code

Internet Banking status Enabled Not Enabled

BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER

(Mandatory for E-Broking)

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

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

Bank Passbook## Bank Verification Letter (original)

OTHER DETAILS

Gross Annual Income Details (Please tick ( ) : Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lac

Net-worth in as on (date)

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

Government Service Business Professional Agriculturist Retired

Housewife Student Forex Dealer Others (Please specify)

Please tick, if applicable Politically Exposed Person Related to a Politically Exposed Person

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

Any Other Information

`. (*Net worth should not be older than 1 year)

_______

D D M M Y Y Y Y

Version 1.8.1


8

Trading code to be mapped with this Demat account

Do you wish to make this as your default Demat Account in the given trading code. Yes No

INTRODUCER DETAILS (optional)

Name of the Introducer

Address & Phone No.

Status of the Introducer Sub-broker Remisier Authorised Person Existing Client Others

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

Signature of the Introducer

(Optional)

(Optional)

(Optional)

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

I/We request you to open a demat account in my/ our name as per following details:-

Holders Details

PAN

UID

Sole / First Holder's Name

Second Holder's Name PAN

UID

Third Holder's Name PAN

UID

Type of account in DP (Please whichever is applicable)

Individual Resident Individual Director Individual Promoter Individual Directors Relative

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

NRI - Non Repatriable NRI Repatriable NRI - Depository Receipts

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

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

Foreign Individual - QFI (MF)

Status Sub-Status

Individual

Foreign National

Qualified Foreign Investor

NRI

Version 1.8.1


9

ONLY FOR NRI CLIENTS

RBI Ref No. RBI Approval Date

Please Note : 1. Please attach copy of permission for dealing in Securities from Authorised Dealer (Bank) / RBI Approval.

2. In case of Merchant Navy NRI’s , Mariners declaration or certified copy of CDC (Continuous Discharge Certificate)

is to be submitted.

Declaration under Operating Instruction No. 2.3.6 issued by Central Depository Services (India) Limited

The address mentioned by me in the account opening form contains Post office Box Number (P.O. Box No.). Kindly accept the P.O. BoxNo. as valid address proof and additionally I have mentioned my complete residential address in Permanent address and herebyundertake to inform Motilal Oswal Securities Limited for any change.

Further with reference to my/our demat account maintained with Motilal oswal Securities Limited, I/We hereby confirm that I/We havecomplied with, and shall continue to comply with, Foreign Exchange Management Act, 1999 and rules and regulations issued thereunder and other applicable laws.

1 holderst

2 holdernd

3 holderrd

Client Signature

(Only for NRI)

Yes No

Yes No

Yes No

Yes No

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

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

I/ We would like to receive the Annual Report : Physical Electronic Both physical and Electronic

(Tick the applicable box, if not marked the default option would be in physical)

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

I/We wish to receive dividend / interest directly in to my bank account given below through ECS?

(If not marked, the default option would be `Yes') [ECS is mandatory for locations notified by SEBI from time to time]

Yes No

DP FACILITIES

A/c Statement Requirement As per SEBI Regulation

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

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

To Register for , please visit website www.cdslindia.comeasiYes No

WeeklyDaily Fortnightly Monthly

MOBILE NO + 91____________________________(Mandatory, if you are giving Power Of Attorney (POA)(If POA is not granted & you do not wish to avail of this facility, cancel this option )

SMS Alert Facility (ReferTerms and conditionsAnnexure- 2.4

Yes No

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have readand understood the Terms and Conditions prescribed by CDSLfor the same.

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

Transactions UsingSecured Texting Facility(TRUST).Refer to Terms andConditions Annexure –2.6

To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISINbalances, transactions and value of the portfolio online.

Easi

Stock Exchange Name

Bombay Stock Exchange (BSE) Motilal Oswal Securities Ltd.

Motilal Oswal Securities Ltd.

Motilal Oswal Securities Ltd.

Clearing Member Name Clearing Member ID (Optional)

National Stock Exchange ofIndia Limited (NSE)

MCX Stock Exchange (MCX-SX)

Version 1.8.1


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

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

NOMINEE FORM

I/We wish to nominate the following person (who is entitled to receive funds/security balances lyingin my/our account, particulars whereof are given below, in the event of the death of the Sole holderor the death of all the joint holders)

10

Declaration

• 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 undertaketo inform you of any changes therein, immediately. In case any of the above 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.

• I / We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by thesame 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 correctto 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) inthe details / particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us orsuppression of any material information will render my account liable for termination and suitable action.

As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Soleholder / all Joint holders, I/We appoint following person to act as Guardian. This nomination shall supersede any prior nomination madeby me / us and also any testamentary document executed by me / us.

DECLARATION

Name of Guardian

Address

of Guardian Nominee

E-mail Id

City/town/village Pin Code

State Country

Age years Relationship with

Phone No.


Name

Address

Name

Address

Signature W1

Signature W2

Details of the Witnesses

1 holderst

2 holdernd

3 holderrd

Client Signature

Client Name

3/6

Sig

nto

beus

efo

rcro

ppin

g

Version 1.8.1


. .

NOMINEE DETAILS

Name of Nominee

Relationship with Client (BO) PAN of Nominee /

Aadhar Number

Relationship with Nominee Date of Birth


Address

City/town/village Pin Code

State Country

E-mail Id Phone No.

11

4/6Client's Signature

Client Name

DEMAT TARIFF SHEET

Dematerialisation (In all schemes)

Rematerialisation

Pledge Creation/ Closure/Invocation

Rs.25/- per request +Rs.5/- per certificate

Rs.35/- per request each

POA Compulsory POA Optional

SCHEME

A) Account maintenance (AMC)

B) Account Administration (AA)

Trx Charges Within MODES (Sell)(Charges which ever is higher will becharged)

Outside MODES (Sell)

YR081 YR083 YR085 Ebroking 11UFRONT 11LIFETI YR082 YR084 YR086

NIL

Rs. 100/-

Rs. 30/- or0.025%

of transactionvalue

Rs. 30/- or0.04%

of transactionvalue

NILRs. 100/- Rs. 100/-

Rs. 700/- Rs. 300/- Rs. 400/-

Rs. 20/- or0.025%

of transactionvalue

Rs. 30/- or0.03%

of transactionvalue

Rs. 20/- or0.020%

of transactionvalue

NIL

NIL

NIL

Rs. 30/- or0.03%

of transactionvalue

Rs. 30/- or0.03%

of transactionvalue

Rs. 30/- or0.04%

of transactionvalue

Rs. 30/- or0.04%

of transactionvalue

Rs. 30/- or0.04%

of transactionvalue

Rs. 30/- or0.03%

of transactionvalue

Rs. 30/- or0.03%

of transactionvalue

Rs. 600/-

Rs. 600/-

Rs. 15/- or0.015%

of transactionvalue

Rs. 10/- or0.010%

of transactionvalue

Rs. 30/- or0.025%

of transactionvalue

Rs. 20/- or0.025%

of transactionvalue

Rs. 20/- or0.020%

of transactionvalue

Rs.3,000/-

Rs.3,000/-

Rs. 150/- Rs. 150/- Rs. 150/-

Rs. 850/- Rs. 450/-

Only TrxScheme A

Only AMCScheme B

AMC & TrxScheme C

Online clientsScheme D

Adv. AdminScheme E

Adv. AMCScheme F

Only TrxScheme G

Only AMCScheme H

AMC & TrxScheme I

1. In Only AMC scheme all payin transaction for shares sold within MOSL will be free.

2. In case the account is closed during the year, except for Schemes E & F, AMC for the remaining quarter will be refunded to the client. However, AA charges willnot be refunded.

3. Except for Schemes E & F, for the first year, AA and AMC will be charged on prorata basis from the month of account opening. Subsequently, it will be chargedanually in the month of April. In scheme D AA & AMC will be charged yearly from the month of account opening. For CORPORATE Accounts additional Rs.500/-P.A. will be charged towards CDSLAMC** in all the scheme.“"

4. In scheme E, AA of Rs. 600/- will be charged and will be valid for 5 years.The client has to renew the scheme after 5 years. Account closed or Scheme changedbefore 5 years will not be entitled for any refund.

5. In Scheme F, if account is closed after 3 years, full AMC will be refunded to client. In case the account is closed or scheme is changed within 3 years, Rs.2000/-will be refunded to client.

6. Except for the month of April, an amount of Rs. 250/- (non adjustable / Non refundable) will be charged for each scheme change request. The new scheme will beapplicable from the month in which the scheme is changed without adjustment of previous bills. In case scheme is changed from AMC to Only Trx scheme afterDecember, noAMC will be refunded.

7. Rates are subject to revision from CDSL. DP reserves the right to ammend the tariff at any given point of time. Service tax will be charged extra as perregulation.

8. Rs. 100/- will be charged to client in case NEW DIS is requested without requisition slip.

9. Rs. 25/- will be charged toward per demat rejection case.

10.Rs. 10/- per instruction towards pool to pool charges for pay out shares received in MOSL NSDL account will be charges in all scheme except Only AMC scheme(YR083 & YR084)

As per SEBI Circular No. CIR/MRD/DP/22/2012 dated 27th August 2012, all clients who is willing to hold only one demat account as first holder and whose DPholding valuation will be maintained below Rs. 2 lacs is eligible to opt for BSDA (Basic Services Demat Account) subject to terms and conditions mentioned bySEBI. To opt for BSDA scheme please sign a separate scheme sheet which can be obtained from the branch.

Advance Rs. 100/- Rs. 800/- Rs. 400/- Rs. 400/- Rs. 150/- Rs. 1000/- Rs. 600/-

Rs. 20/- or0.020%

of transactionvalue

Version 1.8.1


Inte

ntion

ally l

eft b

lank

General Clause

Beneficial Owner information

Fees/Charges/Tariff

Dematerialization

SeparateAccounts

Transfer of Securities

1. The Beneficial Owner and the Depository participant (DP) shallbe bound by the provisions of the Depositories Act, 1996, SEBI(Depositories and Participants) Regulations, 1996, Rules andRegulations of Securities and Exchange Board of India (SEBI),Circulars/Notifications/Guidelines issued there under, Bye Lawsand Business Rules/Operating Instructions issued by theDepositories and relevant notifications of GovernmentAuthorities as may be in force from time to time.

2. The DP shall open/activate demat account of a beneficial ownerin the depository system only after receipt of complete Accountopening form, KYC and supporting documents as specified bySEBI from time to time.

3. The DP shall maintain all the details of the beneficial owner(s) asmentioned in the account opening form, supporting documentssubmitted by them and/or any other information pertaining to thebeneficial owner confidentially and shall not disclose the same toany person except as required by any statutory, legal orregulatory authority in this regard.

4. The Beneficial Owner shall immediately notify the DP in writing, ifthere is any change in details provided in the account openingform as submitted to the DP at the time of opening the demataccount or furnished to the DP from time to time.

5. The Beneficial Owner shall pay such charges to the DP for thepurpose of holding and transfer of securities in dematerializedform and for availing depository services as may be agreed tofrom time to time between the DP and the Beneficial Owner asset out in the Tariff Sheet provided by the DP. It may be informedto the Beneficial Owner that "no charges are payable for openingof demat accounts”

6. In case of Basic Services Demat Accounts, the DP shall adhereto the charge structure as laid down under the relevant SEBIand/or Depository circulars/directions/notifications issued fromtime to time.

7. The DP shall not increase any charges/tariff agreed upon unlessit has given a notice in writing of not less than thirty days to theBeneficial Owner regarding the same.

8. The Beneficial Owner shall have the right to get the securities,which have been admitted on the Depositories, dematerialized inthe form and manner laid down under the Bye Laws, BusinessRules and Operating Instructions of the depositories.

9. The DP shall open separate accounts in the name of each of thebeneficial owners and securities of each beneficial owner shallbe segregated and shall not be mixed up with the securities ofother beneficial owners and/or DP’s own securities held indematerialized form.

10. The DP shall not facilitate the Beneficial Owner to create orpermit any pledge and /or hypothecation or any other interest orencumbrance over all or any of such securities submitted fordematerialization and/or held in demat account except in theform and manner prescribed in the Depositories Act, 1996, SEBI(Depositories and Participants) Regulations, 1996 and Bye-Laws/Operating Instructions/Business Rules of theDepositories.

11. The DP shall effect transfer to and from the demat accounts of the

Beneficial Owner only on the basis of an order, instruction,direction or mandate duly authorized by the Beneficial Ownerand the DP shall maintain the original documents and the audittrail of such authorizations.

12. The Beneficial Owner reserves the right to give standinginstructions with regard to the crediting of securities in hisdemat account and the DP shall act according to suchinstructions.

13. The DP shall provide statements of accounts to the beneficialowner in such form and manner and at such time as agreedwith the Beneficial Owner and as specified by SEBI/depositoryin this regard.

14. However, if there is no transaction in the demat account, or if thebalance has become Nil during the year, the DP shall send onephysical statement of holding annually to such Bos and shallresume sending the transaction statement as and when thereis a transaction in the account.

15. The DP may provide the services of issuing the statement ofdemat accounts in an electronic mode if the Beneficial Ownerso desires. The DP will furnish to the Beneficial Owner thestatement of demat accounts under its digital signature, asgoverned under the Information Technology Act, 2000.However if the DP does not have the facility of providing thestatement of demat account in the electronic mode, then theParticipant shall be obliged to forward the statement of demataccounts in physical form.

16. In case of Basic Services Demat Accounts, the DP shall sendthe transaction statements as mandated by SEBI and/orDepository from time to time.

17. The DP shall have the right to close the demat account of theBeneficial Owner, for any reasons whatsoever, provided the DPhas given a notice in writing of not less than thirty days to theBeneficial Owner as well as to the Depository. Similarly, theBeneficial Owner shall have the right to close his/her demataccount held with the DP provided no charges are payable byhim/her to the DP. In such an event, the Beneficial Owner shallspecify whether the balances in their demat account should betransferred to another demat account of the Beneficial Ownerheld with another DP or to rematerialize the security balancesheld.

18. Based on the instructions of the Beneficial Owner, the DP shallinitiate the procedure for transferring such security balances orrematerialize such security balances within a period of thirtydays as per procedure specified from time to time by thedepository. Provided further, closure of demat account shall notaffect the rights, liabilities and obligations of either theBeneficial Owner or the DP and shall continue to bind theparties to their satisfactory completion.

19. In event of Beneficial Owner committing a default in thepayment of any amount provided in Clause 5 & 6 within a periodof thirty days from the date of demand, without prejudice to theright of the DP to close the demat account of the BeneficialOwner, then DP may charge interest at a rate as specified bythe Depository from time to time for the period of such default.

20. In case the Beneficial Owner has failed to make the payment ofany of the amounts as provided in Clause 5&6 specified above,the DP after giving two days notice to the Beneficial Owner shallhave the right to stop processing of instructions of the

Statement of account

Manner of Closure of Demat account

Default in payment of charges

Rights and Obligations of Beneficial Owner and Depository Participant asprescribed by SEBI and Depositories

12 Version 1.8.1


Beneficial Owner till such time he makes the payment alongwith interest, if any.

21. As per Section 16 of DepositoriesAct, 1996,1. Without prejudice to the provisions of any other law for the

time being in force, any loss caused to the beneficial ownerdue to the negligence of the depository or the participant,the depository shall indemnify such beneficial owner.

2. Where the loss due to the negligence of the participantunder Clause (1) above, is indemnified by the depository,the depository shall have the right to recover the samefrom such participant.

22. The Beneficial Owner may exercise the right tofreeze/defreeze his/her demat account maintained with theDP in accordance with the procedure and subject to therestrictions laid down under the Bye Laws and BusinessRules/Operating Instructions.

23. The DP or the Depository shall have the right tofreeze/defreeze the accounts of the Beneficial Owners onreceipt of instructions received from any regulator or court orany statutory authority.

24. The DP shall redress all grievances of the Beneficial Owneragainst the DP within a period of thirty days from the date ofreceipt of the complaint.

25. If the Beneficial Owner is a body corporate or a legal entity, itshall, along with the account opening form, furnish to the DP, alist of officials authorized by it, who shall represent and interacton its behalf with the Participant. Any change in such listincluding additions, deletions or alterations thereto shall beforthwith communicated to the Participant.

Liability of the Depository

Freezing/ Defreezing of accounts

Redressal of Investor grievance

Authorized representative

Law and Jurisdiction26. In addition to the specific rights set out in this document, the

DP and the Beneficial owner shall be entitled to exercise anyother rights which the DP or the Beneficial Owner may haveunder the Rules, Bye Laws and Regulations of the respectiveDepository in which the demat account is opened andcirculars/notices issued there under or Rules and Regulationsof SEBI.

27. The provisions of this document shall always be subject toGovernment notification, any rules, regulations, guidelinesand circulars/ notices issued by SEBI and Rules, Regulationsand Bye-laws of the relevant Depository, where the BeneficialOwner maintains his/ her account, that may be in force fromtime to time.

28. The Beneficial Owner and the DP shall abide by the arbitrationand conciliation procedure prescribed under the Bye-laws ofthe depository and that such procedure shall be applicable toany disputes between the DP and the Beneficial Owner.

29. Words and expressions which are used in this document butwhich are not defined herein shall unless the contextotherwise requires, have the same meanings as assignedthereto in the Rules, Bye-laws and Regulations andcirculars/notices issued there under by the depository and /orSEBI

30. Any changes in the rights and obligations which are specifiedby SEBI/Depositories shall also be brought to the notice of theclients at once.

31. If the rights and obligations of the parties hereto are altered byvirtue of change in Rules and regulations of SEBI or Bye-laws,Rules and Regulations of the relevant Depository, where theBeneficial Owner maintains his/her account, such changesshall be deemed to have been incorporated herein inmodification of the rights and obligations of the partiesmentioned in this document.

13

BO Name

Place: Date:_________ day of ____________ 20______

Signature

1st Holder 2nd Holder 3rd Holder

5/6

Signed for and on behalf of

Version 1.8.1


. .

POWER OF ATTORNEY IN FAVOUR OF MOTILAL OSWAL SECURITIES LIMITED

(ON STAMP PAPER OF Rs. 100/-)

TO ALL TO WHOM THESE PRESENTS SHALL COME, I/We

............................................................................................

.....................................................................................................

residing at / having place of business / registered office at

……......................................................……...............

…………………………...…………………..........…………………

…………………....send greetings.

WHEREAS I / We wish to avail, / I/We am/are a client availing of

the Stock Broking and Depository services(hereinafter referred to

as said Services) offered by Motilal Oswal Securities Limited,

having its Registered office address at Motilal Oswal Tower,

Rahimtullah Sayani Road, Opposite Parel ST Depot, Prabhadevi,

Mumbai-400025, and having its processing office at Chennai

(hereinafter referred to as ‘MOSL’) with/ without On-Line trading /

E-broking & web based facilities and / or services through its

website or any other website used for offering said Services.

AND WHEREAS as consideration for availing said services as

well as a prerequisite for fulfilling the various preconditions and

requirements so as to avail of the services by MOSL, I / we am/are

desirous of appointing an attorney and confer upon it powers

hereinafter stated.

NOW THESE PRESENTS WITNESS that I / we, do hereby, jointly

and severally nominate, constitute and appoint MOSL acting

through any of its directors, officers and / or agents, as my / our

true and lawful ConstitutedAttorney (hereinafter referred to as the

said Attorney) for me / us, in my / our name and on my / our behalf

and at my / our risk and costs to do, exercise and perform all or

any of the following acts, deeds and things:

In this Power of Attorney the term “Securities” shall include

shares, scrips, stocks, bonds, warrants, options, futures,

derivatives, convertible debentures, non-convertible debentures,

securitized debt instruments, fixed return investment, equity

linked instruments or other marketable Securities of a like nature

in or of any incorporated company or other body corporate,

negotiable instruments including usuance Bills of Exchange,

deposits or other money market instruments, commercial paper,

certificate of deposit, units issued by Unit Trust of India and units

issued by Mutual Funds, mortgage backed or other asset backed

Securities issued by any institution or body corporate cumulative

convertible preference shares issued by any incorporated

company and Securities issued by any incorporated company

and Securities issued by the Central Government or a State

Government for the purpose of raising public loan and having one

of the forms specified in Clause (2) of Section 2 of the Public Debt

Act, 1944, any other new form of capital or money market

instruments that may be issued in the future by any incorporated

company/firm/institution or Government.

1 To give delivery/receive insturctions, borrowing and lending

instructions, pledge instructions, pledge closure

instructions in the course of business relating to operation

of demat accoun(s) no(s). _______________________

with Depository Participants opened with MOSL with

NSDL/CDSL or any other demat accounts of client, as may

be communicated in writing towards the Obligation for

transactions done through MOSL on NSE, BSE and MCX-

SX and any other Exchange, under my/our instructions

2. Pursuant to my/our instruction or instruction of my / our

Authorised Representative (applicable only in case of non-

individual client), to make applications for or to renounce

and sign renunciation forms in respect of bonds /

debentures, right shares and additional shares of any

Company / Body /Authority.

3. To debit my/our ledger account maintained with MOSL for

fees/charges etc. and to discharge all financial obligations

relating to transactions undertaken by me on any of the

Stock Exchanges

4. Pursuant to my/our instruction or instruction of my/our

Authorised Representative to do all such acts and things as

may be necessary to effect the subscription / purchase /

redemption or any other transaction for mutual funds/

online Mutual Fund or otherwise of initial public offer /

follow on public offer / right issue /or any other like issues

and / or Investment Product for which services are availed

from MOSL.

5. To pledge the securities with MOSL / Exchange(s), for

limited purpose of meeting margin requirement in

connection with the trades executed on the Stock

Exchanges.

6. To instruct the Depository Particpant to debit securities to

the said account and/or transfer securities from the said

account to pool/collateral /margin/any other beneficiary

account of MOSL to the extent of shares sold through

MOSL for pay in obligation as well as for margins towards

any Stock Exchange in all segments.

7. To issue instructions to my DP to execute the share transfer

requests given by me/us in electronic form, in any format

and at any time through the website of Motilal Oswal

Securities Limited or through the internet or any other

electronic mode, towards upfront margin or any other

margin obligation towards any stock exchange.

8 To authorize MOSL to send trades and accounts related

information and also consolidated summary of scrip-wise

buy and sell positions taken with average rates by way of

SMS / email on a regular basis.

14 Version 1.8.1


Signedforandonbehalfof

Name of Authorised

Title / Designation

Signatory

Witness 1

Witness 2

Signature

For Motilal Oswal Securities Ltd.

Authorised Signatory

For M

OSL only

1st Holder 2nd Holder 3rd Holder

6/6

The Participant

Name & Address Signature W3

Name & Address Signature W4

15

9. For the purpose of the aforesaid to sign contracts,

agreements, transfers, acceptances, receipts, or other

instruments, documents and forms, to accept and carry

out correspondence with such person(s) or authority/

authorities or department(s) and to do all such lawful acts

requisite for effecting the same.

To do or commit to do all such acts and things as may be

necessary or desirable in order to exercise its powers

hereinabove or to comply with any laws, orders, rules,

regulations or directions of any government or regulatory

or other authorities.

10. My/Our Attorney MOSL shall not be liable for any loss that

may result from failure/inability of electronic connectivity of

rejection of my/our application for any reason whatsoever.

11. In case of mutual fund units wrongly / erroneously

subscribed and delivered in my/our account, MOSL is

authorized to automatically transfer the units in their

pool/beneficiary/other account without my consent.

12. In case the securities or fund that may have been

delivered/credited/transferred to my DP account

erroneously or those securities or fund that I was not

entitled to receive, then MOSL is authorized to instruct the

DP to reverse such transactions without obtaining any

authorization from me.

13. I understand that on production of adequate proof by me you

will return to me the security/(ies) or funds that may have

been erroneously credited/transferred to your account which

youarenotentitled to receive frommeorus.

14. The demat account details of MOSL where shares can be

transferred for above purpose is mentioned below

AND I/We hereby agree that MOSL shall exercise such powers

and authorities conferred under the above Power of Attorney

pursuant only to the instructions in that behalf given by me/us or

my/our Authorised Representative, which may be given orally,

over the telephone, through the internet, electronically or in any

other manner acceptable to MOSL and such instructions shall

be deemed to have been given by me/us and shall not be

questioned by me/us and shall be conclusive and binding on

me/us.

AND I /We hereby agree that all such acts done by my/our above

mentioned attorney shall be deemed to be acts done by me/us

and if necessary shall be ratified by me/us on the instructions of

the said attorney.

I/We do hereby confirm and declare that this Power of Attorney

shall be valid, effective, operative and shall remain in force till the

same is revoked by me/us. Further, I/We hereby confirm that

such revocation shall not affect my/our obligations outstanding

at the time such revocation and the authority granted hereunder

shall continue until all transactions and instructions already

executed or issued in pursuance of this Power of Attorney and

all outstanding towards Motilal Oswal Securities Limited have

been settled.

I/We hereby agree that any dispute arising out of all trades,

transactions and contracts will be settled under the Bye-Laws,

Rules and Regulations of the concerned Stock Exchanges

where the trades have been executed and depository related

issues under the bye Laws of the concerned Depository, where

the concerned beneficial owner demat account is held.

And generally my said attorney shall have the power to do all

such acts, deeds and things on my behalf and I could have

lawfully done, if personally present.

AND I do hereby for myself, my heirs, executors, administrators

of acts done and legal representatives ratify and confirm and

agree to ratify and by attorney confirm all and whatsoever my

said attorney or his substitute or substitutes shall lawfully do or

cause to be done by virtue of these presents.

MADE at Mumbai on this ___________ day of _______ 20____

IN WITNESS WHEREOF I/We have hereunto set and

subscribed my/our respective hands to these presents the day

and the year herein above written.

Account Number

1201090000000101 IN301862-10000022 1100001000012619

1201090000003024 IN301862-10000006 1100001100015975

1201090000252528 1201090000252513 1201090000000116

1201090005053147 IN301862-10004136 1100002800000205

1201090004948997 1201090005065053

Version 1.8.1


. .

To,

Motilal Oswal Securities Limited,

2nd Floor, Palm Spring Centre, Palm Court Complex,

New Link Road, Malad (West), Mumbai – 400 064

I/We, ______________________________________, hereby declare that the Mobile no._______________________________

belongs to me/us. The above mobile no. is a prepaid mobile no./ post paid mobile no (Please tick). However, I/We am unable to

furnish any proof evidencing that the above mobile no. belongs to me.

I/We request you to send all the Trade Confirmations / Margin calls and other communication through SMS on the said mobile

number.

Thanking you,

Date:

Declaration of Mobile Number

VOLUNTARY DOCUMENT

(If mobile bill is submitted for mobile number confirmation, client signature is not required on below declaration)

Client Code Name Signature

16

-


17 Version 1.8.1


Family Declaration – Email/ Mobile Updation in Family Codes

To, Date:


2nd Floor, Palm Spring Centre, Palm Court Complex,

New Link Road, Malad (West), Mumbai - 400064

I and my family members hereby request that mobile number______________ and email id bearing ________________________ ,belonging to undersigned shall be considered in your records for the purpose of receiving communication from you or StockExchanges with regard to details of trading transactions executed through you.

Thus, any communication relating to our trading and demat account should be sent to the above mentioned mobile number and e-mailid. This facility shall be executed to us as an exception, for our convenience of receiving transaction details at a single mobile numberand e-mail id. I understand that for the purpose of availing the above facility “family” means self, spouse, dependent children anddependent parents.

( If family members are more than four, kindly provide details in separate sheet.)

Further, I hereby disclose that the following are my family members having an account with Motilal Oswal Securities Ltd. Details oftheir name together with their client code is provided hereunder :

( If family members are more than four, kindly provide details in separate sheet.)

The above details shall be deemed valid till any change is requested under the modification process.

Dear Sir/Madam,

Subject : i) Details of mobile number and email-id.

ii) Family Declaration

Sr. No.

1.

2.

3.

4.

Client Name Client Code Relationship with Undersigned Signature

Sr. No.

1.

2.

3.

4.

Client Name Client Code Relationship with Undersigned Signature

Client Code Name Signature

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Place: ____________________________

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-

-

-

-

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VOLUNTARY DOCUMENTVOLUNTARY DOCUMENT

FOR OFFICE USE ONLY

UCC Code allotted to the Client:

Nomination Details: Registration No. :

Registered Date

1. A) Client Interviewed by

B) In person verification done by

(Original Verified) True Copy of documents received

(Self - Attested) Self Certified documents copies received

2. Document Verified with original


Place

Date

For Motilal Oswal Securities Limited

Authorised Signatory

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 acopy of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-mandatorydocuments would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDDwould be made available on my/our website, if any, for the information of the clients.








Version 1.8.1


Inte

ntion

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eft b

lank

I/We hereby acknowledge the receipt of a copy of executed Client Registration Form alongwith KYC details, Tariffsheet,

Rights & Obligation Document.

DECLARATION

DP ID : _________________

To,Motilal Oswal Securities Ltd2 Floor, Palm Spring Centre, Palm Court Complex,New Link Road, Malad (West), Mumbai - 400 064

nd

.

Signature

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

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I/We have received and read the copy of DP Rights and Obligations document.

Documents

INDEX OF DOCUMENTS - Motilal · PDF fileINDEX OF DOCUMENTS Sr. No. ... It should have Bank Manager's Stamp & Sign, if original ... Individual Margin Trading A/c (MANTRA)