INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM ( FOR

INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM ( FOR INDIVIDUAL)A. IMPORTANT POINTS:

1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list.

3. If any proof of identity or address is in a foreign language, then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

10.For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc.

B. Proof of Identity (POI): - List of documents admissible as Proof of Identity:

1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2. PAN card with photograph.

3. Identity card/ document with applicant’s 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, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

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 submission.)

1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy.

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.

3. Bank Account Statement/Passbook -- Not more than 3 months old.

4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.

5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

6. Identity card/document with address, 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 and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken.

8. The proof of address in the name of the spouse may be accepted.

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D. Exemptions/clarifications to PAN

(*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

2. Investors residing in the state of Sikkim.

3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

4. SIP of Mutual Funds upto Rs 50, 000/- p.a.

5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

E. List of people authorized to attest the documents:

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

F. Additional documents in case of trading in derivatives segments - illustrative list:

Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating Self declaration with relevant supporting documents.

ownership of assets.

*In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.

G. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code and IFSC Code of the bank should be submitted.

H. Demat master or recent holding statement issued by DP bearing name of the client.

I. For individuals:

a. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub-broker’s office.

b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’ verification. Further, considering the infeasibility of carrying out ‘In-person’ verification of the non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted.

J. Minor

1) PAN card of minor as well as guardian is Mandatory.

2) Proof of address and identity documents of the Guardian(as per Individual check list ) both Minor and guardian's

photographs and Guardian to sign across both Photographs.

1) Date of Birth Certificate duly notarizes.

2) Bank Details of Minor with valid proof per Individual's Check list

3) MINOR Stamp required to be affixed wherever the guardian signs on the agreement/KYC

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K. HUF (In individual form for Opening Demat account )

1) PAN CARD of HUF and Karta's is Mandatory.

2) Identity proof of the Karta and address proof to the karta.(as per INDIVIDUAL Check list).

3) Photocopy of cheque leaf of bank account number mentioned on the form to verify the bank MICR No.

4) Bank Details of HUF with valid proof as per Individual's Check list.

5) HUF Declaration is Mandatory

6) HUF Bank Details and valid proof as per Individual's Check list

7) HUF Stamp required to be affixed wherever the Karta signs on the agreement/KYC

L. NRI

I. PAN Card is Mandatory

II. Proof of Identity (copy of passport/driving license).

III. Bank account details with valid proof as per Individual's check list.

IV. Power of Attorney, if any.

V. A declaration duly signed by the NRI that he/she has complied with, and will continue to comply with, FEMA

regulations and other applicable laws.

VI.Proof of foreign address and Indian address (if any). [In the case of an NRI A/c without repatriation, proof of Indian

address has to be given]. In case of foreign address, the address containing Post Office Box Number (P.O. Box. No.)

may be accepted as valid address provided such P.O. Box No. is mentioned in the valid proof of address documents.

The address with P.O. Box No. may be accepted as Permanent and/or Correspondence address. In such cases,

additionally the DPs shall obtain the complete residential address of the NRI BO, under declaration at the time of

opening of the account. Such BO shall give an undertaking that whenever there is a change in the residential

address, the BO shall inform the DP.

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In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity Documentary requirements

Corporate ● Copy of the balance sheets for the last 2 financial years (to be submitted every year).

Copy of latest share holding pattern including list of all those holding control, either directly or

indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).

● Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day

to day operations.

● Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.

● Copies of the Memorandum and Articles of Association and certificate of incorporation.

● Copy of the Board Resolution for investment in securities market.

● Authorised signatories list with specimen signatures.

Partnership firm ● Copy of the balance sheets for the last 2 financial years (to be submitted every year).

● Certificate of registration (for registered partnership firms only).

● Copy of partnership deed. ● Declaration of LLP. (in case of LLP account)

● Authorised signatories list with specimen signatures.

● Photograph, POI, POA, PAN of Partners.

Trust ● Copy of the balance sheets for the last 2 financial years (to be submitted every year).

● Certificate of registration (for registered trust only).

● Copy of Trust deed.

● List of trustees certified by managing trustees/CA.

HUF ● Photograph, POI, POA, PAN of Trustees.

(In non-individual ● PAN of HUF.

Form for opening trading ● Deed of declaration of HUF/ List of coparceners.

account) ● Bank pass-book/bank statement in the name of HUF.

● Photograph, POI, POA, PAN of Karta.

Unincorporated ● Proof of Existence/Constitution document.

association or a ● Resolution of the managing body & Power of Attorney granted to transact business on its behalf.

body of individuals ● Authorized signatories list with specimen signatures.

Banks/Institutional ● Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years.

Investors ● Authorized signatories list with specimen signatures.

Foreign ● Copy of SEBI registration certificate.

Institutional ● Authorized signatories list with specimen signatures.

Investors (FII)

Army/ Government ● Self-certification on letterhead.

Bodies ● Authorized signatories list with specimen signatures.

Registered Society ● Copy of Registration Certificate under Societies Registration Act.

● List of Managing Committee members.

● Committee resolution for persons authorised to act as authorised signatories with specimen

signatures.

● True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.

Note :a. Form need to be initialized by all the authorized signatories.b. Copy of board resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of Company/firm/others and their specimen signatures.

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INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM ( FOR NON - INDIVIDUALS)

I/We request you to open a Demat and Trading Account in My/Our name as per the following details :

Application No. Date

DP Internal Reference No.

(To be filled by the Application in BLOCK LETTER in English)

DP ID 1 2 0 2 5 7 0 0 Client ID

D D M M Y Y Y Y

(To Be Filled By The Depository Participant)

APPLICATION FORM FOR OPENING NSEL - COMMODITY DEMAT ACCOUNT

Client Trading Code

Individual / HUF Non-Individual

Shilpa Stock Broker Pvt. Ltd.rd

Corp. Off.: 3 floor, Tamrind House, Tamrind Lane, Fort, Mumbai 400 001.

Tel. : 4032 4300 Fax : 3028 4340stRegd. Off.: Natwar Chamber, 1 Floor, 94, Nagindas Master Road, Fort, Mumbai 400 001.

Tel.: 4032 4300 Fax : 2262 3957 Email: : Website: www.ssbpl.net

[email protected]

S.No.

NSEL Membership Number : 13760 DPID : 12025700

Name of Father / Husband

Name of the Company / Firm

Date of Birth / Incorporation

Permanent address:

City

Pin State Country

Tel Fax

E-mail

Date of commencement of business : D D M M Y Y Y Y D D M M Y Y Y Y

Name of Individual

Gender: Male/ Female Title Mr. Mrs. Ms. Other Suffix

Marital Status : Married Single

Correspondence Address:

City

Pin State Country

Tel Mobile Fax

E-mail

Occupation Service Cent. Govt. State Govt. Public/private Sector Ngo Statutory Body

Business Professional Student Retired Housewife Others (specify):

Nature of Business

Nationality Indian Others (specify)

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

PAN Account Number

FINANCIAL DETAILS:

Income Range (Per Annum) : (Tick Where applicable)Below Rs. 1,00,000 Rs. 1,00,000 to Rs. 2,00,000 Rs. 2,00,001 to Rs. 5,00,000 More than Rs. 5,00,000

Sole / First Holder Details

Client’s Signature 2/19st1 Holder nd2 Holder rd3 Holder

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JOINT HOLDERS - THIRD HOLDERS DETAILS

First Name Middle Name Last Name

Date Of Birth Pan (compulsory)

Address

City

State Country

Pin Tel. No. Fax No.

Mobile No. E- Mail Id



Nature of Business (Product/Services Provided)

Father / Husband Name

FINANCIAL DETAILS:

D D M M Y Y Y Y

JOINT HOLDERS - SECOND HOLDERS DETAILS


Marital Status : Married Single Nationality Indian Others (specify)

Income Range (Per Annum) : (Tick Where applicable)Below Rs. 1,00,000 Rs. 1,00,000 to Rs. 2,00,000

Rs. 2,00,001 to Rs. 5,00,000 More than Rs. 5,00,000

First Name Middle Name Last Name

Date Of Birth Pan (compulsory)

Address

City

State Country

Pin Tel. No. Fax No.

Mobile No. E- Mail Id



Father / Husband Name

Nature of Business (Product/Services Provided)

D D M M Y Y Y Y


Marital Status : Married Single Nationality Indian Others (specify)

Income Range (Per Annum) : (Tick Where applicable)Below Rs. 1,00,000 Rs. 1,00,000 to Rs. 2,00,000

Rs. 2,00,001 to Rs. 5,00,000 More than Rs. 5,00,000

FINANCIAL DETAILS:

Client’s Signaturest1 Holder nd2 Holder rd3 Holder

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Clearing Member Details (to be filled by CMS only) : (For Non-Individual)

Name of Stock Exchange

Trading Member Id

Name of CC / CH

Clearing Member Id

4/19

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Do you wish to receive dividend / interest directly into your 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]

PAN

Details of Guardian (In case the account holder is minor) (For Individual)

Guardian’s name

Relationship with the applicant

Yes No

I/We instruct the DP to receive each and every credit in my/our account. [Automatic Credit] (If not marked, the default option would be ‘YES’) Yes No

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

I / We request you to send Electronic Transaction-cum-Holding Statement at Email ID

Yes No

Sub - Status

To be filled by the DP

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

SEBI Registration No. (If Applicable) SEBI Registration date

ROC Registration No. (If applicable) ROC Registration date

RBI Registration No. (If applicable) RBI Approval date

Nationality : Indian Others (Specify)

Status (For Non - Individual)

Body Corporate Banks Trust Mutual Fund OCB FII

CM FI Clearing House Other (specify)

Individual

Foreign National

NRI

Individual Resident Individual-DirectorIndividual Director’s Relative Individual HUF / AOPIndividual Promoter Others (specify)Individual Margin Trading A/C (MANTRA)NRI Repatriable NRI Non-RepatriableNRI Repatriable Promoter NRI Non-Repatriable PromoterNRI - Depository Receipts Others (specify)

Sub - StatusStatus (For Individual)

Type of Account (Please tick whichever is applicable)

Foreign National Foreign National - Depository Receipts Others (specify)


(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued,(or)(ii) Photocopy of the bank Statement having name and address of the BO and not more than 4 months old,(or)(iii)Photocopy of the Passbook having name address of the BO.(Or),(iv)Letter from the bank. *In case of option (ii),(iii) and (iv) above ,MICR code of the branch should be present / mentioned on the document and it should be self - certified by the BO.

City State Country Pin Code

Account No. Account Type : Saving Current Others (specify)

Bank Code (9 digit MICR code)

IFS Code (11 character)

Bank Name

Bank addressBranch

BANK ACCOUNT DETAILS ( Dividend Bank Details )

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DECLARATION

1. I/We have read the terms and conditions DP-BO agreement (DP-CM agreement for BSE Clearing member Accounts)including the schedules thereto and the terms & conditions & agree to abide by and be bound by the same and by the Bye Laws as are in force from time to times. I/We declare that the particulars given by me/us above are true and the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details/Particulars mentioned by me/us in this form. I/We further agree that any false/misleading information given by me/us or suppression of any material information will rendered my account liable f or termination and suitable action.

FIRST HOLDERDIRECTOR/

TRUSTEE/KARTA

PASSPORT SIZEPHOTOGRPAH

ONLY(please sign across thephotograph in black ink)

/ SECOND HOLDERDIRECTOR/

TRUSTEE/KARTA



/ THIRD HOLDERDIRECTOR/

TRUSTEE/KARTA



/

(Signature should be preferably in black ink) (In case of minor holder, photograph of guardian has to be affixed along with minor’s photograph

Designation

Signature 7/19

For Corporate Only For Corporate Only For Corporate Only

Name

Second HolderFirst/ Sole Holder or Guardian (in case of Minor)

Thirdt Holder

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Name of the Sole / First Holder

Application No. Date :ACKNOWLEDGEMENT RECEIPT

We hereby acknowledge the receipt of the Account Opening Application Form:

Name Of the Second Joint Holder

Name of the Third Joint Holder

For SHILPA STOCK BROKER PVT. LTD.

Authorised Signatory

D D M M Y Y Y Y

Tear from here

??????????????????MOBILE NO. : +91

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

Easi

(if POA is not granted & you do not wish to avail of this facility, cancel this option)

[(Mandatory, if you are giving Power of Attorney (POA)]

Name *

* In case of firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., should be mentioned above.

/ /ON

:_______________________________

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 Sole Holers, I/We appoint following person to act as Guardian :

Full Name of the Guardian of Nominee

State

Pin

City

Country

Telephone No.

E-mail ID

Signature of Guardian

Address

NOMINATION DETAILS (Mandatory For Trading and Demat Account)

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 demat account :

[Strike out what is not applicable.] [Signature of all account holders should be obtained on this form.]

?? I/We nominate the following person who is entitled to receive security balances lying in my/our account

particulars whereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

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 demat account :

[Strike out what is not applicable.] [Signature of all account holders should be obtained on this form.]

?? I/We nominate the following person who is entitled to receive security balances lying in my/our account

particulars whereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

Name of the nominee

PAN of Nominee

Address

Date of Birth (if nominee is a minor)

D D M M Y Y Y Y

State

Pin

Fax No.

Relationship with BO (if any)

City

Country

Telephone No.

E-mail ID

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Note : Two witnesses shall attest signature (s) Thumb Impression(s)

First Witness Second WitnessDetails of the witness

Name of witness

Address of witness

This nomination shall supersede any prior nomination made by me/us and also any testamentary document executed by me/us.

Fax No.

Relationship with BO (if any)

Signature of witness

Tear from here

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DP-BO Agreement - NSEL


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AGREEMENT BETWEEN THE DP [entity of such statements at shorter intervals. However, if there is registered as DP of Central Depository Services (India) no transaction in the account, then the DP shall provide such Limited ("CDSL") AND THE BO (person seeking to statement to the BO atleast once a quarter.open a depository account with the DP) FOR THE 6) The DP undertakes to resolve all legitimate grievances of PURPOSE OF HOLDING AND TRANSACTING the BO against the DP within a period of thirty days.IN ELECTRONIC WAREHOUSE RECEIPTS.

7) The BO agrees to operate this beneficial owner account This agreement made and entered into this for the sole purpose of holding and transacting in electronic ______________day of _______ between warehouse receipts and shall be solely responsible for costs ______________________________situated and consequences of receiving credit of any other securities at_____________________________ (hereinafter into this account in the event of such credit being made called the "BO") and Shilpa Stock Broker Pvt Ltd. owing to instructions issued by the BO. The DP may levy rdHaving its corp. office at 3 floor 'B' Wing, Tamrind special charges to transfer such securities out of this house, Tamrind lane, Fort, Mumbai 400001., And account, in addition to the charges listed in schedule 'A'.

stProcessing office at 101-104, 1floor, 7, Mangoe lane, However, if the BO gets any erroneous credit of Kolkatta – 7000 001. (hereinafter called the "DP" or securities/WRs in this account, he will assist the DP in "DP"). restoring the securities into the account from which the

securities were received in the BOs account at no cost to the WitnessethBO.

WHEREAS the DP is registered as a participant in the 8) The BO may seek delivery of the commodity represented Central Depository Services (India) Limited. by electronic warehouse receipt from the warehouse that ("CDSL"), a duly registered depository under the has issued the electronic warehouse receipt. The BO Depositories Act, 1996.acknowledges that neither the DP nor CDSL shall be

WHEREAS the BO has furnished to the DP the duly responsible for delivery of the commodities against the

filled in application form as prescribed by CDSL electronic warehouse receipts, whether on grounds of

requesting therein the DP to open an account with the quantity, quality, timeliness of delivery or otherwise. The

DP; and DP has represented to the BO that it has set up a BO hereby indemnifies and agrees to keep indemnified and

facility to extend depository services offered by CDSL hold the DP and CDSL harmless from and against any loss,

to warehouse receipts.claim, damage, injury or other cost and expense relating to

NOW THEREFORE in consideration of the DP delivery of the commodity underlying the warehouse having agreed to open an account for the BO, both the receipt.parties to the agreement hereby covenant and agree as

9) The charges related to the warehousing service shall be follows:

settled in accordance with the arrangement agreed to by the 1) The BO shall pay such charges to the DP for the BO, DP and warehouse without any recourse to CDSL.purpose of opening and maintaining his account, for

10) On the failure of the BO to pay the charges for provision carrying out the instructions of the BO and for

of services by the DP as laid out in clause (1) of this rendering such other services as may be agreed to from

agreement within a period of fifteen days from the date of time to time between the DP and the BO as set out in

demand, DP may terminate this agreement and close the Schedule A. The DP shall reserve the right to revise the

account of the BO by requiring it to specify whether the charges by giving not less than thirty days notice in

balances in its account be transferred to the account of the writing to the BO. DP shall not levy account closure

BO held with another DP or send a delivery advise to related charges if BO chooses to close the account.

warehouse.2) The DP hereby undertakes that it shall maintain a

11) The BO further agrees that in the event of the BO separate account of its own warehouse receipts, if any,

committing a default in the payment of any of the amounts held in dematerialised form and shall not co-mingle the

due and owing to the DP in terms of this Agreement within a same with the warehouse receipts held in

period of fifteen days from the date of demand, without dematerialised form by the BO.

prejudice to the right of the DP to close the account of the 3) The DP undertakes that a transfer to and from the BO, the DP may charge interest at a rate not exceeding 15%. accounts of the BO shall be made only on the basis of a In case the BO has failed to make the payment of any such written order, instruction, direction or mandate duly amount, the DP shall have the right to discontinue the authorised by the BO and that the DP shall maintain Depository services till such time he makes the payment adequate audit trail of such authorization. along with interest, if any, after giving two days notice to the

BO. If the BO does not make the payment for more than 4) The DP agrees that the BO may give written standing two months, DP may sell the commodities represented instructions with regard to the debiting or crediting of by the warehouse receipts to recover the amount due to electronic warehouse receipts in its account and the DP it after giving 7 days notice to the BO. The DP shall be shall act according to such instructions.deemed to have always had a first charge and lien over

5) The DP undertakes to provide a transaction the warehouse receipts in the account of the BO towards statement to the BO atleast at monthly intervals unless recovery of amounts due under this Agreement.the DP and the BO have agreed in writing for provision

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12) The DP shall have the right to terminate this submitted to the DP at the time of opening the account or agreement, for any reasons whatsoever, provided the furnished to the DP from time to time.DP has given a notice in writing of not less than thirty 16) The DP shall have a right to provide such information days to the BO. In such an event, the BO shall specify related to the BO's account as may be requested by the whether the balances in its account should be National Securities Depository Limited from time to time.transferred to another account of the BO held with

17) The DP shall not be liable to the BO in any manner another DP or it will seek delivery of commodities towards losses, liabilities and expenses arising from the against the electronic warehouse receipts held. Based claims of third parties and from taxes and other governmental on the instructions of the BO, the DP shall initiate the charges in respect of electronic warehouse receipts credited procedure for transferring such electronic warehouse to BO's account.receipts or send a delivery advice against electronic

warehouse receipts within a period of three days. The 18) DP shall discharge all its obligations to the BO as BO shall have the right to terminate this agreement and provided by SEBI / any other regulatory authority and / close his account held with the DP, provided no charges or those guidelines / instructions issued by CDSL from are payable by him to the DP. Provided further,

time to time and in force at the time of entering into this termination of this agreement shall not affect the rights,

Agreement and as may be amended as if such BO were a liabilities and obligations of either party accruing prior beneficial owner of securities in terms of the aforesaid to termination and shall continue to bind the parties to laws, and shall maintain the same standard of service their satisfactory completion.provided such obligations are not in contravention of

13) In the event of DP being suspended or terminated by the terms and conditions of this agreement.CDSL/SEBI in terms of bye Laws/Operating

Instructions of CDSL or SEBI (Depositories & 19) All claims, differences and disputes between DPs Participants) Regulations, 1996, DP/CDSL may give a and BOs arising out of or in relation to dealings on the notice of not less than 30 days of such CDSL Depository including any agreements, contracts suspension/termination to the BO. In such an event, the and transactions made subject to this agreement or with BO shall specify whether the balances in its account reference to anything incidental thereto or in pursuance should be transferred to another account of the BO held

thereof or relating to their validity, construction, with another DP or if it will seek delivery of

interpretation, fulfillment or the rights, obligations and commodities against the electronic warehouse receipts liabilities of the parties thereto and including any held. Based on the instructions of the BO, the DP shall question of whether such dealings, transactions, initiate the procedure for transferring such electronic agreements and contracts have been entered into or not, warehouse receipts or send a delivery advise against

electronic warehouse receipts within a period of three shall be referred to arbitration in accordance to and days. subject to the provisions of the Arbitration and

Conciliation Act, 1996. The arbitration mechanism 14) The BO shall have the right to create a pledge of the prescribed under the CDSL Bye-Laws, Operating electronic warehouse receipts held in the dematerialised

form. The BO may exercise the right to freeze his instructions for disputes between DP and BOs in account maintained with the DP so as to lock the securities transactions shall be applicable to disputes electronic warehouse receipts held with the DP. The BO arising out of and in connection with this Agreement, as may exercise the right to un-freeze his account if the same have been incorporated hereinbelow and maintained with the DP. Such freezing and un-freezing formed part of this Agreement.of the account shall be in accordance with the procedure IN WITNESS WHEREOF the BO and the DP has prescribed in this regard by CDSL.

caused these presents to be executed as of the day and 15) The BO shall notify the DP within seven days, of year first above written.any change in the details set out in the application form

Signed and delivered by Client

In the presence of witness :

Name : ____________________________ Signature: _____________________________

Signed and delivered by DPFor SHILPA STOCK BROKER PVT.LTD.

Authorised Signatory

In the presence of witness

Name : ________________________________

Signature: _____________________________

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POWER OF ATTORNEYTo all to whom these presents shall come I/We , (name of the beneficial owner/s), residing at/having its registered office at , send greetings.

SSBPL.

WHEREAS SSBPL, herein after called 'SHILPA STOCK BROKER PVT. LTD' is a Depository Participant (DP) with Central

Depository Services (India) Ltd.(CDSL) having DP Id 12025700, for providing depository services, with respect to commodities

demat a/c, to investors;

WHEREAS 'SHIKAGO TRADE PVT. LTD'(Sister concern of SSBPL)is a member of National Spot Exchange Ltd (NSEL) having Member ID - or offering execution services in Commodities & commodity derivatives .

WHEREAS I/ We am/are availing/desirous of availing facilities offered by SHIKAGO TRADE PVT. LTD for trading in Commodities & Commodity Derivatives. My trading account number is ___________________

WHEREAS I/we have opened and am/are operating beneficial owner (BO) accountNo(s). 12025700 ___________. with SHILPA STOCK BROKER PVT. LTD, Depository Participant with CDSL or whereas I/ we want to open beneficial owner (BO) account with SHILPA STOCK BROKER PVT. LTD

WHEREAS due to shortage of time & for my/our convenience & in order to facilitate the proper execution of all transactions undertaken by me/us in pursuant to agreement entered with SHILPA STOCK BROKER PVT. LTD, I/We want to appoint SSBPL as my/our true and lawful attorneys to operate my/our beneficial owner (BO) account(s) in the manner and to the extent specified herein under.

NOW KNOW YOU ALL AND THESE PRESENT WITNESSES that I/We do hereby appoint and constitute the said SHILPA STOCK BROKER PVT. LTD, a company incorporated under the Companies act,1956 having

acting through any of its officer(s), as my/our true and Lawful attorneys, hereinafter referred to as 'attorneys' for me/us, in my/our name and on my/our behalf and at my/our risk and costs to do, perform or execute all or any of the acts, deeds, matters and things herein below specified:

1. To operate and maintain my/our BO account being held with SSBPL. Depository Participant with CDSL for the purpose of execution of my/our sale and or towards any monies, fees and or any other obligation(s) to SSBPL. The account numbers being NSEL CM Pool account 12025700 (CDSL) and IN001125 21205599 (NSDL CM Pool Account).

2. To credit the designated beneficiary account (BO) with commodities due to me/us.

3. To issue instructions to the said Depository Participant for transfer, pledge, lending, borrowing and or any other service/facility that may be extended by SSBPL from time to time in respect of the commodities

held in the said BO account(s).

4. To sell or otherwise deal with or dispose of and to purchase or otherwise acquire in any manner and accept the transfers of commodities/other instruments of like nature which shall or may at any time belong to me/us or which hereafter be transferred to me/us, whether solely or jointly and whether in my/our own right or having any other interest of whatsoever nature and however arising and in any capacity whatsoever including those belonging to others with my/our name and for such purposes to sign, execute or endorse all instruments of transfer and other documents for any purpose what so ever by the virtue of these present.

13760 f

ts corporate office at 3rd floor, Tamrind House, Tamrind Lane, Fort, Mumbai - 400 001.

To return to me/us, the commodities that may have been received by the stock broker erroneously or those commodities that the stock broker was not entitled to receive from me/us.I/We further agree and confirm that the powers and authorities conferred by this Power Of Attorney shall continue until it is revoked (without notice) in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received by

and other instruments/holdings of similar nature

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Hol

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st1 Holder nd2 Holderrd3 Holder

Signed and delivered by Client

In the presence of witness : We Accept

Name & sign of First witness:______________________________

Name & sign of Second witness:___________________________ For Shilpa Stock Broker Pvt. Ltd

Details of Promoters/ Partners/ karta/ trustees and whole time directors forming a part of KYC Application

Name of Applicant____________________________________________ PAN of the Applicant

PAN NameDIN (for Directors)/ Uid (For Others)

Residential/ resgistered 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

Sr. No

PEP : Politically Exposed Person RPEP : Related to Politically exposed Person

Name of the Authorised Person_________________________________________

Signature __________________________________________

Date / / D D M M

APPLICATION FOR NON-INDIVIDUAL

13

DECLARATION FOR HUF

To,

Shilpa Stock Broker Pvt. Ltd,B-wing, 3rd floor, Tamrind house,Tamrind Lane, Fort,Mumbai : 400001.

Respected Sir/ Madam,

I declare that the undersigned______________________ is the Karta of __________________________________. The HUF consist of the followingMembers.

Sr No. Name Relationship Gender Date Of Birth Age

As and when there is any addition or deletion in the membership of this HUF we shall intimate the same to you.

Yours Faithfully,

For_________________________________________H.U.F.

___________________________________________Karta.(Please affix the seal of HUF)

Client’s Signature 18/19

14

Indv - Rs.499+S.T (Life time AMC)

CHARGES FOR THE DEPOSITORY SERVICES FOR NSELI/We Agree to pay the charges as per following charge structure for our Demat with SSBPL effective

______________________(dd/mm/yyyy).

BO ID : 12025700________________ Form No:______________

Charge Head Charges

Account Opening NIL

Account Opening KIT+Stamp Duty 150/-

Account Closing NIL

Account Maintenance Charges

Corp - Rs.999+S.T (Life time AMC)

Debit Transaction Charges

Market/Off Market/inter depository Transactions

Rs.50+0.01% on value of transaction

Rematerialization Charges Rs.100+S.T per Certificate

Pledge Charges Creation /Closure/and Confirmation

/Invocation of Both

20+S.T Per Request

Failed Transaction NIL

Note :

1. In case of delays in the payment of charges , the demat account will be frozen for all operations till such

time all dues are cleared subject to 30days notice from the payment due date.

2. Annual Maintenance Charges are non –refundable.

3. In case of delays in the payment of charges, the demat account will be frozen for all operation till such

time dues are cleared subject to 30days notice from the payment due date.

4. All charges would attract the service tax/cess/levies and/or other such taxes as applicable from time to

time.5. Warehouse, Registrar and any other charges levied on SSBPL would be recovered on actual basis.

6. Any other charges levied by depository/ warehouse.

7. Any Advance payment over and above the normal amount due can also be made.any such higher amount

paid than the minimum amount payable shall be adjusted against the bills raised from time to time.


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