KNA SHARE BROKERS PVT. LTD. · E)List of State / U.T. code as per Indian Motor Vehicle Act, 1988 may be obtained from our office. F) List of two character ISO 3166 country codes may

Acknowledgement Receipt

Received OPTION FORM FOR ISSUE / NON ISSUE OF DIS BOOKLET from :

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

Name of the Sole / First Holder

Name of Second joint Holder

Name of Third joint Holder

(To be filled by the Depository Participant)


Application No. : Date :

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

Name of the Sole / First Holder

Name of Second Holder

Name of Third Holder

For KNA SHARE BROKERS PVT. LTD.

Seal and Signature

Authorised Signatory


Received Nomination Form from :

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

Name

Address

Nomination in favour of

No Nomination Does not wish to nominate

Registration No. Registered on D D M M Y Y Y Y


Seal and Signature



Seal and Signature


KNA SHARE BROKERS PVT. LTD.Regd. Office : 405, Todi Chambers, 2, Lalbazar Street, Kolkata - 700 001

Phone : (033) 2230-1216/1136, Fax : (033) 2248-4164E.mail : [email protected], Website : www.knasharebroker.com

CIN : U67120WB2004PTC098245Investors’ Complaints Redressal E.mail : [email protected]

DP ID : 12071200 SEBI REGN. NO. : IN-DP-228-2016

ACCOUNT OPENING KIT

Name of Stock Broker / Trading Member / Clearing Member (for NSE-F&O only) :KNA SHARE BROKERS PVT. LTD.

SEBI Regn. Nos. and Date : - NSE - INB231419335 Dt.04.05.2011- INF231419335 Dt.04.05.2011- INE231419335 Dt.06.05.2011

- BSE - INB011419331 Dt.23.11.2010- INF011419331 Dt.23.11.2010

- MSEI - INB261419338 Dt.10.12.2012- INF261419338 Dt.10.12.2012- INE261419338 Dt.10.12.2012

- CDSL - IN-DP-228-2016, DP ID : 12071200

Registered & Correspondence Office address :405, Todi Chambers, 2, Lalbazar Street, Kolkata - 700 001Phone : (033) 2230-1216 / 1136, Fax : (033) 22484164E.mail : [email protected], Website : www.knasharebroker.comCIN : U67120WB2004PTC098245

Name of Clearing Member : GLOBE CAPITAL MARKET LIMITED(For NSE-Currency, BSE-F&O, BSE-Currency, MSEI-F&O and MSEI-Currency Segments)

SEBI Regn. Nos. and Date : - NSE - INE230663732 Dt.27.08.2008- BSE - INF010663731 Dt.24.05.2007

- INE010663731 Dt.25.09.2008- MSEI - INF260663738 Dt.28.12.2012

- INE260663732 Dt.29.09.2008

Registered & Correspondence Office address :609, Ansal Bhawan, 16, K. G. MargConnaught Place, New Delhi - 110 001Phone : 3041-2400, Fax : (011) 2372-0880E.mail : [email protected], Website : www.globecapital.com

Compliance Officer Name, Phone No. & email ID :Navin Agarwal, (033) 2230-1136, [email protected]

CEO Name, Phone No. & email ID :Navin Agarwal, (033) 2230-1136, [email protected]

For any grievance/dispute, please contact KNA SHARE BROKERS PVT. LTD. at the above address or email id :[email protected] and Phone No. : 2230-1216. In case not satisfied with the response, please contact theconcerned exchange(s) at [email protected] and Phone No. (022) 2659-8190 for NSE, at [email protected] and PhoneNo. (022) 2272-8097 for BSE & at [email protected] and Phone No. (022) 6112-9000 (Ext. 9028) for MSEI.

Disclosure of Proprietary trading pursuance to SEBI Circular No. : SEBI/MRD/SE/Cir-42/2003 dated 19th Nov.,2003, NSE Circular No. : NSE/INVG/PRE/2003/16 dated 25th Nov., 2003, BSE Notice No. 20031125-7 dated 25November, 2003 and MSEI Circulars & guidelines :

We, KNA SHARE BROKERS PVT. LTD., are also engaged in Proprietary trading apart from Client based business.

PAGE NOS.

KNA SHARE BROKERS PVT. LTD.

INDEX OF DOCUMENTS

S.NO. NAME OF THE DOCUMENT AND ITS BRIEF SIGNIFICANCE

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1. Account Opening Form

A. KYC form - Document captures the basic information about the constituent andan instruction/check list.

B. Document captures the additional information about the constituent relevantto trading account and an instruction/check list.

2. Policies and Procedures 23 - 24

Document describing significant policies and procedures of the stock broker.

3. Tariff sheet 25

Document detailing the rate/amount of brokerage and other charges levied on theclient for trading on the stock exchange(s).

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

4. Authority Letter & Miscellaneous Declaration by Client 26

The document deals with some voluntary declaration given by the client & alsoauthorises the member for operational convenience.)

5. Authority Letter for Running Account 27

The document deals with an option given to client to settle his obligations towardsfunds and securities on a running basis & settle the same at monthly/quarterly intervalat his discretion.

6. Mandate to issue documents in Electronic format 28

The documents deals with the clauses relating to issue of Contract Notes, daily marginstatement, quarterly statement in electronic format.

7. Letter of Understanding for Availing Internet Trading/Wireless Technology 29 - 32Based Trading Services

To be signed only if the client wishes to avail internet based trading facility

8. Declaration / Letter of Understanding by client 33

The document deals with some voluntary declaration given by the client & alsoauthorises the member for operational convenience.

9. Operational Instruction Letter 34

The document deals with some voluntary instructions given by the client & alsoauthorises the member for operational convenience.

10. Letter of Authority 35

The document deals with some authority given by the client & also authorises themember for operational convenience.

1 - 8

9 - 22

PAGE NOS.S.NO. NAME OF THE DOCUMENT AND ITS BRIEF SIGNIFICANCE

11. Consent Letter for E.mail and Mobile Alert Facility 36

As required under various Circulars of SEBI and Exchange(s)

12. Declaration by client in relation to PMLA, 2002 37

The document deals with other additional voluntary information to be provided bythe client in relation to prevention of Money Laundering Act, 2002.

FORMATS(Indicative formats to be used by different types of clients to be given at the time of registration.)

13. Format of Declaration in case of HUF Account 38

14. Format of Declaration to be given by Guardian (In Case of minor) 39

15. Format of Declaration by Sole Proprietorship 40

16. Declaration to be given by Partnership Firm 41

17. Format & Declaration of NRI Client Code Application 42

18. NRIs Special Terms & Conditions in Derivatives - Guidelines 43

19. Format of Board Resolution in case of Corporates 44

OTHERS

20. Annexure 2.4 45 - 47

Regarding Terms And Conditions for receiving SMS Alerts from CDSL

21. Annexure-2.6 48 - 49

Regarding Terms And Conditions for availing Transaction Using Secured Texting(TRUST) Service offered by CDSL

22. Common Registration Form for availing SMS Alert and /or TRUST facility 50

23. Option form for issue of DIS Booklet 51

24. Authority to debit the Demat Account Charges 52

25. Rate Sheet for Demat Accounts 53

26. DECLARATION OF ULTIMATE BENEFICIAL OWNERSHIP 54 - 55

27. FATCA/CRS Declaration Forms

- For Individual 56 - 57

- For Non-Individual 58 - 60

28. ANTI MONEY LAUNDERING/COMBATING FINANCING OF TERRORISM - LITERATURE 61 - 63

The document gives an overview of what is Money Laundering, its objectives, itseffects on economy and society, and local regulations to fight money laundering.

1

Important Instructions:

A) Fields marked with ‘*’ are mandatory fields.

B) Please fill the form in English and in BLOCK letters.

C) Please fill the date in DD-MM-YYYY format.

D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T. code as per Indian Motor Vehicle Act, 1988 may be obtained from our office.

F) List of two character ISO 3166 country codes may be obtained from our office.

G) KYC number of applicant is mandatory for update application.

H) For particular section update, please tick () in the box available before the section number and

strike off the sections not required to be updated.

2

KNA SHARE BROKERS PVT. LTD.IN0643

3

KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR INDIVIDUALS

Please fill this form in ENGLISH and in BLOCK LETTERS.

A. IDENTITY DETAILS

1. Name of the Applicant : _____________________________________________________________________

2. Father’s / Spouse Name : ____________________________________________________________________

3. a. Gender : Male Female

b. Marital Status : Single Married

c. Date of Birth : ______________________________(dd/mm/yyyy)

4. a. Nationality : ______________________________

b. Status : Resident Individual Non Resident Foreign National

5. a. PAN : _______________________________________________________________________

b. Aadhaar Number, if any :________________________________________________________________

6. Specify the proof of Identity submitted : ______________________________________________________

B. ADDRESS DETAILS

1. Residence Address : _______________________________________________________________________

_______________________________________________________________________________________

City/town/village : _____________________________ Pin Code : __________________________________

State : ______________________________________ Country : ___________________________________

2. Contact Details : Tel. (Off.)______________________ Tel. (Res.)__________________________________

Mobile No. : __________________________________ Fax : ______________________________________

Email id : _______________________________________________________________________________

3. Specify the proof of address submitted for residence address :_____________________________________

4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant) :

_______________________________________________________________________________________

_______________________________________________________________________________________


State : ______________________________________ Country : ___________________________________

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and Iundertake to inform you of any changes therein, immediately. In case any of the above information is found to be false oruntrue or misleading or misrepresenting, I am aware that I may be held liable for it.

_____________________________Signature of the Applicant Date : ______________________ (dd/mm/yyyy)

FOR OFFICE USE ONLY

Originals verified and Self Attested Document copies received

________________________________________Name & Signature of the Authorised Signatory

Date : ________________________ Seal/Stamp of the intermediary

PHOTOGRAPH

Please affix yourrecent passportsize photograph

and sign across it

MANDATORY

4

IN PERSON VERIFICATION (IPV) DETAILS

Name of the person who has done the IPV : ________________________________________

Designation : ________________________________________

Employee ID : ________________________________________

Name of the Organization : ________________________________________

Date of lPV : ________________________________________

Signature of the person who has done the IPV : ________________________________________

Seal/Stamp of the intermediary : _________________________________________

MANDATORY

5

KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON-INDIVIDUALS

Please fill this form in ENGLISH and in BLOCK LETTERS.

A. IDENTITY DETAILS

1. Name of the Applicant : ___________________________________________________________________

2. Date of Incorporation : __________________(dd/mm/yyyy) & Place of Incorporation :__________________

3. Date of commencement of business : ______________________________________________(dd/mm/yyyy)

4. a. PAN : ___________________________________________________________

b. Registration No. (e.g. CIN) : ___________________________________________________________

5. Status (please tick any one) :

Private Limited Co. Public Ltd. Co. Body Corporate Partnership Trust Charities

NGO’s FI FII HUF AOP Bank Government Body Non-GovernmentOrganization Defence Establishment BOI Society LLP Others (please specify) ________

B. ADDRESS DETAILS

1. Address for correspondence : _______________________________________________________________

_______________________________________________________________________________________


State : ______________________________________ Country : ___________________________________

2. Contact Details : Tel. (Off.)______________________ Tel. (Res.)__________________________________

Mobile No. : __________________________________ Fax : ______________________________________

Email id : _______________________________________________________________________________

3. Specify the proof of address submitted for correspondence address :_______________________________

4. Registered Address (if different from above) : ____________________________________________________

_____________________________________________________________________________________


State : ______________________________________ Country : ___________________________________

C. OTHER DETAILS

1. Name, PAN, residential address and photographs of Promoters / Partners / Karta / Trustees and whole

time directors : As per annexure2. a) DIN of whole time directors : As per annexure

b) Aadhaar number of Promoters / Partners / Karta : As per annexure

DECLARATION

I / We hereby declare that the details furnished above are true and correct to the best of my / our knowledge and belief andI / we undertake to inform you of any changes therein, immediately. In case any of the above information is found to befalse or untrue or misleading or misrepresenting, I am / we are aware that I / we may be held liable for it.

_______________________________________Name & Signature of the Authorised Signatory Date : ______________________ (dd/mm/yyyy)

FOR OFFICE USE ONLY

Originals verified and Self Attested Document copies received

________________________________________Name & Signature of the Authorised SignatoryDate : ________________________ Seal/Stamp of the intermediaryMANDATORY

6

DETAIL OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS

Use additional sheet, if required.

Name

Designation

PAN

Proof of Identitysubmitted

Proof of Addresssubmitted

DIN of whole timedirectors

Aadhaar numberof Promoters /

Partners / Karta

ResidentialAddress

Photograph

Signaturewith

Rubber Stamp

1st 2nd 3rdParticulars

PHOTOGRAPH

Please affix the recentpassport size photograph

and sign across it

PHOTOGRAPH


and sign across it

PHOTOGRAPH


and sign across it

MANDATORY

7

DOCUMENTS CHECKLIST

Sr No. Document Particulars Yes / No.

For Company

1. Pan Card of Applicant

2. Pan Card of Directors/ Authorized Signatory

3. Address Proof of Applicant

4. Address Proof of Directors/Partner /Authorized Signatory

5. MOA / AOA

6. Board Resolution

7. Form 18 & Form 32

8. Balance Sheet & ITR for last 2 years

9. Latest Share Holding Pattern

10. Beneficial Ownership Declaration Sheet

11. List of Directors

12. Latest Bank Statement (not more than 3 months old) & Cancelled Cheque

13. Latest DP Proof if applicable (not more than 3 months old)

14. Photograph of Directors/Partners/Authorized Signatory

For HUF


2. Pan Card of Karta

3. Address proof of HUF

4. Address proof of Karta

5. List of Coparceners on HUF Letterhead


7. Latest DP Statement if applicable (not more than 3 months old)

8. Photograph of Karta

For Individuals




4. Latest DP Statement if applicable (not more than 3 months old)

5. Photograph of applicant

8

DOCUMENTS CHECKLIST

Sr No. Document Particulars Yes / No.

For Partnership Firm / Trust


2. Pan Card of Partner /Authorized Signatory/Trustee


4. Address Proof of Partner /Authorized Signatory/Trustee

5. Trust / Partnership Deed with copy of registration

6. Resolution

7. Balance Sheet & ITR for last 2 years

8. Latest Sharing Pattern

9. List of Partners/Trustees


11. Latest DP Proof if applicable (not more than 3 months old)

12. Photograph of Partners/Authorized Signatory /Trustees

For Institutional Investors

1. Proof of Existence / Constitution Document

2. Resolution of the managing body & Power of Attorney granted to transact on its behalf.

3. Authorized signatories list with specimen signature

For Registered Society

1. Copy of registration certificate under Socities Registration Act.

2. List of Managing Committee Members

3. Committee resolution for persons authorized to act

as authorized signatories with specimen signatures

4. True copy of society rules and bye-laws certified by the chairman / secretary.

9

(For Office use only)

Application No. Date

DP Internal Reference No. UCC

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

(To be filled by the applicant in BLOCK LETTERS in English)

I / We request you to open a Demat Account in my / our name as per the following details: -

Holders Details

Sole/ First Holder’s Name PAN

UID

Second Holder’s Name PAN

UID

Third Holder’s Name PAN

UID

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the

account is opened in the name of the natural persons, the name of the Firm, Association of Persons

(AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

Type of Account (Please tick whichever is applicable)

Status Sub-Status

Individual Individual Resident Individual-Director

Individual Director’s Relative Individual HUF / AOP

Individual Promoter Minor

Individual Margin Trading A/C (MANTRA) Others (Specify)_____________

NRI NRI Repatriable NRI Non - Repatriable

NRI Repatriable Promoter NRI Non - Repatriable Promoter

NRI - Depository Receipts Others (Specify)_____________

Foreign National Foreign National Foreign National - Depository Receipts Others (Specify)__

YYYYMMDD

MANDATORY

ADDITIONAL KYC FORM FOR OPENING A TRADING & DEMAT ACCOUNT(FOR INDIVIDUALS)

KNA SHARE BROKERS PVT. LTD.Regd. Office : 405, Todi Chambers, 2, Lalbazar Street, Kolkata - 700 001Phone : (033) 2230-1216/1136, Fax : (033) 2248-4164E.mail : [email protected], Website : www.knasharebroker.comCIN : U67120WB2004PTC098245

DP ID : 12071200 SEBI REGN. NO. : IN-DP-228-2016

10

Details of Guardian (in case the account holder is minor)

Guardian’s Name PAN

Relationship with the applicant

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 NoI / We would like to instruct the DP to accept all the pledge instructionsin my /our account without any other further instruction from my/our end Yes No(If not marked, the default option would be ‘No’)

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

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

at the email ID________________________________________________ Yes No

I/ We would like to share the email ID with the RTA Yes No

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

(Tick the applicable box. If not marked the default option would be in Physical)

Mode of receiving the standard document - Rights and Obligations of Beneficial Owner and Depository

Participant (Tick any one) Physical Form Electronic Form

I / We wish to receive dividend / interest directly in to my bank account as givenbelow through ECS? (If not marked, the default option would be `Yes’) Yes No[ECS is mandatory for locations notified by SEBI from time to time ]

Bank Details [Dividend Bank Details]

Bank Code (9 digit MICR Code)

IFS Code (11 character)

Account Number

Account Type Saving Current Others (specify)__________

Bank Name

Branch Name

Bank Branch Address

City State

Country PIN code

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is

issued, (or)(ii) Photocopy of the Bank Statement having name and address of the BO(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank. In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present/mentioned on the

document.

OTHER DETAILS - Gross Annual Income Details

Income Range per annum Upto ` 1 Lac ` 1 Lac to ` 5 Lac ` 5 Lac to ` 10 Lac

` 10 Lac to ` 25 Lac More than 25 Lacs

Net-worth as on (Date) `

(Net worth should not be older than 1 year)

Occupation Private / Public Sector Govt. Service Business Professional Agriculture

Retired Housewife Student Others _________________________________

YYYYMMDD

MANDATORY

11

Educational Qualificaltions

Please tick, if applicable Politically Exposed Person (PEP)

Related to Politically Exposed Person (RPEP)

Any other information

SMS Alert Facility MOBILE NO. +91_________________________

Refer to Terms & [(Mandatory , if you are giving Power of Attorney ( POA)]Conditions given (if POA is not granted & you do not wish to avail of this facility, cancel this option).as Annexure - 2.4

Transactions Using Secured Texting Facility (TRUST). Refer to Terms and Conditions Annexure – 2.6

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.

I have read and understood the Terms and Conditions prescribed by CDSL for the same. Yes No

I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered

for TRUST.

Stock Exchange Name/ID

Clearing Member Name

Clearing Member ID (Optional)

Easi To register for easi, please visit our website www.cdslindia.com.

Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

DEPOSITORY ACCOUNT(S) DETAILS

Depository

Participant Name

Depository Name NSDL CDSL NSDL CDSL

Beneficiary Name

DP ID

Beneficiary ID (BO ID)

TRADING PREFERENCES - * Please sign in the relevant boxes where you wish to trade. The segment not

chosen should be struck off by the client.

Exchange Segment Signature Date

1. National Stock Exchange of India Ltd. - Cash

- F&O

- Currency Derivatives

First Demat A/c Details Second Demat A/c Details

MANDATORY

12MANDATORY

PAST ACTIONS

Details of any action / proceedings initiated / pending / taken by SEBI / Stock exchange / any other authority

against the applicant / constituent or its Partners / promoters / whole time directors / authorized persons in

charge of dealing in securities during the last 3 years

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If client is dealing through the sub-broker, provide the following details

Sub-broker’s Name

SEBI Regn. Number

Regd. Off. Address

Phone Fax Website

Whether dealing with any other stock broker / sub-broker (if case dealing with multiple stock brokers /sub-

brokers, provide details of all)

Name of stock broker

Name of Sub-Broker, if any

Client Code Exchange

Details of disputes/dues pending from/to such stock broker/sub- broker

2. BSE Limited - Cash

- F&O

3. Metropolitan Stock Exchange of India Ltd. - Cash

- F&O


# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter

should be taken from the client by the stock broker.

13

ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify)

__________________, Specify your Email id, if applicable :

Whether you wish to receive the standard documents - Rights and Obligations, Risk Disclosure Document

(RDD) and Guidance note - physically or electronically, (please specify) : ________________

Please note that these documents are also available in certain vernacular languages on demand.

Whether you wish to avail of the facility of internet trading / wireless technology (please specify)

YES NO

Number of years of Investment / Trading Experience


INTRODUCER DETAILS (optional)

Name of the Introducer

(Surname) (Name) (Middle Name)

Status of the Introducer Sub-broker Remisier Authorized Person Existing Client

Others, please specify

Address and Phone No.

of the Introducer

Signature of the Introducer

YYYYMMDD

Nomination DetailsNomination Registration No. Dated

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. I/We nominate the following persons, who is / are entitled to receive security balances lying in my/our

account, particulars whereof are given below, in the event of my / our death.

Nomination Details

Nominee Name

*First Name

Middle Name

*Last Name

*Address

*City

*State

*Pin

*Country

Telephone No.

Fax No.

Nominee 1 Nominee 2 Nominee 3

MANDATORY

14

Nomination Details

PAN

UID

Email ID

*Relationship with the BO

Date of birth (dd-mm-

yyyy) (mandatory if

Nominee is a minor)

Name of the Guardian of

Nominee (if nominee is a

minor)

*First Name

Middle Name

*Last Name

*Address of the

guardian of nominee

*City

*State

*Country

*PIN

Age

Telephone

Fax No.

Email ID

*Relationship of the

Guardian with the

Nominee

*Percentage of allocation

of securities

*Residual Securities [please

tick any one nominee, if

tick not marked the default

will be first nominee]

Nominee 1 Nominee 2 Nominee 3

Note : Residual securities : in case of multiple nominees, please choose any one nominee who will be creditedwith residual securities remaining after distribution of securities as per percentage of allocation. If you fail tochoose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any.

* Marked is Mandatory field

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

MANDATORY

15

Note : One witness shall attest signature(s) / thumb impression(s)

Details of the Witness

Name of witness

Address of witness

Signature of witness

MANDATORY

DECLARATION

1. I / We have received and read the Rights and Obligations document and terms & conditions andagree to abide by and be bound by the same and by the Bye Laws as are in force from time totime. I / We declare that the particulars given by me/us above are true and to the best of my/ourknowledge as on the date of making this application. I/We agree and undertake to intimate theDP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agreethat any false / misleading information given by me / us or suppression of any material informationwill render my account liable for termination and suitable action.

2. I/We hereby declare that the details furnished above are true and correct to the best of my/ourknowledge and belief and I/we undertake to inform you of any changes therein, immediately. Incase any of the above information is found to be false or untrue or misleading or misrepresenting,I am/we are aware that I/we may be held liable for it.

3. I/We confirm having read/been explained and understood the contents of the document on policyand procedures of the stock broker and the tariff sheet.

4. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’document(s) and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by suchprovisions as outlined in these documents. I/We have also been informed that the standard set ofdocuments has been displayed for Information on stock broker’s designated website, if any.

First / Sole Holder or

Guardian (in case of Minor)

Second Holder

Third Holder

(Signatures should be preferably in black ink).

Name Signatures

16

ADDITIONAL KYC FORM FOR OPENING A TRADING & DEMAT ACCOUNT(FOR NON-INDIVIDUALS)

KNA SHARE BROKERS PVT. LTD.Regd. Office : 405, Todi Chambers, 2, Lalbazar Street, Kolkata - 700 001Phone : (033) 2230-1216/1136, Fax : (033) 2248-4164E.mail : [email protected], Website : www.knasharebroker.comCIN : U67120WB2004PTC098245

DP ID : 12071200 SEBI REGN. NO. : IN-DP-228-2016(For Office use only)

Application No. Date

DP Internal Reference No. UCC

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

(To be filled by the applicant in BLOCK LETTERS in English)

I / We request you to open a Demat Account in my / our name as per the following details: -

YYYYMMDD

YYYYMMDD

YYYYMMDD

Holders Details

Sole/ First Holder’s Name PAN

Search Name

Second Holder’s Name PAN

UID

Third Holder’s Name PAN

UID

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the

account is opened in the name of the natural persons, the name of the Firm, Association of Persons

(AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

Type of Account (Please tick whichever is applicable)

Status Sub-Status

Body Corporate Banks Trust Mutual Fund OCB FII To be filled by the DP

CM FI Clearing House Other (Specify)

SEBI Regn. No. (If Applicable) SEBI Regn. Date

RBI Regn. No. (If Applicable) RBI Approval Date

Nationality Indian Others (specify)____________________________________

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

(If not marked, the default option would be `Yes’) Yes No

I / We would like to instruct the DP to accept all the pledge instructions

in my /our account without any other further instruction from my/our end Yes No

(If not marked, the default option would be ‘No’)

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

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

at the email ID________________________________________________ Yes No

MANDATORY

17

YYYYMMDD

I/ We would like to share the email ID with the RTA Yes No

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

(Tick the applicable box. If not marked the default option would be in Physical)

Mode of receiving the standard document - Rights and Obligations of Beneficial Owner and Depository

Participant (Tick any one) Physical Form Electronic Form

Clearing Member Details (To be filled by CMs only)

Name of Stock Exchange

Name of CC / CH

Clearing Member Id Trading member 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’) Yes No

[ECS is mandatory for locations notified by SEBI from time to time ]

Bank Details [Dividend Bank Details]

Bank Code (9 digit MICR Code)

IFS Code (11 character)

Account Number

Account Type Saving Current Others (specify)__________

Bank Name

Branch Name

Bank Branch Address

City State

Country PIN code

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)(ii) Photocopy of the Bank Statement having name and address of the BO(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank. In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.

OTHER DETAILS - Gross Annual Income Details

Income Range per annum Upto ` 1 Lac ` 1 Lac to ` 5 Lac ` 5 Lac to ` 10 Lac

` 10 Lac to ` 25 Lac ` 25 Lac to ` 1 Crore More than ` 1 Crore

Net-worth as on (Date) `

(Net worth should not be older than 1 year)

Please tick If any of the authorized signatories / Promoters / Partners / Karta / Trustees /

Whole Time Directors is either Politically Exposed Person (PEP) or Related to Politically

Exposed Person (RPEP). Please provide details as per Annexure 2.2 A.


SMS Alert Facility MOBILE NO. +91_________________________

Refer to Terms & [(Mandatory , if you are giving Power of Attorney ( POA)]Conditions given (if POA is not granted & you do not wish to avail of this facility, cancel this option).as Annexure - 2.4

MANDATORY

18

Transactions Using Secured Texting Facility (TRUST). Refer to Terms and Conditions Annexure – 2.6

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility.

I have read and understood the Terms and Conditions prescribed by CDSL for the same. Yes No

I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered

for TRUST.

Stock Exchange Name/ID

Clearing Member Name

Clearing Member ID (Optional)

Easi To register for easi, please visit our website www.cdslindia.com.

Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

DEPOSITORY ACCOUNT(S) DETAILS

Depository

Participant Name

Depository Name NSDL CDSL NSDL CDSL

Beneficiary Name

DP ID

Beneficiary ID (BO ID)

TRADING PREFERENCES - * Please sign in the relevant boxes where you wish to trade. The segment not

chosen should be struck off by the client.

Exchange Segment Signature Date

1. National Stock Exchange of India Ltd. - Cash

- F&O


2. BSE Limited - Cash

- F&O

3. Metropolitan Stock Exchange of India Ltd. - Cash

First Demat A/c Details Second Demat A/c Details

MANDATORY

19

3. Metropolitan Stock Exchange of India Ltd. - F&O


# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter

should be taken from the client by the stock broker.

PAST ACTIONS

Details of any action / proceedings initiated / pending / taken by SEBI / Stock exchange / any other authorityagainst the applicant / constituent or its Partners / promoters / whole time directors / authorized persons incharge of dealing in securities during the last 3 years

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If client is dealing through the sub-broker, provide the following details

Sub-broker’s Name

SEBI Regn. Number

Regd. Off. Address

Phone Fax Website

Whether dealing with any other stock broker / sub-broker (if case dealing with multiple stock brokers /sub-

brokers, provide details of all)

Name of stock broker

Name of Sub-Broker, if any

Client Code Exchange

Details of disputes/dues pending from/to such stock broker/sub- broker

ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify)

__________________, Specify your Email id, if applicable :

Whether you wish to receive the standard documents - Rights and Obligations, Risk Disclosure Document

(RDD) and Guidance note - physically or electronically, (please specify) : ________________

Please note that these documents are also available in certain vernacular languages on demand.

Whether you wish to avail of the facility of internet trading / wireless technology (please specify)

YES NO

Number of years of Investment / Trading Experience

In case of non-individuals, name, designation, PAN, UID, signature, residential address and As per Annexure

photographs of persons authorized to deal in securities on behalf of company/firm/others on Page 21

MANDATORY

20


INTRODUCER DETAILS (optional)

Name of the Introducer

(Surname) (Name) (Middle Name)

Status of the Introducer Sub-broker Remisier Authorized Person Existing Client

Others, please specify

Address and Phone No.

of the Introducer

Signature of the Introducer

DECLARATION

1. I/We have received and read the document of ‘Rights and Obligation of BO-DP’ (DP-CM agreementfor BSE Clearing Member Accounts) including the schedules thereto and the terms & conditionsand agree to abide by and be bound by the same and by the Bye Laws as are in force from timeto time. I / We declare that the particulars given by me/us above are true and to the best of my/ourknowledge as on the date of making this application. I/We further agree that any false / misleadinginformation given by me / us or suppression of any material information will render my accountliable for termination and suitable action.

2. I/We hereby declare that the details furnished above are true and correct to the best of my/ourknowledge and belief and I/we undertake to inform you of any changes therein, immediately. Incase any of the above information is found to be false or untrue or misleading or misrepresenting,I am/we are aware that I/we may be held liable for it.

3. I/We confirm having read/been explained and understood the contents of the document on policyand procedures of the stock broker and the tariff sheet.

4. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’document(s) and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by suchprovisions as outlined in these documents. I/We have also been informed that the standard set ofdocuments has been displayed for Information on stock broker’s designated website, if any.

MANDATORY

Sole / First


Second


Third


(In case of more authorised signatories, please add annexure)

(Signatures should be preferably in black ink).

Name SignatureDesignation

21

ANNEXUREDETAIL OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS AND PERSONS

AUTHORIZED TO DEAL IN SECURITIES ON BEHALF OF COMPANY / FIRM / OTHERS

Designation

Name

PAN

DIN / UID

ResidentialAddress

Photograph

1st 2nd 3rdParticulars


and sign across it


and sign across it

Please affix yourrecent passportsize photographand sign across it

Use additional sheets, if necessary.

MANDATORY

22

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Date

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__

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MANDATORY

23

POLICIES AND PROCEDURES

A) Refusal of Orders for Penny Stocks :

Penny stocks are thinly traded shares of small companies which are traded infrequently and having verylow volume. Stock Exchange also, from time to time, releases a list of illiquid securities advising tradingmembers to exercise additional due diligence while trading in these securities. These securities may alsobe called as “Penny Stock”.

The Member reserves the right to refuse to take orders for such “Penny Stock”.

B) Setting up Client’s Exposure Limits :

The Member reserves the right to set, impose and vary limits on the orders that the client can placethrough the trading system (including exposure limits, turnover limits, limits as to the number, valueand/or kind of securities in respect of which orders can be placed etc.) without prior notice. The order/exposure limits may vary from time to time, client to client depending upon the margins, client, andfinancial status of the client as well as market condition.

C) Applicable brokerage rate

The brokerage rate applicable may vary from client to client depending on the category of the client i.e.HNI, Corporate or Retail and the risk /trading profile of the client. Brokerage rates may also differ fordifferent securities and/or classes of securities and/or different type of trades and/or different tradingsegments for the same client.

The brokerage rate initially fixed for a new client may increase/decrease in course of time with the mutualconsent.

Minimum Processing Charge will be levied where brokerage amount is less than ` 30 so as to make totalof brokerage and Processing charges to be ` 30.

However the brokerage rate shall not exceed the maximum as specified by the Exchange/SEBI.

D) Imposition of penalty / delayed payment charges

The Member reserves the right to charge penalty / delayed payment charge to any client, at the rate notexceeding 18% p.a. to 21% p.a. to its clients for delayed/overdue payment, to discourage the client to dosuch acts.

E) The right to sell clients’ securities or close clients’ positions, without giving notice to the client, onaccount of non-payment of client’s dues

The Member reserves the right to liquidate / close out all or any of the client’s securities / positions fornon-payment of margins or other amounts, outstanding debts, etc. and adjust the proceeds of suchliquidation / close out against the client’s liabilities / obligations. Any and all losses and financial chargeson account of such liquidation / closing out shall be charged to and borne by the client.

F) Shortages in obligations arising out of internal netting of trades :

If securities are not received in our Pool A/c from the selling client before the pay in date but there is nofailure to meet securities obligations towards the Exchange, i.e., there is an instance of internal shortage,the following procedure will be adopted.

1. The selling client will be asked to deliver the shares to our pool a/c in the designated auction settlementbefore the market opening on T+2 day.

2. On failure to do so, there will be a buying-in of shares against the selling client through a “deemedauction” for the benefit of buying client. The buying-in shall be from the market and may be with orwithout the notice of the client.

MANDATORY______________________

Signature of Client

24

3. If for any reason whatsoever the above mentioned couldn’t be done then the position of both theclients would be squared off on the T+2 day by the Exchange’s auction price for that particular securityin that particular settlement. The netting off will be done on FIFO basis for internal shortages.

In absence of Exchange Auction price , the Closing price of the auction day i.e. (T+2) plus 5% will beconsidered in place of Exchange Auction Price

In case of security having corporate action, fair & equitable adjustment shall be made.

G) Conditions under which a client may not be allowed to take further position or the broker may closethe existing position of a client :

The member reserves the right to refuse a client to take further position or close the existing position ofthe client. The conditions under which such actions may be taken by member include:

1) Client’s margin not adequate vis a vis exposure of the client.

2) Sudden changes in margin requirement of Exchange

3) Reduction in value of margin of the client for reasons such as fall in the price of securities given asmargin or increase in hair cut

4) Taking further position will violate any rules, regulations or by-laws of Exchange or SEBI. In case aposition has already been inadvertently taken, the existing position may be closed.

5) Exiting position violates any rules, regulation or by-laws of Exchange or SEBI.

6) Member not having sufficient exposure limit for whatsoever reason

7) If the ledger of a client shows continuous debit balances and the dues are not settled by the client.

H) Temporarily suspending or closing a client’s account at the client’s request :

The account of the client shall be temporarily suspended or closed on receipt of written request fromthe client specifying the reasons to close the account. The member on being satisfied with the reasonsgiven, shall suspend or close the account of that client after effecting the settlement of the account.

Accounts suspended on client’s request can be reactivated only after receiving a written request fromthe client.

I) Deregistration of a client :

The conditions under which the Member may deregister a client include:

1) On receipt of the specific request from the client to deregister himself and to close his accounts.

2) On account of death or insolvency of the client.

3) On account of breach of terms and conditions of the agreement by the client.

4) On account of any action taken by SEBI/ Exchange/ any other statutory authority against the client.

On the happening of the above, the account of a client is deregistered after effecting settlement of theaccounts and securities of the client.

J) Inactive accounts :

The account of a client who do not trade for a single day for two consecutive financial years shall bedeclared “inactive account” and will be temporarily suspended.

The Member reserves the right to ask for any documents in support of current address, bank account,demat account, financial status, etc. before reactivating such inactive accounts.

Client Acceptance of Policies and Procedures stated herein above :

I/We confirm having read and understood the same.

MANDATORY______________________

Signature of Client

25

TARIFF SHEET

Client Code

Relationship with the Client

Code Activation Date

Date of first transaction

Group

Location

Brokerage Details (provided by ___________________________________)

Exchange/Segment % Min

Delivery

Squareup

Initial Margin Collected

Cheque Details No.____________ dated ___________ Amt ______________________

Valuation of Shares

Initial Limits Set MTM _________________ Gross Exp ____________________________

Verification

Name & Signature

Original documents verified by

Client Code Allotted by

Client Code mapped in manager by

Client code mapped to

NSE / BSE CM

NSE / BSE / MSEI Derivatives

MANDATORY

Minimum Processing Fees, in case of brokerage being less than ` 30/-in toal brokerage booked on a particular date

l/we further agree to pay other statutory charges like service tax, stamp duty, exchange TOT, SEBI TOT andother statutory charges levied by regulatory authorities on transaction carried out by me/us at relevant ratesto the stock broker, over and above the brokerage charged to me/us.

`

______________________Signature of Client

26

Date :_____________________

ToKNA SHARE BROKERS PVT. LTD.405, Todi Chambers2, Lalbazar StreetKolkata - 700 001

I/We as a client registered with you for dealing in different market segments of stock exchange, request you andunconditionally authorise you -

A. To accept and confirm order placement / modification / cancellation verbally either from me/us or any one of thepersons authorised by me/us and do not provide me any order confirmation/ modification/ cancellation slips generatedby the trading system.

B. To confirm the trade details verbally and do not provide any trade confirmation slip generated by the NEAT system andprovide Contract Note containing details of trade to any one of the persons authorised by me/us.

C. To maintain my/our account with you as Current Account.

D. To retain the credit balance in the my/our account for adjustment with the debit in subsequent Settlements

E. To setoff outstanding in any of my/our account(s) against credits available or arising in any other account(s) maintainedwith you irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of anyExchange and/or against the margins provided to you by me/us.

F. To release the payment partly or fully against the credit balance in my/our account on receiving any verbal or writteninstruction from me/us or any of the person authorised by me/us.

G. To retain the payout of the shares in your Demat account for our margin/future obligations at stock exchanges, unlessyou receive any verbal or written instruction from me/us to deliver the shares to my/our Depository Account.

H. To transfer the shares retained by you on my/our behalf as Margin against the dealing done in my/our account in theCapital Segment / F&O Segment / Currency Derivatives Segment / both Capital Segment, F&O Segment and CurrencyDerivatives Segment, whenever there is any shortfall in Margin Account.

Following person(s) is/are authorised to transact on my/ our behalf :

1. ____________________________________ 2. ____________________________________

3. ____________________________________ 4. ____________________________________

Following person(s) is/are authorised to receive Contract Notes & Account Statement on my/ our behalf :

Name Signature

1. ____________________________________ _____________________________________________

2. ____________________________________ _____________________________________________

3. ____________________________________ _____________________________________________

We hereby also acknowledge receipt of your information that you do Client-based Trading as well as Proprietary Trading.

I/we hereby unconditionally and irrevocably undertake that all transactions done through you in every marketsegments are my/our proprietary transactions.

Thanking you,Yours truly,

Signature : x________________________________________________

Name : ________________________________________________

Client Code : ________________________________________________

Address : ________________________________________________

________________________________________________

VOLUNTARY

27

AUTHORITY LETTER FOR RUNNING ACCOUNT OF FUNDS AND SECURITIES

Date : _________________


Dear Sir,

1. With reference to my/our trading account opened with you, I/we request you to maintain a running account for fundsand securities on my/our behalf without settling the account on settlement of each transaction. I/We further requestyou to retain all amounts and securities receivable by me/us until specifically requested by me/us to be settled withinone working day of request, if the same is lying with KNA Share Brokers Pvt. Ltd. & within 3 working days from therequest if the same is lying with clearing member / clearing corporation.

2. I/we understand and agree that no interest will be payable to me/us on the funds or securities so retained with you.

3. I/we may be trading in derivatives segment & cash segment of various Exchanges and hence have various accountswith you. In this regard I/we hereby authorize KNA Share Brokers Pvt. Ltd. to act at its discretion of adjusting anycredit balance under my/ our various accounts against the debit in any account across segments/Exchange, withouttaking any further instruction from me/us.

4. I/we also confirm that the securities lying in my withhold A/c should be considered as margin deposit / collateral.

5. I/we authorize you to set off a part or whole of the margin deposited by me/us. against any of my / our dues, byappropriating relevant amount of fund or by sale of securities which form part of margin.

6. I/we hereby authorize you to pledge my / our securities deposited as margin or withheld by you as permitted in the runningaccount and to deposit my / our funds deposited as margin to Exchanges / Clearing Corporations towards margin.

7. I/we may revoke the authorisation at any time by giving a written notice.

8. I/we also agree that the actual settlement of fund and securities shall be done by us, at least once in a quarter ormonth and the statement of account for the same will be provided to me by KNA Share Brokers Pvt. Ltd.

9. I/we agree that fund given towards collaterals/margins in form of bank guarantee (BG) / Fixed Deposit Receipts(FDR) may not be periodically settled.

10. I/we agree that (a) in respect of derivatives market transactions, the Trading Member may retain the requisite securities/ funds on settlement date to take care of any margin obligation arising in next 5 days, calculated in the manner specifiedby the Exchange, (b) in respect of cash market transactions, the Trading Member may retain entire pay-in obligation offunds & securities due from me / us as on the date of settlement and for next day’s business, the Trading Member mayretain funds / securities / margin to the extent of value of transactions executed on the day of such settlement.

11. I / we authorise you to retain an amount upto ` 10,000/- (consolidated amount across segments and across stockexchanges) for actual settlement of that respective traded quarter / month.

12. I/we agree/understand that there shall be no inter-client adjustment for the purpose of settlement of the running account.

13. I/we shall bring any dispute arising from the statement of account or settlement so made to the notice of the TradingMember preferably within 30 working days from the date of receipt of funds/securities or statement as the case may be.

Thanking you,

Yours truly,

__________________________Signature of the Client

PREFERENCE OF CLIENT FOR SETTLEMENT OF RUNNING ACCOUNT (FUNDS & SECURITIES)

Settlement Preferences Monthly Quarterly

VOLUNTARY

28

Dated :_________________


Sir,

Re : Electronic Communication

This has reference to the facility of receiving contract notes and other documents in Electronic formissued by you in compliance with regulations and guidelines issued by SEBI and Stock Exchanges.I/We understand that ECN are valid legal contract notes as per Stock Exchange/ SEBI Rules andrecognized under Income Tax Act, as well as other Acts in India.

Therefore, the ECN shall be an accepted form of Contract Note to me/us and should be mailed to thefollowing e-mail id(s) :

E-mail Id (a) ____________________________________ __________________________ (Primary - compulsory) Signature of Client

(b) ____________________________________ __________________________ (Alternate - optional) Signature of Client

I/We wish to inform you that I/We would like to avail of this facility. In this regard we state thefollowing:

1. This is to further confirm that it will be my/ our responsibility that my/our email account is activeand mail box is not full and the non-receipt of the bounced mail notification at your end shallamount to delivery of the ECN at my/our email-id.

2. I/we undertake to check the ECNs and discrepancy if any shall be brought to your notice within24 hours of the issuance of contract notes.

3. You are authorized to send me/us account statement / other documents / other notices/correspondence periodically through the same channel.

4. I / we undertake that any change in my / our Email ID shall be communicated to you in writingthrough a physical letter.

Kindly take the above into your record and oblige.

Thanking you,

Yours truly,

_____________________________Signature of Client

Name : ___________________________

VOLUNTARY

29

LETTERS OF UNDERSTANDING FOR AVAILING INTERNET TRADING/WIRELESSTECHNOLOGY BASED TRADING SERVICES

(To be signed only if the client wishes to avail internet based trading facility)

Clauses mentioned above pertaining to above transactions shall be applicable to Internet Trading deals unless specificallymentioned otherwise.

Whereas the client is desirous of investing/trading in those securities admitted for dealing on the Exchange as defined in theBye laws of the Exchange and have been made available for investing through Trading Member’s Internet trading portal.

Whereas the Trading Member proposes to offer the Internet based Trading through order routing system service to itsclients and the client desires to avail of the said facility for purchasing, selling or otherwise dealing in securities admittedfor dealing on the Exchange as defined in the Bye Laws of the Exchange.

TERMS OF INTERNET TRADING THROUGH https://www.knasharebroker.com

ACCOUNT, USER NAME AND PASSWORD:

The Trading Member acknowledges and permits the client to access the Account through Internet Service after completingthe necessary formalities.

Client has received from Member and has read and fully understands and accepts the provisions of the information.

Clients hereby declare that clients are the ultimate beneficial owners of the Account and that clients are not related to orassociated with any of Trading Member’s employee or agents including without limitation as a spouse or as a child under18 years of such employees or agents and agree that if client become related to or associated with any of such employeeor agents, the client shall promptly notify member of the existence and nature of such association and acknowledge andagree that member may upon receipt of such notice, at Trading Member’s absolute discretion, terminate the account.

The client agrees that he/she/it will not act as Sub-broker without prior written permission of the member and withoutobtaining certificate of registration from SEBI.

The Client will be entitled to a User Name and password, which will enable him to access the Member’s Internet tradingportal for availing of the service.

The client is aware that member’s Trading portal itself generates the initial password and the Trading Member is aware ofthe same. The client agrees and undertakes to change immediately his initial password upon receipt thereof.

The client shall be responsible for keeping the USER Name and password confidential and secure and shall be solelyresponsible for all orders entered and transactions done by any other person whosoever through the Member’s TradingPortal using the Clients Username and password whether or not such person was authorised to do so.

That client acknowledges that he is fully aware of and understands the risks associated with availing of a service forrouting orders over the inter-net including the risk of misuse and unauthorised use of his username and password by athird party and the risk of a person hacking into the client’s account on the member’s Internet Trading Portal andunauthorisedly routing orders on behalf of the client through the system. The Client agrees that he shall be fully liable andresponsible for any and all unauthorised use and misuse of his password and/or Username and also for any and all actsby any person through the Stock Broker’s Internet Trading Portal on the client’s Username in any manner whatsoever.

The Client shall immediately notify the Trading Member in writing with full details if.

a> He discovers or suspects unauthorized access through his Username, passwords or account.

b> He notices discrepancies that might be attributable to unauthorized access.

c> He forgets his password, or

d> He discovers a security flaw in the member’s internet trading portal.

In any of the above event, the client shall immediately change his password. However if the client is unable to change hispassword having been unauthorisedly changed by some other person or for any other reason, then the client shallimmediately request the Trading Member in writing to discontinue his old password, and to generate the new password.At no point in time shall the Trading Member be liable for any loss, whether notional or actual, that may be suffered by theclient on account of the misuse of the password.

______________________Signature of ClientVOLUNTARY

30

Margins, Transaction and settlements :

The client shall maintain such quantity of securities and such amount of cash in credit balances (hereinafter referred to‘Margin’) as required by the applicable statutes, rules, regulations, procedures or as deemed necessary or advisable bythe member, provided that the margin shall not at any time be less than 25% of the price of the admitted securitiesproposed to be purchased or sold. The client agrees that no interest shall be payable on the margin as maintained with themember. The client shall be permitted to trade upto a pre-determined number of times of the margin and the quantum ofsuch multiple shall be determined at the sole discretion of the member.

The client is aware and agrees that the Trading Member may need to vary or reduce the limits or impose new limitsurgently on the basis of the Trading Member’s risk perception and other factors considered relevant by the TradingMember, and the Trading Member may be unable to inform the client of such variation, reduction or imposition in advance.The client agrees that the Trading Member shall not be responsible for such variation, reduction, imposition or the clientsinability to route any order through the Trading Member’s intimate portal on account of any such variation, reduction andimposition of limits. The client understands and agrees that the Trading Member may any point of time, at its sole discretionand without prior notice, prohibit or restrict the clients ability to place orders or trade in securities through the member.

The client agrees to execute all orders at around market prices. The client agrees to ensure that there will be no attemptat price distortion and price rigging made through any means.

The client authorizes the Trading Member to square up all his outstanding positions which are not marked for delivery (i.e.Transfer of outstanding amount through Payment Gateway to KNA) 15 minutes before closing time on normal market, Anyprofit/loss arising out of square off shall be at the risk of and borne by the client.

The Trading Member at his discretion, may execute trades on behalf of the client at the request of the client, in case ofsystem failure at the clients end. Any profit/loss arising out of such trades shall be at the risk of and borne by the client.

Client acknowledges and agrees that client shall be solely responsible for all orders communicated through the internet service,and neither Trading Member nor any of Trading Member’s directors, officers or employees shall be liable to client or to any otherperson claiming under or through client, for any claims made with respect to the receipt and execution of any such orders.

If client resides or gives any order to Trading Member from outside India, client agrees to ensure and represent that such orderswill have been given in compliance with any and all applicable law of the relevant jurisdiction from which client orders are given.Client further agrees to indemnify Trading Member on demand for any claims, demands, actions, costs and expenses membermay suffer or incur in connection with or arising from client residing or giving of any such order from outside India.

In the case of a purchase transaction, if the selling member fails to deliver on the settlement date and Trading Member has topurchase securities to settle the transactions, client shall be responsible to Trading Member for the costs of such purchase.

Client will notify Trading Member when a sale order relates to securities, which client does not own i.e. involves short selling.

Any orders communicated to Trading Member through the internet service will be considered to have been sent by client.Client agrees to notify Trading Member immediately if client does not receive any confirmation (Whether by hard copy,electronic or verbal means) that an order communicated by client through the service has been received or executed,receive a written confirmation of an order or its execution which is not accurate or which client did not place.

Trading Member shall have an absolute discretion to accept or reject any order or the execution of any order until (as thecase may be) there is sufficient cleared funds in the Account or there are sufficient securities in the Account, for settlementof the relevant transaction.

Client acknowledges and agrees that Trading Member and member’s directors, officers, employees and agents shall notbe responsible or liable for any loss suffered or which may be suffered by client arising from any delay or failure to performany of member’s obligation hereunder or in the transmission, receipt, execution or confirmation of orders due to anybreakdown, interruption or failure of transmission of the internet service or any communication equipment or facilities or toany unauthorized access, tampering, modification or alteration of the service and/or the data and information containedtherein or to any other cause or causes beyond Trading Member’s control including but not limited to government restriction,exchange or market rulings, suspension of trading, severe weather, earthquakes and strikes and should client experienceany problem in communicating with Trading Member through the internet service, client shall use all other alternativemeans available to client to communicate with Trading Member.


31

When the client places a request to cancel an order, the cancellation of the order is not guaranteed. The order will only becancelled at the client’s request for cancellation is received through the Trading Member’s Internet trading order routingservice system and the order is successfully cancelled before it is executed.

The client shall not presume an order as having been executed or cancelled until the client receives a confirmation fromthe Trading Member.

In case faults/failures as mentioned above or any other kind of faults/failures in the ‘Internet Trade order routing systemarise due to technical or any other reasons, the client shall have option to place the order by telephone, internet chatingor any other suitable mode.

Where the client has opted for the orders to be placed by the above mode, the client shall be solely responsible for theorders placed by the Trading Member on his behalf.

Risk factors & Indemnity

Client acknowledges and accepts that the internet is an inherently unreliable medium of communication and provision ofinformation services due to the public nature of the communication and that the accuracy, reliability and soundness ofsuch means of communication and provision of services depends upon, amongst other the service providers and thetelephone, modem, cables, systems, facilities and the link used and operated from time to time by such providers andother participants. Client acknowledges and further accepts that as a result of such unreliability, there are risks associatedin using such means of communication including the congestion, breakdown, interruption or failure of transmission of theinternet service or any communication equipment or facilities, errors, omissions or delays in the transmission and receiptof orders and other data and information and in the execution and confirmation of orders and/or the execution or orders atprices which may be different from those indicated on the service or prevailing at the time the orders were given. There arealso other risks involved such as in the unauthorized access, tampering, modification or alteration of the service and/orthe system, components and software used or comprised in the service which may result in the use, manipulation, retrievalor the theft or loss of data and information, including Client personal data.

The systems used by the Trading Member for providing Internet Broking services are generally capable of assessing therisk of the Client as soon as the order comes in. However, due to any reason whatsoever, If the order is processed withoutsufficient risk cover from the client, client shall be bound by such trade and shall provide such sums as may be requiredto meet his liability under the trade

The client agrees that he/she/it will not be compensated by the Member for any “Lost opportunity” viz. notional profits onbuy/sell orders which could not be executed or real loss from delay in executed orders due to any reason whatsoever,including but not limited to time lag in the execution of the order or the speed at which the system of the member or of theExchanges or the delay in stock quotes or any shutting down by the Member of his system for any reason or the Memberdisabling the client from trading on his system for any reason whatsoever.

Option for placing an order through means other than Internet.

In case faults/failures as mentioned above or any other kind of faults/failures in the Internet Trade Order Routing Systemarise due to technical or any other reasons, the Client shall have option to place the order by telephone, Internet chattingor any other reasonable mode.

Where the Client has opted for the orders to be placed by the above mode, the Client shall be solely responsible for theorder placed by the Trading Member on his behalf.

Demat Account and Bank Account Electronic Payment Gateway

The client agrees to open, maintain and operate a valid demat account with the depository participant

The Client agrees that the Trading Member may require the client, at any time during the subsistence of any arrangementrelating to the subject matter of these presents, to open one or more demat account with the depository participant. Theclient agrees that the debit/credit for all the new sections are to be effected in this / these accounts.

The client agrees that the member may, at any time during the subsistence of the arrangement relating to the subjectmatter of the presents, require the client to open one or more account with a designated bank.

The client agrees that the debit/credit for all the transactions may be effected in this/these accounts.


32

The Client agrees that the Trading Member shall have the right, at any time during the subsistence of this agreement, togive any instructions pursuant to transactions covered under this agreement to the banks with whom it has affiliations orany other arrangement, in respect of the account of the client maintained with such bank. The client agrees that he shallhave no cause of action in respect of any instructions that may be given to the bank in respect of the accounts maintainedwith such bank in pursuance of the presents.

The client agrees and confer right to the Trading Member to disclose available information to the Banker with whom clientmaintain bank account for this purpose without attributing any reason or issuing any notice to the client.

The client confirm that the bank account linked to the trading account is the valid bank account of the client.

The Member must offer Electronic Payment Gateway for net banking to its clients with collaboration with the concernedbank. The client should avail this facility through the customer id and password given to him by bank for availing netbanking. The client agrees that he would frequently change the password for safety measures and the stock broker shallnot be liable or held responsible in any manner whatsoever, if the passwords falls in the hands of unauthorized person(s).

General

The Client is aware that authentication technologies and strict security measures are required for the internet tradingthrough order routed system and undertakes to ensure that the password of the client and/or his authorized representativeare not revealed to any third party.

The instructions issued by an authorized representative of the Client shall be binding on the client in accordance with theletter authorizing the said representative to deal on behalf of the Client.

The client agrees that the Trading Member shall not be liable or responsible for non-execution of the orders of the Clientdue to any link/system failure at the Client/Trading Member/exchange end.

The client shall not use the guest e-mail facility to send the Trading Member time-sensitive instructions or to give personalcredit information or an address change. The Trading Member shall not be liable for any actions taken or any omissionsto act as a result of any such e-mail message, the Client sent to the member.

The Client is aware and acknowledges that trading over the internet involves many uncertain factors and complex hardware,software systems, communication lines, peripherals, etc. which are succeptible to interruptions and dislocations: and theTrading Member’s portal Service may at any time be unavailable without further notice. The Trading Member and the SaidExchanges do not make any representation or warranty that the Trading Member’s Internet Trading Service will be availableto the Client at all times without any interruption. The Client agrees that shall not have any claim against the Said Exchangesor the Trading Member on account of any suspension, interruption, non-availability or malfunctioning of the Member’sInternet Trading System or Service or the Said Exchange’s service or systems for any reason whatsoever.

IN WITNESS THEREOF the parties to the agreement have caused these presents to be executed as of the day and yearfirst ever written.

IN WITNESS WHEREOF, the parties hereto have set their hands and signatures on the dates mentioned against theirrespective signatures

Name of Client___________________________________

Signature of Client________________________________

Place___________________

Date____________________

VOLUNTARY

33

DECLARATION/LETTER OF UNDERSTANDING

Date : ___________________ToKNA SHARE BROKERS PVT. LTD. (KSBPL)405, Todi Chambers2, Lalbazar StreetKolkata - 700 001

Dear Sir,

1. I/We agree not to hold KSBPL liable or responsible for delay or default in performance of your obligations due tocontingencies beyond your control such as fire, flood, civil commotion, earthquake, riots, war strikes, failure of systems,failure of internal links, government/regulatory actions or any other contingencies beyond your control.

2. I/We am/are agreeable for inter-settlement transfer of securities towards settlements.

3. All fines/penalties and charges levied upon KSBPL due to my acts/deeds or transactions may be recovered byKSBPL from my account.

4. Any queries related to my/our contract note shall be brought to the notice of KSBPL within 7 days of the receipt of thecontract note.

5. I/We hereby authorize KSBPL not to provide me Order Confirmation/ Modification/ Cancellation slips and TradeConfirmation Slips to avoid unnecessary paper work. I/We hereby request KSBPL to kindly accept my/our verbalorders/instructions over phone and execute the same. I/We understand the risk associated with placement of verbalorders and accept the same. In case I wish to withdraw this consent I shall inform KSBPL in writing and get the sameacknowledged by KSBPL at least one week in advance from the date of withdrawal.

6. I/We will be extending all co-operation to KSBPL in their endeavour towards Anti Money Laundering. KSBPL mayinitiate any enquiry against me/us and/or my/our transactions any time without any legal implication whatsoeveragainst them.

7. I/We understand that information about me/us and my/our transactions may be reported by KSBPL to FIU/concernedauthorities without any intimation to me/usand have no objection to the same.

8. I/We undertake that if I/we fail to deliver any one or more securities to the pool account of KSBPL in respect of thesecurities sold by me/us before the pay-in date notified by the Exchange from time to time, such undischargedobligation in relation to delivering any one or more securities shall be deemed to have been closed out at the auctionprice or close-out price, as may be debited to KSBPL in respect of the security for the respective settlement, otherwisethe close out price on the date of pay-out in respect of the relevant securities, declared by the Exchange. The loss,if any, on account of the close out shall be borne by me/us.

9. I agree to KSBPL tape-recording the conversation between me and KSBPL officers in its absolute discretion, whetherpersonally or over the telephone. Such recordings may be relied upon by KSBPL as and when required and I agreenot to challenge the evidentiary value of such recordings.

10. I hereby authorize KSBPL to debit my account with depository services charges, bank charges on account ofdishonor of cheques, stop payment instruction charges, demand draft/ pay order/PGP charges. NEFT/RTGS charges,call and trade charges, SMS charges, settlement/ professional charges (for as may be applicable to NRIs), researchservice/message fee, trading platform charges, application money and processing charges for mutual funds, initialpublic offerings/follow on public offerings, rights issue, fixed deposit(s), money market instruments etc. generallyvarious investment avenues / products, processing fees/charges towards contract note/statement of account etc.and any other such or similar fees / charges as may become applicable from time to time.

Thanking you,

Yours truly,

___________________Signature of the ClientVOLUNTARY

34VOLUNTARY

OPERATIONAL INSTRUCTION LETTER

Date : _________________


Dear Sir,

Sub : Instructions in respect of my/our client account

I / We have opened a client account with your company for Investment / Trading / Speculation inshares & securities for both cash as well as F&O Segment. I / We hereby give you certain operationalInstructions with respect to the said dealings by me / us.

1. Orders : My / Our orders for purchase / sale of shares & securities will be given on telephone ororally during my / our visit to your office.

2. I / We request you to kindly adjust my payout credit with any debits in my account and treat thebalance payment as margin money for trading, till I / we specifically ask for it.

3. I / We request you to keep my / our securities, funds etc. with you to meet pay-in obligation formargin or otherwise in the suceeding settlements in the same segment as well as other segmentof BSE for BSE transactions.

4. You are authorised to undertake any intra client transfers of balance available between varioussegments of different exchanges.

5. I / We hereby permit you to adjust / hold back any amounts of funds from its pay-out againstMargin / Security Deposit, against its position as & when required. It is understood that thisamount will not attract any interest during the tenure.

Thanking You,

Your Faithfully,

___________________Signature of the Client

35

LETTER OF AUTHORITY

Date : _________________


Dear Sir,

SUB.: LETTER OF AUTHORITY IN RESPECT OF TRADING IN BSE / NSE SEGMENT

I/We are dealing in securities with you at NSE / BSE / MSEI vide my/our above referred Trading Account. For smoothoperations of my / our Trading Account, I / we hereby, willfully and unconditionally, authorize you as under:

1. I / We authorize you to set-off any outstanding balance in any of my / our accounts against credits available or arising in anyaccounts maintained with you irrespective of the fact that such credits in the accounts may pertain to any transactions inany segment of any Exchange and/or as a result of the value of cash margin or collateral shares provided to you by me / us.

2. I / We hereby authorize you to keep and retain all the funds and securities which I / we give to you as margin /collateral or otherwise and / or the funds and securities received by you on behalf of us as payout to use the same formeeting any my / our margin, pay-in and / or any other obligations on any of the Stock Exchanges or otherwise. I / Wealso authorize you to pledge such securities in favour of / with any bank and/or taking any loan and / or any othercredit facility against the same. I / We also authorize you to use the said securities to meet any margin/pay-inobligation on my/our behalf or for giving the same as margin to the Stock Exchange or otherwise.

3. I/We authorize you to maintain a running account with you for funds and securities instead of settlement to settlementclearance of funds and securities. I / We also authorize you to retain credit balance in any of our account and to use the sametowards our present and / or future margin, pay-in and / or other obligations at any of the Stock Exchanges unless I / weinstruct you otherwise. I / We further authorize you to demand additional margin/funds as and when required to meet our anyof our obligations. I / We also instruct you that no release of funds and / or securities should be made to me / us unlessspecifically demanded by me / us and only to the extent of amount and / or securities demanded by me / us. However, youshall be at liberty to release such funds and / or securities to me / us whenever you deem it fit. I / We also understand andagree that no interest shall be payable to me / us for any such credit balance of funds and / or securities lying with you.

4. I/We accept that if the amount of Debit Balance is not paid as per Exchange Rules, I/We accept and from ourConsent allow RSPL to charge Interest @ 18% on Daily Basis EOD (End of Day) Debit Balance.

5. Looking to the practical difficulties in placing orders in writing, I / We request you to receive and accept my / ourinstructions for order placement / order modification / order cancellation verbally over telephone and / or by personalvisit to your place.

6. I / We request that you may send/ dispatch the Contract Notes, Bills, Statement of Funds and Securities, Statementof Margin and other documents through E-mail on my / our designed e-mail address as provided to you.

7. I / We will inform you about any change in my / our e-mail address, if any, from time to time in writing.

8. This Letter of Authority shall be valid and binding on us from the date of issue till the date of closure of account or tillthe revocation / modification /renewal of the same, in writing, by me/us, whichever is earlier.

Thanking You,

Your Faithfully,

___________________Signature of the Client

VOLUNTARY

36

CONSENT LETTER FOR EMAIL AND MOBILE ALERT FACILITIES

Dated :_________________


Sir,

This is with reference to my/our trading account opened with you; I/we request you arrange facility of receivingemail and/or mobile alert facility issued by Exchange in compliance with regulation and guidelines issued byconcern authorities from time to time.

* Please specify the Name and PAN detail in case email id and/or Mobile Number is other than that of theclient.

In this regards we state the following :

1. This is to further confirm that it will be my/our responsibility that my/our Email ID and/or Mobile Numberare active and the relevant Inbox is not full. Further, the trading member will not be held liable for themails and / or SMS alert not received.

2. I/we undertake that any change in my/our Email ID and/or Mobile Number shall be communicated toyou in writing through a physical letter.

3. I/we agree that this authority shall be valid, until it is revoked by me/us at any time by giving a writtennotice to KNA SHARE BROKERS PVT. LTD.

_______________________________Signature of Client

Email Facility Service Required - YES NO

Email ID

Owned by - Name

- PAN Number*

Relationship with Client

Signature of the Client

SMS Facility Service Required - YES NO

Mobile Number

Owned by - Name

- PAN Number*

Relationship with Client

Signature of the Client

VOLUNTARY

37

Voluntary information provided by the client in relation to the Prevention of Money Laundering Act, 2002

Name of the Client : ______________________________________________________________

If Business / Profession : Nature of business : ______________________________________________

Industry : ______________________________________________

Details of my/our Relatives, having account with KNA SHARE BROKERS PVT. LTD. :

Details of the Corporate / Partnership Firm / Trust etc. where I/We am/are affiliated

I/We hereby submit and agree to submit every year following documents to KNA SHARE BROKERS PVT. LTD., before thedue date as prescribed by KNA SHARE BROKERS PVT. LTD. :

1. Profit and Loss Account & Capital Account2. Balance Sheet3. Self attested copy of Income Tax Return (If return not available, I/we will furnish Form 16)4. Copy of Form 16 in case of Salary Income5. Any other document providing financial details of the client

I/We confirm that I/We will immediately inform KNA SHARE BROKERS PVT. LTD. in case I/We am/are convicted underany grounds or any action is taken against me/us by any authority(ies).

I/We intend to invest in the stock market with : Own Funds Borrowed Funds(If Borrowed Funds, then please specify below Sources of funds :)

I/We hereby declare that I/We am/are beneficial owner of the Trading / On-line account opened with KNA SHARE BROKERSPVT. LTD., and that I/We am/are investing my/our own funds with KNA SHARE BROKERS PVT. LTD.

______________________________ _________________________________

Client Signature Client’s Name

Name Relationship UCC (Client Code)1.

2.

3.

4.

Name Relationship UCC (Client Code)1.

2.

3.

4.

Entity Type Nature of Business

Sources of Borrowed Funds (if any) Amount (`)

For Office use only :

Risk categorisation of client as per PMLA, 2002 : High Risk Medium Risk Low Risk

Verified by : ______________________________________________________________________

Authorised & Approved by : __________________________________________________________

VOLUNTARY

38

FORMAT OF DECLARATION IN CASE OF HUF ACCOUNT

Date :_________________


Dear Sir,

I hereby request you to open our trading account with you, for our HUF.

Being Karta of my family, I hereby declare that following is the list of members in our HUF, as date ofApplication, as below :

Sr. No. Name of Family Members Relations Date of Birth

1. ________________________________________ _______________ ______________

2. ________________________________________ _______________ ______________

3. ________________________________________ _______________ ______________

4. ________________________________________ _______________ ______________

I hereby also declare that the particulars given me as stated above are true to the best of my knowledgeas on date for making this application to open account.

I agree that any false/misleading information given by me of suppression of any material informationwill render my said account liable for termination and further action. Further, I agree that I willimmediately intimate any death/s or birth/s in the family as it changes the constitution of the HUF.

Thanking You,

Yours truly,

_______________________Signature of Karta(Please affix stamp of HUF)

FORMAT

39

FORMAT OF DECLARATION TO BE GIVEN BY GUARDIAN(In Case of Account opening for minor)

Date :_________________


Ref. : Client Code No. :____________________________

Dear Sir,

This is with reference to the above account opened in the name of Master/M/s________________________________________(name of the minor) with you for the purpose of dealing in securities/contractson National Stock Exchange of India Ltd./BSE Ltd./Metropolitan Stock Exchange of India Ltd.

With reference to the said aforementioned trading account, you are requested to kindly acceptissue/receipt of payments relating to funds/transfer of securities to/from the account of my son/daughter master/ms_____________________________________________ as per the details givenbelow for all future dealings in the said trading account.

Bank Details DP Details

Bank Account No.____________________________________ Client ID No._________________

Bank Name_________________________________________ DP ID No.____________________

Branch_____________________________________________ DP Name____________________

Kindly do the needful.

Thanking you,

Yours faithfully,

_____________________________Signature of the Parent / Guardian

FORMAT

40

FORMAT OF DECLARATION BY SOLE PROPRIETORSHIP

Date :_________________


Dear Sir,

I/We refer to the trading account opened with you in the name of __________________________________________________and declare and authorise you as under.

I/We recognise that a beneficiary account cannot be opened with a depository participant in thename of a sole proprietorship firm as per Regulations. To facilitate the operation of the above tradingaccount with you and for the purpose of completing the share transfer obligations pursuant to thetrading operations, we authorise you to recognise the beneficiary account No.____________________with depository ___________________________________________________ opened in the nameof the undersigned who is the sole proprietor of the firm.

I/We authorise you to transfer the shares purchased by the firm to the beneficiary account no. ____________________in the name of the undersigned and we treat this as complete discharge ofobligations by you in respect of all such trades in the above trading account of the firm.

Yours truly,

________________________________________Signature (Please sign with stamp of the firm)

Further I the undersigned am the sole proprietor of the firm and am solely responsible for the liabilitiesthere of. I shall advise you in writing of any change that takes place in the constitution of the firm andI will be personally liable to you for all the obligations that the firm may incur in the course of dealingwith you and undertake to personally discharge such liabilities.

_________________________________________Signature (Without Stamp)

FORMAT

41

DECLARATION TO BE GIVEN BY PARTNERSHIP FIRM(On the Letter head of the Partnership Firm)

Date :_________________

ToKNA SHARE BROKERS PVT. LTD.405, Todi Chambers, 2, Lalbazar StreetKolkata - 700 001

Dear Sir,

We refer to the trading account opened with you in the name of____________________________________________________________and declare and authorise you as under.

We recognise that a beneficiary account cannot be opened with a depository participant in the nameof a partnership firm as per regulations. To facilitate the operation of the above trading account withyou and for the purpose of completing the securities transfer obligations pursuant to the tradingoperations we authorised you to recognise the beneficiary Account No.___________________ withdepository_________________________________________ opened as a joint account in the nameof partners of the firm. We agree that the obligations for share purchased and/or sold by the firm willbe handled and completed through transfers to/from the above mentioned account. We recognisedand accept transfers made by you to the beneficiary account as complete discharge of obligations byyou in respect of trades executed in the above trading account of the firm.

_____________________________ _____________________________ _____________________________1st Partner’s Signature (with stamp) 2nd Partner’s Signature (with stamp) 3rdPartner’s Signature (with stamp)

Note : In case of more than three partners, please attach separate sheet of this Declaration, signedby all the partners.

FORMAT

42

FORMAT & DECLARATION OF NRI CLIENT CODE APPLICATION

Date :_________________ToKNA SHARE BROKERS PVT. LTD.405, Todi Chambers, 2, Lalbazar StreetKolkata - 700 001

Dear Sir,

I wish to appoint you as my Clearing Member for clearing and settlement of trades done on the F&OSegment of NSE / BSE / MSEI. My details are as follows :

Name (as appearing in Passport) :_____________________________________________________

Passport No. :_________________________ NRE/NRO-Bank A/c. No. :_______________________

Telephone No. :_______________________ E-mail ID :___________________________________

Current Address :__________________________________________________________________

Permanent Address in India__________________________________________________________

I request you to kindly get an NRI Client code allotted by NSE/NSCCL/BSE/ICCL/MSEI/MCCIL forthe same. I wish to open a Trading Account with you as an NRI and I confirm that I will abide by allFEMA rules and regulations formed by the Government of India and RBI. I undertake that all thetrades executed through the above allotted NRI Client code will be on my* behalf.

(*lf the NRI Client Code application is for an HUF then the details of the Karta (Manager) has to begiven in the application and in the undertaking should be provided as follows : “I undertake that allthe trades executed through the above allotted code will be on behalf of HUF”)

Thanking You,

Yours Faithfully,

______________________Signature of NRI Client

FORMAT

43

NRIs SPECIAL TERMS & CONDITIONS IN DERIVATIVES - GUIDELINES

The NSE / BSE / MSEI, has laid down certain terms and conditions for trading by NRIs in exchangetraded Derivatives Contract some of which are as under:

An NRI, who wishes to trade on the F&O Segment of the Exchange, is required to approach theExchange through a Clearing Member, through whom the NRI would like to clear the trades, forallotment of unique Client code.

The Exchange would assign a unique Client code to each NRI, based on the application receivedfrom the Clearing Member of the NRI. A Trading Member placing an order on behalf of an NRI wouldbe required to maintain the unique Client code of the NRI at the time of an order entry.

Incase the NRI wishes to change his Clearing Member or wants to clear the trades from more thanone Clearing Member, all such Clearing Members are required to give separate application to theExchange, for allotment of a unique Client code. The date of expiry of the passport of an NRI shall bebeyond 6 months from the date of application.

POSITION LIMITS

The position limits shall be:

1. For Index Based Contracts, a disclosure requirement for any person or persons acting in concert whotogether own 15%or more of the open interest of all derivative contracts on a particular underlying index.

2. For Stock Option and Single Stock Futures Contracts, the gross open position across all DerivativeContracts on a particular underlying stock of a NRI shall not exceed the higher of :

(a) 1 % of the free float market capitalization (in terms of numberof shares).

(b) 5 % of the open interest in the Derivative Contracts on a particular underlying stock (in termsof number of contracts).

These position limits would be applicable on the combined position in all Derivative Contracts on anunderlying stock at an exchange.

The NRIs position limits at the end of each trading day will be monitored by the Derivative Segmentof the Exchange and its Clearing House/Clearing Corporation in the following manner:

1. The NRI would be required to notify the names of the Clearing Member/s and Custodian through whomthe NRI would clearthe derivative trades to the Exchange and its Clearing House/Clearing Corporation.

2. The NRI would be required to confirm all its positions and the positions of all its sub-accounts tothe designated Clearing Members online but before the end of each trading day.

3. The designated Clearing Member/s would at the end of each trading day submit the details of allthe confirmed NRI trades to the Derivative Segment of the Exchange and their Clearing House/Clearing Corporation.

4. The Exchange and its Clearing House / Clearing Corporation would then compute the total NRItrading exposure and would monitor the position limits at the end of each trading day. Thecumulative NRI position may be disclosed to the market on a T+1 basis, before the commencementof tradingon the next day.

5. In the event of an NRI breaching the position limits on any Derivative Contract on an underlying, theNRI would not be permitted by the exchanges and their Clearing House / Clearing Corporation /Clearing Member/s to take any fresh positions in any Derivative Contracts in that underlying. However,they would be permitted to execute offsetting transactions so as to reduce their open position.

6. The NRIs while trading for each sub-account would also assign a unique Client code with aprefix or suffix of the code assigned by the Exchange and their Clearing House / ClearingCorporation to the NRI. The NRI would be required to enter the unique sub-account code beforeexecuting a trade on behalf of the sub-account.

______________________Signature of the NRI ClientFORMAT

44

FORMAT OF BOARD RESOLUTION IN CASE OF CORPORATE(To be obtained on pre-printed letterhead of the company)

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OFDIRECTORS OF ____________________________ LTD. AND HAVING ITS REGISTERED OFFICEAT____________________________________________________________________________HELD ON__________DAY OF__________________20______AT________________________.

“Resolved that the company is empowered to deal on Capital Market Segment, F&O Segment,Currency Derivatives Segment or any other segment that may be introduced by NSE / BSE / MSEIand in pursuance of the same do enter into agreement with KNA Share Brokers Pvt. Ltd,, a Memberof National Stock Exchange of India Ltd. (NSE), BSE Limited (BSE) and Metropolitan Stock Exchangeof India Ltd. (MSEI) and the said Trading Member be and is hereby authorized to honour instructions,oral or written, given on behalf of the Company by any one of the undernoted authorized signatories:-

Sl. No. Name Designation

1. ____________________________________________ ____________________

2. ____________________________________________ ____________________

3. ____________________________________________ ____________________

who is authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwise dealthrough KNA Share Brokers Pvt. Ltd, on behalf of the Company.

RESOLVED FURTHER THAT CDSL Beneficiary / Clearing Member Demat Account for Securities tobe opened in the name of ________________________________________(Company Name) withKNA Share Brokers Pvt. Ltd, having its registered office at 405, Todi Chambers, 2, Lalbazar Street,Kolkata - 700 001.

RESOLVED FURTHER THAT Mr. and / or Mr. ,Directors and / or Mr. Authorised Signatory of theCompany be and are hereby authorized to sign, execute and submit such applications, undertakings,agreements and other requisite documents, writings and deeds as may be deemed necessary orexpedient to open account and give effect to this resolution.

RESOLVED FURTHER THAT the Common Seal of the Company be affixed, wherever necessary, inthe presence of any Directors or of any one director and Company Secretary, who shall sign thesame in token of the presence.

For Ltd.

Director / Company Secretary

Specimen Signatures of the Authorised Persons

Sl. No. Name Specimen Signature

1. ____________________________________________ ____________________

2. ____________________________________________ ____________________

3. ____________________________________________ ____________________

The above signatures to be attested by the person signing the resolution for account opening onbehalf of the Company.

FORMAT

45

Annexure 2.4Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL

[SMS Alerts will be sent by CDSL to BOs for all debits]

Definitions:

In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

1. “Depository” means Central Depository Services (India) Limited a company incorporated in India under the CompaniesAct 1956 and having its registered office at 17th Floor, P. J.. Towers, Dalal Street, Fort, Mumbai 400001 and all itsbranch offices and includes its successors and assigns.

2. ‘DP’ means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demataccounts for investors.

3. ‘BO’ means an entity that has opened a demat account with the depository. The term covers all types of demataccounts, which can be opened with a depository as specified by the depository from time to time.

4. SMS means “Short Messaging Service”

5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.

6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering intoan arrangement for providing the SMS alerts to the BO.

7. “Service” means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions.

Availability:

1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will beavailable to those accountholders who have provided their mobile numbers to the depository through their DP. Theservices may be discontinued for a specific period / indefinite period, with or without issuing any prior notice for thepurpose of security reasons or system maintenance or for such other reasons as may be warranted. The depositorymay also discontinue the service at any time without giving prior notice for any reason whatsoever.

2. The service is currently available to the BOs who are residing in India.

3. The alerts will be provided to the BOs only if they remain within the range of the service provider’s service area orwithin the range forming part of the roaming network of the service provider.

4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. tothe mobile number as submitted at the time of registration / modification.

5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobilenumber, or loss of handset, on which the BO wants to receive the alerts from the depository. In case of change inmobile number not intimated to the depository, the SMS alerts will continue to be sent to the last registered mobilephone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMSalerts sent on such mobile number.

Receiving Alerts:

1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the serviceor to any such number replaced and informed by the BO from time to time. Upon such registration / change, thedepository shall make every effort to update the change in mobile number within a reasonable period of time. Thedepository shall not be responsible for any event of delay or loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if the mobile phone is in ‘ON’ and in a mode to receive theSMS. If the mobile phone is in ‘Off” mode i.e. unable to receive the alerts then the BO may not get / get after delay anyalerts sent during such period.


46

3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on manyfactors including the infrastructure, connectivity of the service provider. The depository shall not be responsible forany non-delivery, delayed delivery or distortion of the alert in any way whatsoever.

4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenienceand is susceptible to error, omission and/ or inaccuracy. In case the BO observes any error in the information providedin the alert, the BO shall inform the depository and/ or the DP immediately in writing and the depository will make bestpossible efforts to rectify the error as early as possible. The BO shall not hold the depository liable for any loss,damages, etc. that may be incurred/ suffered by the BO on account of opting to avail SMS alerts facility.

5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that thedepository may consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, emailaddress and mobile number for marketing offers between CDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge onreceiving SMS alerts. The BO may send an email to CDSL at [email protected]. The BO is advisednot to inform the service provider about any such unauthorized debit to/ transfer of securities from his BOaccount by sending a SMS back to the service provider as there is no reverse communication between theservice provider and the depository.

7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO andthe depository shall not be under any obligation to confirm the authenticity of the person(s) receiving the alert.

8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner whatsoever.

9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, theBO should immediately inform the DP in writing.

Fees:

Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.

Disclaimer:

The depository shall make reasonable efforts to ensure that the BO’s personal information is kept confidential. Thedepository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider.Further, the depository makes no warranty or representation of any kind in relation to the system and the network or theirfunction or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by anyperson resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respectto the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use oraccess to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate orerroneous use/ misuse of such information by any third person.

Liability and Indemnity:

The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorizedaccess to the information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnifyand keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss,cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequenceof or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

Amendments:

The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Anysuch amendments shall be binding on the BOs who are already registered as user of this service.


47

Governing Law and Jurisdiction:

Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusivejurisdiction of the courts in Mumbai.

I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registrationform subject to the terms and conditions mentioned below. I/ We consent to CDSL providing to the service providersuch information pertaining to account/transactions in my/our account as is necessary for the purposes ofgenerating SMS Alerts by service provider, to be sent to the said mobile number.

I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendmentsthereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by thedepository from time to time.

I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debitstake place, the BOs would be required to take up the matter with their DP.

I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has beenaccepted by the depository for providing the service.

I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what isnot applicable).

BOID

(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

Sole / First Holder’s Name:_________________________________________________________________________

Second Holder’s Name :_________________________________________________________________________

Third Holder’s Name :_________________________________________________________________________

Mobile Number on which messages are to be sent +91

(Please write only the mobile number without prefixing country code or zero)

The mobile number is registered in the name of : ___________________________________________________________

Email ID : _________________________________________________________________________________________

(Please write only ONE valid email ID on which communication; if any, is to be sent)

______________________ __________________________ ___________________________Signatures Sole / First Holder Second holder Third Holder

Place : _______________ Date : _______________

1 2 0 7 1 2 0 0

48

Annexure-2.6Terms And Conditions for availing Transaction Using Secured Texting (TRUST) Service offered by CDSL

1. Definitions:

In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

i. “Depository” means Central Depository Services (India) Limited (CDSL)

ii. TRUST means “Transactions Using Secured Texting” service offered by the Depository.

iii. “Service Provider” means a cellular service provider(s) with whom the Depository has entered / shall enter intoan arrangement for providing the TRUST service to the BO.

iv. “Service” means the service of providing facility to receive/give instructions through SMS on best effort basis asper the following terms and conditions. The types of transaction that would normally qualify for this type ofservice would be informed by CDSL from time to time.

v. “Third Party” means the operators with whom the Service Provider is having / will have an arrangement forproviding SMS to the BO.

2. The service will be provided to the BO at his / her request and at the discretion of the depository provided the BO hasregistered for this facility with their mobile numbers through their DP or by any other mode as informed by CDSL from timeto time. Acceptance of application shall be subject to the verification of the information provided by the BO to the Depository.

3. The messages will be sent on best efforts basis by way of an SMS on the mobile no which has been provided by theBOs. However Depository shall not be responsible if messages are not received or sent for any reason whatsoever,including but not limited to the failure of the service provider or network.

4. The BO is responsible for promptly informing its DP in the prescribed manner any change in mobile number, or lossof handset on which the BO wants to send/receive messages generated under TRUST. In case the new number isnot registered for TRUST in the depository system, the messages generated under TRUST will continue to be sent tothe last registered mobile number. The BO agrees to indemnify the depository for any loss or damage suffered by iton account of messages sent on such mobile number.

5. The BO agrees that SMS received by the Depository from the registered mobile number of the BO on the basis ofwhich instructions are executed in the depository system shall be conclusive evidence of such instructions havingbeen issued by the BO. The DP / CDSL will not be held liable for acting on SMS so received.

6. The BO shall be responsible for submitting response to the ‘Responsive SMS’ within the specified time period.Transactions for which no positive or negative confirmation is received from the BO, will not be executed except fortransaction for deregistration. Further, CDSL shall not be responsible for BOs not submitting the response to the saidSMS within the time limit prescribed by CDSL.

7. The BO agrees that the signing of the TRUST registration form by all joint holders shall mean that the instructionsexecuted on the basis of SMS received from the registered mobile for TRUST shall be deemed to have been executedby all joint holders.

8. The BO agrees to ensure that the mobile number for TRUST facility and SMS alert (SMART) facility is the same. TheBO agrees that if he is not registered for SMART, the DP shall register him for SMART and TRUST. If the mobilenumber provided for TRUST is different from the mobile number recorded for SMART, the new mobile number wouldbe updated for SMART as well as TRUST.

9. BOs are advised to check the status of their obligation from time to time and also advise the respective CMs to do so.In case of any issues, the BO/CM should approach their DPs to ensure that the obligation is fulfilled through anyother mode of delivery of transactions as may be informed / made available by CDSL from time to time includingsubmission of Delivery Instruction Slips to the DP .

10. The BO acknowledges that CDSL will send the message for confirmation of a transaction to the BO only if theClearing Member (registered by the BO for TRUST) enters the said transaction in CDSL system for execution throughTRUST within prescribed time limit.


49

11. The BO further acknowledges that the BO/CM shall not have any right to any claim against either the DP or Depository forlosses, if any, incurred due to non receipt of response on the responsive SMS or receipt of such response after the prescribedtime period. In the event of any dispute relating to the date and time of receipt of such response, CDSL’s records shall beconclusive evidence and the Parties agree that CDSL’s decision on the same shall be final and binding on both Parties.

12. The BO may request for deregistration from TRUST at any time by giving a notice in writing to its DP or by any othermode as specified by Depository in its operating instructions. The same shall be effected after entry of such requestby the DP in CDSL system if the request is received through the DP.

13. Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.

14. The BO expressly authorises Depository to disclose to the Service Provider or any other third party, such BO informationas may be required by them to provide the services to the BO. Depository however, shall not be responsible and be heldliable for any divulgence or leakage of confidential BO information by such Service Providers or any other third party.

15. The BO takes the responsibility for the correctness of the information supplied by him to Depository through the useof the said Facility or through any other means such as electronic mail or written communication.

16. The BO is solely responsible for ensuring that the mobile number is not misused and is kept safely and securely. TheDepository will process requests originated from the registered Mobile as if submitted by the BO and Depository isnot responsible for any claim made by the BO informing that the same was not originated by him.

17. Indemnity:

In consideration of providing the service, the BO agrees that the depository shall not be liable to indemnify the BOtowards any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever as a consequenceof or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

18. Disclaimer:

Depository shall be absolved of any liability in case:-

a. There is loss of any information during processing or transmission or any unauthorized access by any otherperson or breach of confidentiality.

b. There is any lapse or failure on the part of the service providers or any third party affecting the said Facility andthat Depository makes no warranty as to the quality of the service provided by any such service provider.

c. There is breach of confidentiality or security of the messages whether personal or otherwise transmitted throughthe Facility.

INSTRUCTIONS TO THE APPLICANTS (BOS) FOR ACCOUNT OPENING

1. Signatures can be in English or Hindi or any of the other languages contained in the 8th Scheduleof the Constitution of India. Thumb impressions and signatures other than the above mentionedlanguages must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate/ Special Executive Officer under his/her official seal.

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public /Special Executive Magistrate / Special Executive Officer are to be provided in case of attestationdone by them.

4. In case of additional signatures (for accounts other than individuals), separate annexures shouldbe attached to the account opening form.

5. In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self-certified copy thereof, must be lodged along with the application.

6. All correspondence / queries shall be addressed to the first / sole applicant.

7. Strike off whichever option, in the account opening form, is not applicable.


50

Common Registration Form for availing SMS Alert and /or TRUST facility


Dear Sir/Madam,

I/We wish to avail the following facility/ies provided by the depository on my/our mobile number asprovided below, subject to the terms and conditions as specified by CDSL :

a. SMART-SMS alert facility

b. TRUST- TRansaction using Secured Texting facility

(please note that SMS alert facility is mandatory if TRUST facility is opted for)

BOID

(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

Sole / First Holder’s Name : __________________________________________________________

Second Holder’s Name : _____________________________________________________________

Third Holder’s Name : _______________________________________________________________

Mobile Number on which messages are to be sent +91

(Please write only the mobile number without prefixing country code or zero)

(Existing users registered for SMS alerts:- Please note that if the mobile number for TRUST isdifferent than the registered mobile number for SMS alert, the new mobile number will beupdated for SMS alert also. )

The mobile number is registered in the name of:

(Name) __________________________________________________________________________

Email ID: _________________________________________________________________________(Please write only ONE valid email ID on which communication; if any, is to be sent)

I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purpose of availing the said facility.

I/We have read and understood the terms and conditions prescribed by CDSL for the said facility/iesand agree to abide by them and any amendments thereto made by the depository from time to time.I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time.

_________________________________________________________________Signatures Sole / First Holder Second holder Third Holder

Place : _______________

Date : _______________

1 2 0 7 1 2 0 0

51

Y Date

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

First Holder Name

Second Holder Name

Third Holder Name

YYYMMDD

OPTION FORM FOR ISSUE OF DIS BOOKLET


Dear Sir / Madam,

I / We hereby state that : [Select one of the options given below]

OPTION 1 :

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on openingmy / our CDSL account though I / we have issued a Power of Attorney (POA) in favour of KNA ShareBrokers Pvt. Ltd. for executing delivery instructions for setting stock exchange trades [settlementrelated transactions] effected through such Clearing Member.

Yours faithfully

OR OPTION 2 :

I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued aPOA in favour of KNA Share Brokers Pvt. Ltd. for executing delivery instructions for setting stockexchange trades [settlement related transactions] effected through such Clearing Member. However,the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / ourrequest at any later date.

Yours faithfully

Name

Signature

First / Sole Holder

Second Joint Holder Third Joint Holder

Name

Signature

First / Sole Holder

Second Joint Holder Third Joint Holder

52

AUTHORITY LETTER

ToKNA SHARE BROKERS PVT. LTD. (KSBPL)405, Todi Chambers2, Lalbazar Street

Kolkata - 700 001

Sub : Authority to debit the Demat Account Charges

Dear Sir,

This is to inform KNA Share Brokers Pvt. Ltd. that,

1. I/We have a beneficiary account with KNA Share Brokers Pvt. Ltd. (DP) with client ID as mentionedabove.

2. Further I/we have a trading account with KNA Share Brokers Pvt. Ltd. (trading code mentionedabove) for investment and trading purpose.

3. I/We find it extremely inconvenient to give cheques against your depository bills and clientregistration charges.

With respect to the above mentioned subject and consideration, I/we hereby authorize you to debitthe trading account maintained with KNA Share Brokers Pvt. Ltd. for the debit charges payable toKSBPL, as Depository Participant for providing depository services. Any such debited to my/ouraccount shall be binding on me/us.

Thanking You

Yours faithfully,

Signature of the Client :__________________ ____________________ _____________________First Holder Second Holder Third Holder

Name of the client : _______________________________________

Address : _______________________________________

_______________________________________

_______________________________________

Beneficiary Client ID

Trading Account Code

53

KNA SHARE BROKERS PVT. LTD.Regd. Office : 405, Todi Chambers, 2, Lalbazar Street, Kolkata - 700 001Phone : (033) 2230-1216/1136, Fax : (033) 2248-4164E.mail : [email protected], Website : www.knasharebroker.comCIN : U67120WB2004PTC098245Investors’ Complaints Redressal E.mail : [email protected] ID : 12071200 SEBI REGN. NO. : IN-DP-CDSL-626-2011

CHARGE STRUCTURE

Sl.No. Type Rates Minimum payable

1. Account Opening Nil -

2. Custodian Charges Nil -

3. Buy Nil -

4. Statement by e.mail Nil -

5. Sell 0.01% of value of transaction ` 15/-

6. All kind of Pledge/Hypothecation request 0.01% of value of Securities ` 35/-

7. All kind of lending/borrowing request 0.01% of value of securities ` 35/-

8. Dematerialisation ` 10/- per certificate plus

` 25/- courier charges

9. Rematerialisation ` 10/- per certificate ` 50/-

10. Annual Maintenance charges ` 450/- for Individual -

` 950/- for Corporate -

11. Easi Facility* Nil -

12. Easiest Facility** ` 100/- per annum -

13. Account of choice *** ` 400/- p.a. & Token Charges ` 2250/-

and annual renew of token charge ` 1150/-

* Only viewing Holding & Status of transaction(s) executed in the last 30 days

** is a mode of operation through which transfer of securities can take place to settlement related accounts of CMs(brokers) only.

*** is a mode of operation through which transfer of securities can take place to any account of choice.

NOTES :

1. Only 1st year’s annual account maintenance charges are collected at the time of account opening. All other chargesare billed on a monthly basis if you have any transactions during that month.

2. In case of delays in the payment of charges, the demat account can be frozen for all operations till such time all duesare cleared. Please refer to clause 2 mentioned in the agreement overleaf.

3. “All market instructions for transfer must be received latest by 4.00 p.m. on the previous working day prior to thepay in day as per SEBI guidelines. All Off Market instructions for transfer must be received at least 24 hoursbefore the execution date. Late instructions would be accepted at the Account Holder’s sole risk and responsibility”.

4. Charges are subject to revision at the company’s sole discretion and as per revision in CDSL charges.

5. Any service not quoted above will be charged separately.

6. Value of transactions will be in accordance with rates provided by the depository.

7. Service tax and other statutory charges, if applicable will also be levied.

8. Charges may also be collected upfront, by the point of acceptance of Delivery Instructions.

9. Charges for POA stamping will be charged extra.

I/we have read and understood the “Schedule of Charges” prescribed above and agree to abide by the same.

Signature of Account Holders :

_____________________________ _____________________________ _____________________________Sole/First Holder 2nd Holder 3rd Holder

54

DECLARATION OF ULTIMATE BENEFICIAL OWNERSHIP(Mandatory For Non-Individuals)

Investor Name_____________________________________________________PAN_____________________________

Part I - LISTED COMPANY / ITS SUBSIDIARY COMPANY [If applicable, Part II Not Applicable]

We hereby declare that the Applicant/ Owner of the controlling interest in the applicant

is a Company listed on a Stock Exchange

is a majority-owned subsidiary of a Company listed on a Stock Exchange

Name of the holding/ parent company (with % share)____________________________________________________

Name of such Listed Company (if not the Applicant itself)_____________________________________________________

Stock Exchange where listed__________________________________________Security ISIN______________________

Part II - OTHER THAN LISTED COMPANY / ITS SUBSIDIARY COMPANY

If UBO is already KYC compliant, KYC complied proof to be enclosed. Else PAN or any other valid identity proof andaddress proof must be attached (self certified by the UBO and certified by the Applicant)

Part III - DECLARATION

In case the above information is not provided, it will be presumed that applicant is the ultimate beneficial owner,with no declaration to submit.

____________________________________Authorised Signatory [with seal]

Date : Place :

We understand that KNA Share Brokers Pvt. Ltd. is relying on thisinformation for the purpose of determining the beneficial ownershipof the account. We certify that the information we provided on thisform is true and complete to the best of our knowledge and belief.We agree to submit a new form within 30 days if any information orcertification on this form gets changed.

UBO Code(see

instructionnext page)

% ofbeneficialinterest in

the Applicant

PAN or any otheridentification proof

where PAN notapplicable

WhetherPoliticallyExposed?

Countryof tax

residency

Name & Address of the Ultimate Beneficial Owner[UBO]

(1)

(2)

(3)

55

GENERAL INFORMATION & INSTRUCTIONS

As per SEBI Master Circular No. CIR/ISD/AML/3/2010 dated December 31, 2010 regarding Client Due Diligence policy,related circulars on anti-money laundering and SEBI circular No. CIR/MIRSD/2/2013 dated January 24, 2013, non-individualsand trusts are required to provide details of ultimate beneficiary owner [UBO] and submit appropriate proof of identity ofsuch UBOs. The beneficial owner has been defined in the circular as the natural person or persons, who ultimately owncontrol or influence a client and/or persons on whose behalf a transaction is being conducted, and includes a person whoexercises ultimate effective control over a legal person or arrangement.

Ultimate Beneficiary Owner [UBO]:

A. For Investors other than individuals or trusts:

(i) The identity of the natural person, who, whether acting alone or together, or through one or more juridicalperson, exercises control through ownership or who ultimately has a controlling ownership interest. Controllingownership interest means ownership of/entitlement to:

- more than 25% of shares or capital or profits of the juridical person, where the juridical person is a company:

- more than 15% of the capital or profits of the juridical person, where the juridical person is a partnership;

- more than 15% of the property or capital or profits of the juridical person, where the juridical person is anunincorporated association or body of individuals.

(ii) In cases where there exists doubt under clause (i) above as to whether the person with the controlling ownershipinterest is the beneficial owner or where no natural person exerts control through ownership interests, theidentity of the natural person exercising control over the juridical person through other means like throughvoting rights, agreement, arrangements or in any other manner.

(iii) Where no natural person is identified under clauses (i) or (ii) above, the identity of the relevant natural personwho holds the position of senior managing official.

B. For Investors which is a trust:

The identity of the settler of the trust, the trustee, the protector, the beneficiaries with 15% or more interest in the trustand any other natural person exercising ultimate effective control over the trust through a chain of control or ownership.

C. Exemption in case of listed companies/foreign investors

The client or the owner of the controlling interest is a company listed on a stock exchange, or is a majority-ownedsubsidiary of such a company, it is not necessary to identify and verify the identity of any shareholder or beneficialowner of such companies Intermediaries dealing with foreign investors’ viz., Foreign Institutional Investors, SubAccounts and Qualified Foreign Investors, may be guided by the clarifications issued vide SEBI circular CIR/ MIRSD/11/2012 dated September 5, 2012, for the purpose of identification of beneficial ownership of the client.

UBO Code Description

UBO-1 : Controlling ownership interest of more than 25% of shares or capital or profits of the Applicant, where theApplicant is a company UBO-2 : Controlling ownership interest of more than 15% of the capital or profits of the Applicant,where the Applicant is a partnership UB0-3 : Controlling ownership interest of more than 15% of the property or capital orprofits of the Applicant, where the Applicant is an unincorporated association or body of individuals UB0-4 : Natural personexercising control over the Applicant through other means i.e., exercised through voting rights, agreement, arrangementsor in any other manner [In cases where there exists doubt under UBO-1 to UBO-3 above as to whether the person with thecontrolling ownership interest is the beneficial owner or where no natural person exerts control through ownership interests] UBO-5 : Natural person who holds the position of senior managing official [In case no natural person could be identifiedas above] UBO-6 :The settler(s) of the trust UBO-7 :Trustee(s) of the Trust UBO-8 :The Protector(s) of the Trust [ifapplicable]. UBO-9 :The beneficiaries with 15% or more interest in the trust if they are natural person(s) UBO-10 :Natural person(s) exercising ultimate effective control over the Trust through a chain of control or ownership.

56

FATCA/CRS DECLARATION FORM - FOR INDIVIDUAL

Applicant Name___________________________________________________________________________________

PART I - Please fill in the country for each of the following :

1. Country of :

a) Birth______________________________ b) Citizenship______________________________

c) Residence for Tax Purposes______________________________

2. US Person* : Yes No

PART II - Please note :

a. If in all fields above, the country mentioned by you is India and if you do not have US person status, please proceedto Part III for signature.

b. If for any of the above field, the country mentioned by you is not India and/or if your US person status is Yes, please providethe Tax Payer Identification Number (TIN) or functional equivalent** as issued in the specific country in the table below :

i) TIN______________________________ Country of Issue______________________________

ii) TIN______________________________ Country of Issue______________________________

iii) TIN______________________________ Country of Issue______________________________

a. In case any of the parameters in Part I indicates that you are a US person or a person resident outside of India for taxpurpose and you do not have Taxpayer Identification Numbers/functional equivalent, please complete and sign theSelf-Certification section given in Part IV.

b. In case you are declaring US person status as ‘No’ but your Country of Birth is US, please provide document evidencingRelinquishment of Citizenship. If not available provide reasons for not having relinquishment certificate

__________________________________________________________________________________________

Please also fill Part IV Self-Certification.

PART III - Customer Declaration (Applicable for all customers)

(i) Under penalty of perjury, I/we certify that :

1. The applicant is (i) an applicant taxable as a US person under the laws of the United States of America (“U.S.”)or any state or political subdivision thereof or therein, including the District of Columbia or any other states of theU.S., (ii) an estate the income of which is subject to U.S. federal income tax regardless of the source thereof.(This clause is applicable only if the account holder is identified as a US person)

2. The applicant is an applicant taxable as a tax resident under the laws of country outside India. (This clause isapplicable only if the account holder Is a tax resident outside of India)

(ii) I/We understand that KNA Share Brokers Pvt. Ltd. is relying on this information for the purpose of determining thestatus of the applicant named above in compliance with FATCA/CRS. KNA Share Brokers Pvt. Ltd. is not able to offerany tax advice on CRS or FATCA or its impact on the applicant. I/we shall seek advice from professional tax advisorfor any tax questions.

(iii) I/We agree to submit a new form within 30 days if any information or certification on this form becomes incorrect.

(iv) I/We agree that as may be required by domestic regulators/tax authorities KNA Share Brokers Pvt. Ltd. may also berequired to report, reportable details to CBDT or close or suspend my account.

(v) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certificationis true, correct, and complete including the taxpayer identification number of the applicant.

Signature :________________________________________________________________________________________

Name :____________________________________________________Date (DD/MM/YYYY) :______________________

P.T.O

57

PART IV - Self-Certification :

To be filled only if-

(a) Name of the country in Part I is other than India and TIN or functional equivalent is not available, or

(b) US person is mentioned as Yes in Part I, and TIN is not available

I confirm that I am neither a US person nor a resident for Tax purpose in any country other than India, though one or moreparameters suggest my relation with the country outside India. Therefore, I am providing the following document as proofof my citizenship and residency in India.

____________________________________Signature

Document Proof submitted (Please tick document being submitted)

Passport Election Id Card PAN Card Driving License UIDAI Letter NREGA Job Card Govt.Issued ID Card

* U.S. Person means,

(a) an individual, being a citizen or resident of the United States of America;

(b) a partnership or corporation organized in the United States of America or under the laws of the United States ofAmerica or any State thereof;

(c) a trust if,-

(i) a court within the United States of America would have authority under applicable law to render orders orjudgments concerning substantially all issues regarding administration of the trust; and

(ii) one or more U.S. persons have the authority to control all substantial decisions of the trust; or

(d) an estate of a decedent who was a citizen or resident of the United States of America;

** Functional Equivalent of TIN

Many countries do not issue TIN to their taxpayers. However, such countries issue some other high integrity number withan equivalent level of identification (a functional equivalent). Examples of such numbers are-

- Social Security Number

- National Insurance Number

- Citizen Or Personal Identification Code Or Number

- Resident Registration Number

58

FATCA/CRS DECLARATION FORM - FOR NON-INDIVIDUAL

Applicant Name___________________________________________________________________________________

PART I

A. Is the account holder a Government body/International Organization/listed company on recognized stock exchange:

Yes No

If “No”, then proceed to point B. If “yes” please specify name of stock exchange, if you are listed company _______________________________________ and proceed to sign the declaration.

B. Is the account holder a (Entity/Financial Institution) tax resident of any country other than India : Yes No

If “yes”, then please fill of FATCA/ CRS Self certification Form. If “No”, proceed to point C.

C. Is the account holder an Indian Financial Institution : Yes No

If “yes”, please provide your GIIN, if any ______________________. If “No”, proceed to point D.

D. Are the Substantial owners or controlling persons in the entity or chain of ownership resident for tax purpose in anycountry outside India or not an Indian citizen : Yes No

If “yes”, (then please fill FATCA/ CRS self-certification form)). If “No”, proceed to sign the declaration.

CUSTOMER DECLARATION

( ) Under penalty of perjury, I/we certify that :

1. The applicant is:

(i) An applicant taxable as a US person under the laws of the United States of America (“U.S.”) or any state orpolitical subdivision thereof or therein, including the District to Columbia or any other states of the U.S.,

(ii) An estate the income of which is subject to U.S. federal income tax regardless of the source thereof. (Thisclause is applicable only if the account holder is identified as a US person)

2. The applicant is an applicant taxable as a tax resident under the laws of country outside India.

(i) I/We understand that KNA Share Brokers Pvt. Ltd. is relying on this information for the purpose of determiningthe status of the applicant named above in compliance with FATCA/CRS. KNA Share Brokers Pvt. Ltd. is notable to offer any tax advice on FATCA/CRS or its impact on the applicant. I/we shall seek advice from professionaltax advisor for any tax questions.

(ii) I/We agree to submit a new form within 30 days if any information or certification on this form becomes incorrect.

(iii) I/We agree that as may be required by domestic regulators/tax authorities KNA Share Brokers Pvt. Ltd. mayalso be required to report, reportable details to CBDT or close or suspend my account.

(iv) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief thecertification is true, correct, and complete including the taxpayer identification number of the applicant.

Name of the Entity__________________________________________________________________________________

Signature 1_____________________________________ Signature 2_____________________________________

Signature 3_____________________________________ ( As per MOP)

Date :____________________________

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PART II

Self-Certification Form (Entity) for Foreign Account Tax Compliance Act (“FATCA”) and Common Reporting Standards(CRS)

Section 1 : Entity information

Name of Entity_____________________________________________________________________________________

Customer id (if existing)_________________________________Entity Constitution Type___________________________

Entity Identification type : Tax Identification Number (TIN) US GIIN Company Identification Number

Global Entity Identification Number (EIN) Other

Entity Identification No._______________________________________________________________________________

Entity Identification issuing country__________________Country of Residence for tax purpose____________________

Section 2 : Classification of Non-Financial entities

I/We (on behalf of the entity) certify that the entity is:

a) An entity incorporated and taxable in US (Specified US person) : Yes No

If “Yes”, please provide your U.S. Taxpayer Identification Number (TIN)______________________________________

b) An entity incorporated and taxable outside of India (other than US) : Yes No

If “Yes”, please provide your TIN or its functional equivalent_______________________________________________

Provide your TIN issuing country ___________________________________________________________________

c) Please provide the following additional details if you are not a Specified US Person :

FATCA / CRS classification for Non-financial entities (NFFE)

Active NFFE Passive NFFE without any controlling Person

Passive NFFE with Controlling Person(s) : US Others

Direct Reporting NFFE (Choose this if any entity has registered itself for direct reporting for FATCA and thus

KNA Share Brokers Pvt. Ltd. is not required to do the reporting)

Please provide GIIN number :______________________________________________________________________

Section 3 : Classification of financial institutions (including Banks)

I/We (on behalf of the entity) certify that the entity is :

a. An entity is a U.S. financial institution : Yes No

If “Yes”, (i) Please provide your Taxpayer Identification Number (TIN)

(ii) Please provide GIIN, if any ______________________________________________________________

If “No”, please tick one of the following boxes below :

FATCA classification Please provide the Global IntermediaryIdentification number (GIIN) or other information where

Reporting Foreign Financial Institution in a Model 1 Inter-Governmental Agreement (“IGA”) Jurisdiction ________________________________________

Reporting Foreign Financial Institution in a Model 2 IGA Jurisdiction ________________________________________

Participating FFI in a Non-IGA Jurisdiction ________________________________________

Non-reporting FI ________________________________________

Non-Participating FI ________________________________________

Owner-Documented FI with specified US owners ________________________________________

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Section 4 : Controlling person declaration

If you are classified as “Passive NFFE with Controlling Person(s)” or “Owner documented FFI” or “Specified USperson”, please provide the following details:

Country ofresidence fortax purpose

TIN issuingcountry

Controllingperson type

Name of controlling person Correspondence Address TIN

Controlling person 1Details

Identification Type

Identification Number

Occupation Type

Occupation

Birth Date

Nationality

Country of Birth

Section 5 : Declaration

(i) Under penalty of perjury, I/we certify that :

1. The number shown on this form is the correct taxpayer identification number of the applicant, and

2. The applicant is (i) an applicant taxable as a US person under the laws of the United States of America (“U.S.”)or any state or political subdivision thereof or therein, including the District of Columbia or any other states of theU.S., (ii) an estate the income of which is subject to U.S. federal income tax regardless of the source thereof, or

3. The applicant Is an applicant taxable as a tax resident under the laws of country outside India.

(ii) I/We understand that KNA Share Brokers Pvt. Ltd. is relying on this information for the purpose of determining thestatus of the applicant named above in compliance with CRS/FATCA. KNA Share Brokers Pvt. Ltd. is not able to offerany tax advice on CRS or FATCA or its impact on the applicant. I/we shall seek advice from professional tax advisorfor any tax questions.

(iii) I/We agree to submit a new form within 30 days if any information or certification on this form gets changed.

(iv) I/ We agree as may be required by Regulatory authorities, KNA Share Brokers Pvt. Ltd. shall be required to complyto report, reportable details to CBDT or close or suspend my account.

(v) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certificationis true, correct and complete including the tax payer identification number of the applicant.

I/We hereby confirm that details provided are accurate, correct and complete

_______________________________________________________________________Authorized Signatories and Company Seal (if applicable)

Name________________________________________________________Date (DD/MM/YYYY)___________________

Controlling person 2Controlling person 3Controlling person 4Controlling person 5

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ANTI-MONEY LAUNDERING (AML) – COMBATING FINANCING OF TERRORISM (CFT)WHAT YOU MUST KNOW – FAQS

Help us in preventing money laundering / terrorist financing.........Your assistance really matters us.

Ever wondered why the Broker is asking you certain personal information which has hitherto never been called for? Such informationcan include documents evidencing source of funds / income tax returns / bank records etc. By providing this information to the Broker,at the time of account opening and subsequently as and when required, you are actually assisting the efforts in prevention of moneylaundering / terrorist financing. Here are the details, presented in the form of frequently asked questions (FAQs) to let you know how.

What is Money Laundering?

Money Laundering is the process by which criminals attempt to hide and disguise the true origin and ownership of the proceedsof their criminal activities, thereby avoiding prosecution, conviction and confiscation of the criminal funds. The term MoneyLaundering is also used when the funds are used for terrorist financing, though the origin of the funds may be legitimate.

Money Laundering has acquired a global character that not only threatens security, but also compromises the stability,transparency, and efficiency of financial systems. Money-laundering techniques are becoming more sophisticated andcomplex with each passing day.

The objective of AML & CFT Program is to prevent financial intermediaries from being used as a tool for the purpose ofMoney Laundering & terrorist financing and to preserve the integrity of the Financial system.

In response to mounting concern over money laundering, the Financial Action Task Force on money laundering (FATF)was established by the G-7 Summit in Paris in 1989 to develop a co-ordinated international response. One of the firsttasks of the FATF was to develop Recommendations, 40 in all, which set out the measures national governments shouldtake to implement effective anti-money laundering programmes.

How much money is laundered per year?

The IMF has stated in 1996 that the aggregate size of money laundering in the world could be somewhere between twoand five percent of the world’s gross domestic product.

Using 1996 statistics, these percentages would indicate that money laundering ranged between USD 590 billion and USD1.5 trillion. However it must be said that overall it is absolutely impossible to produce a reliable estimate of the amount ofmoney laundered and therefore the FATF does not publish any figures in this regard.

How is money laundered?

In the initial - or placement - stage of money laundering, the launderer introduces his illegal profits into the financialsystem. This might be done by breaking up large amounts of cash into less conspicuous smaller sums that are thendeposited directly into a bank account, or by purchasing a series of monetary instruments (cheques, money orders, etc.)that are then collected and deposited into accounts at another location.

After the funds have entered the financial system, the second – or layering – stage takes place. In this phase, the laundererengages in a series of conversions or movements of the funds to distance them from their source. The funds might bechannelled through the purchase and sales of investment instruments, or the launderer might simply wire the funds througha series of accounts at various banks across the globe. This use of widely scattered accounts for laundering is especiallyprevalent in those jurisdictions that do not co-operate in anti-money laundering investigations. In some instances, thelaunderer might disguise the transfers as payments for goods or services, thus giving them a legitimate appearance.

Having successfully processed his criminal profits through the first two phases the launderer then moves them to the thirdstage – integration – in which the funds re-enter the legitimate economy. The launderer might choose to invest the fundsinto real estate, luxury assets, or business ventures.

Where does money laundering occur?

Money laundering can occur practically anywhere in the world. Generally, money launderers tend to seek out countries orsectors in which there is a low risk of detection due to weak or ineffective anti-money laundering programmes.

How does money laundering affect business, economic development & society at large?

Money laudering damages the integrity of the financial institution, entire society and undermines democracy and the ruleof the law as it rewards corruption and crime.

There is a damping effect on foreign direct investment when a country’s commercial and financial sectors are perceivedto be subject to the control and influence of organised crime. Fighting money laundering and terrorist financing is thereforea part of creating a business friendly environment which is a precondition for lasting economic development.


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The possible social and political costs of money laundering, if left unchecked or dealt with ineffectively, are serious.Organised crime can infiltrate financial institutions, acquire control of large sectors of the economy through investment, oroffer bribes to public officials and indeed governments.

The economic and political influence of criminal organisations can weaken the social fabric, collective ethical standards,and ultimately the democratic institutions of society.

How does fighting money laundering help fight crime?

Targeting the money laundering aspect of criminal activity and depriving the criminal of his ill-gotten gains means hittinghim where he is vulnerable. Without a usable profit, the criminal activity will not continue.

What should individual governments be doing about it?

A great deal can be done to fight money laundering, and, indeed, many governments have already establishedcomprehensive anti-money laundering regimes. These regimes aim to increase awareness of the phenomenon – bothwithin the government and the private business sector – and then to provide the necessary legal or regulatory tools to theauthorities charged with combating the problem.

Some of these tools include making the act of money laundering a crime; giving investigative agencies the authority totrace, seize and ultimately confiscate criminally derived assets; and building the necessary framework for permitting theagencies involved to exchange information among themselves and with counterparts in other countries.

What are Local regulations on AML / CFT?

a) Prevention of Money Laundering Act,2002 (PMLA) came in to force with effect from July 01,2005 read with theprevention of Money Laundering (Amendment) Act,2009.

b) SEBI Guidelines on PMLA vide circular issued in January 2006 followed by latest Master circular issued in February 2010.

c) Exchanges have also issued Guidelines on PMLA to be followed by all registered intermediary.

How is Money Laundering defined under PMLA 2002?

Section 3 of the Prevention of Money Laundering Act (PMLA) 2002 defines the “Offence of Money Laundering” as:

“Whosoever directly or indirectly attempts to indulge or knowingly assists or knowingly is party or is actually involved inany process or activity connected with the proceeds of crime and projecting it as untainted property shall be guilty of theoffence of money laundering.”

“Proceeds of crime” has been defined in Section 2 of the PMLA as the property derived or obtained directly or indirectlyby any person, as a result of criminal activity relating to a scheduled offence or the value of such property.

“Scheduled Offences”, as per section 2 of PMLA, are specified in two parts of the schedule to PMLA. The value involvedin offences specified in Part B should be Rs.30 lakhs or more.

Why KYC / AML Policy for Market Intermediary?

SEBI has instructed all Market Intermediary to adopt a KYC / AML Policy

a) To prevent criminal elements from using the Capital Market for money laundering activities.

b) To enable the Broker to know / understand the customers and their financial dealings better, which in turn would helpthe Broker to manage risks prudently.

c) To put in place appropriate controls for detection and reporting of suspicious activities in accordance with applicablelaws / laid down procedures.

d) To comply with applicable laws and regulatory guidelines.

e) To take necessary steps to ensure that the concerned staff is adequately trained in KYC / AML procedures.

What are the obligations of Market Intermediary under PMLA 2002?

Section 12 of PML Act 2002, places certain obligations on every banking company, financial institution and marketintermediary, which include:

a) Maintaining a record of prescribed transactions.

b) Furnishing information of prescribed transactions to the specified authority (Financial Intelligence Unit-India (FIU-IND).

c) Verifying and maintaining records of the identity of its clients.

d) Preserving records in respect of a,b,c above, for a period of 10 years from the date of cessation of transactions withthe clients.


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What is Financial Intelligence Unit-India (FIU-IND)?

FIU-IND is a central, national agency, set up by Government of India on 18th November,2004, responsible for receiving(and as permitted, requesting), analyzing and disseminating to the competent authorities, disclosures of financial information(i) Concerning suspected proceeds of crime and potential financing of terrorism, or (ii) Required by national legislation orregulation, in order to combat money laundering and terrorist financing.

What are the transactions to be reported by Market Intermediary to FIU-IND?

a) All cash transactions of the value of more than Rs.10 lakhs or its equivalent in foreign currency.

b) All series of cash transactions integrally connected to each other, which have been valued below Rs.10 lakhs or itsequivalent in foreign currency (excluding individual transactions below Rs.50,000/- in the reporting) where such series oftransactions have taken place within a month and the aggregate value of such transactions exceeds Rs.10 lakhs.

c) Counterfeit currency transactions.

d) Suspicious transactions.

What are suspicious transactions?

Rule 2(1)(g) of PMLA-2002 defines suspicious transactions as:

A transaction whether or not made in cash which, to a person acting in good faith :

(a) gives rise to a reasonable ground of suspicion that it may involve the proceeds of crime; or

(b) appears to be made in circumstances of unusual or unjustified complexity; or

(c) appears to have no economic rationale or bonafide purpose; or

(d) gives rise to a reasonable ground of suspicion that it may involve financing of activities relating to terrorism.

AML Policy

Know Your Customer (KYC)

Maintenance of Records

Screening against negative lists

Risk Assessment

Clients of Special Category

Monitoring, Identification &Reporting of SuspiciousTransactions

Audit

We have in place written policy & procedure as per guidelines issued by SEBI/ Exchange

We have in place system for identification of our clients including KYCdocumentation.

We update the client profile on a regular basis.

We have in place record maintenance and retention procedures as prescribed.We screen the client database to ensure that it is not held by or linked toanyone included in the specified list.

We have in place system to place clients into high, medium & low risk categoryand apply enhanced due diligence for clients that pose a higher risk.

We have in place policy to place clients of special category such as personswith political link, non residents, Trusts, NGOs, closely held Companies, etc.in high risk category.

We have in place, systems and procedures for monitoring, detection andreporting of suspicious transactions to the relevant authorities.

We are subject to inspection by SEBI/Exchange. Additionally we are periodicallyaudited by an independent internal auditor that assesses AML policies andprocedures too.

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AML Measures Particulars

POLICY / DECLARATION ON AML / CFL


REQUEST FOR NON-CONVERSION OF REGULAR DEMAT ACCOUNTINTO BASIC SERVICES DEMAT ACCOUNT (BSDA)

From :

_________________________

_________________________

_________________________

Date : _____________________

ToKNA SHARE BROKERS PVT. LTD.DP ID : 12071200405, Todi Chambers2, Lalbazar StreetKolkata - 700 001

Dear Sir,

With reference to my/our application for opening a Demat Account with you as per the followingdetails,

Name PAN

Sole/First Holder __________________________________ ________________________

Second Holder __________________________________ ________________________

Third Holder __________________________________ ________________________

Please note that I/We have read and understood the SEBI Guidelines for facility for a BSDA. I/Wehereby declare that I/we am/are do not wish to open a Depository Account as a BSDA holder andundertake to comply with the requirements specified by SEBI or any such Authority for such facilityfrom time to time. Further, at any point of time in future, even if my/our account do meet the eligibilityof a BSDA, my/our aforesaid Account should always be a Regular Account & never be converted intoBSDA Account.

Thanking you,

Yours truly,


Client ID______________

ACKNOWLEDGEMENT FOR THE RECEIPT OF DOCUMENTSFrom:

______________________________________

______________________________________

______________________________________

______________________________________

Date :______________________

ToKNA SHARE BROKERS PVT. LTD.DP ID : 12071200405, Todi Chambers2, Lalbazar StreetKolkata - 700 001

Ref. : Acknowledgement for the receipt of documents

Dear Sir,

This is to acknowledge and declare that

I/We have received a photocopy of the KYC (full booklet), duly executed with you, to my/oursatisfaction including my / our Unique Client Code (Trading Code).

I/We have ( Physically Electronically) received, read and understood the Rights & Obligations,Risk Disclosure Documents, Guidance Note, “Rights and Obligations of Beneficial Owner andDepository Participant” as prescribed by SEBI and Depositories

I/We have received, read and understood the Policies and Procedures.

I/We have received Copy of Power of Attorney

I/We have received Client Master Report

The email id noted with you (for ECN and other purposes) is correct.

I/we hereby declare that I/we have the full intimation of the Client ID allotted to me/us.

Thanking you,

Yours truly,


Client Code______________

FOR OFFICIAL USE ONLY(Only for Defective Forms)

Date of First Receipt of Agreement :_______________________

Reason(s) for Return, if any : Rectified / Corrected ()

01. ____________________________________

02. ____________________________________

03. ____________________________________

04. ____________________________________

05. ____________________________________

06. ____________________________________

07. ____________________________________

08. ____________________________________

09. ____________________________________

10. ____________________________________

Name of Returning Official :_____________________________________________

Signature of Returning Official :__________________________________________

Date of Return :________________________________

Corrected Form Received on :____________________

Note : Please ensure that no point is left blank. In case there are no points tomention, write “N.A.” in that point.