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TRADING
&
DEPOSITORY
APPLICATION
DP / TRADING ACCOUNT OPENING FORM - FOR INDIVIDUALS
1
“TRADEPLUS” is the online brand of Navia Markets Ltd
QUICK CHECK LIST
REGISTERED OFFICE ADDRESS CORRESPONDENCE OFFICE ADDRESS
“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com
“Ganga Griha”, 4th & 5th Floor,No.9, Nungambakkam High Road,Chennai – 600 034. Ph: 1800-425-75757www.tradeplusonline.com /open@tradeplusonline.com
s
Print 19 pages (4th Page to 22nd page) and affix 16 signatures
DP Account Opened by more than one holder, separate KYC forms for each individual should be attached. (pages 4)
Paste Passport size Photograph on Page 4 and sign across
Sign all areas highlighted with ‘ ’ symbol
Enclose Photocopy of PAN CARD and address Proof with self attestation
Enclose Cancelled Cheque leaf to confirm your bank details
Fill the nomination details and affix the photo of Nominee and also obtain the signature of NOMINEE in page No.8
In case, Nominee is Minor, affix the photo of Guardian and also obtain the signature of Guardian in Page No.9
COMPLIANCE OFFICER DETAILS SEBI REGISTRATION NUMBERS
S KrishnamurthyPh: +91-44-39189449compliance@naviamarkets.com
NSE CM / F&O / CD :INB / F/ E230770833BSE CM / F&O : INB / F010770833NSDL : IN DP NSDL - 37 -97
S K HozefaPh: +91-44-39189449ceo@naviamarkets.com
Name : IL&FS Securities Services LtdNSE F&O : INF231133630 BSE F&O : INF011133834NSE CD : INE231308334
CEO DETAILS CLEARING MEMBER DETAILS
For any grievance / dispute , please contact Navia Markets Ltd at the above address and / or email us to :Support@tradeplusonline.com and / or Contact us on (Phone No): +91-44-28214171. In case, if you are not satisfied with the response, please contact the concerned exchange (s) at National Stock Exchange of India Ltd at (ignse@nse.co.in and Phone No : +91 -22 - 26598190 ) and BSE Ltd, at (is@bseindia .com and Phone No : +91 - 22 - 22728097) and National Securities Depository Ltd.,(NSDL) at relations@nsdl.co.in and Phone No.+91-22-2499 4200. We are not engaged in Proprietary Trading
Mandate Instruction form for NACH DEBIT
TABLE OF CONTENTSMANDATORY DOCUMENTS
DOCUMENT SIGNIFICANCE PAGE NUMBER
OPTIONAL DOCUMENTS
Account Opening Form a) KYC Form – Document captures the basic information about the 2-12 constituent and an Instruction / Check list b) Document captures the additional information about the constituent relevant to Demat / Trading Account and an Instruction / check list
DP Rate Card / Tariff Sheet for Details of the Transaction Charges / Brokerage and other charges 13-15 levied on the client for maintaining DP / Trading accountTrading Account
Acknowledgment letter Acknowledgment indicating receipt of documents by the client 16
Authorization for running Letter of authority / request to Navia Markets Ltd 17account/ request letter
Internet based Trading Internet & Wireless Technology based Trading Facility provided to Client 1 8
Power of Attorney(POA) Power of Attorney(POA) 19 - 21
22Form for NACH DEBIT
For Derivative Segment Any one of the document as per SECTION ‘ F ’ is mandatory
INSTRUCTION FOR FILLING THIS KYC FORM
SECTION A
SECTION B
SECTION C
IMPORTANT POINTS
PROOF OF IDENTITY (POI) – LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF IDENTITY (Self Attested)
PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF ADDRESS (Self Attested)
Note: Documents having an expiry date should be valid on the date of submission
1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
2. PAN card with photograph.
3. Identity card/document with applicant’s photo issued by any of the following: Central/State Government and its Departments, Statutory
/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to
Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.
1. Passport/ Voters Identity Card/Aadhaar card/Ration Card/Registered Lease or Sale Agreement of Residence/ Driving License/ Flat
Maintenance bill/ Insurance Copy.
2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill – Not more than 3 months old.
3. Bank Account Statement/Passbook – Not more than 3 months old.
4. Self declaration by High Court and Supreme Court Judges, giving the new address in respect of their own accounts.
5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co- Operative Bank /
Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the Legislative Assembly/Parliament/Documents
issued by any Govt. or Statutory Authority.
6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments,
Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated
to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
7. For FII/Sub account, Power of Attorney given by FII / Sub-Account to the Custodians (which are duly notarized and /or apostiled or
consularised) that gives the registered address should be taken.
8. The proof of address in the name of the spouse may be accepted.
2
1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and
persons authorized to deal in securities on behalf of company/firm/others.
2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the
original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the
documents, as per the below mentioned list.
3. If any proof of identity or address is in a regional/foreign language, then translation into English is required.
4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
5. If correspondence & permanent address are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7. For Non Residents and Foreign Nationals (allowed to trade subject to RBI and FEMA Guidelines), copy of Passport / PIO Card / OCI Card
and overseas address proof is mandatory.
8. For Foreign entities, CIN is optional; and in the absence of DIN No. for the directors, their passport copy should be given.
9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.
10. For Opening an account with Depository Participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate / Mark
Sheet issued by Higher Secondary Board / Passport of Minor / Birth Certificate must be provided.
11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign
country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of
state owned corporations, important political party officials, etc.
SECTION D EXEMPTIONS / CLARIFICATIONS TO PAN
(Note: Sufficient documentary evidence in support of such claims to be collected.)
SECTION E LIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name,
Designation & Seal should be affixed on the copy).
2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court
Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.
SECTION G
SECTION H
ADDITIONAL DOCUMENTS
KRA REGISTRATION
Apart from the above documents, the following documents are mandatory to open a trading account
1. Proof of Bank account Number of the constituent: Copy of cancelled cheque or Bank Pass Book or Bank Statement not later than last
three months. Please ensure the name of the constituent, MICR Code and IFSC Code of the bank available in the proof
2. DP Client Master or Recent Holding Statement issued by DP bearing Name of the Client in the statement.
If you have already processed your identity using a KYC System with any broker, depository participant or other registered
intermediary in India, you are exempted from the following :
a) Providing Proof of Identity
b) Providing Proof of Address
Please ensure that your address and identity detail which was registered by the intermediary is up to date. If you feel that it may be incorrect,
or you have updated your address in the last 12 months, please provide the above proofs to ensure that your account is opened on time. You
can check if you are in the KRA System by visiting and entering your PAN number. CAMS KRA - https://camskra.com/
KARVY KRA - http://www.karvykra.com/ CDSL KRA - https://www.cvlkra.com/ NSE KRA - https://www.nsekra.com/Launch/kra_index.aspx
NDML KRA - https://kra.ndml.in.
3
SECTION F ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENT - ANY ONE
In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time. (All document should be self attested by the client)
1. Copy of ITR Acknowledgment 2. Copy of Annual Accounts 3. Copy of Form 16 in case of Salary Income 4. Net worth Certificate 5. Salary Slip - Last three months 6. Copy of Demat Account Holding Statement 7. Bank Account statement for last 6 Months 8. Self Declaration with relevant supporting documents 9. Any other relevant documents substantiating ownership of Assets.
1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts
e.g. Official liquidator, Court receiver etc.
2. Investors residing in the State of Sikkim (subject to the continued exemption granted by Government).
3. UN Entities/Multiateral agencies exempted from paying taxes / filing tax returns in India.
4. SIP of Mutual Funds upto ̀ 50,000/- p.a.
5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.
3 a) Gender
4. a) Nationality
5 a) PAN
6 Specify the proof of identity submitted
4
Annexure JPART I - KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Individuals)
M Y Y Y YD D M
NAVIA MARKETS LTD (DP-ID:IN300378)Ganga Griha, 4th & 5th Floor, 9 Nungambakkam High Road, Chennai 600 034
Please fill this form in ENGLISH and in BLOCK LETTERS
A. IDENTITY DETAILS
B. ADDRESS DETAILS
C. DECLARATION
1 Name of the Applicant
2
1 Residence / Correspondence Address
2 Specify the proof of address submitted for Residence / correspondence address
3 Contact Details
4 Permanent Address (If different from above. Mandatory for Non-Resident Applicant to specify overseas address)
MaleFemale
IndianOther
(Please specify,___________________ )
SingleMarried
Sign(1/16 )
Resident IndividualNon ResidentForeign National
PhotographPlease affix your recentpassport size photograph
b) Marital status c) Date of Birth
b) Status
b) Aadhaar Number, if any
Correspondence Address
City/town/village
Tel. (Off.)
Residence Address
PAN cardAny other (Please specify;___________________________________ )
Signature Acrossphotograph
PIN Code
CountryState
Tel. (Res.)
Fax No. Mobile No.
Email ID
City/town/village
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake toinform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading ormisrepresenting, I am aware that I may be held liable for it.
PIN Code
Signature of the Applicant (2/16 )___________________________________
State Country
s
s
Email ID belongs to Me My Family Mobile No. belongs to Me My Family( Spouse , Dependent Children / Parent)
Specify the proof of address submitted for Permanent Address
Father's / Husband's Name (with Surname)
Mother's Name (with Surname)
Place
Date
D D M M Y Y Y Y
D D M M Y Y Y Y
FOR OFFICE USE ONLY
Sr.No.
Particulars
Name:..........................Signature of the Authorised Signatory
Seal/Stamp of theintermediary
Date
1 Originals verified and Self-Attested Document copies received
a) Name of the person doing IPV
b) Designation
c) Name of Organization
d) Signature
e) Date
In-Person-Verification (IPV) details:2
5
Employee Code
BSDA Yes NO RGESS Yes No (IF yes download declaration form from www.Tradeplusonline.com and submit)
Annexure – JPART II – ACCOUNT OPENING FORM (FOR INDIVIDUALS)
Navia Markets Ltd (DP ID: IN300378)GANGA GRIHA, 4th & 5th FLOOR,9, NUNGAMBAKKAM HIGH ROAD, CHENNAI – 600 034
Date
Client –ID(To be filled by Participant)
Details of Account holder(s):A)
B)
C)
D)D)
E)
Accountholder(s)
Name
PAN
Occupation(please tickany one andgive briefdetails)
Brief details:
Ordinary Resident
Qualified Foreign Investor
Margin
For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name
of the natural persons, the name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc.,
should be mentioned below:
a) Name
NRI-Repatriable
Foreign National
Others (Please specify)
NRI-Non Repatriable
Promoter
In case of NRIs/ Foreign Nationals
RBI Approval Reference Number
RBI Approval date
Gross Annual Income Details
Income Range per annum (please tick any one)
Type of account
Private Sector Agriculturist
Business Student
Professional Professional Professional
Business Student Business Student
Public Sector RetiredGovernmentService
GovernmentService
GovernmentService
Public Sector Retired Public Sector Retired
Private Sector Agriculturist Private Sector Agriculturist
Sole/ First Holder Second Holder Third Holder
Housewife Housewife Housewife
Others (Please specify)
Others (Please specify)
Others (Please specify)
Below `1 lac ` 1- 5 lac ` 5- 10 lac
`10-25 lac More than ` 25 lac
b) PAN
BANK DETAILS
.
:
F) TRADING / DEMAT ACCOUNT RELATED DETAILS
6
SAVINGS
CITY/TOWN / VILLAGE PINCODE
CURRENT OTHERS - Please Specily
BANK ACCOUNT NO
PRIMARY BANK NAME FOR DP / TRADING
.
ACCOUNT TYPE
PIS ACCOUNT NO
BRANCH ADDRESS
COUNTRYSTATE
I FSC CODE MICR NUMBER
SECONDARY BANK NAME - FOR TRADING ACCOUNT
BRANCH ADDRESS
BANK ACCOUNT NO.
ACCOUNT TYPE
DEPOSITORY PARTICIPANT NAME
DEPOSITORY NAME (NSDL /CDSL ) :
BENEFICIARY NAME:
SAVINGS
MICR NUMBER: IFSC CODE
OTHERS - Incase of NRI/NRE/NRO
DEPOSITORY ACCOUNT(S) DETAILS
DP ID : IN300378
BENEFICIARY ID (BO ID):
CURRENT
ADDITIONAL BANK DETAILS FOR TRADING ACCOUNTG)
H)
TRADING PREFERENCES
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
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.
EXCHANGES SEGMENTS
National Stock Exchange of India Ltd (NSE)
Bombay Stock Exchange of India Ltd (BSE)
CM Segment (Equity )
Equity Derivative Segment (F&O )
Currency Derivative Segment (CD)
Mutual Fund Scheme System (MFSS)
CM Segment (Equity )
Equity Derivative Segment (F&O )
Currency Derivative Segment (CD)
BSE STAR MUTUAL FUND SYSTEM
Sign(3a/16)
Sign(3b/16)
Sign(3c/16)
Sign(3d/16)
Sign(3e/16)
Sign(3f/16)
Sign(3g/16)
Sign(3h/16)
PAST ACTIONS
1
2
s
s
s
s
s
s
s
s
I)
J)
DEALING THROUGH SUB- BROKERS AND OTHER STOCK BROKERS(If client is dealing through any other Sub-Broker , Provide the following details)
Sub-Broker Name SEBI Reg No.
Registered Office Address: Fax:
Whether dealing with any other Stock broker /Sub-Broker (in case dealing with multiple stock brokers /sub broker, Provide details of all)
Name of Stock Broker
Exchange
Name of Sub-Broker Client Code :
Details of disputes / dues pending from/ to Stock Broker/ Sub- Brocker
Phone No:
K)
7
NAVIA MARKETS LTD
NSDL
Website:
INTRODUCER DETAILS ( optional )
Name of the introducer Status of Introducer Sub-Broker Remisier Authorised Person Existing Client Others ( please specify )
Signature of Introducer
Address and phone no of the introducer
Email ID :Whether you wish to receive Physical Contract Note
or Electronic Contract Note ( ECN ) ( Please Specify ) If you wish to receive ECN ( write in capital letters )
ADDITIONAL DETAILS
Whether you wish to avail facility of the internet trading / Wireless Trading(Please specify) :
Any other Information:
In case of non-individuals, name designation, PAN, UID, Signature, Residential Address and Photographs of persons authorized to deal in securities on behalf of company / firm / others:
Number of Years of Investment / Trading Experience:
L)
M)
I/We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening
I/We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued to me/ us immediately on my/ our request at any later date.
Option for Issue of DIS booklet (please tick any one)
Option 1
Option 2
N) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
1 I/We authorise you to receive credits automatically into my/our account.
2 Account to be operated through Power of Attorney (PoA)
Mode of receivingStatement of Account [Tickany one]
Physical Form
Electronic Form [Read Note 4 and ensure that email ID is provided in KYC Application Form].
1 Sole/First Holder
2 Second Holder
3 Third Holder
Sr. No. Holder Yes No
O) Standing Instructions
Yes
No
Yes
No
Guardian Name
PAN
Relationship of guardian withminor
Q)
P)
8
I/We wish to make a nomination.[As per details given below]
1 Name of the Nominee (Mr./Ms.)
I/We wish to make a nomination and do hereby nominate the following person in whom all rights and / or amount payable inrespect of securities held in the Depository by me / us in the said beneficiary owner account shall vest in the event of my / ourdeath.
I/We do not wish to make a nomination.[Strike off the nomination details below]
R) Nomination Option
2 Relationship with the Applicant (if any)
3 Address of Nominee
City/town/village PIN Code
State Country
4 Contact Details of nominee Tel. (Off.)
Fax No. Mobile No.
Email ID
Tel. (Res.)
5. Nominee Identification details (please tick any one from (a) to (f) and provide details of the same)
Sr. Nos. 6-11 should be filled only if nominee is a minor:
Photograph of Nominee
(Signature of Nominee
across photograph)
Demat account details of Nominee
6 Date of Birth (in case of minor nominee) D D M M Y Y Y Y
DP ID
Client ID
Photograph
(a) (i) (ii) X Signature of Nominee
Bank Account Number
(b)
(c)
(d)
(e)
(f)
Signature
PAN of Nominee
Aadhaar number of Nominee
Savings bank account number of Nominee, if maintained with the same ParticipantCopy of any proof of identity document (accompanied byoriginal for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)
7 Name of Guardian (Mr./Ms.) (in case of minor nominee)
s
9
Demat account details of guardianDP ID
Client ID
Bank Account Number
(c)
(d)
(e)
(f)
Aadhaar number of guardian
Savings bank account number of guardian, if maintained with the same ParticipantCopy of any proof of identity document (accompanied byoriginal for verification or duly attested by any entity authorized for attesting the documents, as provided in Annexure JB)
FATCA ( Foreign Account Tax compliance Act ) Declaration
Is your country of Tax Residency other than India
If yes, please specify the details of all countries where you hold tax residency and its TAX Identification
Number & Type
Place of birth
YES NO
Country of birth
1
2
3
# to include all countries other than India, where investor is Citizen/Resident/Green Card Holder /Tax Resident in those respective countries especially of USA.
Country of Tax Residency #S.No.Tax Payer Identification Number /
Functional EquivalentIdentification Type
TIN or other please specify
Name
Signature
Address
Name
Signature
Address
S)
City/town/village PIN Code
State Country
Tel. (Off.)
Fax No. Mobile No.
Email ID
Tel. (Res.)9 Contact Details of Guardian
10 Relationship of Guardian with nominee
8 Address of Guardian
11. Guardian Identification details (please tick any one from (a) to (f) and provide details of the same)
Photograph of guardian
(Signature of guardian
across photograph)
Photograph
(a) (i) (ii) X Signature of guardian
Signature
(b) PAN of guardian
s
10
Name(s) of holder(s)
Sole/ First Holder/
Guardian (in case sole
holder is minor) (Mr./Ms.)
Second Holder(Mr./Ms.)
Third Holder (Mr./Ms.)
Signature(s) of holder
s
s
s
(4/16)
(4/16)
(4/16)
DECLARATION
1.
2.
3.
4. The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been
read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time
to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of my/our
knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information
is found to be false or untrue or misleading or misrepresenting, I am/ we are aware that I/we may be held liable for it. In case non-
resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. I/we
acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.
11
Place _________________ Date _________________
Authorized SignatoryDATE: Seal/Stamp of the Stock Broker
(DD /MM /Y Y Y Y)
We undertake that, we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents. We have
also made the client aware of 'Rights and Obligations' document (s), RDD, and Guidance Note. We have given/sent him a copy of all the
KYC documents. We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non mandatory documents would be
duly intimated to the clients. We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on our
website, if any, for the information of the clients.
For Navia Markets Limited
Documents Verified with Originals Client Interviewed by
Name of the Employee
Employee Code
Designation of the Employee
Name of the Organization
Signature
Date
UCC CODE ALLOTTED TO THE CLIENT
FOR OFFICE USE ONLY
12
s
(DP RATE CARD ANNEXURE A)
Account Opening Charges & AMC (Please tick appropriate AMC Scheme)
Account Opening Charges NIL
LIFE TIME AMC – Individual Resident Clients ` 900/- Life Time AMC – 10 Years Period
with Broking Accounts
` 500/- Life Time AMC – 5 Years Period
LIFE TIME AMC – INDIVIDUAL NON RESIDENT CLIENTS ` 2,500/- Life Time AMC – 10 Years Period
Annual Maintenance Charges for Non Resident Clients ` 1,000/- p.a.
Annual Maintenance Charges for Resident Individual ClientsWithout Broking Account / Corporate Clients
` 50/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges ` 5/- per certificate plus `50/- (Minimum Charges)
` 200/- per DRF (up to 5 Certificates)More than 5CertificatesDemat Charges NRI
` 30/- per certificate plus `200/- (Minimum Charges) ` 15/- per certificate for every hundred shares or part thereofRemat Charges subject to maximum fee of ` 5,00,000 or a flat fee of `.15/- Per certificate whichever is higher plus handling charges ` 50/- No rematerialization fee for Govt. Securities.
` 35/- per rejection (up to 5 certificate) More than 5 Certificates
` 3/- + ` 35/- (Minimum Charges)
Conversion Request (Mutual Fund) Charges
Conversion request charges ` 50/- per CRF
Conversion request charges for NRI Clients ` 200/- per CRF
Transaction Charges
Market buying(Receipts) off Marker Credit & InterDepository Receipts NIL
Market Selling (Debits) through Navia Markets Ltd with 0.02% of Transaction Value, subject to Minimum of `15/-POA(POA issued in favouring NML) per Transaction & Maximum of ` 200/-
Market Selling(Debits) through Navia Markets Ltd. 0.02% of Transaction Value, subject to Minimum of `20/-With out POA Per Transaction & Maximum of ` 200/- Market Selling(Debits) other than Navia Markets Ltd. OFF 0.04% of Transaction Value, subject to Minimum of ` 30/-Markets Debits & Inter Depository Debits Per Transaction
Inter Settlement Transfer ` 15/- per Transaction for non POA
Failed Transaction ` 15/- per Transaction
Pledge & Securities Lending and Borrowing
Pledge Creation 0.02% of the value of the securities pledged, subject to minimum of `50/- per Transaction.
Pledge Closure & Invocation 0.02% of the value of the securities pledged, subject to minimum of ` 50/- per Transaction.
Securities Borrowing ` 50/- per Transaction
Modification Charges `100/- for every change of address / Bank Details
(Sign.5/16)
(First / Holder) (Second/Holder) (Third/Holder)
s s s
Demat & Remat Charges
13
` 1,000/- p.a.
Demat Rejection
1) Life Time means 10 Years Period / 5 Year Period depends on the scheme chosen by the client.2) AMC Calculated as : For Resident Individual : ` 900/- p.a. for first one year and balance 9 years FREE For AMC, For NRI's (Individual) & Foreign nationals: ` 2500/-p.a. for first one year and balance years FREE for AMC, For Resident Individual : ` 500/- P.a. for first one year and balance 4 years FREE FUR AMC.3) This AMC is exclusive of Service Tax and Others levies as per Govt. of India.4) Existing account holder can opt for this scheme Adjustment of Existing AMC will be done till the current quarterly.
Quarterly means Jan-Mar, Apr-June, July-Sept and Oct-December, Balance amount can be paid and convert to this scheme.
Terms & Condition for Life Time AMC:
Terms & Condition
1. Any extra statement would be charged @ `15/- per statement of first 10 pages, thereafter it would be charges @ ̀ 2/- per page
2. The AMC is charged for one year and will be automatically renewed at the end of the year at the prevailing rates,unless Navia Markets Ltd receives written communication in the prescribed format.3. Transaction cum billing statements will be sent on a monthly basis provided there is a transaction. 4. Service Tax an applicable would be levied.5. Demand Drafts should be in favour of “Navia Markets Ltd” payable at “Chennai” only. No outstation cheques will be accepted other than our branches located.6. Any Advance payments Over and above the actual amount due can also be made. Any such Higher amount paid than the actual amount payable shall be adjusted against the bills raised from time to time. No interest is applicable for advance payments.7. Cheque bounce charges will be applied based on charges as determined by bankers plus ̀ . 10/- as handling charges8. In case of delay in the payment of charges, the demat account can be frozen for all operations till such time Until dues are cleared.9. “All market instructions for transfer must be received latest by 4.00 p.m. on the previous working day prior to the pay-in day as per SEBI Guideline. All off market instructions for transfer must be received atleast 24 hours before the execution date. Late instructions would be accepted with the Late fee ̀ .50/- per instruction and at the account holder's sole risk and responsibility”.10. Charges are subject to revision at the company's sole discretion and as per revisions in NSDL charges.11. Any service not quoted above will be charged separately.
(Sign.6/15)
(First / Holder) (Second/Holder) (Third/Holder)
s s s
14
TARIFF SHEET
I would like to subscribe to the Navia Markets Ltd Trading plans and request Navia Markets Ltd to apply any applicable monthly subscription
tariff as per the terms and conditions of Tradeplus Infinity Plan of Navia Markets Ltd. I hereby authorize Navia MarketsLtd to debit my
Subscription Management Portal (SMP) ledger for the subscription amount as per terms and conditions of TRADEPLUS INFINITY PLAN.
EQUITY SEGMENT : NSE & BSE
Delivery Brokerage
Intraday Brokerage
Resident clients: 0.1% with minimum of 1 paisa whichever is higherNRI Clients: 0.5% with minimum of 1 paisa whichever is higher
0.01% with minimum of 1 paisa whichever is higher.
EQUITY DERIVATIVE SEGMENT : NSE & BSE
Infinity Options Plan- ` 99/- per month
Default Brokerage 0.01% minimum of 1paisa whichever is higher
Default Brokerage ` 20- per lotInfinity Currency Plan- ` 99/- per month
Options Segment
Currency F&O Segment
Future Segments Infinity Futures Plan- ` 799/- per month
Default Brokerage ` 60- per lot
CURRENCY DERIVATIVE: NSE & BSE
CLIENT'S NAME
CLIENT'S SIGNATURE (7/16)
DATE (DD/MM/YY)
s
STATUTORY CHARGES
In addition to the above monthly subscription charges, the following statutory charges will also be levied
Security Transaction Tax Stamp Duty
Service Tax
Transaction charges Education and Higher education Cess
SEBI Turnover charges
Electronic Contract Notes ( ECN) is free. Physical Contract Note copies are charged at ̀ 50/- per contract note.
Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the subscription management portal.
Depository participant charges as per Rate card of DP.
Auction/Closed Out process as per Policy and Procedures. Penalty charges on Auction/ Closed out 1% on the value.Delayed Payment Charges 24% p.a. – Monthly basis will be charged.
Cheque Bounce Charges – 1% of cheque value subject to minimum of ̀ 250/- and maximum of ̀ 1000/- Modification charges- ̀ 100/- for every address details modification including bank updates etc.,Terms and conditions can be subject to change.
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SMS charges Rs.99/- will be charged on monthly basis.
Payin Charges : Atom PG Transfers - Rs.9/- per transaction / Cheque Payment - Rs.15/- per transaction.
Note: The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers
have pricing. For more details on fancy numbers and pricing please visit https ://www.tradeplusonline.com/kyc-fancy-numbers.aspx If all
the 3 preference numbers are not available/used then we reserve the right to allot a number of our choice. If you have chosen a fancy number
but have not purchased the same, then we will allot a number of our choice.
ACKNOWLEDGEMENT
To,Navia Markets Ltd “Ganga Griha” 4th and 5th Floor,No.9 Nungambakkam High Road,Chennai – 600 034.
Dear Sir/ Madam, I hereby acknowledge receipt of the following documents:
1.Rights and Obligations of Stock Broker/Trading Member, Sub-Brokers and Client.2.Risk Disclosure Document for Capital Market and Derivative Segments,3.Guidence Note- Do's and Don'ts for Trading on the Exchange (s) for investors4.Internet and wireless Technology based Trading facility provided by Stock Broker to clients.5. Policies and procedure pursuant to the SEBI circular dated December 03, 2009.6. Additional policies and procedure7. Terms and conditions of Subscription Management Portal (SMP)8. Authorization for Running account settlement.9. Tariff sheet.
I understand that the voluntary documents executed by me are out of my own free will. I hereby confirm that I have clearly understood and agree to abide by the Terms and Conditions described by Navia Markets Ltd . I also understand that these Terms and Conditions can be changed by Navia Markets Ltd from time to time with prior notice of 7 days and subject to posting of the amendments and modifications therein on its website and their applicability with prospective effect.
I state that I have read and understood all above documents including the Terms and Conditions governing brokingservices of Navia Markets Ltd and agree to abide by the same.
My Trade Plus Account My Number
MY ACCOUNT MY NUMBER is a unique proposition which gives the freedom to choose the number of your choice for the account open by you. The chosen account number may be a specific pattern, a lucky number favorite combination or just something simple to remember. Your Trade Plus account number is 8 digit number of which you can select 8 digit basis your preference OR choose the desired SUM of digits. Please give us your 3 preference
1.Preference 1:
2.Preference 2:
3.Preference 3:
CLIENT'S NAME
CLIENT'S SIGNATURE (8/16)
Date: ( DD/MM/YYYY )
s
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AUTHORIZATION FOR RUNNING ACCOUNT
I am a registered client with you, and am dealing in Capital Market/Derivative Markets, and have a Navia Markets Ltd client code as mentioned below.
I am aware that payout/dividend received/credited from the exchange(s) against settlement of transactions as per settlement cycle is available within the prescribed time of the payout from the Exchange. It is difficult for me to make available the required funds on every pay-in of funds obligation/ margin obligation. Hence, I request you to maintain my account on a running basis and retain the payout received/ credit balance in my account for my future obligation/ margin obligation or other liabilities unless I instruct otherwise. Further, I hereby authorized you to debit/ credit / transfer the amounts between the various segments either on the same exchange and /or exchanges to meet my obligation or various dues payable to you/Exchange(s).
If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the web login. Further, it may be noted that if required I may revoke this authorization at any time after giving request in writing. This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be done at least once in a quarter/month if the balance available in my account is more than ̀ 10,000/- and settlement will happen on the balance amount after retaining ̀ 10,000/- in my trading account.
I/We hereby authorize you to debit charges for depository services or other advisory services, to my/our trading account.
I/We hereby authorize you to transfer the funds between segments / between exchanges enrolled by me / us (Equity Futures & Options , Currency Futures and if any segment introduced by NSE / BSE and signed opted for the specific segment) .
While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days , calculated in the manner specified by the exchanges.
I shall bring any dispute arising from the statement of account or settlement so made to your notice within 7 working days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such communication the statement/ settlement of running account shall be considered as final as agreed and accepted by me.
AUTHORIZATION FOR ACCOUNT MODIFICATION
If I were to add/modify/remove any of my details including brokerage plans with Navia Markets Ltd, I authorize you to carry it out based on my request sent through an email to support@tradeplusonline.com from my registered email address or intimation through an interface provided by you , whereto I have been allowed secured access. If you feel the need to do so, then at your own discretion, you may put in place appropriate mechanism to confirm the request before or after its execution by way of a call from recorded line, or otherwise, personal meeting, SMS or other such other mode as you may deem fit.
Your's faithfully,
CLIENT'S NAME
CLIENT'S SIGNATURE (9/16)
CLIENT CODE : (UCC)Date: ( DD/MM/YYYY )
s
Date: ( DD/MM/YYYY )
CLIENT'S NAME
CLIENT'S SIGNATURE (11/16) s
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Consent for Receiving Statement of Accounts and other Reports through Email
I hereby authorize Navia Markets Ltd to issue Statement of Accounts, Margin Statements and other reports to my
email id based on my consent. Further, I will intimate any change in my email id immediately to Navia Markets Ltd
through letter or other modes prescribed. Further, I hereby confirm that non- receipt of bounced mail notification
shall amount to delivery of the statement of accounts, margin statements and other reports at the email id provided
below. I hereby confirm my email id as :
Client's Signature (10/16 )s
( All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable, additionally, the clauses mentioned herein shall also be applicable )
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT
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2.
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4.
5.
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7.
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CLIENT'S NAME
CLIENT'S SIGNATURE (12/16) Date: ( DD/MM/YYYY )s
The “Principal (S)”, More Fully Described In The Schedule Here To And in Favour Of NAVIA MARKETS LIMITED, a company incorporated under
the provisions of the Companies Act,1956, having its registered office at ‘Ganga Griha’, 4th & 5th Floor, No.9, Nungambakkam High Road,
Nungambakkam, Chennai - 600 034 and/or the Managing Director or Director(s) and/or any other authorized officer(s) who may be
stationed at Chennai.
RESPECTIVELY from time to time and for the time being of NAVIA MARKETS LIMITED at the above place viz., CHENNAI and/or any one or
more of them severally hereinafter referred to as “AGENT” WITNESSETH as follows:
WHEREAS
1.1 The AGENT is engaged in the business of stock broking, custody, investment advisory services and other investment services.
1.2 The PRINCIPAL(S) wish to participate in trading, web brokerage facilities, depository facilities and/or other services being offered by the
AGENT (or any of it assigns) and for that purpose to facilitate proper execution of all transactions for and behalf of the PRINCIPAL(S), The
PRINCIPAL(S) is/are desirous of appointing the AGENT as the PRINCIPAL(S) attorney and confer upon the AGENT all the powers hereinafter
stated.
To make necessary application(s) on the PRINCIPAL(S) behalf to any Officials or Authorities in India, including but not limited to, the Central
Government and/or the Reserve Bank of India and/or the Income Tax Authorities and/or Securities and Exchange Board of India in
connection with PRINCIPAL(S) purchase/sale/ transfer holding and continuing to hold Securities, and to represent the PRINCIPAL(S) in all
respects before such authority or authorities and establish without encumbrance the ownership of the securities in the name of the
PRINCIPAL(S)
Pursuant to the PRINCIPAL(s) instruction, to acquire by subscribing to or by purchase of securities and to sell, transfer and endorse the
securities (including but not limited to Initial Public Offerings, Buy Back offers, rights issue etc.,) or redeem the same either through Internet
(using the identifications Number issued by any Mutual Fund from time to time) or otherwise, and/or to sign and to execute all transfer
deeds whether as transferor or transferee and such other instruments, applications and papers as may be necessary for the purpose of
acquiring or transferring/redeeming the same, marking pledge/Lien on such securities and for transferring the investments in the units of
Mutual Fund from one scheme to another or between Mutual Funds, to make applications for , or to renounce and sign renunciation forms in
respect of bonds/debentures, rights shares and additional shares of any Company/ Body/ Authority and to receive and hold such rights or
additional shares bonds or debentures.
The term “ Securities” under this agreement shall have the same meaning as assigned there to under Section 2 of the Securities Contracts
(Regulation) Act, 1956 and shall include any securities, derivatives and other instruments which are tradable on any of the Exchange as well
as such units of Unit Trust of India and/or other mutual funds, whether listed or unlisted, government securities, debt instruments,
negotiable instruments, unlisted securities, certificates of deposit, participation certificates, commercial paper, money market
instruments, securities debt instruments investments in bank and/or company deposits and other instruments and investments as may be
specified by the Member from time to time.
To receive and hold certificate, title documents, account statements and other documents and writings pertaining to the securities
mentioned above and/or amount invested, advanced or expended by the PRINCIPAL(S) or on behalf of the PRINCIPAL(S) and to
acknowledge the receipt of the same.
To operate and to give delivery/receipt instructions, borrowing and lending instructions, pledge instructions, pledge closure
instructions and to do all such other things that may be necessary in the course of business relating to operation of new
Dematerialized (“demat”) account and/or existing Demat Account No._________________________and Trading Account No.-
_______________________or towards the obligation for transactions done on the National Stock Exchange, the Stock
Exchange, Mumbai and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions.
(13/16)
POWER OF ATTORNEY
Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder
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2.
1.
3.
s s s
4.
5.
To do all that is necessary to operate the PRINCIPAL (S) new and/or existing Bank Account (more fully described in the schedule hereto) and
to operate, block and /or debit the said bank account, to draw, accept, endorse, negotiate, retire, pay cheque or other negotiable
instruments which the AGENT may deem necessary or proper relating to the PRINCIPAL (S) affairs in respect of the said bank account, as the
case may be towards the PRINCIPAL (S) obligations for transactions done on the National Stock Exchange the Stock Exchange , Mumbai
and the Over the Counter Exchange of India and any other exchange in India on the PRINCIPAL(S) instructions and to give instructions
relating to the said account.
To credit the demat account(s) with any securities that are to be delivered to the PRINCIPAL (S) /borrowed by the PRINCIPAL (S).
To demand, received and give good and effectual receipt(s) and discharge(s) for all or any dividends, Interest, bonuses or any other sum(s )
and/or income arising from the shares, debentures units and other investments and to sign and endorse pay orders. Dividend / i n t e r e s t
warrants or certificates, receive all debts. Sums of money, principal, interest, dividend or other dues of whatever nature or account which
are now or at any time any be due and payable and belong to the PRINCIPAL (S) on any account(s).
For the purpose of the aforesaid to sign contracts, agreements, transfers, acceptances, receipts, acquaintances or other instruments,
documents and forms, to accept and carry out correspondence with such person(s) or authority /authorities or department(s) and to do all
lawful acts requisite for effecting the same.
And for all or any purpose aforesaid to appoint from time to time a substitute or substitutes and to revoke such substitution but so that the
appointment of any such substitute shall not affect or prejudice the rights or powers of the Attorney to act hereunder and the Attorney may
continue to do so notwithstanding such appointments.
To do or omit to do all such acts and things as the AGENT may in its discretion consider to be necessary or desirable in order to exercise its
powers hereunder or to comply with any laws, orders rules, regulations or directions of any government or regulatory or other authorities.
To do all that is necessary to operate the PRINCIPAL(s) demat account, to transfer the securities, as the case may be towards the obligations
for the transactions done on the Exchanges, and to transfer the Unencumbered securities in the Principal(s) demat account for the purpose
of Margin / Margin reporting to the exchanges of National Stock Exchange (NSE) and Bombay Stock
Exchange (BSE) and any other Exchanges in India.
6.
7.
8.
9.
10.
11.
12.
(14/16)
Signature of First/Sole Holder Signature of Second Holder Signature of Third Holder
s s s
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AND where as the PRINCIPAL(S), and AGENT agree to transfer the securities to the National Securities Clearing corporation LTD ( NSCCL - CC ) CM BP ID : IN565576, to the Indian Clearing Corporation LTD (ICCL ) CM BP ID : IN 620031, and to the following Demat accounts of the AGENT and the DEPOSITORY PARTICIPANT.
S
No.
NAME OF THE STOCK
BROKER
DP ACCOUNT NO. OF
THE STOCK BROKERPURPOSE OF DEMAT ACCOUNT
AND I hereby agree that the AGENT shall excercise the powers and authorities conferred under the above Power of Attorney only pursuant to the instructions in that behalf given by the PRINCIPAL(S), which instructions may given orally, over the telephone, through the Internet, electronically or in any other manner acceptable to the AGENT and such instructions given by the PRINCIPAL (S) , shall be deemed to have been given by the PRINCIPAL(S) and such recording or other record of such instructions by the AGENT shall be admissible in evidence and shall not be questioned by the PRINCIPAL(S) and shall be conclusive and binding against the PRINCIPAL(S).
AND this Power of Attorney shall be revoked by the PRINCIPAL(S) at any time without any notice. However such revocation shall not be applicable for any outstanding settlement obligation arising out of the trades carried out of prior to receiving the request from PRINCIPAL(S) for the revocation of the Power of Attorney.
AND the PRINCIPAL (S) hereby agree that all such acts done by the PRINCIPAL (S) above mentioned attorney shall be deemed to be acts done by the PRINCIPAL(S) and if necessary shall be ratified by the PRINCIPAL(S) on the instructions of the said attorney.
AND The PRINCIPAL (S) DO HEREBY CONFIRM AND DECLARE THAT this Power of Attorney shall be valid, effective operative and revocable immediately (and shall not be affected by my disability or lack of mental competence) and shall remain in force till the termination of the Memberclient Agreement or any mandatory agreements that I have entered into with the AGENT and satisfaction in full of all the obligations under the same, and the cessation of this authority shall not affect or impair any act thereto done in excercise of these presents.
AND THE PRINCIPAL (S) DO HEREBY CONFIRM THAT non-judicial stamp paper attached to this document be deemed to be part of this Power of Attorney.
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SCHEDULENotes
(Please fill in your name (and other information as per the instruction below) in the same order of sequence as given in the respective account type)
1. In case of Operation the Trading Account
Bank Account Number
Date of opening
Name of bank and branch
Bank account particulars presently opened and operated by the principal (S): (Will be filled by NAVIA if the principal chooses to open his online bank a/c with banks associated with NAVIA)
1.1 In case of Operation of bank a/c
Trading Account No. DP Client ID
Signature of First/Sole Holder
s
(15/16)
Signature of Second Holder Signature of Third Holder
ss
Principal Number 1
Name
Address
Principal Number 2
Name
Address
In witness whereof the principal(S) has/ have executed this power of attorney at
_______________(place) on this ______________day of _____________two thousand _____________
Mandate instruction Form for NACH DEBIT
THIS FORM IS IMPORTANT
From
To
Or Until Cancelled
Signature primary Account holder
Name as in bank records
Signature primary Account holder
Name as in bank records
Signature primary Account holder
Name as in bank records
(16/16 )
UMRN Date
Tick ( ( Sponsor Bank code Utility Code
CREATE
MODIFY
CANCEL
I/ We hereby authorize
Bank A/c number
SB/CA / CC/ SB - NRE / SB - NRO / OTHERS to debit ( tick )
With Bank IFSC or MICR
An Amount of Rupees
FREQUENCY Monthly Qtly H-Yrly Yrly As & when presented DEBIT TYPE Fixed Amount Maximum Amount
Phone No. Reference 1
Reference 2 Email ID
PERIOD
INDB0000098 INDB00459000027590
NAVIA MARKETS LTD
`10,000/-Ten Thousand only
I/We hereby Declare that the particulars given on this mandate are correct and complete . If the transaction is delayed or not effected all for reasons of incomplete or incorrect informations . I/We would not hold this utility / service provider/ participating Bank responsible . I/We have read the option invitation letter and agree to dischange the responsibility expected of me/ us as participant/ under the scheme. I/We authorize use of above mentioned contact details for the purpose of this specific mandate instruction processing . I/We hereby confirm adherence to terms on this mandate.
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AcknowledgementNavia Markets Ltd (DP ID: IN300378)
Ganga Griha, 4th & 5th Floor, 9, Nungambakkam High Road, Chennai – 600 034.
Date: Participant Stamp & Signature
s s s
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