ACCOUNT OPENING KIT PART - A INDEX

ACCOUNT OPENING KIT INDEX

S.Name of the Document Brief Significance of the Document Part Page No No. From To MANDATORY DOCUMENTS AS PRESCRIBED BY FMC & EXCHANGES

1 KYC (Account Opening)application form

KYC form - Document captures the basic information about the constituent and an instruction/check list.

A 1 6

2 Uniform Risk DisclosureDocument (RDD)

Document detailing risks associated with dealing in the commodities market.

B 1 3

3 Rights and Obligations ofM e m b e r s , A u t h o r i z e dPersons and Clients

Document stating the Rights & Obligations of member, Authorized Person and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading).

B 4 6

4 Do's and Don'ts for the Investors

Document detailing do's and don'ts for trading on exchange, for the education of the investors.

B

7

8

5 Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the Commodity Exchange(s) (to be added by the member).

A

10

10

VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER 6 Acknowledgment Acknowledgment Indicating receipt of documents by Clients A 7 7 7 ECN Electronic contract note A 8 8 8 Running Authorization Letter Authorization for Running Account A 9 9

Name of Member SHIKAGO TRADE PVT. LTD. Multi Commodity Exchange of India Limited. (MCX) Membrship No. 10920 National Commodity And Derivatives Exchange (NCDEX)Membrship No. 00636 Indian Commodity Exchange Limited (ICEX) Membership No. 1104 FMC Unique Memebrship Number - MCX MCX/TCM/CORP/0069 FMC Unique Membership Number - NCDEX NCDEX/TCM/CORP/0124 FMC Unique Membership number - ICEX ICEX/TCM/CORP/0119 Registered Office B-11, 3rd Floor, Plot-36,

Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai – 400001 Tel. : 022-40324300 Fax : 022-22623957

Compliance officer Name Mr. Nitin Shah Tel No. 022 - 4032 4358 Email : [email protected] CEO Name Mr. Rakesh Nahar Tel No. 022 - 4032 4361 Email : [email protected]

SEBI Regn. No. : INZ000042135

Note : For any grievance/dispute please contact us at the above address or email ID: [email protected] / [email protected] and Tel No. 91 -22- 4032 4300. In case not satisfied with the response, please contact the Investor Service Cell of MULTI COMMODITY EXCHANGE OF INDIA LIMITED at mcxindia.comTel. No. 91-22- 25649000 and/or Investor Service Sell of National CommodityAnd Derivatives Exchange at ncdexindia.com and Tel. No. 91-22- 66406609.

*Following documents should not form part of either mandatory or Voluntary documents: 1) Authorization letter for any inter family / group company / related accounts adjustment 2) Authorization of adjustment of funds among securities exchange and commodities exchange

B-11, 3rd Floor, Plot-36, Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai – 400001 Tel. : 022-40324300 Fax : 022-22623957

Correspondence office address

PART - A

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

1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in commodities derivatives 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 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 and other applicable statutory approvals), 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 along with other statutory approvals required for investment in commodities.

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

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

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

2. PAN card with photograph.

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

C. Proof of Address (POA): - List of documents admissible as Proof of Address:

(Note: Documents having an expiry date should be valid on the date of submission.)

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

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

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

4. 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.

5. 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.

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

D. Exemptions/clarifications to PAN

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

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

2. Investors residing in the state of Sikkim (subject to the continued exemption granted by Government).

E. List of people authorized to attest the documents:

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

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

1

Please affixyour recent

passport sizephotograph

and sign

For Individual & Non- Individual

KNOW YOUR CLIENT (KYC) APPLICATION FORM

MANDATORY

1/11

?

Annexture 1

Individual Non- Individual Online OfflineTypes of Account :

D D M M Y Y Y Y

D D M M Y Y Y Y

Tel. Resi. Tel. Off.

Fax

Mobile + 9 1

Email

Client’s Signature : 2/12 @

3

Please fill this form in English and in Block Letters

A. IDENTITY DETAILS

Name of the Applicant

PAN

(1) For Individual :

Father’s / Spouse Name

Gender Male Female Marital Status: Married Single Date of Birth

Nationality Status: Resident Individual Non Resident Foreign National

(If non-resident/Foreign National, Self -certified copy of statutory approval obtain must be attached)

Unique ID No. / Aadhaar, if available

Any other additional proof of identity

(2) For Non-Individual :

Date of Incorporation Place of Incorporation :

Date of Commencement of Business Registration No. (Eg. CIN):

Status (Please tick any one)

Any other additional proof of identity

B. ADDRESS DETAILS (Proof of address must be different from the proof of identity submitted) (For Individual & Non Individual):

1. Correspondence Address : 2.Permanent / Registered Address: (If different from Correspondence)

City PIN City PIN

District Village District Village

State Country State Country

Specify the proof submitted Specify the proof submitted

for Correspondence Address for Permanent Address

3. CONTACT DETAILS

Tel. Resi.

Tel. Off.

Fax

Mobile + 9 1

Email

C. OTHER DETAILS

1. Gross Annual Income Details (please specify): Income Range per annum: (Rs. in lacs)

Below 1 Lac 1 to 5 Lac 5 to 10 Lac 10 to 25 Lac 25 Lac to 1 Cr. Above 1 Cr.

OR

2. Net-worth as on Date Rs. (Net worth should not be older than 1 year)

3. Occupation (please tick Private Sector Public Sector Government Service Business

any one and give brief Professional Agriculturist Others specify __________________

details):(For Individual)

D D M M Y Y Y Y

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

HUF LLP other (please specify) ____________________ (In case of foreign entity or entity with foreign shareholders, self certified copy of statutory approval obtained must be attached)

D D M M Y Y Y Y

D. BANK ACCOUNT DETAILS - [For Individual/Non-Individual]

Bank Name

Branch Name & Address

City State Country Pin Code

Bank Code (9 Digit MICR Code)

Bank IFSC Code

Note : Provide a copy of cancelled cheque leaf / pass book / bank staement specifying name of the client, MICR Code or / and IFSC Code of the bank.

Account No. Account Type :Saving Current Others specify ______________

E. DEPOSITORY ACCOUNT(S) DETAILS , if available (For Individual / Non Individual) DP Name

DP ID

BO Name

BO ID

Depository NSDL / CDSL NSDL / CDSL

DP Address

Note : Provide a copy of Demat Master or a recent holding statement issued by DP bearing name of the client.

F. TRADING PREFERENCE (For Individual / Non Individual)

Note : Please sign in the relevant boxes against the Exchange with which you wish to trade. The Exchange not chosen should be struck off by the client.

Srl. No. Name of the National Commodity Date of Consent for trading Signature of the Client

Exchanges on concerned Exchange

1 MCX (Multi Commodity Exchange of India Ltd.)

2. NCDX (National Commodity and Derivatives

Exchange)

3.

(In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent letter is required to be obtained by the Member from client and to be kept as enclosure with this document)

ICEX (Indian Commodity Exchange Limited)

G. INVESTMENT/TRADING EXPERIENCE

No prior Experience Years in Commodities Years in other investment related fields

H. SALES TAX REGISTRATION DETAILS (As applicable, State wise)

Local Sales Tax State Registration No. : Validity Date :

Name of the State

Central Sales Tax Registration No. : Validity Date :

Other Sales Tax State Registration No. : Validity Date :

Name of the State :

I. VAT DETAILS (As applicable, State wise)

Local VAT Registration No. : Validity Date :

Name of the State

Other VAT Registration No. : Validity Date :

Name of the State :

(For Individual / Non Individual)



J. PAST REGULATORY ACTIONS (For Individual / Non Individual)

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

Commodity Exchange/any other authority against the Client or its Partners/promoters/

whole time directors/authorized persons in charge during the last 3 years:

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y


3/12 @

4/12 @

5/12 @

4. Please tick, if applicable:

Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

Not a Politically Exposed Person (PEP) Not a Related to a Politically Exposed Person (PEP)

for Individual or any of your authorized signatories / Promoters / Partners / Karta / Trustees /

whole time directors:

4

M. . ADDITIONAL DETAILS (For Individual / Non Individual)

?If you have a land line connection kindly provide the same

?Whether you wish to receive communication from Member in Yes No

Electronics form on your Email-ID ( If yes then please fill in Appendix-A)

? In case of non-individuals, Name, PAN, DIN/DPIN/UID, residential address & As Per Annexure Attached

photographs of Promoters/Partners/LLP Partners/Karta/Trustees and whole time

directors.

?Any other information:

K. DEALINGS THROUGH OTHER MEMBERS If client is dealing through any other Member, provide the following details (in case dealing with multiple members/APs, provide details of all in a separate sheet containing all the information as mentioned below ):

Member’s/Authorised Person (AP’)s Name:

Exchange : Exchange

Concerned Member’s Name with whom the AP is registered :

Regd. Office Address :

Tel.: Fax:

Email : Website :

Client Code :

Details of disputes/dues pending from/to such Member.AP :

L. INTRODUCER DETAILS (optional) (For Individual / Non Individual)

Name of the Introducer

Status of the Introducer:

Address and Tel No. of the Introducer

Introducer’s Signature


Regn. No.:

5

Authorized Person Existing Client Others, please specify

Surname Name Middle Name

� I/We wish to nominate. � I/We do not wish to nominate .

N. NOMINATION DETAILS (For Individual only)

Name of the nominee

PAN of Nominee

Address

State

Pin

Fax No.

Date of Birth (if nominee is a minor) D D M M Y Y Y Y

Relationship with Nominee :

City

Country

Telephone No.

E-mail ID

WITNESSES (Only applicable in case the account holder has made nomination) Name Name

Signature Signature

Address Address

(For Individual only)

If Nominee is a minor, details of Guardian : (For Individual only) Name of Guardian

Address and phone no. of Guardian

Signature of Guardian


DECLARATION

1. 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/we am/are aware that I/We may be held liable for it.

2. I/We confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non-mandatory

documents.

3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) and ‘Risk

Disclosure Document’ and ‘Do’s and dont’s. I/We do hereby agree to be bound by such provisions as outlined in these

documents. I/We have also been informed that the standard set of documents has been displayed for Information on

member’s designated website, if any.

Name Signature

Place Date

(If Partner, Corporate or other Signatory, then attest with firm/company seal.)

Unique Client Code (UCC) allotted to the Client :

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

I/We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD, ‘Do’s and Don’ts’ and Guidance Note. I/ We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the clients.

(Signature of the Authorised Signatory)

Date Seal/Stamp of Shikago Trade Pvt. Ltd.

FOR OFFICE USE ONLY

Documents verified with Originals

8/12 @

6

ACKNOWLEDGEMENT

Date :-

SHIKAGO TRADE PVT. LTD., B-11, 3rd Floor, Plot-36 Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai - 400001

Dear Sir,

This has reference to necessary Know Your Client (Individual / Non-Individual) Form containing basic information, additional information and other documents executed by me/us. I/We hereby acknowledge receipt of following documents from you:- 1. Risk Disclosure Documents. (Annexure 2). 2. Rights and Obligations of members, authorized persons and clients

as prescribed by FMC and Commodity Exchanges. (Annexure 3). 3. Guidance note - do’s and don’ts for the investors (Annexure-4).

I/ We state that I/ We have read and understood all above documents and these documents are binding upon me/us.

Thanking you,

Client’s Signature : 9/12

Name of the Client :

Client Code :

7

MANDATORY

Appendix A Electronics Contract Note [ECN] – DECLARATION

(VOLUNTARY)

To, SHIKAGO TRADE PVT. LTD., B-11, 3rd Floor, Plot-36 Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai - 400001 Dear Sir, I, .............................................................................................................. a client with Member M/S. -----------------------------------------------------------of ------------------------------------ Exchange under take of follows.

• I am aware that the Member has to provide physical contract in respect of all the trades placed by me unless I myself want the same in the electronic form.

• I am aware that the Member has to provide electronic contract not for any convenience on my request only.

• Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me.

• I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email operations.

• My Email id is* ....................................................................... This has been created by me and not by someone else.

• I am aware that this declaration form should be in English or in any other language known to me.

• I am aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above e-mail ID. The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same *(The email id must be written in own handwriting of the client.) Client Name: ………………………………………………………………………… Unique Client Code: ………………………………………………………………… PAN: …………………………………………………………………………………. Address: ………………………………………........................................................... ………………………………………………………………………………………… Signature of the client………………………………………… Date: Place: Verification of the client signature done by, Name of the designated officer of the Member Signature

VOLUNTARY

RUNNING ACCOUNT AUTHORIZATION FOR ALL EXCHANGE

From : ________________________________________________ Client Code : _____________________ Date : ____/___/ _______

To, SHIKAGO TRADE PVT. LTD., B-11, 3rd Floor, Plot-36 Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai - 400001

To,

Dear Sirs,

• I am / We are regularly Trading with you for Derivative Market in MCX / NCDEX / ICEX. I / We hereby authorised you to do following on my / our behalf:

• I/We hereby give my/our consent to maintain my/our account for funds & Commodities as RUNNING ACCOUNT

• The credit balance lying in my/our account should be considered as margin deposits.

• I/We request you to keep my /our funds with you to meet my/our pay in obligation in the Succeeding settlements of

MCX / NCDEX /ICEX

• The actual settlement of funds & commodities shall be done by you every Quarterly / Monthly interval. You will send statement of funds and commodities I/We shall bring any discrepancy in writing to your notice preferably within 7 days from the receipt of funds / commodities of Statements.

• I/We have noted the following :-

• This running authorization will continue until it is revoked by me.

• The Authorization shall be signed by me/us only and not by any power of attorney holder or by any authorized

person

• I/We may revoke the authorization at any time.

• You are requested to accept all my buy/sell orders over the telephone/fax/email conveyed by myself/ourselves or Mr. who is duly authorized by me.

• I/We hereby authorize the undersigned Mr./ Mrs./Ms.

to collect and acknowledge on my / our behalf the Bills, Contract Notes, statements or any other documents of my/our daily / periodical transactions.

Specimen Signature of Authorised signatory:

Yours faithfuly,

Client’s Signature: 11/12 9

BROKERAGE STRUCTURE (TARIFF SCHEDULE)

DERIVATIVE SEGMENT

A. TRADING ACCOUNT % MINIMUM PAISA1 FIRST LEG

2 SECOND LEG

(SAME DAY SQ. OFF)

3 NEXT DAY

B Other Charges

Stamp Duty pYes

Turnover Tax pYes

Service Tax pYes

SPOT MARKET BROKERAGE

A. TRADING ACCOUNT % MINIMUM PAISA

1 FIRST LEG

2 SECOND LEG

(SAME DAY SQ. OFF)

B Delivery Brokerage

C Other Charges

Stamp Duty pYes

Turnover Tax pYes

Service Tax pYes

Demat Charges pYes

Name of the Client :

Client Code :

Client’s Signature: @12/12

Commodity Exchange Upload Info : NCDEX on by

MCX on by

ICEX on by

OTHER LEVIES AS PREVALENT FROM TIME TO TIME

1. Service Tax 2. Stamp Duty 3. Exchange transaction charges 4. Commodity Transaction Tax (CTT) 5. Delayed payment charges not exceeding 2.5% per month or part of the month. 6. Cheque return charges @0.15% of cheque value plus Rs.137/- towards cheque handling charge 7. Physical / Duplicate Contract Note handling charges of Rs.35/- per segment per day. 8. Document and service charges for Commodity account opening Rs.150/- 9. Amount paid / payable by STPL on account of any penalties / charges levied / leviable on STPL due to default / breach committed by client. Any other statutory levies not specified in this tariff sheet. 10.Charges for any other services provided / cost incurred by STPL. 11. Any other charges toward customised / specialised services.

Note: Rate of the other levies may vary from time to time. You may contact us to know the prevalent rates of the above levies. STPL means Shikago Trade Pvt. Ltd.. Any change in the commercial shall be communicated on your email id registered with us and the same shall also be available in your client login on our website.

For office use only

10

VOLUNTARY

INTERNET TRADING LETTER

To, SHIKAGO TRADE PVT. LTD., B-11, 3rd Floor, Plot-36 Tamarind House Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai - 400001

Sub: Internet Trading Sir, I/We wish to trade though internet on Multi Commodity Exchange of India Limited (MCX) / National Commodity & Derivatives Exchange (NCDEX) and confirm that we are fully aware of and understand the risk associated with availing of a service of routing orders through internet including the risk of misuse and unauthorized use of our Username or Password by a third party and the risk of a person hacking into our account on your ITORS system and unauthorized routing order on behalf of us through the system. We agree that we shall be fully liable and responsible for any and all unauthorized use and misuse of our Password and / or Username and also for any all acts done by any person through your ITORS system on our Username in any manner whatsoever. We hereby confirm you to send our Username and Password on the mentioned E-mail address:

Email ID:……………………………………………………………………………………

Client’s Name :…………………………………………………………………………….. Trading Code: ……………………………………………………………………………... Mobile Number: …………………………………………………………………………… Thanks and best regards

Client’s Signature

Non- Mandatory/ Voluntary Declaration for HUF

In the event of an account being opened with Shikago Trade Pvt Ltd., we the undersigned, with the intention of binding not only the present members of the family but also all future members thereof, and all persons entitled to a share therein (including ourselves personally and our respective interests), in the joint family properties as well as our separate estates, agree and undertake to give notices to Shikago Trade Pvt Ltd., in writing,

• Whenever any change occurs in the karta, or • Of any birth or death of a co-parcener, or • If any time, there is a partition (partial or otherwise) of the joint family, or • If any minor member of the said family attains majority

In consideration of Shikago trade Pvt Ltd., agreeing to open an account in the name of the joint family and allowing the family Depository Participant (DP) facilities on the basis of the aforesaid representations and undertakings, we the undersigned, do hereby jointly and severally, undertake to indemnify Shikago Trade Pvt Ltd., and keep Shikago Trade Pvt Ltd., indemnified from and against all

• Action and proceedings • Losses and damage • Claims, demands and costs • Charges and expenses that Shikago Trade Pvt Ltd., may suffer, incur or sustain

by reason or as a result of its having agreed allow is to open and operate the account in the name of the joint family and enjoy DP facilities on the terms and conditions as contained herein.

Sr. No.

Name of Family Member Relationship with KARTA

Gender Date of Birth

Signature

Date: ___/____/______ To, SHIKAGO TRADE PVT. LTD., B-11, 3rd Floor, Plot-36 Tamarind House, Mudhana Shetty Marg, Hutatma Chowk, Fort, Mumbai - 400001 Dear Sir/Madam,

Sub : Categorization of Participants in Commodities Derivatives pursuant to SEBI Circular No. SEBI/HO/CDMRD/DNPMP/CIR/P/2019/08 dt. January 04, 2019

This is with reference to the above referred SEBI Circular in respect of categorization of

client. I hereby confirm that I have read and understood the copy of the said circular

provided to me by Shikago Trade Private Limited. On the basis of my understanding, I

hereby confirm that I shall fall under the client categorization as ticked below:

□ Farmers/FPOs: Farmers, farmers’ cooperatives, Famers Producers Organisations (FPOs) and such entities of like nature.

□ Value chain participants (VCPs): Processors, Commercial users as Dal and Flour Millers, Importers, Exporters, Physical Market Traders, Stockiest, Cash & Carry participants, Produces, SMEs/MSMEs & Wholesalers etc., but exclude farmers/FPOs.

□ Proprietary traders: Members of stock exchanges trading in their proprietary account.

□ Domestic financial institutional investors: Mutual Funds (MFs), Portfolio Managers, Alternative Investment Funds (AIFs), Banks, Insurance Companies and Pension Funds etc., which are allowed to trade in commodity derivatives.

□ Foreign participants: Eligible Foreign Entities (EFEs), NRIs etc. which are allowed to trade in commodity derivatives markets.

□ Others: All other participants which cannot be classified in the above categories. _________________________________

Thanking you,

Yours truly

Client ID and Client Name: ……………………………………………………………………

Know Your Client (KYC)Application Form (For Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black inkA. Identity Details (please see guidelines overleaf)1. Name o f Applicant (As appearing in supporting identification document).Name

Father’s/Spouse Name

2. Gender Male Female B. Marital Status Single Married C. Date of Birth / /

3. Nationality Indian Other

4. Status Please tick (?) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

5. PAN Please enclose a duly attested copy of your PAN Card

Unique Identification Number (UID)/Aadhaar, if any:

6. Proof of Identity submitted for PAN exempt cases Please Tick (?)

UID (Aadhaar) Passport Voter ID Driving Licence Others

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

City / Town / Village Pin Code

State Country

2. Contact Details

Tel. (Off.) Tel. (Res.)

Mobile Fax

E-Mail Id.

?

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted / /

4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant

City / Town / Village Pin Code

State Country

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted / /

C. Other Details (please see guidelines overleaf)

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

Net-worth in . as on (date) / /

2. Occupation (Please tick (?) any one and give brief details):

Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired

Housewife Student Forex Dealer Others (Please specify)

3. Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

For definition of PEP, please refer guideline overleaf

4. Any other information:

d d m m y y y y

(ISD) (STD)

(ISD) (STD) (ISD) (STD)

d d m m y y y y

d d m m y y y y

d d m m y y y y

(Please specify)

(Please specify)

(Please specify)

(ISD) (STD)

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached.

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Bank A/c Statement/Passbook

*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached.

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card

* Latest Bank A/c Statement/Passbook *Latest Telephone Bill (only Land Line) *Latest Electricity Bill

*Latest Gas Bill Others

Voter Identity Card * Latest

( * N e t w o r t h s h o u l d n o t b e o l d e r t h a n 1 y e a r )

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PHOTOGRAPH

Please affixthe recent passportsize photograph and

sign across it

(Please see guideline ‘D’ overleaf)

DECLARATION SIGNATURE OF APPLICANT

Place: Date:

FOR OFFICE USE ONLY IPV Done on / / AMC/Intermediary name OR code (Originals Verified) Self Certified Document copies received

(Attested) True copies of documents received

Main Intermediary

d d m m y y y y

I hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I 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.

For Shikago Trade Pvt Ltd.

Signature:

Date :

I

Designation:Name:

NEW CHANGE REQUEST (Please tick appropriate)?

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

A. IMPORTANT POINTS:

1. Self attested copy of PAN card is mandatory for all clients.

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

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

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

5. If correspondence & permanent address are different, then 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/PIOCard/OCICard and overseas address proof is mandatory.

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

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

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

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

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

1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section D).

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

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments,Statutory/Regulatory Authorities, Public Sector Undertakings,Scheduled Commercial Banks,Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

C. Proof of Address (POA): List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.)

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

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

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

4. Self-declaration attesting the documents, as per the below mentioned list. 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/Multinationa Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislativeproofs for 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.

D. Exemptions/clarifications to PAN

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

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

2. Investors residing in the state of Sikkim.

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

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

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

E.List of people authorized to attest the documents:

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

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

Please Submit the KYC documents on A4 Size Paper only.

( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED* ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

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 is available at the end.F) List of two character ISO 3166 country codes is available at the end.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.

Married

Resident IndividualForeign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-ServiceO-OthersB-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code Identification Number

X- Not Categorised

Address Type*Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS

7. REMARKS (If any)

(All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1’ ) (please refer instruction G at the end)

(If KYC number and name are provided, below details of section 6 are optional)

Tel. (Off)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

State* ZIP / Post Code* ISO 3166 Country Code*

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government) Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date : Place :

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

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Employee Signature][Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

State / U.T Code* Pin / Post Code* ISO 3166 Country Code*District*

Line 2 City / Town / Village*

Line 1*

Line 3

Line 2 City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code Identification Number