C N T R U M

SEBI REGISTERED NSE, BSE AND MCX-SX MEMBER, DEPOSITORY PARTICIPANT AND PORTFOLIO MANAGER

Registered Office : Bombay Mutual Bldg., 2nd Floor, Dr. D. N. Road, Fort, Mumbai - 400 001.

C E N T R U M B R O K I N G P R I VAT E L I M I T E D

C L I E N T R E G I S T R AT I O N K I T

Application No.:

C N T R U M

Client Name:

Client Code:

DP ID: Client ID:

Branch Name:

( I N D I V I D UA L S )

Acknowledgment (Office Copy)

Application No.

Date :

Account opening cheque details

Amount Chq. No. Bank Name Date

Margin Cheque Details


Relationship Manager Name

Relationship Manager Signature

Centrum Broking Private Limited

Acknowledgment (Client Copy)

Application No.

Date :

Account opening cheque details


Margin Cheque Details



Relationship Manager Signature


ACCOUNT OPENING KIT

INDEX OF DOCUMENTS

NON MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Non mandatory Agreement between Broker & Client regarding Policies, Procedures, Rules with respect to Exposures, Margins and other areas of Operation

Running Account authorization letter for settlement of account periodically

Document capturing risk appetite of Client

Declaration by NRI Clients

1. Non-Mandatory Agreement

2. Running Account authorization

4. Client Suitability Sheet

5. NRI Declaration

17 to 26

27

Authorization letter given by client to place orders, collect payments/contracts and any other correspondence, etc.

3. Authorization for trade 28

29 to 31

32

DP ACCOUNT OPENING DOCUMENTS

Agreement executed between Depository Participant & BO for opening a Demat Account

1. DP-BO agreement 33 to 34

Document detailing the charges levied on the client for availing Depository Services

2. Tariff Structure 35 to 36

Document stating the Terms And Conditions for receiving SMS Alerts3. Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts

37 to 38

Power of Attorney to be executed in favour of Depository Participant

In Person Verification

4. Power of attorney

5. In Person Verification

39

40

S. No. Name of the Document Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Page No

A. KYC Form - Document captures the basic information about the constituent and an instruction/check list (Trading & DP)

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

1. Account Opening Form

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

Document detailing risks associated with dealing in the securities market.

2. Rights and Obligations

Document describing significant policies and procedures of the stock broker.

5. Policies and Procedures

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

4. Guidance note

3. Risk Disclosure Document (RDD)

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

6. Tariff sheet

1 to 7

8 to 12

13 to 15

16

}separatelygiven to client

Registered office :Bombay Mutual Building, 2nd Floor,

Dr. D. N. Road, Fort, Mumbai – 400 001. Tel. No. : +91 22 22662434

Fax No. : +91 22 22611105 Website : www.centrumbroking.com

Processing Office :Centrum House, CST Road, Near Bandra Kurla Complex,

Vidya Nagari Marg Kalina, Santa Cruz (East), Mumbai – 400 098

Tel. No. : +91 22 42159000 Fax No. : +91 22 42159344

Website : www.centrumbroking.com

GRIEVANCE REDRESSAL MECHANISM

For any grievance/dispute please contact Centrum Broking Private Limited at the correspondence address or email id -

[email protected] and Phone No. : 91-22 42159000.

In case not satisfied with the response, please contact the concerned exchange(s) at:

NSE Investor Grievance Cell / Arbitration Email : [email protected]; Tel No. : (022) 26598190 Fax No. : (022) 26598191

Bombay Stock Exchange Limited Email : [email protected] ; Tel No. : (022) 2272 8097

MCX Stock Exchange Limited Email : [email protected]; Tel No. : (022) 6731 8933 / 9000

Segment Exchange Registration No.

CAPITAL MARKET

DERIVATIVES

CURRENCY DERIVATIVES

BSE

NSE

NSE

MCX - SX

CDSL

CDSL

INB 011251130(07/02/2006)

INB231251134 (22/03/2006)

INF 231251134 (29/03/2006) (TRADING & CLEARING MEMBER)

INE 261251134 (29/09/2008) CLEARING MEMBER: _______________________

12200

IN-DP-CDSL-20-99

INP000000456

DP ID

SEBI REGISTRATION NO.

PMS REGISTRATION NO.


Compliance Officer :

TEL NO. : +91 22 42159703

EMAIL ID : [email protected]

PRAVEEN MALIK

CEO :

ANDEEP NAYAK

TEL NO. : +91 22 42159413

EMAIL ID : [email protected]

S

?F - Signature of the Client First Holder?? S - Signature of Second Holder

?T - Signature of Third Holder

??

1 - 34

1 - 9

1 - 9

Please fill this form in ENGLISH and in BLOCK LETTERS

Name of the Applicant:

Father’s/ Spouse Name:

Title : ? ? ? ? Mr. Mrs. Ms. Other Suffix_________________________________________

Nationality : __________________________________________________? ? Indian Others (Specify)

PAN :

Unique Identification Number (UID)/ Aadhaar, if any

Specify the proof of Identity submitted :

PHOTOGRAPH

Please affix your recent

passport sizePhotograph

and sign across it

F1?

ACCOUNT OPENING KIT

I / We request you to open -: Trading Account Trading & Demat Account? ?

Client Code Beneficiary Client ID:

Status Sub- Status

? Individual

? NRI

? Foreign National

?

?

?

?

Individual Resident

Individual Director’s Relative

Individual Promoter

Individual Margin Trading A/C (MANTRA)

?

?

?

NRI Repatriable

NRI Repatriable Promoter

NRI – Depository Receipts

?

?

Foreign National

Others (specify)

?

?

?

Individual-Director

Individual HUF / AOP

Others (specify)

?

?

?

NRI Non-Repatriable

NRI Non-Repatriable Promoter

Others (specify)

? Foreign National - Depository Receipts

IDENTITY DETAILS

SOLE/ FIRST HOLDER DETAILS (FOR TRADING & DEMAT ACCOUNT)

Surname Name Middle Name

Gender : ? ? ? ? Male Female Marital Status : Married Unmarried

D D M M Y Y Y YDate of Birth :

CORRESPONDENCE/FOREIGN ADDRESS DETAILS

Address

State:

Specify the proof of address submitted for correspondence address:

City/Town/Village. Country:

Tel. No. (Off.)

Mobile No.

E-mail ID _______________________________________________________________________________________

Pin Code:

Tel. No. (Res.)

Fax No.

1

Address

State:

Specify the proof of address submitted for permanent address:

City/Town/Village. Country: Pin Code:

PERMANENT/RESIDENTIAL ADDRESS

2

(if different from above or overseas address, mandatory for Non-Resident Applicant )

OTHER DETAILS

Gross Annual Income Details (please specify):

Income Range per annum : Below Rs 1 Lakhs

Rs. 10 Lakhs to Rs. 25 Lakhs Above Rs. 25 Lakhs

? ? ?

? ?

Rs. 1 Lakhs to Rs. 5 Lakhs Rs. 5 Lakhs to Rs. 10 Lakhs

Net-worth as on date : (__________________________ ) (Net worth should not be older than 1 year)D D M M Y Y Y Y

Occipation : Service : { Central Govt. State Govt. Public / Private Sector NGO Statutory Body}

Agriculturist Professional Business Student Retired Housewife

Others (Specify)

? ? ? ? ?

? ? ? ? ? ?

_______________________________________________________________________

Nature of Business(Products/Services Provided) :

Please Tick, if applicable : Politically Exposed Person (PEP) ? ? Related to a Politically Exposed Person(PEP)

Any other information_____________________________________________________________________________________

DECLARATION

Date 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 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 aware that I may be held liable for it.

Signature of the Client (First Holder)

F2?

FOR OFFICE USE

Seal/Stamp of the Centrum Broking Private Limited

? (Originals verified) True copies of documents received

? (Self-Attested) Self Certified Document copies received

Signature of the Authorised Signatory

Date :

x

D D M M Y Y Y Y

ADDITIONAL DETAILS FOR OPENING DEMAT ACCOUNT

3

JOINT HOLDER’S DETAILS

Second Holder Name

Second Holder

Name of the Father/Husband


Permanent Address

State: City/Town/Village. Country:

Tel. No. Mobile No.

PAN No. (Compulsory)*

Nationality

Pin Code:

Fax No.

Sex : ? ? FemMale ale Date of Birth D D M M Y Y Y Y



Others (Specify)

? ? ? ? ?

? ? ? ? ? ?

_______________________________________________________________________


E-mail id _______________________________________________________________________________________

Third Holder Name

Third Holder

Name of the Father/Husband


Permanent Address


Nationality


Tel. No. Mobile No.

Pin Code:

Fax No.

Sex : ? ? Male Female Date of Birth D D M M Y Y Y Y



Others (Specify)

? ? ? ? ?

? ? ? ? ? ?

_______________________________________________________________________


E-mail id _______________________________________________________________________________________

Guardian’s Details (In case First/ Second/ Third Holder is Minor)

Guardian’s Name:

Relationship with the Holder:

Correspondence Address:


Tel. No. Mobile No.


Pin Code:

Fax No.

E-mail id _______________________________________________________________________________________

ADDITIONAL DETAILS

[In case of minor holder, photograph of guardian has to be affixed along with minor’s photograph.]

Name:

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

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

Account Statement Requirement: Daily Weekly Fortnightly Monthly

Do You Wish to receive dividend / Interest directly to your bank account through ECS? Yes No

I / We request you to send Electronic Transaction-cum Holding Statement at Sole / First Holders Email ID stated in the Account

Opening Form or at_________________________________________________________________________ Yes No

? ? No

? ? ? ?

? ?

? ?

Yes

SMS Alert Facility

Easi

? Yes MOBILE NO. +91

Refer to Terms & Conditions given as Annexure

? Yes If yes, please contact your DP for details

[Facility through CDSL’s website: www.cdslindia.com wherein a BO can view his ISIN

balances, transactions and value of the portfolio online.]

? No

? No

(Please Tear Here)

4

5

DECLARATION

I/We have read the agreement, terms & conditions DP BO agreement and agree to abide by and be bound by the same and by the Bye Laws as are in

force from time to time. I/We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making

this application. I/We agree and undertake to intimate the DP of any changes in the details/ particulars mentioned by me/ us in this form. I/We

further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for

termination and suitable action.


F3? ? ?Signature of the Second Holder

S1

Signature of the Third Holder

T1

Name Name Name

PHOTOGRAPHof Second Holder

Please Sign Across thePhotograph

PHOTOGRAPHof Third Holder

Please Sign Across thePhotograph

(To be filled by the Depository Participant) Acknowledgement Receipt

Application No.: Date : D D M M Y Y Y Y

We hereby acknowledge the receipt of the Account Opening Application Form: For Centrum Broking Private Limited

Authorised Signatory(Seal of Centrum Broking Private Limited)

Name of the Sole / First Holder

Name of Second joint Holder

Name of Third joint Holder

(Please Tear Here)

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*To receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders.This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

*(As the Nominee is Minor on this date, I/We appoint following person to act as Guardians)

Name

*Guardian Details : (In case of Minor)

Address

PIN

Age CountryCity State

?to receive security Balances lying in my / our account, particulars whereof are given, in the event of the death of the Sole Holder or the death of all the Joint Holders.

?I/We do not wish to Nominate any one for this Demat Account.

I/We the sole holder / Joint holders / Guardian (in case of minor) hereby nominate the following person who is entitled

Please Select,

Nominee Details :- Name

DP ID

Relationship with BO (if any)

Client ID

Title DOB (if Minor) D D M M Y Y Y Y

Address

Telephone No.

Fax E-mail ________________________________________________________________

Country

City

State

PIN

6

NOMINATION FORM

? ? ? Mr. Mrs Ms.

Place : Date : D D M M Y Y Y Y

Acknowledgement Receipt

Received nomination form from :

For Centrum Broking Private Limited

Authorised Signatory(Seal of Centrum Broking Private Limited)

Nomination in favour of

No Nomination

Registration

7

(To be filled By DP)

For Centrum Broking Private Limited

(Authorised Signatory)

Nomination accepted and registered wide

Registration No. ____________________

Date : D D M M Y Y Y Y

(Please Tear Here)

x

x

Details of the Witness

(1)

(2)

Name & Address (1) Signature With Date



S2


T2

Address

Name

DP OD Client ID

? Does not with to nominee

D MDate D M Y YY Y

Sub-broker’s Name:

SEBI Registration number:

Registered office address

Phone

Website

Fax

8

Name of Exchange

National Stock Exchange of India Limited

Capital Market

Futures & Options

*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client

Market Segment Client Signature

Bombay Stock Exchange Limited

Cash

MCX Stock Exchange Limited

Details of any action / proceedings initiated / pending / taken by SEBI / Stock exchange / any other authority against the applicant / constituent

during the last 3 years:________________________________________________________________

F5?

F6?

F7?

F8?

TRADING PREFERENCE

Currency Derivatives

PAST ACTIONS

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

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

TRADING ACCOUNT RELATED DETAILS

BANK ACCOUNT DETAILS

Bank Name: Branch Address Bank Account No.

MICR No. IFSC Code

DEPOSITORY ACCOUNT(S) DETAILS

Beneficiary ID (BO ID)

Depository Participant Name Depository Name (NSDL/CDSL) Beneficiary Name DP ID

Account Type : Saving/Current/Other in case of NRI / NRE / NRO

9

Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)

Name of stock broker

Name of Sub-Broker, if any:

Client Code:

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

Exchange:

ADDITIONAL DETAILS

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

• Specify your Email id, if applicable:__________________________________________________________________________

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

• Number of years of Investment/Trading Experience:_______________________________________________________________

• Any other information:___________________________________________________________________________________

INTRODUCER’S DETAILS

Name of Introducer

Introducer Address

Signature of the Introducer _______________________________________

Surname Name Middle Name

Status of the Introducer: ? Sub-broker ? Remisier ? Authorized Person ? Existing Client ? Others, please specify______________

PAN Card No. of the Introducer :

Phone No.

Name of the Nominee:

Relationship with the Nominee:

PAN of Nominee:

Address of the Nominee:

Date of Birth of Nominee:

Phone No. of the Nominee:

NOMINATION DETAILS

? I/We wish to nominate ? I/We do not wish to nominate

D D M M Y Y Y Y

If Nominee is a minor, details of guardian:

Name of guardian:

Address of the Guardian:

Phone No. of the Guardian:

Signature of Guardian: _________________________

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

Witness 1

Name

Signature_________________________________________

Address

Witness 2

Name

Signature_________________________________________

Address

10

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 am/we 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 document on policy and procedures of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by 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 stock broker’s designated website, if any.

Signature of the ClientF9?


Place :

UCC Code allotted to the Client

Documents verified with Originals Client Interviewed By In-Person Verification done by

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/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. 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 SignatorySeal/Stamp of the Centrum Broking Private Limited

x

FOR OFFICE USE ONLY


INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM

11

A. IMPORTANT POINTS:

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

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

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

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

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

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

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

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

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

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

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

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

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

2. PAN card with photograph.

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings,

Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI. ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

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

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

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

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

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

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

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

6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSi Bar Council etc., to their Members.

7. For Fll/sub account, Power of Attorney given by Fll/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.

12

5. In case of institutional clients, namely, Flls, 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.

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

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.

Copy of ITR Acknowledgement

In case of salary income - Salary Slip, Copy of Form 16

Copy of demat account holding statement.

Any other relevant documents substantiating ownership of assets.

Copy of Annual Accounts

Net worth certificate

Bank account statement for last 6 months

Self declaration with relevant supporting documents.

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

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

I. For individuals:

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

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

*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.

DP ACCOUNT OPENING INSTRUCTIONS

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

2. Signatures should be preferably in black ink.

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

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

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

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

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

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MANDATORY DOCUMENT DEALING WITH POLICIES AND PROCEDURES PURSUANT TO SEBI’S CIRCULAR MIRSD/ SE/ Cir-19/ 2009 dated December 3, 2009:

1. Refusal of order for Penny stocks:

• Centrum Broking Private Limited (“CBPL”) shall have the absolute discretion to accept, refuse or partially accept any buy or sell order for execution from a client in respect of penny stocks, illiquid stocks, stocks having low liquidity, illiquid “options”, far month “options”, writing of “options”, stocks in T,Z and TS category and any other contracts which as per the perception of CBPL are extremely volatile or where the order by the client is quiet large compared to the volume in the market and where CBPL feels that it is subject to Market manipulation.

• CBPL may permit restrictive acceptance of orders in such scrip’s/contracts in controlled environments like orders received from clients being forwarded by branches to a centralized desk instead of allowing trading in such scrip’s/Contracts at branch level or through Online trading platform. CBPL shall not be responsible for delay in execution of such orders and consequential opportunity loss or financial loss to the client.

• CBPL may cancel orders in such scrip’s received from clients before execution or after partial execution without assigning any reasons thereof.CBPL may take appropriate declarations from the clients before accepting such orders.

• CBPL shall have the prerogative to place such restrictions, notwithstanding the fact that the client has adequate credit balance or margin available in his account and/or the client had previously purchased or sold such securities / contracts through CBPL itself.

2. Setting up client’s Exposure limits:

Exposures and margins shall be regularly monitored by the company for all clients. Each client also needs to constantly monitor his/her positions, margins etc. and it shall be the client's responsibility to maintain adequate margins against exposures taken / proposed to be taken. Exposure limits shall be made available to clients based on collateral available to be used as initial margins across exchanges and segments.

Collateral includes

• Account balances adjusted for F&O margins, as maybe applicable

• Adjustments for open unsettled positions, if any

• "Approved Securities" held with CBPL as collateral that the client has authorized the company to hold / keep as margins with itself or the exchange (Received or due from exchange) valued after a haircut and / or margin as determined by the company from time to time

Account balances shall include

• All daily billing effects for all segments

• All charges and fees that are incidental to carrying out the securities business like DP charges, Delayed Payment charges, auctions, penalties, any other fees etc.

• All money receipts realized by the company before the trading session / day

• Derivative margins collected / realized based on the billing policy adopted by the company from time to time

"Approved Securities" is the list of securities that CBPL accepts as collateral. Typically the list is revised on a monthly basis, but maybe modified anytime at the sole discretion of CBPL based on market volatility, any material impact on price or volatility of any security. This list shall be made available on demand. The haircut on securities for valuation shall be defined by CBPL and typically varies from 25%-100%

Exposure limits shall be allocated to clients at the company's absolute discretion and may vary from client to client based on risk profiles, trading patterns, qualitative assessments, track record, underlying Securities, Exchange segments etc. This may vary from 1 x collateral to 4 x collateral. The company may at its discretion allow higher or lower exposures based on various other factors like market / stock volatility and any other client related factors as above.

All shares held in DP Beneficiary of the client maintained with CBPL at beginning of trading day shall be available for sale in case the client has authorized CBPL to use the shares for margins and/ or settlement of exchange obligations and undertakes not to transfer such securities out of the account directly without CBPL's consent (such consent not to be unreasonably withheld);

Exposure limits are dynamic throughout the day and are constantly adjusted for M to M profits / losses, market conditions, individual security exposure caps and all other factors affecting risk to security prices, collateral and liquidity;

CBPL may change the procedure for exposure allocation depending upon the market conditions and change in internal policies. The same may be put up / updated on the website regularly. A copy of the same can be obtained from the offices of CBPL.

3. Applicable Brokerage rates :

Brokerage shall be applied as per the rates agreed upon with the client at the time of registration and in line with the terms of agreement between the client and CBPL. The rate of Brokerage shall not exceed the maximum brokerage permissible under Exchange bye-laws.

The slab rates of brokerage fixed by CBPL are functional of the quality and cost of services provided to the client and the volume and revenue expected from an account. It shall be reviewed by the CBPL from time to time and may be increased with prospective effect at a notice of 15 days sent to the E-mail address or postal address of the client registered with CBPL.

14

4. Imposition of Penalty / delayed payment charges

The delayed Payment charges would levied to the client if the payment is not received in time for meeting the pay-in obligations of the exchange.

The rate of the charges would be up to @ 36% p.a.. Similarly, in case there is a delay in payment to the client in the absence of any running account authorization, CBPL would pay the delayed payment charges at the same rate, if the payment is not made/ dispatched within one business day after the pay-out as per the exchange guidelines.

5. Right to sell clients’ securities or close clients’ positions, without giving notice to the client, on account of non-payment of client’s dues

The client shall ensure that adequate margins are maintained with the company against exposures taken / proposed to be taken. In case there is a shortfall in margins/ collateral, CBPL shall make an earnest attempt to contact the customer over phone or any other means before initiating any close out of positions, however it is the client's responsibility to ensure adequacy of margins failing which CBPL shall, at its discretion, execute the close out of positions as it deems fit.

Closing out of positions may include positions initiated during the trading session/ day, positions carried forward from previous days/ sessions and liquidation of collateral / securities held by the client with Company (that may / may not be kept with the exchange) and liquidation against any pending payout obligations expected from the exchange on account of previous transactions. CBPL, shall at its discretion, execute such close outs in any order of priority it deems fit to bring back margin adequacy for residual exposures.

CBPL shall not hold any cash delivery position if full payments are not received. In such events the company may sell off such deliveries to the extent of funds shortfall in the account without reference to the client before T+5 even if adequate margins are maintained as per regular exposure limits offered to the client.

CBPL shall insist for at least 50% of margin in cash and may not consider the value of securities over and above the cash component for the purpose of calculating margin shortfall and close the position where it finds the deviation

CBPL shall have the right to sell client's securities or close out client's open positions but it shall not be under any obligation to undertake this exercise under any circumstances CBPL shall not be under any obligation to compensate/ or provide reasons of any delay or omission on its part to sell client's securities or close open positions of the client. This option will be exercised solely at the discretion of CBPL.

CBPL shall also be entitled to sell all or some of the client’s securities or close out the client’s open position for recovery of amounts due and payable by the client to CBPL towards the brokerage fees of CBPL.

6. Shortages in obligations arising out of internal netting of trades

CBPL shall have the right to adopt a policy of its choice for internal auctions arising out of internal netting of trades and charge to defaulter seller and compensate the impacted purchaser as per the policy. The current procedure for internal auction is displayed on the website, which may be amended from time to time with prospective effect after publishing the same on the corporate website. This document can be obtained from the office of CBPL on demand by the client.

7. Conditions under which a client may not be allowed to take further position

In case the client does not have adequate margins or scrip-wise exposure of CBPL is breached CBPL shall not, at its own discretion, allow the client to take further position. Notwithstanding anything specified above, CBPL shall reserve the right to deny incremental exposure partly or fully across any security owing to various situations including market dynamics, technology disruptions or any other circumstance beyond the direct control of CBPL.

8. Temporarily suspending or closing a client’s account at the client’s request

• Suspension

CBPL may also suspend the account based on a request received from the client provided the client has given a notice of at least 7 trading days and there is no open position in all the segments/exchanges and there is no obligation/debit balance in the account . The account would be settled with the client before suspending the same.

• Closure

CBPL may close the account based on a request received from the client provided the client has given a notice of at least 7 trading days, and there is no open position in any segments/exchanges and there is no obligation/debit balance in the account. The account would be settled with the client before closing the same.

9. Deregistering a client

CBPL may de-register the client account based on action taken by SEBI/NSE/BSE or being part of list of debarred entities published by SEBI. CBPL may also initiate action for deregistering a client on basis of information found in sites of CIBIL, Watch out investors, world check or client having suspicious back ground, link with suspicious organization, as enumerated in the PMLA guidelines , FATF or any other regulator or statutory authority. CBPL shall have right to close out the existing positions, sell the collaterals to recover its dues, if any, before de-registering the client. CBPL shall have the right to deregister a client after serving a written notice of one month without assigning any reason thereof.


F10?

Name

15

PREVENTION OF MONEY LAUNDERING POLICY (PMLA)

Money Laundering in India

With the growing financial sector, India is vulnerable to money

laundering activities. Some common sources of illegal proceeds in

India are narcotics trafficking, illegal trade in gems, smuggling,

corruption and income tax evasion. Large portions of illegal proceeds

are laundered through the alternative remittance system called

“hawala”. Under this system, individuals transfer funds from one

country to another or from one state to another, often without the actual

movement of currency.

Prevention of Money Laundering Act, 2002(PMLA)

To combat money-laundering activities, the Government of India

enacted the Prevention of Money Laundering Act, 2002 (hereinafter

referred to as the “Act”) on January 17, 2003.

Securities and Exchange Board of India (hereinafter referred to as SEBI)

vide its Circular Ref No.: ISD/CIR/RR/AML/1/06 dated January 18,

2006 laid down broad guidelines on Anti Money Laundering Standards.

As per the Circular, all the intermediaries registered with SEBI under

Section 12 of the SEBI Act were advised to ensure that a proper policy

framework on anti-money laundering measures was put in place. This

was essentially in conformity with the Prevention of Money Laundering

Act, 2002 and the Rules framed there under by SEBI.

The basic objective of the Act is three fold, viz.:

• To prevent, combat and control money laundering.

• To confiscate and seize the property obtained from the

laundered money.

• To deal with any other issue connected with money laundering

in India.

Policy on PMLA at Centrum:

Centrum has framed a stringent policy with respect to the PMLA

wherein adequate checks are made at the time of acquisition of clients

as well as monitoring of day to day transactions of clients.

As a part of our endeavor to comply with the provisions of PMLA we

classify the clients into three categories i.e. high, medium and low

based on the certain parameters. We have appended a Client suitability

sheet which enables us to classify the clients which inturn would be

beneficial for better monitoring of the transactions in your account.

Further, we have displayed the policy on the website which will enable

the clients for better understanding of provisions of PMLA. We request

you to familiarize yourself with the same.

Th c i I

n i na ly kept Ba

is Spa e s ntet o

l l nk


F11?

Name

16

SCHEDULE OF CHARGES

CIF/UCC No.

Account Opening : NilDP Charges : As per scheme selected BrokerageDelivery : 0.50% Intraday : 0.05%Futures : 0.05% Options : min (1.5% of premium, Rs.100 per lot)

Account Opening : Rs.1000DP Charges : As per scheme selectedBrokerageDelivery : 0.50% Intraday : 0.05%Futures : 0.05% Options : min (1.5% of premium, Rs.100 per lot)

Account Opening : Rs.2500DP Charges : As per scheme selectedBrokerageDelivery : 1.00%Futures: 0.30% (as maybe permitted)Options : min (1.5% of premium, Rs.100 per lot) (as maybe permitted)

Category : Resident Indian PremiumInitial Cash AUM > Rs.10 Lacs OR Stock Transfer value >= Rs.20 Lacs (With account opening form)

Category : Resident Indian Standard

Non Resident Indian

Other Charges

Sr. No. Particulars Charges

Exchange Pay in for customers from collateral account or Inter settlement security transfers

Securities Pledging / Releasing charges (with the exchange)

Cheque bounce charges

Duplicate statements (printed statements to be couriered)

Contract Note Charges (Additional physical copy)

Delivery Handling charges

Rs. 10/- per transaction*

Actual as per custodian DP

Rs.500/- per presentment*

Rs.100/- per request*

Rs.50/- per contract*

As applicable from time to time

* In addition Service tax shall be levied at the rates prescribed from time to time.

Notes: 1 Centrum Broking Pvt. Ltd (Company) reserves the right to revise the fees / charges with the prior notice of 30 days and the same shall be sent to

customers through an email / post / or shall be made accessible on the company website. CBPL reserves the right to withdraw offer of service if the customer does not consent to revised terms within 30 days.

2 Minimum brokerage amount per share shall be levied as below:Delivery : Rs. 0.05 Futures : Rs. 0.02

3. All other statutory, regulatory and contractual charges including STT, Stamp duty, SEBI fees, Exchange Turnover charges as may be applicable shall be charged extra


F12?RM Signature

X

Customer Name

CIF No.


RM Code

Date D D M M Y Y Y Y

1

2

3

4

5

6

NON-MANDATORY

17

AGREEMENT CONTAINING ADDITIONAL TERMS AND CONDITIONS APPLICABLE TO THE CLIENT FOR AVAILING SECURITIES TRADING SERVICES FROM CENTRUM BROKING PRIVATE LIMITED.

I,(hereinafter referred to as "Client") have got myself

registered with the Member for trading in

Securities/Derivatives segment of the exchange(s). In

pursuance thereof, I, voluntarily and unconditionally

hereby state and declare that I/We have read and

understood the terms and conditions mentioned

hereinafter governing securities trading and broking

services of MEMBER i.e. Centrum Broking Private Limited

and agree to be bound by the same. I/We hereby agree and

confirm that these terms and conditions shall be

applicable in case of shall include the other terms and

conditions as received by me.

1. DEFINITION

(a) “Agreement” or “the Agreement” or “this Agreement”

shall mean this Voluntary Agreement together with the recitals

and the Annexures attached hereto, and the individual

contracts, certificates, disclosures and other documents

executed and delivered or to be executed and delivered

pursuant hereto, if any.

(b) "Securities" shall have the same meaning as assigned thereto

under Section 2(h), of the Securities Contracts (Regulation)

Act, 1956 and shall include any securities, derivatives and other

instruments which are tradable on any of the stock exchanges as

well as such units of Unit Trust of India, and /or other mutual

funds (whether listed or unlisted), RBI bonds ,government

securities, debt instruments, negotiable instruments, unlisted

securities, certificates of deposit, participation certificates,

commercial paper, money market instruments and investments

as may be specified by the MEMBER from time to time;

(c) “Clearing House” shall mean the clearing corporation or

clearing house of an Exchange to clear and settle trades in

Securities;

(d) “CDSL” shall mean the Central Depository Services (India)

Limited;

(e) "Exchange" shall mean and include any Stock Exchanges as

registered with Securities Exchange Board of India;

(f) “Risk Disclosure Document” shall mean the document

provided by the Member to the Client detailing the risks

associated with dealing in Securities;

(g) "SEBI" shall mean Securities and Exchange Board of India;

(h) “Communication Documents" means and includes but is not

limited to copy of KYC documents, contract notes, bills,

quarterly statements or any other letter/information/document

sent to client from time to time

2. GENERAL TERMS AND CONDITIONS GOVERNING THE

SERVICE

(a) COMPLIANCE WITH LAWS(I) All transactions that are carried out by and on behalf of the

CLIENT shall always be subject to Government notifications,

any rules, regulations, guidelines and circulars issued by SEBI

and Rules, Regulations and Bye laws of the Exchanges that may

be in force from time to time, and their Clearing Houses, if any,

on which such transactions are executed and / or cleared by the

MEMBER that may be in force from time to time, the Reserve

Bank of India and the NSDL and CDSL, the Securities Contracts

Regulation Act and the rules made there under, and any other

applicable statutory provisions and / rules or regulations. The

MEMBER is under no obligation to inform the CLIENT of

changes in these rules, regulations or Guidelines.The Client hereby represents and warrants to the Member that

he/she/it has not been disqualified or disabled from trading or

dealing in Securities in any manner whatsoever.

(ii) In case where the CLIENT is a Non resident Indian, he agrees to

abide by Foreign Exchange Management Act, 1999 and rules

and regulations issued thereunder from time to time and such

other applicable rules and regulations prescribed by the

Reserve Bank of India from time to time.

(iii) The CLIENT hereby authorises the MEMBER to take all such

steps on the CLIENT'S behalf as may be required or advisable in

the MEMBER's opinion for compliance with the rules or bye

laws of the Exchanges and/or any other provisions of applicable

law or to complete or settle any transactions entered into

through or with the MEMBER or executed by the MEMBER on

behalf of the CLIENT. However, nothing contained herein shall

oblige the MEMBER to take such steps in the absence of any

instructions from the Client.

(iv) In addition to the specific rights set out hereunder, the CLIENT

confirms and agrees that the MEMBER and the CLIENT shall be

entitled to exercise any other rights which the MEMBER or the

CLIENT may have under the Rules, Bye Laws and Regulations of

the Exchange and circulars issued there under or Rules and

Regulations of SEBI.


F14?

Sig

natu

re o

f the

Clie

nt (

Firs

t Hol

der)

F1

3?

18

(v) Unless otherwise agreed in writing by the Member, Client

agrees and confirms that the Member and the Client shall in no

circumstances be considered as persons acting in concert or as

persons co-operating with each other (directly or indirectly) or

as persons having a common objective or purpose of

substantial acquisition of shares or voting rights or gaining

control over any company, whose shares are purchased by the

Member for and on behalf of and on account of the Client.

(vi) The Client understands, agrees and confirms to provide copies

of Annual Accounts, Returns or any other document that maybe

asked for by the Member to comply with Prevention of Money

Laundering Act, 2002, as amended from time to time. If the

Client fails to provide the documents, as may be required by the

Member, the Member reserves the right to terminate the

agreement forthwith.

(vii) The Client hereby agrees that the services and responsibilities

of the Member pursuant to this Agreement, are limited to the

Exchange and the market segment in which the Client wishes to

deal in and has been indicated by the Client in the Know Your

Client documents submitted by the Client to the Member at the

time of the execution of this Agreement.

(b) ACTING AS A SUB BROKER OR AUTHORISED PERSONThe CLIENT agrees not to act as a SubBroker or Authorised Person

without prior written permission of the MEMBER and without

registering itself with SEBI/Stock Exchange

(c) DISCLAIMER

The CLIENT agrees that all investments and disinvestment

decisions are based on the CLIENT'S own evaluation of financial

circumstances and investment objectives. This extends to any

decision made by the CLIENT on the basis of any information that

may be made available by the MEMBER/ Sub-Broker/Authorised

person through its website www.centrumbroking.com or through

any other media. The CLIENT will neither hold, nor seek to hold the

MEMBER / Sub-Broker/Authorised person , as the case may be, or

any of its officers, directors, employees, agents, subsidiaries,

affiliates or business associates liable for any trading losses, costs

or damage incurred by the CLIENT consequent upon relying on

investment information, research opinion or advice or any other

material / information provided by the MEMBER/ Sub-

Broker/Authorized person, as the case may be. The CLIENT is aware

that any information provided by the MEMB ER through any

medium based on the research of the MEMBER or other external

sources is subject to normal variations in the stock market and is

merely an estimation of the availability or otherwise of certain

investments, and the MEMBER shall not be responsible for nor

deemed to have assumed responsibility for any such information.

The CLIENT should seek independent professional advice

regarding the suitability of any investment decision before acting

on such reports and MEMBER shall not be liable under any

circumstances for any losses, costs, charges, expenses

incurred/suffered by the Client based on such reports.

(d) DEMATERIALISED SECURITIESAll orders made by the CLIENT shall only be in Securities

compulsorily traded in the dematerialized form. All deliveries of

Securities made by or to the CLIENT shall only be in the

dematerialized form.

(e) AUTHORISED REPRESENTATIVE(i) The CLIENT confirms, undertakes and agrees to inform to the

MEMBER in writing any change in the name of authorized

representative, failing which the CLIENT shall be responsible for

the trade obligations arising out of the actions of both the old

representative as well as the new representative.

(ii) CLIENT confirms that if any transaction(s) under this Agreement

or under any other Agreement or otherwise with the MEMBER,

has / have been executed on behalf of the CLIENT by any other

person, not intimated to the MEMBER and the same has / have

been accepted by CLIENT from time to time on the basis of the

contract note(s) / bills / any other correspondence dispatched /

communicated to the CLIENT by the MEMBER and / or by part or

full settlement of the said transaction(s) by the CLIENT, then

such transaction(s) shall be deemed to be executed by the

representative authorised by the CLIENT and the CLIENT hereby

agrees to ratify and accept all such or other actions of such

persons and undertakes to meet all obligations arising from

these transaction(s).

3. RISK DISCLOSUREThe Client confirms, declares and agrees that he/she has read and

understood the clauses as stated in the Risk Disclosure Document

which has been already provided to him at the time of Opening the

Account.

4. EXPOSURE LIMITSThe CLIENT agrees and confirms to abide by the exposure limits, if

any, set by the MEMBER or by the Exchange or Clearing

Corporation or SEBI from time to time. This would be in line with the

Risk Management policy of the Member and various rules and

regulations of the concerned Exchanges. The policy is duly

explained by the Member to the CLIENT and as amended from time

to time


F15?

19 Signature of the Client (First Holder)

F16?

5. MARGINSThe CLIENT shall provide initial margin and all other types of

margins as prescribed by the Stock Exchange and as detailed in the

Policy and procedure document provided to the Client by

MEMEBER.

The Client confirms that the Member is permitted to in its sole and

absolute discretion to collect margins whether imposed by

Exchanges, Clearing House and/or SEBI. The margin can be

demanded by the Member in the form of cash, securities or any

other form as may be deemed fit by the Member. Member may

impose haircut on the securities at its own discretion which may be

more than what is prescribed by the above mentioned regulatory

authorities. The Member may prescribe a list of securities which is

acceptable by it for the purpose of margin. Such list prescribed

securities may be communicated by the Member to the Client, from

time to time. The margin can be accepted as detailed in the Policies

& Procedures given to the Client separately and as changed by the

Member and informed to Client from time to time.

6. PLACING of ORDERSThe Client hereby requests the Member to, from time to time, rely

upon and act in accordance with any directions, Instructions and/ or

other communication given by the Client or person(s) authorised

by the Client to act on the Client’s behalf via telephone/ Fax/ email

/through internet (in case of clients registered for internet

trading)for availing the various services offered by the Member

pursuant to the Agreement. The Client declares and confirms that

the Client has, for the Client’s convenience and after being fully

aware of and having duly considered the risks involved (which risks

shall be borne fully by the Client) requested and authorized the

Member to rely upon and act on such instructions. The Client

further acknowledges that the Member shall have a right to record

the instructions received from the Client or the authorized persons

of the Client over telephone.

The Client further declares and confirms that the Client is aware that

the Member is agreeing to act on the basis of instructions only by

reason of/ relying upon the Client agreeing, confirming, declaring

and indemnifying CBPL at all times, from and against, all actions,

suits, proceedings, costs, claims, demands, charges, expenses,

losses and liabilities howsoever arising in consequence of or in any

way related to CBPL having acted or omitted to act in accordance

with and/or pursuant to any such Instructions.

7. EXECUTION OF ORDERS(a) The CLIENT confirms and agrees that placing an order with the

Member including a market order, does not guarantee

execution of the order. The MEMBER has the absolute right to

reject any order that may be made by the CLIENT for any reason

whatsoever including for the breach of the requirement of

maintaining the prescribed Margin in the CLIENT account or the

Bank account.

(b) The CLIENT agrees that if, under any circumstances or for any

reason, the market closes before the acceptance of the order by

the Exchange, the order may be rejected. The CLIENT agrees

further, that the MEMBER may reject orders if the same are

rejected by the Exchange for any reason. In case of rejection of

an order due to rejection by the Exchange, the CLIENT agrees

that the order shall remain declined and shall not be

reprocessed, in any event.

(c) The MEMBER may, at its sole discretion, reject any order placed

on the website through phone, or in any other manner for any

reason including, but not limited to, the non availability of funds

in the trading account of the CLIENT, non availability of the

Securities in the Demat accountof the CLIENT with the

designated Depository Participant, insufficiency of margin

amount if the CLIENT opts for Intra-Day margin trading,

suspension of scrip for trading activities by or on the Exchange,

or applicability of circuit breaker to a scrip in which orders are

placed or insufficient bids or offers in any particular security.

The Client further understands and agrees that MEMBER shall

have right to reject the orders placed by the Client and/or put

circuit breakers to discourage trades getting executed at

unrealistic prices from the current market price of the security or

prohibit the Client from trading in illiquid securities which

creates artificial liquidity or manipulates prices or to

discourage Client from cross/ synchronised trading and

MEMBER shall not be liable for any loss arising out of non

acceptance or rejection of the Client orders by the MEMBER for

any such reason if the Client fails to give sufficient reason for

placing such orders.

(d) The CLIENT is aware that the Electronic Trading System either at

the Exchange or in the MEMBER'S office is vulnerable to

disruptions, fluctuations breakdown or failures. In the event of

non-execution of trade orders or trade cancellation due to the

happening of such events or vulnerabilities due to

failure/disruption/breakdown of system or link, the CLIENT may

not be able to execute the desired transactions. In such an event

the MEMBER does not accept responsibility for the losses,

costs, expenses or damages that may be incurred by the CLIENT

due to such eventualities.

8. PRICE OF SECURITIESThe CLIENT understands that with respect to any order, the CLIENT

20

will obtain the price at which the order was actually executed in the

market, which may be different from the price at which the security

was trading when the CLIENT'S order was entered into the

MEMBER'S system.

9. CANCELLATION OR MODIFICATION OF ORDERSThe CLIENT confirms and agrees that:(a) The execution of order cancellations or modifications is not

guaranteed. Cancellation of orders is possible only if the

original order remains pending at the Exchanges. Market orders

are subject to immediate execution. The CLIENT shall not

presume that an order once placed has been executed or

cancelled or modified and the CLIENT is required to verify the

status of his/its orders with the trade confirmations by the

MEMBER.

(b) Unless otherwise specified by the MEMBER, any order not

executed at the end of the day shall stand cancelled

(c) At times, due to unforeseen circumstances the MEMBER may

not be able to execute the desired transactions (either the

CLIENTS own transactions or transactions for enforcing

margins as provided in this agreement) on a timely basis.

The MEMBER does not accept responsibility for any losses

that the CLIENT may incur on such eventualities beyond the

control of the MEMBER

(d) The MEMBER shall have right to reject any order based on its

risk perceptions.

10.CORPORATE BENEFITS; SETTLEMENT CYCLES The CLIENT accepts responsibility of knowing the status of all

corporate benefits like rights and bonus issues, dividends and

stock splits of shares that he/it intends to trade or which are held in

his/its account. The CLIENT accepts responsibility for knowing the

correct ISIN Numbers of the shares in his/her/its account and the

eligibility of the shares to meet share pay in obligations to the

Exchange/Clearing Corporation whether received by way of

purchase, rights, bonuses, stock split, off market transfers or

otherwise

For the CLIENTS having outstanding obligations on the settlement

date the MEMBER may retain the requisite securities/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 relevant exchanges.

The actual settlement of funds and securities shall be done by the

MEMBER, at least once in a calendar quarter or month, depending

on the preference of the CLIENT. While settling the account, the

MEMBER shall send to the CLIENT a ‘statement of accounts’

containing an extract from the CLIENT ledger for funds and an

extract from the register of securities displaying all

receipts/deliveries of funds/securities. The statement shall also

explain the retention of funds/securities and the details of t h e

pledge, if any.

11.BROKERAGE AND OTHER CHARGES (a) The CLIENT confirms and agrees that the brokerage shall be

paid in the manner intimated by the MEMBER to the CLIENT

from time to time, including as a percentage of the value of the

trade or as a flat fee or otherwise, together with the service tax as

may be applicable from time to time on the same. The CLIENT

further agrees to pay any applicable taxes including the

securities transaction tax, duties and levies as may be levied on

the transaction from time to time.

(b) The MEMBER shall be entitled to debit the charges of the

depository participant for the trades and the bank charges for

the realization/return of cheques etc. to the CLIENT's account

and all other charges as detailed below.

(c) User Fees/ Other Charges: The CLIENT agrees that the MEMBER

or any of its authorized persons/affiliates which provide such

services may charge user fees for the use of any other services

including but not restricted to Internet Trading ancillary

services, use of the website platform and the call and trade

services at rates mentioned on the website or otherwise

intimated and as modified from time to time including but not

limited to the following

The Client agrees and confirms that the MEMBER shall have

right to debit the following charges to the account of the Client

(i) Trading Account Opening Charges(ii) Agreement Documentation Charges(iii)All statutory levies such as STT, Stamp duty, exchange turnover

tax, Service tax, SEBI fee or any other levy of this nature.(iv)Bank Charges for clearance of cheque.(v) Charges for availing research reports.(vi)Charges of availing special facility for mobile broking, sms

facility.(vii) Inter settlement charges(viii) Auction charges(ix) Penalties levied by the exchange for client limit violations(x) Charges for dishonor of cheque(s) given by the Client(xi)Arbitration and Legal expenses in case of dispute resolution.(xii) Any other charges for the special services/facilities availed by

the Client and communicated by the Member to the Client, from

time to time.


F17?

21

12.DELAYED REPORTING OF TRANSACTIONS:The CLIENT confirms and agrees that:(a) If trades or transactions are reported late to the MEMBER on

account of any problems at the Exchange or for whatsoever

reason, the CLIENT in turn will be subject to late reporting of

transactions.(b) In addition, any errors reported to the CLIENT for any reason

whatsoever will stand subsequently corrected to reflect the

transaction that was effected in the market.

13.DELAYED PAYMENT:The CLIENT confirms and agrees that in case of failure of the CLIENT

to meet his ‘pay in’ obligations within the time period as prescribed

by the Exchanges any amounts which are overdue from the CLIENT

towards trading either in the cash or derivative segments or on

account of any other reason to the MEMBER , will be charged

delayed payment charges at the rate as detailed in the Policies and

Procedure given to the client and Risk Policy of Member displayed

on its website.

14.PAYOUT OF SECURITIES/FUNDS .(a) In order to facilitate operations, the CLIENT authorises the

MEMBER to maintain a running account with the MEMBER,

instead of settlement- to-settlement clearance of

funds/securities due to the CLIENT. The pay out of

funds/securities may be retained by the MEMBER and no

interest shall be payable by the MEMBER on such

securities/funds so retained. The CLIENT agrees that the

MEMBER shall not be liable for any claim for loss or profit, or for

any consequential, incidental, special or exemplary damages,

caused by retention of such securities / funds under this

agreement or otherwise. On written request of the CLIENT the

MEMBER may release the funds / securities to him, if sufficient

margins in respect of his trading, across the stock exchange(s)

and across the segment of the stock exchange(s) are available

with the MEMBER. The Client may revoke the authority granted

to the Member for maintaining a running account, in which case

the Member shall settle all clearances as per the applicable

law. The Member shall settle the running account as per the

timelines agreed with the Client, subject to applicable law.

(b) The CLIENT confirms and agrees that in case of purchase of

securities by the CLIENT, at times the MEMBER may be unable

to deliver the securities to the said purchaser on the pay out day

due to non receipt of the securities from the stock exchange(s)

or in case on non receipt of the said securities from another

CLIENT of the MEMBER who has sold the securities against the

said purchase transaction. In cases of such short delivery, the

securities shall be delivered to the purchaser as per the policy

of the Company as amended from time to time.

(c) The Client understands and undertakes that he will give the

funds and securities from his own bank and demat account

respectively to honour pay-in obligations.

(d) The Client understands that if the Client trades in the shares

which are in Trade to Trade category of the respective

exchanges, then the Client shall give the delivery of shares sold

and would pay for the shares bought. This means there would

not be any netting of the shares bought and shares sold even in

the same settlement.

(e) At all times, the CLIENT agrees to make the payment of funds

only in the name the MEMBER titled "CENTRUM BROKING

PRIVATE LIMITED" vide account payee cheque from his/her

own account, with details of the CLIENT code and the name of

the CLIENT mentioned on the reverse of the instrument.

(f) At all times, the CLIENT agrees to transfer the securities only to

the designated depository accounts of the MEMBER.

(g) The CLIENT agrees that the MEMBER shall not be responsible

for any loss, damages in respect of any funds / securities which

are deposited / transferred to any account other than that of the

MEMBERS designated account under this Agreement.

(h) In the event of Client's account receiving an incorrect

credit/debit by reason of a mistake, the MEMBER shall be

entitled to reverse such incorrect credit/debit at any time

whatsoever. The Client shall be liable and continue to remain

liable to the MEMBER for any incorrect gain obtained as a result

of the same and the MEMBER reserves the right to take such

remedial measures against the Client for recovery of the

erroneous credit.

15.CLOSING OUT OF POSITIONS(a) Notwithstanding the margin position in case of taking of

position on behalf of CLIENT, the CLIENT confirms, agrees and

authorises the MEMBER to close out the transactions in case

the CLIENT fails to make full payment or deliver the securities

as the case may be to the MEMBER as detailed in the Policies

and Procedures given to the client.

(b) Other Restrictions:The Member may, in its sole discretion, square off any

outstanding position of the CLIENT due to any restrictions in

relation to volume of trading/ outstanding business or margins

stipulated by the Exchange, Clearing Corporation/ Clearing

House and/or the MEMBER and/or any other extraordinary

event warranting such square off.


F18?

22 Signature of the Client (First Holder)

F19?

16.CLOSE OUT:The Member reserves the right to adopt a policy with respect to

internal auctions arising out of internal netting of trades and charge

to defaulter seller and compensate the impacted purchaser as per

the policy. The policy has been displayed on website of Member as

well as can be obtained from any of the branches. The Member

reserves the right to amend the policy from time to time, as and

when deemed necessary. The Member shall intimate the Client of

the change in the policy from time to time.

17.RIGHT OF LIEN/ SET OFF(a) The CLIENT confirms, agrees and authorizes the MEMBER to set

off credit balances of securities and/or funds, receivables,

margins of the CLIENT lying with the MEMBER or have lien on

such credit balances/ securities, margins, receivables, in or

from the accounts of the CLIENT in any of the segments or

exchanges where the CLIENT is registered with the MEMBER,

against the debit balances of securities and / or funds and

receivables in one or more of the accounts of the CLIENT in any

of the said segments or exchanges, by way of appropriation of

the relevant amount of cash or by sale or transfer of all or some

of the securities, and/or any credit in any said accounts of the

CLIENT

(b) The CLIENT agrees that all securities and monies belonging to

the CLIENT which are under the control or possession of the

MEMBER shall be subject to a general lien and / or set off, for

discharge of any obligation or indebtedness of the CLIENT to

the MEMBER including but not l imited to the

brokerage/charges as stated in clause 11(c) above. . In

enforcing the lien and / or the right to set off, the MEMBER shall

have the sole discretion of determining the manner in which the

securities or assets are to be appropriated / liquidated. The

provisions of this clause shall apply notwithstanding any other

agreement to the contrary between the CLIENT and the

MEMBER.

18.MEMBER CLIENT COMMUNICATION(a) The CLIENT confirms and agrees to the form of Communication

Documents which may be sent by electronic delivery between

the parties may be in the form of an electronic mail (including

any auto replies from the system of the MEMBER), an electronic

mail attachment, or in the form of an available download from

the web site. The MEMBER shall be deemed to have fulfilled any

legal obligation to deliver to the CLIENT any such document if

sent via electronic delivery, provided however that the notice of

termination specified in the Terms herein, shall be in writing.

(b) Electronic Communication of Documents:

(i) The CLIENT confirms, agrees and authorizes the Member to

send the contract note/trade confirmations of the trades

executed, bills and account statements or such other data

relating to his trading account with the MEMBER and also

authorises Depository Participant to send all bills and/or

transactions statements, communication and information

through electronic mail to his/her/its email address maintained

at Centrum Broking Private Limited / or such other designated

email address as may be intimated by the Client to the Member.

The CLIENT agrees that the MEMBER fulfils its legal obligation

to deliver to the CLIENT any such document if sent via

electronic delivery. The Client agrees that the log report

generated by the system at the time of sending of the contract

notes or other documents shall be treated as the

acknowledgement and confirmation of receipt of contract notes

and such other documents by the Client. The CLIENT

understands that it is his/ her/its responsibility to review, upon

first receipt, whether delivered to CLIENT by mail, by e-mail

(including any auto replies from the system of the MEMBER), or

other electronic means, all confirmations, statements, notices,

contracts, bills and other communications. All information

contained therein shall be binding upon the CLIENT, if the

CLIENT does not object, either in writing or via electronic mail,

within twenty four hours after any such document is sent to the

CLIENT. In all cases, the MEMBER reserves the right to

determine the validity of the CLIENT'S objection to the

transaction. The Member, may on request by the Client and at

such additional cost to the CLIENT, send hard copies of the

contract notes or such other documents. Further non-receipt of

bounced mail notification by the Member shall amount to

delivery of contract note at the Email ID of the Client

(ii) The Member may at any time amend the margin requirements,

the list of approved securities accepted as margin, or such other

terms of the agreement by modifying or rescinding any of the

existing provisions or conditions or by adding any new

provision or condition, by conspicuously posting notice of such

amendment on its web site. The Member shall not be required

to communicate any modification or rescission individually to

the Client either through physical or electronic form, and any

separate notice of amendment or modification is deemed to be

waived by the Client. The continued use of the services of the

Member after such notice will constitute acknowledgement and

acceptance of such amendment. These terms (as amended or

modified from time to time) represent the entire agreement

between the Client and the Member concerning the subject

matter hereof.

23

(iii) The CLIENT confirms, agrees and authorizes the Member to

send investment information as is disbursed by the Member via

SMS. The CLIENT confirms voluntary acceptance of the SMS

facility, and will not hold either Member or the telemarketer

liable for the same. The CLIENT confirms that the information so

communicated will not be unsolicited or defamatory

communication as it is transactional in nature and will not

violate the Telecom Incolicited Commercial Communications

Regulations, 2007. The CLIENT confirm and undertake that the

CLIENT will not complain to the Regulator appointed under the

Telecom Insolicited Commercial Regulations, 2007 or any

other person about the SMS received from Member. The

CLIENT hereby indemnify the Member and the telemarketer for

any loss, cpst, liability or claim including reasonable legal

expenses (as per operator's consideration) as a result of SMS

pushed on DND numbers.

(c) Change of AddressUnless the CLIENT informs the MEMBER of the change of the

address for communication, electronic or otherwise, in writing,

all notices, circulars, communication or mail sent to the

existing address shall be deemed to have been properly

delivered and received by the CLIENT irrespective of whether

they are actually received or not.

The Client undertakes and agrees to inform the Member of the

change in the designated email address.

19. MEMBER'S LIABILITYUnder no circumstances shall the MEMBER or anyone involved in

creating, producing, delivering or managing the MEMBER'S

Services, pursuant to this Agreement, be liable for any direct,

indirect, incidental, special or consequential damages, loss

caused to the Client, including loss of profits that result from the

use of or inability to use the service, delay in transmission of any

communication, in each case for any reason whatsoever

(including on account of breakdown in systems) or out of any

breach of any warranty or due to any fraud committed by any

person whether in the employment of the MEMBER or otherwise

20. RESERVE BANK OF INDIA GUIDELINESThe Client being an Fll/ NRI/ PIO, hereby acknowledges that he is

aware of the RBI guidelines in relation to his investments in the

secondary market in India. The Client hereby agrees to keep

himself abreast of the ceiling limits on investments as published

by RBI from time to time and also agrees that he shall immediately

reverse his transaction, if such transaction breaches the ceiling

limits as imposed by RBI In case the Client does not / is unable to

reverse such transaction immediately, the Client authorizes the

Member to do so under instructions of the Client.

21. MISCELLANEOUS PROVISIONS GOVERNING THE TERMS:

(a) LIMITATION OF LIABILITY:

The MEMBER does not guarantee, and shall not be deemed to

have guaranteed, the timeliness, sequence, accuracy,

completeness, reliability or content of market information, or

messages disseminated to the CLIENT or the execution of the

orders placed by the CLIENT. The MEMBER shall not be liable

for any inaccuracy, error or delay in, or omissions of ,1) any

such data, information or messages , or 2) the transmission or

delivery of any such data, information or messages ,due either

to any act or omission by the MEMBER or to any "Force

Majeure" event (e.g. flood, extraordinary weather condition,

earthquake or other any act of God, fire .war, insurrection, riot,

labour dispute, accident .action of government

.communication .power failure, shut down of the systems for

any reason (including on account of computer viruses),

equipment or software malfunction); any fraud committed by

any person whether in the employment of the MEMBER or

otherwise or any cause within or beyond the reasonable

control of the MEMBER 3) cancellation or non execution of the

order placed by the CLIENT with the MEMBER..

The MEMBER shall not be liable for any inaccuracy, error,

false statement, misrepresentation or fraud committed by any

sales or other associates /third parties engaged by the

MEMBER to promote the services offered by it. The CLIENT

agrees that he/she/it places no reliance on such persons and

will exercise due care and diligence in relying on any

statements made any persons.

(b) REPRESENTATIONS AND WARRANTIES OFCLIENTS

(i) The CLIENT hereby represents and warrants that the terms and

conditions of this Agreement have been clearly understood

and that the information furnished to the MEMBER is

complete, accurate and truthful.(ii) The CLIENT confirms that he/she is of legal age and he/she/it

has obtained the necessary approvals from the relevant

regulatory/ legal and compliance authorities to avail the

services provided pursuant to the terms of this Agreement.(iii) The Client has read and understood the Risk Disclosure

Document, Rights & Obligations , Guidance note and the

Policy and Procedures of the Member; (iv) The details provided by the Client in the Know Your Client

documents and such other ancillary documents submitted to

the Member are true and accurate. The Client undertakes to

inform the Member of any change in the information or details

furnished by the Client to the Member.


F20?

24

(c) SHARING OF INFORMATION:The CLIENT agrees and confirms that the MEMBER may

appoint agents for carrying out the acts mentioned in or in

relation to this Agreement. The CLIENT realizes that the

Member may need to share the CLIENT information with

service providers undertaking related and ancillary functions.

The CLIENT consents to sharing of his / its account related

information/documents/ data to the authorised agents

appointed by the MEMBER or with any of affiliates/ group

companies/ business associates which are offering the

products / facilities for the purpose of their business

promotion.a) Information provided by the Client’s trading for both BSE and

NSEb) Holding in stocksc) Ledger balance in the Clients’ trading account for both BSE

and NSEd) Transaction cum holding statements with CBPL-DPe) Any other information as may be deemed necessary.

The Client shall have no objection to CBPL sharing on a need to

know basis, the above information, about clients to its other

business divisions or affiliates or group companies.

(d) TAPE RECORDING OF CONVERSATION The CLIENT is aware that the MEMBER may tape-records the

conversations between the CLIENT'S representative and the

MEMBER, either personally or over the telephone, and hereby

specifically permits the MEMBER to do so. Such recordings

may be relied upon by the MEMBER as and when required to

resolve disputes in connection with the trading transactions.

(e) CONCLUSIVENESS OF RECORDS

The MEMBER'S own records of the trades/transactions

maintained through computer systems or otherwise shall be

accepted as conclusive and binding on the CLIENT for all

purposes.

(f) The CLIENT understands and confirms that the CLIENT has the

option to terminate the applicability of the voluntary terms and

conditions including the terms and conditions applicable for

special facility that may be provided by the Member by giving

advance notice to the MEMBER in writing of not less than 30

days. Provided however that the terms and conditions shall

become applicable for all the close out trades that may be

executed by the CLIENT or the MEMBER subsequent to such

termination.

(g) INDEMNITY

(i) The CLEINT agrees and confirms that though orders are

generally routed to the marketplace immediately after the time

the order is placed by the CLIENT on the system there may be a

delay in the execution of the order due to any link/system

failure at the CLIENT/MEMBER/Exchange's end. The CLIENT

hereby specifically indemnifies and holds the MEMBER

harmless from any and all claims, arising from such delay and

agrees that the MEMBER shall not be liable for any loss, direct

or indirect, actual or perceived, caused directly or indirectly by

government restriction, exchange or market regulation,

suspension of trading, war, strike, equipment failure,

communication line failure, system failure, security failure on

the Internet, shut down of systems for any reason (including on

account of computer viruses), unauthorised access, theft, any

fraud committed by any person whether in the employment of

the MEMBER or otherwise or any problem, technological or

otherwise, that may disrupt contact between the CLIENT and

the MEMBER.

(ii) The CLIENT further confirms and agrees that CLIENT will not

be compensated by the MEMBER for any "lost opportunity' viz.

notional profits on buy/sell orders which could not be

executed due to any reason whatsoever, including but not

limited due to time lag in the execution of the order or the

speed at which the system of the MEMBER or of the Exchanges

is operating, any shutting down by the MEMBER of his/her/its

system for any reason or the MEMBER disabling the CLIENT

from trading on its system for any reason whatsoever.

(h) ASSIGNMENT

The CLIENT confirms and agrees that CLIENT shall not assign

or transfer all or any of its rights, obligations and or benefit

under this agreement without the full and final settlement of its

account with the MEMBER and without the prior consent of

Centrum Broking Private Limited. Centrum Broking Private

Limited shall be entitled to assign its rights, obligations and/or

benefits under this agreement to any successor entities,

affiliate entities in its absolute discretion, with notice thereof to

the CLIENT.

(i) SEVERABILITY:

The CLIENT confirms and agrees that in case anyone or more

of the terms and conditions confirmed by the CLIENT

becomes invalid, illegal or unenforceable in any respect under

any law, the validity, legality and enforceability of the

remaining provisions contained herein shall not in anyway be

affected or impaired thereto.


F21?

25

(j) EXTRAORDINARY EVENTS:

Centrum and/or its agents will not be liable for losses caused

directly or indirectly by government restriction, Exchange or

market rulings, suspension of trading, computer,

communication, telephone or system failure, war, earthquakes,

flood, accident, power failure, equipment or software

malfunction, strikes or any other conditions beyond Centrum's

control.

22.ADDRESS FOR COMPLAINT / INVESTOR GRIEVANCES

AND COMMUNICATION:

The Client understands and confirms to send all the

Complainants and queries in case of any grievance or

complaint arising out of and in the course of trading in

securities Client will send the complaint on the email address at

[email protected]. Alternatively the Client

shall send the written complaint marked to Centrum Broking Private

Limited, Centrum House, CST Road, Kalina, Santacruz (East),

Mumbai 400 098.

All notices or communications other than above and excluding

instructions to carry out trades, shall be sent in any one or more or

all of the following ways

(a) by post(b) by registered post(c) by express delivery post(d) by telegram(e) by affixing it on the door at the last known business or

residential address(f) by communication to the party on the last known telephone

number or on the recorded machine of such number.(g) By advertising it in atleast one prominent daily news paper

having circulation in the area where the last known business or

residential address of the Respondent is situated.(h) by sending a email to the Client on the email address by the

MEMBER.(i) by electronic mail or sending a message through trading

system(j) by sending an SMS to the last registered mobile number of the

client

23. JURISDICTION(a) The Member and the CLIENT declare and agree that the

transactions executed on the Exchange are subject to the

Rules, Byelaws and Regulations and circulars issued

thereunder of the Exchange and all parties to such trade shall

have submitted to the jurisdiction of such court as may be

specified by the Bye laws and regulations of the Exchange for

the purpose of giving effect to the provisions of the Rules,

Byelaws and Regulations of the Exchange and the circulars

issued thereunder.(b) The MEMBER here by agrees that it shall ensure faster

settlement of any arbitration proceedings arising out of the

transactions entered into between the MEMBER and the

CLIENT and that it shall be liable to implement the arbitration

awards made in such proceedings.(c) This service does not constitute an offer to sell or a solicitation

of an offer to buy any shares, securities or other instruments to

any person in any jurisdiction where it is unlawful to make such

an offer or solicitation. This service is not intended to be any

form of an investment advertisement, investment advice or

investment information and has not been registered under any

securities law of any foreign jurisdiction and is only for the

information of any person in any jurisdiction where it may be

lawful to offer such a service.

24. PROPRIETARY TRADING:

The CLIENT confirms and acknowledge that the MEMBER

undertakes Proprietary trading in addition to CLIENT based trading.

The CLIENT confirms having read and understood the terms and

conditions of those relating to various services and products and

accepts and agrees to be bound by the terms and conditions

including those excluding/limiting the MEMBER's and Exchanges'

liabilities.

25.RESEARCH/TRADING RECOMMENDATION:

Client understands that the Member carries out fundamental and

trading research/ notes/ trading calls / technical calls, particularly

on companies, industry, stock markets, commodity markets and

economy from time to time (collectively hereinafter referred to as

"material"). Client may request the Member to provide such

material through email or by access to the website of the Member or

through SMS or any other mode on a voluntary basis by paying

charges specified by the Member which shall be levied and debited

to the Ledger Account of the Client maintained by the Member from

time to time.

Client understands and agrees that by agreeing to receive such

material, Client is aware that said material is only for personal

information of the Client and that the same shall not be reproduced

or redistributed to any other person. Further Client understands and

confirms that said material is not an offer or the solicitation of an

offer to buy any security and by sending this material on request.


F22?

26

Member or any of its officers, directors, personnel and employees

shall not be liable for any loss, damage of any nature, including but

not limited to direct, indirect, punitive, special, exemplary,

consequential, as also any loss or profit in any way arising from the

use of this material in any manner. Client is aware that the

investments discussed in the said material may not be suitable for

all investors. Client shall, therefore, before dealing and/or

transacting in any of the products referred to in the said material,

make own investigation, seek appropriate professional advice.

Client shall be solely responsible/liable for all decisions on

investments /disinvestments taken by him/her/it on the basis of the

said material. The Client further acknowledges that such material

will be subject to the risks disclosed in the Risk Disclosure

Document.

Client understands, confirms and agree that Member may

discontinue providing such material and that Member shall have no

responsibility to update any information provided to the Client nor

does Member represents that the information provided in the said

material is complete. Further by providing such material Member is

not acting as a portfolio or financial adviser nor does Member

assumes any fiduciary duties.

26.PMLA DECLARATION

The CLIENT hereby confirms and declares that the CLIENT has

received and noted the contents & the provisions of Prevention of

Money Laundering Act, 2002 (“PMLA”), & it was also explained by

the officials of the Member. The CLIENT declares that he would

abide by the rules, regulations & requirements mentioned in the

PMLA.

I/We have read, understood And agree For Centrum Broking Private Limited

Name : Name of Authorised signatory

Signature of the Client Signature

For and on behalf of Client For and on behalf of Centrum Broking Private Limited

Witness Witness

F23?

27

RUNNING ACCOUNT AUTHORIZATION

CENTRUM BROKING PVT. LTD. Date: Bombay Mutual Building, 2nd Floor,Dr. D. N. Road, Fort, Mumbai- 400001

Dear Sir/Madam,

Subject : Running Account Authorization

Ref : My UCC Code : Name :

Due to operational convenience and to be in a position to settle my/our trades within the Exchange specified Settlement Schedule. I/We request you to offer the facility of maintaining the running account with you. I/We understand and agree the following:

1) You can retain the funds with you, received as payouts from the Exchange on my/our future transactions or outstanding positions, if any.

2) You can retain the Securities with you, in your margin Account received as Payouts from the Exchanges on my/our behalf. The same can be used towards margin/collaterals for my/our future transactions or against outstanding positions if any.

3) In case of any Sale transactions done by me/us, you can automatically deliver the shares to the Exchange towards Payin of my/our shares if any lying with you on my/our behalf.

4) In case of any purchase transactions done by me/us you can automatically make the funds pay-in to the Exchange out of the credits lying in my/our account on my behalf.

5) In case of any debit balance in my/our Account you can square off my/our Securities held by me/us to the extent of our debit balance without any notice to me/us.

6) You can transfer funds/securities from my/our account in one segment against my obligations in another segment in the same Exchange or different Exchange/s.

7) You can transfer funds/Securities from my/our Account in one segment against collaterals/margins from my/our trade in another segment in the same Exchange or different Exchanges. These funds transfer can be done either by way of a journal entry(JV) or by way of physically exchanging the cheques.

8) I/We confirm that the funds mean monies lying as credit in my/our account or payouts that are to be received from Exchanges arising out of sale of Securities. Similarly, I am aware that the Securities mean shares lying with you, my/our behalf or shares that are to be received as payout from the Exchanges.

9) In case I/we require funds or Securities I/We will inform you of the same in writing, after which you can make the payment, transfer the securities to me/us on my/our request.

10) I/We understand and agree that no interest would be paid on my/our credit balance in the running account with CBPL.

11) I/We will not hold CBPL responsible for any loss/damage arising out of such transfers and or sale done by CBPL on my/our behalf, pursuant to these instructions.

12) In case I/We wish to withdraw this consent, I/We shall inform, CBPL in writing and get it acknowledged by CBPL

13) In the event I/WE have any dispute arising from the statement of account received from CBPL, I/We will bring the same to the notice of CBPL within 7 trading days from the date of receipt of funds/securities or the statement, as the case may be.

My/Our preference for actual settlement of funds and securities is at least (tick the appropriate choice):

a) Once in a calendar Quarter b) Once in calendar month

(At the time of settling the account as above, in case I/We are having any outstanding obligation, CBPL may retain the funds to be required to meet margin obligation for the next 5 trading days, calculated in the manner specified by the exchanges)

Thanking You,

Yours faithfully,

Name of Client :

Signature :

Date :

F24?D D M M Y Y Y Y

Date :

To,Centrum Broking Private Limited (CBPL)Mumbai

Dear Sir,

Sub : Authorisation for operating the trading account

I/we applied for opening a trading account in the name of ,

I/we would hereby appoint who is my/our

as my/out authorized representative to undertake the following activities in my/our trading account

1. Place orders in my/our trading account

2. Collect payments on my/our behalf issued by CBPL for the credits lying in my account

3. Receive and acknowledge contract notes

4. Receive and confirm ledger balances

5. Handover cheques from my/our bank account as stated in the Client Registration forms against my/our dues if any.

6. Any instructions pertaining to operating my/our trading account.

I/we accept that, all obligations arising out of the trading account being operated by my/our above mentioned authorized representative would be binding on me/us.

I/we also undertake to indemnify CBPL for all dues, losses, penalties and incidental expenses relating to and arising out of the transactions executed by in my/our above mentioned trading account.

In case if I/we wish to withdraw this mandate I/we shall inform CBPL in writing and acknowledge the request from CBPL atleast 7 working days from the date of withdrawal.

Yours faithfully,

Client’s Signature Authorised Person’s Signature

Name of Client: Name of Authorised Person:

Address:

Mobile No:

Email Id:

Encl : 1. PAN Card Copy of Authorised Person

2. Address Proof of the Authorised Person

F25?

28

AUTHORISATION FOR OPERATING THE TRADING ACCOUNT

(The Client should read the details sated below and can cancel /strike out this option if it does not seek to avail)

29

CLIENT SUITABILITY PROFILE SHEET

Points offered to client

Sr. No. PointsAnswerQuestion

? ? 21 to 30? 31 to 40 ? 41 to 50? 51 and above

? Non Matric ? SSC ? HSC? Graduate ? MBA /CA/CS/ICWA ? Doctor? Engineer ? Others Please specify_____________________

? upto 5 Lakhs ? 5 Lakhs to 10 Lakhs ? 10 lakhs to 25 lacs? 25 lacs and above

? Fresher ? 1 to 5 Years? 5 to 10 Years ? more than 10 Years

? Many times a day ? Once a day? Weekly ? Monthly

? Strategic Investment? Short term trading? Daily market view

? Television? Newspaper? Broker? Others Please Specify _____________________

? Bureaucrat (Tax authority, IAS, etc)? Current or former MP/MLA/ Politician? Connected to any media :? TV ? Radio ? Print ? Internet? Connected to any promoter group of Company listed on any stock exchange:___________________Name of the listed Company___________________Name of the Stock Exchange? None of the above

Below 20 What is your age

What is your educational qualification

What is your current annual income

How long have you been investing in stocks?

How frequently do you track your stocks?

What kind of research interests you?

What is the source of market information

Whether you are directly or indirectly connected to any of the following persons ?

1.

2.

3.

4.

5.

6.

7.

8.

14431

11124443

1234

1234

4431

123

3321

-2-3-2

-1

0

30

Points offered to client

Sr. No. PointsAnswerQuestion

9.

10.

10.

11.

12.

How frequently do you wish to invest in market

What is your stock preference

Currently what percentages of your assets are held in investment products where the value can fluctuate? E.g Stocks, bullion, Equity MF, etc

You intend to invest in stock market through owned/ borrowed funds

What is your interest in the market

Mention the different market products you are aware of

TOTAL

? ? Monthly? Occasionally

? Bluechip? Mid Cap? Small Cap? Penny Stocks

? Over 50%? Between 25% -50%? Between 10% - 25%? Between 0- 10%

? Owned Funds ? Borrowed FundsIf Borrowed funds, specify the source of funds:

Source Amount

? Very short Term? Short term? Long Term

? Equity ? Futures ? Options

Weekly 421

4321

1234 2-1

123

234

This questionnaire is designed to identify the clients’ Risk appetite. The investors should be fully aware of the inherent risks in various segments and should comply with all the prevailing laws and company policies.

The purpose of the above questioner is to guide the client towards identifying an investment approach. If you disagree with the above conclusion, please indicate your product choice:

• Equity • 5 day product• LAS/ Margin Funding• Option Buying • Option selling & futures

The RM has explained to me the purpose of the questioner in person, and the above choice of investment made is on my own discretion. I understand that Centrum Broking Pvt. Ltd will execute my instructions as per my choice indicated above, irrespective of the completion of the questioner or its outcome.

31

Sr. No. Score Product that can be offer to the client Products availed by the client

1.

2.

3.

4.

35 & above

34 – 25

24-10

Below 10

1. Equity 2. 5 day product3. LAS/ Margin Funding4. Option Buying 5. Option selling & futures

1. Equity 2. 5 day product3. LAS/ Margin Funding4. Option Buying

1. Equity 2. 5 day product

1. Equity

Customer Name : RM Name :

Signature of the Client Signature :

Date : Date :D D M M Y Y Y Y D D M M Y Y Y Y

F26? X

32

NRI DECLARATION

Date :

To,

Centrum Broking Private Limited.

Centrum House, CST Road,

Vidya Nagari Marg, Kalina,

Santa Cruz East,

Mumbai – 400098.

Dear Sir,

I, have requested you to open the trading and demat account with you. I have given

a following address in the account opening documents which is on the basis of my P.O.Box no. My complete address as on date is as follows:

In case any changes in my above mentioned address I will intimate to Centrum Broking Private Ltd.

Thanking You,

Yours truly,

Applicant Signature:

Name of the client:

F27?

DP ACCOUNT OPENINGDOCUMENTS

? ?Signature of the Second Holder

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AGREEMENT BETWEEN A PARTICIPANT AND A PERSON SEEKINGTO OPEN A BENEFICIAL OWNER’S ACCOUNT

WHEREAS the Beneficial Owner is desirous of opening a beneficial owner’s account with the Participant and the Participant has agreed to open an account in the name of the Beneficial Owner and render services to the Beneficial Owner as a participant, on the terms and conditions recorded hereinbelow:

NOW THIS AGREEMENT WITNESSETH AND IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS :

General Clause

1. The parties hereto agree to abide by the provisions of the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996, Bye Laws and Operating Instructions issued by CDSL from time to time in the same manner and to the same extent as if the same were set out herein and formed part of this Agreement.

Fees, Charges and deposits

2. The Participant shall be entitled to change or revise the fees, charges or deposits from time to time provided however that no increase therein shall be effected by the Participant unless the Participant shall have given at least one month’s notice in writing to the Beneficial Owner in that behalf. In case the Beneficial Owner committing a default in the payment of any such amount payable to the Participant on their respective due dates or within fifteen days of the same being demanded (where no such due date is specified), the Participant shall be entitled to charge interest on the amount remaining outstanding or unpaid not exceeding 18% per month or part thereof. On such continued default, the Participant after giving two days notice to the Beneficial Owner shall have a right to stop processing of instructions of Beneficial Owners till such time he makes the payment along with interest if any.

Statement of Account

3. The Participant shall furnish to the Beneficial Owner a statement of his/its account at the end of every month if there has been even a single entry or transaction during that month, and in any event once

This Agreement made and entered into at _____ this ______day of _______________ , between Centrum Broking Private

Limited, having his/its office/registered office at Bombay Mutual Building, 2nd Floor, Dr. D. N. Road, Fort, Mumbai – 400 001.,

hereinafter called “the Participant” of the One Part; AND ___________________________ , (description of the legal entity) having

his / its office / registered office / address at ______________________________________________________________

______________________________________________________________________________________________

_____________________________________________________________________________________________,

hereinafter called “the Beneficial Owner” of the Other Part.

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at the end of each quarter. Such statement shall be in the form specified in Operating Instructions. The Participant shall furnish such statements at such shorter periods as may be required by the Beneficial Owner on payment of such charges by the Beneficial Owner as may be specified by the Participant.

Beneficial Owner shall intimate change of particulars

4. The Participant shall not be liable or responsible for any loss that may be caused to the Beneficial Owner by reason of his/its failure to intimate change in the particulars furnished to the Participant from time to time, unless notified by the Beneficial Owner.

Participant not liable for claims against Beneficial Owner

5. CDSL shall not be liable to the Beneficial Owner in any manner towards losses, liabilities and/or expenses arising from the claims of third parties or for any fees, charges, taxes, duties, levies or penalties levied, imposed or demanded by any Central, State, statutory or revenue authority in respect of securities credited to the Beneficial Owner’s account.

Authorised Representative

6. Where the Beneficial Owner is a body corporate or a legal entity, it shall, simultaneously with the execution of the Agreement furnish to the Participant, a list of officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change in such list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant.

Closure of Account

7. The Beneficial Owner, may, at any time terminate this Agreement by calling upon the Participant to close his/its account with the Participant in the manner and on the terms and conditions set out in the Bye Laws and the procedure laid down in the Operating Instructions. In the event of termination of this Agreement the

Beneficial Owner shall either get the securities transferred to some other account or get the same rematerialised.

Stamp Duty

8. Any stamp duty (including interest or penalty levied thereon) payable on the Agreement and/or on any deed, document or writing executed in pursuance hereof between the parties hereto shall be borne and paid by the Beneficial Owner.

Force Majeure

9. Notwithstanding anything contained herein or in the Bye Laws, neither party hereto shall be liable to indemnify or compensate the other for any breach, non-performance or delay in performance of any obligations under the Agreement or for any harm, loss, damage or injury caused to the other due to causes reasonably beyond its control including but not limited to tide, storm, cyclone, flood, lightning, earthquake, fire, blast, explosion or any other act of God, war, rebellion, revolution, insurrection, embargo or sanction, blockade, riot, civil commotion, labour action or unrest including strike, lock-out or boycott, interruption or failure of any utility service, enemy action, criminal conspiracy, act of terrorism or vandalism, sabotage, or intrusion, or any other irresistible force or compulsion.

Service of Notice

10. Any notice or communication required to be given under the Agreement shall not be binding unless the same is in writing and shall have been served by delivering the same at the address set out

hereinabove against a written acknowledgement of receipt thereof or by sending the same by pre-paid registered post at the aforesaid address or transmitting the same by facsimile transmission, electronic mail or electronic data transfer at number or address that shall have been previously specified by the party to be notified. Notice given by personal delivery shall be deemed to be given at the time of delivery. Notice given by post in accordance with this clause shall be deemed to be given at the commencement of business of the recipient of the notice on the third working day next following its posing. Notice sent by facsimile transmission, electronic mail or electronic data transfer shall be deemed to be given at the time of its actual transmission.

Arbitration

11. The parties hereto shall, in respect of all disputes and differences that may arise between them, abide by the provisions relating to arbitration and conciliation specified under the Bye Laws.

Jurisdiction

12. The parties hereto agree to submit to the exclusive jurisdiction of the courts in MUMBAI.

Governing Law

13. The Agreement shall be governed by and construed in accordance with the laws in force in India.

IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/seals to this Agreement in duplicate on the day, month, year and place first hereinabove mentioned.

IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/seals to this Agreement in duplicate on the day, month, year and place first hereinabove mentioned.

SIGNED AND DELIVERED by the withnnamed the participant ) FOR CENTRUM BROKING PRIVATE LIMITED

FOR CENTRUM BROKING PRIVATE LIMITED

by the hand of its authorised ) Director / Aurhotised Signatory

representative Shri )

in the presence of witness for DP )

Name : )

Signature : )

SIGNED AND DELIVERED Name : ) 1. F30

by the withnnamed the Name : ) 2. S5

Beneficial Owner Name : ) 3. T5

in the presence of witness for BO )

Name : )

Signature : )

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DEPOSITORY CHARGES

SCHEDULE OF CHARGES FOR BENEFICIARY ACCOUNT

Classic

Nil

Nil

Nil

Individual/HUF Account Rs.300/-

Corporate Account Rs. 800/-

Nil

Rs.100/- per DRF

Rs.100/- per DRF

Rs.100/- per DRF

Credit Charges - Nil

Debit Transaction Charges

Rs. 10/- per ISIN


Debit Transaction



Rs. 25/- per ISIN

Rs. 10/- per ISIN

Nil

Rs. 100/- per ISIN

Rs. 100/- per ISIN

Rs. 100/- per ISIN

Nil

Nil

Rs. 100/-

Rs. 25/-

Rs.20/- per ISIN

Rs.500/- per cheque bounce

Individual Account Rs. 581/-

Corporate Account Rs.1133/-

Charges - Nil

Dynamic

Nil

Nil

Nil

Rs. 1000/-

Nil

Rs.100/- per DRF

Rs.100/- per DRF

Rs.100/- per DRF


Debit Transaction

Charges - Nil


Debit Transaction



Rs. 25/- per ISIN

Rs. 10/- per ISIN

Nil

Rs. 100/- per ISIN

Rs. 100/- per ISIN

Rs. 100/- per ISIN

Nil

Nil

Rs. 100/-

Rs. 25/-

Rs.20/- per ISIN

Rs.500/- per cheque bounce

Individual Account Rs.1353/-

Charges - Nil

Particulars

Deposit

Account Opening Charges

Agreement Documentation Charges

(At the time of opening of CDSL Account)

Annual Maintenance Charges

Custody Charges

Demat Charges

Demat Rejection Charges

Rematerialisation Charges

BO Account Transaction Charges (through Centrum Broking

Private Limited) Off market

BO Account Transaction Charges (through Centrum Broking

Private Limited) On Market

BO Account Transaction Charges (Outside Centrum Broking

Private Limited)

Failed Instruction Charges

Booklet Charges

Pledge Creation Charges

Pledge Closure Charges

Pledge Invocation Charges

Account Closing Charges

Charges for Monthly/Quarterly Transaction statement through Email

Additional Account Statement (Physical)

Additional Account Statement (E Copy)

LATE TRANSACTION CHARGES

OTHER CHARGES

Total

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Notes:

1. Account Opening, Documentation charges and first year AMC as maybe applicable are collected at the time of application to open the account

2. CENTRUM BROKING PRIVATE LIMITED, reserves its right to revise its Charges/ Billing structure at its absolute discretion.

3. Cheques/Pay Orders /D.D should be drawn in favour of " CENTRUM BROKING PRIVATE LIMITED".

4. Payment of AMC for the first year to be done at the time of account opening.

5. All the DP charges will be debited to CBPL Broking Account Ledger whenever applicable.

6. Any statutory levies, including service tax, as maybe applicable, shall be at charged at actuals

7. Any service not covered above shall be charged for separately.

I/ We agree to pay the above charges as per Scheme Classic_________or Dynamic ___________ (please tick__________)

? ?Signature of the Second Holder

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Name Name Name

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TERMS AND CONDITIONS-CUM-REGISTRATION / MODIFICATION FORM FOR RECEIVING SMS ALERTS FROM CDSL

[SMS Alerts will be sent by CDSL to BOs for all debits and for all credits as well.]

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

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

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

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

4. SMS means “Short Messaging Service”

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

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

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

Availability:

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

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

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

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

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

Receiving Alerts:

1. The depository shall send the alerts to the mobile phone number

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

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

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

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

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

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. The BO may send an email to CDSL at [email protected]. The BO is advised not to inform the service provider about any such unauthorized debit to/ transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository.

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

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

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

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Fees:

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

Disclaimer:

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

Liability and Indemnity:

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

Amendments:

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

Governing Law and Jurisdiction:

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

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

I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from time to time.

I/We further undertake to pay fee/ charges as may be levied by the depository from time to time. I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to take up the matter with their DP.

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

I / We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out which is not applicable).

BOID

Sole / First Holder's Name

Second Holder's Name

Third Holder's Name

Mobile Number on which message are to be sent

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

The mobile number is registered in the name of:

Email ID:

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

Place: Date :

SignatureF32

Sole/First Holder

S7

Second Holder

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Third Holder

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

+91

1 2 0 1 2 2 0 0

In the presence of witness for BO

Name : Signature :

Regd. Office : 2nd Floor, Bombay Mutual Building, Dr. D. N. Road, Fort, Mumbai - 400 001.

Place : Date : D D M M Y Y Y Y39

POWER OF ATTORNEY

TO ALL TO WHOM THESE PRESENTS SHALL COME:

I/We________________________________________________________________________________________and

________________________________________ and ____________________________________________

individual / partnership firm/ corporate, being Indian Inhabitant SEND GREETINGS:

Whereas:

(a) I/We have a beneficial owner account number ________________________ (hereinafter referred to as the said ‘BO account’) with Central Depository Services (India) Limited, through Centrum Broking Pvt. Ltd. (hereinafter called as “CBPL” “DP”) DP ID 12200 with Central Depository Services Limited;

(b) I /We also have a trading/investment account with CBPL and are engaged in buying and selling of securities through CBPL, a member of Bombay Stock Exchange Limited bearing SEBI registration no. INB011251130 and member of National Stock Exchange Limited bearing SEBI registration no.INB231251134.

(c) Due to exigency and paucity of time and to ensure seamless operations, I/We am/are desirous of appointing an attorney to operate the said account/(s) on my/our behalf in the manner hereinafter appearing.

NOW KNOW WE ALL AND THESE PRESENTS WITNESSETH that I/We, the above named, do hereby nominate, constitute and appoint Centrum Broking Pvt. Ltd an Indian company incorporated under Companies Act, 1956 acting through its Directors and/or Officers authorised for the purpose, as our true and lawful attorney(s) (hereinafter referred to as “the Attorney(s)”) for me/us and on my/our behalf and in my/our name, to do the following acts, deeds and things and exercise the following powers and authorities:

1. To do all such thing and give all such instructions as mentioned below concerning the said account as I/We myself/ourselves could give if I/We was/were personally present.

2. To treat the balance in my BO account as margin against my transactions in capital and derivative segment and to pledge/ unpledge the same with CBPL or NSE or BSE or clearing member as margin deposit.

3. To instruct DP to transfer the shares to CDSL A/c no. 12012200 00062669 &/or ______________________ & pledge/ unpledge the same with the NSE/BSE or clearing member only as margin deposit on my behalf.

4. To instruct the DP to debit securities to the said BO account and/ or transfer securities from the said account to CBPL NSE pool account no. 12012200 00062654 , and/or to CBPL BSE pool account no. 12012200 00062601 / 12012200 00062595 to the extent of shares sold by me/us only for pay-in obligations towards any stock exchange.

5. To instruct the DP to debit securities to the said account, which have been wrongly credited in my BO account.

6. To transfer charges levied in my BO account to my trading ledger account of NSE & BSE.

7. To send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by way of SMS/email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time.

8. To do all such acts pursuant to give effect to the powers granted under this Power of Attorney.

9. And I hereby agree and confirm that the powers and authorities conferred by this power of attorney shall continue until revoked.

I/We ratify and confirm all the acts done by CBPL on our behalf as are consistent with the powers hereinabove in the manner specified herein.



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Name Name Name

SIGNED AND DELIVERED BY THE WITHIN NAMED BENEFICIAL OWNER )

We acceptFor CENTRUM BROKING PRIVATE LIMITED Director / Authorised Signatory

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IN PERSON VERIFICATION

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I/ We have personally met the client at the address of the client as stated above/ who has visited our office and we know that the client resides as the

address as sated above . I/we have verified in original all supporting documents and carried out the in person verification process of identity proof,

all supporting documents have been enclosed with Client Registration Form.

Further, after having interacted with the client and or knowing him since_____________ years/months, I/we hereby like to state that the financial

standing of the clients is ________________________________________ approximately.

I/we confirm that the information provided by the client is true and correct and therefore, recommended for registration as a client

Name and Signature of the Employee at the branch

Seal and Trade name of the branch

Counter verified by the branch manager

Correspondence Address: Centrum House, CST Road, Vidya Nagari Marg, Kalina, Santacruz (East), Mumbai - 400 098.CAPITAL MARKET SEBI REGN. NO.: BSE: INB 011251130, NSE: INB231251134

DERIVATIVES SEBI REGN. NO.: NSE: INF231251134 (TRADING AND CLEARING MEMBER)CDSL DP ID: 12200. SEBI REGISTRATION NO.: IN-DP-CDSL-20-99

MCX-SX REGISTRATION NO.: INE261251134PMS REGISTRATION NO.: INP000000456

Investor Grievance Email ID: [email protected] Website: www.centrumbroking.com

C N T R U M