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Know Your Client Form
CLIENT REGISTRATION FORM
4. Rights and Obligations Document stating the Rights & Obligations of stock broker/tradingmember, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading).
5. Risk Disclosure Document Document detailing risks associated with dealing in the securities market.
6. Guidance Note Document detailing do's and don'ts for trading on exchange, for the educationof the investors.
7. Running Account Running Account Authorisation 188. Confirmation of Noting Confirmation of Noting 189. Additional Terms Additional Terms & Conditions for smooth operations and compliance 19 - 20
Regi Address: A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower, 100ft Anand Nagar Road, Satellite, Ahmedabad - 380 015, Gujarat. Phone No. 079-4006-9003;Correspondence Address: Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk, Bhavnagar – 364 001, Gujarat.Phone No. 0278-3005905, 6, 7 Fax No. 0278-3005903 Website: www.tradedealonline.com
Annexure – 1 Account Opening Kit (Index of Documents)
TRADEDEAL FINANCIAL SERVICES PRIVATE LIMITED
Registration Detail:
CEO Name: Compliance Officer Name: Ms. Rupal Darji; Phone No. +91-0278-3005905,6,7 & E-Mail ID: [email protected]; For any grievance/dispute please contact stock broker TradeDeal Financial Services Private Limited at the above address orE-Mail ID - [email protected] and Phone No. 91-0278-3005905,6,7. In case not satisfied with the response, please contact the concerned exchange(s) at National Stock Exchange of India Limited, Investor Grievance Cell E-mail : [email protected]; Tel No.: (022) 26598100, 26598190; Bombay Stock Exchange Limited, Investor Grievance Cell [email protected]; Phones: +91-22-22721233/4, +91-022-22728517/8097; Metropolitan Stock Exchange of India Limited, Tel. : +91 22 6112 9000; Ext. 9028; Email-Id: [email protected]; Notes: Incase Voluntary/Non-Mandatory Documents/Clauses are found in conflict with any of the clauses in the Mandatory Documents, Rules, Bye-Laws, Regulations, Notices, Guidelines and Circulars issued by SEBI and Exchanges from time to time shall stand null and void. Please Strike out the Voluntary/Non-Mandatory Clauses that are not agreed to between Member and Client.
Mr. Nimesh H. Vora; Phone No. +91-0278-3005905, 06, 07; & E-Mail ID: [email protected];
Registered & Correspondence Office Address
1. Account Opening Form A. KYC form - Document captures the basic information about the 1 - 5constituent and an instruction/check list. B. Document captures the additional information about the constituent relevant to trading account.
2. Policies and Procedures Document describing significant policies and procedures of the stock broker. 6
3. Tariff Sheet Document detailing the rate/amount of brokerage 7and other charges levied on the client for trading on the stock exchange(s).
DOCKET : B MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
INDEX :
S. No. Name of the Document Brief Significance of the Document Page No.
DOCKET : A MANDATORY DOCUMENTS (AS PRESCRIBED BY SEBI & EXCHANGES)
Provided in separate booklet8 - 17
DOCKET : C NON-MANDATORY DOCUMENTS
(Formerly known as Ashtavinayak Stock Broking Private Limited)
Trading Member Details:TradeDeal Financial Services Pvt. Ltd. Member of National Stock Exchange of India Limited (NSE) (CM, FO and CD Segment): Member ID 14513, Bombay Stock Exchange Limited (BSE) (CM & FO Segment) : Member ID: 6486; Metropolitan Stock Exchange of India Limited (MSEI): (CM, FO and CD Segment) Member ID: 82800; SEBI Registration No. INZ000008730 dated 27th August, 2015.Clearing Member Details: IL&FS Securities Services Ltd, IL&FS House, Plot No 14, Raheja Vihar, Chandivali, Andheri (E), Mumbai-400072. Phones: 42493000/28577731 Fax: 022-28570983/022-28576134; NSE FO: CMID: C50008 SEBI Regi. No. INF231133630 dated June. 02, 2000; NSE CD CMID: C50008; SEBI Regi. No. INE231308334 dated Aug. 25, 2008; BSE FO: CMID: P807; SEBI Regi. No. INF011133834 dated June. 02, 2000; MSEI: CMID: 34, SEBI Regi No. INE261313337 dated Sep. 29, 2008;
2
*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.2. 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. 3.D e m a t
master or recent holding statement issued by DP bearing name of the client.4. 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.
5. For non-individuals:a. Form need to be initialized by all the authorized signatories. b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of company/firm/others and their specimen
signatures.
Additional documents in case of trading in derivatives segments - illustrative list:
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate
Copy of demat account holding statement Bank account statement for last 6 months
Any other relevant documents substantiating ownership of assets.
Self declaration with relevant supporting documents.
B. DEPOSITORY ACCOUNTS DETAILS
A. BANK ACCOUNT(S) DETAILS
Type of A/c Savings Current NRI/ NRONRE/ Others (Specify) __________________________
Name of Bank
Bank A/c No.
Branch Address
City
Country
IFSC No.
State
Pin Code
MICR No.
DP ID Beneficiary ID (BOID)
Depository Name : NSDL CDSL
Depository Participant Name
TRADING ACCOUNT RELATED DETAILS
Beneficiary Name
C. OTHER DETAILS
1. Gross Annual Income Details (please specify) : (Income Range per annum)
Below Rs. 1 Lac
Rs. 5 - 10 Lac
> 25 Lac
Rs. 1 - 5 Lac
Rs. 10 - 25 Lac
Net Worth as on (Date) : Rs.(DD-MM-YYYY)
- -
(Net worth should not be older than 1 year)
Private Sector
Others (Please Specify)
3. Please Tick, if applicable :
Politically Exposed Person (PEP) Related to Politically Exposed Person (PEP)
4. Any other information
2. Occupation (please tick any one and give brief details) :
OR
Public Sector Government Service Business Professional Agriculturist
Retired House Wife Student
ANNEXURE-3 (For Individuals & Non-Individuals)
3
NSE MSEI
BSE
*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.C. TRADING PREFERENCES
Cash
F & O
Currency
Cash F & O
Cash
F & O
Currency
(1A)
(1B)
(1C)
(1D) (1H)
(1E)
(1F)
(1G)
# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker.
D. PAST ACTIONSDetails of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or
its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:
_________________________________________________________________________________________________
MANDATORY
C. Other Details
BSE
F. ADDITIONAL DETAILSWhether you wish to receive Physical contract note Electronic Contract Note (ECN)
Specify your Email id, if applicable: ____________________________________________________________
Whether you wish to avail of the facility of internet trading Yes No
NUMBER OF YEARS OF INVESTMENT/TRADING EXPERIENCEType of Instrument Experience
Stocks Derivatives Others (Specify)Years Years Years
wireless technology
In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in
securities on behalf of company/firm/others:
Name of Stock Broker
Name of Exchange
Website
Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)
Yes No If yes,
Name of Sub Broker, if any Client Code No.
Details of disputes/dues pending from/to such stock broker/sub- broker : Yes No If yes,
Name of the Introducer
(Surname) (Name) (Middle Name)
Status of Introducer Sub-Broker
Others Please Specify
Remisier Authorized Person Existing Client
Address of the Introducer
Signature of the Introducer __________________________
Ph. No.
H. NOMINATION DETAILS (For Individuals only)I/We wish to nominate I/We do not wish to nominate
Name of the Nominee
Relationship with the Nominee
PAN of Nominee Date of Birth of Nominee - -
Address of the Nominee
G. INTRODUCER DETAILS (optional)
Ph. No.
Address of the guardian
If Nominee is a minor, details of guardian :
Name of the guardian
Signature of the guardian _____________________________________
Yes No
If client is dealing through the sub-broker, provide the following details:
Sub-Broker's Name
SEBI Registration No.
Yes No If yes,E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
Registered Office Address
Phone Fax
4
MANDATORY
Ph. No.
Any other Information:
WITNESSES (Only applicable in case the account holder has made nomination)
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/weundertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue ormisleading 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 stockbroker and the tariff sheet.
3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk DisclosureDocument'. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informedthat the standard set of documents has been displayed for Information on stock broker's designated website, if any.
Date : 2 0 1
Place
WIT
NE
SS
FOR OFFICE USE ONLY
Signature of the Authorised Signatory
Date : 2 0 1
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.
For, TradeDeal Financial Services Private Limited (Erstwhile Ashtavinayak Stock Broking Pvt. Ltd.)
Stamp of the intermediary
MANDATORY
5
Client Signature Client Signature (2)
Mandatory Document dealing with Policy and Procedures
1. Refusal to Take OrdersThe Client undertakes and agrees that member, may as a risk containment measure, at any time, at its sole discretion, and without prior notice, prohibits, restricts or refuse the clients' ability to place order or trade in penny stocks or such other stocks/contracts, as specified by Member, through the Member. The Client waives any and all claims for loss or damage arising directly or indirectly from any such refusal.
2. Exposure LimitsThe client agrees and confirms to abide by the exposure limits, if any, set by Member or by the exchange or Clearing Corporation or SEBI from time to time.The Stock Broker/ Trading Member may from time to time, at its sole discretion, impose and vary limits on the orders that the client place (including but not limited to exposure limits, turnover limits, limits as to number, value and / or kind of securities / contracts in respect of which buy or sell orders can be placed etc.) The client is aware and agree that the stock broker/ trading Member may need to vary or reduce the limits or impose new limits urgently on the basis of Member's risk perception and other factors considered relevant by Member and Stock Broker/ Trading Member may be unable to inform to the client of such variation, reduction, imposition in advance. The client agrees that the Stock Broker/ Trading Member shall not be responsible for such variation, reduction and imposition of limits.
3. Brokerage RateThe 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 fees or otherwise, together with the service tax, SB cess as may be applicable from time to time on the same. The Client hereby agrees to the brokerage slabs/rates, as mentioned in this document, which do not exceed the maximum limits prescribed by the SEBI/NSE/BSE/MSEI.
4. Delayed Payment ChargesThe client understands and agrees that applicability of delayed payment charge by either party is solely at the discretion of the Stock Broker.Without prejudice to margin funding guidelines issued by SEBI, any amounts which are overdue from a client toward settlement obligation or margin obligation either in cash segment and/or derivative segment, may attract delayed payment charges at the rate of 1.5 % per month or part thereof or such other rate as may be determined by the stock broker. In case client has not opted for running account maintenance, any amount which are overdue from a stock broker towards settlement pay out after meeting all pending settlement / margin obligations or dues, may attract delayed payment charges at the rate of 1.5 % per month or part thereof or such other rate as may be determined by the stock broker.In case client has opted for running account maintenance, any amount which are overdue from a stock broker towards the available undisputed credit balance in client ledger after meeting settlement and/or margin obligation and making provision for next 5 trading day settlement and / or margin obligation, calculated in the manner specified by the exchanges or amount as demanded by client, in writing, out of available ledger balance, whichever is less, may attract delayed payment charges at the rate of 1.5 % per month or part thereof or such other rate as may be determined by the stock broker.
5. Liquidation/close-out of positions:Without prejudice to the member's other rights (including the right to refer a matter to arbitration), the Member shall be entitled to liquidate / close out all or any of the Client's sercurities/positions for non-payment of margins or settlement obligation without
giving prior notice. Any and all losses and financial charges on account of such liquidation / closing-out shall be charged to and borne by the Client.
6. Internal ShortageIn case of purchase of securities by the Client, at times Member may be unable to deliver the securities to the said purchaser on the payout day due to non receipt of the said securities from another Client of Member who has sold the securities against the said purchase transaction. In such cases, member may buy the shares from the market on T + 1 day or on settlement day and deliver the same to the client or he may give close out at the rate as determined by the member.
7. Close out in case of internal Shortages:The Client hereby agrees that if he/she/it has short delivered any securities against his/her/its pay-in- obligation which resulted into internal shortage (i.e. buy position of another client of Member and could not be auctioned in the market), close out shall be debited to his account at the rate which is in the range of 5% to 20% above the purchase price or the closing price on auction day or such other percentage as may be revised by Member and intimated to client time to time.
8. Restrictions/Prohibition to take further position or closing existingpositionThe Member may, in its sole discretion, not allow taking further position to the client or may close the existing position of a 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 restrictions. The Client waives any and all claims for loss or damage arising directly or indirectly from any such restrictions.
9. Suspension / Closure at the client's requestThe Client may suspend or close his/her/its trading account temporarily by giving written request to the member. Such temporary closing or suspending of trading account will not affect the rights and obligation incurred prior to such suspension or closure. Any request for temporary suspension or closure shall not be processed by the member unless all the dues are paid by the client.
10. Deregistering the ClientThe Member may, at its sole discretion, deregister clients' account to protect his interest which might include (but not limited to)i. Member is compelled to by law;ii. Client has not used account for a significant period of time;iii. Member has reasons to believe that account is being usedfor fraudulent purposes.iv. Any other reason which member thinks reasonable for de-registering the account. The Client waives any and all claims for loss or damages arising directly or indirectly from such deregistering. The deregistering will not affect any liability of the Client resulting directly or indirectly from any transactions made at any time before such deregistering.
11. Policy for in active ClientsIn case client has not used his account for a period exceeding 6 months but not later than 2 years across the exchanges, then his account shall be freezed for further trades and the said account shall be re-activated only after client gives account reactivation request , in writing, along with the proofs, if any, required. Further if client has not used his account for more than 2 years, his account shall be deregistered and his account shall be re-activated only after proper recording of reason for such non use, either orally or in writing, and after taking all the required proof.
MANDATORY
Client Signature Client Signature (3)
TARIFF SHEET
7
MANDATORY
Brokerage Structure:
(A)
Trade punched through Internet based Trading/Wireless/Web based/Mobile Trading Software
Type Rate
Equity Intraday/Equity Future/Currency Future Lower of 0.01% of Turnover or Rs.18/- per executed order
Equity Delivery
Lower of 0.1% of Turnover or
Equity/Currency Option* Rs. 18/-
per Executed order
NRI
–
Equity
Delivery
200/-
per executed order or 0.1% of Turnover whichever is lower
NRI
–
Future & Option*
200/-
per executed order
(CP code only)
(B) Trade punched through “TradeDeal” Dealer
Type
Rate
Equity Intraday/Equity Future/Currency Future 18/- per executed order in addition to Lower of 0.01% of Turnover or 18/- per executed order
Equity Delivery
18/- per executed
order in addition to Lower of 0.1% of Turnover or
18/- per executed order
Equity/Currency Option* 36/- per executed order
NRI– Equity Delivery 218/- per executed order or 0.1% of Turnover whichever is lower
NRI
–
Future & Option*
218/- per executed order (CP code only)
Note:
1. Brokerage Rate mentioned in above structure A & B shall be subject to SEBI/Exchange prescribed limit
2. *Brokerage is also charged on expired, exercised and assigned option contract
In addition to Brokerage the following levies
will
be charged 1. Turnover Charge 2. Clearing Charge 3. Securities Transaction Tax 4. SEBI Turnover Fees 5.Stamp Duty : State -wise stamp duty as applicable will be levied 5. Service Tax 6. SB Cess 7. KKC Cess
1.
KRA Registration charges will be levied as applicable
2.
Delivery Instruction charge will be levied Rs.
16/-
on each sale Transaction
3. Penalties levied by exchange, SEBI and other authorities due to act of client are recovered from the clients. Such penalty mayinclude, Short Margin Penalty, Code Modification Penalty, etc.
4.
Bounce
Cheque/Stop Payment charge will be levied as per actual5.
Depositing fund through payment gateway will attract charge as per actual
6.
Any service not quoted above will be charged separately and services liable to service tax
shall be charged to service tax
andapplicable cess
at applicable rate
Client Signature Client Signature (4)
Rs.
Rs.
Rs.Rs.
Rs.Rs.
Rs.
Rs.
Rs.
Rs.18/- per executed order
RUNNING ACCOUNT AUTHORIZATION
To,
TradeDeal Financial Services Private Limited Dear Sir,
Subject: Running Account Authorization
I/We hereby authorize(s) the MEMBER to maintain a running account, instead of settlement to settlement clearance of funds / securities due to me/us.
The payout of funds / securities may be retained by the MEMBER and no interest shall be payable, by the MEMBER on such securities / funds so retained.
I/We also authorize(s) the MEMBER to consider the funds/securities so retained by the MEMBER towards collateral margin for allowing enhanced gross exposure to me/us.
I/We agree(s) 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 document or otherwise.
On written request of the CLIENT the MEMBER may release funds/securities to him, if sufficient margins in respect of his trading, across the Stock Exchange(s) and across the segments of the stock exchange(s) are available with the MEMBER, within one working day of the request if the same are lying with him and within three working days from the request if the same are lying with the Clearing Member/Clearing Corporation..
Notwithstanding anything contained in this authorization, the actual settlement of funds and securities, except for funds received from the clients towards collaterals/margin in the form of bank guarantee (BG)/Fixed Deposit receipts (FDR), shall be done by the member, at least once in a calendar quarter or month (Strike off anyone option). 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 exchanges. There shall be no inter-client adjustments for the purpose of settlement of the 'running account'.
However to avoid the administrative/operational difficulties in settling my/our account, I/We request you to retain an amount of up to ` 10,000/- (Rupees Ten Thousand Only) (net amount across segment and across stock exchanges) as per SEBI and Exchange directives.
This authorization may be revoked at any time by me/us by giving written notice to the member.
Yours faithfully,
Date of Authorization:______________________________________________________________
(To be signed by client himself and not by any authorized person on his behalf or holder of the Power of Attorney)
To,TradeDeal Financial Services Private Limited
Dear Sir / Madam,
We confirm that we have made note of the following:1. That you trade in your OWN/PRO account.2. That your investor grievance email ID is [email protected]. That I have read all the mandatory and voluntary terms and conditions and do consent for the same.4. That we have to furnish / update Financial Details every year to the Member as per SEBI / PMLA requirements.5. That I/We have read/understood the Anti Money Laundering Policy & Procedure and I know that the same is made available on
your website www. tradedealonline.com.6. That I/We agree/s that I/We am/are responsible for clearing out my debit ledger balance to NIL at least once in a Calendar
Quarter/Month as per my preference selected at the time of account opening.7. That any Voluntary terms and conditions which is in violation of exchange/SEBI rules and regulations and circular issued from
time to time shall become null and void.Thank you,
Re. : Confirmation of Noting
CONFIRMATION OF NOTING
Client Signature Client Signature (6)
Client Signature Client Signature (5)
18
NON MANDATORY
ADDITIONAL TERMS & CONDITIONS FOR SMOOTH OPERATIONS AND COMPLIANCE
19
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 TradeDeal Financial Services Private Limited (hereinafter referred to as TFSPL) and agree to be bound by the same. 1. Internet Based Trading Services: E-Broking Services, WirelessSecurities Trading & Dial & Trade Services (i) The CLIENT is aware that authentication technologies and strict
security measures are required for the internet trading through order routed system and undertakes to ensure that the password of the CLIENT and/or his authorised representative are not revealed to any third party.
(ii) The CLIENT agrees that the STOCK BROKER/TRADING MEMBER shall not be liable or responsible for non-execution of the orders of the CLIENT due to any link/system failure at the C L I E N T / S T O C K B R O K E R S / T R A D I N GMEMBERS/EXCHANGE end.
2. Electronic Payment Gateway for Net Banking Services:Electronic Payment Gateways provided by various banks for facilitating transfer of funds from Client's bank account to the account of the Client with TFSPL. Client understands that TFSPL is only providing access to the electronic fund transfer facility provided by the banker of the Client through TFSPL's website by means of an interface and is not liable or responsible for the proper functioning or otherwise of the Gateway or for any transaction errors, losses, malfunctioning or hacking of the system by unscrupulous elements, frauds, and/or any incidental or consequential claims arising there out. Client undertakes not to make TFSPL a party to any litigation, claim, dispute, difference or complaint that the Client may initiate in respect of, arising out of or in connection with any transactions on the Gateway and agrees that TFSPL's liability shall at all time be limited to the amount actually received in its account by electronic transfer from Client's account with the Bank3. PMLA DeclarationI declare that I have read and understood the contents and the provisions of the PMLA Act, 2002, which were also explained to me by TFSPL officials. I further declare that I shall adhere to all the provisions of PMLA Act, 2002. I further undertake and confirm that;
a. I do not have any links with any known criminalb. I am a genuine person and not involved or indulge knowinglyor assisted, directly or indirectly, in any process or activity connected with the proceeds of crime nor I am a party to it. The investment money is derived from proper means and does not involve any black or Hawala money in any manner.
4. Order Placement InstructionsI understand that you require written instructions from me for placing / modifying / cancelling orders. However, since it is not p rac t i ca l fo r me to g ive wr i t ten ins t ruc t ions fo r placing/modifying/cancelling order. Even If I have facility to trade online through Internet and wireless technology, I may have to place orders by physically visiting /calling/ Emailing the Call centre
/ branch specified for the said purpose by TFSPL in case of breakdown of internet connectivity or other similar reasons.I hereby request you to kindly accept my or my authorized representative or mandate holder's verbal orders/instructions, in person or over phone and execute the same. I understand the risk associated with placement of verbal orders and accept the same. I shall not disown orders under the plea that the same were not placed by me provided I am sent ECN/Physical contract notes or trade confirmations through SMS and other modes. I indemnify TFSPL and its employees against all losses, damages, actions which you may suffer or face, as a consequence of adhering to and carrying out my instructions for orders placed verbally.5 . Errors and OmissionsI understand and agree that inadvertent errors may occur, while executing orders placed by me. In such circumstances TFSPL shall make all reasonable efforts to rectify the same and ensure that I am not put to any monetary loss. I understand and agree that I shall not hold TFSPL responsible beyond this and claim additional damages/loss. I understand and agree that my request to modify or cancel the order shall not be deemed to have been executed unless and until the same is confirmed by TFSPL.6. Extra Ordinary Events and termination/suspension of tradingfacility: TFSPL will not be liable for losses caused directly or indirectly by government restriction, Exchange rulings, suspension of trading, computer, communication, telephone or system failure, war, earthquakes, flood, accident, power failure, equipment or software malfunction, lack of connectivity, congestion or disruption of communication net- work or links, software glitches or corruption, low processing speed, strikes or any other conditions beyond TFSPL's control resulting in non-execution, partial or incomplete execution of orders and the resulting financial loss, if any TFSPL may at any time terminate, discontinue or temporarily suspend trading facility provided to the Client in the event of any such extraordinary event occurring without giving prior notice to the Client.Any loss or damage arising from or occasioned by (i) Any such inaccuracy, error, delay or omission, (ii) Non- performance, or (iii) Interruption in making available any such data, information or message, due to either any act or omission by TFSPL or any disseminating party or to any "force majeure" (e.g. flood, extraordinary weather condition, earthquake or other act of nature, fire, war, insurrection, riot, labour dispute/unrest, accident, action of government, communications or power failure, equipment or software malfunction) or any other cause beyond the reasonable control of TFSPL or any disseminating party.7. Non-execution/delay/cancellation of Orders:The client hereby agrees that TFSPL or the Exchanges shall not be liable for non execution or partial execution of any orders caused due to suspension, interruption, or malfunctioning of the trading services, disruptions or congestion of communication networks, hardware or software problems, or failure of the electronic trading system generally in any manner due to one or the other reasons beyond the control of TFSPL or the Exchange.
NON MANDATORY
(Please strike out the Non-Mandatory clauses that are not agreed to between Stock Broker/Trading Member and the Client)
8. Client not to act on representations of agents, employees: Clientis aware that TFSPL has not authorized any agents, representatives, employees or other persons to make any representation, or to give any promise, assurance, warranty, undertaking or commitment as to return on investment of the Client whether in writing or otherwise on behalf of TFSPL9. Indemnification:I hereby indemnify and hold TFSPL, its Directors and employees harmless from and against all claims, demands, actions, proceedings, losses, damages, liabilities, charges and/or expenses that are occasioned or may be occasioned to the TFSPL directly or indirectly, relating to bad delivery of shares/ securities and/ or third party delivery, whether authorized or unauthorized and fake/forged/stolen shares/ securities/transfer documents introduced or that may be introduced by or through me during the course of my dealings/ operations on the Exchange(s) and/ or proof of address, identity and other supporting/ documents provided by me at the time of registration and/ or subsequently.10. Indemnity of Joint Holdings:I hereby agree to indemnify and hold the TFSPL harmless from any claims, demands, actions, proceedings, losses, damages, liabilities, charges, and /or expenses arising from transactions in securities held jointly by me with any other person or persons, if any.11. Mutual Fund Service System (MFSS) Facility:I am interested in availing the MFSS facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the MFSS of the Exchange. For the purpose of availing the MFSS facility, I state that “Know Your Client” details as submitted by me for the opening of Trading Account may be considered for the purpose of MFSS and I/we further confirm that the details contained in same remain unchanged as on date. I am willing to abide by the terms and conditions as has been specified and as may be specified by the Exchange from time to time in this regard. I shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI). I shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual Fund Schemes with respect to which I choose to subscribe/redeem. I further agree to abide by the terms and conditions, rules and regulations of the respective Mutual Fund Schemes subscribed by me.12. NRI DeclarationI understand that if the sole/first applicant has or attains NRI Status, investments in scheme of mutual funds can be made only upon providing Foreign Inward Remittance Certificate ( FIRC ) to TFSPL every time the investment is made. Further, I /we undertake to update any status change and shall abide by FEMA , RBI and SEBI guidelines with regard to NRI investment in India.13 Third-Party PaymentsTFSPL shall have the prerogative to refuse payments received from any bank account where the client is not the first holder or which is not mentioned in the KYC or which the client has not got updated subsequently by submitting a written request along-with adequate proof thereof as per proforma prescribed by TFSPL TFSPL shall not be responsible for any loss or damage arising out of such
refusal of acceptance of payments in the situations mentioned above.However, due to oversight, if any such third-party payment has been accepted by TFSPL and the credit for the same has been given in the client's ledger, TFSPL shall have the right to immediately reverse such credit entries on noticing or becoming aware of the same. In such a case, TFSPL reserves the right to liquidate any of the open positions and/or any of the collaterals received/ held on behalf of the client. TFSPL, its Directors and employees shall not be responsible for any consequential damages or losses.14.No Dealings In CashTFSPL as a policy neither accepts any funds for pay-in/margin in cash nor makes any payment or allows withdrawal of funds in cash. No claim will be entertained where the client states to have made any cash payment or deposited cash with any Branch/Sub-Broker/Remisier/Employee/ Authorised Person of TFSPL.15. No Market ManipulationI undertake not to execute transactions, either singly or in concert with other clients, which may be viewed as manipulative trades viz. artificially raising, depressing or maintaining the price, creation of artificial volume, synchronized trades, cross trades, self trades, etc or which could be termed as manipulative or fraudulent trades by SEBI/Exchanges. In case I am found to be indulging in such ac t i v i t i es , TFSPL has eve ry r i gh t to i n fo rm the Exchange/SEBI/other regulatory authority of the same and suspend/close my trading account.16.Authorization to debit additional charges with regard to Tradingand Demat Account: Without prejudice to the other rights and obligations of the parties, the client understands and agrees that TFSPL may levy charges including Annual Maintenance Charges and all transaction charges with respect to Clients Demat account for any service rendered by TFSPL and as may be required by the Client, and recover from the Client all reasonable costs, as may be incidental or consequential for rendering the said services. The said charges will be debited to the clients' Trading ledger account maintained with TFSPL for the demat charges payable to TFSPL as Depository for providing depository services.17. Authorization for Inter Segment/Inter Exchange Fund BalanceTransfer: The client hereby authorizes TFSPL to transfer fund/ pay out resulting on account of sale of shares/contract/or margin refunds from NSE/BSE/MSEI and adjust the same towards debit balances in any segment of NSE/BSE/MSEI. Further, I/we hereby authorise to consider credit available in one segment/ exchange towards margin / settlement obligation in another exchange/segment with or without passing journal entries. 18. DeliveriesThe client shall ensure that the shares are properly transferred to the designated demat account of TFSPL, for effecting delivery to the Exchange against the sale position of the client. Such transfers shall be entered by the client within the time specified by SEBI/Exchanges/TFSPL. In case the client fails to transfer the shares on time to TFSPL, TFSPL shall not be responsible for any loss/damages arising out of such delayed transfers.
Client Signature Client Signature (7)
Date:_______________
Client Signature Client Signature (8)
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RECEIPT OF ACCOUNT OPENING FORM (KYC FORM)
From : ______________________________
____________________________________
____________________________________
____________________________________
To,
TradeDeal Financial Services Private Limited
Satellite, Ahmedabad - 380 015, Gujarat.
Correspondence Address: Office No. 104, Plot No. 1891, Shukan Complex, Rupani Circle to Atabhai Chowk,
Bhavnagar - 364 001, Gujarat.
Regi Address: A-1210, Floor No.12, Titanium City Centre, Nr. Sachin Tower, 100ft Anand Nagar Road,
Dear Sir,
Re. : Account Opening Form (KYC Form) No.__________
This has reference to my/our captioned Account Opening Form (KYC Form) which I/We have submitted to you duly filled up along with all the supporting documents.
I/we hereby acknowledge the receipt of copy of the following documents from you.
1. Client Registration Form (KYC)2. Rights & Obligations3. Risk Disclosure Document4. Guidance Note5. Policies & Procedures6. Tariff Sheet7. Non-Mandatory Documents8. PMLA Policy9. RMS Policy
Client Signature Client Signature
Thanking You,Yours truly,
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