EBL-KYC-A4-Version 02 with Tear Away EBL...INDEX INDEX - Account Opening Kit Sr. No. Name of the Document Brief Significance of the Document Pg.No. KYC Form Account Opening Form Trading

ACCOUNT OPENING FORM (RESIDENT INDIVIDUALS ONLY)Edelweiss Broking Limited For Trading Account

Edelweiss Securities Limited For DP Account

Form No.

SIMPLIFIED INVESTING

The beginning of

From Client Experience Desk

Dear Customer,

We are happy that you have chosen us as your investment partner.

We at Edelweiss aim at enhancing experience and simplifying processes for our customers. This Account Opening Form is another step towards the very aim - making the process of entering a new financial relationship easier.

I take pleasure and pride in introducing this Account Opening form as one of the in the industry.

Now, opening a trading account with us takes a few minutes only, leaving you more time to interact with our representative and clarify any doubts or queries that you may have.

I also request you to go through the Terms and Conditions booklet which will be appended with your KYC. This booklet covers the details of your relationship with us and helps you become an informed investor.

With this, I also urge you to write to us on - for trading and on for demat account issues, queries or feedback. We will be glad to hear from you.

Your trusted advisor always.

Puja D’SouzaHead- Client Experience OfficeEdelweiss Broking Limited / Edelweiss Securities Limited

shortest and simplest

[email protected] [email protected]

INDEX

INDEX - Account Opening Kit

Sr. No. Name of the Document Brief Significance of the Document Pg.No.

KYC Form

Account Opening Form

Trading & Demat Account related details

KYC Document Booklet & Declaration

Power of Attorney

Voluntary Authorisations

Tariff sheet

Financial Status and other details

FATCA Sheet

Request for SMS and E-mail alerts from Stock Exchange/s & Stock Brokers

Depository Charges Schedule

1

2

3

4

5

6

7

8

9

10

N

Nominee

G

Guardian

W1

Witness 1

W2

Witness 2Client Signature

ICONS FOR ILLUSTRATION

1

2-5

6

7-8

9-10

Terms and Conditions (Voluntary)16

Non - Mandatory Documents in the Booklet

General Terms & Conditions w.r.t. Trading 31-56

Mandatory Documents in Booklet as prescribed by SEBI & Exchanges

1-4

5-13

14-19

20-21

22-30

Instructions/Checklist - Account Opening Form

Rights and Obligations

Risk Disclosure Document (RDD)

Guidance note

Policies and Procedures

11

12

13

14

15

Instructions/checklist for filling KYC form (Trading & DP)

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.

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

Document describing significant policies and procedures of the stock broker

Document captures the basic information about the constituent

Document captures additional information about the constituent relevant to Trading & Demat A/c

Declaration for opening trading & demat Account

Power of Attorney for Operating Trading & Demat Account

a. Authorization for Running Account maintenance

b. Authorization for receiving ECN and other Electronic Communications

c. Authorisation for debiting various depository charges

d. Authorisation for sharing of Data and Information

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

Financial Status and Other Details as per Prevention of Money Laundering Act, 2002 (PMLA)

Foreign Accounts Tax Compliance Act Declaration

Request for SMS and E-mail alerts from Stock Exchange/s and Terms and Conditions

Know your Tariff Plans - Depository Charges - Schedule 'A'

11

12

13

14

15-16

Edelweiss Securities Ltd.:

Edelweiss Securities Limited. Registered Address: 2nd Floor, MB Towers, Plot No. 5, Road No. 2, Banjara Hills, Hyderabad – 500 034 Toll Free Number: Website: www.Edelweiss.in Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai – 400098 Phone Number: +91 (022) 43428609 DP CDSL, Segment: Depository Participant, SEBI Registration No.: IN-DP-CDSL-226-2004, DP ID: 12032300, Date of Registration: February 6, 2009. Compliance Officer Name: Pravin Bathe Phone: 022 4088 6008; Email Id: [email protected] For any grievance / dispute please contact Edelweiss Securities Ltd at the above address or email at [email protected] or Toll Free No.: 18001023335. In case not satisfied with the response, please contact CDSL, at [email protected] or Phone No. (022) 22723333.

Initial Cheque Details

Account Opening Fees

Subscription Fees

Margin Amount

Name of the Bank Cheque No. Amount

Edelweiss Broking Ltd.:

NSE BSE MCX-SX

Email ID [email protected] [email protected] [email protected]

Phone No +91 22 26598190 +91 22 22728138 +91 22 67318933

Compliance Officer Name: Brijmohan Bohra; Phone No: 022 4088 6278; E-mail id: [email protected]

For any grievance / dispute please contact Edelweiss Broking Ltd at the above address or email at [email protected] or Toll Free No.: 18001023335. In Case not satisfied with the response, please contact the concerned exchange(s ) as under:

Anagram House, H.L. Commerce College, Stadium Road, Navrangpura, Ahmedabad 380 009. Tel - 079-65141246 Website: www.Edelweiss.in Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai Member NSE ( SEBI Registration No:. INB231311631 Segment: Cash since 23rd Sep 2008, INF231311631 Segment: F&O since 24th Sep 2008, INE231311631 Segment: Currency since 11th Mar 2010) Memb. Code 13116, Member BSE (SEBI Registration No:. INB011311637 Segment: Cash since 23rd Sep 2008, INF011311637 Segment: F&O since 4th Apr 2012), Memb. Code 3261, Member MCX-SX (SEBI Registration No:. INB261311634 Segment Cash since 12th Dec 2012, INF261311634 Segment: F&O since 12th Dec 2012, INE261311634 Segment Currency Derivatives since 12th Dec 2012) Memb. Code 86100, NSDL (SEBI Registration No.: IN-DP-NSDL-314-2009 Segment Depository Participant Memb. Code IN303719 since 24th Apr 2009)

Acquiring RM :____________________

1 V03/M11/Y14

Edelweiss Broking Ltd. & Edelweiss Securities Ltd

Know Your Client (KYC) Application Form

Please fill in ENGLISH and in BLOCK LETTERS with black ink

1. Name of the Applicant (As appearing in supporting identification document).

Name:

Father's/Spouse Name:

PHOTOGRAPH

2. Gender Male F emale B . Marital status S ingle Married C . Date of Birth d / m / y y y y md

3. Nationality Indian

4. Status Resident Individual

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

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

6. roof of Identity submittedSpecify the p

UID (Aadhaar) P assport V oter ID D r iving Licence O t h ers

Form No.______________________

1

Please affix

a recent passport

size photograph and

sign across it

(Sole Holder)

A. Identity Details (please see guidelines in the booklet pg. no. 1 to 4)

1. Address for Correspondence / Residence

City / Town / Village

State

2. Contact Details

Tel. (Off.)

MobileE-Mail Id.

(ISD) (STD

(ISD) (STD

Pin Code

Country

Tel. (Res.)

Fax

(ISD) (STD

(ISD) (STD

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

Driving LicensePassport Ration Card L atest Bank A/c Statement/Passbook Registered Lease/Sale Agreement of Residence Voter Identity Card *

Driving LicensePassport Ration Card L atest Bank A/c Statement/Passbook Registered Lease/Sale Agreement of Residence Voter Identity Card *

Latest Telephone Bill (only Land Line) Latest Electricity Bill Latest Gas Bil l Others * * * (Please specify)

Latest Telephone Bill (only Land Line) Latest Electricity Bill Latest Gas Bil l Others * * * (Please specify)

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

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

4. Permanent Address of Resident Applicant.

City / Town / VillageCountry

Pin Code

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

6. Any other Information

B. Address Details (please see guidelines in the booklet )pg. no. 1 to 4

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

Place: Date:

SIGNATURE OF APPLICANT

For Edelweiss Securities Ltd.

Name & Signature ofAuthorised Signatory

Date

Round Seal/Stamp

For Edelweiss Securities Ltd.

IPV done by Employee/SB/AP

Designation_________________Branch_________________

Signature_________________________________________

Round Seal/Stamp

AMC / Intermediary name or code

(Originals verified)of documents received by Main Intermediary (Attested) True copiesSelf Certified Documents copies received

2

IPV done______on_____/_____/_____

Date:

DECLARATION

FOR OFFICE USE ONLY

State

Please fill in english and in BLOCK letters with black ink

ADDITIONAL KYC FORM FOR OPENING A DEMAT / TRADING ACCOUNT (INDIVIDUAL)

Application Form No. :

DP Internet Reference No.

Client ID

DP ID 1 2 0 3 2 3 0 0

Details To be filled by the Depository Participant

Date D D M M Y Y Y Y

Status Sub - Status

Individual

Individual Resident

Individual Director's Relative

Individual Promoter

Individual Director

Type of Account (Please tick whichever is applicable)

Individual Margin Trading A/C (MANTRA)

Others (specify)____________

I request you to send Electronic Transaction-cum-Holding Statement at theemail ID: ________________________________________________

I would like to share the email ID with the RTA

I would like to receive the Annual Report (Tick the applicable box. If not marked the default option would be in Physical)

I would like to instruct the DP to accept all the pledge instructions in my account without any other further instruction from my end ( If not marked, the default option would be ‘No’)

Account to be opened through Power of Attorney (POA)

I wish to receive dividend / interest directly to my bank account as given below through ECS.(If not marked, the default option would be 'Yes') [ECS is mandatory for locations notified by SEBI from time to time.]

I instruct the DP to receive each and every credit in my account(If not marked, the default option would be 'Yes')

(Automatic Credit)

Account Statement Requirement As per SEBI Regulation Daily

Weekly Fortnightly Monthly

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Physical Electronic Both Physical & Electronic

Yes No

SMS Alert FaciliyRefer to Terms & Conditions on our website

Mobile No. +91__________________________Mandatory, if you are giving Power of Attorney (POA)If POA is not granted & you do not wish to avail of this facility, cancel this option.

Standing Instructions ESL

2 V03/M11/Y14


Transactions Using SecuredTexting Facility

(TRUST). Refer to Terms and

Conditions on our Website

Easi - Electronic Accessto Securities Information

I wish to avail the TRUST facility using the Mobile number registered for SMS AlertFacility. I have read and understood the Terms and Conditions prescribed by CDSLfor the same. I wish to register the following clearing member IDs under my belowmentioned BO ID registered for TRUST

Stock Exchange Name/ID:

Clearing Member Name:

Clearing Member ID (Optional):

To register for Easi, please visit our website www.cdslindia.com Easi allows a BO toview his ISIN balances, transactions and value of the portfolio online

No Yes

No Yes

Client Name :

3 V03/M11/Y14

I do not wish to nominate I do not wish to nominate any one for this demat account

I the sole holder hereby declare that:

I wish to nominate I nominate the following person who is entitled toreceive security balances lying in my account, particulars whereof are given below, in the event of my death.

(For ESL DP account)(For EBL Trading account)Nomination Details

First Name Middle Name Last Name First Name Middle Name Last Name

Date of birth

Name of the nominee

Relationship with Nominee/ BO (If any)

Phone no

PAN No.

UID

Email Id

Address of nominee

Mobile

Fax

City

State

Country

D D M M Y Y Y Y D D M M Y Y Y Y

PIN Code

As the Nominee is a minor as on date, to receive the securities in this account on behalf of the Nominee in the Event of the I appoint following person to act as Guardian. (If nominee is a minor, details of guardian)

death of the sole holder,

Name of Guardian of Nominee Relationship of Guardian

with Nominee

Address of Guardian

Phone no

Fax

PIN Code

Email ID

Mobile

This nominations shall supersede any prior nomination made by me and also any testamentary document executed by me.

Signature of Guardian Signature of Nominee N G

I the sole holder hereby declare that:


Nomination Registration No.________________


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

Yes No If yes, provide details:

Past Actions (EBL)

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

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

Name of stock broker Name of sub-broker, if any

sub-broker’s name : SEBI Registration number :

Client Code

Registered Office Address :

Phone : Fax : Website :

Exchange

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

provide details of all)

Dealings through sub brokers and other stock brokers (EBL)

Gross annual income detailsIncome range per annum (please specify) Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac Rs. 10-25 Lac Rs. > 25 Lacs

as on

Occupation Private Sector Service Public Sector Government Service Business Agriculturist Retired Housewife StudentProfessional Others (Please specify)

Please tick if applicable Politically Exposed Person Related to a Politically Exposed Person None

Net-worth in Rs(Net worth should not be older than 1 year)

OR

(Please tick any one and give brief details)

Other Details (EBL & ESL)

D D M M Y Y Y Y

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

Whether you wish to avail of the facility of Internet Trading/Wireless Technology (please specify) : Yes No

Specify your Email Id, if applicable :

Physical Contract Note Electronic Contract Note

Number of years of Investment / Trading experience :

Any other information :

Additional Details (EBL)

NOMINEEGUARDIAN

(In case of Minor)


Please affixa recent passport

size photograph andsign across it

Please affixa recent passport

size photograph andsign across it

Two witnesses shall attest signature(s) / thumb impression(s)

Name, Address and Signature of Witness ( applicable in case the account holder has made nomination)only

1)

Signature

Name

Address

2)

Signature

Address

Name

2N G

W1

W2

4 V03/M11/Y14


Any other other information

5 V03/M11/Y14

“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”.

NSDL CDSL DP ID Depository Name

Depository Participant Name

Beneficiary Name

Beneficiary ID (BO ID)

Depository Account(s) Details

Exchange Segment Client’s Signature

NSE Cash

NSE F&O

NSE CDS

BSE Cash

BSE F&O

MCX-SX Cash

MCX-SX F&O

MCX-SX CDS

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

Pleas

e sign

here

if yo

u are

choo

sing a

ll the

segm

ents.

3

Trading Preferences (EBL)

Bank Account No.

Account Type Saving Current

Bank Name(through which transactions will be routed)

Branch Address

IFSC Code: MICR No.: NEFT Code:

Pin

Bank Account(s) Details (EBL & ESL)

Address of the Introducer

Name of the Introducer

Status of the Introducer Remisier Authorized Person Existing Client

Other (please specify)

Sub-broker

Signature of the Introducer

Surname Name Middle Name

I

Introducer Signature

Introducer Details - Optional (EBL)

Phone No. of the Introducer


Date:

Place:

D D M M Y Y Y Y4

From:

Client Code:

DP Client Code:

Subject : KYC Document Booklet & Declaration for opening Trading and Depository Account

Edelweiss Broking Limited / Edelweiss Securities LimitedEdelweiss House, Opp. CST Road, Kalina, Mumbai 400 098.

Dear Sir,

Date :

2

6 V03/M11/Y14

1. I am desirous of opening the trading account with Edelweiss Broking Limited and depository account with Edelweiss Securities Limited in the process of executing client registration documents relating to the opening of trading and demat account.

2. I have furnished all the details required in the KYC form as per SEBI/Exchange/DP requirements. I confirm having read/been explained and understood the contents of the KYC documents which are provided to me in separate booklet. The KYC document booklet includes the following:

a) Rights and Obligations of the parties (including additional rights and obligations in case of internet and wireless technology based trading) prescribed by SEBI and Stock exchanges (Pg. No. 05 to 13)

b) Uniform Risk Disclosure Documents (RDD) prescribed by SEBI and Stock exchanges (Pg. No. 14 to 19)

c) Guidance note detailing Do’s and Don’ts for trading in the Stock Exchanges (Pg. No. 20 to 21)

d) Policies and Procedures (under paragraph 8 of SEBI Circular no. MIRSD/SECIR-19/2009 dated December 03, 2009) etc. (Pg. No. 22 to 28)

e) Information on Anti Money Laundering (Pg. No. 29 to 30)

f) Additional Terms & Conditions (Voluntary Document) (Pg. No. 32 to 60)

g) Rights and obligation of Beneficial Owner and Depository participant as prescribed by SEBI and Depositories to clients (Pg. No. 61 to 67)

h) Instruction Checklist for opening both trading and demat account

i) Internet & Wireless Technology based Trading facility provided stock brokers to clients

j) General Information for both trading & demat account

k) KYC Document Booklet and Declaration

3. I understand and agree that any amendment/modifications as required by the exchanges/DP and/or regulators will be applicable to me at all point of time andI understand that these changes will be intimated to me.

4. I understand that the KYC document booklet is in accordance of the exchanges and/or SEBI/DP requirements applicable for opening trading/DP account.

5. The KYC documents cover the additional terms and conditions mentioned at point no. 2 (f) which are voluntary. I hereby give/do not give (Strike off whichever is not applicable) my consent for additional terms and conditions.

6. I understand that as addition controls Edelweiss Broking Limited and Edelweiss Securities Limited have registered the KYC documents related to opening of trading account and depository account, respectively are registered by Edelweiss Broking Limited and Edelweiss Securities Limited with the Sub-Registrar of Assurances, Mumbai bearing registration number BBI1/4615/2014 and BBI2/4617/2014 respectively dated May 30, 2014 and same is available with the registrar for records and reference purpose. This is not mandated by SEBI.

7. I have received the booklet with above mentioned contents.

8. 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 termination and suitable action.

9. I confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet and also the Demat tariff sheet.

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

11. I have received and read the copy of Rights and Obligations document of the Beneficial Owner and Depository Participant and agree to abide by and be bound by the same and by the Bylaws as are in force from time to time. I agree and undertake to intimate you any changes in the details/particulars mentioned by me in this form

(Pg. No. 1 to 4)

(Pg. No. 12 to 13)

(Pg. No. 61)

(Pg. No. 66 to 67)

Client Signature


POWER OF ATTORNEY (VOLUNTARY)

Client Signature

5

7 V03/M11/Y14


This Power of Attorney (PoA) is made on the date and place as mentioned in the Schedule/s hereunder by the persons mentioned in the Schedule I (hereinafter referred to as “Client/s/Principal/s”) in favour of Edelweiss Broking Limited, Company incorporated under the provisions of the Companies Act, 1956 and having its Registered Office at Anagram House, H.L.Commerce College-Stadium Road, Navrangpura, Ahmedabad 380 009 and corporate office at Edelweiss House, Off CST Road, Kalina, Mumbai - 400098. (Hereinafter referred to “EBL” which expression shall unless repugnant to the context thereof mean and include its successors and assigns) acting through each of its Directors or such other persons as may be authorized by EBL in this regard.

Whereas Edelweiss Broking Ltd (EBL), is Member of National Stock Exchange of India Ltd (bearing SEBI Registration Nos. INB231311631 in Cash Segment, INF231311631 in Futures and Options Segment and INE231311631 in Currency Derivative Segment) and Bombay Stock Exchange Ltd. (bearing SEBI Registration Nos. INB011311637 in Cash Segment and INF011311637 in Futures and Options Segment) and MCX Stock Exchange Ltd (bearing SEBI Registration Nos. INB261311634 in Cash Segment, INF261311634 in Futures and Options Segment and INE261311634 in Currency Derivative Segment).

And whereas Edelweiss Securities Ltd (hereinafter referred to “ESL-DP”) is a Depository Participant with Central Depository Services (India) Limited (CDSL) bearing Depository Participant ID - 12032300. The details of Pool and Beneficiary Account/s currently maintained by EBL are given hereto in Schedule II and also to include the Pool and Beneficiary Account/s which EBL may hereinafter open and operate, from time to time.

AND WHEREAS the Client (first named in the Schedule I) wish to avail and/or have availed the services offered by EBL in their respective capacity as a member of the Exchange/s and has entered into or may enter into relationship with one or more member and/or account opening document/client registration kit and other related documents ( hereinafter collectively referred to as “Client Agreement/s”) with EBL for transacting in securities on the Exchange/s in accordance with the provisions of the Client Agreement/s read with the terms and conditions (”Terms”) voluntarily agreed with EBL and for facilitating the proper execution of the transactions contemplated in the said Client Agreement/s and the Terms and for the purpose the client along with other principal/s intends to confer on the EBL the authorities and power specified in this POA.

AND WHEREAS EBL, in capacity as other than Stock Broker/s, also provides certain other permissible services through web site www.edelweiss.in or any other sites specified by EBL from time to time or through any other channels, which interalia include facilitating application for any offer or public issues of shares, securities, stock, bonds, debentures, mutual fund units, units of any collective investment scheme or any other securities or purchase/sale/redemption, investment, tendering shares in open offer, subscription of post office deposits, life insurance policies, general insurance policies, government bonds, bonds issued by government owned or controlled corporations or enterprises, or unlisted securities or other financial instruments (”Investment Products”) and Client intends to avail the said services and for the purpose of facilitating the transactions in the Investment Products on his behalf, the client along with other principal/s confer on EBL, the authorities and powers specified in this POA.

And WHEREAS the Client being the beneficiary/ies of the transactions carried out pursuant to this POA, the Principal/s are desirous of constituting and appointing EBL as their lawfully constituted attorney and confer upon it the Powers hereinafter stated.

1. To operate a depository account with ESL-DP (as per the details given in the Schedule I) and communicated by the Principal/s to EBL to debit the said account to meet all margin/settlement obligations arising out of transactions executed

on the Exchange/s for and on behalf of the Client and/or transfer securities from the Beneficiary Owner account of the Principal/s to such demat accounts as mentioned in Schedule II for the purpose of delivering the same in respect of securities sold by the Client and/or for margin purposes to the Stock Exchanges in relation to any segment, arising out of such transaction executed on Stock Exchanges or any other Stock Exchange duly recognized and regulated under the applicable laws, as the case may be.

2. To make application and/or issue instructions in relation to pledge on the securities/units in the Depository account of the Principal/s with ESL-DP on behalf of the Client for the purpose of meeting settlement/margin requirements in respect of transactions on the Exchanges for and on behalf of the Client.

3. To register this Power of Attorney in the depository system with ESL-DP. 4. To sign and execute the necessary documents, forms, agreements, undertakings,

confirmations, declarations, etc. or any other documents relating to any of the Investment Products including but not limited to for subscription, purchase, sale, redemption or disposal thereof pursuant to the instructions of the client(s).

5. To forward all such applications placed through the website or any other channels of communication, to the online-IPO module of the concerned Exchange or owner/issuer of units of mutual funds, collective investment scheme or other securities or any other Investment Product pursuant to the instructions of the client(s).

6. To confirm, on behalf of Client, having read and understood the contents of the offer documents of various schemes of the mutual funds or any other Investment Products in which EBL may invest on behalf of the Client pursuant to the instructions of the client(s).

7. To operate a depository account with ESL-DP (as per the details given in the Schedule I ) and communicated by the Principal/s to ESL to validate on behalf of the Principal/s any instructions given in written or physical form with respect to the depository account as may be required including, but not limited to dematerialization and/or rematerialization of securities allotted on application by ESL on behalf of the Client and for delivery of securities for the purpose of redemption or repurchase by the issuers.

8. To return to the Client the securities or funds that have been received erroneously or those securities or funds that ESL was not entitled to receive from the Client.

9. To retain all originals of the documents executed by and on behalf of the Principal/s.

The client authorizes EBL to send consolidated summary of Client's scrip-wise buy and sell positions taken with average rates to the client by way of SMS/email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time.

This Power of Attorney may be revoked at any time by the Principal/s by lodging with EBL, a communication in writing duly signed. Provided, however, that the revocation shall not so operate as to preclude or deny execution of transactions as are required for the purpose of fulfilling all obligations (towards settlement, delivery, margin or otherwise), arising out of transactions executed for and on behalf of Clients by EBL on the Stock Exchanges prior to the time of receipt of such revocation by EBL and is exclusive to EBL except to the extent not permissible under the Bye-laws, Rules and Regulations of the Exchanges and Depository and the directions issued thereunder. This document shall be subject to the jurisdiction of the courts in Mumbai.

The details provided in the Schedule I may be altered by the Principal/s and the details provided in Schedule II may be altered by ESL, by giving a due notice of 7 working days to the other party.

8 V03/M11/Y14

Schedule I (Details of Client/Principals)

Name of Client/First Holder

Address of Client

Trading Account No.

Depository Participant Name

DP ID

Demat Account No.

Edelweiss Securities Limited

12032300


Acceptance of Power of Attorney at__________________________

I,______________________________________________________________________________________

_____________________________________________________(Name, Address, Designation) on behalf of Edelweiss Broking

Limited accept appointment as an agent under this power of attorney and undertake the powers conferred hereunder shall be exercised by me and/or by

any other person authorized by Edelweiss Broking Limited honestly, in accordance with the conditions and directions set out above.

In WITNESS WHEREOF, I/We hereunto set and subscribed our respective hands on the day, date and year herein above mentioned

Name

Witness 1


Signature

W1

Place____________________ (Date & Signature of Agent)

Schedule I I

Name of Trading Member DP ID Account Type Account No CM BP ID

Edelweiss Broking Limited IN303719 NSE POOL A/C -NSDL 10246227 565785

Edelweiss Broking Limited IN303719 BSE POOL A/C -NSDL 10246235 655816

Edelweiss Broking Limited IN303719 MCX SX POOL A/C -NSDL 11006906 473445

Edelweiss Broking Limited IN303719 CLIENT MARGIN A/C -NSDL 10177091

Edelweiss Broking Limited IN303719 CLIENT HOLD A/C -NSDL 10312937

Edelweiss Securities Limited 12032300 NSE POOL A/C – CDSL 00158395

Edelweiss Securities Limited 12032300 BSE POOL A/C - CDSL 00158420

Edelweiss Securities Limited 12032300 MCX SX POOL A/C – CDSL 00358456

Edelweiss Securities Limited 12032300 CLIENT MARGIN A/C – CDSL 00182730

Edelweiss Securities Limited 12032300 CLIENT HOLD A/C – CDSL 00159346

Date :

Edelweiss Broking Limited / Edelweiss Securities LimitedEdelweiss House, Opp. CST Road, Kalina, Mumbai 400 098.

Dear Sir,Subject : Voluntary Authorisation letter

Voluntary Authorisation Letter

1. Authorization relating to retain/adjust the shares/securities/ funds and Running Account Maintenance:-

From :

Client Code:

DP Client Code:

To be continued on next page

a. You can maintain my account on a running account basis and adjust any securities and/or amounts receivable from me against any credits standing into my account or from my forthcoming payouts payable by me to Edelweiss Broking Ltd, where I am registered with you as a Client.

b. I request you to keep my securities, margins and/or funds with you to meet my pay in obligations in the succeeding settlements in the same segment as well as other segments of BSE and/or NSE and/or MCX-SX where I am registered with you as a Client.

c. Further it is observed that many times the date on which payment is due to me from you and the date which I am required to make payment to you are very close and therefore exchange of cheques become unnecessary paper work. Hence, I request you to maintain the running account facility with you. I agree that you shall not be required to pay any interest/ charges/ cost in respect of funds or securities so held by you on a running account basis.

d. Further, I hereby give my consent to you to maintain my account on a RUNNING ACCOUNT basis instead of on a daily settlement-to-settlement basis. The securities lying in the pool/ beneficiary's accounts of the Edelweiss Broking Ltd should be considered as margin deposits from me.

e. However my preference for compulsory periodic settlement of funds/securities as follows:

Monthly Quarterly

f. I declare that this authorisation is revocable by me at any time without giving any prior notice of such revocation to Edelweiss Broking Ltd.

g. I agree that in case, I desire to take any pay outs from my trading account, I specifically shall intimate about the same and Edelweiss Broking Ltd shall upon due scrutiny of my account and upon adherence to its policy/procedure, shall release eligible amount to me.

h. I further agree that this authorisation shall have an equal binding effect to the successors, executors and assigns of Edelweiss Broking Limited.

I. I hereby authorise you to transfer/adjust all the additional funds/securities lying in my ledger account after meeting my obligations/dues, to the collateral account to avail exposure or keep all funds/securities in your margin account with you to meet my margin obligations or keep the same with any exchange and/or with clearing member in the form of fixed deposit or any other form to avail exposure/meet margin requirements. I understand that there would not be any interest/commission payable to me in the event of above arrangement. This arrangement would be without any consideration or the fund/securities so moved will not bear any interest/commission payable to me/is in the event of above arrangement..

2. Authorization for receiving ECN's and any documents/communications in electronic form by E-mail from Stock broker and Depository Participant display on Website:-

I am registered as a Client and having the captioned trading account with EBL & Depository account with ESL and hereby authorize EBL & ESL for the following:

a) I authorize EBL to issue me electronic contract notes (ECN’s), bills, trade confirmations, ledgers, daily margin statements, statement of accounts for periodical settlement of funds and securities, any notices, circulars, amendments and such other correspondence or communication related to my trading account (hereinafter referred to as “Documents”) and wherever required duly authenticated by means of a digital signature as specified in the information technology Act, 2000 .

Yes No

9 V03/M11/Y14


Yes No

continued from previous page.

10 V03/M11/Y14

b) I/We understand that the documents received on e-mail/displayed on website are for my/our convenience. I/we will take all the necessary steps to ensure confidentiality and secrecy of the login name & password of the internet/email account.

c) I/We is/are aware that the documents as may be accessed by other entities in case the confidentiality/ secrecy of the login name and password is compromised.

d) I/We shall verify the authenticity of the e-mails which I/we shall receive. EBL shall not be responsible, if I/we do not receive the documents due to incorrect email ID and/or technical reasons.

e) I authorize ESL to issue me bills, ledgers, monthly/quarterly/yearly demat transaction cum holding statements, any notices, circulars, amendments and such other correspondence or communication related to my demat account (hereinafter referred to as “Documents”) and wherever required duly authenticated by means of a digital signature as specified in the information technology Act, 2000 .

f) I understand that wherever the e-mails have not been delivered to me or has been rejected (bouncing of mails) from the e-mail ID of mine, EBL/ESL would send physical document to me. I further hereby agree that EBL/ESL have fulfilled the legal obligation, if the above documents are sent electronically to the above-mentioned e-mail ID. I agree that EBL/ESL will not be responsible for non receipt of documents sent via electronic delivery due to change in email address or for any other reason which inter alia include my email/inbox running out of capacity, malfunction of my computer system/server/internet connection, mails received by frauds/imposters etc. I also agree that EBL/ESL shall not take cognizance of out-of office/ out-of-station auto replies and I shall be deemed to have received such electronic mails.

g) I shall inform EBL & ESL in writing if there is any change in my registered e-mail ID. __________________________

3) Authorisation for debiting various depository charges:-a) I hereby give my consent/authority to debit/recover all types of depository charges viz annual maintenance charges, inter settlement charges, any type of

transaction charges as is levied on me for the transactions carried out in my demat account including any statutory levies, services tax or any other tax/charges/fees in/from my trading ledger having the captioned client code as maintained with EBL. I understand and agree that such depository charges will be debited in my trading ledger maintained with EBL irrespective of the ledger balance on periodically and/or as per the details provided by ESL.

b) I instruct ESL to provide the requisite information periodically and/or on occasion basis of such charges levied on me to EBL with whom I have opened the trading account

c) I understand and consent that EBL shall have the right to recover the depository charges like any other trade dues payable by me from my trading ledger. I hereby further authorize EBL to set off a part or whole of the collateral/ledger balances/securities in my demat account i.e. by way of appropriation of the relevant amount of cash or by way of sell or transfer or liquidation/close out positions of all or some of the securities placed as collateral or lying in my demat account as stated above for the purpose of clearing any outstanding amount related to the aforesaid demat account maintained with ESL. Any and all losses and financial charges on account of such liquidation/close-out shall be borne by me.

4) Sharing of Data & Information:-a) I have opened a trading account with EBL having the captioned client code and demat account with Edelweiss Securities Limited (ESL-DP) having Client ID

_________________and am interested in knowing about various financial products /facilities offered by your associate/group companies. I am aware that associate/group companies are required to obtain information about me and my transactions for providing various financial products/facilities.

b) I authorize you, your group companies and associates to keep me informed with any financial product which Edelweiss, its group companies and associates presently issue, deal in, or distribute or may, from time to time, launch, issue, deal in or distribute through e-mail, SMS, telephone, print media or otherwise as may be allowed .

c) I hereby voluntarily accept and expressly authorize EBL to get the information from ESL-DP or from any other Depository Participant of its group/associate companies with whom I have the Demat account and share/disclose or use in any manner, the information/documents/data about me and our transactions, with group of associates companies which is offering the products / facilities.

• Information provided by me in the Trading and Demat Account Opening Kit.

• My holdings in stocks/securities.

• Ledger balances in my Trading/Demat Account across all Exchanges/Depositories.

• Transaction cum holding statement with ESL-DP

• Any other related information

d) I have no objection to EBL/ESL sharing the above information or any such other information, about me/us with its group/associate companies or affiliates. This is without legal obligation on you, your group companies and associates to so inform and you or they may, in their discretion, discontinue sending such information.

Name :

Place :

6

Yes No

Yes No


Know Your Tariff Plans

11 V03/M11/Y14


* Futures include: Stock Futures, Index Futures as well as Currency Futures, ** On each Leg.

Terms and Conditions:

vBrokerage as mentioned in the first level of the Standard Brokerage Plan would be charged subject to a minimum brokerage of 3 paisa per share in delivery trade and 1 paisa per share on Intraday and Futures Trades

vIn addition to the above mentioned brokerage all statutory/regulatory levies and other charges including but not limited to Securities Transaction Tax, SEBI Turnover Fees, Exchange Transaction Charges, Stamp Duty (as applicable state wise), Service Tax and any other charges which may be levied by Exchange or any regulatory/ government authorities shall be charged separately over and above the brokerage rate as per current applicable rate and if there is any revision in the rates, the same will be applicable. Any change in the statutory levies, if any, shall be reflected in the respective contract note.

vOther charges which will be debited/charged to Client's trading ledger with Stock Broker is as under but not limited to the following and shall be construed as dues payable to the Stockbroker:

a) Securities transferred on account of inter-settlement and/or inter-exchange and/or securities movement in collateral account and/or in Stock Broker's pool and/or beneficiary account on Client behalf, Rs 12/- per transaction will be charged.

b) KRA charges on actual basis, on account of fetching and/or registration from/with KRA authority.

c) Delayed payment charges not exceeding 24% p.a. on the debit balances if any, in client's ledger account and not settled by the client within the stipulated timeframe.

d) Courier charges on actual basis, as applicable towards physical contract notes, if decided to be levied by Stockbroker.

e) Auction charges, penalties levied by Exchange/s or any other regulatory authority for client limit violation/short margin/client code modification or for any other violation/default as the case may be, will be charged on actual basis.

f ) In the event of cheque bounce, Rs 250/- per instance, will be debited.

g) All type of demat charges like annual maintenance charges, transaction charges, etc as debited by Depository Participant/s, Edelweiss Broking Limited (IN303719) and/or Edelweiss Securities Limited (12032300) as per the instructions by Depository Participant/s.

h) Additional services (if any) like mobile trading (STWT), SMS facility, etc availed by clients would be charged separately as decided by the Stockbroker from time to time.

vLevy of any other charges and/or any increase in the other charges other than statutory levies which Stockbroker may decide from time to time will be done with advance notice of 15 days to the client.

I/We have understood and agreed the above terms & conditions related to the charges listed above being charged to me/us, as applicable and agree to abide by the same.

I/We enclose demand draft / pay order/ cheque of Rs. favoring Edelweiss Broking Ltd to avail this brokerage plan.

Bank Name: Cheque No: Cheque Date:

Client Name: Trading Account No:

Date: Place:

Standard Brokerage Plan:

Plan DeliveryDate

Features* andIntraday Cash

Options PremiumRate

Currency FutureRate

Currency OptionsPremium

Silver 0.50% 0.05%** 2.50% or Rs. 100/-per lot

0.03% Rs. 15/- per lot

Client Signature

7

12 V03/M11/Y14


a. Annual Income (Last 3 years from the date of the opening of this account)

c. Please tick mark the additional applicable category to you

Non resident client

High net-worth client (having annual income + networth of more than `1 crore)

Trust, Charities, NGOs and organizations receiving donations,

Company having close family shareholdings or beneficial ownership

Civil Servant or family member or close relative of civil servant

Bureaucrat or family member or close relative of bureaucrat

Current or Former MP or MLA or MLC or their family member or close relative

Politician or their family member or close relative

Current or Former Head of State or of Governments or their family member or close relative

Senior government/judicial/ military officers or their family member or close relative

Senior executives of state-owned corporations or their family member or close relative

Companies offering foreign exchange offerings

None of the above

The information is sought under the Prevention of Money Laundering Act, 2002, the rules Anti Money Laundering

notified there under and SEBI and Exchange Guidelines issued on

Financial status and other details

st1 Year :

nd2 Year :

nd3 Year :

b. Networth Details (as on the date of account opening)

upto 1 lac ` 1 lac to 2 lacs` ` 2 lacs to 5 lacs ` ` 5 lacs to 10 lacs ` `

10 lacs to 25 lacs ` ` ` ` 25 lacs to 50 lacs ` ` 50 lacs to 1 crore 1 crore and above `







I hereby further confirm/undertake that the investments/trading done in securities market are from my own/borrowed sources of funds and I confirm that the funds utilized for trading activity by me is in compliance with the rules, regulations and guidelines stipulated under PMLA.

13 V03/M11/Y14


ACCOUNT OPENING FORM SUPPLIMENT - FATCA (Individuals)

Edelweiss Broking Limited

PLEASE FURNISH THE BELOW INFORMATION ALONG WITH SUPPORTING DOCUMENTS.

Edelweiss House, Off C.S.T Road, Kalina, Mumbai - 400 098

Please complete in BLOCK LETTERS

Name

Country of Residence

Country of Birth

Please check (ü) Yes or No to each of the following questions

1. Are you a U. S. Resident? Yes No

2. Are you a U.S. Citizen? Yes No

3. Do you hold a U.S. Permanent Resident Card (Green Card Holder)? Yes No

4. If answer to any of the questions from 1 to 3 is Yes then please provide your Tax Identification Number which is your Yes NoSocial Security Number in Form W9

I hereby confirm that the information provided above is true, accurate and complete.

Subject to applicable laws I hereby consent for EDELWEISS or any of it's affiliates (including branches) (collectively EDELWEISS) to share my information with domestic or overseas regulators or tax authorities where necessary to establish my tax liability in any jurisdiction.

Where required by the domestic or overseas regulators or tax authorities, I consent and agree that EDELWEISS may withhold from my account(s) such amounts as may be required according to applicable laws, regulations and directives.

I undertake to notify EDELWEISS within 30 Calendar Days if there is a change in any information which I have provided to EDELWEISS.

Date: M M D D Y Y Y Y

Client Signature

8

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(Reference to SEBI circular Ref. No. CIR/MIRSD/15/2011 dated August 02, 2011)REQUEST FOR SMS AND E-MAIL SLERTS FROM STOCK EXCHANGE/S & STOCK BROKERS

To,

Edelweiss Broking Ltd.Edelweiss House, Off C.S.T. Road, Kalina, Mumbai 400098.

Dear Sir,

Sub: SMS and E-mail alerts from Stock Exchange/s & Stock Brokers for my Trading Account No.__________with you.

I/We request you to activate the facility of SMS and Email alerts from Stock Exchanges/Stock Brokers for transactions in the above mentioned trading account.

YES I/ We wish to receive alerts by SMS/EMAIL

By SMS By EMAIL By SMS & EMAIL*

* If opted for both SMS and Email facility, it is mandatory to give both the Mobile number and Email ID.

If you wish to receive alerts by SMS/E-mail, the following options are available (Tick any one and give the details accordingly)

A) I/We wish to receive alerts from the Stock Exchanges/Stock Brokers. Kindly note that if the mobile no/email ID mentioned here is different from the one provided in my KYC, then this mobile no/Email ID shall prevail and I/We give my consent to details being send to this mobile number/email ID. Kindly update your records accordingly.

- My Mobile no. is registered in the name of

- My Email Id is(Please write only ONE valid email ID on which communication, if any, is to be sent)

B) I/We desire to give mobile number/email id of family member. I/We give my consent to make available my/our trade information to my Family Member and the mobile number/email Id of my family member is as under. ('Family' would mean self, spouse, dependent children and dependent parents. Provided such Family Member is also a client of the said broker)

Name of FamilyMember

Relationshopwith client

Type of service(SMS/Email/Both

SMS & Amail)*Mobile No. of

Family MemberEmail ID of

Family MemberClient Code

To be continued on next page15 V03/M11/Y14


Know Your Tariff Plans - DEPOSITORY CHARGES - SCHEDULE. ‘A’

EDELWEISS SECURITIES LIMITED (ESL) DP ID – 32300

16 V03/M11/Y14


ØEdelweiss Securities Ltd reserves its right to revise its Charges/Billing structure at its absolute discretion, by giving one month's notice to clients.

ØCheques /Pay orders/ D.D., should be drawn in favor of Edelweiss Securities Ltd. All the other charges will be collected over-the-counter and receipts of the same should be collected immediately.

ØStatement of Transaction will be sent to you by courier/post/electronically as per guidelines issued by CDSL / SEBI from time to time.

ØService Tax will be applicable on the above charges and is subject to change.

ØPlease note that, in terms of SEBI Circular No. CIR/MRD/DP/20/2010 dated July 1, 2010, in the event of closing of your demat account or shifting of the demat account from us to another DP we shall refund you the Account Maintenance Charges for the unrealized quarter/balance of quarters.

Øcharged on pro-rata basis. Type of accounts under this category will be – Body Corporate / FI / FII / Mutual Fund / Trust / Bank / QFI. Inclusion or exclusion in these client types will be subject to change as per guidelines received from CDSL.

ØFor the failed transactions credit to the extent of Rs.8/- per failed instruction will be given.

ØLate transaction fees will be charged additional, Rs. 17.5/- per instruction + Incidental charge -tele/fax/etc.

ØIncidental charges - tele / fax / courier / etc., if any, will be charged at actual for Demat Rejection.

ØPeriodic Transaction / Holding Statements will be sent on Correspondence address. While any Non-periodic Statements asked for, will be charged Rs. 5/- per page.

ØThe Client authorizes Edelweiss Securities Ltd. (ESL), to recover the DP charges on various transactions from time to time from the regular shares dealing /deposit account / any other account with Edelweiss Securities Ltd. (ESL) and/or Edelweiss Broking Ltd and/or Edelweiss Broking Ltd.

Terms and Conditions for receiving the Statement for Demat Account by E-mail and/or on Website

ØI understand that the documents received on e-mail/displayed on website are for my convenience. I will take all the necessary steps to ensure confidentiality and secrecy of the login name & password of the internet/email account.

ØI am aware that the documents as may be accessed by other entities in case the confidentiality/ secrecy of the login name and password is compromised.

ØI shall inform ESL in writing if there is any change in my registered e-mail ID.

ØEither Party i.e. ESL and I shall have the right to terminate such service, provided a written notice is given in advance to the other party.

ØESL shall not be responsible, if I do not receive the statement due to incorrect e-mail ID and/or technical reasons, however in case ESL receives bounced emails, ESL will ensure that the transaction statements is provided to me in paper form.

I have read the terms and conditions and accept the schedule of charges ticked above.

I wish to apply for website/e-mail statement for the depository account.

Additional Annual Maintenance charge of Rs. 500 will be charged for all types of corporate accounts as per CDSL guidelines. This will be

Terms & Conditions:

Client Signature

9

EBL Registered Address: Anagram House, H.L. Commerce College, Stadium Road, Navrangpura, Ahmedabad 380 009. Tel - 079-65141246Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai - 400 098.

ESL Registered Address: 2nd Floor, MB Towers, Plot No. 5, Road No. 2, Banjara Hills, Hyderabad - 500 034 . Correspondence Address: Edelweiss House, Off C.S.T Road, Kalina, Mumbai - 400098.

Website : www.edelweiss.in