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Securities & Finance Limited

National Stock Exchange of India Limited Member code: 06764
SEBI Regn. No.: INZ000169235
Bombay Stock Exchange Limited Member code : 291
SEBI Regn. No.: INZ000169235
Metropolitan Stock Exchange of India Ltd. Member code : 1005
SEBI Regn. No.: INZ000169235
MCX Member Code: 56910
SEBI Regn. No. : INZ000169235
NCDEXMember Code : 01290
SEBI Regn. No. : INZ000169235
Registered & Correspondence office address :
Kalpataru Inspire, Unit1, 8th Floor, Opp. Grand Hyatt Hotel, Santacruz (East), Mumbai - 400 055
India. Tel. : (+91-22) 66771777 / 33222777 / Fax : (+91-22) 66771775 Web Site : www.sunidhi.com
Compliance officer Name : Mahesh Desai : Tel. : (+91-22) 66771777 / 33222777 / Fax : (+91-22) 66771775
Email : maheshdesai@sunidhi.com
For any grievance/dispute please contact stock broker Sunidhi Securities & Finance Limited at the above address or
Email Id : complaints.redressal@sunidhi.com and Tel. : 91-(+91-22) 66771777 / 33222777 / Fax : (+91-22) 66771775
In case not satisfied with the response, please contact the concerned exchange(s) at
NSE : Email Id : ignse@nse.co.in Tel : 022-26598190
BSE : Email Id : is@bseindia.com Tel : 022-22728097
MSEI : Email Id : investorcomplaints@mcx-sx.com Tel : 022-67318933 / 67319000
CDSL : Email Id : complaints@cdslindia.com Tel : 022-22728658
MCX : Email ID : grievance@mcxindia.com Tel no. : 022–66494070 Ext. 9028
NCDEX : Email Id : ig@ncdex.com Tel no. : 022–66406084 Ext. 9028

NON-INDIVIDUAL CLIENT REGISTRATION FORM

Mr. / Ms. / M/s.

PAN NUMBER


E-mail :


TERMINAL CODE


CIN NUMBER


Registration Date


Branch Group


INDEX


S. No. Name of the Document Brief Significance of the Document Page No
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
1 Account Opening Form A. KYC form-Document captures the basic information about the constituent and an instruction/check list.
B. Document captures the additional information about the constituent relevant to trading account and an instruction/ check list.
A-1
2 Rights and Obligations 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). B-1
3 Risk Disclosure Document
(RDD)
Document detailing risks associated with dealing in the securities market. B-6
4 Guidance note Document detailing do's and don'ts for trading on exchange, for the education of the investors. B-10
5 Policies and Procedures This document contains policies and procedures to be followed by the Broker relating to the various operational issues of day to day business activities. The clients are requested to go through it carefully and keep it in mind while dealing through us. Any changes in this document shall be intimated to the client through the periodic communications. The clients may any time request for the updated copies of this document or refer to it at website. B-14
6 Tariff sheet for Trading / Tariff sheet for Depository Services Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s)/ charges for Depository Services . B-15
B-16
7 Additional KYC Form for Opening a Demat Account Demat Account Application Form A-8
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
8 Declaration of Client Letter of Acceptance of having received and understood the Mandatory Document A-11
9 Authorization letter of Running Account by Client For the operational convenience, if a client is dealing frequently and Running Account wishes to avoid exchange of funds and securities for every exchange/segment separately and on a daily/due date basis, this document may be signed by the client authoring broker to keep the account as running account across all exchange/segment. A-12
10 Letter Authority Letter of General Authority for ease of Accounting Operations A-13
11 Writeup on PMLA (For Information Only) Brief Writeup on the provisions of prevention of money laundering Act 2002 (PMLA) which client needs to know. B-12
12 Instruction / Check List Instructions for filling KYC form B-16
13 Authority to Send Digitally Signed Documents Provision for online information A-14
14 Disclosure of proprietary/ Authority For Collection of Documents Disclosure to the Client / Authority For Collection of Documents A-14
15 Payment of DP Charges Declaration to adjust DP charges against credit A-10
16 Option Form For Issue Of DIS Booklet Option Form For Issue Of DIS Booklet A-17

 


(All the Dates without Calender should be entered without Delimiters)

Know Your Client (KYC) Application Form (For Non-Individuals Only)  Application No. :

A.Please fill in ENGLISH and in BLOCK LETTERS

A.Identity Details (please see guidelines overleaf)
















B. Address Details (please see guidelines overleaf)

1. Address for Correspondence






2. Contact Details







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


Latest Telephone Bill (only Land Line)
*Latest Electricity Bill
**Latest Bank Account Statement
Registered Lease / Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf)
(Please specify)

4. Registered Address (If different from above)







C. Other Details (please see guidelines overleaf)



(Please use the Annexure to fill in the details)
______________________

DECLARATION

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.


NAME & SIGNATURE(S)OF AUTHORISED I/We PERSON(S)


FOR OFFICE USE ONLY

AMC/Intermediary name OR code
(Originals Verified) Self Certified Document copiese creived
(Attested) True copies of documents received

Seal/Stamp of the intermediary should contain Staff Name Designation Name of the Organization Signature Date

A-1



Details of promoters/Partners/Karta/Trustees and whole time directors forming a part of Know Your Client(KYC) application Form for Non-Individuals


Sr. No. PAN Name DIN(For Directors)/ UID(For Others) Residential/Registered Address Relationship with Applicant(i.e. Promoters, Whole Time Directors etc. ) *Whether Politically Exposed(Tick the applicable) Photograph
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO
PEP
RPEP
NO

PEP:Politically Exposed Person RPEP:Related to Politically Exposed Person

A-2



TRADING ACCOUNT RELATED DETAILS
BANK ACCOUNT(S) DETAILS
Bank Name
Branch Address & Tel. No.
Bank Account No.
Account Type  Saving  Current  Other in Case of NRI/NRE/NRO
MICR Number
IFSC Code

DEPOSITORY ACCOUNT(S) DETAILS
Particulars (1) (2) (3)
DP Name
DP Address
DP ID
Client ID
2nd holder’s Name
3rd holder’s Name
Default A/c (Any One) Yes No Yes No Yes No
TRADING PREFERENCES
*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
Exchanges Segment
Cash Derivatives Currency Derivatives
1. BSE
2.NSE
3. MCX-SX

# 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

Signature :

PAST ACTIONS

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:

A-3



DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

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

Name BSE SEBI Reg. No.
Regd. Off. Address NSE SEBI Reg. No
Signature
MCX-SX SEBI Reg. No.
Tel. No. Remisier/AP______
Fax No. Remisier/AP______
Website Remisier/AP______




ADDITIONAL DETAILS

Yes No
Yes No
INTRODUCER DETAILS
Name of the Introducer
(Surname) (Name) (Middle Name)
Status of the Introducer  Sub-broker  Remisier  Authorized Person  Existing Client  Others (please specify)
Introducer Address
Phone
Signature of the Introducer
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
Nominee Address
Phone:

If Nominee is a minor, details of Guardian:

Name of Guardian
Guardian Address
Phone

A-4



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

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.



Name Signature
Place
FOR OFFICE USE ONLY
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 nonmandatory 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 nonmandatory documents would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' andRDDwould be made available on my/our website, if any, for the information of the clients.

A-5



DEMAT ACCOUNT RELATED DETAILS

For Non-Individuals

DEPOSITORY PARTICIPANT NAME / ADDRESS / DP ID

(To be filled by the Depository Participant)

2014-

(To be filled by the applicant in BLOCK LETTERS in English)

I/We request you to open a demat account in my/our name as per following details :-

Holders Details

Sole/First Holder’s Name Search name PAN
Second Holder’s Name PAN UID
Third Holder’s Name PAN UID


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.

Type of Account (Please tick whichever is applicable)

Status Sub-Status
 Body Corporate  Banks  Trust  Mutual Fund  OCB  FII  CM  FI  Cleaning House  Other(Specify) To be filled by the DP
SEBI Registration No. (If Applicable) SEBI Registration Date  
RBI registration No. (If Applicable) RBI Approval Date 
Nationality Indian Others (specify)___-
Yes No
Yes No
Account Statement Requirement  As per SEBI Regulation  Daily  Weekly  Fortnightly  Monthly
I / we request you to send Electronic Transaction-cum-Holding statement at the email ID Yes No
I / We would like to share the email ID with the RTA Yes No
I / We would like to receive the Annual Report
(Tick the application box, If not marked the default option would be Physical
 Physical  Electronic   Both Physical and Electronic

A-6



Clearing Member Details (To be filled by CMs only)

Name of Stock Exchange
Name of CC / CH
Clearing Member ID
Trading member ID
I / We wish to receive dividend / interest directly in to my bank account 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 ] Yes No

BANK DETAILS (Dividend Bank Details)

Bank Code (9 digit MICR code)
IFS Code (11 Character)
Account Number
Account Type  Saving  Current  Other in Case of NRI/NRE/NRO
Bank Name
Branch Name
Bank Branch Address
City
State
Country
PIN Code

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)

(ii) Photocopy of the Bank Statement having name and address of the BO

(iii) Photocopy of the passbook having name and address of the BO, (or)

(iv) Letter from the Bank

* In case of option (ii), (iii) and (iv) above, MICR code of the branch should be present /
mentioned on the document.

Other Details
Gross Annual Income Details  Up to Rs. 1,00,000  Rs. 1,00,000 to Rs. 5,00,000  Rs. 5,00,000 to Rs. 10,00,000  Rs. 10,00,000 to Rs. 25,00,000  Rs. 25,00,000 to Rs. 1,00,00,000   More than Rs. 1,00,00,000
Net worth as on(Date)Rs.
(Net Worth should not be older than 1 year)
Please tick If any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Director is either Politically Exposed Person (PEP) or Related to Politically Exposed Person (RPEP) Please Provide details as per annexure 2.2 A
Any other Information :

A-7



SMS Alert Facility Refer to Terms & Conditions given as Annexure- 2.4 MOBILE NO. + 91
[(Mandatory, if you are giving Power of Attorney (POA)] (If POA is not granted & you do not wish to avail of the facility, cancel this option).
Transaction Using Secured Texting Facility (TRUST) Refer to terms and Conditions Annexure - 2.6 I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility, I have read and understood the Terms and Conditions prescribed by CDSL for the same

I / We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST
Stock Exchanges Name ID Clearing Member Name Clearning Member ID Optional
Easi To register for easi, please visit our website www.cdslindia.com Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

I / We have ‘‘received and read the document of Rights and obligation of BO-OP’’ (DP-CM agreement for BSE clearing member Accounts) including the schedules thereto and the terms & conditions 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 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)

Sole / First Authorised Signatory Second Authorised Signatory Third Authorised Signatory
Name
Designation
Signature

(In Case of more authorised signatories, please add annexure)

(Signatures should be preferably in black ink)

--------------------------------(Please Tear Here)---------------------------------------

Acknowledgement Receipt



Name of the sole / First Holder
Name of Second Holder
Name of Third Holder

Depository Participant Seal and Signature



A-8



Payment of DP charges - only DP

NON-MANDATORY

From
Date

To,
M/s. Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

Dear Sir,

Sub : Payment of DP charges

Ref. : My / Our BO ID No. 1 2 0 2 3 5 0 0
1st Holder
2nd Holder
3rd Holder

Have demat account with your company. I / We are also your client (s) in Cash / Derivatives segments of your company.
My / our Client id is
I / We hereby instruct you to adjust my / our DP charges against credit in my / our account in Cash Segment or Derivatives Segments of your company towards recovery of DP chages.
These standing instructions are valid from the date the demat account is opened at your end to the day of closure of demat account.

Thanking You,

Yours Faithfully,


Signature 1st Holder
2nd Holder
3rd Holder

Rubber Stamp (If applicable)



A-9



DECLARATION

NON-MANDATORY

Date:

To,
Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

Dear Sir,

I /We hereby state and declare that I have received, read and understood the below mentioned documents to my satisfaction and understood the voluntary clauses mutually agreed between us.
1. I / We have received and read the 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).

2. I / We have received and read the Document detailing risks associated with dealing in the securities market in the Risk Disclosure document.

3. I / We have received and read the Guidance note detailing do's and don'ts for trading on exchange, for the education of the investors.

4. I / We have received and read the Document describing significant policies and procedures of the stock broker and also the tariff structure.

5. I / We have received and read the Document describing Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories for the purpose of opening a Demat account.

I have got a clear idea about all brokerage, commissions, fees and other charges levied by the Sunidhi Securities & Finance Ltd for trading and Depository account as per the relevant provisions/ guidelines specified by SEBI/Stock exchanges.
I hereby acknowledge the same.





A-10



AUTHORIZED LETTER OF RUNNING ACCOUNT BY CLIENT

NON-MANDATORY

To,

Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

Dear Sirs,
Re: Letter of Authority for maintaining a Running Account for me/us in the Cash, F&O, Currency Derivative segments for NSE / BSE & MCX-SX
I / We have been regularly trading and investing, or plan to do so, through you on either/all of the Exchanges i.e. BSE, NSE and MCX-SX. To facilitate and ease of the accounting operations I / we expressly authorize you as under:

Authority :
1. To maintain a running account for all my / our trades through all the Exchanges, instead of a settlement to settlement clearance of dues and/or delivery of securities to me/ us. I agree that no interest shall be payable by you on the credit balances that may arise from time to time in my/our account.

2. To retain any/all the deliveries of shares purchased by me/ us and /or the credit amounts due to me/ us, beyond the pay – out date and the time interval specified by the relevant authorities, so as to use the same towards margin deposit, inter settlement adjustment of my/our present and future obligations and also retain the funds expected to be required to meet my/our margin obligations for next 5 trading days, calculated in the manner specified by the Exchanges and or inter-Exchange adjustment of my/our obligations or up to such time that I/ we ask you to transfer / release the same to my / our account.

3. To maintain a running account through any/all Exchange(s) towards my/ our margin obligations and / or settlement obligations including those in Futures & options segment of NSE / BSE & MCX-SX.

4. To retain/hold any/all of our funds available with you on our account, till such time that I /we request you to release the same within one working day.
5. To automatically adjust/appropriate any/all my/our deliveries of securities on inter- settlement basis on my/our instructions, either oral or written for all the instances where any/all securities purchased by me/us, are still lying with you on our account. I / we agree that such inter settlement adjustment may be in the same Stock Exchange or across the Exchanges.

Declaration/ undertaking:

1. I / we also state that any dispute if arising from the statement of account or statement of securities or settlement so made as hereinabove shall be brought to your notice preferably within 7 working days from the date of receipt of funds / securities or statement, as the case may be.( the statement of funds, ie ledger and statement of securities should display all receipts and deliveries of funds and securities)

2. I/We undertake to reconcile our accounts, both financial and securities with you and carry out the actual settlement of funds & securities at least once Monthly/Every financial quarter.

3. I / we state that I / we may revoke the above authorization with written notice at any time to you. However, I /we state and confirm that the aforesaid authorization shall be subject to renewal at least once a year and shall subsist for that year in which it has been renewed.

Thanking you,
Yours truly,

Client Name


Note : To be signed by client and not by POA

A-11



Letter of Authority by Client

NON-MANDATORY

To,

Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

Dear Sirs,
Re:Letter of General Authority for ease of Accounting Operations for me/us in the Cash, F&O, Currency Derivative segments for NSE/BSE & MCX-SX
I/We will be regularly trading and investing, or plan to do so, through you on either / all of the Exchanges i.e. BSE, NSE and MCX-SX. To facilitate and ease the accounting operations I / We expressly authorize you as under.

Authority :
To accept any/all of my / our orders for purchase / sale of shares & securities which shall be given on telephone, short messaging service, any electronic mode or orally during my/our visit to your office (s).
To Avoid unnecessary and cumbersome paper work, I / We authorize you not to provide me/us any order modification / cancellation slips. Also I / We authorize you not to provide me / us any order confirmation / and/or trade confirmation slips as the required details are available from contracts issued by you.
To undertake any inter-account transfers of balances available between various segments of SEBI registered Exchanges, which are BSE / NSE / MCX - SX / Capital Market segment and BSE / NSE / MCX - SX / Derivatives segment and BSE / NSE / MCX - SX / Currency Segment.
To deposit / pledge the securities given as collateral with the Exchange/Clearing Corporation / Clearing House towards margin.

Declaration / undertaking :
I / We declare that all trades entered by me/us with you on BSE / NSE / MCX-SX are for my / our personal / family account. I / We confirm that I / We do not act on behalf of any other constituent and all trades executed under my client code belong to me / us and that we do not issue any contracts / trade confirmations to any one.

Trading of all Exchange is in Electronic Mode, based on VSAT, leased line, ISDN, Modern and VPN, combination of technologies and computer systems to place and route orders. We understand that there exists a possiblity of communication failure or system problems or slow or delayed response from system or trading halt, of any such other problem / glitch whereby not being able to establish access to the trading system / network, which may be beyond your control and may result in delay in processing or note processing buy or sell Orders either in part in full. I / We agree I / We shall be fully liable and responsible for any such problems / fault.

I / We undertake to abide by all the requisite Statutory Provisions and shall not violate or contravene any of the provisions of the Securities and Exchange Board of India, Act and the various Rules and Regulations framed there under. Similarly, I / We undertake to abide by all the requisite Statutory Provisions and shall not violate or contravene any of the provisions of the Exchanges, their Rules, Bye laws and Regulations and any other Statutory Act that may be in force.

Thanking you,
Yours truly,

Client Name



Note : To be signed by client and not by POA

A-12



Authority to Send Digitally Signed Documents

NON-MANDATORY

Date:



To,
Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

Dear Sirs,
1. I/We agree to receive contract Notes/bills/ledger accounts/Qty Statements/Margin Statement etc for my / our transactions in any form (physical or Electronic) as deemed fit by you. I/We confirm that once you send the said documents at my / our email ID. You may treat the same as received by me/us. Non-receipt of bounced mail notification shall amount to delivery of contract note at the our email-id. Incase of any query. I/We shall intimate you within 24 hours thereof at your designated email ID : support@sunidhi.com


E-mail ID : 1
E-mail ID : 2

2. Incase of any change in my / our email ID, I/We undertake to intimate the same to you in writing.
3. The Member will arrange to pay stamp duty on contract notes on a consolidated basis at the end of month.
4. We understand that these digital contract notes are valid legal contracts as per stock exchange / SEBI rules and recognized under Income Tax act as well as other acts in India.







Disclosure

Proprietary Trading

The member discloses herewith that it undertakes Proprietary trading, Arbitrage as well as investment in addition to client based trading.

Signed for any on behalf of

Name Sunidhi Securities & Finance Ltd
Authorised Signatory

Signed for and on behalf of Client

Name
Authorised Signatory

Authority For Collection of Documents

To,
Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

In reference to my/our dealings with you as your client, I/We hereby authorize the following persons to collect and acknowledge various documents such as contracts, bills, ledger statements, cheques or any other documents on my / our behalf and the same will be binding on me/us :

Sr. No. Name Full Signature Initials
Thanking you,



A-13



TARIFF SHEET

MANDATORY

CASH SEGMENT

Brokerage Slab Rate % Minimum Paise
Delivery Based One Side / Both Sides
Intraday Trading

F & COMMODITY SEGMENT

Brokerage Futures % Options % Rs. Per Lot One side/Both Sides
Delivery Square up

F & O SEGMENT

Brokerage Futures % Options % Rs. Per Lot One side/Both Sides
Delivery Square up
Settlement Square up

CURRENCY SEGMENT

Brokerage Futures % Rs. Per Lot Rs. Per Lot One Side / Both Sides
Delivery Square up

SHARING RATIO

Remisier - I Remisier - II
Segment Delivery Trading Delivery Jobbing
Cash
Base
Remisier - I Remisier - II
Segment Futures Options Futures Optional
F & O
Base
Remisier - I Remisier - II
Segment Futures Futures
Currency
Base
CTCL Mapin ID>

A-14



Annexure-A

Tariff For Depository Service(Please select one of the schemes)

Services Basic Service Demat Account(BSDA)(Rs.) Normal Demat Account
Annual Maintainance Charge 1)Nill For Holding Below Rs. 50,000/-
2) Rs.100/- For Holding Between Rs.50,000-Rs. 2,00,000/-
Scheme A Scheme B Scheme For NRI Special***
Rs.300/- Rs.1000/- Rs.300/-
Instruction(Debit)
(DElivery Transaction)
RS. 65/- 0.03%(Min Rs. 8/-) 0.02%(Min Rs. 8/- & max Rs. 100/-) 0.05%(Min Rs. 20/- )
Pledge RS. 50/- RS. 50/- RS. 50/- RS. 50/-
Dematerialisation Rs.5/- per certificate & Rs.50/- Postal charges per demat request
Rematerialisation Rs.25/- per certificate

I have observed and understood the Dipository Tariff structure for Basic Service Demat Account(BSDA) and Normal Demat Account. Hence I undertake
as follows:




Client Signature:



Statements:
1. Client holding statement will be provided on quarterly basis,if client has not done any transaction during that quarter.
2.Charges/services standards are subject to revision as per CDSL and SEBI guidline and will be informed by circulars sent by ordinary post or E-mail
3.Value of transaction will be accordance with the rates provided by CDSL
4.Financial year i.e. April 1 to May 31 will be considered for Annual Maintainance Charges.Transaction Charges will payble monthly. Charges quoted are for services listed.Any service not quoted will be charged seperately.
5. All instruction for transfer must be received at the designated office(s) of DP at least 24 hours before the execution date or the pay-in deadline.Any instruction receive bayond the specified time limit would be executed on best effort basis and DP won't be responsible for any kind of failure or non-execution of those trades.
6. Non-payment of bills within time limit will attract penal interest of 18% per annum of the bill is not paid after 1month of due date the DP account will be suspended till the bill is paid.
7. In case of Corporate Account CDSL annual maintainance charge of Rs. 500(pro-rata) will be charged.


First/Sole Holder

Second Holder

Third Holder

For Office Use Only

Tick whichever applicable

Categories High Low Medium Special

A-15                   



Annexure 2.5

OPTION FORM FOR ISSUE OF DIS BOOKLET

Date:


DP ID: Client ID:
First Holder Name
Second Holder Name
Third Holder Name

Sunidhi Securities & Finance Ltd.
Kalpataru Inspire, Unit1, 8th Floor,
Opp. Grand Hyatt Hotel,
Santacruz (East),
Mumbai - 400 055

I / We hereby state that: [Select one of the options given below]
OPTION 1:
I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though I / we have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager.

First Holder Name Second Holder Name Third Holder Name
Name
Signature

OR


OPTION 2: I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA / executed PMS agreement in favour of / with (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later date.



Yours faithfully,
First Holder Name Second Holder Name Third Holder Name
Name
Signature

(Please Tear Here)


Acknowledgement Receipt

Received OPTION FORM FOR ISSUE / NON ISSUE OF DIS BOOKLET from :

DP ID: Client ID:
First Holder Name
Second Holder Name
Third Holder Name

Depository Participant Seal and Signature

OPTION FORM FOR ISSUE OF DIS BOOKLET

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