Sl. No.:.............................

CLIENT NAME :

CLIENT CODE

ACCOUNT OPENING FORM

NON - INDIVIDUALS

7.0

IMPORTANT INSTRUCTIONS

1. Kindly affix passport size photograph of any one of the Authorized

1. iii Signatory and sign across the photograph.

2. Please put your signature in 23 places, which are numbered for your

convenience including signature across the photograph.

3. Attach Xerox copy of ID proof (Signed)

4. Attach Xerox copy of Address Proof (Signed)

5. Attach Proof of Bank Account / Cancelled cheque leaf with IFSC Code.

6. Attach Xerox copy of PAN card (Signed)

7. Attach copy of latest Annual Report.

8. Proof of Date of Incorporation.ii

9. Copy of Memorandum & Articles of Association.iiii

10. Board Resolution / Authority Letter. ii

11. Please Fill all the details in the Annexure A . Ii & Annexure B

12. Kindly comply with all the instructions given above, otherwise the

Application will be rejected.

1 . For Activation of Account Opening, Please send mail confirmation to 3 i

“ forms@ftconline.in “ from your mail ID.

(1) 7.0

4

5

6

Do’s and Don’ts for the Investors

Policies and Procedures

Tariff sheet

Annexure - 4

Annexure - 5

10

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1

2

KYC (Account Opening Form)

application form

Rights and Obligations of Members, Authorized

Persons and Clients

INDEX

SET OF ACCOUNT OPENING DOCUMENT

Name of the DocumentS. No. Brief Significance of the Document Page No

3 - 5

6 - 9

Annexure - 2

10

Uniform Risk Disclosure Document (RDD)

VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER

Maintenance of Running account -Letter of Authority

Required for maintaining clients account for smooth running and for other authorisation.

8

7

9

ECN Declaration

Voluntary Additional Tariff Sheet

Mobile Declaration & Acknowledgement

12

11

13

14

3Annexure - 3

A. KYC form - Document captures the basic information about the

B. Document captures the additional information about the Constituent Constituent and an instruction/check list.

Relevant to trading account and an instruction/check list.

Electronic Contract Note Declaration for receiving contract notes

Others charges levied on the client for the services opted by them, if any, in trading on the commodity exchanges(s)

Client’s consent letter for receiving SMS and other details from

by mail.

Member. Acknowledgement for receipt of documents executed.

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

Document detailing risks associated with dealing in the commodities market.

Document detailing do's and don'ts for trading on exchange, for

Document describing significant policies and procedures of the Commodity broker.

the education of the investors.

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

For any grievance / disputes please contact FORTUNE TRADING CORPORATION at the above address/ Email/Phone.In case not satisfied with the response, please contact the concerned exchanges.

Multi Commodity Exchange of India Ltd. (MCX) Indian Commodity Exchange Ltd. (ICEX)Ph : (022) 6731 8888 Fax : (022) 6649 4151 Ph : (022) 40381546E-mail : grievance@mcxindia.com E-mail : @icexindia.com grievance

Website : www.icexindia.com Website : www.mcxindia.com

FORTUNE TRADING CORPORATIONMember : MULTI COMMODITY EXCHANGE OF INDIA LTD (MCX) & INDIAN COMMODITY EXCHANGE LIMITED (ICEX)

MCX Member ID No. 16765 ICEX Member ID No.2010 SEBI Registration No. INZ000082723

Compliance officer : K. Narayana Moorthy, Phone No : 044- 4560 9696 E-mail id : ftc@ftconline.in

Regd. Office : “Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058. Phone : 044 - 4560 9696 Email : ftc@ftconline.in Web : www.ftconline.in

12

13

Acceptance Letter

Trade Alerts

Letter accepting the Rules & Regulation of FORTUNE TRADING

Consent form for receiving trade alerts through

CORPORATION & Client Declaration

SMS and/or E-Mail

15

16

Annexures 2, 3, 4 & 5 are available in the link http://ftconline.in/download/Annexures 2345.pdf

14 Self declaration - FATCA and CRS Self declaration form for Foreign Account Tax Compliance Act (FATCA) and CRS

17-24

KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON INDIVIDUALS NEW CHANGE REQUEST (Please tick the appropriate)

ANNEXURE - 1 PART - I

A. IDENTITY DETAILS

Please fill this form in ENGLISH and in BLOCK LETTERS(Please tick thex on left margin of appropriate row where CHANGE / CORRECTION is required and provide the details in the corresponding row.

1. Name of the Applicant : ____________________________________________________________________________________________________

a Date of Incorporation : ________________________ (dd/mm/yyyy) of Incorporation : _______________________________________ 2 . 2b. Place

3. Date of Commencement of business: ____________________ (dd/mm/yyyy)

4a. PAN : _____________________________________

4b. Registration No. (E.g. CIN) : _____________________________________________

5. Status (Please tick the appropriate ) :

B. ADDRESS DETAILS 1. : __________________________________________________________________________________ ________Address for correspondence _____

________________________________________________________________________________________________________________________

City/Town/Village: ________________________ Pincode: _______________ State: ________________________ Country: ____________________

2. Specify the Proof of Address submitted for Correspondence Address : ____________________________________________________________________

3. Contact Details: Tel.(Off.)___________________________Tel.(Res.)___________________________Mobile No: _____________________________

Fax: _______________________ Email id : ______________________________________________________________________________________

4. Registered Address (if different from above) :

_________________________________________________________________________________________________________________________

_________________________________________________________________________________________________________________________

City/Town/Village: ________________________ Pincode: _______________ State: ________________________ Country: ____________________

C. OTHER DETAILS (If space is insufficient, enclose these details separately [Illustrative format enclosed]) 1. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees/Whole time directors : __________________________________________________________________________________________________________________________________________

2a. DIN of whole time directors : ____________________________________________________________________________________________________________

2b. Aadhaar number of Promoters/Partners/Karta : ________________________________________________________________________________

D. 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.

Date : ____________________ (dd/mm/yyyy) Name & Signature of the Authorised signatory

FOR OFFICE USE ONLY In Person Verification (IPV) Details : Name of the Person who has done the IPV : ______________________________________________

Designation : ____________________________ Employee ID : _____________________________

Name of the Organization : FORTUNE TRADING CORPORATION

Date of IPV : _________________(DD/MM/YYYY) Signature of the person who has done the IPV Seal/Stamp of the Intermediary Originals verified and Self Attested copies received

Acknowledgement No.

(3)

Private Ltd. Co. Charities AOP BOI FPI - Category III

Public Ltd. Co. NGOs Bank Society Others (Please specify) _________________________________________

eBody Corporate FI Government Body LLP

Partnership FII Non-Government Organisation FPI - Category I

Trust HUF Defence Establishment FPI - Category II

FORTUNE TRADING CORPORATIONMember : MCX & ICEXRegd. Office : “Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058. Phone : 044 - 4560 9696 Email : ftc@ftconline.in Web : www.ftconline.in

123

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORMA. IMPORTANT POINTS:1. Self attested copy of PAN card is mandatory for all clients.2. Copies of all the documents submitted by the applicant should be self-attested and

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

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

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

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

6. Sole proprietor must make the application in his individual name & capacity.7. For non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA

guidelines), copy of passport/ PIOCard/ OCICard and overseas address proof is mandatory.

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

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

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

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

B. Proof of Identity( POI) : List of documents admissible as Proof of Identity:1. PAN card with photograph. This is a mandatory requirement for all applicants except iiiiii

those who are specifically exempt from obtaining PAN (listed in Section D).2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card/ Driving iiiiiii

license.3. Identity card/ document with applicant’s Photo, issued by any of the following: iiiiiii

Central/State Government and its Departments Statutory/Regulatory Authorities, Public Sector Undertakings Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI,ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

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

1. Passport / Voters Identity Card / Ration Card /Registered Lease or Sale Agreement

Iiiiiiii Residence/Driving License/Flat Maintenance bill/Insurance Copy.of2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3

months old.3. Bank Account Statement/Passbook - Not more than 3 months old.4. Self-declaration by High Court and Supreme Court judges, giving the new address in iiiiii

respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of Scheduled

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

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

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken.

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

D. Exemptions/clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected.)1. In case of transactions undertaken on behalf of Central Government and/or State

Government and by officials appointed by Courts e.g.Official liquidator, Court receiver etc.

2. Investors residing in the state of Sikkim.3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.4. SIP of Mutual Funds upto Rs 50,000/- p.a.5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial iiiiii

Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

E. List of people authorized to attest the documents:1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative iiiii

Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).

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

F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity Documentary requirements

Corporate Copy of the balance sheets for the last 2 financial years (to be submitted every year) & Beneficial Owner Letter. Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI

takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year). Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. Copies of the Memorandum and Articles of Association and certificate of incorporation. Copy of the Board Resolution for investment in securities market. Authorised signatories list with specimen signatures.

Copy of the balance sheets for the last 2 financial years (to be submitted every year) & Beneficial Owner Letter. Certificate of registration (for registered partnership firms only). Copy of partnership deed. Authorised signatories list with specimen signatures. Photograph, POI, POA, PAN of Partners.

Copy of the balance sheets for the last 2 financial years (to be submitted every year). Certificate of registration (for registered trust only). Copy of Trust deed. List of trustees certified by managing trustees/CA. Photograph, POI, POA, PAN of Trustees.

PAN of HUF. Deed of declaration of HUF/ List of coparceners. Bank pass-book/bank statement in the name of HUF. Photograph, POI, POA, PAN of Karta.

Proof of Existence/Constitution document. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. Authorized signatories list with specimen signatures.

Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years. Authorized signatories list with specimen signatures.

Copy of SEBI registration certificate. Authorized signatories list with specimen signatures.

Self-certification on letterhead. Authorized signatories list with specimen signatures. Copy of Registration Certificate under Societies Registration Act. List of Managing Committee members. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. True copy of Society Rules and Bye Laws certified by the Chairman/Secretary

Partnership firm

Trust

HUF

Unincorporated association or a body of individuals

Banks/Institutional Investors

Foreign Institutional Investors (FII)

Army/ Government Bodies

Registered Society

(4)

(5)

3b. DIN

3b. DIN

3b. DIN

3b. DIN

3b. DIN

2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,)

2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,)

2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,)

2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,)

2. Relationship with Applicant (i.e. Promoters, whole time directors etc.,)

1. Name Aadhaar No.

1. Name Aadhaar No.

1. Name Aadhaar No.

1. Name Aadhaar No.

1. Name Aadhaar No.

4. Residential / Registered Address

4. Residential / Registered Address

4. Residential / Registered Address

4. Residential / Registered Address

4. Residential / Registered Address

City/Town/Village

City/Town/Village

City/Town/Village

City/Town/Village

City/Town/Village

Pin Code

Pin Code

Pin Code

Pin Code

Pin Code

State

State

State

State

State

Country

Country

Country

Country

Country

PHOTOGRAPH

PHOTOGRAPH

PHOTOGRAPH

PHOTOGRAPH

PHOTOGRAPH

Please affix yourrecent passportsize photographand sign across it

Please affix yourrecent passportsize photographand sign across it

Please affix yourrecent passportsize photographand sign across it

Please affix yourrecent passportsize photographand sign across it

Please affix yourrecent passportsize photographand sign across it

3a. PAN

3a. PAN

3a. PAN

3a. PAN

3a. PAN

DETAILS OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIME DIRECTORS

Name & Signature of the Authorised signatory (ies) Date : ___________________

223

FOR NON INDIVIDUALS

PHOTOGRAPH

Please affix your recent passport size

photograph andsign across it

A. IDENTITY DETAILS

B. ADDRESS DETAILS

3. Specify the proof of Address submitted for Correspondence Address

5. Specify the proof of Address submitted for registered Address

Correspondence1. Address for

PIN CODE:City : State :

Tel. (Off.) Tel. (Res.) Mobile No.

2. Contact DetailsFax No. Email id :

4. Permanent Address ( If different From above )

FORTUNE TRADING CORPORATIONTo

Dear SirI / We request you to register me / us as your client / Constituent and enable me / us to trade in the Commodity Market . I/We have read the Rules, Bye-laws and Regulations of the exchange pertaining to these segments and agree to abide by them. In this regard, I / We give the following information.

Country:

PIN CODE:City : State : Country:

Annexure - 1 Part - II

Please fill this form in ENGLISH and in BLOCK LETTERS.

( Proof of address must be different from the proof of identity submitted)

(6)

1. Name of the Applicant

2. Date of Incorporation (dd/mm/yyyy)

(dd/mm/yyyy)

Place of Incorporation

4. a. PAN b. Registration No.

(e.g. CIN)

5. Status (Please Tick any One)

Private Limited Co.

HUF

3. Date of commencementof business

c. Any other additional proof of identity :

Public Ltd. Co. Body Corporate Partnership Trust

LLP Others (Please specify.......................................)

(In case of foreign entity or entity with foreign shareholders, self certified copy of statutoryApproval Obtained must be attached)

if applicable

Member : MULTI COMMODITY EXCHANGE OF INDIA LTD (MCX) Member : INDIAN COMMODITY EXCHANGE LIMITED (ICEX)MCX Member ID No. 16765 ICEX Member ID No.2010 SEBI Registration No. INZ000082723 Regd. Office : “Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058. Phone : 044 - 4560 9696 Email : ftc@ftconline.in Web : www.ftconline.in

323

C. OTHER DETAILS

1. Gross Annual Income Details (please specify) :

*Payment will be issued to the said Bank account by default unless & otherwise specified

Bank BranchAddress

MICR

Bank A/C Number*

Bank Name Bank A/C Type

RTGS/NEFT/IFSC Code

D. BANK ACCOUNT (S) DETAILS

Savings / Current /

Others-in case Of NRI/NRE/NRO

Bank BranchAddress

MICR

Bank A/C Number

Bank Name Bank A/C Type

RTGS/NEFT/IFSC Code

Savings / Current /

Others-in case Of NRI/NRE/NRO

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

E. DEPOSITORY ACCOUNT(S) DETAILS , if available

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

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

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

# At the time of printing the form, the Member must specify the names of the Exchanges where the Member has membership.

(7)

Income Range per annum : Below Rs.1 Lac Rs.1-5 Lac Rs.5-10 Lac Rs.10-25 Lac Rs.25 Lacs-1 crore >1 crore

2. Networth as on (date) (Rs. _) (Net worth should not be older than 1 year)

3. Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees & whole time directors : Please Fill Annexure A / Annexure B

4. DIN/UID of Promoters/Partners/Karta/Trustees & whole time directors : Please Fill Annexure A / Annexure B

5. Please Tick, as Politically Exposed Person (PEP) /Not a Politically Exposed Person (PEP)Applicable /

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

Please sign in the relevant boxes with which Exchange you wish to trade. F. TRADING PREFERENCESThe Exchange not chosen should be struck off by the client.

Date of Consent for Trading Sr. No. #Name of the National Commodity Exchanges Signature of the Client

on concerned Exchange

1. Multi Commodity Exchange of India Ltd. (MCX)

- FUTURES & OPTIONS

- FUTURES & OPTIONS

2. Indian Commodity Exchange Ltd. (ICEX)

4

5

23

23

G. Investment /Trading _____ years in CommoditiesNo Prior Experience

____ Years in other Investment related field

(As applicable, State wise)

Registration Number : _________________ Validity Date : _________ Name of the state : _____________

Registration Number : __________________________ Validity Date : ____________

H. SALES TAX REGISTRATION DETAILS

Local Sales Tax State

Central Sales Tax

Experience

Other Sales Tax State Registration Number : _________________ Validity Date : _________ Name of the state : _____________

(As applicable, State wise)

Local VAT Registration Number : _________________ Validity Date : _________ Name of the state : _____________

I. VAT DETAILS

Other VAT Registration Number : _________________ Validity Date : _________ Name of the state : _____________

Whether you wish to receive communication from Member in electronic form on your Email-id :

M. ADDITIONAL DETAILS

Yes No { If Yes then please fill in Appendix-A }

Client

If client is dealing through the Member, provide the following details (In case dealing with Multiple Members,

Code

No

Phone / Fax / Email /Web Details

Yes

Registered Office Address

/ Others, please specify:

Provide details of all in a separate sheet containing all the information as mentioned below):

Details of any action/proceedings initiated/pending/ taken by FMC / SEBI / Stock exchange / Commidity exchange any other authority against the client dealing in commodities during the last 3 years :

With whom the AP is registered

Authorized Person / Existing Client

Concerned Member’s Name

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

Exchange & Exchange’s

K. DEALINGS THROUGH OTHER MEMBERS

Registration No.

L. INTRODUCER DETAILS (Optional)

J. PAST REGULATORY ACTIONS

Signature of the Introducer

Phone no. of the Introducer

Address of the Introducer

Status of the Introducer

Name of the Introducer

Member’s / AuthorizedPerson (AP)’s Name

(8)

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

Yes No

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 tariff sheet and all voluntary / non- mandatory documents.

3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s), 'Risk Disclosure Document' and ‘Do’s and Dont’s’. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have Also been informed that the standard set of documents has been displayed for Information on Member's designated website, if any.

Place : _______________________

Date : _______________ Signature of (all Authorised Signatory(ies)*

1.1.

2.

3.3. 3.

(9)

I / We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of 'Rights and Obligations' document (s), RDD and Do’s and Don't’s and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the voluntary/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 FORTUNE TRADING CORPORATION

Authorised Signatory

Date …………………. Seal/Stamp of the Member

FOR OFFICE USE ONLY

UCC Code allotted to the Client :

Documents verified with Originals

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

* Form need to be signed by all the authorized signatories.

623

(10)

TARIFF SHEET1. Rates of Brokerage Brokerage details

2. Schedule of Charges

Transaction charges, Stamp duty, GST, Commodities Transaction Tax and any other Statutory charges / levies as applicable.

Signature of Client

7

8

23

23

Charge Head Brokerage / Charges Client Signature

Futures Intraday - Rs.20/- per Executed order

Futures Delivery - 0.1% of Turnover

Options Rs.20/- per Executed order

(11) 7.0

VOLUNTARY ADDITIONAL TARIFF SHEET – TRADING ACCOUNTIn addition to the CHARGES mentioned in the Tariff Sheet, the following charges will be levied , if the Services opted by the Client.

Please sign in the relevant boxes where you wish to opt the additional services and not chosen should be struck off by the client.

Trading Client ID _______________________

Other Services Option Opted Signature of the Client

In addition to Digital Contract, if the client

requires Physical Contract Note shall be

charged @ Rs.50/- per Day.

Call & Trade Charges / Intraday Square Off of

MIS/CO/BO Order : iiiiiiiiiiiiiiiiiiiiii

Rs.50/- per executed order plus GST

SMS Charges - Rs.100/- per month

Debit my trading account for Rs.50/- towards

Application charges. Iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii

Payment Gateway facility is available and

charges of Rs.10/- per transaction plus GST

irrespective of the amount transferred in

single transaction

Clearing Member Charges & Other Levies -

Rs.200/- per Crore plus GST

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Signature

Client Name ______________________________________

Date ___________________

9

12

10

13

11

14

23

23

23

23

23

23

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TARIFF SHEET1. Rates of Brokerage Brokerage details

2. Schedule of Charges

Transaction charges, Stamp duty, GST, Commodities Transaction Tax and any other Statutory charges / levies as applicable.

Signature of Client

823

723

Charge Head Brokerage / Charges Client Signature

Futures Intraday - Rs.________ /- per Crore

Futures Delivery - 0.1% of Turnover

Options Rs.20/- per Lot

(11) 7.0

VOLUNTARY ADDITIONAL TARIFF SHEET – TRADING ACCOUNTIn addition to the CHARGES mentioned in the Tariff Sheet, the following charges will be levied , if the Services opted by the Client.

Please sign in the relevant boxes where you wish to opt the additional services and not chosen should be struck off by the client.

Trading Client ID _______________________

Other Services Option Opted Signature of the Client

In addition to Digital Contract, if the client

requires Physical Contract Note shall be

charged @ Rs.50/- per Day.

Call & Trade Charges / Intraday Square Off of

MIS/CO/BO Order : iiiiiiiiiiiiiiiiiiiiii

Rs.50/- per executed order plus GST

SMS Charges - Rs.100/- per month

Debit my trading account for Rs.50/- towards

Application charges. Iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii

Payment Gateway facility is available and

charges of Rs.10/- per transaction plus GST

irrespective of the amount transferred in

single transaction

Clearing Member Charges & Other Levies -

Rs.200/- per Crore plus GST

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Signature

Client Name ______________________________________

Date ___________________

9

12

10

13

11

14

23

23

23

23

23

23

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Appendix AElectronic Contract Note (ECN) - DECLARATION (VOLUNTARY)

To,

FORTUNE TRADING CORPORATION

Member : MCX & ICEX

“Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road,

iiiiiiiiiiiiiiiiAmbattur Industrial Estate, Ambattur, Chennai – 600 058.

Dear Sir,

I/We, a client with Member

M/s FORTUNE TRADING CORPORATION, of MCX & ICEX undertake as follows.

I/We am/are aware that the Member has to provide contract note in respect of all the trades placed by me unless I/We

vvvvmyself/ourself want the same in the electronic form.

I/We am/are aware that the Member has to provide electronic contract note for my/our convenience on my/our request only.

Though the Member is required to deliver physical contract note, I/We find that it is inconvenient for me/us to receive physical

contract notes. Therefore I/We am/are voluntarily requesting for delivery of electronic contract note pertaining to all the

trades carried out/ ordered by me/us.

I/We have access to a computer and I/We am/are regular internet user, having sufficient knowledge of handling email

operations.

My/our email ID is * . This has

been created by me/us and not by someone else.

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

I/We am/are aware that non-receipt of bounced mail notification by the Member shall amount to delivery of the contract

iiiiiiiinote at the above e-mail ID.

The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me/us. I/We am/are

aware of the risks involved in dispensing with the physical contract note, and do hereby take full responsibility for the same.

*(The email id must be written in own handwriting of the client.)

Client Name : ____________________________________________________________

Unique Client Code :

PAN :

Address :

Signature of the Client :

Date :

Place :

Verification of the client signature done by

Name of the designated officer of the Member :

Signature :

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MOBILE DECLARATION

Declaration for Mobile Number

We __________________________________ having PAN No. __________________ do hereby declare that our mobile No. is

________________________. Further We authorize Fortune Trading Corporation (FTC) that the same may be used for giving

us any information / alerts / Trade Communications / Margin Calls / SMS. Etc.,

We further declare the above mentioned statement is true and correct.

Signature : ___________________________________

Client Name : __________________________________________

RECEIPT OF KYC, RDD and Dos & Don'ts

TO

FORTUNE TRADING CORPORATIONNo.905, First Floor, Soundarya Colony, (Syndicate Bank Colony),

Anna Nagar West Extension, Chennai - 600 101.

Dear Sir,

Sub : Receipt of KYC, RDD and Dos & Don'ts

Dear Sir,

I / We hereby acknowledge the receipt of the copy of the under-mentioned documents which are in accordance with the norms of the guidelines issued by the MCX / ICEX.

(a) Copy of the Client Registration Form(b) RDD with other Voluntary undertakings(c) Dos & Don'ts

Signature : ___________________________________

Client Name : __________________________________________

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Maintenance of Running A/c.- Letter of AuthorityTO

FORTUNE TRADING CORPORATIONMember : MCX & ICEX

Member MCX Member ID No.16765 X Member ID No.2010 ICE SEBI Registration No. INZ000082723

“Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058.

Ph. : 044 - 4560 9696 Email : ftc@ftconline.in Web : www.ftconline.in

Dear Sir,

I / We have been regularly trading and investing, or plan to do so, with you at The Multi Commodity Exchange of India Ltd.(MCX) and/or Indian Commodity Exchange Ltd. (ICEX). To facilitate ease of operations, I / We request and authorise you as under :

1. I / We request you to maintain running balance in my account and retain the credit balance in any of my / our account and to use the unused funds towards my / our margin pay-in / other future obligation(s) at any segment(s) of any or all the Exchange(s) / Clearing Corporation unless I / we instruct you otherwise

2. I / We request you to retain securities / commodities with you for my / our margin / pay-in / other future obligation(s) at any segment(s) of any or all the Exchange(s) / Clearing Corporation, unless I / we requested you to transfer the same to my / our account

3. I / We further authorise FTC to settle the funds, securities and commodities atleast once in a calender quarter / month as specified by me below in accordance with regulations in force

Quarterly □ Monthly □4. In case I We have an outstanding obligation on the settlement date, you may retain the requisite securities / funds towards such

obligations and may also retain the funds expected to be required to meet margin obligation for next 5 trading days, calculated in the manner specified by the exchanges

5. I / We hereby authorise you to liquidate / close out all or any of my / our positions for non-payment of margins or other account, outstanding debts etc. I / We agree to bear any and all losses and financial charges on account of such liquidation / close-out.

6. I / We agree not to hold you liable or responsible for delay or default in performance of your obligations due to contingencies beyond your control such as fire, flood, civil commotion, earthquake, riots, war, strikes, failure of systems, failure of internet links, Government / regulatory actions or any such other contingencies which may be beyond your control

I / We agree to continue with the authorization to maintain a running account till such time the same is expressly revoked. I / We understand that FTC shall act upon such revocation request upon receipt of the original revocation request.

thREF : Circular Ref No, MCX/INSP/ 325/2016 issued by MCX on 29 Sep 2016 regarding quarterly/ monthly settlement of running accounts of clients

I am aware that the Member may retain additional margin requirement of maximum upto 125% of margin requirement on the day of settlement to take care of any margin obligation arising in next 5 days for my open positions

By considering the administrative / operational difficulties in settling the accounts for regular trading clients, I request you to kindly retain an amount of up to 50,000/- while settling the account.

Thanking you,

Yours truly,

Signature :

Client Code / Name : ________________________________________

Date : __________________

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FORTUNE TRADING CORPORATION(Member of MCX & ICEX)

Regd. Office : “Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058.

Ph. : 044 - 4560 9696 Email : ftc@ftconline.in Web : ftconline.in

RULES & REGULATIONS1. Please maintain secrecy of your User Name and Password and never Share your Login Credentials / User Name and Password iiiiiiiiwith anyone.

2. All Bank Accounts from which the client will issue cheques should be registered with FORTUNE TRADING CORPORATION. Third party cheques will not be accepted at any cost.

3. Fortune Trading Corporation will not accept any cash from its clients and will not pay by cash to its clients. Clients are strictly iiiiiiiiadvised not to do any cash transactions with any of the sub brokers / staffs /associates of Fortune Trading Corporation. Fortune iiiiiiiiTrading Corporation will not be responsible for any cash transactions.

4. Fortune Trading Corporation does not do any portfolio type of trading. Clients are advised not do any such activity with any of our iiiiiiiisub brokers / associates / staffs.

5. Fortune Trading Corporation will not give any third party cheques at any cost and the cheques will be issued only from the iiiiiiiiFortune Trading Corporation Bank account.

6. Kindly check the emails on a daily basis. We send all your contract notes, Daily Activity Reports, Long short Positions, Ledgers on a iiiiiiii daily basis to your email id. Discrepancies if any, should be brought to our immediately. Incase of disputes if any,knowledge iiiiiiiiplease write to us at ftc@ftconline.in

7. Daily the clients will be sent a SMS from Fortune Trading Corporation with all the account details, Trade confirmations and their iiiiiiiipending positions.

8. Delayed payment charges @ 2% per month on account of delay / failure by the client in meeting the pay-in / margin obligations / iiiiiiiimark to market obligations on the scheduled date till date of payment. Not consider any credit balance in other family or group iiiiiiiiaccount of the client while computing delayed payment charges on the debit balance in the running account of a client.

9. The above levy is only a penal measure incase of a client default in meeting settlement and margin obligation and should not be iiiiiiiiconstrued as funding arrangement by the client; and the client cannot demand continuation of service on a permanent basis iiiiiiiiciting levy of delayed payment charges.

10. We are not a dealer and not selling any automated software, charts, technical analysis softwares etc., to our clients for placing iiiiiiiiorders / trading purposes. Fortune neither have arrangements nor tied up with any vendor for selling any kind of automated iiiiiiiisoftware, technical analysis softwares etc., to our clients.11. Fortune neither providing any advisory regarding trading of stocks / commodities nor we offer Portfolio Management Services iiiiiiii(PMS). Please be aware of unauthorised website / SMS / Emails / whatsapp / chats etc., for trading calls or PMS in our name. If iiiiiiiiyou find any suspicious messages / chats with our name, please report the same to ftc@ftconline.in or call and inform us iiiiiiii044-45609696.

DECLARATION

We.................................................................................................have read and understood all the terms and conditions of Fortune

Trading Corporation mentioned in the Account Opening Form. We also read and understood the rules and regulations of

FORTUNE TRADING CORPORATION mentioned above and we will abide the same. We Further state and confirm that we have read &

understood all the clauses of Risk Disclosure Document - RDD and Rights & Obligations. We will do all the trading on my own and I will

not allow anyone else to do the trading on our behalf. We ensure you that we will not do any Portfolio Business through any associates

of FORTUNE TRADING CORPORATION. We are aware that Fortune Trading Corporation will not accept Cash, Un-mapped Bank

account and / or Third Party Cheques from their clients. We are completely aware that Fortune Trading Corporation not selling any

automated software, charts, technical analysis software etc., to their clients. We have been made understood by Fortune Trading

Corporation that Fortune Trading Corporation will not be held responsible for all mis happenings, if we do not follow the Rules &

Regulations.

Signature of Client

Name : ................................................

Client Code : .......................................

Place : ....................................

Date : .......................................

2023

Regd. Office : “Kochar Technology Park”, 6th Floor, SP 31-A, 1st Cross Road, Ambattur Industrial Estate, Ambattur, Chennai – 600 058.

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2123

Member : MCX & ICEX

& Member ID - 2010 of ICEX, undertake as follows :

Tthe exchanges MCX & ICEX

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Residential Business Registered

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Signature

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FORMAT OF BOARD RESOLUTION IN CASE OF CORPORATES (To be obtained on the pre-printed Letter head of the Company)

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OF DIRECTORS OF

______ ________________________________________________________________ HAVING ITS REGISTERED

OFFICE AT ____________________________________________________________________________________

HELD ON _______________________ DAY OF _________, 20____ AT ____________________________________.

Resolved that the Company be empowered to deal in Commodities segment or any other segment that may be

introduced by MCX / FORTUNE TRADING CORPORATION in future, the said Trading Member be and is hereby

authorized to honour instructions, oral or written, given on behalf of the company by any of the under noted authorized

signatories:

Sr. No. Name Designation

1. __________________________________________ _________________________________________

2. __________________________________________ _________________________________________

3. __________________________________________ _________________________________________

who is /are authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwise deal through

FORTUNE TRADING CORPORATION on behalf of the Company.

RESOLVED FURTHER THAT Mr. _____________________________________________________________ and / or

Mr._________________________________ , and / or Mr. ________________________________________________

Authorized Signatory of the Company be and are hereby authorized to sign, execute and submit such application,

undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient

to open account and give effect to this resolution.

RESOLVED FURTHER THAT, the Common Seal of the Company be affixed, wherever necessary, in the presence of any

one director and Company Secretary, who shall sign the same in token of their presence.

For ________________________________________________

Director / Company Secretary(Signature to be verified by the Banker)

SPECIMEN SIGNATURES OF THE AUTHORIZED PERSONS

Sr. No. Name Specimen Signatures

1. _________________________________________

2. _________________________________________

3. _________________________________________

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X

X

X

We, the partners of M/s a partnership firm, having

its office at______________________________________________________________________________

(office address) city ________________________________state ____________________________hereby authorize

Mr/Ms.______________________________________________________________________________and Mr. / Ms

________________________________________________________________________to open a trading account in

Commodity segment on behalf of the firm M/s. ______________________________________________________ with

the Trading Member FORTUNE TRADING CORPORATON for sale and purchase of Commodities or any other segment

that may be introduced by MCX in future. He/She They is / are authorized on behalf of the firm to deal in Commodities and

the said Trading Member is hereby authorized to honour all instructions oral or written, given on behalf of the firm by

him/her/them.

Mr. / Ms. _______________________________________ and Mr./Ms _____________________________________

is/are authorized to sell, purchase, transfer, endorse, negotiate documents and / or otherwise deal through FORTUNE

TRADING CORPORATON on behalf of the firm M/s____________________________________________________

He/ She/They is / are also authorized to sign, execute and submit such applications, undertakings, agreement and other

requisite documents, writings and deeds as may be deemed necessary or expedient to open account and given effect to

this purpose.

However any partner / authorized signatory(ies) can issue cheques from bank account(s) in favour of FORTUNE

TRADING CORPORATON, for credit to trading account of the firm with FORTUNE TRADING CORPORATON, even

though his/their signatures may not be available on the records of FORTUNE TRADING CORPORATON. These cheques

may either be from the account of partnership firm or from individual account, the said amount so given shall be solely /

exclusively for the account of the firm maintained with FORTUNE TRADING CORPORATON.

AUTHORITY LETTER IN FAVOUR OF MANAGING PARTNER (S)(To be obtained on the pre-printed Letter head of the Firm)

Signature

(Instructions: Should be signed by all the partners of the firm. Rubber stamp of the firm should be affixed for each signature)

X

SignatureX

SignatureX

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CHECK LIST

Sl.No. Details Checked By Checked By Checked By Checked By Checked By

Signature across Photograph

Signature in 23 Places

ID Proof of the company (Self attested)

Address proof (Self attested)

Bank Account Proof / Cancelled cheque leaf with IFSC Code

Xerox copy of PAN Card (Self attested)

Latest Annual Report

All details provided in Annexure A & Annexure B

Copy of Memorandum & Articles of Association

Board Resolution / Authority Letter

Proof of Date of Incorporation

POI, POA of Directors / Auth. Signatories

Data Entered in System by

Name : Signature :

Code Name

SUB-BROKER

MB / MF

RM NAME (DIRECT)

RM NAME (INDIRECT)

FOR OFFICE USE ONLY

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