annexure – 1 – dormant account – request for reactivation

Annexure – 1 – Dormant Account – Request for reactivation

---/---/-----

To,

MUTHOOT SECURITIES LIMITED

I Floor, Alpha Plaza, K P Vallon Road,

Kadavanthara, Kochi – 682020

Sub : REACTIVATION OF DORMANT ACCOUNT

Ref : Trading Code _______________

Dear Sir,

I/We, _____________________________________________________________________ (Client name) maintaining a

trading account with you under the Unique Client Code _________________ at your ______________________ Branch .

However, as I/we have not yet commenced transacting with you since registration, you have marked my/our account as

Dormant. As I/we wish to transact with you now, I/we request you to kindly reactivate my/our trading account and allow

trading. The required KYC application Format, Annexure 1(A) along with the supporting proofs and the initial payment

cheque for an amount of Rs.______________ /- bearing cheque number _________________ drawn from

___________________________________________ Bank, ____________________________ Branch is also enclosed

herewith.

Yours faithfully,

Signature :

Name :

Mobile No :

E-mail id :

Note : To be taken on letter head in case of non individual accounts

MUTHOOT SECURITIES LTD

KYC –Trading Account NSE & BSE

[Individuals]

Muthoot Securities Ltd. 1st Floor, Alpha Plaza, K P Vallon Road, Kadavanthra, Kochi – 682020

www.muthootsecurities.com

ACCOUNT OPENING CHECK LIST FOR BRANCHES

I. Identity Proof

1.Copy ofPAN card attested by the applicant

II. Address Proof (Copy of Any One Item from 1 to 10 below self attested by the applicant)

1. Passport (Validity Page is Mandatory).

2. Aadhaar Card

3. Driving License (Validity Page is Mandatory)

4. Election Id Card.

5. Ration Card.

6. Bank Statement (Not more than 3 months old transactions should be available).

7. Bank Passbook (Not more than 3 months old transactions should be available).

8. Lease or Sale Agreement of Residence (Agreement has to be registered with the Registrar of Properties/Leases).

9. BSNL Land Line Telephone Bill (Not more than 2 months old).

10. Identity Card with address, issued by Central/State Government and its Departments.

III. Bank Proof (Copy of Any One Item from 1 to 3 below self attested by the applicant)

1. Cancelled Original Cheque Leaf with Name & Account Number pre-printed.

2. Bank Statement along with copy of cheque leaf (Not more than 3 months old)

3. Bank Passbook along with copy of cheque leaf (Not more than 3 months old)

(Proofs should have printed valid MICR and IFSC)

IV. General Instructions to Branch Officials

1. Signatures can be in English or Hindi or any of the other languages contained in the 8th schedule of the Constitution

of India. Thumb impressions and signatures other than the above mentioned languages must be attested by a

Magistrate or a Notary Public or a Special Executive Magistrate under his/her official seal.

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, and Tel Number(s), etc.,of the Magistrate / Notary Public / Special Executive

Magistrate are to be provided in case of attestation done by them.

4. All correspondence / queries shall be addressed to the First / Sole applicant.

5. Witnessing should be duly executed with Signature, Name, Address and Date.

6. Ensure Employee Signature is obtained wherever his/her name is captured.

7. All supporting documents (copy as well as original) should be self attested by the applicant.

8. All supporting copy of documents should be stamped as verified with original by the Branch.

9. All supporting documents should be valid and legible.

10. Recent photographs of the applicant should be pasted and not stapled.

11. Applicant has to sign across the photograph and not on the photograph.

12. Ensure all the signatures of applicant are available in this application form.Copy of cancelled cheque leaf/ pass

book/bank statement specifying name of the applicant, MICR Code and IFSC of the bank should be submitted.

13. Additional documents (any one) as mentioned below should be obtained in case of Trading in Derivative Segments.

Copy of last ITR Acknowledgement Copy of Annual Accounts

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

Copy of latest demats account holding statement. Bank account statement for last 6 months

Any other relevant documents substantiating ownership

of assets.

Self-declaration with relevant supporting documents.

*In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the

client from time to time.

Page 1 of 13

ACCOUNT OPENING KIT - INDEX

Sl

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

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI / REGULATOR

1 Trading Member Details Details of Trading Member 3 - 3

2

Account

Opening

Form

KRA Application

Form PART I – KRA Application Form 4 - 5

Trading Account

Application Form PART II - Information pertaining to Trading Account 6 - 9

3 Tariff

Sheet

Trading A/c

Document detailing the rate/amount of brokerage and other charges

levied on the client for trading on the stock exchange(s).

10 -10

Demat A/c

Document detailing the charges levied on the client pertaining to

Demat Account.

10 -10

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

4 Power of Attorney

Authorisation towards Settlement of securities against exchange

obligations.

11 - 11

5 Authorisation for Digital

Contract Note / Statements

Authorisation for sending Contract notes or Statements to the

registered e-mail id of the client.

12 - 12

6 Running Account Authorisation

Authorisation for maintaining Running Account and preference for

actual settlement of funds and securities

12 - 12

7 Authorisation for Verbal Order

Acceptance Authorisation for accepting verbal order of the client 13 - 13

*** Above mentioned document numbered 4, 5, 6 and 7 are voluntary in nature & are hence optional only.

Page 2 of 13

TRADING MEMBER DETAILS

Name of Stock Broker/

Trading / Clearing Member M/s. Muthoot Securities Limited

SEBI Registration Details

NSE

Capital Market INB 231294332

Future & Options INF 231294332

Currency Derivatives INE 231294332

BSE

Capital Market INB 011294338

Future & Options INF 011294338

Currency Derivatives INE 011294332

CDSL CDSL: Reg. No : IN-DP-CDSL-468-2008

NSDL NSDL: Reg. No : IN-DP-NSDL-318-2009

Registered Office Address

Address 41/4108,MUTHOOT CHAMBERS , BANERJI ROAD,

ERNAKULAM,KOCHI - 682018

Phone 0484-2396478

Fax 0484-2396506

Website www.muthootsecurities.com

Correspondence Office

Address

Address

ALPHA PLAZA, 1st FLOOR , K.P.VALLON

ROADKADAVANTHARA, ERNAKULAM,KOCHI – 682020,

KERALA

Phone 0484-3937555

Fax 0484 - 2310332

Website www.muthootsecurities.com

Details of Compliance

Officer

Name Ms. Anu R Kaimal

Phone 0484 - 3937587

Email Id [email protected]

Details of CEO

Name Mr. Ragesh G R

Phone 0484 - 3937555

Email Id [email protected]

For any grievance/dispute please contact M/s. Muthoot Securities Limited at the above address or Email id-

[email protected] and Phone No. 91-484 3937587. In case not satisfied with the response, please contact

the concerned exchange(s) at the below given details.

Exchange Investor grievance – E mail id Investor grievance cell – Contact number

NSE [email protected] 022 2659 8190

BSE

Delhi [email protected]

Kolkata [email protected]

Chennai [email protected]

Mumbai [email protected]

011 - 41510481

033 - 22133184

044 - 420089959

022 – 22721233 / 34

Page 3 of 13

IA. Ide nti ty Det ail s (pl eas e see gui del ine s ove rle af)

Father’s/Spouse Name

Please aff ix

the recent passport

size photograph and

sign across it

PHO TOG RAP H

2. G ender B. M arita l s tatus Single MarriedMale F emale C. Date of Birth /d d m m y y y y/

4. Status Please tick ( ) � Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

Aadhaar , if any: Number

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

1. N ame o f A pplicant (As appearing i n supporting i dentification document). Name

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

B. Add ress Det ail s (pl eas e see gui del ine s ove rle af)

6. An y other info rmat ion:

Date:Place:

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.

DE CLAR ATION SIGN ATU RE OF AP PLICAN T

2. Con tac t Det ail s

Tel. (Off.) (ISD) (STD) Tel. (Res.)Mobile (ISD) (STD) FaxE-Mail Id.

(ISD) (STD)(ISD) (STD)

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the follow ing valid documents & tick ( ) against the document attached.� Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License * Bank A/c Statement/Passbook Voter Identity Card Latest * Land Line) * *Latest Gas Bill (Please specify) Latest Telephone Bill (only Latest Electricity Bill Others

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

/d d m m y y y y/

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the follow ing valid documents & tick ( ) against the document attached.� Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License * Bank A/c Statement/Passbook Voter Identity Card Latest * Land Line) * *Latest Gas Bill (Please specify) Latest Telephone Bill (only Latest Electricity Bill Others

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

/d d m m y y y y/

3. N ationality Indian O ther (Please specify)

6. Proof of Identity submitted for PAN exempt cases Please Tick ( )�UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline ‘D’ overleaf

1. Address for Correspondence

Pin CodeCountry

City / Town / VillageState

4. Pe rma nen t Add ress o f Res ide nt Ap pli can t if di ffer ent f rom ab ove B 1 OR Ov ers eas A ddr ess ( Man dat ory ) for N on- Res ide nt Ap pli can t

City / Town / Village Pin CodeState Country

FOR OFFICE US E ON LY

(Attested) True copies of documents received

(Originals Verified) Self Certified Document copies received

AMC/Intermediary name OR code

Main Intermediary

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

/d d m m y y y y/IPV Done on

Kn ow You r Client (K YC )Ap plicat ion Form (For Indivi duals On ly )

Ple ase f il l in ENGLIS H and in BLO CK LETTERS

A pplicatio n No. :

Page 4 of 13

A. IMPORTANT POINTS: Agreement of Residence/Driving License/Flat Maintenance 1. Self attested copy of PAN card is mandatory for all clients. bill/Insurance Copy.

2. Copies of all the documents submitted by the applicant should be 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill self-attested and accompanied by originals for verification. In case - Not more than 3 months old.the original of any document is not produced for verification, then

3. Bank Account Statement/Passbook - Not more than 3 months old.the copies should be properly attested by entities authorized for

4. Self-declaration by High Court and Supreme Court judges, giving the attesting the documents, as per the below mentioned list.new address in respect of their own accounts.

3. If any proof of identity or address is in a foreign language, then 5. Proof of address issued by any of the following: Bank Managers of translation into English is required.

Scheduled Commercial Banks/Scheduled Co-Operative 4. Name & address of the applicant mentioned on the KYC form, should

Bank/Multinationa Foreign Banks/Gazetted Officer/Notary match with the documentary proof submitted.

public/Elected representatives to the Legislative 5. If correspondence & permanent address are different, then proofs for Assembly/Parliament/Documents issued by any Govt. or Statutory

both have to be submitted. Authority.

6. Sole proprietor must make the application in his individual name & 6. Identity card/document with address, issued by any of the following: capacity. Central/State Government and its Departments,

Statutory/Regulatory Authorities, Public Sector Undertakings, 7. For non-residents and foreign nationals,(allowed to trade subject to

Scheduled Commercial Banks, Public Financial Institutions, Colleges RBI and FEMA guidelines), copy of passport/PIOCard/OCICard and

affiliated to Universities and Professional Bodies such as ICAI, overseas address proof is mandatory.

ICWAI, ICSI, Bar Council etc.,to their Members.8. For foreign entities, CIN is optional; and in the absence of DIN no. for

7. For FII/sub account, Power of Attorney given by FII/sub-account to the directors, their passport copy should be given.

the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken.9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified

copy of CDC (Continuous Discharge Certificate) is to be submitted.8. The proof of address in the name of the spouse may be accepted.

10.For opening an account with Depository participant or Mutual Fund, D. Exemptions/clarifications to PAN

for a minor, photocopy of the School Leaving Certificate/Mark sheet (*Sufficient documentary evidence in support of such claims

issued by Higher Secondary Board/Passport of Minor/Birth to be collected.)Certificate must be provided.1. In case of transactions undertaken on behalf of Central Government 11.Politically Exposed Persons (PEP) are defined as individuals who are

and/or State Government and by officials appointed by Courts e.g. or have been entrusted with prominent public functions in a foreign Official liquidator, Court receiver etc.country, e.g., Heads of States or of Governments, senior

politicians, senior Government/judicial/military officers, senior 2. Investors residing in the state of Sikkim.executives of state owned corporations, important political party

3. UN entities/multilateral agencies exempt from paying taxes/filing tax officials, etc.

returns in India.B. Proof of Identity( POI): List of documents admissible as Proof

4. SIP of Mutual Funds upto Rs 50,000/- p.a.of Identity:

5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, 1. PAN card with photograph. This is a mandatory requirement for all Scheduled Commercial Banks, Multilateral and Bilateral applicants except those who are specifically exempt from obtaining Development Financial Institutions, State Industrial Development PAN (listed in Section D).Corporations, Insurance Companies registered with IRDA and Public

2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID Financial Institution as defined under section 4A of the Companies

card / Driving license.Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified 3. Identity card/ document with applicant’s Photo, issued by any of the PAN details to the intermediary.following: Central/State Government and its Departments,

Statutory/Regulatory Authorities, Public Sector Undertakings, E. List of people authorized to attest the documents:

Scheduled Commercial Banks, Public Financial Institutions, Colleges 1. Notary Public, Gazetted Officer, Manager of a Scheduled

affiliated to Universities, Professional Bodies such as ICAI, ICWAI, Commercial/Co-operative Bank or Multinational Foreign Banks

ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards (Name, Designation & Seal should be affixed on the copy).

issued by Banks.2. In case of NRIs, authorized officials of overseas branches of

C. Proof of Address (POA): List of documents admissible as Proof Scheduled Commercial Banks registered in India, Notary Public,

of Address: (*Documents having an expiry date should be Court Magistrate, Judge, Indian Embassy/Consulate General in the

valid on the date of submission.)country where the client resides are permitted to attest the

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

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

Please Submit the KYC Documents on A4 Size Paper Only.

I

Page 5 of 13

PART II – TRADING ACCOUNT APPLICATION[Mandatory Document]

A. BANK ACCOUNT DETAILS

1 Bank Name

2 Branch Address

3 Bank A/c No

4 Bank A/c Type Resident Savings A/c Current A/c Others (Please specify, ______________ )

NRI NRE NRO

5 MICR Code

6 IFSC

B. DEPOSITORY ACCOUNT DETAILS

1 Depository Participant Name MUTHOOT SECURITIES LTD

2 Depository Name NSDL CDSL

3 Beneficiary Name

4 DP Id

5 Beneficiary Id (Client Id)

C. TRADING PREFERENCES * Please sign in the relevant boxes by Trading Account Holder.

# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be produced.

D. 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:

E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If client is dealing through the Sub-Broker/ Authorised Person, provide the following details:

1 Name of Sub Broker / Authorised Person

2 SEBI Registration Number

3 Registered Office Address

4 Phone Fax Website

Whether dealing with any other Stock Broker/Sub-Broker (if case dealing with multiple Stock Brokers/Sub-Brokers,

provide details of all)

1 Name of Stock Broker

2 Name of Sub-Broker, if any

3 Client Code

4 Exchange Fax Website

Exchange Segment Exchange Segment

NSE Cash X3

NSE Debt X4

NSE F & O X5 NSE

Currency

Derivatives X

6

BSE Cash X7 BSE Debt X

8

Page 6 of 13

Details of disputes/dues pending from/to

such Stock Broker/Sub-Broker:

F. ADDITIONAL DETAILS

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

Physical Contract Note Yes No X9

Digital Contract Note

Yes No

X10

Email Id:

2 Whether you wish to avail of the facility of Internet Trading/

Wireless Technology (please specify):

X11

3 Number of years of Investment / Trading Experience:

4 Any other information:

5 In case of Non-Individuals, Name, Designation, PAN, UID, Signature, Residential Address and Photograph of

Persons authorized to deal in securities on behalf of company/firm/others has to be provided separately.

G. NOMINATION OPTION

I/We wish to make a nomination and do hereby nominate the following person in whom all rights and/or amount

payable in respect of securities held in the Depository by me/us in the said beneficiary owner account shall vest in

the event of my/our death.

I/We do not wish to make a nomination [Strike off the nomination details below]

1 Name of Nominee (Mr./Ms.)

2 Relationship with Applicant

3

Address and

Contact

details of

Nominee

State: Country: PIN

Mobile No. Tel. (Res.)

Email Id

4 PAN of Nominee

Sl No 5-8 to be filled only if NOMINEE is a MINOR

5 Date of Birth of Nominee

6 Name of Guardian (Mr./Ms.)

7

Address and

Contact

details of

Guardian

State: Country: PIN

Mobile No. Tel. (Res.)

Email Id

8 Relationship of with Nominee

Signature and relevant details of TWO witnesses are mandatory for valid nomination

NAME AND ADDRESS OF WITNESS Signature Of Witness With Date

a)

Date

b)

Date

Page 7 of 13

H. INTRODUCER DETAILS

Name & Code of the Introducer

Status of the Introducer

Employee Authorized PersonExisting Client

Others (Please specify, __________________________ )

Address of the Introducer

Signature of the

Introducer

Phone No. of the Introducer

PROPRIETARY TRADING DISCLOSURE

As directed by SEBI vide Circular No. SEBI/MRD/SE/CIR.-42/2003 dated November 19, 2003, we hereby disclose

that we undertake Proprietary Trading in the Cash/Debt segment of BSE in addition to the client basedbusiness with

effect from 07th February 2014.

DECLARATION 1. I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I

undertake to inform you of any changes therein, immediately. In case any of the above information is found to be

false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. In case Non-Resident

Account, I also declare that I have complied and will continue to comply with FEMA regulations.

2. 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.

3. 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 thesedocuments. I have also

been informed that the standard set of documents has been displayed forInformation on stock broker’s designated

website, if any.

Applicant Name [Trading Account Holder]

Applicant Signature [Trading Account Holder]

X12

BROKERAGE SCHEDULE

Segment Offline Marcopolo (Online)

Delivery Intraday Delivery Intraday

Cash / Debt Segment ________% ________% ________% ________%

Index & Stock Futures ________%OR Rs_______ per lot Rs__________ per lot

Equity Options Rs__________ per lot Rs__________ per lot

Currency Derivatives Rs__________ per lot Rs__________ per lot

Applicant Name [Trading Account Holder]

Applicant Signature [Trading Account Holder]

X13

Page 8 of 13

BRANCH OFFICE USE ONLY

I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory

documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We

have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, tariff

sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in

the ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the clients.

Documents verified by Client Interviewed By In-Person Verification by

Name of the Employee

Employee Code

Designation of Employee

Date

Signature

HEAD OFFICE USE ONLY

UCC Code allotted to the Client:

______________________________

Signature of the Authorised Signatory Seal/Stamp of the Member

Name:

Date:

TERMINAL MAPPING DETAILS

NSE Cash NSE F&O NSE Debt

BSE Cash NSE Currency BSE Debt

Page 9 of 13

TARIFF SHEET [Mandatory Document ] TRADING ACCOUNT - TARIFF

(A). Brokerage Charges

Segment Offline Clients Online Clients

Delivery Intraday Delivery Intraday

Cash / Debt Segment 0.50% 0.05% 0.25% 0.025%

Index & Stock Futures 0.05% Rs 75 per lot per side

Options Rs 100/- per lot per side Rs 30 per lot per side

Currency Derivatives Rs 20 per lot per side Rs 12 per lot per side

A minimum Brokerage of 5 Paise per share is applicable. Normal Options brokerage is leviable on Options Exercise

Contracts.

(B). Other Charges

Documentation / processing charges Rs.500/- (One Time )

Minimum Brokerage per contract Rs. 25/-+ Service Tax is leviable

For physical contract notes / statements Actual postage charges

For Cheque Bounce/Cheque Cancellation Rs.250/- per incident plus actual bank charges

Interest on delayed payment 2% per month (Subject to change)

Delivery Instruction Charges Rs.15/- (Client Beneficiary Margin/DP Account to Pool Account)

Auction penalty @1% penalty to the seller client on Auction/close out value

Research Recommendations Subscription fee Rs.100/- per month

Statutory Charges - Service Tax, STT, Transaction Charges, Stamp Duty, etc are Applicable as per rules.

Muthoot Securities Limited reserves the right to revise the charges mentioned above or add any additional charge by

display of the same on the Website / through SMS alert / direct communication.

DEMAT SERVICES - TARIFF (Schedule A)

Description Tariff

Stamp Charges – POA Rs.100/-+ Service Tax(One Time)

Custody Charges Nil

Account Maintenance Charges Rs.300/-+ Service Tax(Per Annum)

Dematerialization Courier Charges (Per Request) Rs. 50/-+ Service Tax (Upto 5 certificate)

Rs 5/-+ Service Tax (For each additional certificate)

Rematerialization Charges Rs.50/-+ Service Tax(Per Request)

On Market Debit Transactions Rs.20/-+ Service Tax(Per Instruction)

Off Market Debit Transactions Rs.25/-+ Service Tax(Per Instruction)

Pledge / Hypothecation Creation Rs.100/-+ Service Tax(Per Instruction)

Pledge / Hypothecation Closure Nil

Pledge / Hypothecation Invocation Rs.250/-+ Service Tax(Per Instruction)

Additional Delivery Instruction Slip

(For Booklet with 5 Leaves) Rs.25/-+ Service Tax

Note: Service Tax / Statutory Charges as per prevailing rate time to time.

Authorisation

I/We authorize Muthoot Securities Limited to debit above Demat Services Charges from my/our Trading Account.

X14

First Holder Second Holder Third Holder

Page 10 of 13

POWER OF ATTORNEY FOR DEMAT ACCOUNT - [Voluntary Document]

To all to whom these presents shall come I/ we _______________________________________________________,

_______________________________________________,______________________________________________

(Name of the beneficial owner/s), residing at/having its registered office at _________________________________

_____________________________________________________________________________________________,

X15


send greetings whereas I/we hold Beneficial Owner Account (Client BO Id) _____________________________with

________________________________________, through Muthoot Securities Limited (hereinafter called MSTL) registered

withSecurities and Exchange Board of India (SEBI).And Whereas I/ we am/ are desirous to buy and sell securities

throughMSTLwho is a stock broker registered with SEBI and member of recognized stock exchanges. And Whereas I/ we

am/ aredesirous of appointing MSTL as my/our constituted attorney to operate my/ our beneficial Owner account on my/

ourbehalf for a limited purpose in the manner hereinafter appearing and subject to conditions as provided herein.

Now know you all and these present witness that I/ we do hereby nominate, constitute and appoint MSTL as my true and

lawful attorney and authorise it to perform the following functions on my behalf:

i. To transfer securities held in my/our aforementioned beneficial owner account(s) or any other account informed by

me in writing to MSTL from time to time to the DematAccount Nos. – NSE CM BP ID-IN565533, BSE CM BP

ID-IN655605, NSE CM ID-M51497, BSE CM ID-3226, NSE EARLY PAYIN-1100001100017005, BSE EARLY

PAYIN-1100001000018528, NSE CDSL PAYIN A/C-1205670000000585, BSE CDSL PAYIN-

1205670000000551 of the MSTL maintained for the purpose of settlement of trades executed by me/us on any

recognized stock exchange through MSTL. However, the said power will be restricted to transfer of securities to

the Clearing Member Id allotted to MSTL by any existing or future exchange that the MSTL has joined/ will join

as a member or to any demat accounts linked to the said Clearing Member Id provided that I/we have executed a

Client Member Agreement with MSTL for such exchanges; and for transferring securities for the purpose of

delivering to MSTL’s Client Margin Demat Account No. 1205670000000226, towards any segment (including

currency segment) in respect of Margin obligation, as applicable with respect to my/our transactions.

ii. To return to me/us, the securities or funds that may have been received by the stock broker erroneously or those

securities or funds that the stock broker was not entitled to receive from me/us;

iii. To send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by

way of SMS/ email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI

from time to time.

iv. To apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of

shares, tendering shares in open offers etc. pursuant to oral/written/electronic instructions given by me/us to the

stock broker. I/we ratify the instructions given by the aforesaid stock broker to the depository participant named

hereinabove in the manner specified herein.

I/we further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is

revoked (without notice) in writing by me and that the said revocation shall be effective from the date on which the

revocation notice is received by MSTLin his office at Kochi, Muthoot Securities Limited,Ist Floor, Alpha Plaza, K P

Vallon Road, Kadavanthara, Kochi – 682020.

Signed and delivered by (For and on behalf of the Beneficial Owner/s)

X16


Signed and delivered by (For and on behalf of Muthoot Securities Limited)

⊗ Authorised Signatory

Witness 1 Witness 2

Name

Address

Signature ⊗ ⊗

Stamp

Page 11 of 13

AUTHORISATION FOR DIGITAL CONTRACT NOTE/ DP STATEMENTS– [Voluntary Document]

I / We have been / shall be dealing through you as my / our broker on the Capital Market and / or Futures &

Options Segments / Currency Derivative Segments. As my / our broker i.e. agent I / we direct and authorize you

to carry out trading / dealings on my / our behalf as per instructions given below.

I / We understand that, I / we have the option to receive the contract notes in physical form or electronic form. In pursuance

of the same, I / we hereby opt for receipt of contract notes in electronic form. I / We understand that for the above purpose,

you are required to take from the client “an appropriate email account” for you to send the electronic contract notes.

Accordingly, please take the following email account(s) / email id on your record for sending the contract notes to me / us.

Email:__________________________________________________________________________________

X17

[Trading Account Holder]

I / We agree not to hold you responsible for late / non - receipt of contract notes sent in electronic form and any other

communication for any reason including but not limited to failure of email servers, loss of connectivity, email in transit etc. I

/ we agree that the log reports of your dispatching software shall be a conclusive proof of dispatch of contract notes to me /

us and such dispatch shall be deemed to mean receipt by me / us and shall not bedisputed by me / us on account of any non-

receipt / delayed receipt for any reason whatsoever.

I / We also agree that non-receipt of bounced mail notification by you shall amount to delivery at my / our email account(s) /

email id(s).

I / We understand that I am required to intimate any change in the email id / email account mentioned hereinabove needs to

be communicated by me through a physical letter to you, provided however that if I/we am/are an internet client, then in that

event the request for change in email id / email account can be made by me / us through a secured access using client

specific user id and password. Please treat this authorization as written ratification of my / our verbal directions /

authorisations given and carried out by you earlier. I / We shall be liable for all losses, damages and actions which may arise

as a consequence of your adhering to and carrying out my / our directions given above.

Yours faithfully,

Applicant Name : [Trading Account Holder]

X18 Place:

Date: [Trading Account Holder]

RUNNING ACCOUNT AUTHORISATION FOR TRADING ACCOUNT - [Voluntary Document]

In order to facilitate operations of my/our trading account opened, I/We would like to authorize Muthoot Securities Ltd

(MSTL) to maintain a running account, instead of settlement to settlement clearance of funds/securities due to me/us. I

hereby authorize MSTL to maintain a running account.

I/We shall prefer for actual settlement of funds and securities is at least: (Tick any one below)

Once in a Calendar Quarter Once in a Calendar Month

Such settlement will be done by MSTL on any day at its discretion in a calendar month or quarter as the case may be.

Further I/We authorsie MSTL to maintain a sum of Rs.1000 at all point of time towards charges on my Demat account and

on other services.

I/We am/are aware that the authorsiation may be revoked by me/us anytime at my /our discretion without any advance

notice. MSTL may release the funds/securities to me/us on settlement date or on request or on request or on revocation of

authority, if sufficient margins in respect of my/our trading, across the Stock exchanges and across the segments offered by

MSTL.

Yours faithfully, X19

Applicant Name :


Place:

Date: [Trading Account Holder]

Page 12 of 13

AUTHORISATION FOR VERBAL ORDER ACCEPTANCE - [Voluntary Document]

I / We have been / shall be dealing through you as my / our broker on the Capital Market and / or Futures &Options

Segments / Currency Derivative Segments. As my / our broker i.e. agent I / we direct and authorize you to carry out trading /

dealings on my / our behalf as per instructions given below.

I / We understand that MSTL require written instructions for receiving / modifying / cancelling orders.

However,since it is not practical to give written instructions for order, I / We authorize MSTL to accept my/our

verbal instructions/ orders in person or over phone and execute the same. I / We understand the risk associated

with verbal orders and acceptthe same, and agree that I / We shall not be entitledto disown orders under the plea

that

samewere not under my/our instructions.

I / We agree that I / We will not have the right to shift the burden of proof by asking you to prove the placement of orders

through telephone recording or otherwise.

I / We shall be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying

out my / our directions given above.

Yours faithfully, X20


Place: [Trading Account Holder]

Date:

AKNOWLEDGEMENT

I/We acknowledge the receipt of copy of the below mentioned documents:

1. ��Rights and obligations-Trading Account

2. ��Risk Disclosure documents

4. ��Guidance note – Do’s and Don’ts for trading

5 .��Policies and Procedures.

X21



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