c n t r u mcwmlreports.centrumbroking.com/ecn/css/centrum-broking-crf-non...if already kra...

SEBI REGISTERED NSE, BSE AND MCX-SX MEMBER, DEPOSITORY PARTICIPANT AND PORTFOLIO MANAGER

Registered Office : Bombay Mutual Bldg., 2nd Floor, Dr. D. N. Road, Fort, Mumbai - 400 001.

C E N T R U M B R O K I N G L I M I T E D

C L I E N T R E G I S T R AT I O N K I T

Application No.:

C N T R U M

Client Name:

Client Code:

DP ID: Client ID:

Branch Name:

( AC C O U N T O P E N I N G F O R M )

DOCUMENT RELATED

Application form filled in CAPITAL LETTERS

All Corrections / overwriting on the application form duly authenticated by ALL applicants

Acquiring sales team details (AP Code, RM Code etc) captured on the application form

All documents are SELF ATTESTED by the customer/customer’s guardian (In case of minor)

All documents are VERIFIED WITH ORIGINALs, stamp is affixed and duly signed by RM

KYC RELATED

Type of Account, Occupation, Personal and Financial Details compulsorily filled

Contact details - Telephone number and email id are filled

Photo affixed on the application matches with the identity proof

Date of Birth on identity proof matches with the application form

Address on the application matches with that of the identity proof

If already KRA Certified, kindly provide copy of acknowledgement letter from KRA (or) fill KRA form as per details furnished earlier to KRA.

BANK ACCOUNT RELATED

Bank Account details are properly filled (including MICR code)

Bank Account details match with the account number one the cheque leaf

Bank Account, Name, Type off Acc. Branch address details are properly captured

IFSC Code details are properly captured

SIGNATURE RELATED

Signature across applicant’s photo

Signature on the application matches with signature on identity proof / Pan Card

All pages of the agreements are duly signed / initialed wherever required

Witness signature, full name and complete address are filled

BROKERAGE /FEES RELATED

Brokerage approval obtained • Approval Enclosed

CHECKLIST FOR RESIDENT INDIVIDUALS

YES NO

PROOF OF IDENTITY -ANY ONE Pan Card (Mandatory) Passport (with in expiry date)

PROOF OF RESIDENCE -ANY ONE Ration Card Passport Driving License Voter Id Telephone Bill Electricity Bill Bank Passbook Latest Bank Statement

BANK PROOF -ANY ONE Pre Printed Cheque leaf Passbook Latest Bank Statement

Driving License (With in expiry date) Voter Id UID (Aadhaar)

Additional documents in case of trading in derivatives segments (Any one for FO segment)

Copy of ITR Acknoledgement

In case of salary income - salary slip, Copy of Form 16

Copy of demat account holding statement (latest)

Any other relevant documents substantiating ownership of assets

Copy of Annual Accounts

New worth certificate

Bank account statement for last 6 months (complete 6 months)

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.

Demat master or recent holding statement issued by DP bearing name of the client (in case of other DP)

Checklist verified by : Relationship Manager

Name of the RM :

Emp. code :

Signature :

Checklist verified by : Branch Operation

Name :

Emp. code :

Signature :

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INDEX

S. No. Name of the Document Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Page No

1 to 4A. KRA form (individual) 1. First holder 2. Second HolderB. KRA form (Non-individual) C. Document captures the additional information about

the constituent relevant to trading account and DP account and instruction / check list and Tariff Sheet (Trading) at Page No. 10

1. Account Opening Form

5 to 7

8 to 12

Document stating the Rights & Obligations of stock broker/ trading member, sub-broker, Depository Participant and client for trading on exchanges (including additional rights & obligations in case of internet/ wireless technology based

Document detailing risks associated with dealing in the securities market.

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

Document describing significant policies and procedures of the stock broker

Prevention of Money Laundering Policy

2. Rights and Obligations

3. Risk Disclosure Document (RDD)

4 Guidance note

5. Policies and Procedures

6. PMLA

Provided toclient in aseperatebook

DP ACCOUNT OPENING DOCUMENTS

Additional details required for operating DP account.1. Applicable to DP account

Power of Attorney to be executed in favour of Depository Participant

2. Power of attorney

13 to 14

15 to 17

Document detailing the charges levied on the client for availing Depository Services

Document stating the Terms And Conditions for receiving SMS Alerts

5. Tariff Structure (DP)

4. Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts/ Trust

Optional form for DIS issue 3. DIS issue letter 18

19 to 21

22 to 23

NON MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Document capturing risk appetite of Client Forms1. Risk Profiler

2. Additional Terms and Conditions

Running Account authorization letter for settlement of account periodically

3. Running Account authorization

Document complements certain aspects of trading transactions which are not elaborated in other mandatory documents further it also seeks approval of the client to carry out certain transactions in mutual benefit of the member and the client.

4. ECN Mandate For Receiving Contract Note and other documents in Electronic mode.

Authorization letter given by client to place orders, collect payments / contracts and any other correspondence, etc.

5. Authorization for trade

6. Formats HUF Declaration, Corporate Board Resolution Declaration from Partnership Firm, NRI Declaration

24 to 26

27 to 29

30

31

32

33 to 36

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Registered office :

Dr. D. N. Road, Fort, Mumbai – 400 001. Tel. No. : +91 22 22662434

Fax No. : +91 22 22611105 Website : www.centrumbroking.com

Bombay Mutual Building, 2nd Floor, Corporate Office :

Vidya Nagari Marg Kalina, Santa Cruz (East), Mumbai – 400 098

Tel. No. : +91 22 42159000 Fax No. : +91 22 42159344

Website : www.centrumbroking.com

Centrum House, CST Road, Near Bandra Kurla Complex,

GRIEVANCE REDRESSAL MECHANISM

For any grievance/dispute please contact Centrum Broking Limited at the correspondence address or email id -

[email protected] and Phone No. : 91-22 42159000.

In case not satisfied with the response, please contact the concerned exchange(s) at:

NSE Investor Grievance Cell / Arbitration Email : [email protected]; Tel No. : (022) 26598190

Fax No. : (022) 26598191

Bombay Stock Exchange Limited Email : [email protected] ; Tel No. : (022) 2272 8097

MCX Stock Exchange Limited Email : [email protected]; Tel No. : (022) 6731 8933 / 9000

Segment Exchange Registration No.

CAPITAL MARKET

DERIVATIVES

CURRENCY DERIVATIVES

BSE

NSE

NSE

MCX - SX

CDSL

CDSL

PMS - SEBI

INB011454239

INB231454233

INF231454233 (TRADING & CLEARING MEMBER)

INE261454230

12200

IN-DP-CDSL-661-2012

DP ID

SEBI REGISTRATION NO.

PMS REGISTRATION NO.

Centrum Broking Limited

Compliance Officer :

TEL NO. : +91 22 42159437

EMAIL ID : [email protected]

ASHOK DEVARAJAN

CEO :

ANDEEP NAYAK

TEL NO. : +91 22 42159413

EMAIL ID : [email protected]

S

INP 000004383

Centrum Broking Limited is engaged in client based business and proprietary trading as well. This disclosure is made in pursuance of SEBI circular no. SEBI/MRD/SE/Cire-42/2003 dated 19th November 2003.

?F - Signature of the Client First Holder?? S - Signature of Second Holder

T - Signature of Third Holder

AS - Authorised Signatory

?

1 - 26

1 - 12

1 - 12

1 - 27x

BB

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Know Your Client (KYC)Application form (For Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black ink

A. Identity Details (please see guidelines overleaf)

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

Name

Father's/Spouse Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

2. Gender Male Female B. Marital status Single Married C. Date of Birth d d / m m / y y y y

3. Nationality Indian Other (Please specify)

4. Status Please tick ( 3) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

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

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

6. Proof of Identity submitted for PAN exempt cases Please Tick (3)

UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline 'D' overleaf)

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

City / Town / Villeage

State

2. Contact Details

Tel. (Off.)

MobileE-Mail Id.

(ISD) (STD

(ISD) (STD

Pin Code

Country

Tel. (Res.)

Fax

(ISD) (STD

(ISD) (STD

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

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook

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

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

4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for NRI Applicants


State CountryPin Code





C. Other Details (please see guidelines overleaf)

1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs

Net-worth in `. as on (date) (*Net worth should not be older than 1 year) d d / m m / y y y y

Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired

Housewife Student Forex Dealer Others (Please specify)

2. Occupation (Please tick (3) any one and give brief details):

3. Please tick, if applicable : Politically Exposed Person Related to a Politically Exposed Person

For definition of PEP, please refer guideline overleaf

4. Any other information:

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

Place: Date:

SIGNATURE OF APPLICANT

FOR OFFICE USE ONLY IPV Done on / / d d m m y y y y

(Originals Verified) Self Certified Document copies received

CENTRUM BROKING LIMITED

(Attested) True copies of documents received

Main Intermediary

OR

1


Application No. :

AMC/Intermediary name OR code

F1F

F2F

FIRST HOLDER

Centrum Broking Ltd. Verified With Original / Name:Designation:

Signature:Date: Branch:

In Person Verification

Round Stamp

2

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

A. 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 is required.

4. Name & address of the applicant mentioned on the KYC

form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then

proofs for both have to be 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 ldentity (POI): List of documents admissible as

Proof of Identity:

1. PAN card with photograph. This is a mandatory requirement

for all applicants except those who are specially exempt from

obtaining PAN (listed in Section D).

2. Unique Identification Number (UID) (Aadhaar) / Passport /

Voter lD card / Driving license.

3. Identity card/document with applicant's Photo, 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,

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 of Residence / Driving License /

Flat Maintenance bill / Insurance Copy.

2. 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 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 / Multinationa 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 Fll/sub account, Power of Attorney given by Fll/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 uptoRs 50,000/-p.a.

5. In case of institutional clients, namely, Flls, Mfs, VCFs, FVCIs,

Scheduled Commercial 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 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.

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Know Your Client (KYC)Application form (For Individuals Only)



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

Name

Father's/Spouse Name

PHOTOGRAPH

Please affix

the recent passport

size photograph and

sign across it

2. Gender Male Female B. Marital status Single Married C. Date of Birth d d / m m / y y y y

3. Nationality Indian Other (Please specify)

4. Status Please tick ( 3) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

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

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

6. Proof of Identity submitted for PAN exempt cases Please Tick (3)

UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline 'D' overleaf)




State

2. Contact Details

Tel. (Off.)

MobileE-Mail Id.

(ISD) (STD

(ISD) (STD

Pin Code

Country

Tel. (Res.)

Fax

(ISD) (STD

(ISD) (STD





4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for NRI Applicants


State CountryPin Code





C. Other Details (please see guidelines overleaf)

1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs

Net-worth in `. as on (date) (*Net worth should not be older than 1 year) d d / m m / y y y y

Private Sector Service Public Sector Government Service Business Professional Agriculturist Retired

Housewife Student Forex Dealer Others (Please specify)

2. Occupation (Please tick (3) any one and give brief details):

3. Please tick, if applicable : Politically Exposed Person Related to a Politically Exposed Person

For definition of PEP, please refer guideline overleaf


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

Place: Date:

SIGNATURE OF APPLICANT

FOR OFFICE USE ONLY IPV Done on / / d d m m y y y y




Main Intermediary

OR

3


C N T R U MCENTRUM BROKING LIMITED

Application No. :

SECOND HOLDER

S1 ?

S2 ?

Centrum Broking Ltd. Verified With Original / In Person Verification Name:Designation:

Signature:Date: Branch:

Round Stamp

4




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 is required.

4. Name & address of the applicant mentioned on the KYC

form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then

proofs for both have to be 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 ldentity (POI): List of documents admissible as

Proof of Identity:

1. PAN card with photograph. This is a mandatory requirement

for all applicants except those who are specially exempt from

obtaining PAN (listed in Section D).

2. Unique Identification Number (UID) (Aadhaar) / Passport /

Voter lD card / Driving license.

3. Identity card/document with applicant's Photo, 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,

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 of Residence / Driving License /

Flat Maintenance bill / Insurance Copy.

2. 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 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 / Multinationa 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 Fll/sub account, Power of Attorney given by Fll/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.


(*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.


3. UN entities/multilateral agencies exempt from paying

taxes/filing tax returns in India.


5. In case of institutional clients, namely, Flls, Mfs, VCFs, FVCIs,

Scheduled Commercial 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.


1. Notary Public, Gazetted Officer, Manager of a Scheduled

Commercial/Co-operative 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.

C N T R U MApplication No. :

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Know Your Client (KYC)Application form (For Non-Individuals Only)



1. Name of Applicant (Please write complete name as per Certificate of Incorporation / Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).

Date of Incorporate

PHOTOGRAPH

Please affix

the recent passport

size photograph of

Authorised Signatory

and sign across it

3. Registration No. (e.g. CIN)

d d / m m / y y y y

4. Status Please tick (3) Private Limited Company Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs FI FII HUF AOP Bank Government Body Non Government Organisation Defence Establishment Body of Individual Society LLP Others (Please Specify)

Please enclose a duly attested copy of your PAN Card5. Permanent Account Number (PAN) (MANDATORY)




State

2. Contact Details

Tel. (Off.)

MobileE-Mail Id.

(ISD) (STD

(ISD) (STD

Postal Code

Country

Tel. (Res.)

Fax

(ISD) (STD

(ISD) (STD


*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)

City / Town / Village

State CountryPostal Code


C. New Other Details (please see guidelines overleaf)

1. Gross Annual Income Details (Please tick (3): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac 25 Lacs - 1 Crore >1 Crore

2. Net-worth in `. as on (date) / /(*Net worth should not be older than 1 year) d d m m y y y y

3. Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure to fill in the details)

4. Is the entity involved/providing any of the following services YES NO

- For Foreign Exchange / Money Changer Services YES NO - Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates) YES NO- Money Lending / Pawning YES NO


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.

Place: Date:

FOR OFFICE USE ONLY



Place of Incorporation

2.

Date of commencencement of business d d / m m / y y y y


*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)

NAME & SIGNATURE(S)OF AUTHORISED

PERSON(S)

5

Centrum Broking LimitedIn Person VerificationVerified With OriginalName:Designation:Signature:Date: Branch:



AS1x

AS2 x

6




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 is required.

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

5. If correspondence & permanent address are different, then proofs for both have to be 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 ldentity (POI): List of documents admissible as Proof of Identity:

1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specially exempt from obtaining PAN (listed in Section D).

2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter lD card / Driving license.

3. Identity card/document with applicant's Photo, 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, 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 of Residence / Driving License / Flat Maintenance bill / Insurance Copy.

2. 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 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 / Multinationa 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 Fll/sub account, Power of Attorney given by Fll/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.


(*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.


3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.


5. In case of institutional clients, namely, Flls, Mfs, VCFs, FVCIs, Scheduled Commercial 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.


1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative 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. Incase of Non-Individuals, additional documents tobe obtained from non-individuals, over & above the POI & POA, as mentioned below:

Documentary requirements

• Copy of the balance sheets for the last 2 financial years (to be submitted every year)

• 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 DIM 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


• Certificate of registration (for registered partnership firms only)

• Copy of partnership deed

• Authorised signatories list with specimen signatures

• Photograph, POI, POA, PAN of Partners


• Certificate of registration (for registered trust onlyj.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


• Copy of SEBI registration certificate


• Serf-certification on letterhead


• 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

Types of entity

Corporate

Partnership firm

Trust

HUF

Unincorporated Association

or a body of individuals

Banks/Institutional Investors

Foreign Institutional

Investors (Fll)

Army/Government Bodies

Registered Society

7

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

Name of Applicant PAN of the Applicant

Seal/Stamp of the Centrum Broking Limited

Signature of the Authorised Signatory

Name :

Date : D D M M Y Y Y Y

Sr. No.

PAN Name

DIN (For Directors) /

UID (For Others)

Residential /RegisteredAddress

Relationshipwith

Applicant(i.e. promoters,

whole timedirectors etc.)

WetherPoliticallyExposed

Photograph

q

q

q

PEP

RPEP

NO

q

q

q

PEP

RPEP

NO

q

q

q

PEP

RPEP

NO

q

q

q

PEP

RPEP

NO

q

q

q

PEP

RPEP

NO

AS3 x

This pag Intentioa ly kept Blank

e is

n l

8

CATEGORIZATION OF THE CLIENT

c Retail c Film Star / Model c Employee c Research Associate c Journalist c Others (specify)_________________

c HNI c Police c Govt. Official c Civil Servant / IAS Officer c Advocate c Politician

(only 1st Bank Account detail will be mapped with DP)

Bank Name Branch Address Bank A/c. No.

Note : Please provide the above details with care as the same shall be used for Payment through NEFT / RTGS.

(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 / Client and not more than 3 months old, (or)

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

(iv) Letter from the Bank.

In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document and it should be self-certified by the BO / Client.

SUB - STATUS (Please select One)

c INDIVIDUAL c Individual resident

c Individual HUF/AOP c Individual promoter c Individual director c Others (specify)_______

c NRI c NRI Repatriable c NRI Non-Repatriable c NRI Repatriable Promoter

c NRI Non-Repatriable c PROMOTER c NRI depository receipt c Others (specify)_________

c FOREIGN c Foreign National c Foreign National - Depository receipt c Others (specify)_________

NATIONAL

c CORPORATE c Pvt. Ltd. Co. c Public Ltd. Co. c Body Corporate c Partnership c Trust c Charities c NGO's

c FI c FII c HUF c AOP c Bank c Govt. Body c Non Govt. Organisation

c Defense Establishment c BOI c Society c LLP c OCB c Mutual Fund c CM c Clearing House

c Others (specify)________________________

c Individual margin trading a/c (mantra) c Individual director Relative

PART IIAdditional details required for Trading / DP Account (Individual / Non Individual)

BANK ACCOUNT DETAILS

DEPOSITORY ACCOUNT DETAILS

Name of DP

*Centrum Broking Limited

Name of the Depository DP ID No. Client Id No. / BO ID No.

1 2 0 1 2 2 0 0c NSDL c CDSL

c NSDL c CDSL

To be filled by CBL,in case the client opens the DP account with CBL.

A/c. Type(Saving/Current/Others in Case ofNRI/NRE/NRO)

MICR No. IFSC Code

9

TRADING PREFERENCE

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

EXCHANGE SEGMENTS SIGNATURE

National Stock Exchangeof India Limited

Capital Merket

Futures & Options - Equity

Bombay Stock ExchangeLimited

Others : Name of theExchange:

Cash

# If in future the client wants to trade on any additional exchange / segment, a seperate authorization letter clearly mentioning the name of the exchange and segment can be submitted by the client.

Currency Derivative

Sub-broker’s Name:

SEBI Registration number:

Registered office address

Phone

Website

Fax

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

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

Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)

Name of stock broker

Name of Sub-Broker, if any:

Client Code:

Details of disputes/dues pending from/to such stock broker / sub-broker:(use extra sheet if required)

Exchange:

RBI Registration no. (If applicable) Date D D M M Y Y Y Y

ADDITIONAL DETAILS

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

• Specify your Email id, if applicable:____________________________________________________________________

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

• Number of years of Investment/Trading Experience:______________________________________________________

• Any other information:_____________________________________________________________________________

DECLARATION FROM CLIENT FOR PAST REGULATORY ACTION AGAINST HIM/HER

Details of any action/proceedings initiated/pending/taken by SEBI,Exchanges a or any other regulatory authority against the applicant in securities during last 3 years__________________________________________________________________

F3FAS4 x F4FAS5 x

F5FAS6 x

F6FAS7 x

F7FAS8 x

10

INTRODUCER’S DETAILS (OPTIONAL)

Name of Introducer

Introducer Address

Signature of the Introducer _______________________________________

Surname Name Middle Name

Status of the Introducer: ? Sub-broker ? Employee ? Authorized Person ? Client

? Others, please specify_________________

Phone No.

Other Charges

Sr. No. Particulars Charges

Exchange Pay in for customers from collateral account or Inter settlement security transfers

Cheque bounce charges

Duplicate statements (printed statements to be couriered)

Contract Note Charges (Additional physical copy)

Delivery Handling charges (Additional Physical Copy)

`

`

`

`

10/- per transaction*

500/- per presentment*

100/- per request*

50/- per contract*

As applicable from time to time

Notes:

1 Centrum Broking Ltd (Company) reserves the right to revise the fees / charges with the prior notice to custpmers. (On receipt of the consent of the customer, such charges shall be effective).

2. All other statutory, regulatory and contractual charges including STT, Stamp duty, Service Tax, SEBI fees, Exchange Turnover charges as applicable.

Signature of the Client (First Holder)

F8?

Approver Name

1

2

3

4

5

RM Signature

X

RM Code :__________________

SCHEDULE OF CHARGES (TRADING)

*Actual

Standard Account Opening : 1000/-

Brokerage

Delivery : 0.50 % min. 0.05% Intraday 0.05% (each leg) min. 0.05%

Futures : 0.05%% min. 0.02%

Options : min. 1.5% of premium per lot

`

` 100/-

(for NRI : ` 2500/-)

Account Opening : 1000/-

Brokerage

Delivery : % min Intraday % (each leg) min

Futures : % min

Options : min % per lot

`

`

(for NRI : ` 2500/-)

*If not filled standard rate apply.

AS9x

NOMINATION DETAILS

Nomination Registration No. Date D D M M Y Y Y Y

I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:

q I/We do not wish to nominate any one for this demat account / trading account.

q I/We nominate the following person who is entitled to receive security balances lying in my/our account, particulars

whereof are given below, in the event of my / our death.

Full Name of the Nominee

Full Name of Guardianof Nominee

Relationship with BO (If any)

Relationship of Guardian with Nominee

Date of Birth (mandatiry if nominee is a minor

City/Town/Village.

City/Town/Village.

Country:

Country:

Tel. No.

Tel. No.

Mobile

Mobile

State:

State:

Pin Code:

Pin Code:

Fax No.

Fax No.

Email ID

Email ID

Address of the Nominee

Address of the of Nominee

Guardian

D D M M Y Y Y Y

As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the

death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian:

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

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

PAN No. UID No.

11

WITNESS (Only applicable in case the account holder has made nomination)

Witness 1

Name

Signature______________________________________

Address

Witness 2

Name

Signature______________________________________

Address

Address Address

Address Address

City

PAN No.

City

PAN No.

12

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, Policy & Procedures and PMLA Policy. 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 www.centrumbroking.com, if any, for the information of the clients.

Signature of the Authorised Signatory Seal/Stamp of the Centrum Broking Limited

Date : D D M M Y Y Y Y

UCC Code allotted to the Client

Documents verified with Originals

Client Interviewed ByIn-Person Verification

done by

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

FOR OFFICE USE ONLY

DECLARATION

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and behalf

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 misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. In case of suppression of

any material information by me/us will render my/our account liable for termination or suitable action.

2. I/We acknowledge the receipt of booklet containing 'Rights and Obligations' document(s) and 'Risk Disclosure'

document, guidance note, policy & procedures of stock broker and guidance note on PMLA.

3. I/We confirm having read/been explained and understood the contents of the document on policy and procedures,

policy on PMLA of the stock broker and the tariff sheet.

4. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk

Disclosure Document' and guidance notes. I/We do hereby agree to be bound by such provisions as outlined in this

documents. I/We have also been informed that the standard set of documents has been displayed for information on

stock broker's designated website i.e. Centrumbroking.com

First Holder Second Holder Third Holder

Name

SignatureF9FS3 A T3

Place :__________________ Date : D D M M Y Y Y Y

AS10x B

13

Do you wish to receive dividend / interest directly in to your 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 ]

q q Yes No

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

[Automatic Credit] Yes Noq q

Account Statement Requirement q q q q q As per SEBI Regulation Daily Weekly Fortnightly Monthly

I / We request you to send Electronic Transaction-cum-Holding Statement at the

email ID__________________________________________________________ q q Yes No

SMS Alert Facility Refer to Terms &

Conditions given as Annexure - 2.4

EasiTo 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.

MOBILE NO. +91

[(Mandatory , if you are giving Power of Attorney ( POA)]

(if POA is not granted & you do not wish to avail of this facility, cancel this option).

I / We would like to instruct the DP to accept all the pledge instructions in my / our account without any other further instruction from my / our end

(If not marked, the default option would be 'No')

I / We would like to share the email ID with the RTA

q q Yes No

q q Yes No

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

q q q

PhysicalElectrnicBoth Physical and Electronic

APPLICABLE TO DP ACCOUNT

(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:-

(To be filled by the Depository Participant)

Application No.

DP Internal Reference No.

DP ID

Date

Client ID

D D M M Y Y Y Y

Depository Participant Name :

Address :


Bombay Mutual Bldg., 2nd Floor, Dr. D. N. Road, Fort, Mumbai - 400 001.

1 2 0 1 2 2 0 0

DETAILS OF GUARDIAN (IN CASE THE ACCOUNT HOLDER IS MINOR)

Guardian Name PAN

Relationship with the applicant

14

Transactions Using Secured Texting Facility (TRUST),Refer to Terms and Conditions Annexure-2.6

I wish to avail the TRUST facility using the Mobile numberregistered for SMS Alert Facility, I have read andunderstood the Terms and Conditions prescribed by CDSLfor the same.

c Yes c No

I/We wish to register the following clearing member IDsunder my/our below mentioned BO ID registered for TRUST

StockExchangeName/ID

ClearingMember Name

ClearingMember ID(Optional)

Signature of Sole / First Holder

Date_____________________

F10? ?Signature of Second Holder

S4

Signature of Third Holder

T4AS11x B

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(a) I/We have a beneficial owner account number ________________________ (hereinafter referred to as the said

‘BO account’) with Central Depository Services (India) Limited, through Centrum Broking Ltd. (hereinafter called

as “CBL” “DP”) DP ID 12200 with Central Depository Services Limited;

(b) I /We also have a trading/investment account with CBL and are engaged in buying and selling of securities

through CBL, a member of Bombay Stock Exchange Limited bearing SEBI registration no. INB011454239 and

member of National Stock Exchange Limited bearing SEBI registration no. INB231454233.

(c) Due to exigency and paucity of time and to ensure seamless operations, I/We am/are desirous of appointing an

attorney to operate the said account/(s) on my/our behalf in the manner hereinafter appearing.

NOW KNOW WE ALL AND THESE PRESENTS WITNESSETH that I/We, the above named, do hereby nominate,

constitute and appoint Centrum Broking Ltd. an Indian company incorporated under Companies Act, 1956 acting

through its Directors and/or Officers authorised for the purpose, as our true and lawful attorney(s) (hereinafter

referred to as “the Attorney(s)”) for me/us and on my/our behalf and in my/our name, to do the following acts, deeds

and things and exercise the following powers and authorities:

1. To do all such thing and give all such instructions as mentioned below concerning the said account as I/We

myself/ourselves could give if I/We was/were personally present.

2. To treat the balance in my BO account as margin against my transactions in capital and derivative segment and to pledge/

unpledge the same with CBL or NSE or BSE or clearing member as margin deposit.

3. To instruct DP to transfer the shares to CDSL A/c no. 12012200 00062669 and pledge/ unpledge the same with the

NSE/BSE or clearing member only as margin deposit on my behalf.

4. To instruct the DP to debit securities to the said BO account and/ or transfer securities from the said account to CBL NSE

pool account no. 12012200 00062654 , and/or to CBL BSE pool account no. 12012200 00062601 / 12012200 00062595

to the extent of shares sold by me/us only for pay-in obligations towards any stock exchange.

5. To instruct the DP to debit securities to the said account, which have been wrongly credited in my BO account.

6. To transfer charges levied in my BO account to my trading ledger account of NSE & BSE.

7. 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.

8. To do all such acts pursuant to give effect to the powers granted under this Power of Attorney.

9. And I hereby agree and confirm that the powers and authorities conferred by this power of attorney shall continue until

revoked.

15

POWER OF ATTORNEY

TO ALL TO WHOM THESE PRESENTS SHALL COME:

I/We________________________________________________________________________________________

and ________________________________________ and ____________________________________________

individual / partnership firm/ corporate, being Indian Inhabitant SEND GREETINGS:

Whereas:

F11?

S5

?


F12? ?Signature of the Second Holder

S6

T5

AS1

2x

Signature of the Third Holder

T6AS13x

B

B

In the presence of witness for BOName Name


F13? ?Signature of the Second Holder

S7

Name

SIGNED AND DELIVERED BY THE WITHIN NAMED BENEFICIAL OWNER )

Name : Signature :

Regd. Office : 2nd Floor, Bombay Mutual Building, Dr. D. N. Road, Fort, Mumbai - 400 001.

Place : Date : D D M M Y Y Y Y

We acceptFor CENTRUM BROKING LIMITED

Director / Authorised Signatory

Witness 1

Name

Signature______________________________________

Address

Witness 2

Name

Signature______________________________________

Address

Address Address

Address Address

City

PAN No.

City

PAN No.

I/We ratify and confirm all the acts done by CBL on our behalf as are consistent with the powers hereinabove in the manner specified herein.

16


T7AS14x B

17

Sr. No.

Name of the family members Relationship Date of birth Signature

ADDENDUM TO POA APPLICABLE TO HUF ACCOUNT

Name of the Karta :

Stamp and Signature of Karta :

We acceptFor CENTRUM BROKING LIMITED Director / Authorised Signatory

Gender PAN No.

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18

OPTION FORM FOR ISSUE OF DIS BOOKLET

To,Centrum Broking Limited (CBL)Mumbai

Dear Sir/Madam

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.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 / ClearingMember / 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.

q

q

Yours faithfully

First/Sole Holder Second Joint Holder Third Joint Holder

Name

Signature

(Please Tear Here)

Acknowledgement Receipt

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

Name of the Sole / First Holder

Name of Second joint Holder

Name of Third joint Holder

DP ID Client ID


Seal and Signature

1 2 0 1 2 2 0 0

F14? ?S8 T8AS15x B

(Please Tear Here)

Tis a

e is int n iona

ket b

n

hp

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19

Combined Registration Form for availing SMS Alert and /or TRUST facility and for registering Clearing Members on whose behalf the securities can be transferred from the account of BO on the basis of SMS under TRUST facility

To,Centrum Broking LimitedCentrum House, CST Road, Near Bandra Kuria Complex, Vidya Nagari Marg Kalina, Santa Cruz (East),Mumbai - 400 098.

Dear Sir/Madam,I/We wish to avail the following facility/ies provided by the depository on my/our mobile number as provided below subject to the terms and conditions as specified by CDSL

a. SMART-SMS alert facilityb. TRUST- TRansaction using Secured Texting facility(please note that SMS alert facility is mandatory if TRUST facility is opted for)

BOID :

Sole / First Holder's Name :

Second Holder's Name :

Third Holder's Name :

I/We wish to register the followinclearing members / IDs under my/our above mentioned BO ID registered for TRUST

Mobile no. on Which messages Are to be sent

(Please write only the mobile number without prefixing country code or zero)(Existing users registered for SMS alerts:- Please note that if the mobile number for TRUST is different than the registered mobile number for SMS alert, the new mobile number will be updated for SMS alert also. )The mobile number is registered in the name of:

(Name)

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

I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purpose of availing the said facility.I/we acknowledge that transactions entered by the above clearing members will be executed on the basis of SMS sent through our registered mobile number under TRUST and I/we shall be wholly responsible for execution / non-execution of the said transactions based on receipt/non-receipt of such SMS.I/We have read and understood the terms and conditions prescribed by CDSL for the said facility/ies and agree to abide by them and any amendments thereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time.

1 2 0 1 2 2 0 0

ASignature of the Second Holder

S9


Place :

F15F

+91

Sr.No.

Stock ExchangeName/ID

Clearing Member NameClearing Member ID

(Optional)


T9AS16x B

20

1. Definitions:

In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

i. "Depository" means Central Depository Services (India) Limited (CDSL)

ii. TRUST means "Transactions Using Secured Texting" service offered by the Depository.

iii. "Service Provider" means a cellular service provider(s) with whom the Depository has entered / shall enter into an arrangement for providing the TRUST service to the BO.

iv. "Service" means the service of providing facility to receive/give instructions through SMS on best effort basis as per the following terms and conditions. The types of transaction that would normally qualify for this type of service would be informed by CDSL from time to time.

v. "Third Party" means the operators with whom the Service Provider is having / will have an arrangement for providing SMS to the BO.

2. The service will be provided to the BO at his / her request and at the discretion of the depository provided the BO has registered for this facility with their mobile numbers through their DP or by any other mode as informed by CDSL from time to time. Acceptance of application shall be subject to the verification of the information provided by the BO to the Depository

3. The messages will be sent on best efforts basis by way of an SMS on the mobile no which has been provided by the BOs. However Depository shall not be responsible if messages are not received or sent for any reason whatsoever, including but not limited to the failure of the service provider or network.

4. The BO is responsible for promptly informing its DP in the prescribed manner any change in mobile number, or loss of handset on which the BO wants to send/receive messages generated under TRUST. In case the new number is not registered for TRUST in the depository system, the messages generated under TRUST will continue to be sent to the last registered mobile number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of messages sent on such mobile number.

5. The BO agrees that SMS received by the Depository from the registered mobile number of the BO on the basis of which instructions are executed in the depository system shall be conclusive evidence of such instructions having been issued by the BO. The DP / CDSL will not be held liable for acting on SMS so received.

6. The BO shall be responsible for submitting response to the 'Responsive SMS' within the specified time period. Transactions for which no positive or negative confirmation is received from the BO, will not be executed except for transaction for deregistration. Further, CDSL shall not be responsible for BOs not submitting the response to the said SMS within the time limit prescribed by CDSL.

7. The BO agrees that the signing of the TRUST registration form by all joint holders shall mean that the instructions executed on the basis of SMS received from the registered mobile for TRUST shall be deemed to have been executed by all joint holders.

8. The BO agrees to ensure that the mobile number for TRUST facility and SMS alert (SMART) facility is the same. The BO agrees that if he is not registered for SMART, the DP shall register him for SMART and TRUST. If the mobile number provided for TRUST is different from the mobile number recorded for SMART, the new mobile number would be updated for SMART as well as TRUST.

9. BOs are advised to check the status of their obligation from time to time and also advise the respective CMs to do so. In case of any issues, the BO/CM should approach their DPs to ensure that the obligation is fulfilled through any other mode of delivery of transactions as may be informed / made available by CDSL from time to time including submission of Delivery Instruction Slips to the DP.

Terms And Conditions for availing Transaction Using Secured Texting (TRUST) Service offered by CDSL

21

10. The BO acknowledges that CDSL will send the message for confirmation of a transaction to the BO only if the Clearing Member (registered by the BO for TRUST) enters the said transaction in CDSL system for execution through TRUST within prescribed time limit.

11. The BO further acknowledges that the BO/CM shall not have any right to any claim against either the DP or Depository for losses, if any, incurred due to non receipt of response on the responsive SMS or receipt of such response after the prescribed time period. In the event of any dispute relating to the date and time of receipt of such response, CDSL's records shall be conclusive evidence and the Parties agree that CDSL's decision on the same shall be final and binding on both Parties.

12. The BO may request for deregistration from TRUST at any time by giving a notice in writing to its DP or by any other mode as specified by Depository in its operating instructions. The same shall be effected after entry of such request by the DP in CDSL system if the request is received through the DP.

13. Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.

14. The BO expressly authorises Depository to disclose to the Service Provider or any other third party, such BO information as may be required by them to provide the services to the BO. Depository however, shall not be responsible and be held liable for any divulgence or leakage of confidential BO information by such Service Providers or any other third party.

15. The BO takes the responsibility for the correctness of the information supplied by him to Depository through the use of the said Facility or through any other means such as electronic mail or written communication.

16. The BO is solely responsible for ensuring that the mobile number is not misused and is kept safely and securely. The Depository will process requests originated from the registered Mobile as if submitted by the BO and Depository is not responsible for any claim made by the BO informing that the same was not originated by him.

17. Indemnity:

In consideration of providing the service, the BO agrees that the depository shall not be liable to indemnify the BO towards any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

18. Disclaimer:

Depository shall be absolved of any liability in case:-

a. There is loss of any information during processing or transmission or any unauthorized access by any other person or breach of confidentiality.

b. There is any lapse or failure on the part of the service providers or any third party affecting the said Facility and that Depository makes no warranty as to the quality of the service provided by any such service provider.

c. There is breach of confidentiality or security of the messages whether personal or otherwise transmitted through the Facility.

22

DEPOSITORY CHARGES

SCHEDULE OF CHARGES FOR BENEFICIARY ACCOUNT

Gold Scheme

NIL

NIL

NIL

Individual/HUF Rs.300/-, Corporate Rs. 800/- p.a.(Excluding Service Tax)

NIL

` 100/- per DRF & 10/- per Certificate

100/- per DRF

100/- per certificate + Actual CDSL charges (CDSL Charges as applicable would be levied)

0.02% of the value subject to minimum 25/- per Transaction



10/- per ISIN

NIL


0.02% of the value subject to minimum Rs .100/- per Transaction


NIL

NIL

100/-

25/-

20/- per ISIN

500/- per cheque bounce

`

`

`

`

`

`

`

`

`

`

`

`

`

Particulars

Desposit

Account Opening Charges

Agreement Docuemtnation Charges (At the time of opening of CDSL account

Annual Maintanance Charges

Custody Charges

Demat Charges

Demat Rejection Charges

Rematerialisation Charges

Tranaction Charges(through CBL) Off market

Tranaction Charges(through CBL) On market

Tranaction Charges(outside CBL)

Failed Instruction Charges

Booklet Charges

Pledge Creation Charges

Pledge Closure Charges

Pledge Invocation Charges

Account Closing Charges

Monthly/Quarterly Trans. Statement through Mail

Additonal A/c Statement(Physical)

Additonal A/c Statement(E Copy)

Late Transaction Charges

Other Charges

23

Notes:

1. Documentation charges and first year AMC as maybe applicable are collected at the time of application to open the account

2. CENTRUM BROKING LIMITED, reserves its right to revise its Charges/ Billing structure at its absolute discretion.

3. Cheques/Pay Orders /D.D should be drawn in favour of " CENTRUM BROKING LIMITED".

4. Payment of AMC for the first year to be done at the time of account opening.

5. All the DP charges will be debited to CBL Broking Account Ledger whenever applicable.

6. Any statutory levies, including service tax, as maybe applicable, shall be at charged at actuals

7. Any service not covered above shall be charged for separately.

I/ We agree to pay the above charges as per Scheme (please tick)

Name Name

ASignature of the Second Holder

S10


F16F

DECLARATION

I/We have read the terms & conditions Rights and Obligations 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 agree and undertake to intimate the DP any change(s) in

the details / Particulars mentioned by me / us in this form. 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.

First / Sole Holder orGuardian (in case of Minor)

Second Holder Third Holder

Name

Signature

(Signatures should be preferably in black ink).

F17F S11 A T11

I/We acknowledge the receipt of documents containing Rights and Obligations applicable for DP account and further confirm that I / We understood the contents of `Rights and Obligations``.

Name


T10AS17x

AS18x

B

B

B

NON-MANDATORY

24

FINANCIAL RISK PROFILER

GROUP A

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1. Your current age is:

a. Under 30 years

b. 31 – 40 years

c. 41 – 50 years

d. 51 – 60 years

e. Over 60 years

2. Your current annual take home income is:

a. Under Rs. 10,00,000

b. Between Rs. 10,00,001 and Rs. 15,00,000

c. Between Rs. 15,00,001 and Rs. 20,00,000

d. Between Rs. 20,00,001 and Rs. 30,00,000

e. Over Rs. 30,00,001

3. The number of years you have until retirement is:

a. 3 years or less

b. 3 to 5 years

c. 5 to 10 years

d. 10 to 15 years

e. 15 years or more

4. Your present job or business is:

a. Is not dependable

b. Is relatively secure

c. Is secure

d. Doesn’t matter as you already have enough wealth

e. Doesn’t matter as you can easily find an equally good new job/career

5. What are your expectations of how your future earnings would be?

a. It would far outpace inflation

b. It would be somewhat ahead of inflation

c. It would keep pace with inflation

d. It may not be able to keep pace with inflation

6. How good is your knowledge of finance?

a. I’m an expert in the field of finance

b. I’m proficient in finance

c. I don’t know much about finance but I keep myself updated about through newspapers, journals, TV, etc.

d. Limited to knowing things like how the stock market or certain select script is /are moving

e. I’m totally zero as far as knowledge of finance is concerned

7. If you lose your job or stop working today, how long do you think your savings can support you?

a. Less than 3 months

b. 3 – 6 months

c. 6 months to 1 year

d. 1 – 3 years

e. More than 3 years

8.

a. Only yourself

b. 1 person besides yourself

c. 2 to 3 persons besides yourself

d. 4 to 5 persons besides yourself

e. More than 5 persons besides yourself

You are financially responsible for (exclude dependants who can be supported by your spouse’s income)?

25


GROUP B

9. How would you describe yourself as a risk-taker?

a. I do not mind speculating

b. Willing to take risks for higher returns

c. Can take calculated risks

d. Low risk taking capability

e. Extremely averse to risk

10. If you had Rs. 25 Lacs to invest, which of the following choices would you make?

a. Put the money in Bank Fixed Deposit and Bonds

b. Invest the money in Mutual Funds

c. Invest the money in Shares

d. Invest in the combination of above with higher proportion of Bank FDs and Bonds

e. Invest in the combination of above with higher proportion of Mutual Funds and Shares

11. You have a market tip on the price appreciation of certain scrip, you:

a. Immediately invest in the scrip

b. Invest if you feel that the source of the tip is an experienced / expert market player

c. Do some enquiry and analysis and then decide

d. Want to invest but are generally unable to take decision in such cases

e. You don’t rely on such tips or totally ignore it.

12. You are on a TV game show and you win Rs. 50 Lacs. You have a choice to keep the money or

risk it to win a higher amount. You:

a. Are happy with Rs. 50 Lacs that you have earned

b. Risk the Rs. 50 Lacs on a 50% chance of winning Rs. 1.50 Cr

c. Risk the Rs. 50 Lacs on a 25% chance of winning Rs. 3.75 Cr

d. Risk the Rs. 50 Lacs on a 10% chance of winning Rs. 5 Cr

13. Which one of the following bets describes your feeling immediately after making an

investment, you:

a. Are not bothered – it’s just another investment for you

b. Are satisfied and content with the decision

c. Are not very sure whether you made the right decision

d. Are worried

e. Generally regret your decision

14. The stock market has dropped 25% and a share that you own also dropped 25%, but the market

expects the share to go up again. What would you do?

a. Sell all the shares

b. Sell some of them

c. Buy more of them

d. Keep all of them as you expect the price to reach the earlier level

e. Keep all of them as you are afraid of booking a loss

15. You have a substantial sum of money spare for about 6months after which you need this sum

to repay a loan, this sum is currently not invested anywhere. You would:

a. Keep the money in your bank fixed deposit or money market funds

b. Invest the money in Debt mutual funds

c. Invest the money in Equity shares / Equity mutual funds

d. Loan the money at market rates to businessmen

e. Invest the money in a combination of above

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26


ANALYSIS

Your Risk taking capacity based on your life seems to be

1. Low

2. Low-Medium

3. Medium

4. High

5. Very High

Your attitude to risk based on your inputs seems to be

1. Low

2. Low-Medium

3. Medium

4. High

5. Very High

INVESTMENT PROFILE

1. CONSERVATIVE

2. MODERATE

3. BALANCED

4. AGGRESSIVE

5. HIGHLY AGGRESSIVE

Name of the RM Signature

I hereby acknowledge that my investment profile has been determined as________________ based on the information provided by me. However of declare that my risk profile to be charged to set up as____________.

I would like to avail of leverage for trading in equities and Derivatives as may be offered by the member.

Name of the Client____________________________________________

Signature of the Client

Date :

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F18?AS19x

27

1. Compliance with Laws

I am/we are, fully aware that all transactions that are carried out by me/us and on behalf of me/us shall always be subject to Government notifications, rules, guidelines, regulation, circulars, by SEBI/RBI/ Exchanges and other regulatory authorities that may be in force from time to time.

In case if I/We register as a Non resident Indian or my/our status changes from Resident Indian to Non resident Indian I/We agree to intimate the same to the CBL or its depository participant, and agree to abide by Foreign Exchange Management Act, 1999 and rules and regulations issued there under from time to time. I/We being NRI / PIO, hereby acknowledge that I/We are aware of the RBI guidelines in relation to my/our investments in the secondary market in India. I/We hereby agrees to keep my self/ourself abreast of the ceiling limits on investments as published by RBI from time to time and also agrees that I/we shall immed-iately reverse my/our transaction, if such transaction breaches the ceiling limits as imposed by RBI In case the I/We is/are unable to reverse such transaction immediately, I/We authorize the CBL to do so under intimation to me/us.

Unless otherwise agreed in writing by the CBL, I/We agree and confirm that the CBL and I/We shall in no circumstances be considered as persons acting in concert or as persons co-operating with each other (directly or indirectly) or as persons having a common objective or purpose of substantial acquisition of shares or voting rights or gaining control over any company, whose shares are purchased by the CBL for and on behalf of and on account of the me/us.

I/We understand, agree and confirm to provide copies of Annual Accounts, Returns or any other document that maybe asked for by the CBL to comply with Prevention of Money Laundering Act, 2002, as amended. If I/We fail to provide the documents, as may be required by the CBL, the CBL reserves the right to suspend/terminate my/our trading/demat account after giving the proper notice

2. Dematerialised securities

All orders made by me/us shall only be in securities compulsorily traded in the dematerialized form. All deliveries of securities made by me/us shall only be in the dematerialized form.

3. Authorised Representative

I/We hereby confirm, undertake and agree to inform to CBL in writing any change in the name of authorized representative, failing which I/We shall be responsible for the trade obligations arising out of the actions of both the old representative as well as the new representative.

I/We confirm that if any transaction(s) with the CBL, has/have been executed on behalf of me/us by any other person, not intimated to the CBL and the same has/have been accepted by me/us from time to time on the basis of the contract note(s)/bills/any other correspondence dispatched/communicated to the me/us by CBL and/or by part or full settlement of the said transaction(s) by me/us, then such transaction(s) shall be deemed to be executed by the representative authorized by us/me and the I/we hereby agree to ratify and accept all such or other actions of such persons and undertakes to meet all obligations arising from these transaction(s).

4. Charges

The CBL shall be entitled to debit the charges of the depository participant for the trades and the bank charges for the realization/return of cheques etc. to my/our account and all other charges as detailed below.

User Fees/ Other Charges: CBL or any of its affiliates may charge user fees for the use of any other services including but not restricted to Internet Trading ancillary services, use of the website platform and the call and trade services at rates mentioned on the website or otherwise intimated and as modified from time to time including but not limited to the following

CBL shall have right to debit the following charges from my/our account

(i) Account Set up Charges

(ii) Documentation Charges

(iii) All statutory levies such as STT, Stamp duty, exchange turnover tax, Service tax, SEBI fee or any other levy of this nature.

(iv) Bank Charges for clearance of cheque.


F19?

Name

ADDITIONAL TERMS AND CONDITIONS APPLICABLE TO THE CLIENT FOR AVAILINGSECURITIES TRADING SERVICES FROM CENTRUM BROKING LIMITED (CBI)

AS20x

28

(v) Charges for availing research reports.

(vi) Charges for availing special facility for mobile broking, SMS facility.

(vii) Inter settlement charges

(viii) Auction charges

(ix) Penalties levied by the exchange for client limit violations

(x) Charges for dishonor of cheque(s) given by the Client

(xi) Arbitration and Legal expenses in case of dispute resolution, subject to rules and regulations of SEBI / Exchanges.

(xii)Any other charges for other services/facilities availed by the Client and communicated by CBL to the client from time to time.

5. DELAYED REPORTING OF TRANSACTIONS

I /We hereby confirm and agree that if trades or transactions are reported late to CBL on account of any problems at the exchange or whatever reasons, the client in turn will be subject to late reporting of such transactions.

In addition, any errors reported to the client for any reason whatsoever will stand subsequently corrected to reflect the transaction that was effected in the market.

6. RECORDING OF CONVERSATION

I/We are, aware that the CBL may record the conversations between my/our representative and the CBL, either personally or over the telephone, and hereby specifically permits the CBL to do so. Such recordings may be relied upon by the CBL as and when required to resolve disputes in connection with the trading transactions.

7. CONCLUSIVENESS OF RECORDS

The CBL'S own records of the trades/transactions maintained through computer systems or otherwise shall be accepted as conclusive and binding on me/us for all purposes.

8. PROPRIETARY TRADING:

I/we are, aware that the CBL undertakes proprietary trading in addition to CLIENT based trading.

9. INCORRECT CREDIT/DEBIT:

In the event of receiving an incorrect credit/debit by reason of a mistake to my/our account, CBL shall be entitled to reverse such incorrect credit/debit at any time whatsoever. I/We shall be liable and continue to remain liable to the CBL for any incorrect gain obtained as a result of the same and CBL reserves the right to take such remedial measures against the me/us for recovery of the erroneous credit.

10. CBL CLIENT COMMUNICATION:

a. Electronic Communication of documents:

Whereas I/We separately authorize CBL to send the contract note/trade confirmations of the trades executed, bills and account statements or such other data relating to his trading account with the CBL and also authorize Depository Participant to send all bills and/or transactions statements, communication and information through electronic mail to my/our email address registered through my/our account opening form(KYC) with Centrum Broking Limited / or such other designated email address as may be intimated by me/us to the CBL. By means of such authorization CBL fulfils its legal obligation to deliver to me/us any such document if sent via electronic delivery. I/We agree that the log report generated by the system at the time of sending of the contract notes or other documents shall be treated as the acknowledgement and confirmation of receipt of contract notes and such other documents by me/us. I/We understand that it is my/our responsibility to review, upon first receipt, whether delivered to me/us by mail, by e-mail (including any auto replies from the system of the CBL), or other electronic means, all confirmations, statements, notices, contracts, bills and other communications. All information contained therein shall be binding upon the me/us, if the I/We do not object, either in writing or via electronic mail, within twenty four hours after any such document is sent to the me/us. In all cases, the CBL reserves the right to determine the validity of my/our objection to the transaction. The CBL, may on request by me/us and at such additional cost to the me/us, send hard copies of the contract notes or such other documents. Further non-receipt of bounced mail notification by the CBL shall amount to delivery of contract note at the Email ID of the me/us.

b. SMS facility authrosaiton

l/We hereby authorize CBL to send investment information via SMS, and confirm voluntary acceptance


F20?

Name

AS21x

29

of the SMS facility and will not hold either CBL or the SMS Service Provider acting on CBL's behalf, liable for the same. I/We confirm that the information so communicated will not be unsolicited or would not be any defamatory communication as it is transactional in nature and will not violate the Telecom Unsolicited Commercial Communications, Regulations, 2007 or any other person about the SMS received from CBL.

I/We hereby consent and shall not have any objection in the event the I/We receive any communication for sales promotion of the various products offered/to be offered by CBL or any of its affiliates via SMS, mail, email, or any other form of communication and it will not amount to violation of any other provisions of law as may be applicable even if I/We is/are registered under DND under TRAI guidelines.

C. Change of Address

Unless the I/We inform CBL of the change of the address for communication, electronic or otherwise, in writing, all notices, circulars, communication or mail sent to the existing address shall be deemed to have been prop-erly delivered and received by me/us irrespective of whether they are actually received or not. I/We undertake and agree to inform CBL of the change in the designated email address.

11. SHARING OF INFORMATION:

I/We agree and confirm that CBL may appoint agents for carrying out any activity relating to my/our trading account/DP account. I/We realize that the CBL may need to share my/our information with service providers for undertaking related and ancillary functions. I/We consent to sharing of my / our account related information/documents/ data to the authorized agents appointed by the CBL or with any of affiliates/ group companies/ business associates which are offering the products / facilities for the purpose of their business promotion.

a) Information provided by the Client's trading for both BSE and NSE

b) Holding in stocks

c) Ledger balance in the Clients' trading account for both BSE and NSE

d) Transaction cum holding statements with CBL-DP

e) Any other information as may be deemed necessary.

I /We have no objection to CBL sharing on the above information to its other business division or affiliated or group Companies for business promotion and offer other services to me/us.

12. ASSIGNMENT

I/We hereby confirm and agrees that I/We shall not assign or transfer all or any of its rights, obligations and or benefit without the full and final settlement of my/our account with CBL and without the prior consent of CBL.CBL shall be entitled to assign its rights, obligations and/or benefits to any successor entities, affiliate entities in its absolute discretion, with notice thereof to me/us.

13. DISCLAIMER:

All investments and disinvestment decisions are based on my/our own evaluation of financial circumstances and investment objectives. This extends to any decision made by the me/us on the basis of any information that may be made available by the CBL/ Sub-Broker/Authorized person through its website www.centrumbroking.com or through any other media. I/We will neither hold, nor seek to hold the CBL / Sub-Broker/Authorized person, as the case may be, or any of its officers, directors, employees, agents, subsidiaries, affiliates or business associates liable for any trading losses, costs or damage incurred by me/us consequent upon relying on investment information, research opinion or advice or any other material/information provided by the CBL/ Sub¬Broker/Authorized person, as the case may be. I am/we are, aware that any infor-mation provided by the CBL through any medium based on the research of the CBL or other external sources is subject to normal variations in the stock market and is merely an estimation of the availability or otherwise of certain investments, and the CBL shall not be responsible for nor deemed to have assumed responsibility for any such information. I/We should seek independent professional advice regarding the suitability of any investment decision before acting on such reports and CBL shall not be liable under any circumstances for any losses, costs, charges, expenses incurred/suffered by me/us based on such reports.


F21?

Name

Date

AS22x

RUNNING ACCOUNT AUTHORIZATION

CENTRUM BROKING LTD.Bombay Mutual Building, 2nd Floor,Dr. D. N. Road, Fort, Mumbai- 400001

Dear Sir/Madam,

Subject : Running Account Authorization

Name :

Due to operational convenience and to be in a position to settle my/our trades within the Exchange specified Settlement Schedule. I/We request you to offer the facility of maintaining the running account with you. I/We understand and agree the following:

1) You can retain the funds with you, received as payouts from the Exchange on my/our future transactions or outstanding positions, if any.

2) You can retain the Securities with you, in your margin Account received as Payouts from the Exchanges on my/our behalf. The same can be used towards margin/collaterals for my/our future transactions or against outstanding positions if any.

3) In case of any Sale transactions done by me/us, you can automatically deliver the shares to the Exchange towards Payin of my/our shares if any lying with you on my/our behalf.

4) In case of any purchase transactions done by me/us you can automatically make the funds pay-in to the Exchange out of the credits lying in my/our account on my behalf.

5) In case of any debit balance in my/our Account you can square off my/our Securities held by me/us to the extent of our debit balance without any notice to me/us.

6) You can transfer funds/securities from my/our account in one segment against my obligations in another segment in the same Exchange or different Exchange/s.

7) You can transfer funds/Securities from my/our Account in one segment against collaterals/margins from my/our trade in another segment in the same Exchange or different Exchanges. These funds transfer can be done either by way of a journal entry(JV) or by way of physically exchanging the cheques.

8) I/We confirm that the funds mean monies lying as credit in my/our account or payouts that are to be received from Exchanges arising out of sale of Securities. Similarly, I am aware that the Securities mean shares lying with you, my/our behalf or shares that are to be received as payout from the Exchanges.

9) In case I/we require funds or Securities I/We will inform you of the same in writing, after which you can make the payment, transfer the securities to me/us on my/our request.

10) I/We understand and agree that no interest would be paid on my/our credit balance in the running account with CBL.

11) I/We will not hold CBL responsible for any loss/damage arising out of such transfers and or sale done by CBL on my/our behalf, pursuant to these instructions.

12) In case I/We wish to withdraw this consent, I/We shall inform, CBL in writing and get it acknowledged by CBL

13) In the event I/WE have any dispute arising from the statement of account received from CBL, I/We will bring the same to the notice of CBL within 30 days from the date of receipt of funds/securities or the statement, as the case may be.

My/Our preference for actual settlement of funds and securities is at least (tick the appropriate choice):

a) Once in a calendar Quarter b) Once in calendar month

In case if not ticked, by default quarterly option will be considered.

(At the time of settling the account as above, as per the regulations I hereby allow CBL to retain Rs. 10,000/- (net amount across segments and across stock exchanges), Further in case I/We are having any outstanding obligation, CBL may retain the funds to be required to meet margin obligation for the next 5 trading days, calculated in the manner specified by the exchanges)

Thanking You,

Yours faithfully,

Name of Client :

Signature :

Date :

F22?

D D M M Y Y Y Y30

AS23x

31

MANDATE TO ISSUE CONTRACTS IN DIGITAL FORMAT

Signature:

Name:

Date:

F23?

D D M M Y Y Y Y

1. I/We hereby agree and consent to accept the contract notes/ or other documents i.e. trade confirmation Daily Margin statement, bills, statement of accounts and all other communication for transactions carried on by me/us in Digital form to my email id_____________________________________________________ (Please mention you email id otherwise your request will not be activated)

2. I /We undertake to check the contract notes and other documents and bring the discrepancies to your notice within 24 hours of such issuance of contract notes.

3. My/our non-verification or not accessing the contract notes or other documents on regular basis shall not be a reason for disputing the contract note/other documents at any time I /we understand that availing of digital contract facility is subject to following conditions:

a. The Digital Contract notes and /or other documents will be issued in digital form in compliance with the guidelines issued bySEBI / Exchanges from time to time.

b. Digital Contract notes and other documents/other documents will be mailed to the E-mail address provided to us in the format as may be prescribed by the Exchanges from time to time.

c. The Non receipt of bounced mail notification by the CBL shall tantamount to deemed delivery of the contract note/other documents at my/our E-mail ID.

d. In case of any failure in system or errors in digital contract notes, contract notes will be issued in physical form, which shall be binding on the client. In case of any errors found in case of other documents as described in Para 1, a revised document may be sent to the client's registered email id or may be issued in physical form if it is not feasible to sent email id due to any technical issues.

e. Discrepancies, if any, should be addressed to E-mail: [email protected] within 24 hours of issuance of digital contract notes.

6. Any changes in the terms and conditions shall be intimated from time to time.

7. Digital Contract notes will also be available at URL https://www.centrumbroking .com

8. I/We can view the Digital Contract notes on URL by using the username & password provided to me/us by the CBL.

9. All Other communication shall be emailed to me/us at the email id given by me/us.

10. In case of Statement of Fund and Securities, I/We will be have time to report the discrepancies within 30 Days of the issuance of the Statement.

11. In case of any changes in Email Id or wish to withdraw the mandate I/We will intimate the same in writing by physical letter to CBL.

AS24x

Date :

To,Centrum Broking Limited (CBL)Mumbai

Dear Sir,

Sub : Authorisation for operating the trading account

I/we applied for opening a trading account in the name of ,

I/we would hereby appoint who is my/our

as my/out authorized representative to undertake the following activities in my/our trading account

1. Place orders in my/our trading account

2. Collect payments on my/our behalf issued by CBL for the credits lying in my account

3. Receive and acknowledge contract notes

4. Receive and confirm ledger balances

5. Handover cheques from my/our bank account as stated in the Client Registration forms against my/our dues if any.

6. Any instructions pertaining to operating my/our trading account.

I/we accept that, all obligations arising out of the trading account being operated by my/our above mentioned authorized representative would be binding on me/us.

I/we also undertake to indemnify CBL for all dues, losses, penalties and incidental expenses relating to and arising out of the transactions executed by in my/our above mentioned trading account.

In case if I/we wish to withdraw this mandate I/we shall inform CBL in writing and acknowledge the request from CBL atleast 7 working days from the date of withdrawal.

Yours faithfully,

Client’s Signature Authorised Person’s Signature

Name of Client: Name of Authorised Person:

PAN No.:

Address:

Mobile No:

Email Id:

Encl : 1. PAN Card Copy of Authorised Person

2. Address Proof of the Authorised Person

F24?

32

AUTHORISATION FOR OPERATING THE TRADING ACCOUNT

(The Client should read the details sated below and can cancel /strike out this option if it does not seek to avail)

AS25x

2933

FORMAT OF HUF DECLARATION

Centrum Broking Limited (CBL)Mumbai

Dear Sir / Madam,

I _________________________________________________________hereby request you to open the account with you

in the name of the ___________________________________ H.U.F.

Being karta of the above mentioned H.U.F., I hereby declare that the following names and particulars of the family members

as stated in this declaration as on the date of signing the Client registration form to open the trading account with CBL is true

and correct.

The above list if when updated due to birth and or details of the members declared under the H.U.F would be informed by me

in writing, which I agree would be by means of submitting a revised list and indicating the changes made as and when

compared to the last submission made.

I agree that any false/misleading information given by me or suppression of any material information will render my account

for suspension and further I and/or the H.U.F. would be liable for the consequential actions which would be at the sole

discretion of CENTRUM.

Thanking you,

Name and signature of Karta

Name and seal of HUF

Sr. No. Name of the family members Relationship Date of birthGender

34

FORMAT OF BOARD RESOLUTION WHICH WOULD HAVE TO BE GIVEN ON THE LETTERHEAD OF THE CORPORATE CLIENT

CERTIFIED TRUE COPY OF THE MINUTES OF THE BOARD MEETING OF THE COMPANY ___________ (name of the company)

held on _____day____date ____ time AT THE REGISTERED OFFICE OF THE COMPANY WHERE PROPER QUORUM WAS

PRESENT

“RESOLVED THAT the Company will open and operate a trading account in the name and style of ______________________

__________________________________________ with Centrum Broking Limited (CBL), SEBI registered stock broker of

the Bombay Stock Exchange Ltd. (BSE), SEBI registered stock broker of National Stock Exchange of India Limited (NSE) for the

purpose of dealing/trading and investing in securities and derivatives contracts in the stock market. (Please delete which is

not applicable)

“FURTHER RESOLVED THAT the Company will open and operate a depositary account in the name and style of ____________

_________________________________________________ with Centrum Broking Limited (CBL), SEBI registered

Depositary Participant of Central Depositary Services (India) Limited (CDSL) for the holding/transferring securities

bought/sold/traded and or invested in the name of the Company. (Please delete which is not applicable)

“RESOLVED FURTHER THAT following person be and is hereby authorized severally to sign, execute and submit such

applications, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary to

open and operate the account.”

Sr. No. Name Designation Specimen Signature

1.

2.

RESOLVED FURTHER THAT that this resolution would remain effective and in force till a fresh resolution cancelling or

amending the above details would be passed by the Board of Directors of the Company and furnished to Centrum Broking

Limited

RESOLVED FURTHER THAT any Managing Director of the Company or any Director of the Company or the Company

Secretary of the Company be and are hereby authorized to give certified true copies of this resolution to Centrum Broking

Limited (CBL).” – IF LIMITED COMPANY

“RESOLVED FURTHER THAT all Director of the Company be and are hereby authorized to give certified true copies of this

resolution to Centrum Broking Limited (CBL).” – IF PRIVATE LIMITED COMPANY

CERTIFIED TRUE COPY

For____________________________________________Director/Company Secretary

Affix company stamp

Place:

Date: D D M M Y Y Y Y

2935

Declaration on the letterhead of the partnership firm duly signed by all the partners of the partnership firm

Centrum Broking Limited (CBL)Mumbai

Dear Sir/Madam

We ___________________________________________________________________________, all the partners having

applied for opening the securities trading account with CBL in the name and style of _________________________

We agree that we are aware that under the applicable depositary regulations as on date beneficiary account cannot be

opened in the name of a partnership firm and therefore we have given the beneficiary account number _________________

DP ID_____________________ (for Securities Trading account) in the Know Your Client and its relevant supporting proof in

the Client registration form which is in the name of the partner(s) as stated below.

Sr. No._____ Name of the Partner_____________________________ Signature____________________________

Further we all the partners agree and authorize CBL, pursuant to the trading obligations executed by us in our firm name, transfer all obligations for the shares purchased and or sold to the above

mentioned beneficiary account and the transfers made to and from this account would discharge CBL of transfer obligations

as and when we operate our trading account.

Further, to open and operate the trading account we authorize the following partners

Sr. No._____ Name of the Partner_____________________________ Signature____________________________

Further, if any of the names as stated above (both for beneficiary demat account and to operate the trading account), ceases

to be the partner of the firm, we would inform CBL, in writing to that effect and have the new details/information/supporting

document be updated in writing immediately to CBL and till such change is given effect by CBL we all partners would be

jointly and severally responsible to fulfill all our obligations pertaining to the trading account opened with you

Further, if the above declaration is not complied, the firm and all the partners jointly and severally would be solely

responsible for the consequences, which could lead to closing of our trading account and such penal and disciplinary action

as CBL may decide.

Further the above authority letter would remain effective and in force till a fresh letter cancelling or amending the same is

approved and agreed by all the partners of the firm and furnished the same in writing to CENTRUM BROKING LIMITED.

For

Name and Signature of all the partners

Seal of the firm

36

Date :

To,

Centrum Broking Limited.

Centrum House, CST Road,

Vidya Nagari Marg, Kalina,

Santa Cruz East,

Mumbai – 400098.

Dear Sir,

I/We, have requested you to open the trading and demat account with

you. I/We have given a following address in the account opening documents which is on the basis of my P.O. Box no. My/us

complete address as on date is as follows:

In case any changes in my/us above mentioned address I/we will intimate to Centrum Broking Ltd.

I/We have complied with, and will continue to comply with, FEMA regulations and other applicable laws.

Thanking You,

Yours truly,

Applicant Signature:

Name of the Client:

NRI DECLARATION

TS a

In ea

p n

his p ce is t ntion lly ke t Bla k

F25?

Signature

F26

Sole/First Holder

S12

Second Holder

AS26x

T12

Third Holder

AS27x B

(For Office Use)


Acquisition RM :(Name & Employee Code No.

RM :

Advisor RM :

Dealer :

PMS Manager :

AP Name / Code :

Family Code :

(Name & Employee Code No.




Account Opening : Amount Cheque No.

Cheque Detail : Bank Date

Correspondence Address: Centrum House, CST Road, Vidya Nagari Marg, Kalina, Santacruz (East), Mumbai - 400 098.CAPITAL MARKET SEBI REGN. NO.: BSE: INB 011454239, NSE: INB231454233

DERIVATIVES SEBI REGN. NO.: NSE: INF231454233 (TRADING AND CLEARING MEMBER)CDSL DP ID: 12200. SEBI REGISTRATION NO.: IN-DP-CDSL-661-2012

MCX-SX REGISTRATION NO.: INE261454230PMS REGISTRATION NO.: INP000004383

Investor Grievance Email ID: [email protected] Website: www.centrumbroking.com

C N T R U M

Version : 12/2013