demat opening form - alankit demat... · demat a/c opening form with nsdl ... • voter id card ......
TRANSCRIPT
'Alankit House', 2E/21, Jhandewalan Extension, New Delhi - 110055Tel :91-11-42541234, 23541234 ;
Fax :91-11-23552001Website : www.alankit.com
2E/8, Jhandewalan Extension, New Delhi - 110055
Tel :91-11-42541872-876
Head Office
Regd. Office
Corporate Office
205-208, Anarkali Complex, Jhandewalan Extension, New Delhi 110 055
Health & Wealth, We Manage Both
INSURANCE
Insurance Broking - Life & General
OUR SERVICES
WEALTH MANAGEMENT
Portfolio Management
Financial Planning
Research Services
Investment Advisory Services
e-GOVERNANCE
TIN Facilitation Centre & PAN Centre
e-Return Intermediaries
CRA Facilitation Centre
POS - National Skills Registry (NSR)
Enrollment Agency for UID
.IN (Dot In) Registrar
HEALTH CARE
Third Party Administrator
Rashtriya Swasthiya Bima Yojna
Pharmaceutical Retail Chain
Institutional Supplies
FINANCIAL SERVICES
Trading & Clearing Member
Commodity Broking
Internet Trading - Margin Trading
Depositary Participant- NSDL - CDSL
Registrars & Share Transfer Agent
Online IPO Apply
POP for the New Pension System (NPS)
- NSE - BSE - USE - MCX'SX
- NCDEX - MCX- NMCE - DGCX - IEX - ICEX - NSEL - NCDEX - SPOT
MCX-SXNCDEX
DGCX
NMCE
NCDEX-SPOTIEX
NSEL
NSDLCDSL
NSEBSE
Demat A/c Opening Form with NSDL
NAME : ___________________________________
ACCOUNT NO : ______________________________
Assignments Limited
CHECK LIST FOR COMPLETING ACCOUNT OPENING FORMS FOR INDIVIDUALS
1. The account must be opened in same sequence/combination as the shares are held/proposed to be held.
2. The investor may prefer to open an account in single name as opposed to joint name since nomination facility is available for depository accounts.
3. Standing instructions may be marked as 'yes' for simplified operations.4. The agreement should be signed by all the joint holders on all the pages.5. Photograph of sole/joint holder(s) to be affixed on form duly signed across the
photograph.6. Submission of PAN Card copy is compulsory.7. Depending upon the choice of Scheme, a Cheque for Rs. 320/430/870/1200 (non-
refundable) towards advance service charges. Please indicate account holders name(s) on the reverse of the cheque.
8. As proof of identity and address Photostat copies of the documents listed on REVERSE to be provided. Originals of the documents to be furnished for verification by officials of DP.
9. Furnish mandate form (in duplicate) for directly debiting your bank account with our service charges (provided the bank account is maintained at Delhi) or else deposit Rs. 500/- as an advance.
10.In case of NRI(s) account declaration of NRI status and holding be provided on prescribed format available at our office.
11.In case of HUF, account to be opened in the individual name of KARTA. Declaration as per Performa available at our office to be signed by KARTA and Adult Co-Parceners and Identity proof and Proof of address to be in name of Karta only.
12.No nomination to be recorded in case of HUF and account in the name of minor (s).
13.Nomination to be accepted in account opened singly or maximum with 2 joint holders in the name of individuals. No nomination to be accepted in accounts having 3 joint holders. Nominee to be person other than sole/joint holders.
14.In case Power of Attorney (POA) is to be registered, original or duly notarized Power of Attorney be furnished. Photograph of Power of Attorney holder must be attached duly signed across, signatures of POA holder should be attested on POA or separately. His/her identity/residence proof be also furnished.
15.In case account holder/nominee is minor Photostat copy of Date of Birth certificate be provided. Photographs of both minor and guardian be provided duly signed across the photograph. Identity/residence proof of guardian be provided.
ACCOUNT OPENING BY NRIsFor opening, the NRIs account (Repatriable/Non-Repatriable) various formalities have to be completed. Kindly contact personally/through representative Mr. Y. P. Sachdev, Vice President at 2E/8, Jhandewalan Extn., New Delhi 55. Phone 42541792, 806, 9899277829.
CHECK LIST FOR COMPLETING DEMATERIALISATION REQUEST FORM2. Separate DRF is to be used for each security.3. Name of the security means Equity or Preference Shares or Bonds4. The securities can be converted into dematerialized form in the same
sequence/combination in which shares are held and account opened.5. Check from the list of securities that the shares are available for demat.6. Signatures of all the account holders must be obtained on DRF.7. In case of number of certificates to be dematerialized are more than six, annexure
can be used. Account holder(s) must sign the annexure also.8. Demat charges are payable at the time of request indicating account number on
the reverse of the cheque.Identity proof• Passport• Driving License• Voter ID Card• Pan card with photograph• Identity card/document with photo and address, issued by • Central/State Government and its Departments,• Statutory/Regulatory Authorities,• Public Sector Undertakings,• Scheduled Commercial Banks,• Public Financial Institutions,• Colleges affiliated to universities (this can be treated as valid only till the time the applicant is student); • Professional Bodies such as ICAI, ICWAI, Bar Council etc. to their Members• Credit Cards/Debit Cards issued by Banks
Proof of Address • Passport• Driving License• Voter ID Card• Ration Card• Verified copies of• Electricity bills (not more than two months old) • Leave and License agreement/Agreement for sale.• Residence Telephone bills (Not more than two months old) and pertaining to only
Landline telephone other than Fixed Wireless Phone)• Identity card/document with address, issued by • Central/State Government and its Departments,• Statutory/Regulatory Authorities,• Public Sector Undertakings,• Scheduled Commercial Banks,• Public Financial Institutions, Colleges affiliated to universities (this can be treated as
valid only till the time the applicant is student); • Professional Bodies such as ICAI, ICWAI, Bar Council etc. to their Members• Self-declaration by High Court & Supreme Court judges, giving the new address in
respect of their own accounts.• Bank Statement A. Original Bank Statement:-
(i) Should be printed on stationery of the bank(ii)Should carry logo of Bank(iii)Should carry Bank Name
(iv)Carry client name and address(v)Transactions/holding of client for the latest quarter ending i.e. for accounts to be
opened in July 2009 - September 2009 should be supported by the Bank statement of the Quarter ending March 31, 2009.
(vi)Obtain cancelled cheque in original or photocopy thereof (in case of photocopy, original of cheque be produced for verification).
B. Copy of the Bank statement:-Same as A (i) to (vi) above, and(Vii) Original of the Bank Statement be produced for verification by DP officials.
C. Original Bank Statement on plain paper (Computer generated):-Same as A (iii) to (vi) above, and(Vii) Bank statement to be signed and stamped by authorised official of Bank
mentioning name and designation of Bank Official.D. Bank Statement issued in electronic form:-
Same as A (iii) to (v) above.(Vi) Obtain cancelled cheque in original or photocopy thereof carrying client
name pre printed thereupon (in case of photocopy, original of cheque be produced for verification.
E. In case of bank passbook, the same should be accompanied/suppor ted with the transaction portion which should not be older than six months as on date of application.
In case of joint accounts all the applicant holders to sign and their proof of address/identity proof/pan card be collected.Proof of address be collected both for local and correspondence address.Proof of bank detail in shape of cancel cheque or bank statement/Bank Manager Certificate.
CHECK LIST FOR COMPLETING ACCOUNT OPENING FORMS IN CASE OF COMPANY
A. Following documents duly signed in terms of Board Resolution for opening the account.1. Resolution of the Board as above duly certified. Resolution must be certified and
the place of meeting to be indicated.2. Certified true copy of memorandum of association and articles of Association
must be enclosed. This memorandum to be certified on the cover page besides certification on the certificates of incorporation/change of name/change of registered office/commencement of business etc. as applicable.
3. List of present directors indicating parentage/ husband's name as applicable and also residential address.
4. Pan is compulsory w.e.f. 1-4-06. Copy of pan card be furnished for company as well as signatories authorised to operate the account.
5. Signatures of authorized signatories alongwith Company's stamp must be affixed on account of opening form, agreement and charge schedule.
6. Photograph of authorized signatories to be affixed duly signed across on the photograph.
7. Cheque of Rs. 1100/- towards advance for annual account maintenance charges.8. Furnish mandate form (in duplicate) for directly debiting your bank account with
our service charges (the facility is available in the cases where the bank account is being maintained with any bank at Delhi) or else deposit Rs. 1000/- as advance.
9. Introduction from an existing account holder or by applicants Bank. Introducer to indicate name as well as client ID No. with us. The introduction be made on the Board Resolution or account opening form's second page at bottom.
10.Proof of address of the Corporate evidenced bya) The documents registered with ROC. (In case of photocopy to be self attested
by authorized signatory/ies).b) In case of documents filed electronically the same should be supported with
Copy of Challan of payment of the fee (Self attested by authorized signatories)The details of company relating to its name, company identification number and address as appearing on the website of Ministry of Company Affairs www.mca.gov.in are required to be verified and copy of the screen shot kept on record. The same may be provided.
c) Acknowledged copy of Income Tax Return. (Electronically filed documents not acceptable)
d) Leave & License agreement/agreement for sale (duly registered)e) Telephone bill (Not more than two months old) and pertaining to only
Landline telephone other than Fixed Wireless Phone)f) Electricity bills (not more than two months old)
• Bank Statement A. Original Bank Statement:-
(i) Should be printed on stationery of the bank(ii) Should carry logo of Bank(iii) Should carry Bank Name(iv) Carry client name and address(v) Transactions/holding of client for the latest quarter ending i.e. for accounts to
be opened in July 2009 - September 2009 should be supported by the Bank statement of the Quarter ending March 31, 2009.
(vi) Obtain cancelled cheque in original or photocopy thereof (in case of photocopy, original of cheque be produced for verification).
B. Copy of the Bank statement :-Same as A (i) to (vi) above, and(vii)Original of the Bank Statement be produced for verification by DP
officials.C. Original Bank Statement on plain paper (Computer generated):-
Same as A (iii) to (vi) above, and(Vii)Bank statement to be signed and stamped by authorised official of Bank
mentioning name and designation of Bank Official.D. Bank Statement issued in electronic form:-
Same as A (iii) to (v) above.(Vi) Obtain cancelled cheque in original or photocopy thereof carrying client
name pre printed thereupon (in case of photocopy, original of cheque be produced for verification.
E. In case of bank passbook, the same should be accompanied/suppor ted with the transaction portion which should not be older than six months as on date of application.
Receipt No. :.............................................
Cash / Cheque No....................................
Rs.............................................................
OPENED BY
VERIFIED BY
Serial No.
APPLICATION FOR OPENING A DEMAT ACCOUNT WITH NSDL (For Individuals Only)
Name
Father / Husband Name
Title
Address
City
Country
Telephone No.
E-mail ID
Occupation
Mrs. Ms. Other Suffix
First Name Middle Name Last Name
State
Pin
Mr.
Yes No
Fax No. Mobile No.
SMS Facility
Other Holder Details
ANNEXURE - J
I/We request you to open a depository account in my/our name as per the following details.(Please fill in CAPITAL LETTERS only)
Date Client ID (To be filled by participant)
Type of Account
q Ordinary Resident q HUF q NRI-Repatriable q NRI-Non-Repatriable
q Others (please specify)q Margin
q Promoter
First Name Middle Name Last Name Sole/first Holder's Details
Name
Father / Husband Name
Title
Correspondence
Address
City
Country
Permanent Address
Mrs. Ms. Other Suffix
State
Pin
State
Pin
Mr.
Yes No
Fax No. Mobile No.
SMS Facility
(If Different from Correspondence address
City
Country
Telephone No.
E-mail ID
Occupation
Name
Father / Husband Name
Title
Address
City
Mrs. Ms. Other Suffix
First Name Middle Name Last Name
State
Mr.
Third Holder Details
Country
Telephone No.
E-mail ID
Occupation
Pin
Yes No
Fax No. Mobile No.
SMS Facility
Regd. Off.: 205-208, Anarkali Complex, Jhandewalan Extn., New Delhi -110055
DP-ID IN 300118
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected]
Lata Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
ASSIGNMENTS LIMITEDASSIGNMENTS LIMITED
1
Local / Permanent Address
Correspondence Address / Foreign Address
Address for communication / corporate benefits
(Default option is Local Address)
DeclarationThe rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/We also declare that the particulars given by me/us are true to the best of my/our knowledge as on the date of making such application. I/We further agree that any false / misleading information given by me or suppression of any material fact will render my account liable for termination and further action.
Yes No
Yes No
FIRST NAME MIDDLE NAME SURNAME
Pin
In Case Of NRIs
Guardian Details (In case the Sole Holder is a minor)
Name (Mr./Ms.)
Address
Date of Birth (of Minor) dd/mm/yy
Relationship
D D M M Y Y Y Y
RBI Approval Date dd/mm/yy
Foreign Address
RBI Reference No.
Pin
D D M M Y Y Y Y
Saving A/c Current A/c
Bank Details
9 Digit Code No. of Bank & Branch appearing on the MICR cheque
PIN
Bank A/c No.
Bank Name
Branch Address
A/c Type
Financial Details
Sole / First Holder
Second Holder
Third Holder
Guardian (In case of minor)
IT Circle / Ward / District No.PAN No.
Financial Status (Annual Income)
Nature of Business
Additional Financial Details
< Rs.5 Lakh Rs. 5-10 Lakh Rs. 10-15 Lakh > Rs. 15 Lakh
I/We authorise you to receive credits automatically into my/our account.
Account to be operated through Power of Attorney (PoA)
Standing Instructions
Please Sign accross thePhotograph
Third Holder
Please Sign accross thePhotograph
Second Holder
Please Sign accross thePhotograph
First Holder
Please affix recent passport size photograph in the space provided below :
Name Signature(s)
Sole/First Holder Mr./Ms.
Second Holder Mr./Ms.
Third Holder Mr./Ms.
Guardian Mr./Ms.
(In case of minor)
2
NOMINATION
Photographof Guardian
(in case of minor)
Signature of Guardian across
Photograph
Photographof Nominee
Signature of Nominee across
Photograph
Third HolderSecond HolderFirst Holder(To be signed by the applicant only in case of nomination)
Signature with date : _______________________________________
Name : ___________________________________________________
Address : _________________________________________________
__________________________________________________________
Signature with date : _______________________________________
Name : ___________________________________________________
Address : _________________________________________________
__________________________________________________________
WITNESS :
I/We wish to make a nomination and do hereby nominate the following person in whom all rights and / or amount payable in respect of securities held in the Depository by me / us in the said beneficiary owner account shall vest in the event of my / our death.
Name of Nominee Mr./Ms.
Date of Birth (of Minor) dd/mm/yy
Address of Nominee
Name of Guardian Mr./Ms. (in case Nominee is a minor)
Address of Guardian
.
Pin
Pin
Sign. of Guardian
Relationship with
the applicant (if any)
Signature of Nominee
I/We do not wish to make a nomination
NOTES :1. All communication shall be sent at the adress of the Sole/First holder only.
2. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.
3. As per NSDL Circular No. NSDL/PI/2004/1622 dated dated September 7, 2004 pursuant to SEBI Circular No. MRD/DoP/Dep/Cir-29/2004 dated August 24, 2004 a copy of any one of the following documents may be accepted as proof of identity / proof of address (local/correspondence/foreign address as the case may be):
Proof of Identity: Passport, Voter ID Card, Driving license, PAN card with photograph, Identity card/document with applicant's Photo, issued by a) Central/State Government and its Departments, b) Statutory/Regulatory Authorities, c) Public Sector Undertakings, d) Scheduled Commercial Banks, e) Public Financial Institutions, f) Colleges affiliated to Universities, g) Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and h) Credit cards/Debit cards issued by Banks.
Proof of Address: Ration card, Passport, Voter ID Card, Driving license, Bank passbook, verified copies of Electricity bills (not more than two months old)/ Residence Telephone bills (not more than two months old)/ Leave and License agreement / Agreement for sale, Self-declaration by High Court & Supreme Court judges, giving the new address in respect of their own accounts, Identity card/document with address, issued by a) Central/State Government and its Departments, b) Statutory/Regulatory Authorities, c) Public Sector Undertakings, d) Scheduled Commercial Banks, e) Public Financial Institutions, f) Colleges affiliated to universities; and g) Professional Bodies such as ICAI, ICWAI, Bar Council etc., to their Members.
Participants must verify the copy of the document with the original.
4. Instructions related to nomination, are as below:
(i) The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form.
(ii) A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.
(iii) The Nominee shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time.
(iv) Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.
(v) Transfer of securities in favour of a Nominee shall be valid discharge by the depository against the legal heir.
(vi) The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.
(vii) On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee.
5. Strike off whichever is not applicable.
Acknowledgement
Received the application from Mr /Ms_____________________________________as the sole / first holder alongwith ___________________________ and________________________________________as the second and third holders respectively for opening of a depository account. Your Client Id will be intimated to you shortly. Please quote the DP Id & Client Id allotted to you in all your future correspondence.
Date : __________________________________ Participant Stamp & Signature
(Please Tear Here)
ASSIGNMENTS LIMITED,ASSIGNMENTS LIMITED, 1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA), Tel. : 011- 42541234, 42541795-98, 23513512-16
3
1. PASSPORT DETAILS
• Number__________________________________ • Date of Issue____________________________ • Date of Expiry ____________ ________________________
• Place of Issue ________________________________________ • Issuing Authority _________________________________________________________
2. NATIONALITY ________________________________ 3.COUNTRY OF ORIGIN ___________________________________________________
4. LOCAL ADDRESS__________________________________________________________________________________________________
___________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________
5. PURPOSE OF STAY ABROAD ________________________________________________________________________________________
I declare that I am a Non-Resident Indian residing at ______________________________________________________ (City / Country of stay) and Citizen of
________________________________________________ (Name of Country) for the purpose of Foreign Exchange Regulation Act 1973/ Foreign Exchange
Management Act 2000 and shall immediately inform you in the event of any change in my address, citizenship and /or residency or other status.
I/We understand that the above account will be opened on the basis of the statements/ declarations made by me/us, and I/We also agree that if any of the
statements/ declarations made herein is found to be not correct in material particulars you are not bound to allow the facility.
I/We would confirm that all debits to my/our accounts for the purpose of investment in India and credits of investments in India are covered either by general or
special permission of RBI.
I will ensure that investments in shares / securities or in India out of funds held in my / our account with you are governed by respective regulations of Reserve
Bank of India.
Applicant signature :
Encl. : Photocopy of Passport (Countersigned by applicant)
CHECKLIST (NRI) - HOLDING STATUSIn case already holding securities :
(a) In the account opening form, RBI reference no. and approval date is to be quoted. Photocopy of the same be provided.
(b) In case NRI has never acquired any holding or securities from secondary market in the relevant column he should write
(i) In the column of Reference No.: "No holdings" (ii) In the column of Approval Date : "Present Date"
(c) In case NRI has acquired securities through allotment in primary market i.e. direct investment scheme the necessary approval would have been obtained by the issuer company, under such cases he should write
ASSIGNMENTS LTD.
Dated : ....................................
Dated : ....................................
ANNEXURE - ADECLARATION OF NRI STATUS
ANNEXURE - B
ASSIGNMENTS LTD.
As I/We wish to open a DP account with you in my capacity as karta of HUF of ________________________________________ I/we beg to say that the first
signatory to this letter , i.e_______________________________________is the karta of the joint Family and other signatories are the adult co- parceners of said
family.
I/We further confirm that the business of said joint family is carried on mainly by the said karta as also by the other signatories hereto in the interest and for the benefit of entire body of co-parcener of the joint family.
In view of the fact that ours is not firm governed by the Indian Partnership Act of 1932, we have not got our said firm registered under the said Act.
I/We hereby undertake to inform you the death or birth of a co-parceners or of any change occurring at any time in the membership of our joint family during the currency of the account.
Name of Karta Signature(s)
Declaration of HUF status
Name of Adult Co-parceners Date of Birth Sex Relationship with Karta Signature
Name of Minor Co-parceners Date of Birth Sex Relationship with Karta Signature
M/F
M/F
M/F
M/F
1.
2.
3.
4.
M/F
M/F
M/F
M/F
1.
2.
3.
4.
4
We request you to open a depository account in our name as per the following details:
APPLICATION FOR OPENING A DEMAT ACCOUNT WITH NSDL (For Corporates/Clearing Members only)
Correspondence Address (if Different)
MAPIN ID
Fax No.
Pin
SMS Facility q Yes q No E-Mail
3nd Holder's Name
Father / Husband Name
Address
Phone No.
Mobile No.
Occupation Business Professional Service Other (Pl. Specify)
MAPIN ID
Fax No.
Pin
SMS Facility q Yes q No E-Mail
2nd Holder's Name
Father / Husband Name
Address
Phone No.
Mobile No.
Occupation Business Professional Service Other (Pl. Specify)
Other Holder Details
Regd. Off.: 205-208, Anarkali Complex, Jhandewalan Extn., New Delhi -110055
DP-ID IN 300118
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected]
Lata Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
Receipt No. :.............................................
Cash / Cheque No....................................
Rs.............................................................
OPENED BY
VERIFIED BY
Date Client ID (To be filled by participant)
q Body Corporate q FII q Bank q OCB q Trust q Others (please specify)q FI
Type of Account
Pin
Fax No.
Address
Phone No. (With STD Code)
Mobile No.
Client Details
Fax No.
Pin
MAPIN ID
SMS Facility q Yes q No E-Mail
Name of the Corporate / Firm
Address (Registered office in case of company)
PAN
Phone No.
Mobile No.
Occupation Business Professional Service Other (Pl. Specify)
Pin
Foreign Address
In case of FIIs / OCBs / OTHERS DETAILS (as may be applicable)
ASSIGNMENTS LIMITEDASSIGNMENTS LIMITEDANNEXURE - K
5
Please affix recent passport size photograph in the space provided below :
Please Sign accross thePhotograph
Third Holder
Please Sign accross thePhotograph
Second Holder
Please Sign accross thePhotograph
First Holder
Regd.Office Address Permanent Add. Correspondence Add. Foreign Add.
RBI Reference No.
SEBI Regn. No. (For FIIs)
Address for Comm. (Default option is Regd. Off. Add.)
Clearing Member Details (To be filled by Clearing Member only)
Name of Stock Exchange
Name of Clearing Corporation
Clearing Member ID
SEBI Registration No.
Trade Name
CM-BP-ID (To be filled up by participant)
Introducer's Details (by An Existing Account Holder / Applicant's Bank)
Signature of Introducer / Signature and seal incase of Bank (To be verified by DP official)
Client ID (incase of existing A/c holder)
Name
DP ID
I confirm the identity and address of the applicant(s)
Saving A/c Current A/c
Bank Details
9 Digit Code No. of Bank & Branch appearing on the MICR cheque
PIN
Bank A/c No.
Bank Name
Branch Address
A/c Type
Financial Details
Sole / First Holder
Second Holder
Third Holder
IT Circle / Ward / District No.PAN No.
Financial Status
Nature of Business
Additional Financial Details
Yes No
Yes No
I/We authorise you to receive credits automatically into my/our account.
Account to be operated through Power of Attorney (PoA)
Standing Instructions
6
Mode of Operation for Sole/First Holder (In case of joint holdings, all the holders must sign)
q Any one singly q Jointly by
q As per resolution
q Others (Please Specify)
CERTIFIED TRUE COPY OF THE RESOLUTION PASSED IN THE MEETING OF THE BOARD OF DIRECTORS OF M/S ...................................
..................................................................................... held on .....................DAY ................. of ....................20 ..........at.........................................."RESOLVED that the consent of the Company be and is hereby given to the Board of Directors to open Depository Account with M/s. Alankit Assignments Ltd, the Depository Participant, as per rules and regulations laid upon by NSDL"
"RESOLVED further that Mr................................................... or Mr. ............................................, Directors and/or
Mr.......................................................Directors/Authorized Signatory of the Company, authorised by the Board from time to time be are hereby
authorized to operate the aforesaid account singly and the said M/s. Alankit Assignments Ltd. is authorised to honor all instructions issued by any of
the directors/Authorised Signatories so authorised in relation to the above account subject to the rules and regulations and terms and conditions
agreed".
"RESOLVED further that any of the aforesaid Mr................................................... and Mr. ............................................ be and are hereby authorised to
sign/file/submit any form/document relating to the account to M/s. Alankit Assignments Ltd.
By order of the BoardFor
Company Secretary / Director / Managing Director
ANNEXURE - CTo be furnished on Company's Letterhead
SPECIMEN BOARD RESOLUTION
NOTES: 1. In case of additional signatures, separate annexures should be attached to the application form.2. As per NSDL Circular No. NSDL/PI/2002/1319 dated August 8, 2002, following documents may be accepted as proof of identity / proof of address:
(i) Memorandum & Articles of Association (MOA & AOA), board resolution for opening demat account and the list of authorised signatories alongwith their specimen signatures and photographs, etc. (ii) Introduction by an existing account holder or by the applicant's bank.(iii) Proof of address of the corporate evidenced by the document registered with Registrar of Companies or acknowledged copy of Income Tax Return or Bank Statement or Leave and License agreement/Agreement for sale.
3. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.
4. Strike off whichever is not applicable.
Declaration
The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by us and we have understood the same and we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. We also declare that the particulars given by us are true to the best of our knowledge as on the date of making such application. We further agree that any false / misleading information given by us or suppression of any material fact will render my account liable for termination and further action.
Authorised Signatories (Enclose a Board Resolution for Authorised Signatories)
Sole/First Holder
First Holder
Second Holder
Third Holder
Other Holder
Second Holder
Third Holder
Name Signature(s)
7
AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND PERSON SEEKING TO OPEN AN ACCOUNT
WITH THE DEPOSITORY PARTICIPANT
This agreement made and entered into this _________________________day of
________________Two Thousand__________between____________________
__________________________________________R/o Situated at__________
____________________________________________________________________
____________________________________________________________________
(Hereinfter called "The client") and Assignments Limited , having its Registered office at 205-208 Anarkali complex Jhandewalan Extn., New Delhi -110055 and situated at ________________________________________________________
____________________________________________________________________
( hereinafter called "the Depository Participant")
WHEREAS the client has furnished to the Depository participant the duly filled in form requesting therein to open an account with the Depository Participant
WITNESSETH
NOW THEREFORE in consideration of the Depository participant having agreed to open an account for the client , both the parties to the agreement by covenant and agree as follows
1. The client shall pay such charges to the Depository Participant for the purpose of opening and maintaining of his account, for carrying out the instructions of the client and for rendering such other services as may be agreed from time to time between the depository participant and the client as set out in schedule A. The Depository participant shall reserve the right to revise the changes by giving not less than thirty days notice in writing to the client
2. The client shall have the right to get the securities, which have been admitted on the Depository , dematerialised in the form and manner laid down under the Bye Laws and Business Rules of the Depository. The Depository Participant further undertake that it shall not create or permit to subsist any mortgage, charge or other encumbrance over all or any of such securities submitted for dematerialisation except on the instructions of the Client.
3. The Depository Participant hereby undertakes that it shall maintain a separate account of its own securities held in dematerialised form with Depository and shall not co-mingle the same with the securities held in dematerialised form on behalf of the Client.
4. The Depository Participant undertakes that a transfer to and from the account of a Client shall be made only on the basis of an order, instruction, direction or mandate duly authorised by the Client and that the Depository Participant shall maintain adequate audit trail of such authorisation.
5. The Depository Participant agrees that the Client may give standing instructions with regard to the crediting of securities in his account and the depository participant shall act according to such instructions.
6. The Depository Participant undertakes to provide a transaction statement including statement of accounts, if any, to the Client at monthly intervals unless the Depository Participant and the Client have agreed for provision of such statements at shorter intervals. However, if there is no transaction in account, then the Depository Participant shall provide such statement to the Client atleast once a quarter.
7. The Depository Participant shall have the right to terminate this agreement, for any reason whatsoever, provided the Depository Participant has given a notice in writing of not less than thirty days to the Client as well as the Depository. Similarly the Client shall have the right to terminate this agreement and close his account held with the Depository Participant, provided no charges are payable by him to the Depository Participant. In such an event, the Client shall specify whether the balances in its account should be transferred to another account of the Client held with another Depository Participant or to rematerialise the security balances held. Based on the instruction of the Client, the Depository Participant shall initiate the procedure for transferring such security balances or rematerialise such security balances with in a period of thirty days, as per procedure laid down in the Bye Laws and Business Rules. Provided further, termination of this agreement shall not affect the rights, liabilities and obligation of either party and continue to bind the parties to their satisfactory completion.
8. On the failure of the Client to pay the charges as laid out in the clause (1) of this agreement within a period of thirty days from the date of demand Depository Participant may terminate this agreement and close the account of the Client by requiring it to specify whether the balances in its account be transferred to the account of the client held with another Participant or be rematerialised in the manner specified in the Bye laws and Business Rules of the Depository.
9. The Client further agrees that in the event of the Client commiting a default in the payment of any of amount provided in clause (1) within a period of thirty days from the date of demand, without prejudice to the right of the Depository Participant to close the account of the Clients, the Depository Participant may charge interest @ not more than 24% p.a. or such other rate as may specified by the Executive Committee from time to time for the period of such default. In case the Client has failed to make the payment or any of the amounts as provided in clause (1) of this agreement, the Depository Participant shall have the right to discontinue the Depository services till such time he makes the payment along with interest, if any after giving two days notice to the Client.
10. The Depository Participant shall have a right to provide such information related to
the Client's account as may be requested by the Depository from time to time.
11. The client shall have the right to create a pledge of the securities held in the dematerialised form with the Depository Participant only in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules.
12. The Depository shall not be liable to the client in any manner towards losses, liabilities and expenses arising from the claims of third parties and from taxes and government charges in respect of securities credited in the Client's account.
13. The Client may exercise the right to Freeze his account maintained with the Depository Participant in accordance with the procedures prescribed in the Bye laws and Business Rules.
14. The Client may exercise the right to defreeze his account maintained with the Depository Participant in accordance with the procedure and subject to the restrictions laid down under the Bye laws and Business Rules.
15. The Client shall notify the Depository Participant within seven days, of any changes in the details set out in the application form, submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time.
16. The Depository Participant undertakes to resolve all legitimate grievances of the Client against the Depository Participant within a period of thirty days.
17. The Depository Participant and the client shall abide by the arbitration and conciliation procedure prescribed under the Bye Laws of the Depository and that such procedure shall be applicable to any disputes.
18. The Depository Participant and the Client further agree that all claims, differences and disputes arising out of or in relation to dealings on the Depository including any transactions made subject to the Bye Laws or Business Rules of the Depository or with reference to anything incidental there to or in pursuance thereof or relating to their validity, construction, interpretation fulfilment of the rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions have been entered into or not shall be subject to the exclusive jurisdiction of courts at Mumbai only.
IN WITNESS WHEREOF the client and the Depository Participant has caused
these presents to be executed at ___________________________________ on
_____________day of ___________________________20_________________
Signed and delivered by WITNESS
A/c Holder Signature Signature, Name & Address
________________________________
________________________________
1.Sole/ First Holder ________________________________
________________________________
________________________________
2. Second Holder ________________________________
________________________________
________________________________
3. Third Holder ________________________________
Signed and delivered by WITNESS
For on behalf of Signature, Name & Address
________________________________
________________________________
Authorised Signatory ________________________________
ASSIGNMENTS LTD. ASSIGNMENTS LTD.
Schedule AContaining details of : Account Maintenance charges, Transaction Charges, Dematerialisation/
Rematerialiasation Charges and Other charges is annexed.
8
Account Maintenance (Per Annum) NIL
A. Annual account maintenance charges for clients availing Speed-e facility of NSDL for debit instruction through Internet :-
a. *For IDEAS users Rs. 20/-per annum extra
b. *For Smart Card user Rs. 520/- per annum extra (inclusive of IDEAS facility)
* To be deposited in advance at the time of activation of account
Transaction Charges Rs. 11/- per debit instruction
Concessional charges for debit instruction Rs. 9/- per debit instructionput through speed-e facility of NSDL
Rejection Charges Rs. 5/- per instruction
Closure / invocation / confirmation of pledge Rs. 25/- per instruction
Creation of pledge Rs. 50/- per instruction(Chargeable from the pledgor)
Securities Borrowing Rs. 40/- per instruction
Dematerialization Rs. 20/- plus Rs. 3.00 per Certificate subject to Maximum of Rs. 250/-
Rematerialisation / Repurchase A. Rs. 20/- for every hundred securities viz. Shares / debentures / bounds etc. or part thereof.Or
Rs. 20/- per certificate. Whichever is higher
B. In case of DP Commodity account Rs. 75/- per request
However, no rematerialisation fee shall be charged for Government Securities.
Delivery Instruction Book Charges Rs. 50/- per book
Custody Charges on unlisted Securities Minimum Rs. 10/- per Quarter Upto 10 ISINs and Rs. 2/- per Quarter per ISIN beyond 10 ISINs (Applicable also for accounts having no security balance) Custody fee will be charged for securities held under each ISIN as of last Saturday of every quarter. Holding of unlisted securities under the following category are exempted from custody fees:-
1. Government Securities. 2. National Saving Certificate (NSC / Kisan Vikas Patra) 3. Pass through certificates / Securities instruments 4. Liquid benchmark Exchange traded Scheme. 5. Warehouse Receipts (Commodities)
• Non-execution of delivery instruction due to any problem / error - courier charges Rs. 20/- per communication / dispatch.• Modifications in client master Rs. 25/- per instance.• Charges for delivery instructions accepted at clients sole risk beyond NSDL deadline, Rs. 20/- per delivery slip.• Delivery instruction slip must be received at Jhandewalan Head Office / Jaipur / Bareilly branches (i.e. Where client accounts are being
maintained) within NSDL stipulated deadline.• Non-periodic statement and other communications shall be charged @ Rs. 5/- per page and postage / courier charges @ Rs. 30/- per mail.• In case Bank mandate for debit through ECS is not given, minimum credit balance of Rs. 500/- shall be maintained as advance towards future
charges.• In case of foreign correspondence address, in addition to annual account maintenance charges, statement / communication charges @ Rs. 50/-
per mail shall be charged extra.• In case of non-payment of bill / dues within 15 days of due date, the depository services are liable to be discontinued within a period of 30 days from
the date of demand. The renewal charges for resuming the services will be Rs. 100/-.• In case of any upward revision in schedule of charges, 30 days notice would be given by publication in newspaper / post.• In case of demat rejection postage shall be charged @ 30/- for dispatch to the client for removal of objection.• Any service not listed above will be charged for extra.• Taxes and other government levies extra as applicable from time to time.
Please place my / our account under Scheme “_______________________________________”
ASSIGNMENTS LIMITED
Authorised SignatorySecond HolderFirst Holder
Charge Schedule
Third Holder
DP-ID IN 3001181E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
ASSIGNMENTS LIMITED
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected] Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
SCHEDULE 'N1’ W.E.F. 28-01-2010ACCOUNT No. .........................................
9
Account Maintenance (Per Annum)
Trading account opening Charges /Documentation charges for Speed-e facility and Internet trading
Off Market / Inter- depository Delivery
Market Delivery
Concessional jharges for debit Instruction put through speed-e facility of NSDL
Rejection Charges
Closure/ Invocation/ Confirmation of pledge
Creation of pledge
Securities Borrowing
Dematerialization
Rematerialisation / repurchase
Delivery Instruction Book Charges
Custody Charges on Unlisted Securities
SCHEDULE 'A' W.E.F. 01-07-2008
ASSIGNMENTS LIMITED
Authorised Signatory Second HolderFirst Holder
ACCOUNT No. .........................................
SCHEME - A
Rs. 260/-
SCHEME - B
Rs. 360/-
SCHEME - C
Rs. 750/-
SCHEME - E
Rs. 1000/-
SCHEME - ‘AA’
Scheme applicable to Alankit Trading Clients Only
SCHEME - A SCHEME - B SCHEME - C SCHEME - E SCHEME - ‘AA’
DP-ID IN 300118
DP-ID IN 301160
DP-ID IN 301186
Third Holder
ASSIGNMENTS LIMITED
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA), Tel. : 91-11- 42541234, 42541795-98, 23513512-16,23541234, Fax : 91-11-41543453, 41543445 E-mail : [email protected], [email protected]
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535, E-mail : [email protected] Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88, Telefax : 0581-2551165, E-mail : [email protected]
A. NIL - ONLY FOR CLIENT WHO ACTIVELY TRADE THROUGH AAL (i.e. Alankit Assignments Ltd.)B. Facility of NIL as (a) above only available for clients actively trading through AAL. Clients whose trading accounts are inactive / dormant, shall maintain minimum cash margin of Rs. 5000/- with AAL at all times otherwise normal AMC of Rs. 260/- as applicable for individual accounts shall be levied. For corporate / trust and NRI accounts this amount shall be Rs. 1000/- p.a.
A. Annual account maintenance charges for clients availing Speed- e facility of NSDL for debit instruction through internet.a. For IDEAS users Rs. 20/- Per Annum Extra b. For Smart Card users Rs. 520/- Per Annum Extra ((Inclusive of ideas facility)*To be deposited in advance at the time of activation of Account
Rs. 16/- per debit instruction
Rs. 16/- per debit instruction
Rs. 15/- per debit instruction
Rs. 15/- per debit instruction
Rs. 14/- per debit instruction
Rs. 14/- per debit instruction
Rs. 11/- per debit instruction
Rs. 20/- per debit instruction
Rs. 20/- per instruction
Rs. 40/- per instruction
Rs. 40/- plus Rs. 3.00 Per Certificate Subject to Maximum of Rs. 250/-per instruction
A. Rs. 20/- for eery hndred securities viz. Shares / debentures / bonds etc. Or part thereof. OrB. Rs.20/-Per Certificate. Whichever is higher
Rs. 25/- per instruction
Rs. 50/- per book
Rs. 50/- per instruction (Chargable from the pledger)
Rs. 5/- per debit instruction
Rs. 11/- per debit instruction
Rs. 14/- per debit instruction
Rs. 13/- per debit instruction
Rs. 12/- per debit instruction
Rs. 9/- per debit instruction
Minimum Rs. 10/- per quarter upto 10 ISINs and Rs. 2/- per quarter per ISIN beyond 10 ISINs (Applicable also for accountshaving no security balance) Custody fee will be charged for securities held under each ISIN as of Last Saturday of everyquarter. Holding of unlisted securities under the following category are exempted from custody fees:- 1.Government Securities, 2. National Saving Certificate (NSC)/Kisan Vikas Patra (KVP), 3. Pass through Certificates / Securities instruments 4.Liquid benchmark Exchange Traded Scheme 5.Warehouse Receipts (Commodities)
• Annual charges will be levied w.e.f. 1st day of the quarter in which account is opened.
• No refund of annual charges, whenever the account is closed.
• Non-execution of delivery instruction due to any problem/error-courier charges Rs.20/- per communication/dispatch.
• Modifications in client master Rs. 25/- per instance.
• Charges for delivery instructions accepted at client's sole risk beyond NSDL deadline, Rs. 20/- per delivery slip. Delivery instruction slip must be received at Jhandewalan Head Office/Jaipur/Bareilly branches (i.e. where client accounts are being maintained) within NSDL stipulated deadline.
• Non-periodic statement and other communications shall be charged @ Rs. 5/- per page and postage/courier charges @ Rs. 30/- per mail.
• In case Bank mandate for debit through ECS is not given, minimum credit balance of Rs. 500/- (Rs. 1000/- for Scheme E) shall be maintained as advance towards future charges.
• In case of foreign correspondence address, in addition to annual account maintenance charges, statement/communication charges @ Rs. 50/- per mail shall be charged extra.
• In case of non-payment of bill/dues within 15 days of due date, the depository services are liable to be discontinued within a period of 30 days from the date of demand. The renewal charges for resuming the services will be Rs. 100/-
• In case of any upward revision in schedule of charges, 30 days notice would be given by publication in newspaper/post.
• In case of demat rejection postage shall be charged @ Rs. 30/- for dispatch to the client for removal of objection.
• Any service not listed above will be charged for extra.
• Taxes and other government levies extra as applicable from time to time.
Please place my / our account under Scheme __________________________________
10
Rs. 11/- per debit instruction for client trading with Alankit Assignments Ltd. And Rs. 20/- per debit instruction for client trading with other brokers
Rs. 9/- per debit instruction for client trading with Alankit Assignments Ltd. And Rs. 18/- per debit instruction for client trading with other brokers
N.A. Rs. 500/-
DP- CLIENT AGREEMENT
(FOR WAREHOUSE RECEIPT)AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT[entity registered as Depository Participant of National Securities Depository Limited ("NSDL") with
Securites and Exchange Board of India (SEBI) under SEBI ( Depositories & Participants
Regulation, 1996] AND THE CLIENT (person seeking to open a depository acount with the
depository participant) FOR THE PURPOSE OF HOLDING AND TRANSACTING IN
ELECTRONIC WAREHOUSE RECEIPTS.
This agreement made and entered into this _________________________day of
________________Two Thousand__________between____________________
__________________________________________R/o Situated at__________
__________________________________________________________________________
__________________________________________________________________________
(hereinfter called "The client") and Assignments Limited , having its Registered
office at 205-208 Anarkali complex Jhandewalan Extn., New Delhi -110055 and situated at
__________________________________________________________________________
______________________________________________________________________
(hereinafter called the "Depository Participant" or "DP").
WITNESSETH
WHEREAS the Depository Participant is registered as a participant in the National Securities Depository Ltd. ("NSDL"), a duly registered depository under the Depositories Act,1996.
WHEREAS the Client has furnished to the Depository Participant the duly filled in application form as prescribed by NSDL requesting therein the Depository Participant to open an account with the Depository Participant, and Depository Participant has represented to the client that it has set up a facility to extend depository services offered by NSDL to warehouse receipts.
NOW THEREFORE in consideration of the Depository participant having agreed to open an account for the client , both the parties to the agreement hereby covenant and agree as follows
1. The client shall pay such charges to the Depository Participant for the purpose of opening and maintaining of his account, for carrying out the instructions of the client and for rendering such other services as may be agreed from time to time between the depository participant and the client as set out in schedule A. The Depository participant shall reserve the right to revise the charges by giving not less than thirty days notice in writing to the client. Depository Participant shall not levy account closure charges if client chooses to close the account.
2. The Depository Participant hereby undertakes that it shall maintain a separate account of its own warehouse receipts if any held in dematerialised form and shall not co-mingle the same with the warehouse receipt held in dematerialised form by the Client.
3. The Depository Participant undertakes that a transfer to and from the account of a Client shall be made only on the basis of a written order, instruction, direction or mandate duly authorised by the Client and that the Depository Participant shall maintain adequate audit trail of such authorisation.
4. The Depository Participant agrees that the Client may give written standing instructions with regard to the debiting or crediting of electronic warehouse receipts in its account and the depository participant shall act according to such instructions.
5. The Depository Participant undertakes to provide a transaction statement to the Client atleast at monthly intervals unless the Depository Participant and the Client have agreed in writing for provision of such statements at shorter intervals. However, if there is no transaction in account, then the Depository Participant shall provide such statement to the Client atleast once a quarter.
6. The Depository Participant undertakes to resolve all legitimate grievances of the Client against the Depository Participant within a period of thirty days.
7. The client agrees to operate this beneficial owner account for the sole purpose of holding and transaction in electronic warehouse receipts and shall be solely responsible for costs and consequences of receiving credit of any other securities into this account in the event of such credit being made owing to instructions issued by the client. The DP may levy special charges to transfer such securities out of this account, in addition to the charges listed in schedule 'A'. However, if the client gets any erroneous credit of securities / WRs in this account, he will assist the DP in restoring the securities into the account from which the securities were received in the clients account at no cost to the client.
8. The client may, seek delivery of the commodity represented by electronic warehouse receipt from the warehouse that has issued the electronic warehouse receipt. The client acknowledges that neither the Depository Participant nor NSDL shall be responsible for delivery of the commodities against the electronic warehouse receipts, whether on grounds of quantity, quality, timeliness of delivery or otherwise. The client hereby indemnifies and agrees to keep indemnified and hold the Depository Participant and NSDL harmless from the against any loss, claim, damage, injury or other cost and expense relating to delivery of the commodity underlying the warehouse receipt.
9. The charges related to the warehousing service shall be settled in accordance with the arrangement agreed to by the client, Depository Participant and warehouse without any recourse to NSDL.
10. On the failure of the Client to pay the charges for provision of services by the DP as laid out in the clause (1) of this agreement within a period of fifteen days from the date of demand, Depository Participant may terminate this agreement and close the account of the Client by requiring it to specify whether the balances in its account be transferred to the account of the client held with another Depository Participant or send a delivery advise to related warehouse.
11. The Client further agrees that in the event of the Client commiting a default in the payment of any of amounts due and owing to the DP in terms of this Agreement within a period of fifteen days from the date of demand, without prejudice to the right of the Depository Participant to close the account of the Clients, the Depository Participant may charge interest at a rate not exceeding 15%. In case the Client has failed to make the payment of any such amount, the Depository Participant shall have the right to discontinue the Depository services till such time he makes the payment along with interest, if any after giving two days notice to the Client. If the client does not make the payment for more than two months, Depository participant may sell the commodities represented by the warehouse receipts to recover the amount due to it after giving 7 days notice to the client. The DP shall be deemed to have always had a first charge and lien over the warehouse receipts in the account of the Client towards recovery of amounts due under this Agreement.
12. The Depository Participant shall have the right to terminate this agreement, for any reason
account should be transferred to another account of the client held with another Depository Participant or it will seek delivery of commodities against the electronic warehouse receipts held. Based on the instruction of the Client, the Depository Participant shall initiate the procedure for transferring such electronic warehouse receipts or send a delivery advice against electronic warehouse receipts within a period of three days. The Client shall have the right to terminate this agreement and close his account held with the Depository Participant, provided no charges are payable by him to the Depository Participant. Provided further, termination of this agreement shall not affect the rights, liabilities and obligation of either party accruing prior to termination and shall continue to bind the parties to their satisfactory completion.
13. In the event of Depository Participant being suspended or terminated by NSDL / SEBI in terms of Bye Law Business Rules of NSDL or SEBI (Depositories & Participants) Regulations, 1996, Depository Participant / NSDL may give a notice of not less than 30 days of such suspension / termination to the client. In such an event, the Client shall specify whether the balances in its account should be transferred to another account of the Client held with another Depository Participant or if it will seek delivery of commodities against the electronic warehouse receipts held. Based on the instruction of the Client, the Depository Participant shall initiate the procedure for transferring such electronic warehouse receipts or send a delivery advise against electronic warehouse receipts within a period or three days.
14. The Client shall have the right to create a pledge of the electronic warehouse receipts held in the dematerialised form.
The Client may exercise the right to freeze his account maintained with the Depository Participant so as to lock the electronic warehouse receipt held with the Depository Participant.
The Client may exercise the right to un-freeze his account maintained with the Depository Participant. Such freezing and un-freezing of the account shall be in accoudance with the procedure prescribed in this regard by NSDL.
15. The Client shall notify the Depository Participant within seven days, of any changes in the details set out in the application form, submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time
16. The Depository Participant shall have a right to provide such information related to the Client's account as may be requested by the National Securities Depository Limited from time to time..
17. Depository Participant shall not be liable to the Client in any manner towards losses, liabilities and expenses arising from the claims of third parties and from taxes and other governmental charges in respect of electronic warehouse receipts credited to Client's account.
18. Depository Participant shall discharge all its obligations to the client as provided in the SEBI (Depositories & Participants) Regulations, 1996 and Bye Laws of NSDL in force at the time of entering into this agreement and as may be amended as if such client were a beneficial owner of securities in terms of the aforesaid laws, and shall maintain the same standard of service provided such obligations are not in contravention of the terms and conditions of this agreement.
19. All claims, differences and disputes between Depository Participants and Client arising out of or in relation to dealings on the NSDL Depository including any agreements, contracts and transactions made subject to this agreement or with reference to anything incidental thereto or in pursuance thereof or relating to their validity, construction, interpretation, fulfillment or the rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions, agreements and contracts have been entered into or not, shall be referred to arbitration in accordance to and subject to the provisions of the Arbitration and Conciliation Act, 1996. The arbitration mechanism prescribed under the NSDL Bye Laws, Rules and Regulations for disputes between members and clients in securities transactions shall be applicable to disputes between the Client and DP in relation to disputes arising out of and in connection with this Agreement.
IN WITNESS WHEREOF the Client and Depository Participant has caused these presents to be executed as of the day and year first above written.
Signed and delivered by WITNESS
On behalf of the Client Signature, Name & Address
________________________________
________________________________
1. Sole/ First Holder ________________________________
________________________________
________________________________
2. Second Holder ________________________________
________________________________
________________________________
3. Third Holder ________________________________
Signed and delivered by WITNESS
For on behalf of Depository Participant Signature, Name & Address
________________________________
________________________________
Authorised Signatory ________________________________
Schedule A
Containing the charges.
ASSIGNMENTS LTD. ASSIGNMENTS LTD.
11
Third Holder
Account Maintenance (Per Annum) Rs. 260/-
Delivery Rs. 16/- per debit instruction
Maximum Commodity Holding (MCH)
in the account (To be filled in by the Client) Rs. ___________________________
Permanent Deposit An amount equal to 0.5 % of the MCH will be maintained with us on anOngoing basis as an interest free deposit towards Future Warehouse charges. This amount will be released at the time of Account closure.
Commodity Holding Charges (Per Month) MCH upto Rs. 20 Lakhs 0.04% On the average value of commodityMCH between 20 Lakhs and 50 Lakhs 0.03% Held in the account in that calender month*.MCH more than Rs. 50 Lakhs 0.02%
Rejection charges Rs. 20/- per instruction
Creation of Pledge Rs. 50/- per instruction
Closure / Invocation of Pledge Rs. 25/- pr instruction
Securities Borrowing Rs. 40/- per instruction
Dematerialisation Not applicable
Rematerialisation Rs. 75/- per instruction
Delivery Instruction Book Charges Rs. 40/- per book containing 20 leaves
Warehouse / RTA / NCDEX / MCX charges Will be payable at actual as charged by the exchange / warehouse / RTA
Any service not listed above will be charged for extra.No refund of annual charges, whenever the account is closed
• Non-execution of delivery instruction due to any problem / error - courier charges Rs. 30/- per communication / dispatch.• Modifications in client master Rs. 25/- per instance.• Charges for delivery instructions accepted at clients sole risk on or within 24 hours of execution date Rs. 10/- per delivery slip.• Non-periodic statement and other communications shall be charged @ Rs. 5/- per page and postage / courier charges @ Rs. 30/- per mail.• In case Bank mandate for debit through ECS is not given, minimum credit balance of Rs. 500/- shall be maintained as advance towards future
charges.• In case of non-payment of bill / dues within 15 days of due date, the depository services are liable to be discontinued within a period of 30 days from
the date of demand. The renewal charges for resuming the services will be Rs. 100/-.• *Average value of commodity held during the month will be calculated by multiplying by average daily quantities held in the account for a
month by the closing price of the commodity on the clearing day of the month.• Charges / service standards are subject to revision at Depository Participant sole discretion whenever the charges are revised by Depository, 30
days notice would be given by publication in newspaper / post.• Taxes and other government levies extra as applicable from time to time.
ASSIGNMENTS LIMITED
Authorised Signatory Second HolderFirst Holder
Charge Schedule for Beneficiary Account (COMMODITY) NSDL
12
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
ASSIGNMENTS LIMITED
DP-ID IN 300118
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected] Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
Schedule A
Fixed Charges Rs. 400/- per month
Account Opening Nil
Maximum Commodity Holding (MCH)
in the account (To be filled in by the Client) Rs. ___________________________
Permanent Deposit An amount equal to 0.5 % of the MCH will be maintained with us on anOngoing basis as an interest free deposit towards Future Warehouse charges. This amount will be released at the time of Account closure.
Commodity Holding Charges (Per Month) 0.02% of the average value of commodity held in the account in that calender month.*
Pay-in to clearing Corporation Nil
Pay-out from Clearing Corporation Actual NSDL Charges i.e. Rs. 1/-
Inter Settlement Rs. 12/- per debit Instruction
CM Pool to CM Pool (Delivery) Actual NSDL charges i.e. Rs. 8/-
A/c Transfer (Inter DP Delivery) Rs. 2/- per instruction
Failed / Rejected Transaction Nil
Delivery Instruction Book Charges Rs. 20/- per book
Warehouse / RTA / NCDEX / MCX Charges Will be payable at actual as charged by the Exchange / warehouse / RTA
Charge Schedule for a CM Clearing Account (COMMODITY) NSDL
13
Third Holder
Any service not listed above will be charged for extra.No refund of annual charges, whenever the account is closed
• Non-execution of delivery instruction due to any problem / error - courier charges Rs. 30/- per communication / dispatch.• Modifications in client master Rs. 25/- per instance.• Charges for delivery instructions accepted at clients sole risk on or within 24 hours of execution date Rs. 10/- per delivery slip.• Non-periodic statement and other communications shall be charged @ Rs. 5/- per page and postage / courier charges @ Rs. 30/- per mail.• In case Bank mandate for debit through ECS is not given, minimum credit balance of Rs. 500/- shall be maintained as advance towards future
charges.• In case of non-payment of bill / dues within 15 days of due date, the depository services are liable to be discontinued within a period of 30 days from
the date of demand. The renewal charges for resuming the services will be Rs. 100/-.• *Average value of commodity held during the month will be calculated by multiplying by average daily quantities held in the account for a
month by the closing price of the commodity on the clearing day of the month.• Charges / service standards are subject to revision at Depository Participant sole discretion whenever the charges are revised by Depository, 30
days notice would be given by publication in newspaper / post.• Taxes and other government levies extra as applicable from time to time.
ASSIGNMENTS LIMITED
Authorised Signatory Second HolderFirst Holder
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
ASSIGNMENTS LIMITED
DP-ID IN 300118
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected] Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
Schedule A
Third Holder
Name : ________________________________
Address : ______________________________
Mobile Number : ______________________________
Phone Number : ______________________________
Second HolderFirst Holder
Dear Sir,
I/We request you to send / dispatch the Email statements for my / our above mentioned demat account on Email instead of physical statement.
I/We understand that the e-mail Statements is for my / our convenience.
I/ We further state that I/ we sill not hold Alankit Assignments Limited responsible under any circumstances in the event of emails which you send get bounced due to any reason such as e-mail box being full, inactive account due to any technical reason beyond you control.
In the event of change in the e-mail address, I/We shall inform the same in writing.
I/We aware that I/We will not receive the transaction statements in paper form.
I/ We take all the necessary steps to ensure confidentiality and secrecy of the login name and password of my / our e-mail account.
I/ We am/ are aware that the transaction statement may be accessed by other entities in case the confidentiality / secrecy of the login name and password is compromised.
You shall have the right to terminate the service by giving the written notice at least 10 days in advance to me / us.
I/ We confirm to have read and understood the terms & conditions and declare and acknowledge my / our consent to abide by the above terms and conditions for availing e-mail statements.
Tlhanking you,
Your truly,
REGISTRATION FORM FOR EMAIL STATEMENTS
SUBJECT : AVAILING OF THE ELECTRONIC TRANSACTION STATEMENT
CLIENT ID _____________________________EMAIL ADDRESS_______________________________________________
1E/ 13, Ground Floor, Jhandewalan Extn.New Delhi- 110055
14
ASSIGNMENTS LIMITED
AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND THE CLIENT FOR PROVIDING THE TRANSACTION STATEMENT THROUGH INTERNET
Client ID ___________________
This agreement made and entered into this __________________ day of ________________________Two Thousand _____________between
__________________________________________________R/o / Situated at ____________________________________________________
___________________________(hereinafter called "The Client ) and Assignments Limited, having its Registered Office at 205-208,
Anarkali Complex, Jhandewalan Extn. New Delhi - 110055 and situated at________________________________________________________
_______________________________________________________________(hereinafter called " the Depository Participant") with branch(s) at
WITNESSETH
WHEREAS the Client has permitted the Depository Participant to provide the transaction statement through internet.NOW THEREFORE in consideration of the Depository Participant having agreed to provide the transaction statement through internet, both the parties to the agreement hereby covenant and agree as follows:I) The Depository Participant shall install adequate systems to restrict the access of the transaction statement only to the Client.II) The Client shall take all the necessary steps to ensure confidentiality and secrecy of the login name and password.III) The Client is aware that the transaction statement may be accessed by other entities in case the confidentiality / secrecy of the login name and
Password is compromised. IV) The Depository Participant and the Client shall have the right to terminate this agreement after giving a notice of atleast 10days to the other party.V) The above terms and conditions are in addition to and not in violation of the terms and conditions forming a part of the "AGREEMENT BETWEEN
THE DEPOSITORY PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE DEPOSITORY PARTICIPANT" signed by the Client at the time of opening the account with the Depository Participant.
WITNESS WHEREOF the Depository Participant and the Client has caused these presents to be executed on the day and year first above written.
Signed and delivered by
_______________________ ________________________ _______________________ Sole / First Holder Second Holder Third Holder
WITNESS
Signature, Name & Address
1. __________________________________
__________________________________
__________________________________
__________________________________
2. __________________________________
__________________________________
__________________________________
__________________________________
ASSIGNMENTS LIMITED
For on behalf of
Authorised Signatory
WITNESS
Signature, Name & Address
__________________________________
__________________________________
__________________________________
__________________________________
15
I/We wish to register for SPEED-e service as per the detail given below. I/We are also enclosing a letter from the pre-notified account holders in the prescribed format. I/We request you to activate my/our account.
SPEED-e Application Form (For Password User)
Registration Request No.
Name
Account Details
Client ID
Sole/First Holder Name
Second Holder Name
Third Holder Name
Pre-Notified Accounts
Clearing Member Name
CM-BP-ID
Clearing Member Name
CM-BP-ID
Clearing Member Name
CM-BP-ID
DP-ID
Sole/First Holder
Second Holder
Third Holder
Name Signature
User Name
Name SignatureTo be signed by SPEED-e User
To be signed by Account Holders
1E/13, Ground Floor, Jhandewalan Extn., New Delhi-110055 (INDIA)Tel. : 91-11- 42541234, 42541795-98, 23513512-16, 23541234Fax : 91-11-41543453, 41543445, E-mail : [email protected], [email protected]
ASSIGNMENTS LIMITED
DP-ID IN 300118
101-104, Luhadia Tower, Ashok Marg 'C' Scheme, Jaipur-302001Tel.: 0141-2374531-34, 2729033-35 Fax : 0141-2374535 E-mail : [email protected] Arcade 1st Floor, 87, Civil Lines, Near Ayub Khan Chauraha, Bareilly-243001 Tel.: 0581-2551161-64, 2551086-88Telefax : 0581-2551165, E-mail : [email protected]
DP-ID IN 301160
DP-ID IN 301186
Regd. Off.: 205-208, Anarkali Complex, Jhandewalan Extn., New Delhi -110055
16
AGREEMENT BETWEEN THE PARTICIPANT AND THE CLIENT FOR PARTICIPATION IN SPEED-e
This Agreement is made this _______ day of_____________________Two
Thousand_____________________("this Agreement") By and between____________
_______________________________________________ residing/situated at
_________________________________________________________________________
_________________________________ having account no. ____________________(Hereinafter called “the Client”)
And
Assignments Ltd. having Registered Office at 205-208, Anarkali Complex,
Jhandewalan Extension, New Delhi - 110055 situated at _____________________________
_________________________________________________________________________
____________________________________________ (hereinafter called "the Participant"). In this Agreement, the Client and the Participant shall be collectively referred to as "the Parties"
and severally as "the Party".
WHEREAS
A The Participant is a duly registered depository participant and is part of the NSDL’s depository system.
B. The Participant has been registered with NSDL to offer SPEED-e, a common infrastructure facility provided by NSDL, which enables account holders to issue instructions to depository participants through the Internet. The Participant has agreed to receive instructions relating to the accounts and to provide information services relating to the accounts of various Clients through Internet.
C. The Client has expressed its interest in availing of the services provided by the Participant using SPEED-e.
D. The Parties have executed the Depository Services Agreement pursuant to which the Client owns, controls and operates accounts with NSDL through the Participant.
E. The Parties have agreed to record in this Agreement the terms and conditions upon which the Client may participate in SPEED-e.
NOW THEREFORE in consideration of their mutual covenants and promises contained herein, and for good and valid consideration, the receipt, sufficiency and adequacy of which is hereby acknowledged, the Parties agree as under:1. Definitions and Interpretation
In this Agreement, words and expressions listed in this Clause shall carry the meaning assigned to them in this Clause:"Business Rules" shall mean the business rules prescribed by the NSDL in pursuance of the Bye-Laws."Bye-laws" shall mean the Bye-laws of NSDL."Clients" shall mean persons with whom the Participant has executed valid Depository Services Agreement."Depository Services Agreement" shall mean the "Agreement between the Participant and the Person seeking to open an account with the Participant" signed by the Client at the time of opening the account pursuant to Bye Law 9.1.5 and as prescribed in Annexure B of the Bye-Laws."NSDL" shall mean the National Securities Depository Limited, a depository registered with the Securities and Exchange Board of India under the Depositories Act, 1996, of which the Participant is a depository participant."PIN" shall mean the Personal Identification Number, either assigned to the Client or chosen by the Client pursuant to this Agreement, which may be necessary for the Client to access SPEED-e."Possessed Object" shall mean a smart card with a silicon chip or such other means capable of storing information and affixing digital signature which may be used by the Client for authorising any instruction issued by the Client to the Participant through SPEED-e."Pre-notified Accounts" shall mean accounts of such type and number as to which NSDL may permit the Client to transfer securities from the Client’s account, if the Client uses only Remembered Information for the purposes of accessing SPEED-e."Remembered Information" shall mean and include such confidential information such as password, PIN or such other information used for authentication of the Client while making use of SPEED-e, as may be generated by the Client for access to SPEED-e."SPEED-e" shall mean the Internet-based common infrastructure facility provided by NSDL, which is being used by the Participant to accept instructions from the Client and to provide information about Client’s account in relation to the operation of the Client’s account."This Agreement" shall mean this agreement between the Parties hereto and shall include the recitals, annexures and schedules, if any to this Agreement, and any modification or amendment hereof, in accordance with the terms hereof."Working Day" shall mean any day as defined in the Business Rules of NSDL.
In this Agreement, unless the context otherwise requires:(A) The singular includes the plural and vice versa;(b) Words importing any gender include the other gender;(c) Reference to any statute, ordinance or other law includes all regulations and other
instruments and all consolidations, amendments, re-enactments or replacements for the time being in force;
(d) All headings, bold typing and italics (if any) have been inserted for convenience of reference only and do not define limit or affect the meaning or interpretation of this Agreement;
(e) Reference to a Recital, Schedule, Annexure or Exhibit is to a Recital, Schedule, Annexure or Exhibit of or to this Agreement;
(f) Reference to a person includes a natural person, body corporate, unincorporated association, government or governmental, semi governmental or municipal entity; and
(g) reference to a party means a party to this Agreement and includes that party’s successors, legal personal representatives and permitted assignees.
1. The Participant shall from time to time prescribe to the Client the minimum specification of hardware and software that will be required by the Client to access SPEED-e. The Participant represents that the Participant has fully complied with all the technical and operational requirements prescribed for the Participant by NSDL.
2. The Client shall have an option of either having a Possessed Object for validation of the Client’s access to SPEED-e or generating the Client’s own Remembered Information for validation of such access by the Client. From time to time, the Participant may prescribe to
the Client, in accordance with instructions received by the Participant from NSDL, such measures as may be required to ensure the safety and security of the Client’s access to and usage of SPEED-e and the Client shall abide by the same.
3. The Client agrees to take adequate safety measures for accessing SPEED-e, including but not limited to: a. In the event the Client has opted for Remembered Information for access to SPEED-e, the Client shall take all the necessary steps to ensure confidentiality and secrecy of the Client’s Remembered Information used for authentication of the Client and shall not reveal the same to any employee, agent or official of the Participant or to any other person. The Client acknowledges that failure to adhere to safety and security measures prescribed by NSDL and the Participant could lead to a loss of confidentiality and secrecy of the Remembered Information, thereby exposing the Client to the risk of financial losses. b. In the event the Client has opted for the Possessed Object, for the purpose of identifying the Client in the process of authenticating the Client’s access to SPEED-e, the Client shall take all necessary steps to ensure that the Possessed Object is kept safely with itself and not to part with possession of the same to any third party. The Client shall also ensure that the safety instructions issued for the usage of the Possessed Object are strictly adhered to.
4. The Client acknowledges that in the interests of the security of the Client’s usage of SPEED-e, if the Client does not opt for Possessed Object as a means of authenticating the Client’s access to SPEED-e, the Client shall be entitled to transfer securities only to the Pre-notified Accounts. Further, the Client shall submit to the Participant an undertaking in the enclosed format from the holder of the pre-notified account.
5. The Client acknowledges that all instructions received by the Participant, authenticated pursuant to use of Remembered Information or Possessed Object shall be conclusive evidence of such instructions having been issued by the Client and shall be attributed to the Client. The Participant shall not be held liable for acting on the instructions so received.
6. If the Client has reason to believe that the confidentiality of the Remembered Information has beenCompromised or that the Possessed Object has been lost/misplaced/stolen, the Client shall intimate the Participant forthwith about such compromise or loss. The Participant shall take best efforts to forthwith disable the Client’s access to SPEED-e not later than one Working Day of receipt of such intimation from the Client. However, if any instructions are received prior to such disablement, the Participant shall not be liable for losses, if any, arising out of execution of such instructions.
7. In consideration of the access to SPEED-e, the Client agrees to pay such charges to the Participant as may agreed at the time of entering into this Agreement. The Participant shall reserve the right to revise the charges by giving the Client adequate advance notice, in no event lesser than thirty (30) days, to be issued either in writing or through intimation issued through SPEED-e.
8. The Client agrees that in the event of the Client desiring to operate any joint account through SPEED-e, it shall be a condition precedent for usage of SPEED-e that all the joint holders shall execute a Power of Attorney favouring any one individual who shall be deemed to be the user of the Remembered Information or the Possessed Object for access to SPEED-e and issue of instructions to the Participant through SPEED-e. The Client hereby ratifies and upholds all such instructions issued through SPEED-e using such Remembered Information or Possessed Object, as the case may be. In the event the Client changes the holder of the power of attorney, the Client shall deposit the new power of attorney with the Participant and ensure that authority to access SPEED-e is transferred from the old power of attorney holder to the new power of attorney holder. The usage of and access to SPEED-e using the Remembered Information or Possessed Object, as the case may be, shall be deemed to have been made by the holder of the power of attorney at the time of such access and use.
9. The Client shall be entitled to change the Remembered Information on SPEED-e from time to time.
10.The Client shall enter all its instructions in a timely manner to ensure that the same are capable of being received by the Participant by accessing SPEED-e at least one clear Working Day prior to the execution date expected by the Client. (For eg; if the execution date is on a Friday, the instructions must be received by SPEED-e latest by Wednesday) The receipt of instructions by SPEED-e shall be indicated by means of message receipt confirmation screen that shall be generated on the Client’s computer screen, which shall be capable of being printed out for the Client’s record. If the instructions are received by SPEED-e before the aforesaid deadline, the Participant shall be fully responsible for executing the same within the prescribed deadline. If the instructions are received by SPEED-e after the aforesaid deadline, the instructions may be executed by the Participant on a best-efforts basis, and the Participant shall not be liable for non-execution of the same. The Client further acknowledges that the Client shall not have any right to any claim against either the Participant or NSDL for losses, if any, incurred due to non-execution of such instructions received late and executed on a best-effort basis. In the event of any dispute relating to the date and time of receipt of the instructions on SPEED-e, NSDL’s records shall be conclusive evidence and the Parties agree that NSDL’s decision on the same shall be final and binding on both Parties.
11. The Participant shall promptly inform the Client about the status of the instructions received pursuant to this Agreement, but in no case later than 12.00 noon of the next Working Day of execution date of instructions.
12.The right to use SPEED-e by a Client cannot be assigned or transferred by the Client under any circumstances, otherwise than through valid issue of a power of attorney.
13.The Client may request for termination of this Agreement at any time by giving a notice in writing or through SPEED-e to the Participant. The Participant shall terminate the service within fifteen (15) days of receipt of such notice.
14.This agreement unless terminated earlier shall be deemed to be terminated immediately on termination of the Depository Services Agreement.
15.The Client agrees to indemnify, keep indemnified and hold the Participant and NSDL harmless from any loss, damage, claim, suits, legal proceedings, investigations, expenses of every kind and any other liability whatsoever, including reasonable attorney’s fees and fees of such experts as may be become necessary for NSDL and / or the Participant to engage, caused due to the availing of the services by the Client pursuant to this Agreement in any and all circumstances including without limitation, the following: (a) Falsehood or misrepresentation of any nature by the Client (or any person acting on
17
behalf of the Client); (b) Failure to use a trustworthy system for access to Speed-e (c) Failure to take the precautions necessary to prevent the compromise, loss, disclosure, modification, or unauthorised use of the Client’s Remembered Information, Possessed Object or the private key used to execute the Client’s digital signature
16.Notwithstanding anything contained herein, the Client recognises and acknowledges that the Participant may, in accordance with instructions received by the Participant from NSDL, prescribe such other security measures as it deems fit, in replacement of or supplementing the validation process through the use of Remembered Information or Possessed Objects, including without limitation the use of biometrics and such other methods as would validate the identity of the Client for access to the SPEED-e system. The Client agrees that a condition precedent for the Client’s access to SPEED-e is that the Client shall provide such information, data, and access to its representatives and personnel, as may be designated by the Client as the users of the SPEED-e system in order to enable Participant to generate such biometric criteria or other criteria in accordance with the security measures prescribed by Participant, in accordance with instructions received by the Participant from NSDL.
17.The Participant may withdraw the access of the Client to SPEED-e at any time provided a notice of at least thirty (30) days is given to the Client. The Participant may suspend or terminate the service without prior notice if the Client has breached any of the terms and conditions of this Agreement or the Depository Services Agreement, or if the Participant learns of the death, bankruptcy, lunacy or loss of legal capacity of the Client.
18.Any dispute or difference between the Parties shall be resolved solely by means of reference to binding arbitration under the arbitration mechanism as provided in the Bye-Laws and Business Rules.
19.The above terms and conditions are in addition to and do not undermine in any manner whatsoever the terms and conditions forming a part of the Depository Services Agreement.
20.Each Party shall bear its own costs in the execution of this Agreement. IN WITNESS WHEREOF, THE PARTIES HAVE EXECUTED THIS AGREEMENT BY SIGNIFYING THEIR ASSENT HERETO BY AFFIXING THEIR SIGNATURES HERETO AS OF THE DAY AND YEAR FIRST HEREIN ABOVE WRITTEN: Co.:Signed and delivered by WITNESS
A/c Holder Signature Signature, Name & Address
__________________________________
__________________________________
1. Sole/ First Holder __________________________________
_________________________________
__________________________________
2. Second Holder __________________________________
__________________________________
__________________________________
3. Third Holder __________________________________
Signed and delivered by WITNESS
For on behalf of Depository Participant Signature, Name & Address
__________________________________
_________________________________
Authorised Signatory _________________________________
(for and behalf of the Client)
(to be signed by either sole holder or by each of the joint holders)
I confirm having received the Power of Attorney and have read and understood the terms of this Agreement [if applicable]
______________________(name & signature)
Power-of-Attorney holder(to be signed by the Power of Attorney holder operating the account appointed by either sole holder or joint holders)
Date : ___________________ Place : __________________
Name of The client ________________________________________________________________________________________
Address ________________________________________________________________________________________________
_______________________________________________________________________________________________________
Depository Account No. (DP ID & Client ID) ____________________________________________________________________
Dear Sir/Madam,We acknowledge your request to nominate our depository account as a pre-notified account for the purpose of receiving credits from your account. We have no objection for the same.We agree that if any securities are moved to our account which are not due to us for any reasons including but not limited to an error or fraud, we undertake to immediately return the securities to you. The details of our account are under :
Yours faithfully,
Authorised Signatories
(To be signed by the Clearing Member)
I/We hereby nominate the above account holder as our pre-notified account where securities can be credited from my/our account using the common infrastructure through internet.
To be signed by the Client (s)
Dated : ....................................
ANNEXURE - 1
To be furnished on Company's Letterhead
CM-BP-ID I N CM-BP-ID I N
Second HolderFirst Holder
Third Holder
ASSIGNMENTS LTD. ASSIGNMENTS LTD.
18
(POWER OF ATTORNEY FOR SPEED-e)(ON STAMP PAPER OF Rs 100/-)
TO ALL TO WHOM THESE PRESENTS shall come, we:
(1) _______________________________________________ Residing at __________________________________________________________
(2) _______________________________________________ Residing at __________________________________________________________
(3) _______________________________________________ Residing at __________________________________________________________
Respectively SEND GREETINGS
WHEREAS
We jointly own, control and operate the beneficial ownership account no. __________________________ of the National Securities Depository Limited
("NSDL") through M/s Assignments Limited ("Depository Participant") and we wish to operate the said account by issue and receipt of
instructions electronically through SPEED-e.
For the purposes of availing of the services provided through the said SPEED-e, we are required, in terms of our agreement with the Depository Participant to execute a Power of Attorney in favour of any single individual who shall act as our attorney for using the Remembered Information and/or Possessed Object and thereby operate the beneficial ownership account by means of access to SPEED-e and issue of instructions thereby, on our behalf.
It is therefore desired by all of us to appoint Mr / Ms ____________________________________________________ Residing at _________________
____________ _____________________________________________________________("the Attorney"), as our lawful Attorney for access to
SPEED-e, issue and receipt of instructions through SPEED-e and thereby operate our joint account and do various other acts as may be required and/ or
deemed fit by the Attorney for the aforesaid purpose.
NOW KNOW YE ALL MEN BY THESE PRESENTS that WE
(1) ____________________________________
(2) ____________________________________
(3) ____________________________________
DO HEREBY NOMINATE, constitute and irrevocably appoint the Attorney as our true and lawful Attorney, in fact and in law in our name and on our behalf to use the Remembered Information and / or the Possessed Object and issue and receive instructions to operate our beneficial ownership account through SPEED-e in accordance with the rules, regulations and norms prescribed therefore by the NSDL and / or the Depository Participant.
WE confirm that the usage of and access to SPEED-e by the Attorney using the Remembered Information and / or the Possessed Object shall be deemed to have been made by us and we hereby agree to ratify and confirm all and whatsoever our Attorney shall do or purport to do or cause to be done by virtue of these presents.
AND WE declare and covenant that this Power of Attorney is irrevocable for all times hereafter unless we deposit with the Depository Participant a fresh Power of Attorney jointly and we expressly replace the Attorney appointed by means of these presents, in such manner and form as may be prescribed by NSDL and the Depository Participant, and we shall be bound by all acts, deeds and things whatsoever that the Attorney shall do or purport to do or cause to be done by virtue of these presents.
Words and expressions and capitalised terms not expressly defined herein shall bear the same meaning as defined in our agreement dated _____________________ with the Depository Participant.
IN WITNESS WHEREOF OUR SIGNATURES ARE hereunto affixed. Signature(s)
By Mr. / Ms ______________________________________________ _______________________________________________ In the presence of )_______________________________________________________ ________________________________________________
By Mr. / Ms ______________________________________________ ________________________________________________ In the presence of )_______________________________________________________ ________________________________________________
By Mr. / Ms ______________________________________________ ________________________________________________ In the presence of )_______________________________________________________ ________________________________________________
Before me,Notary PublicAccepted and Confirmed:
Power of Attorney Holder(the Attorney)
19
DEPOSITORY DIVISIONELECTRONIC CLEARING SERVICE (DEBIT CLEARING)MANDATE FORM
1. D.P. A/c. No.
2. Name :
3. Bank Name :
a) Branch Name :
b) 9-Digit MICR Code* :
c) Account Type S.B.A/c.(Code 10)
Cash Credit (Code 13)
Current A/c (Code 11)
D) Ledger No./Folio No.______________________________________
Account No.__________________________________________________ *Appearing on the MICR Cheque issued by the Bank (Please attach the Photocopy of a Cheque or a blank cancelled cheque Issued by your bank for verifying the accuracy of the Code Number)I, hereby, declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information. I would not hold the user institution responsible. I hereby agree to discharge the responsibility expected of me as a participant under the scheme.
Date : Signature of the applicant(s)
BANK CERTIFICATION (Not required if photocopy of the cheque is enclosed).Certified that the particulars furnished above are correct as per our records.
Bank's Stamp :
Date : Signature of the authorised bank official
ASSIGNMENTS LIMITED
AUTHORISATION TO BANK FOR DEBITING THE ACCOUNT
To,
The Branch Manager
___________________________________
___________________________________
Dear Sir,
I/We ________________________________________________residing at
___________________________________________________________
maintain a ________________________Account No. __________________
with your branch.
I/We hereby authorised the Bank to debit all types of commission / fees ('Service Charges') payable by me / us and charged by Alankit Assignments Ltd. through the ECS (Debit Clearing) facility to my bank account with you. I/We undertake the sufficient balances shall be maintained by me/us, so that the right of the Bank to debit the Service Charges is not impaired. I/We hereby undertake not to revoke this authority without the written approval from the Bank.
SIGNED at _______________________ (Place ), this _______________ (day),
of ______________________________ (month), ____________________ (Year)
Signature _________________________ Name __________________________
Signature _________________________ Name __________________________
Signature _________________________ Name __________________________
(A/c holder's Signature should be the same as in bank A/c. In case of jointaccount both the holder must sign the mandate form)
Serial No. ..................
DEPOSITORY DIVISIONELECTRONIC CLEARING SERVICE (DEBIT CLEARING)MANDATE FORM
1. D.P. A/c. No.
2. Name :
3. Bank Name :
a) Branch Name :
b) 9-Digit MICR Code* :
c) Account Type S.B.A/c.(Code 10)
Cash Credit (Code 13)
Current A/c (Code 11)
D) Ledger No./Folio No.______________________________________
Account No.__________________________________________________ *Appearing on the MICR Cheque issued by the Bank (Please attach the Photocopy of a Cheque or a blank cancelled cheque Issued by your bank for verifying the accuracy of the Code Number)I, hereby, declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information. I would not hold the user institution responsible. I hereby agree to discharge the responsibility expected of me as a participant under the scheme.
Date : Signature of the applicant(s)
BANK CERTIFICATION (Not required if photocopy of the cheque is enclosed).Certified that the particulars furnished above are correct as per our records.
Bank's Stamp :
Date : Signature of the authorised bank official
ASSIGNMENTS LIMITED
AUTHORISATION TO BANK FOR DEBITING THE ACCOUNT
To,
The Branch Manager
___________________________________
___________________________________
Dear Sir,
I/We ________________________________________________residing at
___________________________________________________________
maintain a ________________________Account No. __________________
with your branch.
I/We hereby authorised the Bank to debit all types of commission / fees ('Service Charges') payable by me / us and charged by Alankit Assignments Ltd. through the ECS (Debit Clearing) facility to my bank account with you. I/We undertake the sufficient balances shall be maintained by me/us, so that the right of the Bank to debit the Service Charges is not impaired. I/We hereby undertake not to revoke this authority without the written approval from the Bank.
SIGNED at _______________________ (Place ), this _______________ (day),
of ______________________________ (month), ____________________ (Year)
Signature _________________________ Name __________________________
Signature _________________________ Name __________________________
Signature _________________________ Name __________________________
(A/c holder's Signature should be the same as in bank A/c. In case of jointaccount both the holder must sign the mandate form)
Serial No. ..................
(Please Tear Here)
(Ple
as
e T
ea
r H
ere
)
20
INDIVIDUAL
DocumentsSpecify Documents
ObtainedDeviation
Pan (Compulsory)
If verified from Web
If verified from Original
Inperson verificationIf done by whom (Give Name):
A. LOCALProof of Address (Compulsory)
If verified from Original
B. CORRESPONDENCEIf verified from Original
If Disabled default indicator for local address
Cancel Cheque - If Obtained
ECS Mandate - If Obtained
Photo (Signed Across)
Charge Schedule - Specify Scheme
Nominee Photo (Signed Across)
Nominee Signature
Witnessed for Nomination
Witness - Agreement
- Nomination
Bank detail with Proof (Compulsory)
Holder/s Signature In Nomination Column (Compulsory)
Signed by Senior Official of the Branch
Yes / No
Documents Checked by ____________________Date _________________
Form Captured by _________________________Date _________________
PAN verified from Web by __________________Date _________________
Form verified by __________________________Date __________________
Audit by _________________________________Date __________________
Feeding checked by______________________Date __________________
NRN No.__________________________________By___________________
AA Debited in NSE Code____________________By __________________
Scheme checked___________________________By __________________
PROCESS SHEET FOR NSDL (for Office use only)
NAME
SUBDP / BRANCH
CLIENT ID
Sub DP Checked _________________________By ___________________
Form Completed _________________________By ____________________
ECS Completed _________________________ By ____________________
Tallied with Activation Report ______________By ____________________
Documents Checked by _____________________Date _______________
Form Captured by __________________________Date ________________
Form verified by ____________________________Date ________________
Audit by(At HO) ____________________________Date ________________
(For Head Office use only)
21
ASSIGNMENTS LIMITED
Regd. Office : 205-208, Anarkali Complex, Jhandewalan Extension, New Delhi 110 055
Bank Statement A. Original Bank Statement:-
(i) Should be printed on stationery of the bank(ii) Should carry logo of Bank(iii) Should carry Bank Name(iv) Carry client name and address(V) Transactions/holding of client for the latest quarter ending i.e. for accounts to be opened in July 2009 - September 2009 should be supported by the Bank
statement of the Quarter ending March 31, 2009.(vi) Obtain cancelled cheque in original or photocopy thereof (in case of photocopy, original of cheque be produced for verification).
B. Copy of the Bank statement:-Same as A (i) to (vi) above, and(Vii) Original of the Bank Statement be produced for verification by DP officials.
C.Original Bank Statement on plain paper (Computer generated):-Same as A (iii) to (vi) above, and(Vii) Bank statement to be signed and stamped by authorised official of Bank mentioning name and designation of Bank Official.
D. Bank Statement issued in electronic form:-Same as A (iii) to (v) above.(Vi) Obtain cancelled cheque in original or photocopy thereof carrying client name pre printed thereupon (in case of photocopy, original of cheque be
produced for verification.
E. In case of bank passbook, the same should be accompanied/supported with the transaction portion which should not be older than six months as on date of application.
In case of joint accounts all the applicant holders to sign and their proof of address/identity proof/pan card be collected.
Proof of address be collected both for local and correspondence address.
Proof of bank detail in shape of cancel cheque or bank statement/Bank Manager Certificate.
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