index of documentsthe constituent relevant to trading account and an instruction / check list. b. 1...

INDEX OF DOCUMENTSS. No. Page No.

1.

3.

KYC Form - Document captures the basic information about the consti tuent and an instruction / check list.

A.

Document captures the additional information about the constituent relevant to Trading account and an instruction / check list.

B.1 to 8KRA Form and Account Opening Form

(Annexure 1)

Document detailing the rate / amount of brokerage & other charges levied on the client for trading on Stock Exchange(s) / Commodity Exchanges(s).

Tariff sheet 9 to 10

11

4.

Maintaining Running Balance in clients account

12

12

Internal Authorisation

Voluntary Terms & Conditions

Transfer of Shares from client BO Account to Members Pool / Margin account 18 to 19

7.

2. Nomination Nominate for Demat account

5.

6.Authorisation for transfer of funds and /or securities /commodities, Inter segment and Inter exchange

Same Mobile No. and E-Mail ID facility for Family members

12

Name of the Document Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

VOLUNTARY DOCUMENTS AS PROVIDED BY THE SECURITY/ COMMODITY BROKERS

Running Account Authorization3.

Mobile No. and E-Mail ID consent

Confirmation of the Arrangement with Sub-Broker / Authorised person

Power of Attorney

13 to 17Additional terms & conditions specific to clients for the purpose of operational efficiency.

Confirmation for SB/AP

Rights and Obligations Document stating the Rights & Obligations of stock broker / trading member, sub-broker and client for trading on exchanges (including additional rights & obligations in

7. Policies and Procedure

4.

5.

2. In case of any correction in the form - Sign next to the correction done & Sign has to match the original signature1. All details to be filled in Capital Block letters in Black / Blue Ink Only.2. Email ID & Mobile number is mandatory for account related passwords and transaction details.3. Corrections in the KYC form should be counter signed.4. Strike off whichever option in the account opening form is not applicable.5. All Originals to be produced for physical verification.6. Name & address of the applicant mentioned on the KYC form should match with the documentary proof submitted.

IMPORTANT INSTRUCTIONS

IMPORTANT NOTESignature of Client / First HolderFH SH

Signature of GuardianG SW Signature of Second Witness

Signature of Second Holder TH Signature of Third Holder

Authorised Signatory of Member FW Signature of First Witness

Signature of Introducer

_______________________________________________________________________________________case of internet / wireless technology based trading)._________________

_______________________________________________________________________________________exchange, for the education of the investors._________________

Risk Disclosure Document (RDD)

Rights and ObligationsRights and Obligations of Beneficial Owner and Depository Participant as Prescribed by SEBI and Depositories8.

Document detailing dos and don'ts for trading on

Document describing significant policies and procedures of the stock broker / commodity derivatives

Sepa

rate

copy

pro

vided

to

clien

t. Also

mad

e ava

ilabl

e at

www

.nirm

alban

g.co

m

Document detailing risks associated with dealing in the securities / commodities market.

10Electronic Contract Note (ECN) - Declaration Documents for delivery of ECN1.

( Equity and Commodity )

6. Guidance note ( Equity and Commodity )

8.

2. 11Declaration provided by Client to Nirmal Bang forOpen Interest Position

Client Declaration - Open Interest Position

Please Tick

Proof of Address (POA)

Permanent / Correspondence

Bank Proof With MICR / IFSC Code

Demat Proof

Proof of Income (Any One) Mandatory for F&O,Commodity Derivatives and Currency Segments ( First Holder Only )

1. Unique identification number (UID) (Aadhaar)2. Valid Passport (Name, Address & Photo page)3. Voter ID (front and back)4. Valid Driving License (Name, Address & Photo page)5. PAN Card6. Other 1 (Pls. Specify) ___________________________1. Valid Passport (Name, Address & Photo page)2. Voter ID (front and back)3. Valid Driving License (Name, Address & Photo page)4. Unique identification number (UID) (Aadhaar)5. Bank Statement/Passbook (not more than 3 months old

must contain complete address of client)6. Banker’s Verification Letter7. Electricity Bill (not more than 3 months old)8. Resident Landline Tel. Bill (not more than 3 months old)9. Registered Flat Sale Agreement of Residence10. Registered Lease/Leave & License Agreement11. Ration Card1. Bank Statement / Bank Passbook with cheque leaf (not more than 3 months old)2. Banker’s Certificate on letter head of the Bank (ORIGINAL)3. Cancelled Personalized Cheque leaf1. Client Master (CML copy duly attested by DP)2. DP Statement / Transaction cum Holding Statement1. Copy of ITR Acknowledgement2. In case of salary income - Salary Slip, Copy of Form 163. Net-worth certificate (Not more than 1 year old)4. Copy of Demat Account Holding Statement5. Bank Account Statement for last 6 months reflecting income6. Annual Accounts7. Any other relevant documents

2. One colored front face photo (passport size)3. Any POI or POA is in regional language, then translation into English is required4. Sole proprietor must make the application in his individual name & capacity

Important Points

Proof of Identity (POI)(Any One)

(First Holder Signature) (Second Holder Signature) (Third Holder Signature)

SH 1/7

TH1/7

FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUALClient Name

Second Holder (if any)First/Sole Holder

Are you U.S. Person?(Refer KYC Handout - Customer Copy)Specify country of residence for tax purpose (Tax Residency)Specify country of citizenship

Third Holder (if any)

KYC CHECKLIST (PLEASE TICK WHEREVER APPROPRIATE)

Acceptable Documents (Copies of all documents to be self attested)1. Self attested copy of PAN card is mandatory

Note: If you are a U.S. person and / or if your tax residency / nationality / citizenship is other than India, then please provide declaration / self certification under FATCA / CRS. This declaration form can be downloaded from http://www.nirmalbang.com or call at centralized helpdesk at Tel:+91-22-29992100 or +91-22-30052100or write to [email protected].

Yes No

India Other

India Other

Yes No

India Other

India Other

Yes No

India Other

India Other

FH 1/23

( First Holder Only )

( First Holder Only )

(Any One)

(Any One)

Nirmal Bang Securities Pvt. Ltd.

Application No. :

DECLARATIONI hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

PlaceSignature of ApplicantL

Date DD / MM / YYYY

B. ADDRESS DETAILS

2. Contact/Mobile No Tel (Res.)Email idTel (Off.)

3. Specify the proof of address submitted for Residence / Correspondence Address:4. Permanent Address

(if different from above mandatory for non-resident applicant to specify overseas address )

Pin CodeCity/Town/Village

1. Residence /CorrespondenceAddress

Pin CodeCity/Town/Village District

CountryState

District CountryState

FOR OFFICE USE ONLY

Documents verified with Originals

Details of Employee /Authorized Signatory Name & E Code DesignationDateSignature

Client Interviewed By & Introduced By In-Person Verification done by

DD / MM / YYYY DD / MM / YYYY

Please fill in ENGLISH & in BLOCK LETTERS with black/blue ink & tick the appropriate options A. IDENTITY DETAILS1. Name of Applicant

PHOTOGRAPHPlease affix yourrecent passport

3. Father’s / Spouse Name

5. a. Genderc. Marital Status Single Marriedb. Date of birth DD / MM / YYYY

Male Female TransgenderOthers

4. Mother Name

2. Maiden Name FOR MARRIED WOMEN ONLYFIRST NAME MIDDLE NAME LAST NAME

FIRST NAME MIDDLE NAME LAST NAME

Ver: 1.0 1

I hereby declare that I have met the client personally and verified the person with the photo provided in account opening form (In Person Verification) and have verified allthe proofs with original (OSV). I am aware of Civil and Criminal liability that may devolve upon me (irrespective of whether I remain in employment or not) as per law andCompany Policies, in the event if false declaration to this effect.

* K Y C **KYC*

I hereby declare that I have made the client aware of 'Policy & Procedures', Tariff Sheet, 'Rights & Obligations', RDD, Guidance Note and all the non-mandatory documents.Any change in the 'Policy & Procedures', 'Rights & Obligations', RDD and Guidance Note would be made available on our website www.nirmalbang.com, for the informationof the clients.

3/23

FIRST HOLDER

and sign across it

8. PAN9. Specify the proof of identity submitted :

6. Nationality 7. StatusResident IndividualIndian FH

2/23

Aadhaar

OtherPlease specify,

Non ResidentForeign National

ANNEXURE 1 - PART 1KNOW YOUR CLIENT (KYC) | APPLICATION FORM (FOR INDIVIDUALS ONLY)

Nirmal Bang Securities Pvt.Ltd

Seal/Stamp of the Intermediary

FH


Application No. :


Place Signature of Applicant CLCLDate DD / MM / YYYY

B. ADDRESS DETAILS






CountryState







5. a. Genderc. Marital Status

8. PAN

Single Marriedb. Date of birthMale

DD / MM / YYYYFemale Transgender

Others

9. Specify the proof of identity submitted :

4. Mother Name

2. Maiden NameMIDDLE NAME

FOR MARRIED WOMEN ONLY

6. Nationality 7. StatusResident IndividualIndian

FIRST NAME LAST NAME


SH

Ver: 1.0 2

FOR OFFICE USE ONLYI hereby declare that I have met the client personally and verified the person with the photo provided in account opening form (In Person Verification) and have verified allthe proofs with original (OSV). I am aware of Civil and Criminal liability that may devolve upon me (irrespective of whether I remain in employment or not) as per law andCompany Policies, in the event if false declaration to this effect.I hereby declare that I have made the client aware of 'Policy & Procedures', Tariff Sheet, 'Rights & Obligations', RDD, Guidance Note and all the non-mandatory documents.Any change in the 'Policy & Procedures', 'Rights & Obligations', RDD and Guidance Note would be made available on our website www.nirmalbang.com, for the informationof the clients.

2/7

3/7

Aadhaar

SECOND HOLDER

OtherPlease specify

Non Resident Foreign National


PHOTOGRAPHPlease affix yourrecent passportand sign across it



SH


*KYC2** K Y C 2 *

APAJFPDIEODK AGALNNDACCOK AOCKGKGIIKMK



Application No. :


Place Signature of Applicant CLCLDate DD / MM / YYYY

B. ADDRESS DETAILS






CountryState







5. a. Genderc. Marital Status

8. PAN

Single Marriedb. Date of birthMale

DD / MM / YYYYFemale Transgender

Others

9. Specify the proof of identity submitted :

4. Mother Name

2. Maiden NameMIDDLE NAME

FOR MARRIED WOMEN ONLY

6. Nationality 7. Status

FIRST NAME LAST NAME


Ver: 1.0 3

FOR OFFICE USE ONLYI hereby declare that I have met the client personally and verified the person with the photo provided in account opening form (In Person Verification) and have verified allthe proofs with original (OSV). I am aware of Civil and Criminal liability that may devolve upon me (irrespective of whether I remain in employment or not) as per law andCompany Policies, in the event if false declaration to this effect.I hereby declare that I have made the client aware of 'Policy & Procedures', Tariff Sheet, 'Rights & Obligations', RDD, Guidance Note and all the non-mandatory documents.Any change in the 'Policy & Procedures', 'Rights & Obligations', RDD and Guidance Note would be made available on our website www.nirmalbang.com, for the informationof the clients.

Aadhaar

IndianOtherPlease specify

Resident IndividualNon Resident Foreign National


PHOTOGRAPHPlease affix yourrecent passportand sign across it

THIRD HOLDER



TH2/7

TH3/7


*KYC3** K Y C 3 *

APAJFPBKGODK AGFNMJHGMACK AGCKGKGIMCEK


Ver: 1.0 4

Signature of the Applicant

DP 1 DetailsDepository DP/ CP/ RP Name

CDSL NBSPL

DP 2 DetailsNSDL CDSL NSDL

12013300

Account Holder(s)NameOccupation Private Sector

Public SectorGovernment ServiceBusinessProfessional

Agriculturist Retired Housewife Student Others (Please specify;

(please tick any one and give brief details)

Private SectorPublic SectorGovernment ServiceBusinessProfessional


Private SectorPublic SectorGovernment ServiceBusinessProfessional


Sole / First Holder Second Holder Third Holder

C.IN CASE OF NRIs/ FOREIGN NATIONALS RBI Approval dateRBI Approval Reference Number

ANNEXURE 1 - PART 2 A.DETAILS OF ACCOUNT HOLDER(S)

Brief details:B.TYPE OF ACCOUNT

D. BANK ACCOUNT DETAILS (BANK 1 WILL BE CONSIDERED FOR PAYOUT OF FUNDS)DD / MM / YYYY

Savings/Current/Others in case of NRE/NRO Savings/Current/Others in case of NRE/NRO

Bank 1 Details Bank 2 DetailsBank Name

City/Town /Pincode Account Type MICR CodeSIFSC CodeE. DEPOSITORY / REPOSITORY ACCOUNT DETAILS

Bank Address Account No.

CP RP

F. TRADING PREFERENCES Exchange Segment

CP RP

Status Sub-Status

Individual

NRI

Foreign National

Individual ResidentIndividual Director’s Relative Individual PromoterIndividual Margin Trading A/c ( Mantra) NRI Repatriable NRI -Repartiable Promoter NRI - Depository Receipts

Foreign National - Depository Receipts

NRI -Non-RepatriableNRI -Non - Repartiable PromoterOthers (Specify) _____________

Individual - Director Individual - HUF / AOPMinorOthers (Specify) _____________

Foreign NationalOthers (Specify) _____________

NSE / BSE

NSE / BSE / MSEI NSE / BSE / MSEI

4/23

5/23

6/23

7/23

Cash

NSE / BSE / MSEI

F&OCurrency DerivativesMutual Fund

FH

FH

FH

FH

MCX 8/23FH

DP IDBO ID

Client Name

NCDEX

ICEX

Any Other ( Specify )In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consent letter is required to be obtained by the Member from client and to be kept as enclosure with this document

9/23

10/23

11/23

FH

FH

FH

12/23FH

BSE / NSE Commodity

K. PAST ACTIONSDetails of any action / proceedings initiated / pending / taken by SEBI / Stock Exchange / Security / Commodity Exchange / any other authority against the client during the last 3 years:

Others (Specify): AP/Emp/Client Code:

Employee Existing ClientL. INTRODUCER

Status of Introducer Sub-broker/AP Introducer Name:Address:

No Prior Experience

No If yes, please specify

____ Years in Securities / Commodities ____ Years in other investment related fieldsH. INVESTMENT / TRADING EXPERIENCE

Ver: 1.0 5

Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs >25 LacsGross Annual Income

OR Net Worth in ` (*Net worth should not be older than 1 year) as on date DD / MM / YYYY Is the Client Politically Exposed Person (PEP) or Related to a PEP Yes No

G. INFORMATION FOR PREVENTION OF MONEY LAUNDERING ACT, 2002

UNDER GRADUATE GRADUATE POST GRADUATE PROFESSIONALJ. EDUCATIONAL QUALIFICATION

N. STANDING INSTRUCTIONS

M. DEALING THROUGH SUB-BROKERS/AUTHORISED PERSON (AP) / OTHER STOCK BROKERS If Yes, please specify:Name of Stock Broker Name of SB/AP Name of Exchange Client Code (as given by other broker)

Details of disputes/dues pending from/to such stock broker/sub-broker: Whether you are a Member / Sub-broker / AP of any ExchangeIf yes, provide SEBI REGISTRATION NO:

Physical Commodity Trader Processor/Miller Retail – Individual Farmer Foreign Portfolio Investor-1

Foreign Portfolio Investor-2 Foreign Portfolio Investor-3 High Networth Individuals

I. COMMODITY CLIENT SUB CATEGORY

Mobile No.SMS Alert FacilityAccount to be operated through Power of Attorney (PoA) Margin Trading Facility ( Refer Rights & Obligation document) Yes No

Yes NoYes No

Refer to T&C given as Annexure - 2.4 in www.nirmalbang.com

Whether you wish to receive Physical Contract Note (PCN) or Electronic Contract Note (ECN)

Whether you wish to avail of the facility of internet trading/wireless technology

Whether you wish to receive rights & obligation, uniform RDD, Do s & Donts either in electronic form or physical note

PhysicalElectronic

Yes No

PhysicalElectronic

[(Mandatory , if you are giving Power of Attorney ( POA)] [If POA is not granted & you do not wish to avail of this facility, cancel this option].

Stock Exchange Clearing Member Clearing Member IDName/ID Name (Optional)

Yes No

Signature of the AP / IntroducerMobile No:

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the terms and conditions prescribed by CDSL for the same.Name/IDI/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST

Transactions UsingSecured TextingFacility (TRUST).Refer to T&CAnnexure 2.6 inwww.nirmalbang.com

To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.easi Yes No

Ver: 1.0 6

FH 13/23

(First/Sole Holder Signature) (Second Holder Signature)

SH 4/7

(Third Holder Signature)

TH4/7

P. GST REGISTRATION DETAILS

Guardian Name Relationship of guardian with minor

[For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian)]PAN Card

Guardian Details (where sole holder is a minor):

NOMINATION OPTIONI/We do not wish to make a nominationI/We wish to make a nomination

Date: DD / MM / YYYY Place :

1. I/We further confirm having received, read & understood the contents of the 'Policies & Procedure', ‘Rights & Obligations’document(s), 'Risk Disclosure Document & Do’s & Don’ts - Guidance note. I/We do hereby agree to be bound by such provisionsas outlined in these documents. I/We have also been informed that the standard set of documents has been displayed forInformation on member’s designated website i.e www.nirmalbang.comI/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/weundertake to inform you of any changes therein, immediately. In case any of the above information is found to be false oruntrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stockbroker and the tariff sheet.The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now havebeen 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 inforce from time to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the bestof my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of theabove information is found to be false or untrue or misleading or misrepresenting, I am/ we are aware that I/we may be heldliable for it. In case non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMAregulations. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner andDepository Participant”.

2.

3.

4.

DECLARATION

Receive Delivery Instruction Slip

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

I/ We wish to receive dividend/interest directly in to my bank accountas given below through ECS

Yes No

Yes No

Yes No

Yes No

Yes No

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

(If not marked, the default option would be Yes)[ECS is mandatory for locations notified by SEBI from time to time ]

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

I/We would like to instruct the DP to accept all the pledge instructions in my/our account without any other further instruction from my/our end (If not marked, the default option would be 'No )

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

[Automatic Credit]

Electronic Physical Both Physical and Electronic

OPTION 1:

OPTION 2:

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

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

*Account Statement Requirement As per SEBI regulation Daily Weekly Fortnightly Monthly[Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form]

Registration No : Name of the State :

O. BASIC SERVICES DEMAT ACCOUNT ( BSDA ) CONFIRMATIONI/We wish to opt for BSDA I/We do not wish to opt for BSDA till my further instructions (Note: If opted client should sign BSDA Tariff Sheet)

Ver: 1.0 7

I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that: I/We do not wish to nominate any one for this demat account. ORI/We nominate the following person/s who is entitled to receive security balances lying in my/our account, particulars whereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

DP ID : Client ID : BO Account Details

NOMINATION

Nomination Detail s Nominee 1 Nominee 2 Nominee 3

12013300Name of the First HolderName of the Second HolderName of the Third Holder

Nominee Name :*First Name:Middle Name:*Last Name*Address

City**State*Pin*CountryTelephone No.Fax No.PAN No.UIDEmail ID*Relationship with the BO:

*First Name:Middle Name:Last Name*

*

City*State*

*Pin

*CountryAge

Date of birth(Mandatory if Nominee is aminor) dd-mm-yyyy dd-mm-yyyy dd-mm-yyyyName of the Guardian ofNominee (if nominee is aminor)

Address of theGuardian of nominee

Nomination Registration No. Date: dd-mm-yyyy

Ver: 1.0 8

(First/Sole Holder Signature)

FH / 14/23

(Second Holder Signature)

SH 5/7


TH5/7

Nominee 1 Nominee 2Nomination Detail s Nominee 3

Percentage ofallocation ofsecurities:

*

*Residual Securities[please tick any onenominee. If tick notmarked default willbe first nominee]:

Notes: Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any.

Name:______________________________________________Address:______________________________________________________________________________________________

Signature of Witness: FW

This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.Note: One witnesses shall attest signature(s) / Thumb impression(s).

* Marked is Mandatory field

Email ID

Telephone No.Fax No.

*Relationship of theGuardian with theNominee:

I / We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.

Ver: 1.0 9

Jobbing Delivery Min Max (%) Slab No Min Max (%) Slab No Brokerage on Side

1st Side 2nd Side (Same Day Sq . Off)



BROKERAGE DETAILSCash Market / Capital Market

Future & Option DerivativesEQUITY FUTURE EQUITY OPTION

Currency MarketCURRENCY FUTURE CURRENCY OPTION

1. Dematerialisation (For Every 50 Certificate)

2. Rematerialisation

3. Equities - Transfer Fees - Market & off Market

4. Pledge Creation / Closure / Invocation Rs.100/- or 0.02% Whichever is Higher

5.

Rs. 40/- Rs. 40/-

Rs.500/-upfront

Rs.15/- per certificate or at the rate of 0.04% of the value of the securities / commodities requested for remat whichever is HIGHER

Account Maintenance Charges(AMC Per Annum-Pro -Rata) Rs.200/-upfront

Life Time Free AMC Rs. 1000/-6.

Per Transaction minimum of Rs.15/- or 0.03% Whichever is Higher

Corporate

Transaction Charges GST

Service IndividualSr.No.

Min Max (%) Slab No Min Max (%) Slab No Brokerage on Side


OTHER CHARGES Stamp Duty Statuary Charges SEBI FeesSTT

Rs. 2500/- + Annual Maintenance FeeAs and when levied by Depository.

CHARGES FOR DEPOSITORY SERVICES

Commodity Option Market

1st Side2nd Side (Same Day Sq.Off)

FUTURE COMMODITIES MARKET

Spot Commodities Market

Jobbing Delivery

Brokerage on side Min Max ( % ) Per lot Slab No

Jobbing Delivery Min Max (%) Slab No Min Max (%) Slab No Brokerage on Side




Jobbing Delivery

CTT Charges

TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.

Notes:


SH 6/7


TH6/7

FH 15/23

1. Minimum Brokerage will be applicable for F&O trading.2. Brokerage rate will not exceed the maximum rate as prescribed by SEBI / Exchanges.3. All regulatory and statutory levies will be charged at Actual to the client, based the rate prevailing from time to time.4. Fees schedule based on existing NSDL charges and is subject to change at the sole discretion of the Nirmal Bang Securities Pvt.

Ltd. after giving 30 days notice.5. GST Tax extra as applicable.6. All charges are payable monthly.7. All reference prices will be NSE price.8. There will be No on Market Transfer Charges for Pay In into Nirmal Bang Securities Pvt. Ltd. w.e.f. 01.04.2006.9. I/We authorise NBSPL to collect my/our DP charges from my trading account.

For Electronic Delivery through MCX / NCDEX / ICEX client need to open separate respective COMRIS / COMTRACK / NERL /CCRL / EDCM account with participant. Separate charges with applicable taxes if any will be debited in client’s ledger account.In case of intra day transaction in Security/ Commodity contract first leg rates as above shall be charged on the buy value orsell value depending upon whichever is higher and second leg rates shall be charged vice versa.Commission of Clearing & Forwarding Agent/Commission agents, if appointed on behalf of clients for the purpose of taking ofdeliveries will be charged at actual.Statutory levies including but not limited to Commodities Transaction Tax, GST on brokerage & charges, Stamp duty, Turnovercharges, SEBI turnover fees & RMS fees shall be levied as per the rates applicable from time to time.Nirmal Bang Securities Pvt. Ltd. reserves the right to revise the tariff structure from time to time at its sole discretion, underadvance intimation to clients either by way of ordinary post or by an email or by SMS or by notification on the back office interface.

10.

11.

12.

13.

14.

Ver: 1.0 10

APPENDIX A. ELECTRONIC CONTRACT NOTE [ECN] DECLARATION (VOLUNTARY)

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

Client Name

Client CodeAddress

City

DatePlace

Pan No

Pin Code

Client Signature FH16/23

Verification of the client signature done by,Name of the designated officer of the Member

Date Employee CodeSignatureL

[The above declaration and the guidelines on ECN given in the Annexure have been read and understood by me. I am aware of the risk involved in dispensing with the physical contract note, and do hereby take full responsibility for the same]

I,____________________________________________a client with Member M/s Nirmal Bang Securities Pvt. Ltd. of MCX /NCDEX / ICEX Exchange undertake as follows:1) I am aware that the Member has to provide physicalcontract note in respect of all the trades placed by me unless2) I/ myself want the same in the electronic form. I am awarethat the Member has to provide electronic contract note formy convenience on my request only3) Though the Member is required to deliver physicalcontract note, I find that it is inconvenient for me to receivephysical contract notes. Therefore, I am voluntarilyrequesting for delivery of electronic contract note pertaining

to all the trades carried out / ordered by me.4) I have access to a computer and am a regular internetuser, having sufficient knowledge of handling the emailoperations.5) My email id is _______________________________-_________________________________________________This has been created by me and not by someone else.6) I am aware that this declaration form should be in Englishor in any other language known to me.7) I am aware that non-receipt of bounced mail notificationby the member shall amount to delivery of the contractnote at the above e-mail ID.

TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.TD.

Ver: 1.0 11

Client Signature

I/We having Client Code are dealing through you as a client for BSE /NSE/MSEI in Capital Market and / or Future & Option segment and / or Currency Derivatives and /or interest rate future MCX, NCDEX & ICEX & in order to facilitate ease of operations and upfront requirement of margin for trade. I/ We authorize you as under:

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

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

3.I/We request you to settle my/our funds and securities/ commodities account once in every calendar Quarter/ Month (strike out whichever is not applicable) except the funds given towards collaterals / margin inform of Bank Guarantee and / or Fixed Deposit Receipt.

4.In case I/ We have an outstanding obligation in derivativemarket on the settlement date, apart from margin liability you may retain additional margins (maximum up to 125% of

margin requirement on the day of settlement) to take care of any margin obligation arising in next 5 trading days.

5.I/We hereby authorize you to retain amount in my accountup to Rs. 10,000/- (Net amount across segments and across stock exchanges) until specific instructions are given by me/us for release of the said amount. Further, I/We understand that this threshold limit is not applicable in case. If I/We have not traded even once during the last one Month / Quarter then settlement shall be done as per the SEBI circular in such cases.

6.In respect of Cash Market transactions, you may retainentire pay-in obligation of funds and securities / commodities due from me/us as on date of settlement. Further, for next day's business, you may retain funds /securities / commodities / margin to the extent of value of transactions executed on the day of such settlement in the cash market only.

7.I/We confirm you that I will bring to your notice any disputearising from the statement of account or settlement so made in writing preferably within 7 working days from the date of receipt of funds /securities /commodities or state-ment of account or statement related to it, as the case maybe. I/we, however, reserve my/our right to revoke this authorization at anytime in writing.

RUNNING ACCOUNT AUTHORISATION (VOLUNTARY)

CLIENT DECLARATION - OPEN INTEREST POSITION

Client Signature FH17/23

I/We, the undersigned, have taken cognizance of circulars issued by SEBI / Security/ Commodity Exchanges from time to time on the guidelines for calculation of net open positions permitted in any Security/ Commodity and I/we hereby undertake to comply with the same.I/We hereby declare and undertake that I / we will not exceed the position limits prescribed from time to time by Security/ Commodity Exchanges or SEBI and such position limits will be calculated in accordance with the circulars on position limits as modified from time to time.I/We undertake to inform you and keep you informed if I / any ofour partners / directors / karta / trustee or any of the partnershipfirms/companies / HUFs / Trusts in which I or any of above such

person is a partner / director / karta / trustee, takes or holds any position in any Security/ Commodity forward contract / Security/ Commodity derivative on Exchanges through you or through any other member (s) or Exchanges, to enable you to restrict our position limit as prescribed by the referred circular of Exchanges as modified from time to time.I/We confirm that you have agreed to enter order in Security/ Commodity forward contracts / Security/ Commodity derivatives for me / us as your clients on Security/ Commodity Exchanges only on the basis of our above assurances and undertaking.I/We further undertake to bear any liable/penalty/charges levied by Security/ Commodity Exchanges / SEBI.

18/23

( For Equity and Commodity Exchanges )

FH

Ver: 1.0 12

I/We hereby agree for the arrangement with the client Accepted by Sub- Broker Authorised Person

ARRANGEMENT WITH SUB-BROKER / AUTHORISED PERSON

SB/AP Signature

SB/AP Name

I / We hereby authorize you as under:1.To transfer funds and/or securities / commodities from my/our account in one segment against my/our obligations in another segment in the same exchange or different exchange.2.To transfer funds and/or securities / commodities from my/our account in one in one segment against collaterals/margin for my/our trade in another segment against collaterals /margin for my/our trade in another segment in the same Exchange or different Exchange.3.I/We am/are aware that the funds means monies that islying as credit in my/our account or pay-outs that are to be

received from the exchanges arising out of sale securities / commodities. Similarly, I/We am/are aware that securities / commodities means, shares lying with you, on my/our behalf, for which I/We have fully paid for or margin or shares that are to be received as pay-out from the Exchange/s.The above transfer of funds can be done either by way of journal entry (JV) or by way of physically exchanging cheques. In case if I/We wish to withdraw this authorization, I/We shall inform NBSPL in writing and acknowledge by NBSPL at least 15 day in advance from the date of withdrawal.

AUTHORISATION FOR TRANSFER OF FUNDS AND / OR SECURITIES / COMMODITIES, INTER SEGMENT AND INTER EXCHANGE

SAME MOBILE NUMBER/EMAIL OR BOTH FOR TRADE CONFIRMATION

I ____________________________________a client of Nirmal Bang Securities Pvt. Ltd. (NBSPL) with client code __________________, hereby confirm that I am a family member : Self Spouse Dependent Children Dependent Parent of your client _____________________________ (herein referred as master client) having client code __________________. I request and give you the mandate to

provide the SMS/Email/both (SMS & Email) confirmation on the same mobile number and Email ID as that of the Master client as mentioned in the KYC Application form.I hereby understand all the risk that can arise in future due to this and take all the responsibilities for the same. I also agree that NBSPL will not be responsible for any loss/problem/unauthorized trading claim if arises in any of the scenario out of this.

Client Signature 19/23

21/23

I/We confirm that I/we have been introduced to Nirmal BangSecurities Private Limited (NBSPL) by a Sub Broker (SB)/an Authorised Person (AP) (as per mentioned below)appointed by NBSPL pursuant to relevant Exchange(s)norms. In this connection I/we am/are aware of the following:The SB/AP shall not receive or pay any money or securities/commodities in his/her/its own name or account. All receiptsand payments of securities/commodities and funds shall bemade only in the name of the NBSPL; The SB/AP shallreceive his/its remuneration-fees, charges, commissions,salary etc for his/its services only from the NBSPL and he/she/it shall not charge any amount whatever from the client;In view of the foregoing, I/we acknowledged that the SB/APis not authorised by NBSPL to enter into any privatearrangement with any clients of NBSPL including thoseintroduced by him/her/it.

I/we further agree and accept that I/we will not hold NBSPLresponsible for any loss, damage, other liability orconsequence, direct or indirect, arising out of any error ofcommission or omission by the SB/AP with regard to anydealing and or transaction based on or transactions baseon or resulting out of any private agreements (if any).Between me/us and the SB/AP. I/we agree that all debitinstruction slips and other documents in respect of my/ourdepository Beneficial Owner account with Nirmal BangSecurities Private Limited (NBSPL) shall not be left in thecustody of the SB/AP, either blank, partially filled up and/or executed/signed. I/ we further agree and accept that I/we will not hold NBSPL responsible for any loss, damage,other liability or consequence, direct or indirect, arising outof my/our action in leaving such blank, partially filled upand/or executed/signed documents with the SB/AP.

FH

Client Signature FH

Client Signature 20/23FH

Ver: 1.0 13

VOLUNTARY TERMS AND CONDITIONS

1. Policy for Penny StockA stock that trades at a relatively low price and marketcapitalization. These types of stocks are generallyconsidered to be highly speculative and high risk becauseof their lack of liquidity. large bid-ask spreads. smallcapitalization and limited following and disclosure. Dependon the market condition and RMS policy of the companyRMS reserve the right to refuse to provide the limit in Pennystocks and losses if any on account of such refusal shall beborne by client only .

2. Refusal of orders for Security/Commodity DerivativesThe client is aware and agrees that the Nirmal BangSecurities Pvt. Ltd. may refuse or restrict a client in placingthe order in certain securities/ commodities depending onvarious Conditions like volume/value/part of illiquidsecurities/ commodities although a client may have creditbalance or sufficient margin in the trading account.However,Nirmal Bang Securities Pvt. Ltd. under exceptionalcircumstances may execute cliental order. The Nirmal BangSecurities Pvt. Ltd. has the discretion to reject execution ofsuch orders based on its risk perception.

3. Setting up client s exposure limitsThe stock broker may from time to time impose and varylimits on the orders that the client can place a) through thestock broker's trading system (including exposure limits.turnover limits. limits as to the number. value and/or kind ofsecurities/commodities in respect of b) which orders can beplaced etc.). The client is aware and agrees that the stockbroker may need to vary or reduce the limits or impose newlimits urgently on the basis of the stock broker's riskperception and other factors considered relevant by thestock broker including but not limited to limits on account ofexchange/SEBI directions/limits (such as broker level/market level limits in security/commodity specific/volumespecific exposures etc.). and the stock broker may be unableto inform the client of such variation, reduction or impositionin advance. The client agrees that the stock broker shall notbe responsible for such variation. reduction or imposition orthe client's inability to route any order through the stockbroker's trading system on account of any such variation.reduction or imposition of limits. The client further agreesthat the stock broker may at any time. at its sole discretionand without prior notice. prohibit or restrict the client's abilityto place orders or trade in securities/commodities throughthe stock broker. or it may subject any order placed by theclient to a review before its entry into the trading systemsany may refuse to execute/allow execution of orders due tobut not c) limited to the reason of lack of margin/securities/commodities or the order being outside the limits set by stockbroker/exchange/ SEBI and any other reasons which thestock broker may deem appropriate in the circumstances.The client agrees that the losses. if any on account of suchrefusal or due to delay caused by such review. shall be borneexclusively by the client alone.We have margin based RMS system. Total deposits of theclients are uploaded in the system and client may takeexposure on the basis of margin applicable for respectivesecurity/commodity as per VAR based margining system of

the stock exchange and/or margin defined by RMS basedon their risk perception.In case of exposure taken on the basis of shares marginthe payment is required to be made before the exchangepay in date otherwise it will be liable to square off after thepay in time or any time due to shortage of margin.

4. Imposition of penalty / delayed payment charges:4.1 In case of delay in payment by the client to NBSPL on its

due date , NBSPL in respect of such delayed payment willbe entitled to recover late / delayed payment charges fromdue date . The said delayed payment shall include amountspayable by the client to NBSPL in respect of Initial margin, Mark to Market , shortfall of Margin(s) in prescribed modes, and /or other margins and pay in obligations .Late paymentcharges will be levied up to 2% per month or a part of monthon delayed payment for the delayed period . The trade ofthe client may not be executed by NBSPL if the client doesnot clear trade related dues along with delayed paymentcharges. The client will not be entitled to any interest onthe credit balance /excess margin available /kept withNBSPL.

4.2 A delayed payment charge is applied to act only asdeterrent measure . The client should not consurate it asfunding arrangement. The client cannot demandcontinuation of service on a continued basis citing levy ofdelayed payment charges .

4.3 NBSPL may impose fines /penalties for any order /trades/deal /actions of the clients which are contrary to thismandatory and voluntary Client Registration documents /rules /regulations /byelaws of the exchange or any otherlaw for the time being in force at such rates and in suchform as it may deem fit . Further where the NBSPL has topay any fine or bear any punishment from any authority inconnection with/as a consequence of /in relation to any ofthe order /trades /deal/actions of the client , the same willbe borne by the client .

5. Shortage in Obligations arising out of internal nettingtrades.Nirmal Bang securities Private Limited (NBSPL)hasrevised its policy for settling transaction, which remainsunsettled due to Internal Shortages: Internal Shortagesmeans one client has failed to give the delivery of thesecurities/commodities sold, which has resulted into shortdelivery to other client(s) of NBSPL. The Client herebyagrees that if he/she/it has short delivered any securities/commodities against his/her /its obligation towards counterparty who is a client of NBSPL and the delivery of thesecurities/commodities was also not effected throughauction in the market (Self Auction) for any reason includingthat self-auction is not permitted on the exchange, then thecontract shall be closed out and the close out price will behigher of:(a) The highest price of the securities/commodities prevailing in NSE or as the case may be BSEon the date of commencing from the date of transaction tillthe day of auction relevant to the trade (auction day) or (b)The closing price for the securities/commodities on theauction day as increased by 3% of the closing price forF&O traded scrip or 7 % for other scrip or such other % as

Ver: 1.0 14

may be revised by NBSPL from time to time. The amountso determined shall be debited to the account of the clientwho defaulted to deliver and the same amount will becredited to Buyer Client.Compulsory Close-out of securities/commoditiesunder Corporate ActionIn cases of securities/commodities having corporate actionsand under 'no-delivery period' for the corporate action, allcases of short delivery of cum transactions which cannot beauctioned on cum basis or where the cum basis auction pay-out is after the book closure / record date, would becompulsory closed out at higher of 10% above the officialclosing price on the auction day or the highest traded pricefrom first trading day of the settlement till the auction day.Accordingly, if a client fails to give the delivery of thesecurities/commodities sold, which if resulted into InternalShortage, such client will be debited for the transaction atthe rates prescribed above. Similarly, if NBSPL is unable togive the delivery of the securities/commodities bought byany client due to the Internal Shortage, such client willreceive the credit for the transaction at the rates prescribedabove.

6. Conditions under which a client may not be allowed totake further position or the broker may close the existingposition of a clientWe have margin based RMS system. Client may takeexposure upto the amount of margin available with us. Clientmay not be allowed to take position in case of non-availability/shortage of margin as per our RMS policy of the company.The existing position of the client is also liable to square off/close out without giving notice due to shortage of margin/non making of payment for their payin obligation/outstanding debts.

7. Temporarily suspending or closing a client's account atthe client's requestOn the request of the client in writing, the client account canbe suspended temporarily and same can be activated onthe written request of the client only. During the period clientaccount is suspended, the market transaction in the clientaccount will be prohibited. However client shares/ledgerbalance settlement can take place.On the request of the client in writing, the client account canbe closed provided the client account is settled. If the clientwants to reopen the account in that case client has to againcomplete the KYC requirement.

8. De-registering a client :-Not withstanding anything to the contrary stated in themandatory and non-mandatory client registrationdocuments, the stock broker shall be entitled to terminatethe mandatory and non-mandatory client registrationdocuments with immediate effect in any of the followingcircumstances:

(i) If the action of the client are prima facie illegal / improperor such as to manipulate the price of any securities/commodities or disturb the normal/proper functioning ofsecurities/commodities or disturb the normal/properfunctioning of the market, either alone or in conjunctionwith others.

(ii) If there is any commencement of a legal process against

the client under any law in force;(iii) On the death/lunacy or other disability of the Client;(iv) If the client being a partnership firm, has any steps

taken by the Client and/or its partners for dissolution ofthe partnership;(v) If the Client suffers any adversematerial change in his/her/its financial position ordefaults in any other mandatory and non-mandatoryclient registration documents with the Stock broker;

(vi) If there is reasonable apprehension that the Client isunable to pay its debts or the Client has admitted itsinability to pay its debts, as they become payable;

(vii) If the Client is in breach of any term, condition orcovenant of this mandatory and non-mandatory clientregistration documents;

(viii) If the Client has made any material misrepresentationof facts, including (without limitation) in relation to theSecurity/Commodity;

(ix) If a receiver, administrator or liquidator has beenappointed or allowed to be appointed of all or any partof the undertaking of the Client;

(x) If the Client have taken or suffered to be taken anyaction for its reorganization, liquidation or dissolution;

(xi) If the Client has voluntarily or compulsorily become thesubject of proceedings under any bankruptcy orinsolvency law or being a company, goes into liquidationor has a receiver appointed in respect of its assets orrefers itself to the Board for Industrial and FinancialReconstruction or under any other law providingprotection as a relief undertaking;

(xii) If any covenant or warranty of the Client is incorrector untrue in any material respect;

9. The Client agrees that NBSPL will not be responsible forpartial execution of orders placed by the Client. The Clientalso agrees that all orders placed by him shall be treatedas orders for that particular session only. In case the Clientwants the orders to be carried forward or extended for theday or for more number of days he shall communicate thesame to NBSPL.

10. Undertaking for Services by way of SMS alerts /Whatsapp or any electronic mode by Trading Memberon Mobile /Cellular phones or any other electronicgadgets.I / we are having a trading account with Nirmal BangSecurities Pvt. Ltd. for the purpose of trading on Exchangesas per the client registration document executed. I / wehave registered the Mobile No. as mentioned in KYCApplication form for receiving SMS alerts in respect ofvarious services being offered by you including TradingCalls.A. In respect of investment/trading advisory servicesreceived from the trading member, I/We undertake to thetrading member and confirm to use our own judgement intaking a call on the said investment(s). I/We also undertaketo the trading member and confirm that I/we execute tradesin the identified security/commodity(s) according to my/ourfinancial strength/capability.I/We declare and agree that the trading member shall notbe responsible for any loss suffered by me/us on accountof executing or omitting to execute any trades in pursuanceof the SMS alerts(s) and / or investment advises sent bythe trading member.

Ver: 1.0 15

I/We shall not have any claim whatsoever against the tradingmember in respect of the above mentioned acts oromissions.I /We hereby state that my number is not under Do Notdisturb directory and I /We am availing this services on myown will and there will be no financial obligation of NBSPLin case of legal disputes.B. In respect of all other intimation services offered by thetrading member, I/We undertake to indemnify the tradingmember and absolve the trading member of any claims onaccount of various services rendered to me/us in respect ofservicing my trading account with them.

11. Digitally signed Contract Notes/ Statement of Accounts:The Client hereby agrees and permits NBSPL to providedigitally signed contract notes through internet (web-based) and agrees as under:

11.1 With reference to Client Registration documents executedbetween us, I/We hereby authorized you to do the following:

11.2 I / We have been / shall be dealing through you as my / ourbroker on the Capital Markets and/or Future and OptionSegments. As my / our broker i.e. agent I / We direct andauthorize you to carry out trading / dealings on my /our behalfas per instructions given below.

11.3 I / We understand that, I / we have the option to receive thecontract notes, Client Margin information, Statement of fund & Securities/Commodities, DP statements, DP Bills and other details in physical form or electronic form. In pursuance of the same, I / we hereby opt for receipt of contract notes, Client Margin Information etc in electronic form. I/ We understand that for the above purpose, you are required to take from the client an appropriate email account for you to send electronic contract notes. Accordingly, please take Email ID mentioned in this KYC application form for sending the contract notes and other documents to me / us.

11.4 I / We agree not to hold you responsible for late / non receiptof contract notes, Client Margin information and other detailssent in electronic form and any other communication for anyreason including but not limited to failure of email server,loss of connectivity, email in transit etc. I / we agree that thelog reports of your dispatching software shall be a conclusiveproof of dispatch of contract notes, Client margin informationto me / us and shall not be disputed by me / us on accountof any non receipt / delayed receipt for any reasonwhatsoever.

11.5 I / We also agree that non - receipt of bounced mailnotification by you shall amount to delivery at my emailaccount(s) / email id(s).

11.6any change in the email id / email account mentioned hereinabove needs to be communicated by me / us through aphysical letter to you, provided however that if I / we am /are an internet client then in that event the request for changein email id / email account can be made by me / us througha secured access using client specific user id and password.Please treat this authorization as written ratification of my /our verbal directions / authorizations given and carried outby you earlier. I / We shall be liable for all losses, damagesand actions which may arise as a consequence of youradhering to and carrying out my / our directions given above.

12. Investment Advice:12.1 The client acknowledges that NBSPL shall not be liable to

provide him any legal, tax, investment or account adviceor advice regarding the suitability or profitability of asecurity/commodity or investment.

12.2 The client agrees that in the event of Security/Commodity broker or any employee or official of Security/Commodity broker providing any information, recommendation or advice to the client, the client may act upon the same at the sole risk and cost of the client and NBSPL shall not be liable or responsible for the same. The client assumes full responsibility with respect to his investment decisions and transactions. The Client agrees not to have any arrangement or understanding with any of the employee and/or remisser and /or franchisee and/or authorized person of any nature whatsoever in respect of transactions of purchases or sales of the shares and/or derivatives transactions and/or any fixed return of profit etc.

12.3 NBSPL, its officers, directors, partners, employees, agentsand affiliates will have no liability with respect to anyinvestment decisions or transactions of the client.

13. Tape recording of client conversation:The client is aware that NBSPL may tape-record theconversations between the client and NBSPL, eitherpersonally or over the telephone, and the client herebyspecifically permits NBSPL to do so. Such electronicrecordings may be relied upon by NBSPL as and whenrequired to resolve disputes in connection with the tradingtransactions. However in the event if such conversationare not recorded by NBSPL. I/We shall not hold NBSPLresponsible for non recording of such conversation

14. Letter of Authority: I/ We have been regularly tradingand investing, or plan to do so, with you at BSE / NSE /MSEI / MCX / NCDEX / ICEX. To facilitate ease ofoperations, I/ we request and authorize you as under:

14.1 My/our orders for purchase/ sale of securities/commoditieswill be given on telephone or orally during my/ our visit toyour office. I/ We further declare that all orders placed byme/ us with you will be for my/ our personal/ family account(s) and that I/ we will not operate for any client and will notissue any further contracts/ bills for the transactionsexecuted through you.

14.2 I/We hereby authorise you to undertake any transfer inter-se of funds, securities/commodities, debits & creditsavailable between various exchanges.

14.3 I am/we are aware that you are required to issue payment/delivery due to me/us as per the payout from the exchange.In order to facilitate operations, I/we hereby authorize youto maintain running accounts with you; to debit my/ourrunning account for the margin/ funds & / deliveries payableby me/ us; to include any/all the pay out of funds & / ordeliveries towards margin / delivery and/or towards pay inobligations and / or towards fund/deliveries payable by me/us, without any specific.

14.4 I / we also agree that you shall not be liable for any claimfor loss or profit, or for any consequential, incidental,special or exemplary damages, caused by retention of suchdeliveries/funds under this agreement or otherwise.

14.5 Pledge / deposit my / our deliveries & / or funds whetherdeposited as collateral /margin or permitted by us to beretained in the running account etc. by you with any bankor any other institution including but not limited to theExchanges (s) /Clearing Corporation / Clearing House for

I / We understand that I / we am / are required to intimate

Ver: 1.0 16

the purposes of raising funds, bank guarantees and FDRsetc., or towards Margin / collateral as also to meet shortfallin my / our fund/ deliveries pay in obligation/ auctions orassignment of contracts or any other liability arising out ofmy/our dealings with you/ through you I/ we authorize youto do all such acts deeds and things as may be necessaryand expedient for placing such deliveries with theExchanges/banks/institutions as margin. You are furtherauthorized to sell/ liquidate these deliveries /FDRs at thetime and manner of your choice, as & when deemed fit byyou in your absolute discretion to meet any shortfalls in my/our accounts or any other liability of mine/ ours without anyreference to me/ us.

14.6 I / we agree that any loss due to any erroneous order entry/ erroneous order modification shall be entertained by youonly to the extent of insurance received.

14.7 I/We authorise you to maintain my/ our account, both fundsand securities/commodities, with you on a running accountbasis and request you to consider the balances in my/ ourrunning funds and securities/commodities account with youfor the purpose of margins/ any other obligations due to you.In view of the same it would be proper for you to release thefunds and securities/commodities due to me/ us on my/ ourspecific request, either written or oral. Further I/ weunderstand and agree that any credit amount lying with youwill not attract any interest.

14.8 I/We agree and authorise you debit charges for depositoriesservices and any other incidental charges to my / our runningaccount.

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

14.10I/We agree that you may refuse to execute any particulartransaction without assigning any reason therefor.

14.11I/We agree not to hold you liable or responsible for delay ordefault in performance of your obligations due tocontingencies beyond your control such as fire, flood, civilcommotion, earthquake, riots, war, strikes, failure ofsystems, failure of internet links, Government/ regulatoryactions or any such other contingencies which may bebeyond your control.

15. Declaration:

15.1 I/We an individual/a sole proprietary concern_______________________having his/her/it's residence /registered office at _______________________________-___________________________________. has enteredinto individual mandatory and non-mandatory clientregistration document, Client Registration Form, RiskDisclosure Documents, etc. for dealing in Cash Segmentand/or Derivatives / Futures and Options Segment ofNational Stock Exchange of India Limited (NSE) andBombay Stock Exchange Limited (BSE) / Metropolitan StockExchange of India Limited (MSEI) (NSE and BSE and MSEIcollectively known as Exchange) on_____and_______.

15.2 I / We hereby declare that I am a regular investor in the stockmarkets in India. I/ We am / are conversant with the laws,practices, rules, regulations, guidelines, circulars, etc.prescribed by the Securities/ Commodities and ExchangeBoard of India (SEBI) and National Stock Exchange of India

Limited. (NSE) and Bombay Stock Exchange Limited(BSE) and Metropolitan Stock Exchange of India Limited(MSEI).

15.3 I/We hereby further declare that I am holding the sharesin my demat account no. _________________withDP_____________________________ I/We herebyfurther declare that I/We will not give any third party sharesfor settlement of my obligations to the Exchange.

15.4 I /We hereby further declare that I / We will not receive orgive any monies in cash or in kind for completing thesettlement obligations to the Exchange. I / We herebyfurther declare that I / We are aware of the illegal practicesthat are prevalent in the Stock Market. I/We hereby furtherdeclare that I will not carry out any unfair trade practicessuch as Synchronized deals, Structured deals, CircularTrading in the Cash / Capital Market and Derivatives /Futures and Options segment. I /We hereby further declarethat I/We will not place any order on the Exchange whichwill reflect as an arrangement for profit or loss transactions.

15.5 All the orders placed on the exchange will be in the normalmarket where there is corresponding underlying securities/commodities positions in the cash or futures segment ofthe respective Exchange.

15.6 I hereby further declare that I am aware of the followingprovisions of laws applicable to the Securities/Commodities Market.(A) Section 11 of the SEBI Act, 1992 read with 11B interaliaprescribed that 11 (4) Without prejudice to the provisionscontained in sub-section (1) (2) (2A) and (3) of 11B , theBoard may, by an order for reasons to be recorded inwriting, in the interests of investors or securities/commodities market, take any of the following measures,either pending investigation or inquiry or on completionsof such investigation or inquiry, namely: -(b) restrain person from accessing the securities/commodities market and prohibit any person associatedwith securities/commodities market to buy, sell or deal insecurities/commodities.(B) Section 4 Prohibition of manipulative, fraudulent andunfair trade practices

15.7 Without prejudice to the provisions of regulation 3, noperson shall indulge in a fraudulent or an unfair tradepractices in securities/commodities.

15.8 Dealings in securities/commodities shall be deemed to afraudulent or an unfair trade practices if it involves fraudand may include all or any of the following namely:-(a) indulging in an act which creates false or misleadingappearance of trading in the securities/commoditiesmarket;(b) dealing in a security/commodity not intended to effecttransfer of beneficial ownership but intended to operateonly as a device to inflate, depress or cause fluctuationsin the price of such security/commodity for wrongful gainor avoidance of loss;(c) advancing or agreeing to advance any money to anyperson thereby inducing any other person to offer to buyany security/commodity in any issue only with the intentionof securing the minimum subscription to such issue;(d) paying, offering or agreeing to pay or offer, directly orindirectly, to any person any money or money's worth forinducing such person for dealing in any security/commoditywith the object of inflating, depressing, maintaining orcausing fluctuation in the price of such security/commodity;

Ver: 1.0 17

(e) any act or omission amounting to manipulation of theprice of a security/commodity;(f) publishing or causing to publish or reporting or causingto report by any person dealing in securities/commoditiesany information which is not true or which he does not believeto be true prior to or in the course of dealing in securities/commodities;(g) entering into a transaction in securities/commoditieswithout Intention of performing it or without intention ofchange of ownership of such security/commodity;(h) selling, dealing or pledging of stolen or counterfeitsecurity/commodity whether in physical or dematerlalisedform;(i) an intermediary promising a certain price in respectof buying or selling of a security/commodity to a client andwaiting till a discrepancy arises in the price of such security/commodity and retaining the difference in prices as profit forhimself;(j) an intermediary providing his clients with such informationrelating to a security/commodity as cannot be verified by theclients before their dealing in such security/commodity;(k) an advertisement that is misleading or that containsinformation in a distorted manner and which may influencethe decision of the investors;(l) an intermediary reporting trading transactions to hisclients entered into on their behalf in an inflated manner inorder to increase his commission and brokerage;(m) an intermediary not disclosing to his client transactionsinterceded Into on his behalf including taking an optionposition:(n) circular transactions in respect of a security/commodityentered into between intermediaries in order to increasecommission to provide a false appearance of trading in suchsecurity/commodity or to Inflate or depress or causefluctuation in the price of such security/commodity;(o) encouraging the clients by an intermediary to dealing insecurities/commodities solely with the object of enhancinghis brokerage or commission;(p) an intermediary predating or otherwise falsifying recordssuch as contract notes;

(q) an intermediary buying and selling securities/commodities in advance of a substantial client order orwhereby a future or option position is taken about animpending transaction in the same or related futures oroptions contract;(r) planting false or misleading news which may inducesale or purchase of securities/commodities.

15.9 I / We hereby further declare that I/ We will not indulgeeither directly or indirectly in any of the above mentionedfraudulent or unfair trade practices either individually or inconcert with other persons / entities. In the event of any ofthe above fraudulent or unfair trade practices is noticed bythe Exchange or Regulatory Authorities, then I/We shall besolely responsible for such acts as noticed and you shallnot be responsible for my illegal and fraudulent and unfairtrade practices in the capital market segment and Futuresand Options segment of the exchange. I shall bear thepenalty or fine if incurred by NBSPL due to such fraudulentor unfair trade practices as mentioned above.

15.10In case of any change in my US person status on a futuredata , I undertake to inform M/s. Nirmal Bang Securitiesprivate Limited the same within 30 days . I agree that if Ihave confirmed that I am a USA person , my account wouldbe considered as U.S. Reportable Account and my accountdetails, as required under Inter Governmental Agreement(IGA ) signed by Indian Government , would be reportedby M/s . Nirmal Bang Securities private Limited to therelevant tax authority identified in IGA .

15.11I/We hereby authorised M/s. Nirmal Bang Securities Pvt.Ltd. (Broker BSE, NSE & MSEI) to deposit the collateralprovided by me onward to the exchange / clearingcorporation / clearing house towards the marginobligations.

16. Proprietary Trading:The stock broker hereby states & inform that it undertakesproprietary trading in Exchanges in addition to client basedtrading.

Client Signature 22/23FH

Ver: 1.0 18

POWER OF ATTORNEY REVOCABLE / LIMITED PURPOSE (VOLUNTARY)

I/ We an individual/a sole proprietary concern/a partnershipfirm/a HUF/a Body corporate or any other legal entityregistered/ incorporated under the provisions of a relevantact, whose particulars are given hereunder at the executionpage hereinafter referred to as Client which expressionshall, unless it be repugnant to the meaning or contextthereof, be deemed to mean and include my/our heirs,executors, administrators, permitted assigns, the partnersof the firm and the survivors of them and the heirs, executorsand administrators of the partners, successors in title,trustees of a Trust and their successors, member of thegoverning body and any new members elected appointedor co-opted as the case may be of a society, havingresidence/office at the place mentioned at the executionpage (residence address for individuals, office address forproprietorship and partnership and Huf and registered officefor companies, trusts and societies), do send greetings:A. The Client is registered / is registering / desires to registerwith M/s Nirmal Bang Securities Private Limited, a Companyincorporated under the companies Act, 1956 and having itsregistered office at B-2, 301, 3rd Floor, Marathon Innova,Off Ganapatrao Kadam Marg, Lower Parel (W), Mumbai -400013. (hereinafter referred to as the Member whichmeans the stock broking division of Nirmal Bang SecuritiesPrivate Limited ) as a client/Constituent, andB. The Client wants that Member should consider thesecurities/commodities in the demat account (details ofwhich are given on execution page) of Client as margin /collateral / security for dealings of Client done/ to be done/expected to be done through / with Member; andC. The Client wants Member to transfer securities toMember's demat BO account (details of which are givenon the execution page) for maintaining collateral/ security/margin; andD. The Client wants Member to make pay in and pay out ofsecurities/commodities (including pay in / pay out due toexercise of rights by Member securities considered asmargin/collateral/security) to stock exchange/ clearingcorporations/ clearing house etc. or to Member themselvesas may be required from time to time; andE. I/We confirm you that I can revoke the above mentionedauthority at any time by giving in writing to you.

NOW KNOW YE ALL MEN AND THESE PRESENTSWITNESSETH that I/we the Client do hereby nominateconstitute and appoint the said Nirmal Bang SecuritiesPrivate Limited through their Authorized Representative asmy/our true and lawful Attorney for me / us and in my / ourname and on my / our behalf and at my / our cost andexpense to do and / or cause to be done the acts, deeds orthings for the limited purpose as under :

1.. Securities

I. Transfer of securities held in the beneficial owner account(s) (details of which are given on the execution page) ofthe Client towards stock exchange related margin/ deliveryClient towards stock exchange related margin/ deliveryobligations arising out of trades executed by the Client onthe stock exchange through the Member.2. Member would return to the Client, the securities thatmay have been received by it erroneously or thosesecurities or fund that it was not entitled to receive fromthe Client.3. Details of Beneficial Owner Account of the Client thatthe Member is entitled to operate is as per schedule -1. Pursuant to my/our instruction or instruction of my/ourAuthorised Representative to do all such acts and thingsas may be necessary to effect the subscription /purchase/redemption or any other transaction for mutual funds /online mutual fund / Initial public offer / follow on publicoffer / offer for sale (OFS) / right issue /convertibledebentures /non-convertible debentures /debt instruments/ buy back of shares or any other like issues and /orInvestment product for which services are availed fromNirmal Bang Securities Private Limited.2. NBSPL shall not be liable for any loss that may resultfailure/inability of electronic connectivity of rejection of my/our application for any reason whatsoever including non-allotment of securities.3. To sign any withdrawal form/Revised Bid Form on my/our behalf to withdraw/to revise bid of the online applicationmade by me/ us as described above in the IPO in full or inpart, pursuant to withdrawal/revised bid instruction givenby me/us through the online IPO application withdrawalfacility provided by NBSPL provided my/our request forwithdrawal/revision of bid of IPO application is made toNBSPL as per procedure prescribed by NBSPL at least 5hours prior to time limit prescribed for withdrawal of IPOapplication. However, I/we understand and confirm thatNBSPL will not be liable for delay, if any, of withdrawal/revision of bid of IPO application on my/our behalf due toany reason.

This document shall be subject to the exclusive jurisdictionof the courts of law at the place of acceptance of this Powerof Attorney by the Attorney.I/We do hereby undertake to ratify whatever the saidAttorney may lawfully do in & by virtue of these presents.Witness whereof I/we have executed this revocable powerof attorney on this ___________________day of_____________________at _________________ Acceptedfor and on behalf of Member Signed for & on behalf ofMember Nirmal Bang Securities Private Limited (Stockbroking division) in acceptance at ___________________-____________________________ For Nirmal BangSecurities Private Limited.

Ver: 1.0 19

SCHEDULE 1 - LIST OF DEMAT ACCOUNTSI/ We hereby authorise the stock broker / depository participant to send consolidated summary of Clients Scrip wise buy and sellpositions taken with average rates to the client by way of SMS / Email on a daily basis , notwithstanding any other document tothe disseminated as specified by SEBI from time to time as per SEBI guidelines .

Name:______________________________________________Address:______________________________________________________________________________________________

Signature of Witness: I / We accept (For Nirmal Bang securities Pvt. Ltd.)

Authorised Signatory: ________________________

Date:_____________________


SH 7/7


TH7/7

FW

CM BP CM NAME NSDL CLIENT ID CDSL CLIENT ID CATEGORYIN651740 NBSPL 10001877 1201330000001771 BSE CM

1201330000001805IN557796 NBSPL 10000102 1201330000001503 NSE CMIN472284 NBSPL 11234466 1201330000725774 MSEI CM

NBSPL IN301604 10117654 1201330000686189 Client AccountNBSPL IN301604 10168582 1201330000686193NBSPL IN301604 11227813 1201330000723169

Details of the Accounts in which the Shares can be transferred by the Member is as under :

FH 23/23

Client AccountClient Account

DP NameNirmal Bang Securities Private Limited

Nirmal Bang Securities Private Limited

DP ID

IN301604

IN301604

CLIENT ID

10168574

10542888

Client Margin Account

MTF Client Margin AccountIN301604 10291438

Client Account

Nirmal Bang Securities Private Limited

Nirmal Bang Securities Private Limited IN301604 11227821


MTF Client AccountIN301604 11866655

Nirmal Bang Securities Private Limited Nirmal Bang Securities Private Limited

IN301604

Client Collateral Account

CATEGORY


Nirmal Bang Securities Private Limited IN30160410693369

Nirmal Bang Securities Private Limited IN30160411050118


Nirmal Bang Securities Private LimitedNirmal Bang Securities Private LimitedNirmal Bang Securities Private Limited

11915649120133000036849612013300000335101201330000089336



Client Collateral AccountClient AccountClient AccountClient Collateral Account

Client Margin AccountClient Margin AccountClient Margin Account

BO Account No.

Nirmal Bang Securities Private Limited -CDSL 12013300

DP ID Nirmal Bang Securities Private Limited -NSDL IN301604

DP Name

Member - BSE, NSE, MSEI, MCX, NCDEX & ICX

Ver: 1.0 20

Nirmal Bang Securities Private LimitedRegistered Address

B-2, 302, 3rd Floor, Marathon Innova, Off Ganapatrao Kadam Marg, Lower Parel (W), Mumbai - 400013. Tel: 62738000/ 01 Fax: 62738010 Website: www.nirmalbang.com

Correspondence Address B/101 Khandelwal House, 1st flr., Poddar Rd., Nr. Poddar Park, Malad (E), Mumbai- 400097. Tel.: 91-22-6273 9000 Fax: 91-22-6273 9010. Website: www.nirmalbang.com

Membership DetailExchange

BSE 0 - 498

Designated DirectorName Telephone EMAIL ID

Compliance / Principal OfficerGrievance / Dispute / Suggestions

Rakesh Bhandari 62738000Samir Kamdar 62739390Kishorkumar Agrawal 62739252 [email protected]

In case not satisfied with the response, please contact concerned exchanges at:

[email protected] [email protected]

Trading & Clearing Member (Cash / Capital Market Segment & Derivatives /F & O Segment, Currency Segment & IRF & MCX / NCDEX / ICEX ). In Case of any grievances mail to [email protected]

NSE All over IndiaExchange Plaza, 5th Floor, Plot no. C/1, G Block Bandra-Kurla Complex Bandra (E) Mumbai - 400 051. Tel No: 6598190 (IGC) / 6598192 (Arbitration) Fax No: 6598191, Email : [email protected]

Regional Arbitration CentreExchange States and covered by the Regional Union TArbitrationerritories Centre

BSE Regional Office West, Department of Investor Services, P J Towers, 1st floor, Dalal Street, Fort, Mumbai 400001. Telephone Number: 022-22721233/34 Fax No.: 022- 22723677 E-mail Id: is@bseindia. com;

Maharashtra, Gujarat, Goa, Daman & Diu, Dadra & Nagar Haveli, Madhya Pradesh

BSE Regional Office North, 7th Floor, Mercantile House K G Marg New Delhi - 110 001. Telephone Number: 011- 41510481 Telefax No.:011-41510480 E-mail Id: [email protected] ; ritesh. [email protected]

Delhi, Haryana, Uttar Pradesh, Uttaranchal, Himachal Pradesh, Punjab, Jammu & Kashmir, Chandigarh, Rajasthan

BSE Regional Office East, 1st Floor, Kishor Bhaban 17, and R. N. Mukherji Road Kolkata 700 001 Telephone Number: 033-22133184, Telefax No.:033-22130530 E-mail Id: [email protected]; anirban. [email protected]

West Bengal, Bihar, Jharkhand, Orissa, Assam, Arunachal Pradesh, Mizoram, Manipur, Sikkim, Meghalaya, Nagaland, Tripura, Chhattisgarh

BSE Regional Office South, No.4. Vijaya Towers, 3rd Floor Kodambakkam High Road (Opp. to Palm Grove Hotel) Chennai 600 034 Telephone Number: 044-420089959 Telefax No.:044-42089958 E-mail Id : [email protected]; [email protected]

Andhra Pradesh, Karnataka, Kerala, Tamil nadu, Andaman & Nicobar, Lakshadweep, Pondicherry.

MSEIInvestor Grievance Division, Metropolitan Stock Exchange of India Ltd. Vibgyor Towers, 4th Floor, Plot No. C 62, G Block, Opp Trident Hotel, Bandra Kurla Complex, Bandra (East), Mumbai - 400098. Tel No. 91-22- 61129028. Email id: [email protected]

All over India

MCXExchange Square, Suren Road, Andheri East, Mumbai – 400093, India. Tel: 022 6731 8888. Email Id: [email protected] All over India

NCDEXkruti Corporate Park, 1st Floor, Near G.E.Garden, L.B.S. Marg, Kanjurmarg (West), Mumbai - 400 078. Tel : (+91-22) – 66406084, Fax : (+91-22) – 66473201. E-mail : [email protected] All over India

ICEX All over IndiaReliable Tech Park, 403-A, B-Wing, 4th Floor, Thane-Belapur Road, Airoli (E), Navi Mumbai – 400708, Email : [email protected]

Equity/ Derivative/ Currency Derivative INB011072759 Exchange Registered

WDM Exchange RegisteredBSE Star Mutual Fund Exchange Registered

Commodity Derivative

NSE Equity/ Derivative/ F&O/ Currency Derivative INB230939139 0 - 9391 Commodity Derivative Exchange Registered WDM Exchange Registered Interest Rate Future Exchange Registered

MSEI Equity/ Derivative/ Currency Derivative INB230939139 1067MCX Commodity Derivative 56460 INB230939139 NCDEX TM-01268 CM M51070 INB230939139 Commodity Derivative ICEX 2073 INB230939139Commodity Derivative Depository Participant NSDL IN-DP-NSDL-136-2000

CDSL IN-DP-CDSL-37-99 Repository Participant NERL R1447

CCRL Comtrack Participant 50274 PMS Registration No. SEBI Registered INP000002981 Research Analyst Registration No. SEBI Registered INH000001766 AMFI Registration No. ARN-49454

Segment Membership No. Registration No.

12013400