annexure - 1 account opening kit - hedge equities openning form...account opening form 9. 10....

Account Opening Form

9.

10. Running Account Authorization Authorization to maintain a running account

11.

Information relation to PMLA, 2002

13.

14. Joint Holders other Details/FEMA Declaration - DP

Joint Holders gross annual income and occupation details/ FEMA Declaration & Address change Undertaking for NRI’s

Information provided by client in relation to Prevention of Money Laundering Act

Acknowledgement / Consent to debit DP Charges

Acknowledgement of Rights & Obligations, RDD, Policies &Procedures RIghts & Obligations of BO & DP, POA/ Consent todebit the Trading Account for the DP charges and the penalties levied in the Demat account

Annexure - 1

ACCOUNT OPENING KIT

INDEX

S. No. Page No.

1.

Name of the Document Brief Significance of the Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Account Opening & KRA Form B. Document captures the additional information about theconstituent relevant to trading/DP accounts and an instruction/check list.

Tariff sheet2. Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) & DPservice charges / fee structure

12.

Registration of email and SMS Subscription of contract notes and statement of accounts through email and SMS

15 Power of Attorney agreement POA provided by BO to Hedge for thepurpose of settlement/margin obligation

E- Insurance Account opening Form

16.

Document captures the basic information about the e-Insurance Account holder and Authorised representative

BSE STAR MF Availing the trading facility of the exchange for the purpose ofdealing in the units of Mutual Funds Schemes permitted to bedealt with on the BSE Star MF

1 - 9

10-11

16

17

18

19

20

21

22

A. KYC form - Document captures the basic information about the constituent and an instruction/check list.

3. Rights and Obligations Document Stating the Rights & Obligations of stock broker/ Trading member, Sub Broker/ Authorised person and client for trading on exchange (Including additional Rights & Obligations incase of internet/wireless technology based trading).

Separatecopy for

client

4. Risk Disclosure Document (RDD) Document Detailing Risk and Associated with dealing in thesecurities market

5. Guidance note Document Detailing Do’s and Don'ts for trading on exchange,for the education of the investors

6. Rights and Obligations for the Beneficial Owners & Depository Participants

Document Stating the Rights and Obligations of BeneficialOwners & Depository Participants

7. Policies & Procedures Document Describing significant policies & procedures of thestock broker

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

17. 24-25

8. Voluntary terms & Conditions Additional terms & conditions specific to clients for the purpose of operational efficiancy

12-15

Client Profiling Document captures information for client profiling 23

Ph: Fax: Website:

Registered office address:

Ph: Website:

Correspondence address:

Compliance officer name ph no. email id:

CEO name

Name of stock broker/trading member/clearing member/ Depository Participant :

SEBI Registration

No. and date:

For any grievance/dispute please contact stock broker HEDGE EQUITIES LTD. at the above address or email id- [email protected] and Phone no. 0484 30 40 400 In case not satisfied with the response,

please contact the concerned exchange(s) at NSE: [email protected] Phone no. 022-26598190,BSE : [email protected] and Phone no. 022-22728097, MCX-SX : [email protected] Phone No. 022-6731 8933 / 9000

Hedge Equities Ltd.

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025

www.hedgeequities.com

www.hedgeequities.com

ph no. email id:

Sini Ralph

N. Bhuvanendran

[email protected] 30 40 400

0484 30 40 400 [email protected]

Member NSE (Sebi Registration No.: INB/INF/INE 231295438) 24-03-2008 Memb. Code 12954Member BSE (Sebi Registration No.: INB 011295434) 24-03-2008 Memb. Code 3234Member MCX - SX (Sebi Registration No.: INE 261295438, 30-09-2008,INB/INF 261295431) 18-12-2012 Memb. Code 45400Clearing Member IL & FS Securities Service Ltd.,Reg. Of.IL & FS House, Raheja ViharChandivali, Andheri (East), Mumbai - 400072, Sebi Registration No.: INE261313337CDSL DP : IN - DP - CDSL - 471-2008 DP ID 12057300, 10-07-2008

0484 - 304 0400 0484 - 304 0404

022-31928898, 31928811


B 302 Trade Square, Mehra Compound, Near DSK Madhuban, Sakinaka Kurla Road, Andheri East, Mumbai - 400072


Instructions for filling up and completing the account opening documentsTrading and Demat Account opening form for individuals/ /Proprietorship firm is enclosed..

Please provide the self attested copy of the below listed documents

Sl. No. Documents to be provided Status of Submission

AProof of Identity

(POI): List of documents

admissible as

Proof of Identity

1. PAN card with photograph.This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section D).2. Unique Identification Number (UID) (Aadhaar)/Passport/ Voter ID Card/ Driving License.

Yes No

B

Proof of Address (POA):

List of documents

admissible

as Proof of Address :

(* Documents having an

expiry date should be

valid on thedate of

submission.)

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3 months old.

4. Proof of address issued by any of the following: Bank Managers of Scheduled CommercialBanks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notarypublic/Elected representatives to the Legislative Assembly/Parliament/Documents issued byany Govt. or Statutory Authority.

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

Yes No

Yes No

3. Identity card/document with applicant’s Photo, issued by any of the following: Central/StateGovernment and its Departments, Statutory/Regulatory Authorities, Public SectorUndertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,to theirMembers; and Credit cards/ Debit cards issued by banks.

Yes No

Yes No

C Bank Proof1. Cheque leaf containing name of the account holder or cheque leaf (without name) along with bank stmt or copy of bank passbook along with cheque leaf (MICR Code should be clearly marked)

Yes No

2. Copy of Bank Passbook/ Bank transaction statement (Not more than 3 months old) Yes No

INSTRUCTIONS/ CHECK LIST1. Additional documents in case of trading in derivatives segments - illustrative list:

Copy of ITR Acknowledgement

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

Copy of demat account holding statement.

Any other relevant documents substantiating ownership of assets.

Copy of Annual Accounts

Net worth certificate

Bank account statement for last 6 months

Self declaration with relevant supporting documents.

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

2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the bank should be

submitted.

3. Demat master or recent holding statement issued by DP bearing name of the client.

4. For individuals:a. Stock broker has an option of doing 'in-person' verification through web camera at the branch office of the stock broker/sub-broker's office.

b. In case of non-resident clients, employees at the stock broker's local office, overseas can do in-person' verification. Further, considering the

infeasibility of carrying out 'In-person' verification of the non-resident clients by the stock broker's staff, attestation of KYC documents by Notary

Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted.

1. self attested copy of PAN Card is mandatory for all clients.2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list.3. If any proof of identity or address is in a foreign language, then translation into English is required.4. Name & Address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.5. If correspondence & permanent address are different, then proof for both have to be submitted6. Sole proprietor must make the application in his individual name & Capacity.7. For Non-residence and foreign nationals, (allowed, to trade subject to RBI and FEMA guidelines), copy of passports/PIOCard/OCICard and overseas address proof is mandatory.8. For foreign entities, CIN is optional; and in the absence of DIN No. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continues Discharge Certificate) is to be submitted .10. For opening an Account with Depository participant or Mutual Fund, for a Minor, photo copy of the school leaving certificate/ Mark sheet Issued by Higher Secondary Board / Passport of Minor / Birth Certificate must be provided 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, Senior Politicians, Senior Government / Judicial/ Military Officers, Senior Executives of state owned corporations, Important political party officials etc.

/ letter from the bank

1

1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance bill/Insurance Copy

3. Self-declaration by High Court and Supreme Court Judges, givning the new address in respect of their own accounts.

5. Identity card/document with address, issued by any of the following: Central/StateGovernment and its Departments, Statutory/Regulatory Authorities, Public SectorUndertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,to theirMembers.

Yes No

Yes No

Yes No

FIRST HOLDER

Application No.

Account Opening Form2

(1/21)


(2/21)

SECOND HOLDER


(1/9)


(2/9)

Exchange Segments

NSE

BSE Cash

Cash

F & O

Currency

MCX-SX

Currency

Exchanges Segments

(3/21)

(4/ )21

(5/ )21

Annexure - 3TRADING & DEMAT ACCOUNT RELATED DETAILS

A. BANK ACCOUNT (S) DETAILS

MICR / Bank code IFS code

Bank Account No.

Account Type Savings

Bank Name & Branch address

Current Others in-case of NRE NRO

B. DEPOSITORY ACCOUNT (S) DETAILS

Beneficiary Name

Depository Participant Name Depository Name NSDL CDSL

DP ID Beneficiary ID

C. TRADING PREFERENCES

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

# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker.

D. PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against

the applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years ...............................................

E . DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

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

Registered office address:

Sub-broker's Name SEBI Registration number

Phone Fax Website

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

Client Code

Name of stock broker Name of Sub-Broker, if any

Details of disputes/dues pending from/to such stock broker/sub- broker

Exchange

Others: ..........................................

PIN


Cash

F & O

(xxxxx)

( )xxxxx

( )6/21

( )xxxxx

1. Gross Annual Income Details (please specify):

Income Range per annum: 1-5 Lac 5-10 Lac 10-25 Lac >25 LacsBelow Rs 1 Lac

Net-worth .......................... Net-worth as on (date).............................................. (Net worth should not be older than 1 year)

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

Private Sector Public Sector Government Service Business Professional

Agriculturist Retired Housewife Student Others

3. Occupation Details : .................................................................................................................................................

Related to Politically Exposed Person (RPEP)

5. Any other information : .......................................................................................................................................

4. Please Tick, If Applicable : Politically Exposed Person (PEP)

F. OTHER DETAILS

Relationship with the applicant

Guardian’s Name

Details of Guardian (In case the account Holder is Minor)

PAN

G. ADDITIONAL DETAILS

Whether you wish to receive physical contract note or Electronic Contract Note (ECN)

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

(For Electronic Contract note Email id of the first holder mentioned with this application will be used)

Number of years of Investment/Trading Experience:

H. INTRODUCER DETAILS (optional)

Name of the Introducer

Status of the Introducer Sub-broker Remisier Authorized Person Existing Client Others

please specify

Address of Introducer

Phone Signature of the introducer

Physical ECN

WirelessInternet

DEMAT ACCOUNT RELATED ADDITIONAL DETAILS (To be filled by DP) ( DP Internal Reference)

DP ID : 12057300 Client ID :

I. Type of Account (please tick whichever is applicable)

I/ We request you to open a demat account in my / our name as per the following details (to be filled by theapplicant in BLOCK LETTERS in English)

Status Sub-Status

Individual Individual Resident Individual Promoter Minor Individual HUF/AOP

Others (Specify :......................................................................................................)

NRI NRI Repatriable NRI Non-Repatriable Others (Specify :......................................................)

Foreign National Foreign National- Depository Receipts Foreign National Others (Specify :..........................)


Name*

In case of firms, association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the

natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc, should be mentioned above.

st Name of 1 /sole Holder

ndName of 2 Holder

rdName of 3 Holder

PAN

PAN

PAN

J. Standing Instruction

(if not marked, the default option would be yes) (ECS is mandatory for locations notified by SEBI

from time to time )

As per SEBI regulation

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

(Tick the applicable box. If not marked the default option would be in Physical)

I / We would like to receive the Annual Report �Physical/ Electronic/ �Both Physical and Electronic

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 request you to send electronic transaction cum holding statement at the email ID of the first holder mentioned with this application

Date :

(If not marked, the default option would be Yes)

I/ we wish to receive dividend/interest Directly into my / our Bank Account through ECS?


Address

Country

City

State

PIN

Tel No. Fax

E-mail ID

Name of Nominee

Date of Birth

Address

CountryCity StatePIN Age

Full Name of Guardian of Nominee

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

I / We nominate the following person who is entitled to receive securities/funds/ balances/ lying in my / our Demat / Trading account, particulars whereof are given below, in the event of my / our death.

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

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

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

As the nominee is a minor as on date, to receive the securities/ amount in this account on behalf of the nominee in the event of the death of the sole holder / all holders, I / We appoint following person to act as guardian

First/Sole Holder Second Holder Third Holder

Signature

Name

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

First Witness Second Witness

Details of the Witness

Nomination accepted and registered wide Registration

No._________________ dated ______________

Name of Witness

Address of Witness

Signature of Witness

(7/21) (1/7)(3/9)

Relationship with the applicant PAN UID

E-mail ID Relationship of Guardian with nominee

K. NOMINATION DETAILS FOR TRADING & DEMAT ACCOUNT [Please Tick whichever is applicable ]

DECLARATION

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

2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet.

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

4. I / We have received and read the Rights and Obligations document ( BO-DP) and terms and 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 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.

9


UCC Code allotted to the Client: ………………………………........................................…..

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

mandatory documents. I/We have also made the client aware of 'Rights and Obligations' document(s), RDD and

Guidance Note. I/We have given/sent him a copy of the all the KYC documents. I/We undertake that any change in

the “Policy and Procedures', tariff sheet and all the non-mandatory documents would be duly intimated to the

clients. I/We also undertake that any change in the 'Rights and Obligations and RDD would be made available on

my/our website, if any, for the information of the clients.

for Hedge Equities Ltd.

Authorised Signatory

Date………………………… Seal/Stamp of the stock broker/Dp

10

SCHEDULE OF CHARGES FOR TRADING ACCOUNT

Brokerage Slab

Daily Square up

Brokerage Slab

Brokerage Slab

Daily Square up

Daily Square up

Settlement square up

Delivery based

Slab % Minimum

Future % Minimum

Same as above Same as above

Option % (Maximum 2.5%) Minimum per lot (Maximum Rs. 100/-)

Brokerage Slab

Daily Square up

Maximum Minimum

STATUTORY CHARGES

Stamp charge, Securities Transaction Tax, Transaction Tax, Service Tax, Service Tax on Transaction Tax

Educational CESS etc. are applicable as per rules

CashSegment

DERIVATIVE SEGMENT : SLAB%

FOR FUTURE (STRIKE)

DERIVATIVE SEGMENT :

SLAB%

FOR OPTIONS (PREMIUM)

CURRENCY SEGMENT :SLAB%

FOR CURRENCY

First/Sole Holder

Signature

Name

(8/21)


Signature (9/21) 2/7)(4/9)

Individual Res Account

Rs. 50/- per ISIN

Nil + Courier charges @ Rs. 40/-

For Debit Rs. 50/- per transaction (Inter DP)

For Debit Rs. 12/- per transaction for POA (intra DP)

For Debit Rs. 15/- per transaction for NON POA (intra DP)

For Debit Rs. 50/- per transaction (Inter DP)

Credit: Nil

For Debit Rs. 15/- per transaction (Intra DP)

Nil

Nil + Courier charges @ Rs. 40/- (upto 5 certificates)for additional certificates @ Rs. 5/-

Rs.75/- per quarter for e-statement; Rs.100/- per quarter for physical statement

Rs.250/- per quarter for e-statement; Rs.500/- per quarter for physical statement

Note :a. Stamp charges are applicable while registering Power Of Attorney (POA)b. Taxes, levies & other statutory charges shall be charged as per rulesc. All charges & dues will be debited to the trading account of sole/joint demat account holder(s) maintained with Hedge Equities Ltd.d. Actual Postage/courier charges shall be levied for all communications. e. Additional printout of statement will be charged @Rs.25/- per statement per account

/ Custody Charges

/

f. Any Services which is not mentioned above will be charged separately as per the rates applicable from time to time


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

I / We do not wish to avail the BSDA facilities for the new account for which I / We have submitted my/our account opening form.I / We do understand and fully aware that my account is a regular (non BSDA) Account.

I / We have read, understood and accept the above mentioned tariff for REGULAR account BSDA account

SCHEDULE OF CHARGES FOR DEPOSITORY SERVICES

FOR REGULAR ACCOUNT

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

I / We wish to avail the BSDA facilities for the new account for which I / we have submitted my/our account opening form, I / We hereby agree

that if the value of holding exceeds Rs.200000 (Two Lakhs) at any date, DP may levy charges as applicable to regular accounts (Non BSDA)

from that date onwards.

Whereas the client intends to open securities trading accounts with Hedge Equities Ltd.(hereinafter referred as Hedge) for the purpose of trading in capital market segment, futures and options and currency derivative segments of the National Stock Exchange of India Ltd. capital market segment of The Bombay Stock Exchange Ltd; and the MCX Stock Exchange Ltd. and mutual fund transactions facilities offered by SEBI recognized stock exchange and whereas for the purpose of more fully and conveniently availing of the services agreed to be provided by Hedge and also the additional services that may be made available by Hedge from time to time, the client, on its own free will and volition, agrees to accept and be bound by the following terms and conditions. The client understands that the Terms and conditions are voluntary i.e, non mandatory in nature but on their acceptance, these shall constitute the contract between the parties and bind them fully and be enforceable by each party against the other.

1. EXECUTION OF ORDERS

(a) The CLIENT confirms and agrees that p l a c i n g a n order with the Member including a market order, does not guarantee execution of the order. The MEMBER has t h e absolute right to reject any order that may be made by the CLIENT for any reason whatsoever including for the breach of the requirement of maintaining the prescribed Margin in the CLIENT account or the Bank account.

(b) The CLIENT agrees that if, under any circumstances or for any reason, the market closes before the acceptance of the order by the Exchange, the order may be rejected. The CLIENT agrees further, that the MEMBER may reject orders if the same are rejected by the Exchange for any reason. In case of rejection of an order due to rejection by the Exchange, the CLIENT agrees that the order shall remain declined and shall not be reprocessed, in any event.

(c)The MEMBER may, at its sole discretion, reject any order placed on the website, through phone, or in any other manner for any reason including, but not limited to, the non availability of funds in the trading account of the CLIENT, non availability of the securities in the Demat account of the CLIENT with the designated Depos i to ry Participant, insufficiency of margin amount if the CLIENT opts for Intra- Day margin trading, suspension of scrip for trading activities by or on the Exchange, or applicabil i ty of circuit breaker to a scrip in which orders are placed or insufficient bids or offers in any particular security. The Client further understands and agrees that MEMBER shall have right to reject the orders placed by the Client and/or put circuit breakers to discourage trades g e t t i n g executed at unrealistic prices from the current market price of the security or prohibit the Client from trading in illiquid securities which creates artificial liquidity or


VOLUNTARY TERMS AND CONDITIONS

manipulates prices or to discourage Client from cross / synchronised trading and MEMBER shall not be liable for any loss arising out of non acceptance or rejection of the Client orders by the MEMBER for any such reason if the Client fails to give sufficient reason for placing such orders.

(d) The CLIENT is aware that the Electronic Trading System either at the Exchange or in the MEMBER'S office is vulnerable to disruptions, breakdown or failures. In the event of non-execution of trade orders or trade cancellation due to the happening of such events or vulnerabilities due to failure/disruption/ breakdown of system or link, the CLIENT may not be able to execute the desired transactions In such an event the MEMBER does not accept responsibility for the losses, costs, expenses or damages that may be incurred by the CLIENT due to such eventualities.

2. CANCELLATION OR MODIFICATION OF ORDERS

The CLIENT confirms and agrees that:

(a) The execution of order cancellations or modifications is not guaranteed. Cancellation of orders is possible only if the original order remains pending at the Exchanges. Market orders are subject to Immediate execution. The CLIENT shall not presume that an order has been executed or cancelled or modified and the CLIENT is required to verify the status of his /its orders with the trade confirmations by the MEMBER.

(b) Unless otherwise specified by the MEMBER, any order not executed at the end of the day shall stand cancelled.

© In the event of trade cancellation due to such events or vulnerabilities, MEMBER shall be entitled to cancel relative contract(s) with the CLIENT At times, due to unforeseen circumstances the MEMBER may not be able to execute the desired transactions (either the CLIENTS own transactions or transactions for enforcing margins as provided in this agreement) on a timely basis.

The MEMBER does not accept responsibility for any losses that the CLIENT may incur on such eventualities beyond the control of the MEMBER.

(d) The MEMBER shall have right to reject any order based on its risk perceptions.

3. DELAYED REPORTING OF TRANSACTIONS:

The CLIENT confirms and agrees that:

(a) If trades or transactions are reported late to the MEMBER on account of any problems at the Exchange or for whatsoever reason, the CLIENT in turn will be subject to late reporting of transactions.

(b) In addition, any errors reported to the CLIENT for any reason whatsoever will stand subsequently corrected to


reflect the transaction that was effected in the market.

4. ADJUSTMENT OF BALANCES

The CLIENT or a Constituent of the "Family" of the CLIENT (for the purposes of this agreement "Family" shall hereinafter mean all the individuals, group companies, firms, entities and other persons as notified to the MEMBER from time to time) who may be registered as a CLIENT with the MEMBER under one or more of the following segment(s):

(a) as a Broking CLIENT for dealing in securities on one or more segment(s) of National Stock Exchange of India Limited and /Bombay stock exchange, MCX - SX

(b) as a CLIENT holding depository account with Hedge Equities Ltd.

(c) as a CLIENT registered under the - Portfolio Management Scheme of Hedge Equities Ltd.

(d) or for any other product or service that may be offered and availed in future.

agree that the account of the CLIENT or that of any constituent of the "Family" refers to and includes any account(s) in any of the above segments or Exchange, taken individually or collectively including account(s) opened by the Member after the signing of this agreement.

The CLIENT confirms and agrees to adjust the balances in its account with the balances in the accounts of his Family as per the terms communicated to the MEMBER.

5. MEMBER CLIENT COMMUNICATION

(a) The CLIENT confirms and agrees to the form of Communication Documents which may be sent by electronic delivery between the parties may be in the form of an electronic mail (including any auto replies from the system of the MEMBER), an electronic mail attachment, or in the form of an available download from the web site. The MEMBER shall be deemed to have fulfilled any legal obligation to deliver to the CLIENT any such document if sent via electronic delivery, provided however that the notice of termination specified in the Terms herein, shall be in writing.

b) Electronic Communication of Documents:

(I) The CLIENT confirms, agrees and authorizes the Member to send the contract note / trade confirmations of the trades executed, bills and account statements or such other data relating to his trading account with the MEMBER and also authorises Depository Participant to send all bills and/or transactions statements, communication and information through electronic mail to his / her / its email address maintained at Hedge Equities Ltd. / or such other designated email address as may be intimated by the Client to the Member. The CLIENT agrees that the MEMBER fulfils its legal obligation to deliver to the CLIENT any such document if sent via electronic delivery. The Client agrees that the log

report generated by the system at the time of sending of the contract notes or other documents shall be treated as the acknowledgment and confirmation of receipt of contract notes and such other documents by the Client. The CLIENT understands that it is his / her / its responsibility to review, upon first receipt, whether delivered to CLIENT by mail, by e-mail (including any auto replies from the system of the MEMBER), or other electronic means, all confirmations, statements, notices, contracts, bills and other communications. All information contained therein shall be binding upon the CLIENT, if the CLIENT does not object, either in writing or via electronic mail, within twenty four hours after any such document is sent to the CLIENT. In all cases, the MEMBER reserves the right to determine the validity of the CLIENTS objection to the transaction. The Member, may on request by the Client, send hard copies of the contract notes or such other documents. Further non-receipt of b o u n c e d mail notification by the Member shall amount to delivery of contract note at the Email ID of the Client.

(ii) The Member may at any time amend the margin requirements, the list of approved securities accepted as margin, or such other terms of the agreement by modifying or rescinding any of the existing provisions o r conditions or by adding any new provision or condition, by conspicuously posting notice of such amendment on its web site. The Member shall not be required to communicate any modification or rescission individually to the Client either through physical or electronic form, and any separate notice of amendment or modification is deemed to be waived by the Client. The continued use of the services of the Member after such notice will constitute acknowledgment and acceptance of such amendment. These terms (as amended or modified from time to time) represent the entire agreement between the Client and the Member concerning the subject matter hereof.

(c) Change of Address

Unless the CLIENT informs the MEMBER of the change of the address for communication in writing, all notices, circulars, communication or mail sent to the existing address shall be deemed to have been received by the CLIENT irrespective of whether they are actually received or not.

6. ADDRESS FOR COMPLAINT/ INVESTOR GRIEVANCES AND COMMUNICATION

The Client understands and confirms to send all the Complainants and queries in case of any grievance or complaint arising out of and in the course of trading in securities Client will send the complaint on the email address at [email protected]. Alternatively the Client shall send the written complaint marked to Investor Grievance Cell, Hedge Equities Ltd., Hedge House, Mamangalam, Palarivattom, Kochi - 682 025

The Client further understands and agrees that MEMBER


may take 7 working days time to reply on such complainant / query.

All notices or communications other than above and excluding instructions to carry out trades, shall be sent in any one or more or all of the following ways

(a) by post

(b) by registered post

(c) by express delivery post

(d) by telegram

(e) by affixing it on the door at the last known business or residential address

(f) by communication to the party on the last known telephone number or on the recorded machine of such number.

(g) By advertising it in atleast one prominent daily news paper having circulation in the area where the last known business or residential address of the Respondent is situated.

(h) by sending a email to the Client on the mail address by the MEMBER,

(I) by electronic mail or sending a message through trading system.

7. DISPUTE RESOLUTION

(a) The CLIENT agrees and confirms that except or the claims/disputes which are subject to the Rules and Regulations of the respective Exchanges on which the trades have been executed, any and all claims and disputes arising out of or in connection with this Agreement or its performance shall be settled by arbitration by a single arbitrator to be appointed by the MEMBER. The parties agree that the arbitration shall be held at such place within India as the MEMBER may in its sole discretion specify at the time of, or at any time prior or subsequent to, the reference to arbitration. The Courts at the place specified by the MEMBER for holding the arbitration proceedings or, if law does not permit the same, the Courts at the city in which the MEMBER'S concerned office is situated, shall have exclusive jurisdiction in relation to this Agreement, the arbitration and all matters arising in connection herewith and therewith. The arbitration shall be governed by the provisions of the Arbitration and Contiliation Act, 1996.

8. JURISDICTION

(a) The Member and the CLIENT declare and agree that the transactions executed on the Exchange are subject to the Rules, Byelaws and Regulations and circulars issued hereunder of the Exchange and all parties to such trade shall have submitted to the jurisdiction of such court as may be specified by the Bye laws and regulations of the Exchange for the purpose of giving effect to the provisions of the Rules, Byelaws and Regulations of the Exchange

and the circulars issued thereunder.

(b) The MEMBER hereby agrees that it shall ensure faster settlement of any arbitration proceedings arising out of the transactions entered into between the MEMBER and the CLIENT and that it shall be liable to implement the arbitration awards made in such proceedings.

© This service does not constitute an offer to sell or a solicitation of an offer to buy any shares, securities or other instruments to any person in any jurisdiction where it is unlawful to make such an offer or solicitation. This service is not intended to be any form of an investment advertisement, investment advice or investment information and has not been registered under any securities law of any foreign jurisdiction and is only for the information of any person in any jurisdiction where it may be lawful to offer such a service. Further, no information on www.hedgeequities.com is to be construed as a representation with respect to shares, securities or other investments regarding the legality of an investment therein under the respective applicable investment or similar laws or regulations of any person or entity accessing www.hedgeequities.com

9. PROPRIETARY TRADING:

The CLIENT confirms and acknowledge that the MEMBER undertakes Proprietary trading in addition to CLIENT based trading.

The CLIENT confirms having read and understood the terms and conditions of the MEMBER CLIENT agreement and those relating to various services and products and accepts and agrees to be bound by the terms and conditions including those excluding / limiting the MEMBER'S and Exchanges' liabilities.

10. RESEARCH / TRADING RECOMMENDATION:

Client understands that the Member carries out fundamental and trading research / notes / trading calls / technical calls, particularly on companies, industry, stock markets, commodity markets and economy from time to time (collectively hereinafter referred to as "material"). Client may request the Member to provide such material through email or by access to the website of the Member or through SMS or any other mode on a voluntary basis by paying charges specified by the Member which shall be levied and debited to the Ledger Account of the Client maintained by the Member from time to time. Client understands and agrees that by agreeing to receive such material, Client is aware that said material is only for personal information of the Client and that the same shall not be reproduced or redistributed to any other person. Further Client understands and confirms that said material is not an offer or the solicitation of an offer to buy any security and by sending this material on request, Member or any of its officers, directors, personnel and employees shall not be liable for any loss, damage of any nature, including but not limited to direct, indirect,


(10/21)

punitive, special, exemplary, consequential, as also any loss of profit in any way arising from the use of this material in any manner. Client is aware that the investments discussed in the said material may not be suitable for all investors. Client shall, therefore, before dealing and/or transacting in any of the products referred to in the said material, make own investigation, seek appropriate professional advice. Client shall be fully responsible/ liable for all decisions on investments / disinvestments taken by him/her/it on the basis of the said material.

Client understands, confirms and agree that Member may discontinue providing such material and that Member shall have no responsibility to update any information provided to the Client nor does Member represents that the information provided in the said material is complete. Further by providing such material Member is not acting as a portfolio or financial adviser nor does Member assumes any fiduciary duties.

11.RECORDING OF CONVERSATION:

The client is aware and agrees that Hedge may tape record the conversation between the client/clients representative and hedge, whether over the telephone or in person. Hedge may produce before competent authorities, voluntarily or on such production being required by such authorities, recorded conversation or transcript thereof or both as valid evidence of the content of the conversation so recorded.

12.ELECTRONIC PAYMENT GATEWAY FOR NET BANKING SERVICES:

Hedge may provide on its internet trading website, without additional cost to the Client, access to Electronic Payment Gateways provided by various banks for facilitating transfer of funds from client’s bank account to the account of the to client with Hedge. Client understands that Hedge is only providing access to the electronic fund transfer facility provided by the banker of the client through Hedge’s website by means of an interface and is not liable or responsible for the proper functioning or otherwise of the Gateway or for any transaction errors, losses, malfunctioning or hacking of the system by unscrupulous elements, frauds, and/or any incidental or consequential clients arising their out. Client undertakes not to make Hedge a party to any litigation, client, dispute, difference or complaint that the client may initiate in respect of, arising out of or in connection with any transactions on the Gateway and agrees that Hedge’s liability shall at all time be limited to to the amount

actually received in its account by Electronic transfer from client’s account with the bank.

13.INTERNET/ WIRELESS TECHNOLOGY BASED TRADING FACILITY:

13.1. Hedge offers internet and Mobile trading facility for transaction in securities on the concerned exchanges including faci l i t ies for onl ine application of IPO/FPO/NFO/Bond issues or any other issues of securities or services to apply/purchase/ redeem/ sale/ buyback or otherwise deal in the units of mutual funds (hereinafter referred to as “the internet/wireless trading system”) through exchange approved software. The client can route its orders to Hedge over the internet/Mobile/Laptop with data card or any other devices which use internet protocol for purchasing, selling and dealing in securities. The client may avail for such trading facility provided by Hedge by complying with the formalities prescribed thereof.

13.2. Non-usage of internet/wireless trading facility: if the client does not use the internet/wireless trading facility for continues period of three months or such other period as Hedge may notify, the facility may be deactivated without notice and the client shall comply with the prescribed formalities for reactivating the facility. Trades can, however, be executed at all time by placing orders off-line with the concerned branches of Hedge.

13.3. The client understands and agrees that Hedge as different product of the internet trading/wireless trading softwares which have been approved by the exchanges and the client shall be allotted such product as may be chosen by him. The client also understand and agrees that depending on the trading activity of the client, Hedge shall have the exclusive right and liberty to change the product version allotted to the client and allot a different product version of the internet Trading/Wireless Trading facility.

13.4. Orders of the client subject to review by Hedge: the client agrees that the Hedge may, or being suspicious of any of the transactions, review any order placed by a client, which may cause delays in the processing of the client’s order or may result in rejection of such orders.

I/we here by confirm to have read and understood the terms and conditions as mentioned above and agree to abide by the same.


Consent to debit the trading account for theDP charges and the penalties levied in the Demat account

Date:To

Hedge Equities Ltd.

B 302 Trade Square, Mehra Compound, Near DSK Madhuban, Sakinaka Kurla Road

Andheri East, Mumbai - 400072

Sir,

My Unique Client Code is _____________________

Yours faithfully,

Client’s Name______________________ ( )12/21

My Demat A/c No. is 12057300_______________

I / We have a trading account as well as a Demat account with Hedge Equities Ltd., For the convenience of payment of all the charges,pertaining to my demat account, I/we hereby request you to debit my trading account with all the DP account charges, as and when the bill is raised by Hedge Equities Ltd. (Depository Participant ) .

Further, I understand that in case of any non-compliance of the Bye Laws, Rules and Regulations as laid down by SEBI / Exchanges and / or the Depositories, and for any other matters that may be decided by Hedge Equities Ltd. from time to time, Hedge Equities Ltd.may charge penalty on me. Such penalty amount shall be directly debited to my account. I/We hereby request you to debit my trading account for the amount of penalty charged in my demat account with you.

VOLUNTRY

ACKNOWLEDGMENT

I / we hereby confirm and acknowledge the receipt of the following documents

1. Right and Obligations : Document stating the Rights and Obligations of Stock Broker/ Trading Member, Sub Broker/ Authorised Person and Client for Trading or Exchange (Including additional Rights and Obligations in case of Internet / Wireless technology based trading)

2. Risk Disclosure Document (RDD) : Document detailing risks associated with dealing in the securities market .

3. Policy and Procedures : This document contains the policies and procedures of Hedge Equities Limited for cash, F&O and Currency Segments.

4. Right and Obligations of Beneficial Owners and Depository Participants : Document stating the Rights and Obligations of Beneficial Owners and Depository Participants.

5. Guidance note : Document Detailing do’s & Don't’s for trading on exchange, for the education of the investor.


Signature 11/21) (3/7)5/9)

Account Opening Form 17

(RUNNING ACCOUNT AUTHORISATION)

Date.................................

To

Hedge Equities Ltd.

Hedge House, Mamangalam,

Palarivattom, Kochi - 682 025

I/We are dealing through you as a client in Capital Market, Future & Option and/or currency segment and in order to facilitate ease of

operations and up front 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/weinstruct you otherwise.

2. I/We request you to retain securities with you for my/our margin/pay-in/other-future obligation(s) at any segment(s) of any or all

the Exchange(s)/Clearing corporation, unless I/We instruct you to transfer the same to my/our account.

3. I/We request you to settle my fund and securities account Once in every calendar Quarter or Once in a calendar Month or

such other higher period as allowed by SEBI/Stock Exchange time to time except the funds given towards collaterals/margin in

form of Bank Guarantee and/or Fixed Deposit Receipt.

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

obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated

in the manner specified by the exchanges.

5. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in

writing within 7 working days from the date of receipt of funds/securities or statement of account or statement related to it, as the

case may be at your registered office. After that I/We shall have no right to dispute the transaction, funds and/or securities ever

and agree that you shall not be liable for any incidental loss/damage caused due to retention of funds and/or securities.

6. I/We request you to hold the amount upto Rs.10,000/- before issuing the compulsory quarterly /monthly settlement of fund.

Thanking you

Yours faithfully,

Client Name:

Client Code:(13/21)

VOLUNTRY

7. I/We confirm you that I can revoke the above mentioned authority at any time by giving notice in writing to you.


Sir,

Sub: BSE StAR MF

I/We ____________________________________ am/are registered as your client with Client Code No. _________ and have

executed the Trading Member and Client Agreement for the purpose of trading in the Capital Market segment of Bombay Stock

Exchange Ltd. (Exchange).

I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual Funds

Schemes permitted to be dealt with on the BSE StAR MF.

For the purpose of availing this facility, I/we state that Know Your Client details as submitted by me/us for the stock broking may

be considered for the purpose of BSE StAR MF and I/we further confirm that the details contained in same remain unchanged as

on date.

I/We are willing to abide by the terms and conditions as mentioned in the Circular dated December 2, 2009 and as may be

specified by the Exchange from time to time in this regard.

I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange

Board of India and Association of Mutual Funds of India (AMFI).

I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum,

addenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further

agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.

I/we therefore request you to register me/us as your client for participating in BSE StAR MF.

VOLUNTRY

BSE STAR MF

Annexure - 3

To

Hedge Equities Ltd

Hedge House,Mamangalam,

Palarivattom, Kochi-682 025 Date:

Thanking you,

Yours faithfully

(14/ )21


Voluntary information provided by the client in relation to the Prevention of Money Laundering Act, 2002

Name of the Client :

If Business / Profession : Nature of business :

Industry :

Details of the Relatives, having account with Hedge Equities Ltd.:

Name Relationship UCC

Name Entity Type UCCNature of Business Relationship

Details of the Relatives, having account with Hedge Equities Ltd.:

I / We hereby submit and agree to submit every year following documents to Hedge Equities Ltd., before the due date as prescribed by Hedge Equities Ltd.:

1. Profit and Loss Account & Capital Account2. Balance Sheet3. Self attested copy of Income Tax Return (If return not available, please furnish Form 16 )

I / We confirm that I will immediately inform Hedge Equities Ltd. in case I am convicted under any grounds or any action is taken against me / us by any authority.

Do you intend to invest in the stock market with : Own Funds Borrowed Funds

If Borrowed Funds, then please specify Sources of funds :

Sources Amount (Rs.)

Certificate / Opinion Report from the Banker / Financial Institution confirming that there has been no default in the client’s account to be attached.

I / We hereby declare that I/we am/are beneficial owner of the Trading / On-line account opened with Hedge Equities Ltd.

Name & Signature of Client

Low Risk Medium Risk High RiskClient Category

Signature

NameVerified By

(15/ )21


VOLUNTARY

Form BForm for Subscription for contract notes / A/C information on E-mail and SMS

E-mail Registration

SMS Alert Facility (Refer to terms & conditions given as annexure 2.4)

I/We agree that any change in Mobile number shall be communicated by me/us through a physical letter to the trading member/depository participant.

(This form may be submitted at the nearest branch or sub broker’s office of Hedge Equities Ltd. or Hedge Equities Ltd., Hedge House, Mamangalam, Palarivattom, Kochi - 682 025. Tel : 0484 30 40 400

Client Name

Client Code

(16/ )21 6/9)

signature of 2nd holder

(4/7)

signature of 3rd holder

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

To register for easi, please visit our website www.cdslindia.comEasi allows a BO to view his/her ISIN balances, Transactions and values of the portfolio online

Easi

I/We confirm having opted the statement of transactions/holdings/digitally signed contract notes/ confirmations/account statements/bills or other reports, account modification, statement(s) pertaining to the above mentioned BO/Trading account in electronic mode in lieu of physical copy(ies). I/We further confirm that I/We wish to receive or continue to receive the electronic statement of transactions/ account modification/holdings/digitally signed contract notes/confirmations/account statements/bills or other reports, Statement(s) related circulars, notices, amendments and such other correspondence, documents, records by whatever name called (hereafter referred to as “Statement(s)” issued from time to time in electronic form, subject to the terms and conditions prescribed by SEBI, the respective Stock Exchanges/Depository and Hedge Equities Ltd. duly authenticated by means of a digital signatures as specified in the Information Technology Act 2000 and the rules made thereunder, to my / Our email ID mentioned with this application of the First/ sole holder, which email address has been generated by me / us

I /We further hereby agree that Hedge Equities Ltd shall fulfill the legal obligation, if the above statement(s) are sent electronically to my/our email ID. I/We further agree that you shall not be responsible for the non receipt of the electronic statement of transactions/holdings/account modification/digitally signed contract notes / confirmations / account statements/ bills or other reports, Statement(s) related circulars, notices, amendments and such other correspondence, due to any change in the address not intimated to you in writing. I/We agree that any change in email id / or any other instruction shall be communicated by me/us through a physical letter to the trading member/depository participant.

NoYes

NoYes

I/We request you to send customized Alert message through SMS with respect to transaction/confirmations/information relating to my/our Account to the mobile number which is registered with this application of the first holder. Further I understand that these services will be provided free initially. In future it may be discontinued as a FREE service and charges for this service if levied, will be formally communicated well in advance for re-subscription.

BOID 12057300

Transactions using

Secured Texting

Facility (Trust). Refer to

Terms & Conditions

Annexure 2.6

I/ We wish to avail the TRUST facility using the Mobile number registered for sms alert facility.

I have read an understood the terms and conditions prescribed by CDSL for the same.

Yes No

I / We wish to register the following clearing member IDs under my /our below mentioned

BO ID Registerd for TRUST

Stock Exchange

Name/ID

Clearing Member

Name

Clearing Member ID

(Optional)


Other Details of Second Holder

JOINT HOLDER’S DETAILS FOR DEMAT ACCOUNT OPERATION



Net-worth as on (date).......................... (..............................................) (Net worth should not be older than 1 year)





Other Details of Third Holder



Net-worth as on (date).......................... (..............................................) (Net worth should not be older than 1 year)





VOLUNTARY

First/Sole Holder Second Joint Holder Third Joint Holder

Name

Signatures

(17/21) (5/7)(7/9)

FEMA DECLARATION FORM & ADDRESS CHANGE UNDERTAKING

Dear Sir/ Madam

With reference to my/our application for opening a Demat account with you, I/We here by confirm that I am/we are non-resident Indian/s/foreign nationals Individuals. I/We also confirm that – I/We have complied with FEMA regulations and I/we would continue to comply with FEMA regulations and other applicable laws.

I/We further confirm that the information set out herein above is true, complete & accurate and will inform the depository participant regarding any change in my / our overseas residential address mentioned below

My / Our overseas residential address is/are ......................................................................................................

.............................................................................................................................................................................

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.

Applicable only for NRI’s


(19/21)

(9/9)

( )7/7

Hedge House, Mamangalam, Palarivattom, Kochi - 682 025, Kerala

(18/2

1)

()

6/7

(8/9

)

VOLUNTARY POA ID 2205730000000016

CLIENT PROFILING

Branch Name: Branch Code:

Name: PAN No.:

Company Name: Designation:

Trade Profile:

Value Investor

Type:

Resident

Age Group:

Below 25

Value Averaging Investor Non-resident Between 25-40

Systematic Investor Corporate Between 40-60

Leveraged Trader QFI Between 60-80

Above 80

Investor Attitude:

Conservative

Investor Experience:

Beginner

Net Worth:

Below 10Lakhs

Moderate Intermediate Between 10-50Lakhs

Aggressive Advanced Between 50-100Lakhs

Above 100Lakhs

Investment Horizons:

Below 6 months

Financial Objectives:

Generate more income

Income Groups Per Annum:

Below 3Lakhs

Between 6-12 months Capital growth Between 3-6Lakhs

Between 1-3 Years Security of capital Between 6-10Lakhs

Between 3-5 Years Protect family or/and asset in the event of death

Between 10-50Lakhs

Above 5 Years Retirement planning Above 50Lakhs

Children’s education/marriage

Expected Return:

Below 7%

Investment with others:

Fixed Deposits Gold

Between 7-10% Insurance Real Estate

Between 10-15% Mutual Funds Chit Funds

Between 15-20% Stock Market Provident Funds

Above 20% Commodity Market Pension Schemes

Debt Market Other

Currency

Investments With Hedge:

Commodity

Products of Interest with Hedge:

Commodity

Currency Currency

Debt MF Debt MF

Equity M F Equity M F

FMP FMP

NCD NCD

Stock Stock

Tax Saving Products Tax Saving Products

23

24

(20/21)

25

(21/21)