ACCOUNT OPENING FORM (For...

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ACCOUNT OPENING FORM

(For Individual)Client Name

Serial No

Client ID Client Code

ANMOL SHARE BROKING PRIVATE LIMITED* | ANMOL COMO BROKING PRIVATE LIMITED

4thFloor, Bhagavathy Towers, #52, 33rd Cross, Jayanagar 4th Block, Bangalore-560 011

Member: NSE, BSE, CDSL, MCX

T: +91 80 4046 3100 M/WhatsApp: +91-99804-11100 E: [email protected] W: www.MyAnmol.com

mailto:[email protected]://www.myanmol.com/

Important Instructions

1 All details to be filled in CAPITAL BLOCK letters using Blue/ Black Ink only

2 Holder’s Names in all the required fields should be filled as per the supporting documents submitted.

3

Email ID& Mobile number is very important, account related passwords and transaction details will

be communicated on that. Please provide your own Email ID and Mobile Number. If it belongs to your family, please give a separate declaration for the same. “Family” for this purpose would mean self, spouse, dependent children and dependent parents.

4 Provide correct Bank IFSC & MICR code for hassle free Transactions in future.

5 Ensure signatures on all MANDATORY forms &the VOLUNTARY documents, which are opted by you

6 Self-Attestation of all KYC documents

7 In case of any correction in the form- Please sign next to the correction& ensure it is identical to the original signature.

Name of stock

broker/trading

member/clearing

member:

ANMOL SHARE BROKING PRIVATE LIMITED

SEBI Registration

Number and Date

NSE &BSE- INZ000082537

DP Registration Number and Date

CDSL -IN-DP-CDSL-552-2010 (April 15, 2010)

Registered and

Correspondence Office

Address

4th Floor, Bhagavathy Towers, #52, 33rd Cross, Jayanagar 4th Block,

Bangalore-560 011

T: +91-80-40463100 M/What’s app: +91-99804-11100 Web: www.MyAnmol.com

Name of the

Compliance Officer

Mr. Mahesh Bajaj

Ph. +91-80-40463111 Email id: [email protected]

Name of the CEO Mr. Mahesh Bajaj

Ph. +91-80-40463111 Email id: [email protected]

GST Number 29AAFCA2999A1ZL

PAN No. AAFCA2999A

CIN No. U67120KA2005PTC036705

For any grievance/dispute: Please contact stock broker (Anmol Share Broking Pvt Ltd) at the above

address or email id – [email protected]/[email protected] and phone no. 91-80-40463100.

In case not satisfied with the response, please contact BSE at [email protected] and phone no. +91-22-

22728097 and NSE at [email protected] and phone no. +91-22-26598190

http://www.myanmol.com/mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]

INDEX

Sl. No.

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

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI &THE EXCHANGES

1 Account Opening Form A. CKYC form – Document captures the basic information about the constituents and an Instruction/checklist. (To be filled by customer)

1-2

B. Document captures the additional information about the constituent relevant to trading account.

3-7

2 Information required as per PMLA 2002 & FATCA

Details of client with respect to PMLA & FATCA Declaration form

8

3 Tariff sheet & BSDA opt out

Document detailing the Demat fee schedule & rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) & BSDA Opt out form.

9-10

VOLUNTARY FORM AS PROVIDED BY THE STOCK BROKER

4 Power of Attorney (POA)

POA in favor of Anmol Share Broking Pvt Ltd., facilitates hassle free settlement of securities transaction, NFO / IPO Application, mutual fund purchase and redemption for and on behalf of the client

11-12

5 Authorization for Running Account

Authorization letter to Anmol Share Broking Pvt Ltd, facilitates maintaining of fund with the member for every pay-in of funds obligation / margin obligation

13

7 Family Declaration Email/ Mobile number Updation in Family codes 14

9 MF related Documents Mandate form, AOF for BSE Star MF, MF declaration form 15-18

10 Office Use Acknowledgement and office use copy 19-20

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES (Booklet 2)

1 Rights and Obligations (Trading)

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

1

2 Rights and Obligations (DP)

Documents detailing Rights & Obligations of beneficial owner and depository participant

5

3 Risk Disclosure Document (RDD)

Document detailing risks associated with dealing in the securities market.

7

4 Guidance note Document detailing do’s and don’ts for trading on exchange, for the education of the investors.

10

5 Policies and Procedures Document describing significant policies and procedures of the stock broker

11

Booklet 1: To be filled by client and returned to ASBPL. Booklet 2: Client Acknowledgement copy- to be read and understood by the client for future reference Important Note: Signature Types

First holder/ Client** xx/18

First Witness FW

SH x/7 Second Holder

Third Holder TH x/7

Second Witness SW

Guardian G

**Signature of First Holder will be followed by numbers only Introducer

CHECK LIST FOR FILLING CKYC FORM (List of documents to be Submitted) – For Individual

Acceptable Documents(Self attested copies required) Please Tick

Photograph One Colored Front Face Photograph on photographic Paper(Passport Size)

Mandatory Documents

PAN and Aadhaar card Copy

Proof of Address

(Any One)

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 month old, seal & signature of the bank official)

6. Banker’s Certificate on letter head of the Bank (ORIGINAL)

7. Electricity Bill (not more than 3 months old)

8. Resident Landline Tel. Bill (not more than3 months old)

9. Registered Flat Sale Agreement of Residence

10.RegisteredLease/Leave & License Agreement

11.Other*(Pls. Specify)

Bank Proof Provide for all the Bank

Account Mentioned

1.Bank Statement/ Bank Passbook with Cheque leaf(not more than 3 months old, seal & signature of Bank Official) specifying name of the

constituent, MICR Code or/and IFSC Code of the bank

2. Banker’s Certificate on letter head of the Bank(ORIGINAL)

3. Cancelled Personalized Cheque leaf

Proof of Income

(Any One)

1. Copy of ITR Acknowledgement

2. Copy of Annual Accounts

3. In case of salary income –Salary Slip, Copy of Form 16

4. Net-worth certificate

5. Copy of Demat Account Holding Statement

6. Bank Account Statement for last 6 months reflecting income

IMPORTANT INSTRUCTIONS – GENERAL

Trading Account will be in the name of First/Sole holder of Demat and/or Bank A/c only

Thumb impression &signatures other than English, Hindi or any other language not contained in the 8thSchedule of the Constitution of India must be attested by Magistrate or Notary Public or special Executive Magistrate

Witness should be a person other than co-holder / joint holder

The applicant should authenticate any corrections/ alteration in the account opening form

All the fields in the Form must be filled up otherwise the Form may be rejected

The Applicant has to sign wherever sign mark is mentioned {F-First Holder, S-Second Holder, T-Third Holder}

In case of Second or Third Holder applying for Demat account, download the Know Your Client (KYC) form from our website and submit along with AOF, with proofs.

Cheque/DD towards Registration fees & other charges should be drawn in favor of “Anmol Share Broking Pvt Ltd”

It is mandatory to provide complete Bank Account details. In absence of complete details, form may be rejected.

IMPORTANT INSTRUCTIONS – DEMAT

For Demat Account, Joint Holder and Nominee cannot be the same person

Photographs to be signed across and pasted (Not Stapled) for all the holders in Demat as well as the nominee and his/her guardian

In case of joint applicants for Demat Account, copy of PAN, Proof of Address and Proof of Identity for all Applicants is mandatory

Demat Account cannot be linked with Trading Account where minor is the joint holder in Demat account

TRADING ACCOUNT RELATED DETAILS

BANK ACCOUNT DETAILS (Account No 1 would be considered for Pay-Out of Funds)

Bank 1: Bank name & Address:

Account No: Savings Current

MICR Code: IFSC Code:

Bank 2: Bank name & Address:

Account No: Savings Current

MICR Code: IFSC Code:

DEPOSITORY ACCOUNT DETAILS

Depository Participant Name:

Client Name:

Depository Name: CDSL NSDL

DP ID:Client ID:

TRADING PREFERENCES*Please Sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off

Exchanges Cash & Mutual Funds F&O and Commodity*

NSE + BSE 3/18 4/18

*For F&O & Commodity, income proof needed & initial margin chq of Rs 25,000 is required

If, in future, the client wants to trade on any New Segment / New Exchange, separate authorization / letter will be taken from the client.

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.

DEALINGS THROUGH AUTHORISED PERSONS/ OTHER BROKERS/ INTRODUCER DETAILS

Status of Introducer: Remisier AP Existing Client Employee Others

i) AP Name/ Introducer Name:

Remisier/ AP Tag/ Emp. Code/ Client Code: SEBI Registration / Exchange No.:

Registered office address:

Mobile/ Phone: Fax: Website:

ii) Whether dealing with any Other Broker / AP(If registered with multiple members, provide details)Yes No

Name of Stock Broker (if yes) Name of AP:

Name of Exchange (if yes) Client Code (as given by other broker)

Details of disputes/dues pending from/to such stock broker/ authorized person:

I/ we hereby confirm that I/we have verified the identity & bonafides of client. I/ We shall also ensure that all the dealings with the clients shall be as per the prevailing Rules/ Regulations/ Bye-Laws/ Circulars of the Exchange and SEBI. Further, I/We undertake to abide by the operational policies and procedures of Anmol and also as per the agreement entered with Anmol Share Broking Private Limited

Signature of the AP/ Introducer (Rubber Stamp required if non-individual introduces client)

ADDITIONAL DETAILS

Contract Note Receive Contract Note:Physical Electronic (Email mentioned in KRA will be used)

E-Broking Do you wish to avail Internet Trading/Wireless Trading Facility Yes No

SMS/Email

Do you wish to receive trade confirmation on SMS/Email directly from Exchange/CDSL

SMS Email Both

Mobile Registration

Self Other (please specify Name )

(Relationship with the client )

Gross Annual Income Details:< 1 Lac 1-5 Lacs 5-10 Lacs 10-25 Lacs

25 Lacs -1 Cr Above Rs. 1Cr.

OR Net Worth in Rs as on date DD/ MM/ YYYY

I hereby agree to submit a copy of any one of the financial documents mentioned ahead to ASBPL every year: (Copy of Income tax return / Annual Accounts / Form 16 (Salary Slip) / Net Worth Certificate / Bank Statement for last 6 months)

Occupation

Private Sector Public Sector Business Retired Govt. Service

Professional Agriculturist Housewife Student Forex Dealer Other

TYPE OF ACCOUNT

I/We request you to open a Demat Account in my/our name as per the following details

Individual Resident Individual Director Individual Director’s Relative

Individual promoter Others Specify

I/We request you to open a JOINT DEMAT ACCOUNT in my/ our name as per following details:-

Name of the First Holder PAN

Name of the Second Holder PAN

Name of the Third Holder PAN

Option for Issue of DIS Booklet

I / We hereby state that: [Select one of the options given below]

Option 1 I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA in favor of / with Anmol Share Broking Pvt Ltd for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later date.

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) in favor of / with Anmol Share Broking Pvt Ltd for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member.

Yours faithfully

First Holder name Second Holder Name Third Holder Name

Signature 5/18 SH 1/7

SH 2/7 TH 2/7

DP FACILITIES

Account

Statement

Send electronic Transaction cum Holding Statement on my Email id Yes No

Automatic Credit

I/We instruct the DP to receive each and every credit in my/our Account Yes No

ECS

Mandate

Do you wish to receive dividend/Interest credit directly to your Bank Account Yes No

EASI Regn View ISIN balances, Transactions & value of portfolio on CDSL website (Process will be initiated by DP but will have to be completed by Investor only. To register for Easi please visit website www.cdslindia.com)

Yes No

SMS Alert Facility

Mobile No. same as mentioned on KRA Page

(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 )

Yes No

TRUST

Facility

I wish to avail the Transactions Using Secured Texting Facility (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.

Yes No

Pledge Facility

I/ We would like to instruct 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”)

Yes No

Annual Report

I/ We would like to receive the Annual Report in the opted manner (Tick the applicable box (can tick both boxes if both needed), if not marked, the default option would be in Electronic)

Physical

Electronic

CAS

Facility

I wish to receive the Consolidated Account Statement (CAS) in Physical / Electronic form (Tick the applicable box, if not marked the default option would be in physical)

Physical

Electronic

RTA Facility I /we would like to share the email id with the RTA Yes No

KYC

Documents

I /we would like to receive KYC documents i.e. RDD, Rights & Obligations and Do's & don’ts as prescribed by SEBI in electronic form.

Yes No

For availing TRUST and SMS Alert Facility, Forms & Terms & Conditions are available on www.anmolshare.com

DECLARATION

I/W e 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 or suppression of any material information, I am/we are aware

that I/we may be held liable for it.

I/W e confirm having read/been explained and understood the contents of the document on policy and procedures of

the stock broker and the tariff sheet.

I/W e 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/W e

have also been informed that the standard set of documents has been displayed for Information on stock broker’s

designated website, if any.

I/W e have read the terms & conditions of rights & obligations document 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 correct to the best of my/our knowledge as on the date of making this application. I/W e 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 bill render

my account liable for termination and suitable action.

6/18

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

http://www.anmolshare.com/

RISK PROFILE QUESTIONNAIRE

Anmol Share Broking Pvt Ltd is required to make enquiries as to the level of service you are seeking, your

investment objectives including your risk profile, financial situation, and particular needs. A key consideration is

understanding your investment objective and tolerance level. The following questionnaire has been prepared to

help you consider the various investment risks and to understand how they impact on your personal circumstances.

Investment Risk can be described as the potential for actual investment returns to vary from expectations. The

higher the level of investment returns you are seeking, the more risk you generally need to be prepared to accept.

An Investment Risk Profile is basically a general description regarding an Investor's approach to risk.

IDENTIFYING YOUR INVESTMENT RISK (From Investment Trading Perspective)

1) How familiar are you with investment matters? Please Select Any 1

Not familiar at all with investments and feel uncomfortable.

Somewhat familiar. I don't fully understand investments, including the share market.

Very familiar. I use research and other investment information to make investment decisions. I understand the various

factors which influence investment performance.

Fairly familiar. I understand the various factors which influence investment performance.

2) Which age range do you fall into?

Between 21 and 40 Between 40 and 50

Between 50 and 60 Between 60 and 80

3) How long would you invest the majority of your money before you think you would need access to it?

(Assuming you already have plans in place to meet short term cash flow and/or emergencies.) Please Select Any 1

In a 2 year or less Within 3 - 5 years

Within 6 - 10 years Not for 10+ years

4) Approximately what percentage of your assets (excluding own use property) is currently held in

investment products where the value can fluctuate? Please Select Any 1

Over 50% Between > 25% and 50% 0%

Between > 10% and 25% Between > 0% and 10%

5) How long have you been investing in stock market? Please Select Any 1

Very Experienced – Have been trading / investing in equity & derivative market for more than 5 years.

Very Experienced – Have been trading / investing in equity & derivative market for last 3 - 5 years.

Have been trading in equity market and have already started my derivatives trading

Have been trading in equity market

I am starting my stock market investment with you

6) Any legal action against you in the Court;

Yes (Amount Involved) No

7) Investing involves a trade-off between risk and return. In order to achieve your expected returns, which

statement best describes the degree of losses you are willing to take?

I am willing to accept minimal amount of

Capital loss I am willing to accept high capital loss

I am willing to accept moderate capital

Loss

8) Have you ever borrowed money to make an investment in securities market? If yes, then mention the

name of the lender and the amount borrowed.

Yes - Name of the lender: and amount borrowed Rs.

No

9) Your immediate family member / Group companies are promoter of any listed company; if yes then

mention the details of such company.

Yes - Name of the Listed Company No

10) Your immediate family member / Group companies are registered with SEBI; if yes then under what

capacity.

Yes - Mention details No

NOMINATION DETAILS

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 Trading & Demat account.

I / We wish to nominate the following person (who is entitled to receive security balances lying in my/our

account. Particulars whereof given below, in the event of the death of the Sole holder or the death of all the joint holders)

Nominee 1 Nominee 2 Nominee 3

Name

Relationship

Percentage %

Date of Birth

Address

Mobile number

Email ID

If Minor, details of the Guardian

As the nominee is a minor on this date, I / We appoint the following person to act as a guardian to receive

the securities / funds in this account on behalf of the nominee in the event of the death of the sole holder or the death of all the joint holders.

Name

Address

Mobile Number

Email id

Relationship

Signature of Guardian

G

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

7/18 SH 3/7 TH 3/7

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

WITNESS DETAILS

Name and Address of Witness 1

Signature FW

Name and Address of Witness 2

Signature SW

Nomination Registered vide regn no: dated

Information for Prevention of Money Laundering Act, 2002 CLIENT DETAILS

Experience No. of years of Investment/ Trading Experience Any other information

Education Non Metric SSC/HSC Graduate Lawyer other specify

Residential

Details Owned Rented

Source of Income

(Fund Details)

Do you Invest in stock market with: Own Funds or Borrowed Funds

i) Primary source:Salary BusinessOthers Specify

ii) Secondary Source: RoyaltiesRental Dividend Others specify

IS THE CLIENT POLITICALLY EXPOSED PERSON (PEP*) OR RELATED TO A PEP

Yes No If yes, please provide below mentioned details

Name

Relationship PAN

*Politically Exposed Persons(PEP) are individuals who are or have been entrusted with prominent public functions in a foreign country,e.g. Heads of States of Governments, senior government/judicial/military officers, senior executives of state corporations, important political party officials, etc. In addition, a ‘Politically Exposed Person includes the immediate family members of a ‘Politically Exposed Person such as spouse, children, parents and other relatives. Politically Exposed Person includes even close associates like advisors, secretaries and other associates of a ‘Politically Exposed Person who conducts transactions on behalf of a ‘Politically Exposed Person.

FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL

First/Sole Holder Second Holder (if any) Third Holder (if any)

Client Name:

PAN :

Client Code: NA NA

Demat Account No.

1. Indicate ( ) your Tax Residency /

Citizenship / Nationality India U.S.A Others India U.S.A Others India U.S.A Others

If ticked on “Others” and/or “U.S.A”, please provide all details under point no. 2,3,4,5 below:

2. Specify City and Country of Birth

3.

Specify Country(ies) of Tax

Residency/ Citizenship / Nationality/

Green card holder, other than India

4. Tax Identification Number (for U.S.A.) or its functional equivalent (other than U.S.A.)

5. Source of Wealth (Tick the source)Salary Business Salary Business Salary Business

Gift Rental Gift Rental Gift Rental

Royalty Income Royalty Income Royalty Income

Prize Ancestral Prize Ancestral Prize Ancestral

DECLARATION

a) The details furnished above are true to the best of my knowledge and belief and shall undertake to inform Anmol ShareBroking (P.)Limited within 30 days, in case of any change in the above given status on a future date;

b) If I /we am/are U.S. person or tax resident of a reportable foreign jurisdiction (other than U.S.), my account details, would be

reported by Anmol Share Broking Pvt Ltd. to the relevant tax authority, or information may be shared with concerned Asset

Management Companies (AMCs) or such other product providers, to whom FATCA/ CRS norms are applicable or to any of the

Government Agencies / Tax authorities / Regulators / Exchanges / Depositories of India or of any country other than India;

c) If my / our Country of Birth is US, however, I / W e declare that I/ We are not US Person, I / W e shall provide a certificate ofrelinquishment of citizenship (Loss of nationality) OR a self-certification stating reasons for not having such a certificatedespite relinquishing US citizenship OR not obtaining US citizenship at birth.


Name

Signature 8/18 SH 4/7 TH 5/7

BROKERAGE TARIFF SHEET

Delivery Intraday Others

Max Min Max Min

Cash Market

Future and Options Brokerage levied to your trading account shall be the higher of brokerage value as per the existing rates or Rs.

25/- per settlement / segment, subject to the maximum rates prescribed by the regulator(s) from time to time.

# DEMAT TARIFF SHEET

Scheme Opted (Select Anyone)

Charges

Basic/ BSDA Clients

Economy

Freedom -

Lite

Chota Life Time

Anmol Lifetime Freedom

1 DP A/c Opening NIL

2 Dematerialization Rs.50+Rs.20/Cert/ISIN

3 Demat Rejection Rs.50/-

4 Rematerialization Rs.50+Rs.100/Cert

5 Pledge(Creation/ Invocation/Closure) 0.01% or Rs50/- whichever is higher

6 Transaction Charges:

a Buy NIL

b Sell(within Anmol)

0.04% or Rs. 35/- whichever is higher

Rs.6 + CDSL Charges

Free (Only CDSL Charges)

Free (Only CDSL Charges)

Free (No Charges)

c Off Market (within Anmol)





Free (No

Charges)

d

Sell(Outside Anmol/Off-Mkt Trf/Inter- Depository)


0.03% or Rs 30/- whichever is higher



0.03% or Rs

30/- whichever

is higher

7 AMC** Rs.99/- Rs.299/- Rs.499/-

Rs.3,000/- (Refundable Deposit and not AMC)

Rs.5,000/- (Refundable Deposit and not AMC)

# If no plan is selected in the above, the plan will be by default selected as “ECONOMY”.

**As per SEBI circular No. CIR/MRD/DP/20/2015 dated 11th December 2015, all eligible demat account will be converted to BSDA at the end of the billing cycle subject to terms and conditions mentioned by SEBI. Transaction charges are applicable as per Basic plan. To opt out for BSDA scheme please sign a separate scheme sheet attached with this form.

Demat Tariff Selected

9/18

TERMS AND CONDITION WRT CHARGES

1. Account Maintenance Charges (AMC) will be charged upfront every year.

2. For New Account, AMC will be charged from respective month.3. Inter-Settlement charge towards debit transactions of client shares from ASBPL beneficiary- Rs. 12.50/- per ISIN

would be applicable.

4. Transfer of share from client demat account to ASBPL Margin/ collateral account and ASBPL Margin/ collateralaccount to client - Rs 40.00 +GST @18% applicable.

5. Change in tariff scheme will be accepted anytime during the year. The new scheme will be applicable frommonth in which scheme is changed. No adjustment of previous will be done.

6. In Scheme – IV & V (Life Time AMC), client can take full amount if closed after 3 years. In case account

is closed or scheme changed within 3 years, Rs 1000/- will be charged and remaining shall be refunded.

7. In case of additional DIS Requisition slip/ book, Rs 100 /- will be charged.

8. Cheque bounce will be charged Rs 100/- per instance.9. Request for duplicate Contract note will be charged at Rs.25/- per contract note.10. Trading A/c opening charges of Rs. 150/- will be collected upfront at the time of account opening.11. Modification Request- Rs. 50/- for address modification, Rs.35/- for other Modifications (except email and mobile

number).

12. In case of closure of Demat account, AMC for the remaining quarter/s will be refunded.

13. All the charges pertaining to DP will be debited from the Clients Trading Ledger (In case of trading account withAnmol).

14. CDSL charges are charged at actual, Service tax will be charged extra as per regulation. Rates are subject to revisionfrom CDSL. DP reserves the right to amend the tariff at any given point of time.

15. For availing ‘Easiest’ facility of CDSL, charges will be levied by CDSL would be collected from clients atactual.

16. Other Charges:

a. Securities Transaction Tax, SEBI turnover fees, Transaction charges shall be levied as per prevailing rates.b. Statutory levies including but not limited to service tax, stamp duty, Education Cess shall be levied as per the

prevailing rates.

c. The schedules of charges are subject to revision at .the discretion of Anmol Share broking Private Ltd.Any revision in the schedule of charges will be notified by EMAIL within 30 days’ notice.

Client Signature

DECLARATION FOR NOT AVAILING OF BASIC SERVICE DEMAT ACCOUNT (BSDA)

o I / We DO NOT wish to avail the BSDA facility for the new account for which has been submitted by me/us.

I/We have read and understood the regulatory (SEBI) guidelines for opening a Basic Services Demat Account and undertake to comply with the aforesaid guidelines from time to time. I/we also undertake to comply with the guidelines issued by any such authority for BSDA facility from time to time. I/We also agree that in case our demat account opened under BSDA facility does not meet the eligibility for BSDA facility as per guideline issued by SEBI or any such authority at any point of time, my / our BSDA account will be converted to regular demat account without further reference to me/us and will be levied charges as applicable to regular accounts as informed by the DP.

I, the first / Sole holder also hereby declare that I do not have / propose to have any other demat account across depositories as a first / sole holder.


Name

Signature 10/18 SH 5/7 TH 5/7

POWER OF ATTORNEY IN FAVOUR OF ANMOL SHARE BROKING PRIVATE LIMITED (To be franked)

TO ALL TO WHOM THESE PRESENTS SHALL COME, I/WE residing at/having place of business/registered office at

send greetings.

WHEREAS I/We wish to avail, I/W e am/are a client availing of the Stock Broking and Depository services(hereinafter

referred to as said Services) offered by Anmol Share Broking Private Limited, a company registered under the

provisions of the Companies Act,1956 having its Registered office at 4thFloor, Bhagavathy Towers, #52, 33rd Cross,

Jayanagar 4th Block, Bangalore-560 011 and (hereinafter referred to as 'ASBPL') with/ without On-Line trading/ E-

broking & web based facilities and/ or services through its website or any other website used for offering said Services.

AND WHEREAS as consideration for availing said services as well as a prerequisite for fulfilling the various

preconditions and requirements so as to avail of the services of 'ASBPL', I/we am/are desirous of appointing an

attorney and confer upon it powers hereinafter stated. NOW THESE PRESENTS WITNESS that I / we, do hereby, jointly

and severally nominate, constitute and appoint 'ASBPL' acting through any of its directors, officers and / or agents, as my

/ our true and lawful Constituted Attorney (hereinafter referred to as the said Attorney) for me / us, in my / our name and

on my / our behalf and at my / our risk and costs to do, exercise and perform all or any of the following acts, deeds and

things:

In this Power of Attorney the term “Securities” shall include shares, scrips, stocks, bonds, warrants, options, futures,

derivatives, convertible debentures, non-convertible debentures, securitized debt instruments, fixed return investment,

equity linked instruments or other marketable Securities of a like nature in or of any incorporated company or other body

corporate, negotiable instruments including issuance Bills of Exchange, deposits or other money market instruments,

commercial paper, certificate of deposit, units issued by Unit Trust of India and units issued by Mutual Funds, mortgage

backed or other asset backed Securities issued by any institution or body corporate, cumulative convertible preference

shares issued by any incorporated company and Securities issued by any incorporated company and Securities issued by

the Central Government or a State Government for the purpose of raising public loan and having one of the forms

specified in Clause (2) of Section 2 of the Public Debt Act, 1944, or any other new form of capital or money market

instruments that may be issued in the future by any incorporated company/firm/institution or Government.

1. To give delivery/receive instructions, borrowing and lending instructions, pledge instructions, pledge closure

instructions in the course of business relating to operation of Demat account No.1 2 0 6 4 7 0 0

Maintained with Depository Participant of ASBPL with CDSL towards

the obligation for transactions done through ASBPL on Bombay Stock Exchange Limited, National Stock Exchange

of India Limited or any other Exchange under my/our instructions.

2. Pursuant to my/our instruction or instruction of my/our Authorized Representative, to make applications for or to

renounce and sign renunciation forms in respect of bonds/debentures, right shares and additional shares of any

Company/ Body/ Authority.

3. To debit my/our ledger account maintained with ASBPL for fees/charges etc. and to discharge all financial

obligations relating to transactions undertaken by me on any of the Stock Exchanges through ASBPL.

4. Pursuant to my/our instruction or instruction of my/our Authorized Representative to do all such acts and things as

may be necessary to effect the subscription / purchase / redemption or any other transaction for mutual funds/ online

Mutual Fund or otherwise of initial public offer / follow on public offer / right issue / buyback or any other like issues

and / or Investment Product for which services are availed from ASBPL.

5. To pledge the securities for the limited purpose of meeting the margin requirements in connection with the trades

executed on the stock exchanges.

6. To instruct the Depository Participant to debit securities to the said account and/or transfer securities from the said

account to pool/collateral /margin/any other beneficiary account of ASBPL to the extent of shares sold through

ASBPL for pay in obligation as well as for margins towards any Stock Exchange in all segments.

7. To issue instructions to my DP to execute the share transfer requests given by me/us in electronic form, in any format

and at any time through the website of Anmol Share Broking Private Limited or through the internet or any other

electronic mode, towards upfront margin or any other margin obligation towards any stock exchange.

8. To authorize ASBPL to send trades and accounts related information and also consolidated summary of scrip-

wise buy and sell positions taken with average rates by way of SMS / email on a regular basis.

9. For the purpose of the aforesaid to sign contracts, agreements, transfers, acceptances, receipts, or other

instruments, documents and forms, to accept and carry out correspondence with such person(s) or

authority/authorities or department(s) and to do all such lawful acts requisite for effecting the same. To do or commit

to do all such acts and things as may be necessary or desirable in order to exercise its powers hereinabove or

to comply with any laws, orders, rules, regulations or directions of any government or regulatory or other authorities.

10. My/Our Attorney ASBPL shall not be liable for any loss that may result from failure/inability of electronic

connectivity of rejection of my/our application for any reason whatsoever.

11. In case of mutual fund units wrongly / erroneously subscribed and delivered in my/our account, ASBPL is

authorized to automatically transfer the units in their pool/beneficiary/other account without my consent.

12. In case the securities or fund that may have been delivered/credited/transferred to m y DP account erroneously

or those securities or fund that I was not entitled to receive, then ASBPL is authorized to instruct the DP to

reverse such transactions without obtaining any authorization from me.

13. I understand that on production of adequate proof by me you will return to me the security/(ies) or funds that may

have been erroneously credited/transferred to your account which you are not entitled to receive from me or us.

14. The Demat account details of ASBPL where shares can be transferred for above purpose is mentioned below:

1206470000000452 1206470000004818 1100001100018218 IN300095-11591201

1206470000000321 1206470000004782 1100001000022781 IN300095-11540589

1206470000020631 2206470000000016

AND I/W e hereby agree that ASBPL shall exercise such powers and Authorities conferred under the above Power of Attorney pursuant only to the instructions in that behalf given by me/us or my/our Authorized Representative, which may be given orally, over the telephone, through the internet, electronically or in any other manner acceptable to ASBPL and such instructions shall be deemed to have been given by me/us and shall not be questioned by me/us and shall be conclusive and binding on me/us.

AND I /W e hereby agree that all such acts done by my/our above mentioned attorney shall be deemed to be acts done by me/us and if necessary shall be ratified by me/us on the instructions of the said attorney.

AND I/W E DO HEREBY CONFIRM AND DECLARE THAT this Power of Attorney shall be valid, effective and operative and shall remain in force till the same is revoked by me/us.

I/W e hereby agree that any dispute arising out of all trades, transactions and contracts will be settled under the Bye- Laws, Rules and Regulations of the concerned Stock Exchanges where the trades have been executed and depository related issues under bye Laws of the concerned Depository, where concerned beneficial owner Demat account is held.

This document shall be subject to the jurisdiction of the Courts in Bangalore and all trades, transactions and contracts shall take effect as wholly made, entered into and to be performed in the city of Bangalore.

And generally m y said attorney shall have the power to do all such acts, deeds and things on m y behalf and I could have lawfully done, if personally present. AND I do hereby for myself, my heirs, executors, administrators of acts done and legal representatives ratify and confirm

and agree to ratify and by attorney confirm all and whatsoever m y said attorney or his substitute or substitutes shall

lawfully do or cause to be done by v i r t u e of these presents.

Made in Bangalore on this day of 201__

In Witness thereof the parties to the agreement have caused these presents to be executed as of the day and year herein

below written

Signature for and on behalf of First holder Second Holder Third Holder The Participant

Signature

11/18 SH 6/7 TH 6/7

Witness 1 Name & Address Signature FW

Witness 2 Name & Address

Signature SW

POA Registered vide regn no: dated

12/18

AUTHORISATION OF RUNNING ACCOUNT – VOLUNTARY DOCUMENT

Date:

Anmol Share Broking Private Ltd.

4th Floor, Bhagavathy Towers,

#52, 33rd Cross, Jayanagar 4th Block,

Bangalore-560 011

Dear Sir/ Madam,

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

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

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

I am/ we are aware that you and I/we have the option to deliver securities/ make payments of funds to each other for

settlement of dealings as per the schedule in force at the relevant time pursuant to directives / regulations/ circulars,

issued by exchange Regulatory authorities. However, I/we find it difficult to carry out repeated pay-in of funds and

securities. Further, I/we also desire to use my/our securities and monies as margin / collateral without which we cannot

deal / trade. Therefore I /we hereby direct and authorize you to maintain running account(s) for me/us and from time to

time debit these securities and funds from running accounts and make pay-in of securities and funds to exchanges/

clearing corporations/other receiving party(ies) to settle my/our trades/ dealings.

Similarly, where I/we have to receive securities/ funds in settlement of trades/ dealings please keep the securities and

monies with you and make credit entries for the same in running accounts of securities and funds maintained by you.

Further, subject to your discretion and valuation please treat my/our securities and funds lying to my/our credit in running

accounts as margin/ collateral for my/our dealings/ trading. In the event I/we have outstanding obligations 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.

I/we hereby further direct and authorize you to retain net amount up to Rs.10, 000/- (net amount across segment and

across stock exchanges) as prescribed by the exchange while settling the account on monthly/quarterly (as the case may

be) basis in additions to funds being withheld as permitted by SEBI circular MIRSD/SE/Cir-19/2009 in case I/we have

traded even once during the last one month/quarter as the case may be.

While settling the account please send a 'statement of accounts' containing an extract from ledger for funds and an extract

from the register of securities displaying all receipts/deliveries of funds/securities. Please explain in the statement(s) being

sent the retention of funds/securities and the details of the pledge, if any.

I/ W e agree that I/We shall bring any discrepancy arising from the statement of a/c on settlement preferably within 7

working days from the date of receipt of funds/securities or statement as the case may be to the notice of Trading Member

so as to allow the Trading Member to take remedial steps, if any are warranted. Please do not carry out above stated

settlement of running account in the event I/we avail margin trading facility. Further, do not carry out settlement of running

account referred to above for funds given by me/us towards collaterals/margin in the form of bank guarantee (BG)/Fixed

Deposit receipts (FDR).

Please further note that I am entitled to revoke the Running Account Authorization at any time.

My/our preference for actual settlement of funds and securities is at least:

Quarterly Monthly

Yours Faithfully,

Thanking you.... Name:

Client Code: _______________

13/18

OTHER AUTHORISATIONS - VOLUNTARY DOCUMENT

Family Declaration – Email/ Mobile Updation in Family Codes

To

Anmol Share Broking Private Ltd.

4th Floor, Bhagavathy Towers,

#52, 33rd Cross, Jayanagar 4th Block, Bangalore-

560 011

Dear Sir/ Madam,

I) I and my family members hereby request that mobile number and email id same as mentioned on KRA Page, belongingto undersigned shall be considered in your records for the purpose of receiving communication from you or Stock Exchanges with regard to details of trading transactions executed through you

ii) Further, I hereby disclose that the following are my family members having an account with Anmol Share Broking PvtLtd. Details of their name together with their client code is provided hereunder:

Sr. No. Client Name Client Code Relationship with Undersigned Signature

i.

ii.

iii.

iv.

(If family members are more than four, kindly provide details in separate sheet.)

The above details shall be deemed valid till any change is requested under the modification process.

Client E-mail ID

Client Mobile Number

Declaration

I hereby declare that the mobile no. /email id mentioned in the Account opening form/ request for change in mobile

no./email id is my own or belongs to my family member.

Verbal Order Placement Instruction

I understand that you require written instructions from me for placing / modifying / cancelling orders. However, since it is

not practical for me to give written instructions for placing/modifying/cancelling order. Even If I have facility to trade online

through Internet and wireless technology, I may have to place orders by physically visiting /calling/ emailing the call

center/branch specified for the said purpose by Anmol Share Broking Private Limited in case of breakdown of internet

connectivity or other similar reasons. I hereby request you to kindly accept my verbal orders/instructions, in person or

over phone and execute the same. I understand the risk associated with placement of verbal orders and accept the same.

I shall not disown orders under the plea that the same were not placed by me provided I am sent ECN/Physical contract

notes or trade confirmations through SMS and other approved modes. I indemnify Anmol Share Broking Private

Limited and its employees against all trade related losses, damages, actions which you may suffer or face, as a

consequence of adhering to and carrying out my instructions for orders placed verbally.

Client Signature:

Name:

Client Code:

Mutual Fund Service System / BSE Star MF/NSE NMF facility activation

To, Anmol Share Broking Pvt Ltd 4th Floor, Bhagavathy Towers, #52, 33rd Cross, Jayanagar 4th Block, Bangalore 560011

Sub: BSE Star MF facility activation/ Mutual Fund Service System (MFSS)

I/We ................................................................ am/are registered/ registering 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 /F&O / Currency segment of National Stock Exchange of India Ltd/Bombay Stock Exchange Limited.

I/We am/are interested in availing the MFSS/BSE Star MF facility of the Exchange/s for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt with on the MFSS/BSE Star MF of the Exchange/s.

For the purpose of availing the MFSS /BSE Star MF 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 MFSS/BSE Star MF and I/we further confirm that the details contained in same remain unchanged as on date.

I/We am/are willing to abide by the terms and conditions as mentioned in the Circular dated November 24, 2009/2nd December, 2009 and as may be specified by NSE/BSE respectively 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 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 below mentioned Terms & Conditions, rules and regulations of the Mutual Fund Schemes.

I/We authorise you to transfer the credit balances lying in my / our Trading Account with Anmol Share Broking Private Limited to my / our MFSS/BSE Star MF account or vice versa as and when debit arises or as and when required. I/we therefore request you to register me/us as your client for participating in MFSS/ BSE STAR MF.

Details of terms & conditions for the Investor / Client for using New MFSS facility/ BSE StAR MF platform

1. Pre-requisites for becoming Investor / Client for the New MFSS facility/ BSE STAR MF platform1.1. The client is desirous of investing in units of mutual fund schemes through the New MFSS/ the BSE STAR MF. 1.2. The Client intends to execute his instruction for the subscription/redemption of units of Mutual Fund Schemes through the Participant/ the broker who is a Mutual fund Intermediary (MFI) of the New MFSS/ BSE STAR MF platform. 1.3. The client has satisfied itself of the capacity of the Participant/MFI to deal in Mutual Fund units and wishes to execute its instruction through the Participant/MFI and the client shall from time to time continue to satisfy itself of such capability of the Participant/MFI before executing transacting through the Participant/MFI. 1.4. The Client has approached to the Participant/MFI with the application for availing the New MFSS facility/ BSE STAR MF platform.1.5. The client has submitted relevant KYC (Know Your Client) details to the Participants/MFIs.

2.1 The client shall be bound by circulars/notices issued by NSEIL/BSE from time to time including the Circulars issued by NSEIL /BSE since 2009 onwards and circulars issued thereafter and circulars issued there under by SEBI and relevant notifications of Government authorities as may be in force from time to time. 2.2. The client shall notify the Participant/MFI in writing if there is any change in the information in the client registration form provided by the client to the Participant/MFI at the time registering as a client for participating in the New MFSS/ STAR MF platform or at any time thereafter. 2.3. The client shall submit to the Participant/MFI a completed application form in the manner prescribed format for the purpose of placing an order with the Participant/MFI. 2.4. The client has read and understood the risks involved in investing in Mutual Fund Schemes. 2.5. The client shall be wholly responsible for all his investment decisions and instruction. 2.6. NSEIL/BSE, SEBI and AMFI. 2.7. The Client shall pay to the Participant/MFI fees and statutory levies as are prevailing from time to time and as they apply to the Client's account, transactions and to the services that Participant/MFI renders to the Client. 2.8. The client will furnish information to the Participant/MFI in writing, if any winding up petition or insolvency petition has been filed or any winding up or insolvency order or decree or award is passed against him or if any litigation which may have material bearing on his capacity has been filed against him. 2.9. In the event of non-performance of the obligation by the Participant/MFI, the client is not entitled to claim any compensation either from the Investor Protection Fund or from any fund of NSEIL/BSE or NSCCL/ Indian Clearing Corporation Ltd. (ICCL). 2.10. In case of any dispute between the Participants/MFIs and the investors arising out of the MFSS facility/ BSE STAR MF platform, NSEIL/BSE and / or NSCCL/ICCL agrees to extend the necessary support for the speedy redressal of the disputes.

Declaration:

I would need to keep sufficient balances in my linked Bank/DP accounts for the transaction to be processed. I have understood the terms and conditions attached herewith and agreed to the same. I understand Anmol Share Broking Private Limited will place my order on a best effort basis. Mutual Fund investments are subject to market risk, I have read the scheme related documents carefully before investing.

Thanking you,

________________

-

Please sign as per your signature in the bank

Please sign as per your signature in the bank

*

Acknowledgement To, Anmol Share Broking Pvt Ltd,

I/We hereby acknowledge that the following documents were received by me:

1. Rights and Obligations of Stock Brokers, Sub-brokers and Clients (Trading)2. Rights and Obligations of Beneficial owner and Depository Participant (DP)3. Risk Disclosure Document for Capital Market and Derivatives Segments4. Guidance Note - Do’s and Don’ts for Trading on the Exchange(s) for Investors5. Policies & Procedures of Anmol Share, pursuant to SEBI circular dtd December 03, 20096. Copy of Account Opening Form

I/We understand that the Voluntary documents executed by me/us are out my/our free will. I/We hereby confirm that I/We have clearly understood and agree to abide by the Policies and procedures as well as Terms and Conditions (containing Para 1 to 105) described by Anmol Share Broking Pvt Ltd (ASBPL).

I/We also understand and agree that these Policies and Procedures as well as Terms and Conditions can be changed by ASBPL from time to time with prior notice of 15 days and subject to posting of the amendments and modifications therein on its website and their applicability with prospective effect.

I/We aware that the login Id and password of my trading account will be sent on my email ID & alerts on Mobile no. furnished in KYC form and any changes thereof.

I am also interested and agree to receive updates/ information regarding the following products/ services:

Commodity Trading Mutual Funds Insurance – Life

Insurance – Medical Insurance – General(Assets/ Property/ Travel/

Fire/ Business etc)

Interest-bearing instruments like bonds/ debentures etc

Financial Planning Portfolio Management Investment Advisory

Real Estate

I also wish to refer the following people, whom you can contact for similar services to be provided: Name

Contact Number

Email ID


Name

Signature =========================================== (Please Tear Here) ==========================================

ACKNOWLEDGEMENT Form No:

Anmol Share Broking Private Limited. 4th Floor, Bhagavathy Towers, #52, 33rd Cross, Jayanagar 4th Block,

Bangalore-560 011 Tel.: (91) (80) 4046 3100 M/WhatsApp: +91-99804-11100 E-mail:

[email protected]/ [email protected]

We hereby acknowledge the receipt of the documents (including the Account Opening Form) from:

First Holder name Cheque Details Amount Chq No. Date

Second Holder Name Margin Cheque detail

Third Holder Name Initial Cheque detail

Employee Name and Signature

TH 7/7 18/18 SH 7/7

mailto:[email protected]:[email protected]

UCC Code allotted to client: _ FOR OFFICE USE ONLY Sr. No.

Branch

Sales (Sourcing) RM (Service)

Client Risk Profile High Medium Low

Amount Cheque No.

Bank Name Date

Branch & City

Cheque deposit Date

Margin Cheque

Initial Cheque

Self-Certified documents copies received

Declaration: “I hereby declare that I have met the client in person and verified the person with the photo provided in the Account opening form (in person verification) and have verified all the proofs with original (OSV). I am aware of Civil and Criminal liability that any devolve upon me (irrespective of whether I remain in employment or not) as per Law and Company policies, in the event of false declaration to this effect ” I/We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory Documents. I/We have also made the client aware of ‘Rights and Obligations’ document(s), RDD and Guidance Note. I/We Have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, Tariff sheet and all non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in sheet and all non-mandatory documents would be duly intimated to the clients. I/We undertake that any change in the ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the Clients.

Documents verified by Originals Client interviewed By

In Person Verification By

Employee name & code

Designation

Date & Signature

FINAL CHECKLIST

o Pre Confirmation Call(Before filling the from)

o Form Filling andStamping

o NSE - CM Upload o BSE - CM Upload

o NSE – FO Upload o CDSL Upload

o POA Linking o KYC- KRA Upload

o DIS Issued o Checker check

o Mailer & Message o Client confirmation andWelcome call

o RM introduction o Client Mapping

o Welcome Kit

Signature of Authorizer:____________________________________________

4th Floor, BhagavathyTowers, #52, 33rd Cross,

Jayanagar 4th Block,Bangalore-560 011

www.MyAnmol.com

B: +91 80 40463100

E: [email protected]

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