Aditya Birla Commodities Broking Limited - Login …emacs.adityabirlamoney.com/abm/circular/NSEL...

1

To be mandatorily filled by branches / Sub Brokers / Authorised Persons

Aditya Birla Commodities Broking Limited

Name of the Branch / SB / AP

Branch / SB / AP Code

Introducer Details:

TWS Terminal ID

Introducer (Please 3 Tick) Branch Franchisee - SB/AP DSA / CP

ABMML Others

Branch Employee Code

DSA / CP Code

ABMML Employee Code

ABMML Employee Name

Account Type : Trading & Demat

Only Trading

Only Demat

Account Mode (Please 3 Tick) Offline Online

Scheme (Please 3 Tick) Normal Empower Trader

Margin (above Rs. 50,000) Corporate Others

Internet A/c : Branch CnT Desk

I Decide : Branch CnT Desk

Verifiedby-AccountOpeningDepartment:

Name :

Signature :

2

Applicant Name /

First Holder

Father’s / Spouse Name

Gender : Male Female Marital Status : Married Single Date of Birth - -

Nationality Status : Resident Individual Non Resident Forign National

PAN:UniqueIdentificationNumber(UID)/Aadhaar,Ifany:

INDIVIDUAL CLIENT REGISTRATION APPLICATION FORM

CLEARING MEMBER (Spot Commodity Segment)

Aditya Birla Commodities Broking LimitedAddress : Ali Centre, 53, Greams Road, Chennai - 600 006.

THE NATIONAL SPOT EXCHANGE LIMITED No. 12590

Affixlatest

passport size

Photograph

(Please Sign accross

the Photograph)

APPLICANT / FIRST HOLDER (Name to be entered as it appears in PAN)

TRADING CODE

Account Type (Please 3 Tick) Offline Online

I request you to open a trading account in my name as per the following details :

Exchange : NSEL MarketSegment: SPOT

ADDRESS FOR COMMUNICATION

Flat / House No.

Bldg. / Society Name

Street No. / Name

Landmark ( if any )

Area / Locality

City / Town / Village Pincode

State Country

Tel. Number STD Code Residence Mobile

Aditya Birla Commodities Broking LimitedRegistered Office : Indian Rayon Compound, Veraval, Gujarat - 362 266.

Corporate Office : Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone : 044 – 3919 0002 / 03 Fax : 28290835

3

Bank Account No

Bank Name

Bank Branch Name

Bank Account Type

MICR Number IFSC Code

Bank Address

City Pincode(IncaseofMultipleBankAccountspleasefurnishdetailsasAnnexure)

BANK ACCOUNT DETAILS

INTRODUCER DETAILS (COMPLETE DETAILS TO BE FILLED)

Full name of Introducer’s Father / Husband

Address of Introducer : Flat / House No.


Landmark ( if any )

Area / Locality


State Country


STDCode Fax

Relationship of introducer with Member Client / Client Code

Employee of Broker Remisier Authorised Person

Sub Broker Others (Please Specify)

PAN of Introducer, if any

Identity details of Introducer Date of Issue - -

Place of Issue

Signature of Introducer

Introducer - Surname :

- Name :

- Middle Name :

x

4

For Branch Office Use only

Branch Name

Branch ID

Clientinterviewed&documentsverifiedby Authorisedby

Signature_____________________________________________ Signature_____________________________________________

Name________________________________________________ Name_______________________________________________

Employee Code_______________________________________ Employee Code_______________________________________

(Should be authorised only by Branch Manager / Branch Incharge / Authorised Person)

For Head Office Use only

Client Code

Date of Receipt________________________________________ Date of Enrollment______________________________________

Scrutinized by___________________________ ___________________________ ___________________________ Name Signature Employee Code

Entered by ___________________________ ___________________________ ___________________________ Name Signature Employee Code

Verifiedby____________________________________________________________________________________ Name Signature Employee Code

SalesTaxRegistrationDetails:(Ifapplicable)

LocalSalesTaxNo.: Dated - -

CentralSalesTax:Regn.No.: Dated - -

The information furnished above is true to the best of my knowledge and belief. I undertake to inform changes in any of the abovepointsinwritingimmediatelytotheExchange.IenterintoagreementtoabidebyallthetermsandconditionsoftheExchange.

Place

Date - - Signature of the applicant1

x

BENEFICIARY (DP) ACCOUNT DETAILS

DP NAME DP ID DP Account No. A/c type

Address

5

MEMBER - CLIENT AGREEMENT

This agreement is made at Chennai this____________day of_____________

by and between, Aditya Birla Commodities Broking Limited a company duly

formed and registered under the Companies Act, 1956 hereinafter called

MEMBEROFTHEEXCHANGE,havingitsregisteredofficeaddressatIndian

Rayon Compound, Veraval, Gujarat – 362 266 and________________________

__________________________________________acompany/firm/individualor

any other body duly formed and registered under the Relevant Act, hereinafter

calledCLIENT,havingitsregisteredofficeaddressat_______________________

______________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

Witnessth:

Whereas the member is registered as MEMBER OF THE NATIONAL SPOT EXCHANGE LIMITED (hereinafter called (NSEL).

Whereas the CLIENT is desirous of trading in those contracts admitted for dealingon NSELasdefined in theBye -Laws,RulesandBusinessRulesof NSEL.

WhereastheCLIENThassatisfiedhimselfofthecapabilityoftheMEMBEROFTHE EXCHANGE to deal in those contracts admitted for dealing on the NSEL andwishestoexecutehisordersthroughhimandtheCLIENTshallcontinueto satisfy him of such capability of the MEMBER OF THE EXCHANGE before executinganyordersthroughhim.

WhereastheMEMBEROFTHEEXCHANGEhassatisfiedandshallcontinuouslysatisfyhimselfaboutthegenuinenessandfinancialsoundnessoftheCLIENTand trading objectives relevant to the services to be provided.

Whereas the MEMBER OF THE EXCHANGE has taken steps and shall take steps to make the CLIENT aware of the precise nature of the MEMBER liability for business to be conducted, including any limitations on that liability and the capacity in which it acts.

In consideration of handling transactions carried out on the NSEL, THE CLIENT understands the following risks disclosed by the Member and states as follows:

A. I / We understand that the spot trading involves daily settlement. Every day the net outstanding position (whether purchase or sale) at the end of the day shall result into compulsory delivery. I/We shall ensure that thecommoditiesareasperthecontractspecificationsoftheExchangeandwithintolerancelimitssetoutinthecontractspecificationandsuchcommoditiesaredeliveredatthedesignatedwarehouseoftheExchangebefore thescheduledpay-in timefixedby theExchange. I/We furtherunderstand that in caseof failureonmypart todeliver the specifiedcommodityatthespecifieddeliverycenterwithinthespecifiedtimesetbytheExchange,suchcommoditiesshallbeprocuredbytheExchangethrough auction procedure at my cost and risk. I / we shall be liable to

make good of such losses that may be recovered from the members by theExchangeonmyaccount.

B. I / We understand that in case of my liability of funds pay-in position, I shall ensure transfer of funds to the members account well before the schedule pay-in time to enable the member to meet his funds pay-in obligation on my account. I/We further understand that in case of failure on my/our part to pay/transfer funds before the scheduled pay-in date, the commodities purchased by the member on my account may be auctionedbytheExchange/soldbytheMemberatmycostandrisk.I/We shall be liable to make good of such losses that may be recovered from/suffered by the members on my account.

C. I/Weherebyauthorizethemembertoexecuteallmywritten/verbalorderforpurchaseandsaleofcommoditiesandcomplywiththeSalesTax/VAT/ CST related liabilities on my behalf. I / we irrevocably authorize themembertorecoveralltheduesfrommyaccountagainstsalestaxandotherliabilitiesthatmayariseinthecourseofexecutingmyordersontheExchangeplatform.Ifurtherundertakethatthemembershallbeauthorized to take all actions for compliance with the VAT regulations.

D. I / We understand that my purchase and sales positions shall be marked to market at and of the day of transaction based on the closing price of commodities. I / We shall be required to deposit the amount of loss (notional) resulting from such closing price (if any). This margin will have to be paid within a stipulated time frame, generally before commencement oftradingnextday.

E. If I / we fail to deposit the additional margin by the deadline or if an outstandingdebtoccursinmyaccount,theMemberoftheExchangemay liquidate a part of or the whole position or substitute commodities. In this case, I / we shall be liable for any losses incurred due to such close outs.

F. Myorderforpurchaseorsaleofanycommoditymaynotbeexecutedwhenthereareinsufficientbidsoroffersorsuspensionoftradingduetoprice limit or circuit breakers etc.

G. Inordertomaintainmarketstability,theExchangemaychangethemarginrate, increases in the cash margin rate or others. These new measures maybeappliedtotheexistingoutstandingposition,whichareyettobesettled. In such conditions, I / We shall be required to put up additional margins against my positions.

H. I/WeshallaskmyMemberoftheExchangetoprovidethefulldetailsofthespotcontractsbeforeI/WEplantotradei.e.thecontractspecificationsand the associated obligations.

I. Beforetrade,I/Weshallobtainaclearexplanationofallcommission,fees and other charges for which I / We will be liable.

J. TheExchangeofferselectronic trading facilities,whicharecomputer-based systems for order-routing, execution,matching, registrationorclearing of trades. As with all facilities and systems, they are vulnerable totemporarydisruptionorfailure.Theexecutionofmyordersshallbesubject to limits on liability imposed by the system provider, the market, theClearingHouseand/orMemberoftheExchange.

2

x

For Aditya Birla Commodities Broking Limited

Authorised SignatoryMEMBER

Signed on behalf of the Member : Client :

6

In view of the above, I / WE agree that

1) I / WE am aware of the risks stated above and understand the trading & risksinvolvedinthetradingthroughtheElectronicspotExchangeandamfullyresponsibleformydealingsinthisExchangeplatform.

2) I / WE shall be bound by the Bye-Laws, Rules, Business Rules, and Customs of the NATIONAL SPOT EXCHANGE LIMITED and the Clearing HouseoftheExchange.

3) I / WE shall deposit monies, Warehouse Receipts or other property, which may be required to open and carry out the transactions in my account with you as my agent at the capacity of the Member of NSEL and I / WE being your client.

4) I / WE shall not, acting alone or in concert with others, directly or indirectly, holdandcontrolorcreateexcesspositionthanwhatispermittedfromtimetotimebytheExchangeoranyotherauthority.

5) All monies, Warehouse Receipts or other property, which you may hold on my account, shall be held subject to a general lien for the discharge of my obligations to you under this agreement.

6) I / WE hereby authorize you at your discretion, should you deem it necessary for your protection to buy, sell or close out any part or all of the contracts held in my account with you. I / WE will reimburse any or allsuchincidentalexpensesincurredbyyou.

Now, THEREFORE, in consideration of the mutual understanding as set forth

xFor Aditya Birla Commodities Broking Limited


Note:Allreferencestothespecificquantity/rate/feementionedinthisagreementaresubjecttochangefromtimetotime,assoagreedtoinwritingbetweenthe parties.

InWITNESSTHEREOF,thepartiestoagreementhavecausedthesepresentstobeexecutedasofthedayandyearfirstabovewritten.


Signature

Name

3

Witness (1)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Witness (2)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

in this agreement, the parties thereto have agreed to the terms and conditions, as follows:

1. The agreement entered into between the Member and the CLIENT shall stand terminated by mutual consent of the parties by giving at least one-month notice to each other. Such termination shall not have any effect onthetransactionsexecutedbeforethedateofnoticeofterminationandthe parties shall enjoy same rights and shall have same obligations in respect of such transactions.

2. In the event of the death or insolvency of the CLIENT or his otherwise becoming incapable of receiving and paying for or delivering or transferring Commodities which the CLIENT has ordered to be bought orsold,theMembermaywiththeapprovaloftheExchange,closeoutthe transaction of the CLIENT and the CLIENT or his legal representative shall be liable for any losses, costs and be entitled to any surplus which may result there from.

3. All trades, transactions and contracts are subject to the Rules, Bye Laws andBusinessRulesof theExchangeandshallbedeemedtobeandshall take effect as wholly made, entered into and to be performed in the city of MUMBAI for the purpose of giving effect to the provisions of the Rules,Bye-LawsandBusinessRulesoftheExchange.

74

x

For Aditya Birla Commodities Broking Limited


WHEREAS:

The Client is a client/constituent of the Member, and the Member and the Client have entered into a Member-Client Agreement in accordance with the modelagreementprescribedbyNationalSpotExchangeLimited(“theMainMember-Client Agreement”);

The Member offers and/or proposes to offer Internet Trading Services (ITS) to its clients; and the Client desires to avail of the Member’s ITS for purchasing, selling or otherwise dealing in commodities;

The Member and the Client desire to enter into this Supplemental Agreement to the Main Member-Client Agreement in order to record the agreement between them relating to the Member’s ITS to be availed of by the Client.

The member and the client agree as follows:

Definitions:

InthisAgreement(includingtheRecitalsabove),unlessthecontextotherwiserequires the following words shall have the following meanings:

“theExchange”meanstheNationalSpotExchangeLimitedandincludesallthesegmentsoftheExchange.

“ExchangeProvisions”means theRules,Bye-laws,Regulations,BusinessRequirement,Specifications, handbooks, notices, circulars and resolutionsoftheExchangeoranysegmentoftheExchangeinforcefromtimetotimeand includes the Minimum Requirements Handbook for ITS prescribed by the Exchange,asamendedfromtimetotime.

“ITS”meansInternetbasedTradingThroughOrderRoutingSystem,beingasystemapprovedbytheExchangeforenablingclientstoroutetheirorderstotheir Member/s over the internet.

“ITSAccountApplication”meanstheapplicationsubmittedbytheClienttotheMember to permit the Client to avail of the Member’s ITS.

“Service”meanstheserviceofferedbytheMembertoitsclientsthroughITSwhereunder the clients can route their orders for purchase, sale and other dealings in commodities through the Member’s ITS System.

“Member’sITSWebsite”meansthewebsitehostedbytheMemberontheinternet through which the Member offers the ITS and includes the hardware and software used for hosting and supporting the Website.

“Password”meansanalphanumericcodeusedbytheClienttovalidatehis/her username and access the Service.

“NSEL”or“Exchange”meanstheNationalSpotExchangeofIndiaLimited.

“Username”meansanalphanumericloginidentificationusedbytheClientforaccessing the Service.

In this Agreement, headings are used for convenience and ease of reference only and shall not affect the construction or interpretation of any provision of this Agreement.

In thisAgreement, unless the context otherwise requires, reference to thesingular includes a reference to the plural and vice-versa, and reference to any gender includes a reference to all other genders.

InthisAgreement,unlessthecontextotherwiserequires,referencestoRecitalsand Clauses shall be deemed to be a reference to the recitals and clauses of this Agreement.

References to any enactment are to be construed as referring also to any

amendment or re-enactment thereof and to any rule, bye-law, regulation, businessrequirement,specification,orderorotherprovisionmadeunderit.

AGREEMENT TO PROVIDE AND AVAIL OF THE ITS:

The Member agrees to provide the Member’s ITS to the Client, and the Client agrees to avail of the Member’s ITS, on and subject to the terms and conditions ofthisAgreement,theExchangeProvisionsandthetermsoftheMember’sITS Web Site.

USER NAME AND PASSWORD:

The Client will be entitled to a username and password, which will enable him to access the Member’s ITS for availing of the Service.

The Client is aware that the Member’s ITS System itself generates the initial password and that the Member is aware of the same. The Client agrees and undertakes to immediately change his initial password upon receipt thereof. The Client is aware that subsequent passwords are not known or available to the Member.

The Client shall be responsible for keeping the Username and Password confidentialandsecureandshallbesolelyresponsibleforallordersenteredand transactions done by any person whosoever through the Member’s ITS System using the Client’s Username and/or Password whether or not such person was authorised to do so.

The client is also aware that authentication technologies and strict security measures are required for the internet trading through order routed system and undertakes to ensure that the password of the client and/or his authorised representative are not revealed to any third party.

The Client shall immediately inform the Member of any unauthorised use of the Client’s Username or Password with full details of such unauthorised use including the date of such unauthorised use, the manner in which it was unauthorisedly used, the transactions effected pursuant to such unauthorised use, etc.

The Client acknowledges that he is fully aware of and understands the risks associated with availing of a service for routing orders over the internet including the risk of misuse and unauthorised use of his Username and/or Password by a third party and the risk of a person hacking into the Client’s account on the Member’s ITS System and unauthorisedly routing orders on behalf of the Client through the System. The Client agrees that he shall be fully liable and responsible for any and all unauthorised use and misuse of his Password and/or Username and also for any and all acts done by any person through the Member’s ITS System on the Client’s Username in any manner whatsoever.

The Client shall log off from the ITS Service at any time the Client is not accessing or using the Service and any liability incurred to the Client as a consequence of the Client not logging off the Service shall borne solely by the Client.

Without prejudice to the provisions of Clause 3.5, the Client shall immediately notify the Member in writing with full details if :

he discovers or suspects unauthorised access through his Username, Password or account,

he notices discrepancies that might be attributable to unauthorised access,

he forgets his password or

hediscoversasecurityflawintheMember’sITSSystem.

CLAUSES PERTAINING TO INTERNET TRADING


8

InanyoftheaboveeventsspecifiedinClause3.7,theClientshallimmediately

change his Password. However, if the Client is unable to change his Password

by reason of his having forgotten his Password or his Password having been

unauthorisedly changed by some other person or for any other reason then the

Client shall immediately request the Member in writing to discontinue his old

Password; and thereupon the Member shall cause the Member’s ITS System to

discontinue the use of the Client’s old Password and the Member’s ITS System

shall generate a new Password for the Client which shall be communicated to

the Client. At no point in time shall the Member be liable for any loss, whether

notional or actual, that may be suffered by the Client on account of the misuse

of the Password.

TRANSACTIONS AND SETTLEMENTS:

All orders for purchase, sale or other dealings in commodities and other

instructions routed through the Member’s ITS System via the Client’s Username

shall be deemed to have been given by the Client.

The orders and instructions and all contracts and transactions entered into

pursuant thereto and the settlement thereof will be in accordance with the

ExchangeProvisions.

The Member may from time to time impose and vary limits on the orders which

theClientcanplacethroughtheMember’sITSSystem(includingexposure

limits, turnover limits, limits as to the number, value and/or kind of commodities

in respect of which orders can be placedetc.). The Client is aware and agrees

that the Member may need to vary or reduce the limits or impose new limits

urgently on the basis of the Member’s risk perception and other factors

considered relevant by the Member, and the Member may be unable to inform

the Client of such variation, reduction or imposition in advance. The Client

agrees that the Member shall not be responsible for such variation, reduction

or imposition or the Client’s inability to route any order through the Member’s

ITS System on account of any such variation, reduction or imposition of limits.

The Client understands and agrees that the Member may at any time, at its

sole discretion and without prior notice, prohibit or restrict the Client’s ability

to place orders or trade in commodities through the Member.

ThoughorderswillgenerallyberoutedtotheExchange’scomputersystems

within a few seconds from the time the order is placed by the Client on the

Member’s ITS System, the Member shall not be liable for any delay in the

executionofanyorderorforanyresultantlossonaccountofthedelay.

The Client agrees that the Member may, at its sole discretion, subject any

order placed by a Client to manual review and entry, which may cause delays

in the processing of the Client’s order or may result in rejection of such order.

In case of a market order, the Client agrees that he will receive the price at

whichhisorderisexecutedbytheexchange’scomputersystem;andsuch

price may be different from the price at which the security is trading when his

order is entered into the Member’s ITS System.

The client agrees that the Member shall not be liable or responsible for non-

executionoftheordersoftheclientduetoanylink/systemfailureattheclient

/Member/Exchangeend.

MARGIN:

The Client agrees and undertakes to immediately deposit with the Member

such cash, commodities, or other acceptable security, which the Member may

require as margin. The Client agrees that the Member shall be entitled to require

the Client to deposit with the Member a higher margin than that prescribed by

theExchange.TheMembershallalsobeentitledtorequiretheClienttokeep

permanentlywiththeMemberamarginofavaluespecifiedbytheMemberso

long as the Client desires to avail of the Member’s ITS Service.

CANCELLATION REQUESTS

When the Client places a request to cancel an order, the cancellation of that

order is not guaranteed. The order will only be cancelled if the Client’s request

for cancellation is received and the order is successfully cancelled before it

isexecuted.

TheClientshallnotbeentitledtopresumeanorderashavingbeenexecuted

orcancelleduntilaconfirmationfromtheMemberisreceivedbytheClient.

TheExchangemayanullatradesuo-motowithoutgivingareasontherefor.In

the event of such anullment, the Member shall be entitled to cancel the relative

contract(s) with the Client.

BROKERAGE, COMMISSIONS, CHARGES AND FEES

The Client agrees to pay the Member brokerage, commission, fees, service

taxandothertaxesandtransactionexpensesastheyexistfromtimetotime

and as they apply to the Client’s account and transactions, and the services

that he receives from the Member.

In case of Physical Contact note are being dispatched to client in a given

segmentofagivenExchange,asumofRs.25/-percontractnotepersegment

perexchangewillbechargedoverandabovethetotalbrokeragebookedon

a particular date as minimum processing fee.

Incasethetotalbrokerageearnedpersegmentperexchangeisnotexceeding

Rs.50/- thenasumofRs.50/-willbechargedpersegmentperexchange

towards minimum processing fee.

CONFIRMATIONS

OnlineconfirmationwillbeavailabletotheClientuponexecutionorcancellation

of an order placed by him through the Member’s ITS System. This shall be

followedbyaconfirmation,whichmaybesentbypostalmail,electronicmail

or other electronic means. It is the responsibility of the Client to review upon

firstreceipt,whetherdeliveredtohimonline,bypostalmail,byelectronicmail,

orotherelectronicmeans,allconfirmationsoftransactionsorcancellations.

TheMembershallalsosendthetradeconfirmationsinaconsolidatedmanner

through E-mail to the client at his request, within 24 hours from the time of

executionoforder/tradeontheExchangesystem,asthecasemaybe.The

client agrees that the information sent by Member by E-mail is deemed to be

a valid delivery of such information by the Member.

The client is aware that the Member has provided on the web site a facility for

reconfirmationoforders,whicharelargerthanthatspecifiedbytheMember’s

risk management, by the Member and is also aware that the Member has the

discretiontorejecttheexecutionofsuchordersbasedonhisriskperception.

INVESTMENT ADVICE

The Client acknowledges that the Member shall not be liable to provide him

withanylegal,tax,investmentoraccountingadviceoradviceregardingthe

suitabilityorprofitabilityofasecurityorinvestment.

The Client also acknowledges that the Member’s employees are not authorized

to give any such advice and that the Client will not solicit or rely upon any such

advice from the Member or any of its employees.

TheClientagreesthatintheeventoftheMemberoranyemployeeorofficial

of the Member providing any information, recommendation or advice to the

Client, the Client may act upon the same at the sole risk and cost of the Client,

and the Member shall not be liable or responsible for the same.

The Client assumes full responsibility with respect to his investment decisions

and transactions.

TheMember,itsofficers,directors,partners,employees,agentsandaffiliates

9

will have no liability with respect to any investment decisions or transactions

of the Client.

SUPPLEMENTAL TO MAIN MEMBER - CLIENT AGREEMENT:

This Agreement is supplemental to, and does not supersede, the Main Member-

ClientAgreement.Saveandexceptasmodifiedexpresslyorby implication

bythisAgreementtheExchangeProvisionsorthetermsoftheMember’sITS

Website, the provisions of the Main Member-Client Agreement shall apply

mutatismutandis to theextentapplicable todealingsbetweentheMember

and the Client pursuant to or otherwise relating to the Member’s ITS Service.

REPRESENTATIONS AND WARRANTIES OF CLIENT

The Client represents and warrants to the Member that:

All the information provided and statements made in the Client’s ITS Account

Application are true and correct and are not misleading (whether by reason of

omission to state a material fact or otherwise) and the Client is aware that the

Member has agreed to provide the Member’s ITS Service to the Client on the

basis, inter alia, of the statements made in the Client’s ITS Account Application.

The Client is aware and acknowledges that trading over the internet

involvesmanyuncertain factorsandcomplexhardware,software,systems,

communication lines, peripherals, etc. which are susceptible to interruptions

and dislocations; and the Member’s ITS Service may at any time be unavailable

without further notice. TheMember and theExchange do notmake any

representation or warranty that the Member’s ITS Service will be available to

the Client at all times without any interruption. The Client agrees that he shall

nothaveanyclaimagainsttheExchangeortheMemberonaccountofany

suspension, interruption, non-availability or malfunctioning of the Member’s

ITSSystemorServiceortheExchange’sserviceorsystemsforanyreason

whatsoever.

The Client has the required legal capacity to, and is authorised to, enter into

this Agreement and is capable of performing his obligations and undertakings

hereunder.

All actions required to be taken to ensure compliance of all the transactions,

which the Client may enter into pursuant to this Agreement with all applicable

laws, shall be completed by the Client prior to such transaction being entered

into.

TheClient shall abide by theExchangeProvisions and the terms of the

Member’s ITS Website in force from time to time.

Any instructions given by an authorised representative of the Client to the

Member (or to the Member’s representative) shall be binding on the Client.

REPRESENTATIONS AND WARRANTIES OF THE MEMBER:

The Member represents and warrants to the Client that: -

TheMember’sITSSystemhasbeenapprovedbytheExchange.Wherethe

ITSSystemhasnotbeenapprovedbytheExchange,theMemberhasapplied/

proposestoapplytotheExchangetoapprovethesaidITSSystemandthe

MemberwillcommencetheMember’sITSServiceonlyaftertheExchangehas

approved the Member’s ITS System.

MARKET DATA

TheClientunderstandsthattheExchangeassertsaproprietaryinterestinall

of the market data it furnishes, directly or through the Member or otherwise.

TheClientunderstandsthattheExchangedoesnotguaranteethetimeliness,

sequence, accuracy or completeness of market data or any other market

information, or any messages disseminated by it. Neither the Member nor the

Exchangeshallbeliableinanywayforincorrect,misleading,incompleteor

dated data or information and, if the Client acts on the basis of the same, he

shall do so at his own risk and cost.

TheClientshallnotfurnishmarketinformationprovidedbytheExchangeto

any other person or entity for consideration or otherwise and in the event the

Client uses such information he shall do so at his own risk and cost.

NOTICES

Any notice or other communication to be given by any party to the other in

connection with this Agreement shall be in writing and shall be deemed duly

served if delivered personally or sent by facsimile transmission or by prepaid

registered post or by e-mail to the addressee at the address or (as the case

may be), the e-mail or facsimile number (if any), of that party set opposite its

name below:

To the Member at:

Aditya Birla Commodities Broking Limited‘Ali Centre’, 53, Greams Road, Chennai - 600 006.Fax:044.-28290835E-mail: [email protected]

or at such other address, facsimile number or e-mail address as the party to

beservedmayhavenotifiedtheother inaccordancewiththeprovisionsof

this Clause.

The Client is entitled to send a notice or other communication(s) through

email provided the notice originates from the e-mail ID furnished by him in the

individual client registration application form or through any other mode as

specifiedbytheMemberfromtimetotime.Noticeorothercommunication(s)

sent by the Client from unregistered e-mail addresses shall not be entertained.

To the Client at the address, facsimile number and the e-mail address furnished

by the Client in the application form or at such other address, facsimile number

ore-mailaddressas theparty tobeservedmayhavenotified theother in

accordance with the provisions of this clause.

Notwithstanding anything stated above, communication relating to orders,

margins, maintenance calls and other similar matters in the ordinary course

of dealings between the Member and the Client may be communicated orally.

EXTRAORDINARY EVENTS

The Member and/or its agents will not be liable for losses caused directly or

indirectlybygovernmentrestriction,Exchangeormarketrulings,suspension

of trading, computer, communication, telephone or system failure, war,

earthquakes,flood,accident,powerfailure,equipmentorsoftwaremalfunction,

strikes or any other conditions beyond the Member’s control.

AMENDMENT TO AGREEMENT

The Client understands and agrees that the Member may discontinue his ITS

Service in part or in its entirety and change the terms of the Service (including

the terms on the Member’s ITS Website) at any time and from time to time,

without prior notice.

TERMINATION OF AGREEMENT:

The Client agrees that the Member may at any time terminate this Agreement.

The Client is aware and accepts that in view of the nature of the transactions

and dealings involved in providing the Service it may not be possible for the

Member to give advance notice of such termination or suspension to the Client.

The Client may at any time terminate this Agreement by not less than seven days

notice to the Member, provided that unless the Member otherwise permits, the

Client shall not be entitled to terminate this Agreement so long as any amount

is payable or commodities are deliverable by the Client to the Member.

The termination of this Agreement shall not affect any rights or obligations of

either party which have accrued prior to the termination or which may arise out

of or in connection with acts done or omitted prior to the termination.

10



Note:Allreferencestothespecificquantity/rate/feementionedinthisagreementaresubjecttochangefromtimetotime,assoagreedtoinwritingbetweenthe parties.


Signature

Name

5

The provisions of Clauses 14, 20 and 21 of this Agreement shall survive the

termination of this Agreement.

SEVERABILITY

In the event of any provisions of this Agreement being held to be or becoming

invalid, unenforceable or illegal for any reason, this Agreement shall remain

otherwise in full force apart from the said provision, which will be deemed

deleted. The parties shall however attempt to replace the deleted provision with

alegallyvalidprovisionthatreflectsthesamepurposeasthedeletedprovision

tothegreatestextentpossible.

WAIVER

Noforbearance,relaxationorinactionbyanypartyatanytimetorequirethe

performance of any provision of this Agreement shall in any way affect, diminish,

or prejudice the right of such party to require the performance of that or any

other provision of this Agreement or be considered to be a waiver of any right,

unlessspecificallyagreedinwriting.

LAW AND JURISDICTION

This Agreement shall be governed by and construed in all respects in

By ___________________________________________________

______________________________________________________

Name_________________________________________________

Title _____________________

Witness (1)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Witness (2)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

accordance with the laws of the Republic of India and, the courts at Mumbai,

India shall have jurisdiction over this Agreement and the arbitration proceedings

in relation to the Agreement.

This Agreement and all contracts and transactions between the Member and

the Client pursuant hereto shall be subject to the Rules, Bye-Laws, Regulations,

Circulars,GuidelinesandotherprovisionsoftheExchange,andtherulesand

regulations made thereunder and as amended from time to time.

DISPUTE RESOLUTION

Any claim, dispute or difference arising between the Parties hereto in respect

of this Agreement or any contracts, dealings or transactions pursuant hereto

or any rights, obligations, terms or conditions as contained in this Agreement

or the interpretation or construction of this Agreement shall be subject to the

grievanceredressalprocedureof theExchangeandshallbesubject to the

arbitrationprocedureasprescribedbytheExchangeProvisions.

The Member and the Client are aware of the provisions of Bye-Laws, Rules

andregulationsoftheExchangerelatingtoresolutionofdisputes/differences

throughthemechanismofarbitrationprovidedbytheExchangeandagreeto

abide by the said provisions.

11

Whereas the Member and Client have entered into an Member -Client Agreement –inaccordancewithmodelagreementprescribedbyNationalSpotExchangeLimited(hereinafterreferredtoas“Exchange”).

For the purpose of taking additional services from the Member and in order to defineoperatingtermsandconditions,theMemberandclienthaveagreedtothe following clauses which are in addition to then clauses contained in the main agreement.

The client had read, understood, agreed and accepted the following clauses and as such the following clauses shall be read / treated as part and parcel of the main agreement. Any changes to these additional clauses are also binding on the client.

Whereas the Client is desirous of investing / trading in those commodities admitted fordealingonvarioussegmentsoftheExchangeandasdefinedintheRules,RegulationsandByeLawsof theExchangeandcirculars issued thereunderfrom time to time and

WhereastheClienthassatisfiedhimself/herselfofthecapabilityoftheMembertodealintheabovementionedcommoditiesandwishestoexecutehis/herordersthrough the Member and the Client shall continue to satisfy himself / herself of suchcapabilityoftheMemberbeforeexecutinganyorderthroughtheMember.

In this Agreement:

Headings are used for convenience and ease of reference only and shall not affect the construction or interpretation of any provision of this Agreement.

Unless the context otherwise requires, reference to the singular includes areference to the plural and vice-versa, and reference to any gender includes a reference to all other genders (masculine and feminine).

Unlessthecontextotherwiserequires,referencestorecitalsandclausesshallbedeemed to be a reference to the recitals and clauses of this Agreement.

References to any enactment are to be construed as referring to any amendment or re-enactment thereof and to any rule, byelaw, regulation, business requirement, specification,orderorotherprovisionmadeunderit.

Agent

The Member is acting as an agent of the Client for all purposes unless the Member notifiestheClientelectronicallyorinwritingthattheMemberisactingotherwise.

TWS & ITS:

TheMemberhasentered intoanagreementwith theExchangewhereby theExchangehaveagreedtoprovideComputertoComputerLink(hereinafterreferredto as TWS facility) and Internet based Trading System (hereinafter referred to as ‘ITSfacility’)whichfacilitatesorderentry,receiptoforderandtradeconfirmationand also for receipt of data relating to its trade quotations.

TheExchangehavealsoauthorisedtheMembertodevelopsoftwareforaccessingboth the TWS & ITS.

All the trades of the Client will be routed and processed either through the said TWS or ITS.

In case of non -availability of TWS facility, the Member shall at its discretion place orderontheExchangeterminals.Incaseofnon–availabilityofITSfacility,clientsmay alternatively place orders through the TWS facility available at branches to which they are mapped and / or through the Call and Trade facility, which may be made available by the Member. The Client has the choice of placing order through ITS or TWS.

Whereas the Member has also launched its website under the name and style of ‘www.adityabirlamoney.com’ through which a client can gain access to the Member’s Internet Trading System. The name of the website and trading URL are subject to changes and the client will be intimated about the change either through the website and / or through e-mail.Whereas the Member offers and / or proposes to offer the internet trading services to its clients; and the client desires to avail of the Member’s Internet service for purchasing, selling or otherwise dealing incommoditiess.User ID & Password (s):The following clauses apply to Clients availing the Member’s ITS.TheClientwillbeentitledtoauseridentification-numberandpassword(s),whichwill enable him to access the Member’s ITS for availing the service.The Client is hereby informed that the Member’s ITS itself generates the initial password. The Client agrees and undertakes to immediately change his initial password upon receipt thereof. The Client is aware that subsequent passwords are not known or available to the Member. The Client is also aware that the password willautomaticallyexpireonceinspecifiedperiod,whichatpresentisfifteendaysandtheClientshallendeavourtochangethepasswordwithinexpiryofthesame.

TheClientshallberesponsibleforkeepingtheuseridentificationnumberandpasswordconfidentialandsecureandshallbesolelyresponsibleforallordersentered and transactions done by any person whosoever through the Member’s

ITS using the Client’s username, user number and password whether or not such person was authorised to do so.

The Client shall immediately inform the Member of any unauthorized use of the Client’s username or password(s) with full details of such unauthorised use including the date of such unauthorised use, the manner in which it was unauthorisedly used, the transactions effected pursuant to such unauthorised use etc.

The Client acknowledges that he is fully aware of and understands the risks associated with availing of a service for routing orders over the Internet including the risk of misuse and unauthorised use of his username user number and / or password (s) by a third party and the risk of a person hacking into the Client’s account on the Member’s ITS and unauthorisedly routing orders on behalf of the Client through the Member’s ITS. The Client agrees that he shall be fully liable and responsible for any and all unauthorised use and misuse of his username, user number, password and also for any and all acts done by any person through the Member’s ITS on the Client’s username in any manner whatsoever.

The Client shall log off from the Member’s ITS at any time the Client is not accessing or using the service and any liability incurred to the Client as a consequence of the Client not logging off the Service shall borne solely by the Client.

Without prejudice to the provisions contained in the foregoing clauses sub-clauses, the Client shall immediately notify the Member in writing with full details if:

he discovers or suspects unauthorised access through his Username, Password(s) or account,

he notices discrepancies that might be attributable to unauthorized access.

he forgets his password(s) or

hediscoversasecurityflawintheMember’sITSSystem.

Inanyoftheaboveeventsspecifiedintheaforementionedclauses,theClientshall immediately change his password(s). However, if the Client is unable to change his password by reason of his having forgotten his password(s) or his password having been unauthorisedly changed by some other person or for any other reason, then the Client shall immediately request the Member in writing to discontinue his old password(s) and thereupon the Member shall cause the Member’s ITS to discontinue the use of the Client’s old password and the Member’s ITS shall generate a new password for the Client, which shall be communicated to the Client. At no point in time, shall the Member be liable, for any loss, whether notional or actual that may be suffered by the Client on account of the misuse of the password(s).

In the case of Member’s ITS, though orders will generally be routed to the Exchange’scomputersystemswithinafewsecondsfromthetimetheorderisplaced by the Client on the Member’s ITS, the Member shall not be liable for any delayintheexecutionofanyorderorforanyresultantlossonaccountofthedelay.

The Client also understands that with respect to any order (including a market order),theClientwillreceivethepriceatwhichtheorderwasexecutedatthemarket place which may be different from the price at which the commodities were trading, when the order of the Client was entered into the Client’s system / the Member’s system / through the Members’ ITS.

All orders for purchase, sale or other dealings in commodities and other instructions routed through the Member’s ITS via the Client’s username shall be deemed to have been given by the Client.

In the case of orders placed through the Member’s ITS, Client is aware that the Memberhasprovidedonthewebsiteafacilityforreconfirmationoforders,whicharelargerthanthatspecifiedbytheMember’sriskmanagement,bytheMemberandisalsoawarethattheMemberhasthediscretiontorejecttheexecutionofsuch orders based on its risk perception.

The Member may from time to time impose and vary limits on the orders which theClientcanplacethroughtheMember’sITS(includingexposurelimits,turnoverlimits, limits as to the number, value and/or kind of (–Commodities in respect of which orders can be placed, etc.). The Client agrees to abide by the aforesaid limitsandbytheexposurelimits,ifany,setbytheMemberorbytheExchangefrom time to time.

The Client is aware and agrees that the Member may need to vary or reduce the limits or impose new limits urgently on the basis of the Member’s risk perception and other factors considered relevant by the Member, and the Member may be unable to inform the Client of such variation, reduction or imposition in advance. The Client agrees that the Member shall not be responsible for such variation, reduction or imposition or the Client’s inability to route any order through the Member’s ITS on account of any such variation, reduction or imposition of limits.

Cancellation / Modification of Orders & Confirmation of orders:

When the Client places a request to cancel / modify an order already placed, such cancellationormodificationofanorderisnotguaranteed.TheClient’sorderwillbecancelled/modified,onlyiftherequestforcancellationormodificationofthe

VOLUNTARY CLAUSES

12

orderisreceivedinthemarketplacebeforetheClient’sorderisexecuted.Inthecase of orders through the Member’s ITS, the Client’s order will be cancelled/modifiedonlyiftherequestforcancellationormodificationoftheorderisreceivedintheMember’sITSbeforetheClient’sorderisexecuted.TheClientshallnotassumethatanorderhasbeenexecutedorcancelleduntiltheMembersendsaconfirmationtotheClientthroughphone,postoremail.

OnlineconfirmationwillbeavailabletotheClientuponexecutionorcancellationof an order placed by him through the Member’s ITS. This shall be followed by a confirmation,whichmaybesentbypostalmail,electronicmailorotherelectronicmeans.ItistheresponsibilityoftheClienttoreviewuponfirstreceiptwhetherdelivered to him online, by postal mail, by electronic mail or other electronic means,allconfirmationsoftransactionsorcancellations.

The Client is aware and acknowledges that trading over the TWS / ITS, involves manyuncertainfactorsandcomplexhardware,software,systems,communicationlines, peripherals etc., which are susceptible to interruptions and dislocations; and the Member’s TWS / ITS may at any time be unavailable without further notice. The MemberandtheExchangedonotmakeanyrepresentationorwarrantythattheMember’s service will be available to the Client at all times without any interruption. TheClient agrees that he shall not haveany claimagainst theExchangeorthe Member on account of any suspension, interruption, non-availability or malfunctioningoftheMember’sTWS/ITSorserviceortheExchangeserviceorsystems for any reason whatsoever.

Transactions, Execution of Orders:

“Transaction”forthepurposeofthisclausewillincludedealingsin,purchaseorsale or order for purchase or sale of commodities.

The Client agrees that the Member acts as an agent of the Client to complete all Transactions given orally or in writing by the Client or placed through the Internet bytheClientandisauthorisedtomakeadvancesandexpendmoniesasrequiredfor carrying out such transaction.

TheClient understands that enteringanorder on theExchange through theMember including market orders either electronically or other wise does not guaranteeexecutionof theorder.TheClient’sorder transmittedelectronicallyshallnotbedeemed tohavebeen receivedunless theMemberconfirms thereceipt of such order.

Though orders are usually routed through the market places at the earliest, the Client agrees that the Member may, at its sole discretion, subject any order placed by a Client to manual review and entry, which may cause delays in the processing of the Client’s order or may result in rejection of such order.

The Client understands and agrees that the Member may at any time, at its sole discretion and without prior notice, prohibit or restrict the Client’s ability to place orders or trade in commodities through the Member.

TradeandMarginConfirmation

TheMembermaysendtradeconfirmationstotheclient,intheformofcontractnote-cum-bill or otherwise viamail, e-mail, fax, courier, RegisteredAD, oralcommunications / SMS or otherwise at the postal address, mobile / telephone / faxnos.,e-mailaddressintimatedbytheclienttotheMember.

SimilarlytheMembermaysendmargindetailstotheclientviamail,e-mail,fax,courier, Registered AD, oral communications / SMS or otherwise at the postal address,mobile/telephone/faxnos.,e-mailaddressintimatedbytheclienttothe Member.

TheMemberherebyinformsthatitwillsendconsolidatedtradeconfirmationstoclients trading through Internet only on a day end basis and the client agrees to receivesuchconsolidatedtradeconfirmationondayendbasis.

The client understands that it is his/her/its responsibility to review the trade confirmations,thecontractnotes,thebillsorstatementsofaccountimmediatelyupon their receipt. All information contained therein shall be binding upon the client, if the client does not object in writing to any of the contents within twenty fourhoursofsuchintimation/confirmation.

In all cases, the Member reserves the right to determine the validity of the client’s objection to the transaction.

The client agrees that the Member will not be responsible for the non-receipt of thetradeconfirmationduetoanychangeintheclient’saddress/e-mailaddress/telephone/faxnumberwhichisnotintimatedtotheMemberinwritingand/orwherethe communication remains undelivered due to non availability of the client at thegivenaddress/telephone/faxnumberorclientnotopeninghise-mailbox.

TheclientagreesthattheMemberfulfilsitslegalobligationtodelivertotheclientany such document if sent via electronic delivery and the Member has not received any report indicating bouncing back of such electronic delivery.

Margins

The client shall deposit with the Member such margins which may be in the formofExchangespecifiedcollateralsandorothercollaterals(inclusivebutnotlimited to monies, marketable securities, bank guarantees, immovable property, jewellery,commodities,warehousereceiptsetc.)ofasspecifiedbytheMemberfrom time to time as margin which may be required to open / trade through his trading account. The client shall from time to time deposit with the Member such

additional margin as may be required by the Member and / or as may be required underFMCGuidelines/Notifications/CircularsandtheByeLaws,Rules,BusinessRulesandRegulations,Notifications,CircularsoftheExchange,intheformofcollaterals which are acceptable to the Member. It is the sole responsibility of the client to provide 100% comfort on mark to market losses at any given point of time including intra-day adjustments. The Member shall be entitled to adjust the intra-day loss against the margin available and the client shall necessarily furnish additional margins to maintain open positions if any. The Member shall be entitled to close open positions of client due to shortfall in margin arising out of adjustment of intra-day losses against the available margins of the client.

The Client is liable to pay applicable initial margins, special margins or such other marginsasareconsiderednecessarybytheMemberortheExchangeorasmaybe directed by FMC from time to time as applicable to the segment(s) in which the Client trades. The Member is permitted in its sole and absolute discretion to collectadditionalmargins(eventhoughnotrequiredbytheExchange,ClearingHouse / Clearing Corporation or FMC) and the Client shall be obliged to pay such margins within the stipulated time.The Member is entitled at its discretion to prevent the Client from trading on any oftheSegmentsoftheExchangeunlesstheClientdepositsthemarginand/orthe additional margin and / or 100% comfort on mark to market loss.The payment of margin by the Client does not necessarily imply complete satisfaction of all dues. In spite of consistently having paid margin, the Client may, on closing of its trade, be obliged to pay (or entitled to receive) such further sum as the Contract may dictate / require.The client agrees that the Member may in its turn place any of the collaterals/securities placed by him as margin by way of pledge or hypothecation or margin onhisbehalfwithexchangestomeetExchangeobligations,astheMembermaydeemfit.TheclientauthorizestheMembertodoallsuchacts,deedsandthingsasmaybenecessaryandexpedientfortheabovepurpose.Tape recording of conversationThe client is aware that the Member may tape-record the conversations between the client or its representative and the Member, either personally or over the telephone,andtheclientherebyspecificallypermitstheMembertodoso.TheMember may rely upon such recordings as and when required to resolve disputes in connection with the trading transactions.

Security, Interest and Lien:All collaterals (inclusive but not limited to monies, marketable securities, bank guarantees, immovable property, jewellery ec.), which the Member may hold on the account of the Client, subject to hair cut of 50% of its value, shall be held subject to a general lien for the discharge of the obligation of the Client tothe Member under this Agreement. In addition, the Client agrees that all monies, marketable securities, bank guarantees, immovable property, jewellery, commodities, warehouse receipts etc. and other properties now or hereafter held and carried or maintained by the Member in its possession or control for anypurposeinorinthebenefitofanyaccountmaintainedbytheClientnoworhereinafter opened either with the Member or any of its subsidiaries including any account in which the Client may have interest shall be subject to a lien in favour of the Member for the discharge of the indebtedness and the Client’s other obligations to the said Member in any of the said accounts. Client authorizes the Member and the Member shall have the right to transfer monies, marketable securities, bank guarantees, immovable property, jewellery, commodities, warehouse receipts etc. and other properties so held by the Member from or to any of the accounts maintained by the Client with the Member or its subsidiaries, whenever in its judgement the Member consider such transfer for its protection. In enforcing the said lien, the Member shall have the right and discretion to determine which of the monies, marketable securities, bank guarantees, immovable property, jewellery, commodities, warehouse receipts etc. and other properties are to be sold / adjusted and which contracts or positions are to be closed.In the event of breach or default by Client under this Agreement, the Member anditssubsidiariesshallhavefirstchargeoverall thepropertiesoftheClientavailable with the Member and the Member shall have all rights and remedies as are available to secured creditors under all applicable laws in addition to the rights and remedies provided in this Agreement.The Client agrees that the Member may in its turn place any of the monies, marketable securities, bank guarantees, immovable property, jewellery, commodities, warehouse receipts etc. and other properties placed by him/her/it as Marginbywayofpledgeorhypothecationormarginonhisbehalfwithexchanges,banks or other lending institutions to meet obligations as the Member may deem fit.TheClientauthorizesMembertodoallsuchacts,deedsandthingsasmaybenecessaryandexpedientfortheabovepurpose.The Client shall not have any right to proceed in any manner against the exchanges,banksorotherlendinginstitutionsinrespectofCommoditiespledgedby the Member in the matter of any dispute between the Client and the Member, which may or may not concern Commodities provided by the Client.TheClientandtheMemberherebyagreeandconfirmthatallrights,liabilitiesandobligations pertaining to the pledged Commodities shall be subject to the rights oftheexchanges,banksorotherlendinginstitutions,inwhosefavourpledgehasbeencreatedbytheMember.TheClientherebyfurtheragreesandconfirmsthat

13

thepledgecreatedinfavourofexchanges,banksorotherlendinginstitutionsby the Member shall not be released or discharged until repayment of the loan availedbytheMemberfromexchanges,banksorlendinginstitutions.TheClientshallraisenoobjectiontoanyactiontakenbyexchanges,banksorotherlendinginstitutions against the Member pursuant to the aforesaid pledge.

Proprietary Trading

The Member is currently engaged in Client based business as well as indulges in proprietary trading.

Payments and Deliveries

TheClientshallensureatalltimesthatsufficientfundsareavailableinhis/her/itsaccount.Ifsufficientfundsarenotavailableandanorder(s)is/areprocessed,then the Client shall immediately transfer the requisite funds into the Member’s bank account so as to enable the Member to meet the pay-in obligations of the Client failing which the Member shall have the right to square-off such positions oftheClientevenwithoutpriornotificationtotheClient.TheClientisalsoliableto compensate the Member for any resulting loss thereof.

The client shall have to maintain 100% comfort on mark to market losses at all point of time. Failure to maintain 100% comfort on mark to market losses or failure to pay the mark to market losses as and when they occur would entail the Member to close out all open positions of the client in accordance with the internal risk policy of the Member.

TheClientshallbytheendofthenextworkingdayfromdateoftherespectiveTransaction (a) pay the Member the moneys due in case of purchase of commodities or (b) deliver to the Member the commodities / warehouse receipts in case of sale of commodities / warehouse receipts or (c) pay the Member the net amount due in case of setoff of sale and purchase Transactions.

TheClientshallensureatalltimesthatsufficientfundsareavailableinhisaccount.Ifsufficient fundsarenotavailableandanorder(s) is/areprocessed,thentheClient shall immediately transfer the requisite funds into the Member’s bank account so as to enable the Member to meet the pay-in obligations of the Client. If such payment is not received the Member shall have the right to square-off such positionsoftheClientevenwithoutpriornotificationtotheClient.TheClientisalso liable to compensate the Member for any resulting loss thereof.

TheClient shall ensure at all times that sufficient quantity of commodities /warehouse receipts pertaining to commodities are available in his depository accountbeforeplacinganorderofsale.Ifanorderofsaleisexecutedwithoutthe Client having the requisite number of commodities / warehouse receipts pertaining to commodities, then the Client shall endeavour to arrange for the delivery of such commodities / warehouse receipts by the settlement date or any intimated date, whichever is earlier. If commodities / warehouse receipts pertaining to commodities are not received on or before the settlement date / any intimated date or if the commodities / warehouse receipts pertaining to commodities so received are in a non-deliverable state or due to any other reason whatsoever, the commodities / warehouse receipts pertaining to commodities will be auctioned or closedoutaspertherulesoftheExchangeandtheClientshallberesponsiblefor any resulting loss thereof.

If the Client fails to deliver to the Member any commodities / warehouse receipts pertaining to commodities that have been sold by or for the Client, when required by the Member, then the Member shall be entitled (but not bound to), at its own discretion and at the risk and cost of the Client, borrow or otherwise obtain the commodities / warehouse receipts pertaining to commodities necessary to enable the Member to make delivery.

The Client shall make all payments to the Member, only through account payee cheques / demand drafts drawn in favour of the Member / direct credits from his bank account directly into the bank account of the Member. The client The Client accepts that payments by cash are solely and entirely at the risk of the Client. Cash payments made by the Client are not binding on the Member even if receipts are issued by any employee / staff / authorized persons of the Member. Cash payments will be binding on the Member only when such payments are given credit in the statement of accounts issued by the Member to the Client.

The Member is entitled to, without prior notice and its absolute discretion, adjust any dues, including but not limited to any loss or damages caused to the Member, from the Client against the margin and / or any other balance standing to the credit of the Client in the books of accounts of the Member, and / or additional margin, but not limited to any loss or damage caused to the Member of the Client arising out of the transactions carried out by the Member on behalf of the Client in any ofthesegmentsonallexchangesofwhichtheMemberisregistered.

The Client hereby irrevocably authorises the Member to sell all or any of the collaterals (inclusive of but not limited to commodities, monies, marketable securities, bank guarantees, immovable property, jewellery and / or other properties of the Client as are available with the Member (whether as margin, additional margin, collaterals or otherwise) and adjust the net sale proceeds against any of the dues, including but not limited to any loss or damages caused to the Member, of the Client. The Member has the absolute discretion whether or not to sell / close - out the commodities / warehouse receipts and / or other properties and the time of the sale. The Member is not liable to the Client for any loss or damage caused to the Client by such adjustment / closing out / sale.

Closure / Freezing of Trading Account

The Client agrees that he/she would be able to close or freeze the trading account with the Member, only if there is no obligation pending to be met by the Client in the favour of the Member in the form of cash and / or security.

BROKERAGE, COMMISSIONS, CHARGES AND FEES

TheClientagreestopaytheMemberbrokerage,commission,fees,servicetaxandothertaxesandtransactionexpensesastheyexistfromtimetotimeandas they apply to the Client’s account and transactions, and the servicesthat he receives from the Member.

Brokerageratesagreeduponareexclusiveofallstatutoryandexchangerelatedcharges. Charges / service standards are subject to change. Member shall have the sole discretion in change of applicable charges and the same would be communicated to clients through e-mail / ordinary post / website upload / sms etc.andsuchcommunicationshallsufficeasnoticeofchangeinbrokerage/charges applicable to the Client.

Additional services (if any) availed by the client shall be charged separately.

Maximumbrokerage/chargeswillbecomeapplicableifbrokerageratesarenotagreeduponspecificallyforvariousproducts.

In case of Physical Contact note are being dispatched to client in a given segment ofagivenExchange,asumofRs.25/-percontractnotepersegmentperexchangewill be charged over and above the total brokerage booked on a particular date as minimum processing fee.

IncasethetotalbrokerageearnedpersegmentperexchangeisnotexceedingRs.50/-thenasumofRs.50/-willbechargedpersegmentperexchangetowardsminimum processing fee.

The Client is liable to pay, from the respective due dates of payments, delayed payment charges / late pay-in charges at the rate of 24% per annum on all amounts due to the Member.

Sharing of client information

The client authorizes the member to share his / her / its KYC details and trade related details / information to third parties.

Force Majeure

The Member is not liable to the Client for any loss / damage actual or perceived caused directly or indirectly due to force majeure including but not limited to actsofGod,fire,flood,earthquake, lightning,war,rebellion,civildisturbance,strike, Statutes, rules, regulations and restriction (s) imposed by and any act (s) oftheGovernment,Governmentagenciesandinstrumentalities,theExchangeand statutory authorities, mechanical equipment defects or failure / disruption of power supply, software defects, failure in connectivity, failure of equipment, suspensionoftrading,failureandorcancellationoftradesbytheExchange,failureof communication lines, security failure on the Internet, unauthorised access, theft and all other circumstances whatsoever beyond the control of the Member.

Discrepancies and ErrorsShould an error occur with respect to any account holding or order entry, the true, actual and correct transaction or positions will be resorted to. It is the Client’s responsibility to ensure correctness and accuracy of account and to contact the Member immediately in respect of any discrepancies.

Limitation of LiabilityThe Client further agrees that the Client is not entitled to any remote or indirect loss or damages including but not limited to compensation for opportunity loss viz., notionalprofitsonbuy/sellorders,whichwereexecuted/couldnotbeexecuted.

All Client’s orders placed with the Member, either through electronic means orotherwise,onall theSegmentsoftheExchange,arebasedontheClient’sinvestments decision and his / her sole responsibility.

The Client shall not hold nor seek to hold the Member or any of its directors, officers,employees,groupcompaniesoraffiliatesliableforanylossesordamagesincurred by the Client. The Client accepts full responsibility for monitoring and safeguarding his / her account. The Client will immediately notify the Member in writing through registered post with acknowledgement due, if the Client becomes aware of any discrepancies, theft or unauthorised use of the Client’s account, or anyfailurebyClienttoreceiveanaccuratewrittenconfirmationofanexecutionoranyreceiptbytheClientofconfirmationofanorderand/orexecutionwhichdid not take place or any inaccurate information in the Client’s account balances, commodities position or transaction history.

If the Client fails to notify the Member immediately upon the Client’s knowledge, when any of the above conditions occur, neither the Member nor any of its directors, officers, employees, affiliates or subsidiaries canorwill have anyresponsibility or liability to the Client or to any other person whose claim may arise through the Client with respect to handling or mishandling or loss of an order or transaction.

Investment AdviceTheClientherebyacknowledgesthattheMemberismerelyexecutingtradingorders given by the Client and the Member does not render nor intends to render adviceontax/legalmatters,investments,nature/potentialvalueorsuitabilityof

14

any particular or group of commodities, transactions, investment strategies etc relatingtotradingonanyofthesegmentsoftheExchange.

The Client acknowledges that the Member shall not be liable to provide him with anylegal,tax,investmentoraccountingadviceoradviceregardingthesuitabilityorprofitabilityofasecurityorinvestment.

The employees of the Member have not been authorised to give any such advice and the Member is neither bound by nor liable for any loss or damage caused to the Client by any such advice given by any of the employees of the Member. The Client shall not solicit or rely upon any such advice from the Member or any of its employees.

The Client may be able to access investment research reports (which may include recommendations relating to commodities) through the Internet from the Member’s web site and from the computerised online service of the Member, but the availability of such information does not constitute a recommendation to transactonanyoftheSegmentsoftheExchange.

The Member does not guarantee the timeliness, sequence, accuracy or completeness of market data or any other market information, reports, recommendations or any messages disseminated/provided by them. If the Client acts on the basis of the same, he shall do so at his own risk and cost.

TheClientisadvisedtoexercisehisindependentjudgementbeforeenteringintoTransactions and the Member is neither bound by nor liable for any loss or damage caused to the Client by any such reports and recommendations.

The Client shall not furnish the aforesaid information, reports, recommendations etc disseminated / provided by the Member to any other person or entity for consideration or otherwise

The Client understands without any ambiguity that the Member does not have any product which guarantees assured return and he/she/it is solely responsible for any market risk in respect of transactions conducted through the Member.

TheclientagreesthatintheeventoftheMemberoranyemployeeorofficialofthe Member providing any information, recommendation or advice to the Client, the Client may act upon the same at the sole risk and cost of the Client, and the Member shall not be liable or responsible for the same.

The Client assumes full responsibility with respect to his investment decisions andtransactions.TheMember,itsofficers,directors,partners,employees,agentsandaffiliateswillhaveno liabilitywith respect toany investmentdecisionsortransactions of the Client.

Market Data

TheClientunderstandsthattheExchangeassertsaproprietaryinterestinallofthemarket data they furnish, directly or through the Member or otherwise. The Client understandsthattheExchangedoesnotguaranteethetimeliness,sequence,accuracy or completeness of market data or any other market information, or anymessagesdisseminatedby them.Neither theMembernor theExchangeshall be liable in any way for incorrect, misleading, incomplete or outdated data or information and, if the Client acts on the basis of the same, he shall do so at his own risk and cost.

TheClientshallnotfurnishmarketinformationprovidedbytheExchangetoanyother person or entity for consideration or otherwise and in the event, the Client uses such information he shall do so at his own risk and cost.

Breach / Default / Death / Insolvency

In the event of any breach / default by the Client of any of the terms and conditions of this Agreement, the Member is entitled to adjust any dues including loss or damages caused to the Member, against the margin and / or additional margin and / or the commodities and / or any amount standing to the credit of the Client in the books of accounts of the Member. The foregoing adjustment is without prejudice and in addition to such legal remedies as are available (under this Agreement or under any law for the time being in force) to the Member against the Client or his / her legal representatives.

Further the Member is also entitled to close-out any transaction in the event of the said breach / default by the Client of any of the terms and conditions of this Agreement. The time and manner of the closing-out is at the absolute discretion of the Member and the Member is not responsible for any loss thus caused to the Client.

Delivery of Documents:

The Client authorises the Member to provide all documents (either statutory or otherwise) that are to be received by him, by electronic delivery through the internet, to the e-mail id (s) mentioned in the Individual Client Registration Application Form or in any other document(s) furnished by or on behalf of the Client to the Member.

The Client acknowledges that once a document is sent by electronic mail, it would be assumed that the same is deemed to have been received by the Client and the Client undertakes not to raise any dispute with regard to non-receipt of the said document. The Client further acknowledges that non-receipt of bounced mailnotificationbythemembershallamounttodeliveryofthecontractnoteatthe e-mail ID of the client.

In order to further strengthen the electronic communication channel, the member simultaneously publishes the electronic contract note on his designated web-site in a secured way and the client shall access the same and save the contract note electronically or take a print out of the same.

TheClient furtherconfirms thathewouldaccess thewebsiteof theMember,once it is made known that a particular document is available on the website and would download the same.

The documents sent by electronic delivery will contain all information as it appears in the printed hard copy version as printed and distributed by the originator with thepossible exceptionof thegraphic insertion suchasphotographsor logotypes. Electronic delivery may be in the form of an electronic mail, an electronic mail attachment or in the form of an available download from the website of the Member.TheMemberwouldbedeemedtohavefulfilleditslegalobligationstodeliver to the Client, any such document, if the same is sent through electronic mode. If the Client does not receive such documents sent through electronic mode orexperiencesanydifficultyinopeningtheelectronicallydelivereddocumentbythe Member, the Client shall promptly advice the Member in writing in order to enable the Member to make the required document available in other forms and also undertakes to pay the additional costs thereto. Failure to advice the Member of suchdifficultywithin24hoursafterdeliveryshallserveasanaffirmationregardingthe acceptance of the document. The Client shall immediately inform the Member about change in email-id, if any.

The member also provides access to all documents pertaining to the trading account of the client on the internet and also allocates an user id and password to access the said documents.

Representations and Warranties of the Client

The Client represents and warrants to the Member that:

The Client has read and understood the risks involved in trading on a National SpotExchangeLimitedaswellastheriskinvolvedintradinginfuturesandoptionsand he shall be wholly responsible for all his investment decisions and trades.

The failure of the Client to understand the risk involved shall not render a Contract as void or voidable and the Client shall be and shall continue to be responsible for all the risk and consequences for entering into Transactions/ trades in the segments in which the Client chose to trade.

All the information provided and statements made in the Client’s application form are true and correct and are not misleading (whether by reason of omission to state a material fact or otherwise) and the Client is aware that the Member has agreed to provide the service to the Client on the basis, inter alia, of the statements made in the Client’s application form.

The Client has the required legal capacity to, and is authorised to, enter into this Agreement and is capable of performing his obligations and undertakings hereunder.

The Client agrees to complete all actions required to be taken pursuant to this Agreement with all applicable laws to ensure compliance of all the Transactions, which the Client may enter into prior to entering such Transaction.

The Client shall abide by the provisions of this Agreement, the rules, bye laws andregulationsoftheExchangeandthetermsandconditionsoftheMember’swebsite (in the case of Transactions through the Member’s ITS as in force from time to time).

The Client shall trade only on his own behalf and shall not engage in trading for third parties. The Client agrees not to indulge in sub broking activities. The Client authorises the Member to deactivate / suspend the trading account without any notice to the Client, if such sub broking activities are carried out by / on behalf of the Client.

The Client shall not acting alone or in concert with others, directly or indirectly, holdandcontrolexcessnumberofcommoditesasfixedbytheExchangefromtime to time.

TheClientshallnotexercisealongorshortpositionwhere,actingaloneorinconcertwithothers,directlyorindirectly,theClientwillhaveexercisedinexcessofthenumbercommoditiesasmaybefixedfromtimetotimebytheExchange.

The failure of the Client to understand the risk involved shall not render a Contract as void or voidable and the Client shall be and shall continue to be responsible for all the risk and consequences for entering into Transactions/ trades in the segments in which the Client chose to trade.

Amendment / Modification

This Agreement represents the entire Agreement between the Client and the Member concerning the subject matter hereof.

The Member at any time may amend this Agreement, by modifying or rescinding anyof the existingprovisionsor conditionsor by addinganynewprovisionor condition, by conspicuously pasting the notice of such amendment or by intimating the same to the Client in writing. Continuous use of the Member’s services after such notice will constitute acknowledgement and acceptance of such amendment.

In addition to the foregoing, this agreement can be altered, amended and/or

15



Note:Allreferencestothespecificquantity/rate/feementionedinthisagreementaresubjecttochangefromtimetotime,assoagreedtoinwritingbetweentheparties.

Signed on behalf of the Trading Member : Client :

Signature

Name

By ___________________________________________________

Name_________________________________________________

Title _____________________

Witness (1)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Witness (2)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

6

modifiedbythepartiesmutuallyinwritingwithoutderogatingfromthecontentsof this agreement. Provided however if the rights and obligations of the parties heretoarealteredbyvirtueofchangingRulesandRegulationsoftheExchange,suchchangesshallbedeemedtohavebeenincorporatedhereininmodificationof the rights and obligations of the parties mentioned in the agreement, by the Member conspicuously pasting the notice of such amendment or by intimating the same to the Client in writing. Continuous use of the Member’s services after such notice will constitute acknowledgement and acceptance of such amendment.

Certain policies and / or procedures may be further outlined on the website of the Member. Client agrees to be bound by any and all such postings.

Severability & Assignment

If any provision or condition of this Agreement shall be held to be invalid or unenforceable by reason of any law, rule, administrative order or judicial decision by any court or regulatory, self regulatory agency or body, such invalidity or unenforceability shall attach only to such provision or condition. The validity of the remaining provisions and conditions shall not be affected thereby and this Agreement shall be carried out as if any such invalid or unenforceable provision or condition was not contained herein.

The Client shall not assign any right and / or obligations hereunder without obtaining prior written consent from the Member. The Member however can assign its rights and obligations to any third person without the prior consent of the Client.

Waiver

Forbearance, relaxation or inaction by any party at any time to require theperformance of any provision of this Agreement shall not in any way affect, diminish, or prejudice the right of such party to require the performance of that or any, other provision of this Agreement or be considered to be a waiver of any right,unlessspecificallyagreedinwriting.

Notice & Mode of Service

Any notice or other communication to be given by any party to the other in connection with this Agreement shall be in writing and shall be deemed duly served if delivered personally or sent by facsimile transmission or by prepaid registered post or by e-mail to the addressee at the address or (as the case may be), the e-mail or facsimile number (if any), of that party set opposite its name below:

To the Member at:

Aditya Birla Commodities Broking Limited‘Ali Centre’, 53, Greams Road, Chennai - 600 006.Fax:044.-28290835E-mail:[email protected]

or at such other address, facsimile number or e-mail address as the member mayhavenotifiedtheotherinaccordancewiththeprovisionsofthisClause.

The Client is entitled to send a notice or other communication(s) through email provided the notice originates from the e-mail ID furnished by him in the individual clientregistrationapplicationformorthroughanyothermodeasspecifiedbytheMember from time to time. Notice or other communication(s) sent by the Client from unregistered e-mail addresses shall not be entertained.

To the Client at the address, facsimile number and the e-mail address furnished by the Client in the application form or at such other address, facsimile number or e-mailaddressasthepartytobeservedmayhavenotifiedtheotherinaccordancewith the provisions of this clause.

Notwithstanding anything stated above, communication relating to orders, margins, maintenance calls and other similar matters in the ordinary course of dealings between the Member and the Client may be communicated orally.

Provided, the Client is entitled to send a notice or other communication(s) through e-mail provided the notice originates from the e-mail ID furnished by him in the individual client registration application form or through any other mode as specifiedbytheMemberfromtimetotime.Noticeorothercommunication(s)sent by the Client from unregistered e-mail addresses shall not be entertained.

To the Client at the address, facsimile number and the e-mail address furnished by the Client in the application form or at such other address, facsimile number or e-mailaddressasthepartytobeservedmayhavenotifiedtheotherinaccordancewith the provisions of this clause.

Notwithstanding anything stated above, communication relating to orders, margins, maintenance calls and other similar matters in the ordinary course of dealings between the Member and the Client may be communicated orally.

All communications, including but not limited to notices, sent by the Member to the Client shall be deemed to have been properly delivered or served, even if such service is returned to the Member as unclaimed / refused or undelivered, if the same is sent to the ordinary business address and / or the ordinary place of residence and / or last known address of the Client

All communications / documents, including but not limited to notices, sent by the MembertotheClienttothee-mailaddressasspecifiedbytheClient,shallbedeemed to have been properly delivered or served, even if the same is returned undelivered to the Member, due to any reason whatsoever.

PartiesshallnothaverecoursetoanyotherlegalavenueexceptandtotheextentspecificallystatedintheBye-laws,RulesandRegulationsoftheExchange.CourtsinChennaicityonlyshallhaveexclusivejurisdictionforanyotherpurpose.

The Member and the Client declare and agree all trades, transactions and Contracts executed on the Exchange are subject to theRules, Bye Laws,Regulations,oftheExchangeandshallbedeemedtobeandshalltakeeffectas wholly made, entered into and to be performed in the city of Chennai and theparties tosuchtradeshallbedeemedtohavesubmitted to theexclusivejurisdiction of courts in Chennai for the purpose of giving effect to the provisions oftheRules,ByeLaws,RegulationsoftheExchange.

In the event for any breach / default by the Client the Member is entitled to terminate this Agreement forthwith. Such termination shall be without prejudice and in addition to such legal remedies as are available to the Member against the Client (including but not limited to the adjustment of margin, additional margin and / or other credit balances).

IN WITNESS THEREOF the parties to the Agreement have caused these presents tobeexecutedasofthedayandyearfirstabovewritten.

16

Aditya Birla Money Limited Ali Centre, No. 53, Greams Road, Chennai – 600 006. Telephone:044–39190002/03Fax:28290835

APPLICATION FORM FOR OPENING A DEMAT ACCOUNT INDIVIDUAL

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

(TobefilledbytheDepositoryParticipant)

Application No. Dated - -

DP Internal Reference No.

DP ID Client ID

PERSONAL DETAILS OF SOLE / FIRST HOLDERS(TobefilledbytheapplicantinBLOCKLETTERSinEnglish)

First Name

Middle Name

Last Name

Title

Name of Father / Husband

CORRESPONDENCE ADDRESS

E-mail Address

IncomeTaxPAN (FurnishcopyofPANCard)

PERMANENT ADDRESS (If different from Correspondence Address)

Flat / House No.


Street No. / Name

Landmark ( if any )

Area / Locality


State Country


Flat / House No.


Street No. / Name

Landmark ( if any )

Area / Locality


State Country


17

First Name

Middle Name

Last Name

Title


JOINT HOLDERS - SECOND HOLDER’S DETAILS

PERMANENT ADDRESS

IncomeTaxPAN (FurnishcopyofPANCard)

First Name

Middle Name

Last Name

Title


JOINT HOLDERS - THIRD HOLDER’S DETAILS

PERMANENT ADDRESS

Flat / House No.


Street No. / Name

Landmark ( if any )


State Country


Flat / House No.


Street No. / Name

Landmark ( if any )


State Country


18

TYPE OF ACCOUNT (PLEASE TICK WHICHEVER IS APPLICABLE)

Status

Individual

NRI

Foreign National

Individual Resident Individual-Director

Individual Director’s Relative Individual HUF / AOP

Individual Promoter Others (specify)

Individual Margin Trading A/C (MANTRA)

NRI Repatriable NRI Non-Repatriable

NRI Repatriable Promoter NRI Non-Repatriable Promoter

NRI - Depository Receipts Others (specify)

Foreign National Foreign National - Depository Receipts

Others (specify)________________________

I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit]

Yes No

Account Statement Daily Weekly Fortnightly MonthlyRequirement

Do you wish to receive dividend / interest directly in to your bank account given below through ECS? Yes No

Bank Account No

Bank Name

Bank Branch Name

Bank Account Type Saving Current Cash Credit Others (specify)_____________________

MICR Number IFSC Code

Bank Address

City Pincode

(IncaseofMultipleBankAccountspleasefurnishdetailsasAnnexure)

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)

(ii) Photocopy of the Bank Statement having name and address of the BO and not more than 4 months old, (or)

(iii) Photocopy of the Passbook having name and address of the BO, (or)

(iv) Letter from the Bank.

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

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

BANK ACCOUNT DETAILS

Sub Status

19

First / Sole Holder Second Joint Holder Third Joint Holder

Name

Signatures

Passport Size Photograph (Signature should be Please sign across the Please sign across the Please sign across the preferably in Black Ink) photograph photograph photograph

Please attach recent passport size photographs in the space provided below :

x x x

In case of minor holder, photograph of gardian has to be affixed along with the minor’s phograph

Name*

In case of Firms, Association of persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

ADDITIONAL DETAILS

SMS Alerts facility Yes Mobile No. +91__________________________ No ReftoTermsandconditionsgivenasAnnexure-2.4

Yes, if yes, please contact your DP for details easi (Facility through CDSL’s Website : www.cdslindia.com wherein a BO can No view his ISIN balances, transactions and value of the portfolio online.)

DETAILS FOR FIRST HOLDER

Date of Birth - -

Nationality Indian Others (Specify)_____________________________________

Sex Male Female

Occupation Service ( Central Govt. State Govt. Public / Private Sector

NGO Statutory Body)

Professional Business Student Retired Housewife Others (Specify)_________

Nature of Business __________________________________________________________________________________________ (Products / Services provided)

Financial Details Income Range per Annum

Up to Rs.1,00,000 Rs.1,00,000 to Rs.2,00,000

Rs.2,00,000 to 5,00,000 More than Rs.5,00,000

7

20

DETAILS FOR JOINT SECOND HOLDER

First Name

Middle Name

Last Name

Relationship with the applicant

Correspondence Address

City State

Country PIN

Tel.Number FaxNo.

PAN No. Mobile No.

E-Mail ID

DETAILS OF GUARDIAN

DETAILS FOR JOINT THIRD HOLDER

Foreign Address

City State

Country PIN

FOR NRIs

First / Sole Holder Second Holder Third Holder

Name

Specimen Signatures

Date of Birth - - Nationality : Indian Others (Specify)______________________________

Sex Male Female Corporate


NGO Statutory Body)



Date of Birth - - Nationality : Indian Others (Specify)______________________________

Sex Male Female Corporate


NGO Statutory Body)



8x x x

21

Dear Sir/ Madam,

I/We the sole holder / Joint holders / Guardian (in case of minor) hereby nominate the following person who is entitled to receive security balances lying in my / our account, particulars whereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

BO ACCOUNT DETAILS

NOMINATION FORM

DP ID Client ID

Name of Sole / First Holder

Name of Second Holder

Name of Third Holder

NOMINEE DETAILS

First Name

Middle Name

Last Name

Address

City State

Country PIN

Tel.Number Fax

E-Mail ID

Relationship with BO (If any)

Date of Birth (If Nominee is a minor) - -

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

First Name

Middle Name

Last Name

Address

City State

Country PIN Age

to receive the securities in this account on behalf of the nominee in the event of the death of teh Sole holder / all Joint holders.

This nomination is in accordance with the section 109 A of the Companies Act, 1956, and shall supersede any prior nomination made by me/usandalsoanytestamentarydocumentexecutedbyme/us.

Place______________________________ Date___________________________

22

xFor Depository Participant

(Authorised Signatory)

First / Sole Holder Second Holder Third Holder

Name

Signatures

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

First Witness Second Witness

Name of Witness

Address of Witness

(TobefilledbyDP)

Nomination Form accepted and registered wide Registration No._____________________________dated____________________.

Details of Witness

Signature of Witness

9x x

x x

x

23

DP - BO AGREEMENT - CDSL

AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT [entity registered asDepositoryParticipant ofCentralDepositoryServices (India) Limited (“CDSL”)with Securities andExchangeBoard of India (SEBI) under SEBI(Depositories & Participants) Regulation, 1996] and the BO (a person seeking to open a depository account with the depository participant) for the purpose of holding and transacting in electronic warehouse receipts.

This agreement made and entered into this ______________day of _______ between

1. Mr. / Mrs. / Miss_____________________________________________________

S/o, W/o, D/o,_________________________________aged about_______ years,

residing at ___________________________________________________________

_____________________________________________________________________

2. Mr. / Mrs. / Miss_____________________________________________________


residing at ___________________________________________________________

_____________________________________________________________________

3. Mr. / Mrs. / Miss_____________________________________________________


residing at ___________________________________________________________

_____________________________________________________________________

(hereinaftercalledthe“BO”)andAdityaBirlaMoneyLimitedhavingitsregisteredofficeatIndianRayonCompound,Veraval,Gujarat-362266,(hereinaftercalledthe“DepositoryParticipant”or“DP”).

Witnesseth

WHEREAS the Depository Participant is registered as a participant in the Central DepositoryServices(India)Limited.(“CDSL”),adulyregistereddepositoryunder the Depositories Act, 1996.

WHEREAStheBOhasfurnishedtotheDepositoryParticipantthedulyfilledin application form as prescribed by CDSL requesting therein the Depository Participant to open an account with the Depository Participant; and Depository Participanthas represented to theBOthat ithassetupa facility toextenddepository services offered by CDSL to warehouse receipts.

NOW THEREFORE in consideration of the Depository Participant having agreed to open an account for the Client, both the parties to the Agreement hereby covenant and agree as follows:

1) The BO shall pay such charges to the Depository Participant for the purpose of opening and maintaining his account, for carrying out the instructions of the BO and for rendering such other services as may be agreed to from time to time between the Depository Participant and the BO as set out in Schedule A. The Depository Participant shall reserve the right to revise the charges by giving not less than thirty days notice in writing to the BO. Depository Participant shall not levy account closure charges

if BO chooses to close the account.

2) The Depository Participant hereby undertakes that it shall maintain a separate account of its own warehouse receipts, if any, held in dematerialised form and shall not co-mingle the same with the warehouse receipts held in dematerialised form by the BO.

3) The Depository Participant undertakes that a transfer to and from the accounts of the BO shall be made only on the basis of a written order, instruction, direction or mandate duly authorised by the BO and that the Depository Participant shall maintain adequate audit trail of such authorization.

4) The Depository Participant agrees that the BO may give written standing instructions with regard to the debiting or crediting of electronic warehouse receipts in its account and the Depository Participant shall act according to such instructions.

5) The Depository Participant undertakes to provide a transaction statement to the BO atleast at monthly intervals unless the Depository Participant and the BO have agreed in writing for provision of such statements at shorter intervals. However, if there is no transaction in the account, then the Depository Participant shall provide such statement to the BO atleast once a quarter.

6) The Depository Participant undertakes to resolve all legitimate grievances of the BO against the Depository Participant within a period of thirty days.

7) TheBOagrees to operate this beneficial owner account for the solepurpose of holding and transacting in electronic warehouse receipts and shall be solely responsible for costs and consequences of receiving credit of any other securities into this account in the event of such credit being made owing to instructions issued by the client. The DP may levy special charges to transfer such securities out of this account, in addition to the charges listed in Schedule ‘A’. However, if the BO gets any erroneous credit of securities / WRs in this account, he will assist the DP in restoring the securities into the account from which the securities were received in the clients account at no cost to the client.

8) TheBOmayseekdeliveryofthecommodityrepresentedbyelectronicwarehouse receipt from the warehouse that has issued the electronic warehouse receipt. The BO acknowledges that neither the Depository Participant nor CDSL shall be responsible for delivery of the commodities against the electronic warehouse receipts, whether on grounds of quantity, quality,timelinessofdeliveryorotherwise.TheBOherebyindemnifiesandagreestokeepindemnifiedandholdtheDepositoryParticipantandCDSL harmless from and against any loss, claim, damage, injury or other costandexpense relating todeliveryof thecommodityunderlying thewarehouse receipt.

9) The charges related to the warehousing service shall be settled in accordance with the arrangement agreed to by the Client, Depository Participant and warehouse without any recourse to CDSL.

10) On the failure of the BO to pay the charges for provision of services by theDPaslaidoutinclause(1)ofthisAgreementwithinaperiodoffifteendays from the date of demand, Depository Participant may terminate this

10

x

For Aditya Birla Money Limited



24

x x x

For Aditya Birla Money Limited


Note:Allreferencestothespecificquantity/rate/feementionedinthisagreementaresubjecttochangefromtimetotime,assoagreedtoinwritingbetweentheparties.

INWITNESSWHEREOFtheBOandtheDepositoryParticipanthascausedthesepresentstobeexecutedasofthedayandyearfirstabovewritten.

Client Name

11

Witness (1)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Witness (2)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Agreement and close the account of the BO by requiring it to specify whether the balances in its account be transferred to the account of the BO held with another Depository Participant or send a delivery advise to related warehouse.

11) The BO further agrees that in the event of the BO committing a default in the payment of any of the amounts due and owing to the DP in terms of thisAgreementwithinaperiodoffifteendaysfromthedateofdemand,without prejudice to the right of the Depository Participant to close the account of the Client, the Depository Participant may charge interest at a ratenotexceeding15%.IncasetheBOhasfailedtomakethepaymentof any such amount, the Depository Participant shall have the right to discontinue the Depository services till such time he makes the payment along with interest, if any, after giving two days notice to the Client. If the BO does not make the payment for more than two months, Depository Participant may sell the commodities represented by the warehouse receipts to recover the amount due to it after giving 7 days notice to the Client. The DP shall always be deemed to have had a first charge and lien over the warehouse receipts in the account of the BO towards recovery of amounts due under this Agreement.

12) The Depository Participant shall have the right to terminate this Agreement, for any reasons whatsoever, provided the Depository Participant has given a notice in writing of not less than thirty days to the Client. In such an event, the BO shall specify whether the balances in its account should be transferred to another account of the BO held with another Depository Participant or it will seek delivery of commodities against the electronic warehouse receipts held. Based on the instructions of the Client, the Depository Participant shall initiate the procedure for transferring such electronic warehouse receipts or send a delivery advice against electronic warehouse receipts within a period of three days. The BO shall have the right to terminate this Agreement and close his account held with the Depository Participant, provided no charges are payable by him to the Depository Participant. Provided further, termination of this Agreement shall not affect the rights, liabilities and obligations of either party accruing prior to termination and shall continue to bind the parties to their satisfactory completion.

13) In the event of Depository Participant being suspended or terminated by CDSL/SEBI in terms of Bye Laws/Operating Instructions of CDSL or SEBI [Depositories & Participants] Regulations, 1996, Depository Participant / CDSL may give a notice of not less than 30 days of such suspension/termination to the Client. In such an event, the BO shall specify whether the balances in its account should be transferred to another account of the BO held with another Depository Participant or if it will seek delivery of commodities against the electronic warehouse receipts held. Based on the instructions of the Client, the Depository Participant shall initiate the

procedure for transferring such electronic warehouse receipts or send a delivery advise against electronic warehouse receipts within a period of three days.

14) The BO shall have the right to create a pledge of the electronic warehouse receiptsheldinthedematerialisedform.TheBOmayexercisetherightto freeze his account maintained with the Depository Participant so as to lock the electronic warehouse receipts held with the Depository Participant. TheBOmayexercisetherighttoun-freezehisaccountmaintainedwiththe Depository Participant. Such freezing and un-freezing of the account shall be in accordance with the procedure prescribed in this regard by CDSL.

15) The BO shall notify the Depository Participant within seven days, of any change in the details set out in the application form submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time.

16) The Depository Participant shall have a right to provide such information related to the Client’s account as may be requested by the CDSL from time to time.

17)TheDepositoryParticipantshallnotbe liable to theBOinanymannertowards losses, liabilitiesandexpensesarisingfromtheclaimsof thirdparties and from taxes andother governmental charges in respect ofelectronic warehouse receipts credited to Client’s account.

18)DepositoryParticipant shall discharge all its obligations to theBOasprovided by SEBI / any other regulatory authority and / or those guidelines / instructions issued by CDSL from time to time and in force at the time of entering into this Agreement and as may be amended as if such BO were abeneficialownerofsecuritiesintermsoftheaforesaidlaws,andshallmaintain the same standard of service provided such obligations are not in contravention of the terms and conditions of this Agreement.

19) All claims, differences and disputes between Depository Participants and Clients arising out of or in relation to dealings on the CDSL Depository including any agreements, contracts and transactions made subject to this Agreement or with reference to anything incidental thereto or in pursuance thereoforrelatingtotheirvalidity,construction,interpretation,fulfillmentorthe rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions, agreements and contracts have been entered into or not, shall be referred to arbitration in accordance to and subject to the provisions of the Arbitration and Conciliation Act, 1996. The arbitration mechanism prescribed under the CDSL Bye-Laws, Operating Instructions for disputes between DP and clients in securities transactions shall be applicable to disputes arising out of and in connection with this Agreement, as if the same have been incorporated hereinbelow and formed part of this Agreement.

1st Holder 2nd Holder 3rd Holder

Signed on behalf of the Member :

25

Schedule A

FEE HEAD Demat Charges (Rs.)

Stationery Charges Rs.25/-

Transaction Fee (for debit to client account) Rs.22.50/- per instruction or for market trades-ABMLCM

Transaction Fee (for debit to client account) Rs.22.50/- per instruction for market trades of other CM and off-market trades.

Pledgeinvocation/Closure/Confirmation Rs.22.50/-PerICINor0.20%ofValueofCommoditywhichever is higher

Remat Charges Actual NSEL charges + 20% markup

Ware housing charges Actual NSEL charges + 20% markup

Courier charges for sending physical report Rs.30/-

Interest on outstanding 15% per annum

Normal Maintenance Fee Scheme Rs.336 per Annum

Advance 1 Year Rs.300 per Annum

Maintenance 2 Years Rs.550 Fee scheme 3YearsRs.750

FEE HEAD DEMAT CHARGES

IN-PERSON VERIFICATION

Name of the DP ADITYA BIRLA MONEY LIMITED

DPID 12037600

Branch Name

Employee Name

Employee Code

Employee Signature

Date : Place :

1ST Holder Sign 2nd Holder Sign 3rd Holder Sign

x x x12


x x x13

SCHEDULE OF TRADING CHARGES

Thecurrentrates(exclusiveofstatutorylevies)areasfollows:

A) Rs.40/- per lot for E-Gold

B)Rs.75/-perlotforE-Silver

C) Other contracts & commodities 1% of the contract value

Fee schedule for Commodity Demat Account

26

__________________________ _______________________ _______________________

Sole/First Holder Second Holder Third Holder

LETTER OF CONFIRMATION

To,

M/s. Aditya Birla Money LimitedAli Centre, 53, Greams RoadChennai - 600006

Sub. : Opening of an Account for holding Dematerialised Warehouse Receipts

I/Werefertomy/ourapplicationforopeningofadematerialisedwarehousereceiptsaccount(“DPaccount”)withAdityaBirlaMoneyLimited.(hereinaftercalled“ABML”)andexecutionoftheagreementdated___________________(DPagreement)inconnectiontherewith.

InconsiderationofyourhavingagreedtoenterintotheDPagreement,atourrequest,weherebyagreeandconfirmthat:

ABML as DP, will not be responsible for the title, validity or genuineness of any warehouse receipts which have been dematerialised and notifiedsubsequentlybytheRegistrarsofanydefectsinitstitle/validitywhichhasresultedinareductionofthedematerialisedholdingsof the client and the consequences thereon.

I/WeundertaketosendABMLinstructionsrelatingtothetransferofwarehousereceiptsatleast1businessday(excludingSaturday,Sundayandbankholidays)priortotheexecutiondateindicatedbyme/usinthedebitinstruction.WenotethattheinstructionsreceivedbyABMLafterthis,willbecarriedoutandupdatedonlyon“BestEffort”basis.ABMLisnotliableforanylossesandarisingoutofTIFDsacceptedonthe“BestEffort”basis.

ABML will not be responsible for any failure as a result of non receipt or receipt of incomplete/erroneous instructions though received within the stipulated time.

All instructions will be signed by me/us or by an authorised person on my/our behalf whose signature has been lodged with ABML along with relevant documents as required by ABML. I/We shall inform ABML about the changes in the list of authorised persons and their specimen signatures from time to time.

I/Weam/areagreeabletopaythefeesfortheservicesrenderedbyABMLasperFeeScheduletotheagreementexecutedbyme/usfor opening the DP account. I/We further confirm that, the warehouse receipts held in my/our DP account are subject to a lien/right of set off in favour of ABML for the claims of monies payable to ABML pursuant to the DP Agreement executed by me/us at the time of opening the DP account.

The particulars given and declarations made by me/us in the account opening form, other declarations and in this letter are true as on thedatehereofandanychangeswillbeinformedtoyouimmediately.I/WefurtherconfirmthatABMLisnotliableandresponsibleforany incorrect information given to ABML nor for any false declaration furnished to ABML and the consequential effects thereon.

I/We have read and understood the rules and regulations pertaining to the Depository and Depository Participants in connection with opening and operating of DP accounts

I/Wealsoagreethat,Incaseofmy/ournotfollowingthetermsandconditionsABMLreservestherighttodiscontinueexecutionofanyinstruction in my/ our account.

I/Wefurtherconfirmthattheaboveconfirmationareinadditiontothoseagreementsandconfirmationgivenbyme/usintheaccountopeningformandtheDPagreementexecutedbyme/usforopeningtheDPaccount.

I/Weam/areagreeabletooperatethisbeneficialowneraccountforthesolepurposeofholdingandtransactinginelectronicwarehousereceipts and shall be solely responsible for costs and consequences of receiving credit of any other commodities into this account in the event of such credit being made owing to instructions issued by the me/us. The DP may levy special charges to transfer such commodities out of this account, in addition to the charges listed in Fee Schedule. However, if I/we get any erroneous credit of commodities in this account, I/We will assist the DP in restoring the commodities into the account from which the commodities were received in my/our account

I/We am/are agreeable that the charges related to the warehousing service shall be settled in accordance with the arrangement agreed to by me/us, Depository Participant and the Warehouse without any recourse to the Depository.

Inconfirmationoftheabove,

14x x x

27

Annexure - A

Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSLDefinitions :

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

1. “Depository”meansCentralDepositoryService(India)LimitedacompanyincorporatedinIndiaundertheCompaniesAct1956andhavingitsregisteredofficeat17thFloor,P.J.Towers,DalalStreet,Fort,Mumbai400001andallitsbranchofficesand includes its successors and assigns.

2. ‘DP’ means Depository Participant of CDSL. The term covers all types of Dps who are allowed to open demat accounts for investors.

3. ‘BO’ means an entity that has opened a demat account with the depository. the term covers all types of demat accounts, whichcanbeopenedwithadepositoryasspecifiedbydepositoryfromtimetotime.

4. SMSmeans“ShortmessagingService”

5. “Alerts”meansacustomizedSMSsenttotheBOoverthesaidmobilephonenumber.

6. “ServiceProvider”meansacellularserviceprovider(s)withwhomthedepositoryhasentered/willbeenteringintoanarrangement for providing the SMS alerts to the BO.

7. “Service”meanstheserviceofprovidingSMSalertstotheBOonbesteffortbasisasperthesetermsandconditions.

Availablity:

1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be available to those accountholders who have provided their mobile numbers to the depository through their DP. The services may bediscontinuedforaspecificperiod/indefiniteperiod,withorwithoutissuinganypriornoticeforthepurposeofsecurityreasons or system maintenance or for such other reasons as may be warranted. The depository may also discontinue the service at any time without giving prior notice for any reason whatsoever.

2. The service is currently available to the BOs who are residing in india.

3. The alerts will be provided to the BOs only if they remain within the range of the service provider’s service area or within the range forming part of the roaming network of the service provider.

4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobilenumberassubmittedatthetimeofregistration/modification.

5. The BO is responsible for prompty intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the BO wants to receive the alerts from the depository. In case of change in mobile number not intimated to the depository, the SMS alerts will continue to be sent to the last registered mobile phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobile number.

Receiving Alerts:

1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such number replaced and informed by the BO from time to time. Upon such registration / change, the depository shall make every effort to update the change in mobile number within a reasonable period of time. The depository shall not be responsible for any event of delay or loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if the mobile phone is in ‘ON’ and in a mode to receive the SMS. If the mobile phone is in ‘Off’ mode i.e. unable to receive the alerts then the BO may not get / get after delay any alerts sent during such period.

3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on many factors including the infrastructure, connectivity of the service provider. The depository shall not be responsible for any non-deivery, delayed delivery or distortion of the alert in any way whatsoever.

4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptible to error, omission and / or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the depository and / or the DP immediately in writing and the depository will make best possible efforts to rectify the errors as early as possible. The BO shall not hold the depository liable for any loss, damages, etc. that may be incurred / suffered by the BO on account of opting to avail SMS alerts facility.

5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the

28

depositorymayconsiderappropriate,totheBO.TheBOagreestoanongoingconfirmationforuseofname,emailaddressand mobile number for marketing offers between CDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing of any unauthorised debit to his BO account / unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. The BO may send an email to CDSL at [email protected]. The BO is advised not to inform the service provider about any such unauthorized debit to / transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository.

7. TheinformationsentasanalertonthemobilephonenumbershallbedeemedtohavebeenreceivedbytheBOandthedepositoryshallnotbeunderanyobligationtoconfirmtheauthenticityoftheperson(s)receivingthealert.

8. Thedepositorywillmakebesteffortstoprovidetheservice.TheBOcannotholdthedepositoryliablefornon-availabilityofthe service in any manner whatsoever.

9. IftheBOfindsthattheinformationsuchasmobilenumberetc.,hasbeenchangedwithoutproperauthorization,theBOshould immediately inform the DP in writing.

Fees:

DepositoryreservestherighttochargesuchfeesfromtimetotimeasitdeemsfitforprovidingthisservicetotheBO.

Disclaimer:

ThedepositoryshallmakereasonableeffortstoensurethattheBO’spersonalinformationiskeptconfidential.ThedepositorydoesnotwarrantytheconfidentialityorsecurityoftheSMSalertstransmittedthroughaserviceprovider.Further,thedepositorymakesno warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The depository will not be liable for any unauthorized use or access to the information and / or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use / misuse of such information by any third person.

Liability and Indemnity:

Thedepositoryshallnotbeliableforanybreachofconfidentialitybytheserviceproviderorbyanythirdpersonduetounauthorizedaccess to the information meant for the BO. In consideration of the depsitory providing the service, the BO agrees to indemnify andkeepsafe,harmlessandindemnifiedthedepositoryanditsofficialsfromanydamages,claims,demands,proceedings,loss,cost,chargesandexpensewhatsoeverwhichadepositorymayatanytimeincur,sustain,sufferorbeputtoasaconsequenceof or arising out of interference with or misuse, improper or fradulent use of the service by the BO.

Amendments:

The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shall be binding on the BOs who are already registered as user of this service.

Governing Law and Jurisdiction:

ProvidingtheServiceasoutlinedaboveshallbegovernedbythelawsofIndiaandwillbesubjecttotheexclusivejurisdictionof the courts in mumbai.

I/We wish to avail the SMS Alerts facility provided by the depository on my / our mobile number provided in the registration form subject to the terms and conditions mentioned below. I/We consent to CDSL providing to the service provider such information pertaining to account / transactions in my/ our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobile number.

I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from time to time. I/we further undertake to pay fee/charges as may be levied by the depository from time to time.

I/WefurtherunderstandthattheSMSalertswouldbesentforamaximumfourISINsatatime.Ifmorethanfourdebitstakeplace, the BOs would be required to take up the matter with their DP.

I/We am/are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the depository for providing the service.

29

+ 9 1

1 2 0 3 7 6 0 0

(Sole / First Holder) Second Holder Third Holder

Place ______________________ Date __________________________

x x x

15

I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable)

(Please write your 8 digit DPID) (Please write your 8 digit client ID)

Sole/First Holder’s Name

Second Holder’s Name

Third Holder’s Name

Mobile Number on which messages are to be sent (Please write only the mobile number with our prefixing country code or zero)

The mobile number is registered in the name of

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

Signatures

30

Let it be known to all persons by these presents thatI / We,

1st Holder

1. Mr. / Mrs. / Miss_____________________________________________________


residing at ___________________________________________________________

_____________________________________________________________________

2. Mr. / Mrs. / Miss_____________________________________________________


residing at ___________________________________________________________

_____________________________________________________________________

3. Mr. / Mrs. / Miss_____________________________________________________


residing at ___________________________________________________________

_____________________________________________________________________

hereinafter collectively referred to as “Holders”which term shall unlessrepugnanttothemeaningandcontextthereofbedeemedtomeanandincludemy/ourheirs,executors,administratorsandlegalrepresentativesasthecasemay be send greetings; Whereas I / We wish to participate in web based / non webbased trading facilities, investmentsandotherfinancialservicesbeingoffered by Aditya Birla Commodities Broking Limited (ABCBL) including but not limited to trading in Commodities, Commodities Derivative Contracts, Mutual Funds / IPO’s etc. either through its website www.adityabirlamoney.com or

through any other website launched by ABCBL or through ABCBL branches or any other sub broker / authorized person branch etc.

Whereas I / We have opened trading account (s) with ABCBL and have opened a demat account (s) with ABML vide the demat accounts mentioned in Schedule 1 hereunder or such other demat account (s) as may be intimated by me / us toABMLfromtimetotime(clientdesignateddemataccounts)byexecutingthenecessarydocuments/agreementsforavailingthevariousonline/offlinetrading / investment facilities offered by ABCBL.

Whereas in course of availing various services and for meeting the settlement (delivery)and/ormarginobligationsthereofonthevariousExchanges,I/Wehereby nominate, empower, constitute and appoint Aditya Birla Money Limited, a companyregisteredundertheCompaniesAct,1956havingitsregisteredofficeat Indian Rayon Compound, Veraval, Gujarat - 362 266 (hereinafter referred to as attorney which terms shall include its legal representatives, successors in interest etc.) acting through their authorized signatories, as our lawful attorneys todo,executeandperformseverallythefollowingacts,deeds,thingsetc.:

POWER OF ATTORNEY

x x x16

1. Tosign/executephysical/digitaldeliveryinstructionslipsonmy/ourbehalf for the purpose of transfer of commodities / warehouse receipts from the our above referred demat account(s) to the various pool account(s) of ABCBL as provided in Schedule 2 or such other pool account (s) as may be intimated to me / us by ABCBL from time to time (designated broker pool accounts) to meet all settlement (delivery) obligations arising out of tradesexecutedormaybeexecutedbyme/usonthevariouscommoditiesexchangesinwhichABCBLisregisteredandintermsofthemember–clientagreementsexecutedbyme/uswithABCBL.

2. Tosign/executephysical/digitaldeliveryinstructionslipsonourbehalffor the purpose of transfer of commodities / warehouse receipts from my / our above referred demat account (s) to the margin / base capital account (s) of ABCBL as provided in Schedule 3 or such other margin account (s) as may be intimated to me / us by ABCBL from time to time designated marginaccounts)respectivelytomeetallourmargin/exposureobligationsinconnectionwiththetradesexecutedormaybeexecutedbyme/usonvariouscommoditiesexchangesinwhichABCBLisregisteredandintermsofthemember-clientagreementsexecutedbyme/uswithABCBL.

3. To subscribe and receive delivery instruction booklets in addition to the delivery instruction booklets issued to me / us.

4. To apply / subscribe (through all modes) to various Initial Public Offering of equity shares, scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment scheme or any othersecurities/financialinvestmentsetc.

5. To provide required information pertaining to our accounts to various authorities / intermediaries /companies to enable the processing of above referred applications / subscriptions.

6. Tosign/executeallapplications/documentspertainingtoInitialPublicOfferings of equity shares, scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment scheme oranyothersecurities/financialinvestmentsetc.

7. TotransfertoABCBLmonies/fees/chargesetc.payabletowardsdemataccount transactions and maintenance charges, subscription of Initial Public Offerings of equity shares, scrips, stocks, bonds, debentures, rights, offer of shares, tendering shares in open offers, mutual fund units, mutual fund schemes, mutual fund products, units of any collective investment schemeoranyothersecurities/financialinvestmentsetc.

8. Todoallsuchacts,deedsandthingsasmaybenecessarytofulfillallthe afore mentioned purposes on my / our behalf. Whereas I / We shall ensurethatsufficientnumberofcommodities/warehousereceiptsareavailable in my / our demat accounts so as to enable the attorney to as effect deliveries to the pool / margin account of ABCBL.

9. To pledge the commodities / warehouse receipts in favour of the ABCBL for the limited purpose of meeting my/our margin requirements in connection with the tradesexecutedbyme/usonany commodities exchange (s)through ABCBL.

1st Holder 2nd Holder 3rd Holder

31

Whereas disputes, if any, related to trading transactions shall be resolved in accordance to theByelawsof the respective commodities exchanges anddisputes if any related to demat transactions shall be resolved in accordance to the Business Rules of the respective depositories.

Whereas ABML shall return / all the commodities / warehouse receipts that may have been erroneously received by it or those commodities / warehouse receipts that it is not entitled to receive from me / us where such erroneous transfers were effected using the power given hereunder.

In witness whereof I / We have signed this POWER OF ATTORNEY on this the day of , 20 .


x x x17

Witness (1)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Witness (2)

Signature ______________________________________________

Name _________________________________________________

Address _______________________________________________

______________________________________________________

Whereas I / We do hereby agree that all the acts, deeds and things committed by the attorney under this limited power of attorney shall be construed as acts, deedsandthingscommittedbyme/usandI/Weratifyandconfirmthatallsuch acts, deeds and things and whatsoever the attorney shall lawfully do or cause to be done on our behalf by virtue of the powers given above.

I/WefurtheragreeandconfirmthatthepowersandauthoritiesconferredbythisPower of Attorney shall continue until it is revoked (without notice) in writing by me / us and that the said revocation shall be effective from the date on whichtherevocationnoticeisreceivedbytheattorneyatitsRegisteredoffice.

S.No. Designated Broker Pool Accounts

1

2

3

4

S.No. Designated Client Demat Acount (s)

1

2

3

4

S.No. Designated Broker Margin Accounts

1

2

3

4

Schedule 2

Schedule 1

Schedule 3

32

REQUIREMENTS OF PROOFS FOR RESIDENT INDIVIDUAL ACCOUNT

REQUIREMENTS OF PROOFS FOR HUF TRADING ACCOUNT

Vers

ion

2.0_

10/2

011

Aditya Birla Money LimitedAli Centre, No. 53, Greams Road, Chennai – 600 006.

Telephone : 044 – 3919 0002 / 03 Fax : 28290835 DP ID : _____________________

We hereby acknowledge the receipt of the Account Opening Application Form :

Name of the Sole / First Holder __________________________________________________________

Name of Second Joint Holder ___________________________________________________________

Name of Third Joint Holder _____________________________________________________________

Date :____________________

Depository Participant Seal and SignatureApplication No.

CHECK LIST

LIST OF DOCUMENTS CUSTOMER USE BRANCH USE H.O. USEPROOF OF IDENTITY (Any one of the following)PAN CARDDRIVING LICENCEPASSPORTVOTER ID CARDRATION CARDPROOF OF ADDRESS (Any one of the following)PASSPORTDRIVING LICENCEVOTER ID CARDRATION CARDBANK PASSOOK

RESIDENCE PHONE BILL – NOT MORE THAN 2 MONTHS OLDELECTRICITY BILL – NOT MORE THAN 2 MONTHS OLDINSURANCE POLICYBANK ACCOUNT PROOFBANK PASS BOOK / BANK STATEMENTCANCELLED CHEQUE LEAF (FOR MICR PURPOSE)DEMAT PROOF (OPTIONAL)CLIENT MASTER REPORT (WITH SEAL OF DP)

TRANSATION/HOLDING STATEMENT (WITH SEAL OF DP)COPY OF LATEST INCOME TAX RETURN (OPTIONAL)SELF CERTIFIED PHOTOCOPY OF PAN CARD (Declaration if the Client does not

have PAN, in the form prescribed by the Income Tax Department)

LIST OF DOCUMENTS BRANCH USE H.O. USESIGNED PHOTOGRAPH OF THE KARTAPROOF OF IDENTITY OF THE KARTACOPY OF PAN CARD OF HUFHUF BANK PROOFADDRESS PROOF OF KARTADP ACCOUNT IN HUF NAME (Optional)

Aditya Birla Commodities Broking Limited - Login …emacs.adityabirlamoney.com/abm/circular/NSEL...

Documents

Transcript of Aditya Birla Commodities Broking Limited - Login …emacs.adityabirlamoney.com/abm/circular/NSEL...