CoimbatoreCapital f

16124

CLIENT'S COPY

Application No.

Coimbatore Capital LimitedAll columns are to be filled in by the client and relevant supporting documents need to be attached by the client. Ifany question is not applicable, please write 'NA' in the space provided. Any correction or overwriting should alsobe authenticated by the client signature besides such correction. Please do not use correction fluid.

All proofs should be in the name of the client with the spelling matching exactly with the application. Clientshould produce the originals of the supporting documents for verification at the time of submitting theapplication,

ACCOUNT OPENING KITIndex*

SI.No. Name of the Document Brief significance of the Document Page No. /

Ref. Nos.

DOCKET AMANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & NSE

1.

2.

3.

4.

5.

6.

Account Opening Form(AOF)

Rights and Obligations*

Risk Disclosure Document(RDD)*

Guidance Note *

Policies and Procedures *

Tariff Sheet*

A. KYC form - Document captures the basic informationabout the constituent(Ref. A-E of instruction/check list)

B. Document captures additional information about theconstituent relevant to trading account(Ref. F of instruction/check list)

Document stating the Rights & Obligations of CoimbatoreCapital Limited and client for trading on NSE (includingadditional rights & obligations in case of internet / wirelesstechnology based trading)

Document detailing risks associated with dealing in thesecurities market.

Document detailing do's and don'ts for trading on NSE, forthe education of the investors.

Document describing significant policies and procedures ofCoimbatore Capital Limited.

Document detailing the rate/amount of brokerage and othercharges levied on the client for trading on NSE .

Annexure-1(Part I of

Annexure J)

3-7Annexure-2

8-12Annexure-3

13-16Annexure-4

16-17Annexure-5

18-22Annexure-6

22Annexure-7

DOCKET BDOCUMENTS AS PROVIDED BY COIMBATORE CAPITAL LIMITED

(Additional / Non-Mandatory)

7.

8.

9.

10.

11.

12

Additional AccountOpening Form

Additional Rights andObligations *

Dematerialised SharesCredit Authorisation *

Intimation of E-Mail ID forelectronic delivery *

Running AccountAuthorisation *

Inter Segment Transfer ofFunds - Standing Instruction *

Document captures additional information about theconstituent.

Documents stating the additional Rights and Obligations ofCoimbatore Capital Limited & Client for trading onNSE.

Authorisation for receiving credits of the shares to the client'sdemat account

Helps the client to receive documents in electronic form

Helps the client to enjoy exposures linked to the credit in thetrading account

Helps the client to transfer his/her funds between the segments)registered with CCap

23-24Annexure-8

25-29Annexure-9

31Annexure-10

31Annexure- 11

32Annexure-1 2

33Annexure- 13

CoimbatoreCapital

SI.No.

13

14

15

16

Name of the Document

Updation for alerts by NSE *

Declaration forMobile Number *

Client DefaulterDeclaration *

Declaration regardingvoluntary requirements *

Brief significance of the Document

Help the client to received sms & email alerts by NSE forhis/her transactions in the Trading Account

Declaration to Member for receiving information/alerts/SMS/call on the mobile number of the client

Declaration by client that he/she is not associated in terroristactivities or is debarred by the regulators

Declaration regarding the execution of non-mandatorydocuments for the smooth conduct of business

Page/Ref.Nos.

33Annexure-14

34Annexure-15

34Annexure-16

34Annexure-17

17 Client authorisation to operate his/her trading account through another person

17a

17b

AuthorisedRepresentative Form

Special Power of Attorney

To be submitted along with Special Powerof Attorneywith Passport size photo of the client and theauthorised person pasted and cross signed.

Special Power of Attorney executed on Rs. 100non-judicial stamp paper as per the format providedby C Cap to be submitted along with the application

Availableseparatelywith CCap

Availableseparatelywith CCap

* Standard set of Documents given to the constituent.

Contact Details

Name of stock broker/trading member/ clearing member

SEBI Registration No. and date

Registered/Correspondence officeaddress

Compliance Officer

Chief Executive Officer (CEO)

Coimbatore Capital Limited

CM Segment : INB 230752939Futures & Options Segment : INF 230752939Currency Derivatives Segment : INE 230752939

26.07.199526.06.200027.08.2008

Stock Exchange BuildingT Floor, 686, Trichy Road, Coimbatore - 641 005Tel: (0422) 232 02 02 - 06 Fax: (0422) 232 02 1 1Email : ccap@coimbatorecapital.netWebsite: www.coimbatorecapital.com

N. VijayakumarMobile : 93454 04440Email: n.viyajakumar@ccap.co.in

Mr B VenkateswaranTel:0422-652 25 25 Mobile : 93447 74141Email: bvn@coimbatorecapital.net

For any grievance/dispute please contactCoimbatore Capital Limited (CCap) at the above address or email id i grc@coimbatorecapital.net andPhone No.91 -0422-652 25 25 / 9345404440.

In case not satisfied with the response, please contactNational Stock Exchange of India Limited (NSE) at ignse@nse.co.in and Phone No.91-022-26598190 andFaxNo. 91-022-26598190Securities Exchange Board of India (SEBI) at sebisro@sebi.gov.in and Phone No.91 -44-24674000 / 24674150and Fax No. 91 -44-24674001

CoimbatoreCapitai

Annexure -3 RIGHTS AND OBLIGATIONSOF STOCK BROKERS, SUB-BROKERS AND CLIENTS

as prescribed by SEBI and NSE

1. The client shall invest/trade in those securities /contracts /other instruments admitted to dealingson the Exchanges as defined in the Rules, Byelawsand Regulations of Exchanges/ Securities andExchange Board of India (SEBI) andcirculars/notices issued there under from time totime.

2. The stock broker, sub-broker and the client shall bebound by all the Rules, Byelaws and Regulations ofthe Exchange and circulars/notices issued thereunder and Rules and Regulations of SEBI andrelevant notifications of Government authorities asmay be in force from time to time.

3. The client shall satisfy itself of the capacity of thestock broker to deal in securities and/or deal inderivatives contracts and wishes to execute itsorders through the stock broker and the client shallfrom time to time continue to satisfy itself of suchcapability of the stock broker before executingorders through the stock broker.

4. The stock broker shall continuously satisfy itselfabout the genuineness and financial soundness ofthe client and investment objectives relevant to theservices to be provided.

5. The stock broker shall take steps to make the clientaware of the precise nature of the Stock broker'sliability for business to be conducted, including anylimitations, the liability and the capacity in whichthe stock broker acts.

6. The sub-broker shall provide necessary assistanceand co-operate with the stock broker in all itsdealings with the client(s).

CLIENT INFORMATION

7. The client shall furnish all such details in full as arerequired by the stock broker in "Account OpeningForm" with supporting details, made mandatory bystock exchanges/SEBI from time to time.

8. The client shall familiarize himself with all themandatory provisions in the Account Openingdocuments. Any additional clauses or documentsspecified by the stock broker shall be non-mandatory, as per terms & conditions accepted bythe client.

9. The client shall immediately notify the stock brokerin writing if there is any change in the informationin the 'account opening form' as provided at thetime of account opening and thereafter; includingthe information on winding up petition/insolvency

petition or any litigation which may have materialbearing on his capacity. The client shallprovide/update the financial information to thestock broker on a periodic basis.

10. The stock broker and sub-broker shall maintain allthe details of the client as mentioned in the accountopening form or any other information pertainingto the client, confidentially and that they shall notdisclose the same to any person/authority except asrequired under any law/regulatory requirements.Provided however that the stock broker may sodisclose information about his client to any personor authority with the express permission of theclient.

MARGINS

11. The client shall pay applicable initial margins,withholding margins, special margins or such othermargins as are considered necessary by the stockbroker or the Exchange or as may be directed bySEBI from time to time as applicable to thesegment(s) in which the client trades. The stockbroker is permitted in its sole and absolutediscretion to collect additional margins (eventhough not required by the Exchange, ClearingHouse/Clearing Corporation or SEBI) and theclient shall be obliged to pay such margins withinthe stipulated time.

12. The client understands that payment of margins bythe client does not necessarily imply completesatisfaction of all dues. In spite of consistentlyhaving paid margins, the client may, on thesettlement of its trade, be obliged to pay (or entitledto receive) such further sums as the contract maydictate/require.

TRANSACTIONS AND SETTLEMENTS

13. The client shall give any order for buy or sell of asecurity/derivatives contract in writing or in suchform or manner, as may be mutually agreedbetween the client and the stock broker. The stockbroker shall ensure to place orders and execute thetrades of the client, only in the Unique Client Codeassigned to that client.

14. The stock broker shall inform the client and keephim apprisal about trading/settlement cycles,delivery/payment schedules, any changes thereinfrom time to time, and it shall be the responsibilityin turn of the client to comply with suchschedules/procedures of the relevant stockexchange where the trade is executed.

CoimbatoreCapitalt15. The stock broker shall ensure that the

money/securities deposited by the client shall bekept in a separate account, distinct from his/its ownaccount or account of any other client and shall notbe used by the stock broker for himself/itself or forany other client or for any purpose other than thepurposes mentioned in Rules, Regulations,circulars, notices, guidelines of SEBI and/or Rules,Regulations, Bye-laws, circulars and notices ofExchange.

16- Where the Exchange(s) cancels trade(s) suo motoall such trades including the trade/s done on behalfof the client shall ipso facto stand cancelled, stockbroker shall be entitled to cancel the respectivecontract(s) with client(s).

17. The transactions executed on the Exchange aresubject to Rules, Byelaws and Regulations andcirculars/notices issued thereunder of theExchanges where the trade is executed and allparties to such trade shall have submitted to thejurisdiction of such court as may be specified by theByelaws and Regulations of the Exchanges wherethe trade is executed forthe purpose of giving effectto the provisions of the Rules, Byelaws andRegulations of the Exchanges and thecirculars/notices issued thereunder.

BROKERAGE

18. The Client shall pay to the stock broker brokerageand statutory levies as are prevailing from time totime and as they apply to the Client's account,transactions and to the. services that stock brokerrenders to the Client. The stock broker shall notcharge brokerage more than the maximumbrokerage permissible as per the rules, regulationsand bye-laws of the relevant stock exchangesand/orrules and regulations of SEBI.

LIQUIDATION AND CLOSE OUT OFPOSITION

19. Without prejudice to the stock broker's other rights(including the right to refer a matter to arbitration),the client understands that the stock broker shall beentitled to liquidate/close out all or any of theclient's positions for non-payment of margins orother amounts, outstanding debts, etc. and adjustthe proceeds of such liquidation/close out, if any,against the client's liabilities/obligations. Any andall losses and financial charges on account of suchliquidation/closing-out shall be charged to andborne by the client.

20. In the event of death or insolvency of the client orhis/its otherwise becoming incapable of receivingand paying for or delivering or transferringsecurities which the client has ordered to be bought

or sold, stock broker may close out the transactionof the client and claim losses, if any, against theestate of the client. The client or his nominees,successors, heirs and assignee shall be entitled toany surplus which may result there from. The clientshall note that transfer of funds/securities in favorof a Nominee shall be valid discharge by the stockbroker against the legal heir.

21. The stock broker shall bring to the notice of therelevant Exchange the information about default inpayment/delivery and related aspects by a client. Incase where defaulting client is a corporateentity/partnership/proprietary firm or any otherartificial legal entity, then the name(s) ofDirector(s)/Promoter(s)/Partner(s)/Proprietor asthe case may be, shall also be communicated by thestock broker to the relevant Exchange(s).

DISPUTE RESOLUTION

22. The stock broker shall provide the client with therelevant contact details of the concernedExchanges and SEBI.

23. The stock broker shall co-operate in redressinggrievances of the client in respect of alltransactions routed through it and in removingobjections for bad delivery of shares, rectificationof bad delivery, etc.

24. The client and the stock broker shall refer anyclaims and/or disputes with respect to deposits,margin money, etc., to arbitration as per the Rules,Byelaws and Regulations of the Exchanges wherethe trade is executed and circulars/notices issuedthereunder as may be in force from time to time.

25. The stock broker shall ensure faster settlement ofany arbitration proceedings arising out of thetransactions entered into between him vis-a-vis theclient and he shall be liable to implement thearbitration awards made in such proceedings.

26. The client/stock-broker understands that theinstructions issued by an authorized representativefor dispute resolution, if any, of the client/stock-broker shall be binding on the client/stock-brokerin accordance with the letter authorizing the saidrepresentative to deal on behalf of the saidclient/stock-broker.

TERMINATION OF RELATIONSHIP

27. This relationship between the stock broker and theclient shall be terminated; if the stock broker forany reason ceases to be a member of the stockexchange including cessation of membership byreason of the stock broker's default, death,resignation or expulsion or if the certificate iscancelled by the Board.

CoimbatoreCapitalt28. The stock broker, sub-broker and the client shall be

entitled to terminate the relationship between themwithout giving any reasons to the other party, aftergiving notice in writing of not less than one monthto the other parties. Notwithstanding any suchtermination, all rights, liabilities and obligations ofthe parties arising out of or in respect oftransactions entered into prior to the termination ofthis relationship shall continue to subsist and vestin/be binding on the respective parties or his/itsrespective heirs, executors, administrators, legalrepresentatives or successors, as the case may be.

29. In the event of demise/insolvency of the sub-brokeror the cancellation of his/its registration with theBoard or/withdrawal of recognition of the sub-broker by the stock exchange and/or termination ofthe agreement with the sub broker by the stockbroker, for any reason whatsoever, the client shallbe informed of such termination and the client shallbe deemed to be the direct client of the stock brokerand all clauses in the 'Rights and Obligations'documents) governing the stock broker, sub-broker and client shall continue to be in force as it is,unless the client intimates to the stock broker his/itsintention to terminate their relationship by giving anotice in writing of not less than one month.

ADDITIONAL RIGHTS ANDOBLIGATIONS

30. The stock broker shall ensure due protection to theclient regarding client's rights to dividends, rightsor bonus shares, etc. in respect of transactionsrouted through it and it shall not do anything whichis likely to harm the interest of the client with whomand for whom they may have had transactions insecurities.

31. The stock broker and client shall reconcile andsettle their accounts from time to time as per theRules, Regulations, Bye Laws, Circulars, Noticesand Guidelines issued by SEBI and the relevantExchanges where the trade is executed.

32. The stock broker shall issue a contract note to hisconstituents for trades executed in such format asmay be prescribed by the Exchange from time totime containing records of all transactionsincluding details of order number, trade number,trade time, trade price, trade quantity, details of thederivatives contract, client code, brokerage, allcharges levied etc. and with all other relevantdetails as required therein to be filled in and issuedin such manner and within such time as prescribedby the Exchange. The stock broker shall sendcontract notes to the investors within one workingday of the execution of the trades in hard copyand/or in electronic form using digital signature.

33. The stock broker shall make pay out of funds ordelivery of securities, as the case may be, to theClient within one working day of receipt of thepayout from the relevant Exchange where the tradeis executed unless otherwise specified by the clientand subject to such terms and conditions as may beprescribed by the relevant Exchange from time totime where the trade is executed.

34. The stock broker shall send a complete 'Statementof Accounts' for both funds and securities in respectof each of its clients in such periodicity and formatwithin such time, as may be prescribed by therelevant Exchange, from time to time, where thetrade is executed. The Statement shall also statethat the client shall report errors, if any, in theStatement within such time as may be prescribedby the relevant Exchange from time to time wherethe trade was executed, from the receipt thereof tothe Stock broker.

35. The stock broker shall send daily marginstatements to the clients. Daily Margin statementshould include, inter-alia, details of collateraldeposited, collateral utilized and collateral status(available balance/due from client) with break upin terms of cash, Fixed Deposit Receipts (FDRs),Bank Guarantee and securities.

36. The Client shall ensure that it has the required legalcapacity to, and is authorized to, enter into therelationship with stock broker and is capable ofperforming his obligations and undertakingshereunder. All actions required to be taken toensure compliance of all the transactions, whichthe Client may enter into shall be completed by iheClient prior to such transaction being entered into.

ELECTRONIC CONTRACT NOTES (ECN)

37. In case, client opts to receive the contract note inelectronic form, he shall provide an appropriate e-mail id to the stock broker. The client shallcommunicate to the stock broker any change in theemail-id through a physical letter. If the client hasopted for internet trading, the request for change ofemail id may be made through the secured accessby way of client specific user id and password.

38. The stock broker shall ensure that all ECNs sentthrough the e-mail shall be digitally signed,encrypted, non-tamper able and in compliancewith the provisions of the IT Act, 2000. In case,ECN is sent through e-mail as an attachment, theattached file shall also be secured with the digitalsignature, encrypted and non-tarn perable.

39. The client shall note that non-receipt of bouncedmail notification by the stock broker shall amountto delivery of the contract note at the e-mail ID ofthe client.

10

40. The stock broker shall retain ECN andacknowledgement of the e-mail in a soft and non-tamperable form in the manner prescribed by theexchange in compliance with the provisions of theIT Act, 2000 and as per the extant rules/regulations/circulars/guidelines issued bySEBI/Stock Exchanges from time to time. Theproof of delivery i.e., log report generated by thesystem at the time of sending the contract notesshall be maintained by the stock broker for thespecified period under the extant regulations ofSEBI/stock exchanges. The log report shall providethe details of the contract notes that are notdelivered to the client/e-mails rejected or bouncedback. The stock broker shall take all possible stepsto ensure receipt of notification of bounced mailsby him at all times within the stipulated time periodunder the extant regulations of SEBI/stockexchanges.

41. The stock broker shall continue to send contractnotes in the physical mode to such clients who donot opt to receive the contract notes in theelectronic form. Wherever the ECNs have not beendelivered to the client or has been rejected(bouncing of mails) by the e-mail ID of the client,the stock broker shall send a physical contract noteto the client within the stipulated time under theextant regulations of SEBI/stock exchanges andmaintain the proof of delivery of such physicalcontract notes.

42. In addition to the e-mail communication of theECNs to the client, the stock broker shallsimultaneously publish the ECN on his designatedweb-site, if any, in a secured way and enablerelevant access to the clients and for this purpose,shall allot a unique user name and password to theclient, with an option to the client to save thecontract note electronically and/or take a print outof the same.

LAW AND JURISDICTION

43. In addition to the specific rights set out in thisdocument, the stock broker, sub-broker and theclient shall be entitled to exercise any other rightswhich the stock broker or the client may have underthe Rules, Bye-laws and Regulations of theExchanges in which the client chooses to trade andcirculars/notices issued thereunder or Rules andRegulations of SEBI.

44. The provisions of this document shall always besubject to Government notifications, any rules,regulations, guidelines and circulars/notices issuedby SEBI and Rules, Regulations and Bye laws ofthe relevant stock exchanges, where the trade isexecuted, that may be in force from time to time.

Coim batoreCapital

45. The stock broker and the client shall abide by anyaward passed by the Arbitrators) under theArbitration and Conciliation Act, 1996. However,there is also a provision of appeal within the stockexchanges, if either party is not satisfied with thearbitration award.

46. Words and expressions which are used in thisdocument but which are not defined herein shall,unless the context otherwise requires, have thesame meaning as assigned thereto in the Rules,Byelaws and Regulations and circulars/noticesissued thereunderoftheExchanges/SEBI.

47. All additional voluntary clauses/document addedby the stock broker should not be in contraventionwith rules/regulations/notices/circulars ofExchanges/SEBI. Any changes in such voluntaryclauses/document(s) need to be preceded by anotice of 15 days. Any changes in the rights ando b l i g a t i o n s w h i c h are specif ied byExchanges/SEBI shall also be brought to the noticeof the clients.

48. If the rights and obligations of the parties hereto arealtered by virtue of change in Rules and regulationsof SEBI or Bye-laws, Rules and Regulations of therelevant stock Exchanges where the trade isexecuted, such changes shall be deemed to havebeen incorporated herein in modification of therights and obligations of the parties mentioned inthis document.

INTERNET & WIRELESS TECHNOLOGYBASED TRADING FACILITY PROVIDEDBY STOCK BROKERS TO CLIENT

(All the clauses mentioned in the 'Rights andObligations' document(s) shall be applicable.Additionally, the clauses mentioned hereinshall also be applicable.)

1. Stock broker is eligible for providing Internetbased trading (IBT) and securities trading throughthe use of wireless technology that shall include theuse of devices such as mobile phone, laptop withdata card, etc. which use Internet Protocol (IP). Thestock broker shall comply with all requirementsapplicable to internet based trading/securitiestrading using wireless technology as may bespecified by SEBI & the Exchanges from time totime.

2. The client is desirous of investing/trading insecurities and forthis purpose, the client is desirousof using either the internet based trading facility orthe facility for securities trading through use ofwireless technology. The Stock broker shallprovide the Stock broker's IBT Service to the Client,and the Client shall avail of the Stock broker's IBT

II

Coim batoreCapitaleService, on and subject to SEB I/ExchangesProvisions and the terms and conditions specifiedon the Stock broker's IBT Web Site provided thatthey are in line with the norms prescribed byExchanges/SEBI.

3. The stock broker shall bring to the notice of clientthe features, risks, responsibilities, obligations andliabilities associated with securities tradingthrough wireless techno logy/internet/smart orderrouting or any other technology should be broughtto the notice of the client by the stock broker.

4. The stock broker shall make the client aware thatthe Stock Broker's IBT system itself generates theinitial password and its password policy asstipulated in line with norms prescribed byExchanges/SEBI.

5. The Client shall be responsible for keeping theUsername and Password confidential and secureand shall be solely responsible for all ordersentered and transactions done by any personwhosoever through the Stock broker's IBT Systemusing the Client's Username and/or Passwordwhether or not such person was authorized to do so.Also the client is aware that authenticationtechnologies and strict security measures arerequired for the internet trading/securities tradingthrough wireless technology through order routedsystem and undertakes to ensure that the passwordof the client and/or his authorized representativeare not revealed to any third party includingemployees and dealers of the stock broker

6. The Client shall immediately notify the Stockbroker in writing if he forgets his password,discovers security flaw in Stock Broker's IBTSystem, discovers/suspects discrepancies/unauthorized access through his username /

password / account with full details of suchunauthorized use, the date, the manner and thetransactions effected pursuant to suchunauthorized use, etc.

7. The Client is fully aware of and understands therisks associated with availing of a service forrouting orders over the internet/securities tradingthrough wireless technology and Client shall befully liable and responsible for any and all actsdone in the Client's Username/password in anymanner whatsoever.

8. The stock broker shall send the order/tradeconfirmation through email to the client at hisrequest. The client is aware that the order/ tradeconfirmation is also provided on the web portal. Incase client is trading using wireless technology, thestock broker shall send the order/tradeconfirmation on the device of the client.

9. The client is aware that trading over the internetinvolves many uncertain factors and complexhardware, software, systems, communication lines,peripherals, etc. are susceptible to interruptionsand dislocations. The Stock broker and theExchange do not make any representation orwarranty that the Stock broker's IBT Service willbe available to the Client at all times without anyinterruption.

10. The Client shall not have any claim against theExchange or the Stock broker on account of anysuspension, interruption, non-availability ormalfunctioning of the Stock broker's IBT Systemor Service or the Exchange's service or systems ornon-execution of his orders due to any link/systemfailure at the Client/Stock brokers/Exchange endfor any reason beyond the control of the stockbroker/Exchanges.

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Coim batoreCapitaltAnnexure -4 DISCLOSURE DOCUMENT FOR

CAPITAL MARKET AND DERIVATIVES SEGMENTS

This document contains important information ontrading in Equities/Derivatives Segments of the stockexchanges. All prospective constituents should read thisdocument before trading in Equities/DerivativesSegments of the Exchanges.

Stock exchanges/SEBI does neither singly or jointly andexpressly nor impliedly guarantee nor make anyrepresentation concerning the completeness, theadequacy or accuracy of this disclosure document norhave Stock exchanges /SEBI endorsed or passed anymerits of participating in the trading segments. Thisbrief statement does not disclose all the risks and othersignificant aspects of trading.

In the light of the risks involved, you should undertaketransactions only if you understand the nature of therelationship into which you are entering and the extent ofyour exposure to risk.

You must know and appreciate that trading in Equityshares, derivatives contracts or other instruments tradedon the Stock Exchange, which have varying element ofrisk, is generally not an appropriate avenue for someoneof limited resources/limited investment and/or tradingexperience and low risk tolerance. You should thereforecarefully consider whether such trading is suitable foryou in the light of your financial condition. In case youtrade on Stock exchanges and suffer adverseconsequences or loss, you shall be solely responsible forthe same and Stock exchanges/its Clearing Corporationand/or SEBI shall not be responsible, in any mannerwhatsoever, for the same and it will not be open for youto take a plea that no adequate disclosure regarding therisks involved was made or that you were not explainedthe full risk involved by the concerned stock broker. Theconstituent shall be solely responsible for theconsequences and no contract can be rescinded on thataccount. You must acknowledge and accept that therecan be no guarantee of profits or no exception fromlosses while executing orders for purchase and/or sale ofa derivative contract being traded on Stock exchanges.

It must be clearly understood by you that your dealingson Stock exchanges through a stock broker shall besubject to your fulfilling certain formalities set out by thestock broker, which' may inter alia include your fillingthe know your client form, reading the rights andobligations, do's and don'ts, etc., and are subject to theRules, Byelaws and Regulations of relevant Stockexchanges, its Clearing Corporation, guidelinesprescribed by SEBI and in force from time to time andCirculars as may be issued by Stock exchanges or itsClearing Corporation and in force from time to time.

Stock exchanges does not provide or purport to provideany advice and shall not be liable to any person whoenters into any business relationship with any stockbroker of Stock exchanges and/or any third party basedon any information contained in this document. Anyinformation contained in this document must not beconstrued as business advice. No consideration to tradeshould be made without thoroughly understanding andreviewing the risks involved in such trading. If you areunsure, you must seek professional advice on the same.

In considering whether to trade or authorize someone totrade for you, you should be aware of or must getacquainted with the following:-

1. BASIC RISKS:

1.1 Risk of Higher Volatility:

Volatility refers to the dynamic changes in price thata security/derivatives contract undergoes whentrading activity continues on the Stock Exchanges.Genera l ly , h i g h e r the vo la t i l i t y of asecurity/derivatives contract, greater is its priceswings. There may be normally greater volatility inthinly traded securities / derivatives contracts thanin active securities /derivatives contracts. As a resultof volatility, your order may only be partiallyexecuted or not executed at all, or the price at whichyour order got executed may be substantiallydifferent from the last traded price or changesubstantially thereafter, resulting in notional or reallosses.

1.2 Risk of Lower Liquidity:

Liquidity refers to the ability of market participantsto buy and/or sell securities / derivatives contractsexpeditiously at a competitive price and withminimal price difference. Generally, it is assumedthat more the numbers of orders available in amarket, greater is the liquidity. Liquidity isimportant because with greater liquidity, it is easierfor investors to buy and/or sell securities /derivatives contracts swiftly and with minimal pricedifference, and as a result, investors are more likelyto pay or receive a competitive price for securities /derivatives contracts purchased or sold. There maybe a risk of lower liquidity in some securities /derivatives contracts as compared to activesecurities / derivatives contracts. As a result, yourorder may only be partially executed, or may beexecuted with relatively greater price difference ormay not be executed at all.

13

CoimbatoreCapitalt1.2.1 Buying or selling securities / derivatives contracts

as part of a day trading strategy may also result intolosses, because in such a situation, securities /derivatives contracts may have to be sold /purchased at low / high prices, compared to theexpected price levels, so as not to have any openposition or obligation to deliver or receive a security/ derivatives contract.

1.3 RiskofWiderSpreads:

Spread refers to the difference in best buy price andbest sell price. It represents the differential betweenthe price of buying a security / derivatives contractand immediately selling it or vice versa. Lowerliquidity and higher volatility may result in widerthan normal spreads for less liquid or illiquidsecurities / derivatives contracts. This in turn willhamper better price formation.

1.4 Risk-reducing orders:

The placing of orders (e.g., "stop loss" orders, or"limit" orders) which are intended to limit losses tocertain amounts may not be effective many a timebecause rapid movement in market conditions maymake it impossible to execute such orders.

1.4.1 A "market" order will be executed promptly,subject to availability of orders on opposite side,without regard to price and that, while the customermay receive a prompt execution of a "market" order,the execution may be at available prices ofoutstanding orders, which satisfy the order quantity,on price time priority. It may be understood thatthese prices may be significantly different from thelast traded price or the best price in that security /derivatives contract.

1.4.2 A "limit" order will be executed only at the "limit"price specified for the order or a better price.However, while the customer receives priceprotection, there is a possibility that the order maynot be executed at all.

1.4.3 A stop loss order is generally placed "away" fromthe current price of a stock / derivatives contract, andsuch order gets activated if and when the security /derivatives contract reaches, or trades through, diestop price. Sell stop orders are entered ordinarilybelow the current price, and buy stop orders areentered ordinarily above the current price. When thesecurity /-derivatives contract reaches the pre -determined price, or trades through such price, thestop loss order converts to a market/limit order andis executed at the limit or better. There is noassurance therefore that the limit order will beexecutable since a security / derivatives contractmight penetrate the pre-determined price, in whichcase, the risk of such order not getting executedarises, just as with a regular limit order.

1.5 Risk of News Announcements:News announcements that may impact the price ofstock / derivatives contract may occur duringtrading, and when combined with lower liquidityand higher volatility, may suddenly cause anunexpected positive or negative movement in theprice of the security / contract.

1.6 Risk of Rumors:Rumors about companies / currencies at times floatin the market through word of mouth, newspapers,websites or news agencies, etc. The investors shouldbeware of and should desist from acting on rumors.

1.7 System Risk:

High volume trading will frequently occur at themarket opening and before market close. Such highvolumes may also occur at any point in the day.These may cause delays in order execution orconfirmation.

1.7.1 During periods of volatility, on account of marketparticipants continuously modifying their orderquantity or prices or placing fresh orders, there maybe delays in order execution and its confirmations.

1.7.2 Under certain market conditions, it may bedifficult or impossible to liquidate a position in themarket at a reasonable price or at all, when there areno outstanding orders either on the buy side or thesell side, or if trading is halted in a security /derivatives contract due to any action on account ofunusual trading activity or security / derivativescontract hitting circuit filters or for any other reason.

1.8 System/Network Congestion:

Trading on exchanges is in electronic mode, basedon satellite/leased line based communications,combination of technologies and computer systemsto place and route orders. Thus, there exists apossibility of communication failure or systemproblems or slow or delayed response from systemor trading halt, or any such other problem/glitchwhereby not being able to establish access to thetrading system/network, which may be beyondcontrol and may result in delay in processing or notprocessing buy or sell orders either in part or in full.You are cautioned to note that although theseproblems may be temporary in nature, but when youhave outstanding open positions or unexecutedorders, these represent a risk because of yourobligations to settle all executed transactions.

2. As far as Derivatives segments are concerned,please note and get yourself acquainted with thefollowing additional features:-

2.1 Effect of "Leverage" or "Gearing":In the derivatives market, the amount of margin issmall relative to the value of the derivatives contract

14

CoimbatoreCapitaltso the transactions are 'leveraged' or 'geared'.Derivatives trading, which is conducted with arelatively small amount of margin, provides thepossibility of great profit or loss in comparison withthe margin amount. But transactions in derivativescany ahigh degree of risk.

You should therefore completely understand thefollowing statements before actually trading inderivatives and also trade with caution while takinginto account one's circumstances, financialresources, etc. If the prices move against you, youmay lose a part of or whole margin amount in arelatively short period of time. Moreover, the lossmay exceed the original margin amount.

A. Futures trading involve daily settlement of allpositions. Every day the open positions are markedto market based on the closing level of the index /derivatives contract. If the contract has movedagainst you, you will be required to deposit theamount of loss (notional) resulting from suchmovement. This amount will have to be paid withina stipulated time frame, generally beforecommencement of trading on next day.

B. If you fail to deposit the additional amount by thedeadline or if an outstanding debt occurs in youraccount, the stock broker may liquidate a part of orthe whole position or substitute securities. In thiscase, you will be liable for any losses incurred due tosuch close-outs.

C. Under certain market conditions, an investor mayfind it difficult or impossible to execute transactions.For example, this situation can occur due to factorssuch as illiquidity i.e. when there are insufficientbids or offers or suspension of trading due to pricelimit orcircuit breakers etc.

D. In order to maintain market stability, the followingsteps may be adopted: changes in the margin rate,increases in the cash margin rate or others. Thesenew measures may also be applied to the existingopen interests. In such conditions, you will berequired to put up additional margins or reduce yourpositions.

E. You must ask your broker to provide the full detailsof derivatives contracts you plan to trade i.e. thecontract specifications and the associatedobligations.

2.2 Currency specific risks:

1. The profit or loss in transactions in foreign currency-.denominated contracts, whether they are traded inyour own or another jurisdiction, will be affected byfluctuations in currency rates where there is a needto convert from the currency denomination of thecontract to another currency.

2. Under certain market conditions, you may find itdifficult or impossible to liquidate a position. Thiscan occur, for example when a currency isderegulated or fixed trading bands are widened.

3. Currency prices are highly volatile. Pricemovements for currencies are influenced by, amongother things: changing supply-demandrelationships; trade, fiscal, monetary, exchangecontrol programs and policies of governments;foreign political and economic events and policies;changes in national and international interest ratesand inflation; currency devaluation; and sentimentof the market place. None of these factors can becontrolled by any individual advisor and noassurance can be given that an advisor's advice willresult in profitable trades for a participatingcustomer or that a customer will not incur lossesfrom such events.

2.3 Risk of Option holders:

1. An option holder runs the risk of losing the entireamount paid for the option in a relatively shortperiod of time. This risk reflects the nature of anoption as a wasting asset which becomes worthlesswhen it expires. An option holder who neither sellshis option in the secondary market nor exercises itprior to its expiration will necessarily lose his entireinvestment in the option. If the price of theunderlying does not change in the anticipateddirection before the option expires, to an extentsufficient to cover the cost of the option, the investormay lose all or a significant part of his investment inthe option.

2. The Exchanges may impose exercise restrictionsand have absolute authority to restrict the exercise ofoptions at certain times in specified circumstances.

2.4 Risks of Option Writers:

1. If the price movement of the underlying is not in theanticipated direction, the option writer runs the risksof losing substantial amount.

2. The risk of being an option writer may be reduced bythe purchase of other options on the sameunderlying interest and thereby assuming a spreadposition or by acquiring other types of hedgingpositions in the options markets or other markets.However, even where the writer has assumed aspread or other hedging position, the risks may stillbe significant. A spread position is not necessarilyless risky than a simple 'long' or 'short1 position.

3. Transactions that involve buying and writingmultiple options in combination, or buying orwriting options in combination with buying orselling short the underlying interests, presentadditional risks to investors. Combinationtransactions, such as option spreads, are more

15

Coim ba toreCapital ecomplex than buying or writing a single option. Andit should be farther noted that, as in any area ofinvesting, a complexity not well understood is, initself, a risk factor. While this is not to suggest thatcombination strategies should not be considered, itis advisable, as is the case with all investments inoptions, to consult with someone who isexperienced and knowledgeable with respect to therisks and potential rewards of combinationtransactions under various market circumstances.

3. T R A D I N G T H R O U G H W I R E L E S STECHNOLOGY/ SMART ORDER ROUTINGORANY OTHER TECHNOLOGY:

Any additional provisions defining the features, risks,responsibilities, obligations and liabilities associated

with securities trading through wireless technology/smart order routing or any other technology shouldbe brought to the notice of the client by the stockbroker.

4. GENERAL

4.1 The term 'constituent' shall mean and include a client,a customer or an investor, who deals with a stockbroker for the purpose of acquiring and/or selling ofsecurities / derivatives contracts through themechanism provided by the Exchanges.

4.2 The term 'stock broker1 shall mean and include astock broker, a broker or a stock broker, who has beenadmitted as such by the Exchanges and who holds aregistration certificate from SEBI.

Annexure -5

GUIDANCE NOTEDO's AND DON'Ts FOR TRADING ON NSE FOR INVESTORS

BEFORE YOU BEGIN TO TRADE

1. Ensure that you deal with and through only SEBIregistered intermediaries. You may check theirSEBI registration certificate number from the listavailable on the Stock exchanges www.exchange.com and SEBI website www.sebi.gov.in.

2. Ensure that you fill the KYC form completely andstrike offthe blank fields in the KYC form.

3. Ensure that you have read all the mandatorydocuments viz. Rights and Obligations, RiskDisclosure Document, Policy and Proceduredocument of the stock broker.

4. Ensure to read, understand and then sign thevoluntary clauses, if any, agreed between you andthe stock broker. Note that the clauses as agreedbetween you and the stock broker cannot bechanged without your consent.

5. Get a clear idea about all brokerage, commissions,fees and other charges levied by the broker on youfor trading and the relevant provisions/ guidelinesspecified by SEBI/Stock exchanges.

6. Obtain a copy of all the documents executed by youfrom the stock broker free of charge.

7. In case you wish to execute Power of Attorney(POA) in favour of the Stock broker, authorizing itto operate your bank and demat account, pleaserefer to the guidelines issued by SEBI/Exchanges inthis regard.

TRANSACTIONS AND SETTLEMENTS

8. The stock broker may issue electronic contractnotes (ECN) if specifically authorized by you inwriting. You should provide your email id to thestock broker for the same. Don't opt for ECN if youare not familiar with computers.

9. Don't share your internet trading account'spassword with anyone.

10. Don't make any payment in cash to the stock broker.

11. Make the payments by account payee cheque infavour of the stock broker. Don't issue cheques inthe name of sub-broker. Ensure that you have adocumentary proof of your payment/deposit ofsecurities with the stock broker, stating date, scrip,quantity, towards which bank/ demat account suchmoney or securities deposited and from whichbank/ demat account.

12.Note that facility of Trade Verification is availableon stock exchanges' websites, where details of tradeas mentioned in the contract note may be verified.Where trade details on the website do not tally withthe details mentioned in the contract note,immediately get in touch with the InvestorsGrievance Cell of the relevant Stock exchange.

13.In case you have given specific authorization formaintaining running account, payout of funds ordelivery of securities (as the case may be), may notbe made to you within one working day from thereceipt of payout from the Exchange. Thus, the

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Coim batoreCapitaltstock broker shall maintain running account for yousubject to the following conditions:

a) Such authorization from you shall be dated,signed by you only and contains the clause thatyou may revoke the same at any time.

b) The actual settlement of funds and securitiesshall be done by the stock broker, at least once ina calendar quarter or month, depending on yourpreference. While settling the account, the stockbroker shall send to you a 'statement of accounts'containing an extract from the client ledger forfunds and an extract from the register ofsecurities displaying all the receipts/deliveriesof funds and securities. The statement shall alsoexplain the retention of funds and securities andthe details of the pledged shares, if any.

c) On the date of settlement, the stock broker mayretain the requisite securities/funds towardsoutstanding obligations and may also retain thefunds expected to be required to meet derivativesmargin obligations for next 5 trading days,calculated in the manner specified by theexchanges. In respect of cash markettransactions, the stock broker may retain entirepay-in obligation of funds and securities duefrom clients as on date of settlement and for nextday's business, he may retain funds / securities /margin to the extent of value of transactionsexecuted on the day of such settlement in thecash market.

d) You need to bring any dispute arising from thestatement of account or settlement so made to thenotice of the stock broker in writing preferablywithin 7 (seven) working days from the date ofreceipt of funds/securities or statement, as thecase may be. In case of dispute, refer the matterin writing to the Investors Grievance Cell of therelevant Stock exchanges without delay.

14.In case you have not opted for maintaining runningaccount and pay-out of funds/securities is notreceived on the next working day of the receipt ofpayout from the exchanges, please refer the matterto the stock broker. In case there is dispute, ensurethat you lodge a complaint in writing immediatelywith the Investors Grievance Cell of the relevantStock exchange.

15.Please register your mobile number and email idwith the stock broker, to receive trade confirmationalerts/ details of the transactions through SMS oremail, by the end of the trading day, from the stockexchanges.

IN CASE OF TERMINATION OF TRADINGMEMBERSHIP

16. In case, a stock broker surrenders his membership,is expelled from membership or declared adefaulter; Stock exchanges gives a public noticeinviting claims relating to only the "transactionsexecuted on the trading system" of Stock exchange,from the investors. Ensure that you lodge a claimwith the relevant Stock exchanges within thestipulated period and with the supportingdocuments.

17. Familiarize yourself with the protection accordedto the money and/or securities you may depositwith your stock broker, particularly in the event of adefault or the stock broker's insolvency orbankruptcy and the extent to which you mayrecover such money and/or securities may begoverned by the Bye-laws and Regulations of therelevant Stock exchange where the trade wasexecuted and the scheme of the Investors'Protection Fund in force from time to time.

DISPUTES/ COMPLAINTS

18. Please note that the details of the arbitrationproceedings, penal action against the brokers andinvestor complaints against the stock brokers aredisplayed on the website of the relevant Stockexchange.

19. In case your issue/problem/grievance is not beingsorted out by concerned stock broker/sub-brokerthen you may take up the matter with the concernedStock exchange. If you are not satisfied with theresolution of your complaint then you can escalatethemattertoSEBI.

20. Note that all the stock broker/sub-brokers havebeen mandated by SEBI to designate an e-mail IDof the grievance redressal division/complianceofficer exclusively for the purpose of registeringcomplaints.

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CoimbatoreCapitaltAnnexure -6 Policies and Procedures

Addendum to the Rights & Obligations executed by theClient at the time of opening of account. This documentis forming part of the Mandatory Documents inaccordance with the Securities and Exchange Board ofIndia (SEBI) Circular Nos. MIRSD/SE/Cir-19/2009dated 03-12-2009 and CIR/MIRSD/16/2011 dated22-08-2011.Coimbatore Capital Limited (CCap) as a SEBIregistered stock broker is mandated to follow the rules,Bye-laws, regulations and the circulars / notices ofNational Stock Exchange of India (NSE) and SEBIissued from time to time and operates through welldefined procedures and policies.The following policies have been mandated by SEBI tobe made available to the clients. It should not beconstrued that these are the only policies followed byCCap.

A. Illiquid Securities/Penny Stocks:1. CCap does not encourage trades in penny stock /

illiquid securities.2. Penny stocks are the securities which have a very low

value and may or may not be illiquid. Most timesthere would be very few buyers /sellers for suchsecurities. NSE releases a list of such securities andthey are termed as illiquid securities. CCap retainsthe right to term a particular security asilliquid/penny stock based on the parameters itdeems fit. These parameters may include, the pastvolume of the security, volatility in the securityamong others, whether trading in a particular securityfalls within the purview of fraudulent trades or tradesdeemed to be fraudulent as per the Rules,Regulations, Bye-Laws of NSE and Regulations ofSEBI.

3. CCap reserves the right to facilitate clients forplacing orders with regard to the penny stocks orilliquid securities as described above. CCap is notunder any obligation to accept orders which are in thenature of penny stocks/ illiquid securities.

4. CCap may permit trades in a penny or illiquidsecurity subject to certain conditions, suchconditions may include:• Submission of a declaration by the client stating

the reasons for entering into the said transactionand the client has abided by all the relevantregulations.

• In case of a buy transaction the client may beasked to deposit the full value of the securitywhich the client intends to purchase, in case ofsale transaction, the security should necessarilybe transferred to CCap's margin account prior toplacing the sale order.

• Assessment of the past trading pattern or recordsof the client priorto giving permission

• Conducting in person verification of the saidclient to establish the genuineness of the intendedtrade.

5. CCap reserves the right to refuse to place orderwhether or not the client fulfills the aforementionedconditions.

B. Exposure Limits and Margin

1. Margin is collected upfront from the clients i.e priorto executing any trade. Based on the marginavailable with CCap, exposure is given to the client.The applicable margin may vary and the client maybe asked to replenish the margin by depositingadditional funds or securities.

2. Client is liable to pay applicable initial margins,withholding margins, special margins or such othermargins as are considered necessary by theExchange.

3. Further CCap at it's discretion may collectadditional margin or reduce the margin whether ornot required by the Exchange.

4. Exposure is allowed to the clients based on themargin available in form of funds or approvedsecurities valued after deducting an appropriatehaircut.

5. Clients have to maintain sufficient balance withCCap pretrade depending on the channel throughwhich they trade. CCap may levy additional marginsor relax the margins imposed based on factors suchas, client level position, volatility in a particularsecurity or the market in general.

6. CCap at its sole discretion will accept any one orcombination of the following margin deposit vizCash, Securities & Bank Guarantee (as per theformat specified by NSE from time-to-time) from itsclients.

7. CCap will accept funds or and securities (at itsdiscretion) towards margin only from the respectiveClient's account.

8. CCap will deposit the collaterals accepted from theclients towards margin with NSE towards additionalbase capital only with the written consent of therespective Client.

9. Though it shall be CCap's endeavor to ensure that aproper notice is sent to the clients, this may notalways be possible taking into consideration themarket scenario.

10. Exposure allowed to clients may vary, based on theclient's past trading performance, quality ofcollateral, market circumstances/dynamics andother related factors.

CoimbatoreCapitalt11. Clients may trade themselves through the

internet/mobile network or may trade through thebranch. For clients who trade through theinternet/mobile network, the exposure limit may beascertained by them on the respective trading portal(such as nowonline) of CCap. Clients executingtrades through branches may check their exposurewith the respective Branch.

12. CCap shall not be responsible for any variation,reduction or imposition or the Client's inability toroute any order through any of the CCap's tradingterminal or website on account of any such variation,reduction or imposition of limits.

13. CCap may at any time, at its sole discretion andwithout prior notice, prohibit or restrict the Clientsability to place orders or trade in securities based oncertain risk parameters and/or regulatorycompliance/any other reason which it may deemappropriate. In such circumstances CCap will notbe responsible for the loss, if any on account of suchrefusal or delay in executing the orders due to thetime taken in doing such review.

14. CCap may square off positions in securities withoutnotice to the Client when the market is volatile in itsopinion and/or there is a sudden spurt in the price ofthe security that may result in huge loss/marginliability to the Client.

C. Brokerage

1. The brokerage applicable shall be as agreed uponfrom time to time.

2. In addition to the brokerage applicable the clientagrees to pay to CCap, exchange related charges,statutory levies and any other charges (including butnot limited to security handling charges onsettlement) as are prevailing and vary from time totime and as they apply to the client's account,transactions and to the services that CCap renders tothe client.

3. CCap does not charge brokerage more than themaximum brokerage permissible as per the rules andregulations and bye laws of the Exchanges/SEBI.However the minimum brokerage, if any, asstipulated by the exchanges will be levied.

4. The brokerage shall be charged as a percentage ofthe value of the trade or as a flat fee or otherwise,together with the statutory levies as may beapplicable from time to time on the same. In additionto the brokerage the following charges will also belevied (as agreed by the client)Schedule of charges:a. SEBI turnover fees as applicableb. Exchange Transaction charges as applicablec. Securities Transaction Tax (STT)* (STT rates

may vary with regard to trades done on delivery

basis, non delivery basis and trades done in thederivative segment).

d. Service tax*e. Education Cess and higher Education Cess *f. CCap shall debit the DP charges to the trading

account of the Client if the client had executedPower-of-Attorney for his DP account.

g. Bank charges or any other charges levied by theexchange or any other authority for any violationby the client.

h. In case the brokerage levied as a percentage on thevalue of the shares/ contract is less than theminimum brokerage payable per share/contract,the client will be charged such minimumbrokerage per share instead of the percentage asapproved by the Exchange.

* These are government levies and are subject to changefrom time to time and will be charged in addition to thebrokerage as applicable.

All the above charges would be subject to change fromtime to time. Such changes and any other levies by SEBI/ Exchange / CCap shall be displayed on the website orsuch other URL used by CCap for displaying changesfrom time to time.5. CCap at its sole discretion and also depending upon

the volume of trading and clearance of dues by theclient, may alter the rate of brokerage from tune totime.

D. Delayed Payment - Effects/Charges and Penalties1. Delayed payment charges are levied to the clients for

non-payment or delay in payment of their fundsobligation in time which may be due on account ofSettlement obligation, charges, margins or any othersum due to CCap.

2. Clients are required to pay margin before placingorder. Clients are allowed to place margin in the formof funds or securities. Exposure is given to the clientbased on the securities funds deposited by the clienttowards margin. Appropriate haircut is applied onsuch securities. Clients have to make the fullpayment for the purchase on the settlement day.

3. In case of a debit balance in the client's account, thesame shall be liable for delayed payment charges.The calculation of these charges is an automatedprocess. Maximum 2% per month will be charged asdelayed payment charges. The Client herebyauthorizes the Member to debit the delayed paymentcharges to the ledger account of the client.

4. In case of any penalty / charges /fees / taxes etc. ofwhatever nature, is levied on CCap by NSE/SEBI orby any regulatory authority on account of trades ororders placed by the clients, such penalty /charges/fees / taxes etc. shall be debited to the client'saccount.

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CoimbatoreCapitaltE. Right to sell client's securities or close client's

positions or pending orders, without giving noticeto the client on account of non-payment of client'sdues or any other reasons

1. For Mark To Market (MTM) shortfall the MTMposition of the Client would be monitored by the RiskManagement department at Head Office (HO). If theClient's MTM loss reaches 50% of the margin, theRisk Management Department would intimate theconcerned branch office and Relationshipdepartment, about the amount of shortfall.CCap will inform the clients through the BranchHeads/Executives or the concerned RelationshipManager to deposit additional margin over phone tothe extent feasible or in other feasible mode. If theclient does not fulfill the margin requirement, and theMTM loss reaches 70% of the initial marginrequirement, the position will be squared-off by theRisk Management department. Further, all pendingorders of the client will also be cancelled by CCap.Exceptions at the discretion of the CCap will beallowed.In exceptional circumstances, i.e., on the days of veryhigh volatility, the Risk Management departmentmay liquidate the open position without intimatingthe Client. In such cases, the client will be informedsubsequently.

2. ForIntra-Daytrades:Risk Management department will start squaring offall the margin position from 3:00 p.m or if the Clientreaches the blow out percentage of 70% of the initialmargin whichever is earlier.On reaching the above said time limit or marginshortage Clients with large open positions will besquared off first. Before squaring off the Clients'position., all the pending orders of the Clients will becancelled by CCap. No fresh purchase positions willbe allowed to the Client and all open position of thesaid Client will be squared off.CCap reserves the right to exempt certain clientsfrom policy/rule no. E (1 )& (2) as it may deem fit.

3. CCap without prejudice to its other rights (includingthe right to refer the matter to arbitration proceedingsof NSE), shall be entitled to liquidate/close out all orany of the client's position without giving notice tothe client for non-payment of margins or otherobligations including the pay-in, outstanding debtsetc. and adjust the proceeds of suchliquidation/close out, against the client'sliabilities/obligations in accordance with the Rightsand Obligations.

4. The client agrees to pay for the securities purchasedthrough CCap before the funds pay-in date to enableCCap to make the requisite pay-in to the exchange. Incase the client fails to make the payment, CCap mayliquidate the securities in the client's account in order

to ensure that the credit is received to set off the duesfor the securities purchased. This sale of securitieswill be done on or before the 5th day from thesettlement day.

5. The client also agrees to maintain adequate marginfor the positions taken in any segment However incase the credit available is lower than the minimummargin required, the client's positions would beliquidated in a manner that the there is no shortfall ofmargin.

6. CCap shall endeavor to ensure that adequate priorinformation is given to the client for such liquidation.It shall inform the client through the mobile numberand or email id (if any) updated with CCap. Forclients to whom a login and password is given toaccess their account on the website of CCap, or suchother URL that may be provided by CCap from timeto time, where they are required to login and checkthe limit statement uploaded therein. It shall be theclients' responsibility to ensure that adequate creditbalance is available in the account.

7. The above guidelines may be changed at thediscretion of CCap in line with the market conditions.In case where the market is volatile and sudden spurtin the price of a security or increase in price and/orvolume, volatility CCap may square off positionwithout any notice due to the paucity of time andother such circumstances.

8. Whenever CCap endeavors that the positions are tobe liquidated, it shall not be responsible for anyliabilities in case the same cannot be liquidated. Thepriority of the positions to be squared off, i.e. whichpositions to be squared off first, would be at thediscretion of CCap.

9. CCap may follow the following priority forsquaring-off positions >

a) Securities attracting higher margins(cash/futures) from NSE will be squared off first

b) Futures position will be squared offc) Option sale position will be squared offd) In case where there is a position in cash and

derivative segment, futures positions would besquared off first then cash positions would besquared off and options long positions will besquared off/exercised in case shortfall still exist.

10.The Client shall bear the loss arising out of thecloseout/square-off for the reasons stated above andshall be liable for the penalties/charges levied by theexchange.

F. Shortages in obligations arising out of internalnetting of tradesInternal short deliveries are not covered by theauction conducted by NSE. CCap will close-outinternal shortages as follows:

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CoimbatoreCapitalt1. The client may not receive the securities bought

on T+2 in case there is an internal shortagesituation within CCap, i.e. the buyer and seller areboth CCap clients and the seller defaults indelivery due to which the buyer may not receivethe shares.

2. Internal shortages are closed-out as follows:At the highest price prevailing in the NSE fromthe first day of the relevant trading period till theday of pay out (or) 10 % above the official closingprice on the pay-out day whichever is higher.

G Temporarily suspending or closing a Client'saccount at the Client's request

1. Upon receipt of request from the client in writing, theclient account will be suspended temporarily andsame can be activated only on the written request ofthe client.

2. During the period in which client account issuspended, market transaction in the client accountwill not be permitted. However delivery of securitiesto the client and payment of ledger balance can beeffected.

3. Upon receipt of the request from the client in writing,the client account will be closed provided the client'sledger balance is Nil (no credit/debit balance). If theclient wants to reopen the account the client shouldgive a letter and complete the Account Openingrequirements again. Reactivation request throughe-mail will not be accepted by CCap.

4. The request for suspending/ closing the Client'saccount will only be accepted if the same is providedin the form prescribed by CCap. Such requests needto be routed through the corresponding branch towhich the client is attached. No request for closure bye-mail would be accepted. On receipt of the accountclosure request form, if the same is in order, theaccount would be closed within 2 working days afterthe settlement of dues.

H. Conditions under which a client may not beallowed to take further position or the broker mayclose existing position of a client /temporarilysuspending or close a client's account andderegistering a client.

I. Notwithstanding anything-to the contrary stated inthe agreement, CCap shall be entitled to terminate theagreement with immediate effect in any of thefollowing circumstances:a) In the event where overall position in any scrip or

derivative contract has reached the limitprescribed by regulators or exchange.

b) If the action of the client is prima facieillegal/improper or such as to manipulate the priceof any securities or disturb the normal/properfunctioning of securities or disturb the normal /proper functioning of the market, either alone orin conjunction with others.

c) If the Client suffers any adverse material changein his/her/its financial position or defaults in anyother agreement with CCap;

d) If there is reasonable apprehension that the Clientis unable to pay his/her/its debts or the Client hasadmitted its inability to pay his/her/its debts, asthey become payable;

e) If the Client has made any materialmisinterpretation of facts, including (withoutlimitation) in relation to his financial position;

f) If the client fails to update CCap of his/her/itsfinancial status by providing networthcertificate/copy of IT returns /Balance Sheets andother financial statements/documents includingfailure to provide a fresh Account Opening format the request of CCap.

g) CCap has the right to stop or block the client fromtrade in case where there is a debit balance inhis/her/its account.

h) CCap retains the right to stop or block the client totake position in certain specified securities basedon the risk management system of CCap.

i) In case where CCap is apprehensive the client tobe an entity debarred by any regulatory authority,it retains the right to stop trading activities forsuch client(s).

j) In case where CCap perceives risk with regard toany regulatory action or with regard to delay ornon-payment of margin or any other obligation,CCap may temporarily block or suspend thetrades of such clients.

k) In case where suspicious transactions areobserved, including but not limited to off markettransactions/cash transactions etc.,

1) In case where the clients are not reachable at theircontact details mentioned in the client registrationform orany subsequent change of address filed bythe client.

m) In case where unprofessional, or unruly behaviorof the client is observed.

n) In case of any ongoing dispute with the client,CCap may not permit the client to take furtherpositions and may even close out his openpositions.

o) If the Client is in breach of any terms, conditionsor covenant of the Rights and Obligations enteredwith CCap;

p) Further in case of clients breaching the riskparameters mentioned in point (E) above, CCapmay close the clients' positions and/or cancel allpending orders without any intimation.

In the event of death or insolvency of the client, windingup or liquidation or the client otherwise becomingincapable of receiving and paying for or delivering ortransferring securities which the client has ordered to be

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CoimbatoreCapital tbought or sold, the CCap may close out the transaction ofthe client and the client or his legal representative wouldbe liable for any losses, costs and be entitled to anysurplus which may result there from.

I. Failure of Trading System1. Trading systems are connected through

VSAT/Leased lines/ ISDN and VPN/INTERNET.2. As there is a possibility of communication failure or

system problem or delayed response, trading halt orany break down in the back office/ front end system,or any other problem due to which the client couldnot access the trading system/network which mayresult in delay in processing or not processingbuy/sell orders either in part or in full which may bebeyond the control of CCap, the client shall be liableand responsible for the obligation if any arising out ofthe transactions.

J. Inactive Client1. A Client who did not transact for a period of six

months will be classified as inactive client by CCap.2. CCap at its sole discretion may place restriction on

the trading or deactivate the trading facility.3. Within six months period from the date of such

classification, if the client wants to resume

transaction in his/her/its account a written requestneed to be made to CCap.

4. After inactive for twelve months period the client hasto give a fresh set of Account Opening form toresume transaction.

K. Client Acceptance of Policies and Proceduresstated hereinabove

1. I have fully understood the above mandatory clauses. 'A to J1 forming part of the mandatory Rights and

Obligations and hereby sign the same and agree notto call into or question the validity, enforceability andapplicability of any provision/clauses of thisdocument on any circumstances what so ever.

2. These Policies and Procedures may be amended /changed unilaterally by CCap provided the changeis informed to me through any one or more mode ofcommunication. I agree not to challenge the same onany grounds including delayed receipt / non receiptor any other reasons whatsoever.

3. These Policies and Procedures shall be read as partand parcel of the mandatory Rights and Obligationsand shall be compulsorily referred to while decidingany dispute / difference or claim between me andCCap before any court of law/judiciary/ adjudicatingauthority including arbitrator / mediator etc.

Annexure -7

TARIFF SHEET

CCap does not charge brokerage more than themaximum brokerage permissible as per the rules andregulations and bye laws of the exchange / SEBI.

In addition to the brokerage the following charges willalso be levied (as agreed by the client)

Schedule of charges:a. SEBI turnover fees as applicableb. Exchange Transaction charges as applicablec. Securities Transaction Tax (STT)* (STT rates may

vary with regard to trades done on delivery basis, nondelivery basis and trades done in the derivativesegment).

d. Service tax*e. Education Cess and higher Education Cess *f. CCap shall debit the DP charges to the trading

account of the Client if the client had executedPower-of-Attorney for his/her DP account.

g. Bank charges or any other charges levied by theexchange or any other authority for any violation bythe client.

h. In case the brokerage levied as a percentage on thevalue of the shares/ contract is less than the minimumbrokerage payable per share/contract, the client willbe charged such minimum brokerage per shareinstead of the percentage as approved by theExchange.

* These are government levies and are subject to changefrom time to time and will be charged in addition to thebrokerage as applicable.

All the above charges would be subject to change fromtime to time. Such changes and any other levies by SEBI/ Exchange / CCap shall be displayed on the website orsuch other URL used by CCap for displaying changesfrom time to time.

22

Annexure -9 ADDITIONAL

RIGHTS AND OBLIGATIONS OF CCap and CLIENTS(as required by CCap)

CoimbatoreCapitaJ f

(Non-Mandatory)

1. Terms of Document

Client Registration Form1.1 The Client shall execute a power of attorney for

the operation of his Depository Accountauthorising CCap to enable the transfer ofre levant securi t ies to the account ofCCap directly for settlement of his transactions,and/or as margin for his transaction and/orcollateral for its dues to C Cap through the issue ofnecessary delivery instructions duly signed onbehalf of the Client.

1.2 The Client shall provide, if required, to CCap, apower of attorney authorising CCap to debit /credit / block depository accounts to the extent ofthe transaction conducted by the said Client,through CCap.

Trading & Settlement System1.3 The Client shall keep himself/herself appraised of

the trading and settlement cycles, and changes inthem through the websites of NSE/C Cap and thenotices at the offices of CCap and comply with them.

1.4 CCap shall directly credit the demat account of theClient with the designated depository participantthe purchases of the securities by the client withinone working day of the receipt of the securitiesfrom the Exchange on the pay-out day.

1.5 However, if any sum is due from the Client, CCapmay withhold the release of securities to the saiddemat account of the Client.

1.6 Any sale delivery not already made to CCap mustbe made at least one working day prior to the pay-in time in respect of the settlement in which suchsale is made. Losses, if any, that may accrue in theevent of a default in completing the delivery to theExchange by the CCap resultant of a delay in thedelivery by the Client, shall be borne solely andcompletely by the Client. Losses for the purposesof this Clause shall include auction debits, andclose-out premiums/ penalties, if any, incurred orarising as a result of non-delivery of securities onthe settlement day of the Exchange.

Client Deposits1.7 The Client shall deposit with CCap the monies,

securities or other assets, which are required toopen and/or maintain the Client's Account.

Brokerage1.8 The Client shall authorise CCap to pay

commission / brokerage to the Sub-broker /Authorised Person / Remisier connected withClient by debiting his/her account, if required.

Transactions1.9 The Client confirms that all the transactions are

done on his own behalf. The Client further agreeshe shall not act as an intermediary.

1.10 The Client shall authorise CCap to disclosedetails of Client's transactions to NSE/NSCCLand others as may be statutorily required.

1.11 All orders for the purchase or sale of securitiesand other assets will be authorised by the Clientand executed with the understanding that anactual purchase or sale is intended and that it isthe Client's intention and obligation in every caseto receive and pay for profits or lossesrespectively on the Settlement. CCap is theClient's Agent to complete all such transactionsand is authorized to make advances and expendmonies as are required.

Orders, Contract Notes and Statement of Accounts1.12 The Client requests that his telephone or oral

orders in person for transactions may be accepted.1.13 CCap shall issue contract notes within one

working day of the execution of the trade. Suchcontract note shall be dispatched by CCap bycourier or e-mail or through any other modespecified, to the address mentioned in this rightsand obligations or at any other address expresslyinformed to the CCap by the client.

1.14 The Client has specifically requested and CCaphas agreed that all the Client orders will be placedon the Trading System only, and none of theClient's orders will be executed by CCap withitself as Principal. Accordingly all the Contractsbetween Client and CCap will only be in FormA(Contract Note issued by Members Acting forConstituents as Brokers and Agents) and not inForm B (Contract Note issued by MembersDealing with Constituent as Principals).

1.15 CCap affirms that the contracts which have therelevant number of Client's orders and trades(Order Number & Trade Number generated byTrading System) will only be the valid contracts.

1.16 All purchase or sale of securities instructed by theClient to CCap through telephone will be deemedto have been confirmed by the Client by signingthe Contract Note.

1.17 The Client signing the Contract Note issued byCCap validates all the transactions contained inthe said Contract Note and will not repudiate anyof the transactions in the Contract Note, on thepremise that CCap is not able to produce writtenorders from the Client for the said transactions.

25

CoimbatoreCapitale1.18 The Client shall not repudiate any Financial /

Securities /Margin obligations, as determined andconveyed or demanded by CCap, on the premisethat CCap is not able to produce writteninstructions / confirmations of the orders orcontract note of the Client which resulted in suchobligations.

1.19 CCap shall provide the Client a statement of theentries in his/her account, periodically, on requestfrom the Client, or make it available throughinternet/e-mail.

1.20 The Client understands that the Contract Note andthe Statement of Accounts issued by an authorisedsignatory of CCap alone shall be binding on CCap.

1.21 The Client will continuously monitor the entriesin his account with CCap, and inform CCappromptly of any entries which are not to histransactions; he/she will not repudiate any of hisobligations to CCap on the basis that he was notaware of these transactions, or the statement of hisaccounts was not furnished to him/her, or theywere not confirmed by him/her in writing.

Margins1.22 The Client agrees to abide by the exposure limits,

if any, set by the trading member or by theExchange or Clearing Corporation or SEBI fromtime to time.

1.23 The Client shall promptly satisfy all margin andmaintenance calls.

1.24 The Client understands that CCap may, in its solediscretion, prohibit or restrict trading by theClient in any one or all market segments and/or inany security.

1.25 The Cl ien t c lear ly unders tands that ,notwithstanding a general policy of giving Clientsnotice of a margin deficiency, CCap is notobligated to request additional margin from theClient in the event the Client's Account fallsbelow minimum maintenance requirements.More importantly, there may be circumstanceswhere CCap will liquidate securities and/or otherassets of the Client available with CCap with orwithout notice to the Client to ensure thatminimum margin maintenance requirements aresatisfied.

1.26 The Client shall authorise CCap (withoutprejudice to CCap's other rights - including theright to refer a matter to Arbitration) at itsdiscretion to buy, sell or close out any part or allthe contracts / positions held in the Client'saccount with CCap to meet the marginrequirements or for reducing the margins payableto NSE/ NSCCL. Any and all losses and financialcharges on account of such liquidation / closing-out shall be charged to and borne by the Client.

Liquidations and Covering Positions1.27 CCap shall have the right in accordance with its

general policies regarding SettlementObligations and Margin requirements to requireadditional collateral or the liquidations of anysecurities and other assets whenever in CCap'sdiscretion it considers it necessary for itsprotection including in the event of but not limitedto, the failure of the Client to promptly meet anycall for additional margin or collateral; the filingof a petition in bankruptcy by or against theClient; a petition forthe appointment of a receiveris filed by or against the Client; an attachment isordered against any of the Client Accounts or anAccount in which the Client has an interest; or theoccurrence of any event which in the opinion ofCCap, would impair the Client's ability to fulfillhis Financial / Securities / Margin obligations toCCap or of the Client's death.

1.28 In any such event CCap is authorised to sell anyand all securities and other assets in any of theClient Accounts whether carried individually orjointly with others, to buy all securities or otherassets which may be short in such ClientAccount(s), to cancel any open orders and to closeany or all outstanding contracts/ positions, allwithout demand for margin or additional margin,or notice of sale or purchase, or other notice oradvertisement each of which is hereby expresslywaived by the Client.

1.29 Any such sales or purchases may be made at CCap'sdiscretion on NSE or at public auction or privatesale, and CCap may be the purchaser or seller forits own account in it. It is understood a priordemand, or call, or prior notice of the time andplace of such sale or purchase shall not beconsidered a waiver of CCap's rights to sell or buywithout demand or notice as herein provided.

Ceiling on number of Contracts1.30 The Client will not act alone or in concert with

others, directly or indirectly, hold and controlcontracts in securities in excess of the numberpermitted from time to time by NSE.

1.31 The Client will not act alone or in concert withother directly or indirectly place orders or holdpositions or exercise positions which aim atand/or result in any manipulations, distortion orcornering in the prices of securities / futures/options/ currency derivatives.

Financial Obligations and Confirmations andStatements1.32 The Client shall keep track of his/her Financial

Obligations to CCap. The Client will makenecessary arrangement for settling his FinancialObligations by the due date for each transaction.

26

Coim ba tore-CapitaltThe due date for all such payments will be onebusiness day before the Settlement Date/due datefor payment toNSCCL.

1.33 The Client shall make all his remittances to CCaponly by an Account payee crossed cheque/pay-

« order/bank demand draft or an instruction fortransfer of funds to bank directly to CCap'saccount, or an instruction to CCap to transfer thecredit balances in any other account of him withCCap. The Client confirms that CCap is notresponsible for any remittance made otherwise,and in particular cash payments to any employeeofCCap.

1.34 CCap shall release funds of a settlement pay-outto the Client (i.e. payment relating to transactions,where it is due, less taxes, fees, charges andbrokerage), less any amounts due to CCap fromthe Client relating to all trading days, upto andincluding the due date. The due date for all suchpayments will be pay-out day plus one day afterthe Settlement Date.

1.35 Confirmation of transactions through contractnotes and statements of accounts for the Client'sAccount(s) shall be binding upon the Client if theClient does not object, in writing, in case ofContract notes within one working day of receiptof Contract notes and in case of Statement ofAccounts within seven days of receipt by theClient. Notice or other communications includingmargin and maintenance calls delivered or mailedto the address / e-mail id furnished by you in theKYC shall, until CCap has received notice inwriting of a different address 1 e-mail id, bedeemed to have been personally delivered to theClient whether actually received or not.

Satisfaction of Indebtedness1.36 The Client shall pay to CCap, upon demand,

his/her Financial Obligations, any indebtedness,and debit balance remaining when the ClientAccount is closed, either partially or totally.Client Account may not be closed without CCapfirst receiving all securities and other assets forwhich the Account is short, all funds to pay in fullfor all securities and other assets in which theClient Account is long, all open short/longpositions the Client Account has are closed andthe funds for all losses are received.

Interest1.37 Debit balances of the Client in the Client's

Account shall be charged with interest at thediscretion of CCap, at the interest rate not lessthan 15 % per annum.

Lien1.3 8 All monies, securities or other assets, which CCap

may hold on Client's account, or in any otheraccount in which Client has an interest shall be

held subject to a general lien for the discharge ofClient's Financial Obligations and anyindebtedness to CCap.

1.39 All Securities and/or other assets in any Accountin which the Client has an interest or which at anytime are in the possession or under the control ofCCap, shall be subject to a lien for the discharge ofany and all indebtedness or any other obligationthat the Client may owe toCCap.

1.40 In enforcing its lien, CCap at its sole discretionmay determine which Securities and/or otherassets are to be sold or which contracts are to beclosed or which contracts are to be enforced, andsuch sale of Assets /Closure of contracts by CCapshall not require prior notice to the Client.

Pledge of Securities and Other Assets1.41 Within the limitations imposed by applicable

laws, rules and regulations, all securities andother assets of the Client may be pledged andrepledged and hypothecated and rehypothecatedby CCap from time to time, without notice to theClient, either separately or in common with suchother securities and other assets of other Clients ofCCap, for any amount due to CCap in the Client(s)Account(s). CCap may do so without retaining inits possession or under its control for delivery of alike amount of similar securities or other assets.

Prohibition from investment advice1.42 The Client also acknowledges that CCap's

employees and Sub-brokers/authorisedpersons/Remisiers, are not authorized to give anyinvestment advice and that the Client will notsolicit or rely upon any such advice from CCap orany of its employees or its Sub-brokers /Authorised Persons / Remisiers and further willmake no claim on CCap on the basis of acting onany such advice.

1.43 CCap and its officers, directors, employees, sub-brokers, authorised persons, remisiers and agentswill have no liability with respect to transactionsin or for the Client's Account and the Client'sinvestment decisions.

1.44 Any information or recommendations providedby any services of CCap ancillary, in addition to,or as part of the service must not be construed asinvestment advice given to the Client

1.45 Client shall be wholly responsible for all his/herinvestment decisions and trades.

2. Applicable Rules and Regulations2.1 This Document shall be governed by and

construed in all respects in accordance with thelaws of the Republic of India.

2.2 All transactions in the Client's Account withCCap shall be subject to the constitution, rules,regulations, customs and usages of NSE and

27

Coim batoreCapitaleNSCCL. Also, where applicable, the transactionsshall be subject to the provisions of (1) theSecurities Contract (Regulation) Act of 1956, asamended, (2) the provisions and the Rules andRegulations made under the Securities andExchange Board of India Act, 1992 and (3) SEBI(Ombudsman) Regulations, 2004 as amended.

2.3 The trading member and the Client shall abide byany award passed by the Ombudsman under theSEBI (Ombudsman) Regulations, 2003.

3. Document Contains Entire Understanding/Assignment

3.1. This Document contains the entire understandingbetween the Client and CCap concerning thesubject matter of this Document. Client may notassign the rights and obligations hereunderwithout first obtaining the prior written consentofCCap.

4. SeverabilityIf any provision of this Document is held to beinvalid, void or unenforceable by reason of anylaw, rule, administrative order or judicialdecision, or any change in the SEBI/NSEregulations, that determination shall not affectthe validity of the remaining provisions of thisDocument.

5. WaiverExcept as specifically permitted in thisDocument, no provision ofthis Document can be,nor be deemed to be, waived, altered, modified oramended unless such is agreed to in a writingsigned by CCap.

6. Furnishing of Information andDocumentation

6.1 The Client shall complete any furtherdocumentation as may be required by NSE,NSCCL, SEBI and other regulatory authorities orunder the CCap policies from time to time.

6.2 The Client shall furnish the details of changes ifany, in the information furnished in the Accountopening Form, such as change in (a) address(permanent / temporary / employment address),(b) B a n k account , (c) emai l - id,(d) telephone / mobile numbers etc, withnecessary proof, to CCap as and when suchchanges occur on an ongoing basis.

6.3 The Client shall also furnish the financial detailsas prescribed in the Account Opening Form everyyear without fail on or before 31 st July of everyyear for the purpose of monitoring tradingactivity of the client in pursuance of NSECircular No. NSE/INVG/2006/31 dated03.03.2006.

7. Extraordinary Events7.1. CCap and/or its agents will not be liable for losses

caused directly or indirectly by governmentrestriction, SEBI/NSE regulations, NSE/NSCCLrulings, suspension of/from trading, any difficultyin accessing the facilities of CCap by the Client,computer, communication or telephone failure,war, earthquakes flood, accident, power failure,equipment or software malfunction, strikes,failure of any of other service providers such asbanks, courier etc., or any other conditions beyondCCap *s control.

8. Indemnities8.1. CCap will not be liable for any incidental,

consequential, special or indirect damagesincluding but not limited to lost profits, tradinglosses, or damages that result from inconvenience,delay or loss in the use of the service even if CCaphas been advised of the possibility of suchdamages.

8.2 CCap shall not be liable or responsible for non-execution of orders placed in the Trading Systemdue to the failure of any system or communicationlink or due to any other reason whatsoever.

8.3 The Client shall indemnify and hold CCapharmless from and against any and all claims,losses, liability, costs, expenses arising out of theClient's violation ofthis Agreement or any thirdparty's rights arising out of the services.

8.4 The Client shall fully indemnify CCap for any lossa r i s ing from execut ion of incorrect /ambiguous/fraudulent instructions provided bythe Client and/or his authorised representative(s).

9. Termination of Accounts9.1 CCap may suspend its service in whole or in part,

at any time without prior notice if the Client doesnot comply with any of the terms and conditions ofthis Document

9.2 CCap shall not be bound to release the margindeposit requirement until all outstanding trades ontermination of this Document has been fullysquared off orsettled.

10. Notices10.1 Any notice to be given by any party to this

Document shall be in writing and shall be deemedduly served if delivered personally or sent byprepaid registered post or courier to the addresseeat the address given in

To CCap at,T f., D. RameshName of the person concerned:Add ss • Coimbatore Capital Limited

Stock Exchange Building, 1st Floor

686, Trichy Road, Coimbatore - 641 005

28

To the Client at:

Name of the person concerned:

Address:

or at such other address for the purposes of thisDocument.

10.2 Any notice served by prepaid registered post orcourier shall be deemed served within oneworking day after posting to an address inCoimbatore or 2 (two) days after posting to anaddress outside Coimbatore. In proving a serviceof any notice, it will be sufficient to prove in thecase of a letter that such letter was properlystamped, addressed and placed in the post ordelivered or left at the current address if deliveredpersonally to the addressee given above orsubsequently notified for the purposes of thisDocument.

CoimbatoreCapital

11. Capacity to Contract, Client Affiliation11.1 By signing this Document, the Client represents

that he/she is of legal age, and that he/she is not anemployee of NSE, or of any corporation of whichNSE owns a controlling interest, or of a memberof NSE, or an employee of a member firm orindividual member registered on NSE, and thatthe Client will promptly notify CCap in writing ifthe Client becomes so employed. The Client alsorepresents that no one except the Client has aninterest in the Account or Accounts of the Clientwith CCap.

12. Jurisdiction12.1 In respect of any disputes as between CCap and

Client to which NSE is not a party, the Courts ofCoimbatore, India shall be the Court ofCompetent Jurisdiction to the exclusion of allother courts.

Note: All references to the specific quantity/rate/feementioned in this Document are subject to changefrom time to time, as so in writing between the parties.

29

CoimbatoreCapital fr

DEFINITIONS COMMON TO RIGHTS AND OBLIGATIONS

1. "Available Funds" means the sum of creditbalances in the Client Account, plus fundsreceivable from Settled Transactions (hereinafterdefined), minus the net effect of unsettledtransactions, minus all margin amounts due toCCap and any uncleared deposits of cheques/Demand Drafts made by the client.

2. "Business Day" means any day on which trading inNSE's trading is operational.

3. "Client Account" means Client's Account in thename of the Client on CCap records and shallinclude the bank account and/or a depositoryaccount(s) in which the cash or Securities of theClient are deposited.

4. "Account Opening Form" means the applicationsubmitted by the Client to CCap to open a TradingAccount for Client's transactions.

5. "Rights and Obligations" means the Rights andObligations of CCap and the Client for the tradingaccount, as amended from time to time.

6. "Client's Transactions" means any purchase, sale,purchase and sale, sale and purchase, exercise andassignment of securities and consequent actions onpurchase or sale until the transactions are settled.

7. "Financial Obligations to CCap" means, anyamount payable by the Client to CCap whichincludes, but not limited to, any funds pay-in duefor purchase of securities, the loss incurred by theClient in trading in securities, the margin payableto CCap, charge/fee/ penalty/liability/statutorydues payable to SEBI/NSE/NSDL/Government ofIndia/State Government and interest payable bythe Client in case of partial fulfillment/delayedfulfillment/failure in fulfillment of his obligationsby the Client. The amount payable is that theamounts that are claimed by C Cap as payable toCCap by the Client, whether or not the clientagrees to such claims.

8. Capital Market Segment, Futures & OptionsSegment, Retail Debt Market Segment, CurrencyDerivatives Segment and any other segments areas defined by NSE regulations

9. "Trading System" includes National Exchange forAutomated Trading (NEAT) System of the NSEand any other Computer-to-Computer Link(CTCL) software facility used by CCap to accesstheNEATTrading System.

10 "Securities and/or Other Assets" means, but is notlimited to, Cash, Credit balances, Shares, Stock,Bonds, Contracts on Futures & Options, Mutual

funds & Money funds, Fixed deposits, Financialinstruments and related contracts, whether forpresent or future delivery. This definition includessecurities or other assets currently or hereinafterheld, carried or maintained by CCap in CCap'spossession or control, for any purpose, in and forany of the Client's account(s) now or hereinafteropened, including any Account in which the Clientmay have an interest.

11. "Settled Transactions" means completedpurchase/sales transactions either by way ofdelivery or auction or close-out or expiration orexercise or by executing an offsetting transaction.

12. "Settlement Date" means the date on whichrelevant transactions are settled by National StockExchange of India Limited (NSE)/NationalSecurities Clearing Corporation Limited(NSCCL).

13. "SEBI Regulations" means the Regulations,Circulars, Notifications, Guidelines and Orders ofSEBI.

14. "NSE Regulations" means Bye-laws, Rules andRegulations and Circulars of National StockExchange of IndiaLimited.

15. "NSCCL Regulations" means Bye-laws, Rules,Regulations and circulars of National SecuritiesClearing Corporation Ltd.

16. In this Document, the headings are used forconvenience and ease of reference and are not to beconstrued as limiting in the construction orinterpretation of any provision of this Document.

17. The definitions ascribed to terms in this Documentapply equally to both the singular and plural formsof such terms. Whenever the context may require,any pronoun shall be deemed to include thecorresponding masculine, feminine and neuterforms. The words "include", "includes" and"including" shall be interpreted as if followed bythe phrase "without limitation". References to anydocument, including this Document, shall bedeemed to include any references to suchdocument as amended, supplemented or replacedfrom time to time in accordance with its terms and(where applicable) subject to compliance with therequirements set forth therein and herein.References to a statute, ordinance, code or otherlaw shall be deemed to include rules, regulationsand other instruments under it and consolidations,amendments, re-enactments or replacements ofany of them.

30

Annexure -10

To

CoimbatoreCapital j5

(Executed by you in Account Opening Kit)

DEMATERIALISED SHARES CREDIT AUTHORISATION

I lateCoimbatore Capital LimitedStock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Dear Sir,

I hereby authorise Coimbatore Capital Limited (C Cap) and its authorities to credit all my purchase of dematshares in all types of settlements in the following accounts with respect to National Securities Depository Ltd.,(NSDL) andCentral Depository Services (India) Ltd., (CDSL).

NSDL-DPA/cNo.

CDSL-DPA.cNo.(Fi'lyour 16 digitaccount number)

DP Id.

I N

Client Id.

I hereby undertake to indemnify C Cap, its authorities, executors of any consequences, costs or any other actionarising due to crediting of the shares to my account(s) mentioned above.

Thankingyou.

Yours faithfully,

Annexure-11 (Executed by you in Account Opening Kit)

To

INTIMATION OF E-MAIL ID FOR ELECTRONIC DELIVERY

Date:...Coimbatore Capital LimitedStock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Dear Sirs,Sub : Consent to receive Electronic Contract Notes & other documents through emailRef :My Trading Code in CM & / F&O & / CD Segment(s):

I request you to send the Contract Note, Account Statements, Bills, Trade Confirmation, Transaction Statements ofDepository Account, Statement of Holdings of Depository Account, other documents / communications, etc., withrespect to my Trading account(s) in CM, F&O Segment and CD Segment and Depository Account by electronicdelivery which may be in the form of an electronic mail, an electronic mail attachment or in the form of a link to anavailable download from a website, to my e-mail id:I ensure that my above e-mail id is valid and any change in my above e-mail id shall be communicated to you inwriting.

I shall access this e-mail id on a regular basis to view the above communication sent by C Cap.

I am aware that non-receipt or bounced mail notification by C Cap will be considered as delivery of the contract to meat the above e-mail id and C Cap shall not be held responsible for the same.

Thankingyou,

Yours faithfully,

31

CoimbatoreCapital f*

Anncxure -12 (Executed by you in Account Opening Kit)

RUNNING ACCOUNT AUTHORISATION

To Date:Coimbatore Capital LimitedStock Exchange Building, 1 st Floor686, Trichy Road, Coimbatore - 641 005

Dear Sir,

Sub : Request for maintenance of Running Account

Ref: My Trading Code in CM &/ F&O &/ CD Segments):

I hereby state that I am aware about the norms relating to pay-out of securities and funds. In order to facilitateoperations and banking convenience, I hereby authorise Coimbatore Capital Limited (C Cap), to maintain a runningaccount with C Cap, instead of daily settlement of funds due to me.

I request you to maintain running balance in my account and retain the credit balance in any of my account and to usethe unused funds towards my margin/pay-in/other future obligation(s) at any segments) of the Exchange/ClearingCorporation.

On written request by me to C Cap, C Cap may release the funds to me, if sufficient margins in respect of my tradingacross all segments ofNSE are available with C Cap.

In case I have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towardssuch obligations and may also retain the funds expected to be required to meet margin obligations for next 5 tradingdays, calculated in the manner specified by NSE.

I request you to settle my fund and securities account once in every calendar quarter/month (strike off whichever isnot preferred) or such other higher period as allowed by SEBI/NSE from time to time, except the funds given towardscollaterals/margin.

I authorise CCap to retain Rs. 10,000 (Rupees ten thousands only) from Quarterly Funds Settlement as per NSECircular No. NSE/INSP/24849 dated 28.10.2013

I agree not to claim any interest from C Cap on such securities/funds so retained by C Cap.

I hereby agree that I shall confirm and bring to your notice any dispute arising from statement of account orsettlement so made to the notice of CCap in writing within seven working days from the date of receipt offunds/securities or statement of account or statement related to it, as the case may be. Failing which it is agreed by methat the statement of balances as issued by C Cap is proper and correct.

I further agree that C Cap shall not be liable for any claim for loss or profit or for any consequential, incidental,special or exemplary damages, caused by retention of such funds and/or securities.

I am also aware that the above authorization may be revoked by me at any time on communication to you in writing.

Thanking you,

Yours faithfully,.

32

CoimbatoreCapital f

Annexure -13 (Executed by you in Account Opening Kit)

INTER SEGMENT TRANSFER OF FUNDS - STANDING INSTRUCTION

ToCoimbatore Capital LimitedStock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Dear Sirs,

Sub : Request for transfer of funds between Trading SegmentsRef: My Trading Code in CM & / F&O & / CD Segment(s):

Date :

I hereby authorize you to transfer funds from Capital Market (CM) Segment to Futures & Options (F&O) Segment,CM Segment to Currency Derivatives (CD) Segment, F&O Segment to CD Segment and vice versa, whenevernecessary, to meet my margin requirements or to enable you to adjust my dues, if any, or meet my settlementobligations.

The above authorisation will hold good unless cancelled by me and communicated to you in writing.

Thanking you,

Yours faithfully,

Annexure -14 (Executed by you in Account Opening Kit)

UPDATION FOR ALERTS BY NSETo

Coimbatore Capital LimitedStock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Date:

Dear Sirs,

Sub: Updation of Mobile Number and E-mail ID forSMS and E-mail alerts to investors by NSE

I request you to update my mobile number and e-mail id in my trading account(s) with Trading Code

Mobile Number

E-mail Id

Thanking you.

Yours faithfully,

Note: Kindly ensure to provide personal/separate, valid and correct mobile number & e-mail id. NSE shallsend you SMS & e-mail alerts for your transactions. (Ref. SEBI Circular No. CIR/MIRSD/15/2011NSE CircularNo. NSE/INVG/2011/18503 dated02.08.2Oil &NSE/INVG/21841dated04.10.2012)

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CoimbatoreCapital f

Annexure -15 (Executed by you in Account Opening Kit)

DECLARATION FOR MOBILE NUMBERTo

Coimbatore Capital Limited Date :

Stock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Ref: My Trading Code in CM &/ F&O &/ CD Segments):

I, having PAN No. do hereby declare that

my mobile number is Further, I authorize Coimbatore Capital Limited that the samemay be used for giving me any information / alert / sms/ call.

Further I declare that the above mentioned statement is true and correct.

Thanking you,

Yours faithfully,

Annexure -16 (Executed by you in Account Opening Kit)

CLIENT DEFAULTER DECLARATIONTo

Coimbatore Capital Limited Date :

Stock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Ref: My Trading Code in CM &/ F&O &/ CD Segments):

I, do hereby declare that I have not been involved in any terroristactivity and I have not been declared as defaulter or my name is not appearing in defaulter database as per SEBI /Various Exchanges / Regulatory Bodies / CIBIL(Credit Information Bureau of India Ltd.) etc.

Further I declare that the above mentioned declaration / statement is true and correct

Thanking you,

Yours faithfully,

Annexure -17 (Executed by you in Account Opening Kit)

DECLARATION REGARDING VOLUNTARY REQUIREMENTTo

Coimbatore Capital Limited Date :Stock Exchange Building, 1st Floor686, Trichy Road, Coimbatore - 641 005

Ref:MyTrading.CodeinCM &/ F&O &/ CD Segment(s):

In addition to the Mandatory Documents prescribed by SEBI /NSE in Docket 'A' of Account Opening Form, I herebydeclare that I have also executed / not executed Additional Rights and Obligations and other Additional Documentsas required by CCap in Docket 'B' of Account Opening Form for the smooth conduct of business.

Thanking you,

Yours faithfully,

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Rights and Obligations of Beneficial Owner andDepository Participant as prescribed by SEBI and Depositories

General Clause1. The Beneficial Owner and the Depository

participant (DP) shall be bound by the provisions ofthe Depositories Act, 1996, SEBI (Depositories andParticipants) Regulations, 1996, Rules andRegulations of Securities and Exchange Board ofIndia (SEBI), Circulars/Notifications/Guidelinesissued there under, Bye Laws and BusinessRules/Operating Instructions issued by theDepositories and relevant notifications ofGovernment Authorities as may be in force fromtime to time.

2. The DP shall open/activate demat account of abeneficial owner in the depository system only afterreceipt of complete Account opening form, KYCand supporting documents as specified by SEBIfrom time to time.

Beneficial Owner information3. The DP shall maintain all the details of the beneficial

owner(s) as mentioned in the account opening form,supporting documents submitted by them and/orany other information pertaining to the beneficialowner confidential ly and shal 1 not disclose the sameto any person except as required by any statutory,legal or regulatory authority in this regard.

4. The Beneficial Owner shall immediately notify theDP in writing, if there is any change in detailsprovided in the account opening form as submittedto the DP at the time of opening the demat account orfurnished to the DP from time to time.

Fees/Charges/Tariff5. The Beneficial Owner shall pay such charges to the

DP for the purpose of holding and transfer ofsecurities in dematerialized form and for availingdepository services as maybe agreed to from time totime between the DPand the Beneficial Owner as setout in the Tariff Sheet provided by the DP. It may beinformed to the Beneficial Owner that "no chargesare payable for opening of demat accounts"

6. In case of Basic Services Demat Accounts, the DPshall adhere to the charge structure as laid downunder the relevant SEBI and/or Depositorycirculars/directions/notifications issued from timeto time.

7. The DP shall not increase any charges/tariff agreedupon unless it has i i i \ en :i notice in wri t ing of notless than thirty days to the Beneficial Ownerregarding the same.

Dematerialization8. The Beneficial Owner shall have the right to get the

securities, which have been admitted on theDepositories, dematerialized in the form andmanner laid down under the Bye Laws, Business

Rules and Operating Instructions of the depositories.Separate Accounts9. The DP shall open separate accounts in the name of

each of the beneficial owners and securities of eachbeneficial owner shall be segregated and shall notbe mixed up with the securities of other beneficialowners and/or DP's own securities held indematerialized form.

10. The DP shall not facilitate the Beneficial Owner tocreate or permit any pledge and /or hypothecation orany other interest or encumbrance over all or any ofsuch securities submitted for dematerializationand/or held in demat account except in the form andmanner prescribed in the Depositories Act, 1996,SEBI (Depositories and Participants) Regulations,1996 and Bye-Laws/Operating Instructions /Business Rules of the Depositories.

Transfer of Securities11. The DP shall effect transfer to and from the demat

accounts of the Beneficial Owner only on the basisof an order, instruction, direction or mandate dulyauthorized by the Beneficial Owner and the DPshall maintain the original documents and the audittrail of such authorizations.

12. The Beneficial Owner reserves the right to givestanding instructions with regard to the crediting ofsecurities in his demat account and the DP shall actaccording to such instructions.

Statement of account13. The DP shall provide statements of accounts to the

beneficial owner in such form and manner and atsuch time as agreed with the Beneficial Owner andas specified by SEBI/depository in this regard.

14. However, if there is no transaction in the demataccount, or if the balance has become Nil during theyear, the DP shall send one physical statement ofholding annually to such 80s and shall resumesending the transaction statement as and when thereis a transaction in the account.

15. The DP may provide the services of issuing thestatement of demat accounts in an electronic modeif the Beneficial Owner so desires. The DP willfurnish to the Beneficial Owner the statement ofdemat accounts under its digital signature, asgoverned under the Information Technology Act,2000. However if the DP does not have the facilityof providing the statement of demat account in theelectronic mode, then the Participant shall beobliged to forward the statement of demat accountsin physical form.

16. In case of Basic Services Demat Accounts, the DPshall send the transaction statements as mandatedby SEBI and/or Depository from time to time.

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Manner of Closure of Demat account17. The DP shall have the right to close the demat

account of the Beneficial Owner, for any reasonswhatsoever, provided the DP has given a notice inwriting of not less than thirty days to the BeneficialOwner as well as to the Depository. Similarly, theBeneficial Owner shall have the right to closehis/her demat account held with the DP provided nocharges are payable by him/her to the DP, In such anevent, the Beneficial Owner shall specify whetherthe balances in their demat account should betransferred to another demat account of theBeneficial Owner held with another DP or torematerialize the security balances held.

18. Based on the instructions of the Beneficial Owner,the DP shall initiate the procedure for transferringsuch security balances or rematerialize suchsecurity balances within a period of thirty days asper procedure specified from time to time by thedepository. Provided further, closure of demataccount shall not affect the rights, liabilities andobligations of either the Beneficial Owner or the DPand shall continue to bind the parties to theirsatisfactory completion.

Default in payment of charges19. In event of Beneficial Owner committing a default

in the payment of any amount provided in Clause 5& 6 within a period of thirty days from the date ofdemand, without prejudice to the right of the DP toclose the demat account of the Beneficial Owner, theDP may charge interest at a rate as specified by theDepository from time to time for the period of suchdefault.

20. In case the Beneficial Owner has failed to make thepayment of any of the amounts as provided inClause 5&6 specified above, the DP after giving twodays notice to the Beneficial Owner shall have theright to stop processing of instructions of theBeneficial Owner till such time he makes thepayment along with interest, if any.

Liability of the Depository21. As per Section 16 of Depositories Act, 1996,1. Without prejudice to the provisions of any other law

for the time being in force, any loss caused to thebeneficial owner .due to the negligence of thedepository or the participant, the depository shallindemnify such beneficial owner.

2. Where the loss due to the negligence of theparticipant'under Clause (1) above, is indemnifiedby the depository, the depository shall have the rightto recover the same from such participant.

Freezing/ Defreezing of accounts22. The Beneficial Owner may exercise the right to

freeze/defreeze his/her demat account maintainedwith the DP in accordance with the procedure andsubject to the restrictions laid down under the ByeLaws and Business Rules/Operating Instructions.

23. The DP or the Depository shall have the right tofreeze/defreeze the accounts of the BeneficialOwners on receipt of instructions received from anyregulator or court or any statutory authority.

Red ressal of Investor grievance24. The DP shall redress all grievances of the Beneficial

Owner against the DP within a period of thirty daysfrom the date of receipt of the complaint.

Authorized representative25. If the Beneficial Owner is a body corporate or a

legal entity, it shall, along with the account openingform, furnish to the DP. a l i > i of ollici.ils authorizedby it, who shall represent and interact on its behalfwith the Participant. Any change in such listincluding additions, deletions or alterations theretoshall be forthwith communicated to the Participant.

Law and Jurisdiction26. In addition to the specific rights set out in this

document, the DP and the Beneficial owner shall beentitled to exercise any other rights which the DP orthe Beneficial Owner may have under the Rules,Bye Laws and Regulations of the respectiveDepository in which the demat account is openedand circulars/notices issued there under or Rulesand Regulations of SEBI.

27. The provisions of this document shall always besubject to Government notification, any rules,regulations, guidelines and circulars/ notices issuedby SEBI and Rules, Regulations and Bye-laws ofthe relevant Depository, where the BeneficialOwner maintains his/ her account, that may be inforce from time to time.

28. The Beneficial Owner and the DP shall abide by thearbitration and conciliation procedure prescribedunder the Bye-laws of the depository and that suchprocedure shall be applicable to any disputesbetween the DP and the Beneficial Owner.

29. Words and expressions which are used in thisdocument but which are not defined herein shallunless the context otherwise requires, have the samemeanings as assigned thereto in the Rules, Bye-lawsand Regulations and circulars/notices issued thereunder by the depository and /or SEBI

30. Any changes in the rights and obligations which arespecified by SEBI/Depositories shall also bebrought to the notice of the clients at once.

31. If the rights and obligations of the parties hereto arealtered by virtue of change in Rules and regulationsof SEBI or Bye-laws, Rules and Regulations of therelevant Depository, where the Beneficial Ownermaintains his/her account, such changes shall bedeemed to have been incorporated herein inmodification of the rights and obligations of theparties mentioned in this document.

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