Ashika Commodites & Derivatives Pvt....

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Ashika Commodites & Derivatives Pvt. Ltd. COMMODITY - NCDEX | MCX | ICEX

Transcript of Ashika Commodites & Derivatives Pvt....

Page 1: Ashika Commodites & Derivatives Pvt. Ltd.oldwebsite.ashikagroup.com/Upload/KYC-ASHIKA-COMMODITY.pdfDisclosure of Proprietary Trading We, Ashika Commodities & Derivatives Pvt. Ltd.

Ashika Commodites & Derivatives Pvt. Ltd.

COMMODITY - NCDEX | MCX | ICEX

Page 2: Ashika Commodites & Derivatives Pvt. Ltd.oldwebsite.ashikagroup.com/Upload/KYC-ASHIKA-COMMODITY.pdfDisclosure of Proprietary Trading We, Ashika Commodities & Derivatives Pvt. Ltd.

Disclosure of Proprietary Trading

We, Ashika Commodities & Derivatives Pvt. Ltd. (ACDPL), may also engage in Proprietary trading apart from Clientele business.

For any grievance/dispute please contact "Ashika Commodities & Derivatives Pvt. Ltd." at the above address or e-mail at [email protected] or call us on our Toll Free No. 1800 212 2525.

In case not satisfied with response, please contact the concerned Exchange(s):

ASHIKA COMMODITIES AND DERIVATIVES PVT. LTD. Account Opening KIT

Exchange InvestorGrievance Cell

NCDEX

ICEX

MCX

[email protected]

[email protected]

[email protected]

+91-22-6640 6084

+91-22-3084 9700

+91-22-6731 8888, 6649 4000

‘Trinity’, 226/1, A.J.C. Bose Road 7th Floor, Kolkata-700 020

Registered Office ManagingDirector &ComplianceOfficer

E-mail

Website

Mr. Bajrang Lal Banthia

Phone: (033) 4010 2500

E-mail: [email protected]

[email protected]

www.ashikagroup.com

Phone : 033-4010 2500Fax : 033-4003 3254

Members of Exchange Member Code No. SEBI Registration No.Date

National Commodity & Derivatives Exchange Ltd.

Multi Commodity Exchange of India Ltd.

Indian Commodities Exchange Ltd.

NCDEX - 00191

MCX -12010

ICEX - 1133

09/03/2004

06/07/2004

25/01/2010

INZ 000063835

Client Name & Code

AP Name & Code

Introducer Name & Code

Family Name & Code

FOR

OFF

ICE

USE

ON

LYCIN: U51909WB2003PTC096985

Documents Verified by

Name Signature

Form No. 21701

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ACCOUNT OPENING KIT

Document dealing Client's consent & authorisation for communication fromACDPL regarding T

through mobile number & e-mail no. rade Confirmations, Contract Notes, MTM Obligation

Marginal Calls etc.

Voluntary Documents as provided by Ashika Commodities & Derivatives Pvt. Ltd.

12

2513

14

24

25

Document deals with the declaration given by Client to trade though Internetand wireless technology.

Document from Client for information regarding experience, knowledgein trading & investment in Commodities and Stock Market.

11 23

In case of corporates the Board resolution format is provided.

Joint Family Declaration In case of HUF the declaration format is provided.

Formats

23

21 31

32

32

Managing Partners Authority Letter(In case of Partnership/LLP)

In case of Partnership / LLP the Managing Partners Authorisationformat is provided.

Mandatory Documents

KYC (Account Opening)Application Form - Individual2 Document captures the basic information about the Individual constituent

4-9

Uniform Risk DisclosureDocument (RDD)

Document detailing risks associated with dealing in the commodities market.

Rights & Obligations ofMembers, AuthorisedPersons and Clients

Document stating the Rights & Obligations of Member, Authorised Person andClient for trading on exchanges (including additional rights & obligations incase of internet/wireless technology based trading)

Do's and Don’ts forthe investors

Document detailing do's and don’ts for trading on commodity exchange, for the education of the investors.

Tariff Sheet andAcknowledgement

Document detailing the rate / amount of brokerage and other charges levied4

Clie

nt

Co

py

15

Policies & Procedures5 Document detailing the 'Policies and Procedures' of Ashika Commodities & Derivatives Pvt. Ltd. 16-17

9 FATCA / CRS - Individual Document detailing information regarding the Foreign Account TaxCompliance Act (FATCA) and the Common Reporting Standard (CRS) 18-19

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

No.

Instruction / Checklist1 This Section gives an illustrative list of instructions / check list for filling KYC form 3

KYC (Account Opening)Application Form - Non-Individual

Document captures the basic information about the Non-Individual constituent3 10-14

2

Questionnaire towardsRisk Profiling of ClientsRegistration & Verificationof Mobile Number AndE- Mail Address

Declaration for Authorizationfor trading on Online andOffline Mode

Internet & Wireless Technology based Trading Letter

Document deals with the consent given by Client to trade though bothonline & off-line mode and also through Mobile phones.

Document detailing the Client's request for trading in commodity forwardcontracts/commodity derivatives on NCDEX/MCX (Compulsory of IBT Client)

Declaration on OpenInterest PositionMandate ForAuthorized Representative

Documents detailing Client's authorisation for Representatives totrading on its behalf.

26

26

Undertaking (Annexure 3) Document detailing the various undertaking stated by the client

UBO / Controlling PersonsDeclaration

27

28Document detailing Declaration Form of Ultimate Beneficial Ownership [UBO] /Controlling Persons. (Non Individual only)

Running Account Mandate Contains authorisation from Client to the Member to maintain running Account of funds and Securities 29

ECN Declaration This document deals with the clauses relation to issue of Contract Notes inelectronic form.

30

Board Resolution Format(Corporate / Trust)(for Trading A/c)

15

16

17

18

19

20

22

6

7

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FATCA / CRS - Non- Individual Document detailing information regarding the Foreign Account TaxCompliance Act (FATCA) and the Common Reporting Standard (CRS)

10 20-22

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INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

A. IMPORTANT POINTS: 1. Self attested copy of PAN card is mandatory for all clients, including

Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list.

3. If any proof of identity or address is in a regional language, then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines) copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

10. For opening an account with Depository Participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark Sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc.

B. PROOF OF IDENTITY (POI): - List of documents admissible as Proof of Identity:

1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2. PAN card with photograph. 3. Identity card issued by any of the following: Central/State

Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

C. PROOF OF ADDRESS (POA): - List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission.)

1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy/ Unique Identification Number (UID) (Aadhaar).

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

3. Bank Account Statement/Passbook — Not more than 3 months old. 4. Self-declaration by High Court and Supreme Court Judges, giving a

new address in respect of their own accounts.5. Proof of address issued by any of the following: Bank Managers of

Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary p u b l i c / E l e c t e d r e p r e s e n t a t i v e s t o t h e L e g i s l a t i v e Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

6. Identity card/document with address, issued by any of the following: C e n t r a l / S t a t e G o v e r n m e n t a n d i t s D e p a r t m e n t s , Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

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

8. The proof of address in the name of the spouse may be accepted.

D. EXEMPTIONS/CLARIFICATION TO PAN (*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

2. Investors residing in the state of Sikkim.3. UN entities/multlateral agencies exempt from paying taxes/filing tax

returns in India.4. SIP of Mutual Funds upto Rs. 50,000/-p.a.5. In case of Institutional clients, namely, FIIs, MFs, VCFs, FVCs,

Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under Section 4A of the Companies Act, 1956. Custodians shall verify the PAN card details with the original PAN Card and provide duly certified copies of such verified PAN details to the intermediary.

E. LIST OF PEOPLE AUTHORIZED TO ATTEST THE DOCUMENTS: 1. Notary Public, Gazetted Officer, Manager of a Scheduled

Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

CORPORATE• Copy of the balance sheets for the last 2 financial years (to be

submitted every year) or for the relevant period. • Copy of latest share holding pattern including list of all those

holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).

• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.

• Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.

• Copies of the Memorandum and Articles of Association and certificate of incorporation.

• Copy of the Board Resolution for investment in securities market. •

PARTNERSHIP FIRM • Copy of the balance sheets for the last 2 financial years (to be

submitted every year). • Certificate of registration (for registered partnership firms only). • Copy of partnership deed. • Authorised signatories list with specimen signatures. • Photograph, POI, POA, PAN of Partners.

TRUST • Copy of the balance sheets for the last 2 financial years (to be

submitted every year). • Certificate of registration (for registered trust only). • Copy of Trust deed. • List of trustees certified by managing trustees/CA. • Photograph, POI, POA, PAN of Trustees.

Authorised signatories list with specimen signatures

HUF • PAN of HUF. • Deed of declaration of HUF/ List of coparceners. • Bank pass-book/bank statement in the name of HUF. • Photograph, POI, POA, PAN of Karta.

UNINCORPORATED ASSOCIATION OR A BODY OF• Proof of Existence / Constitution document• Resolution of the managing body & Power of Attorney granted to

transact business on its behalf.• Authorised signatories list with specimen signatures.

BANK / INSTITUTIONAL INVESTORS• Copy of the constitution / registration or annual report / balance

sheet for last 2 Financial years• Authorised signatories list specimen signatures

FOREIGN INSTITUTIONAL INVESTORS (FII) (WHEN APPLICABLE)• Copy of SEBI registration certificate• Authorised signatories list with specimen signatures

ARMY/GOVERNMENT BODIES• Self-certification on letterhead. • Authorized signatories list with specimen signatures.

REGISTERED SOCIETY • Copy of Registration Certificate under Societies Registration Act. • List of Managing Committee members. • Committee resolution for persons authorised to act as authorised

signatories with specimen signatures. • True copy of Society Rules and Bye Laws certified by the Chairman /

Secretary.

F. IN CASE OF NON-INDIVIDUALS, ADDITIONAL DOCUMENTS TO BE OBTAINED FROM NON-INDIVIDUALS, OVER & ABOVE THE POI & POA, AS MENTIONED BELOW:

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( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED*

ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

A) Fields marked with ‘*’ are mandatory fields.

B) Please fill the form in English and in BLOCK letters.

C) Please fill the date in DD-MM-YYYY format.

D) Please read section wise detailed guidelines / instructions

at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.

F) List of two character ISO 3166 country codes is available at the end.

G) KYC number of applicant is mandatory for update application.

H) For particular section update, please tick ( ) in the box available before the

section number and strike off the sections not required to be updated.

Married

Resident Individual

Foreign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-Service

O-Others

B-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code

Identification Number

X- Not Categorised

Address Type*

Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*

City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

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Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS (All communications will be sent on provided

7. REMARKS (If any) Mobile no. / Email-ID) (Please refer instruction F at the end)

(In case of additional related persons, ple6. DETAILS OF RELATED PERSON ase fill ‘Annexure B1’ ) (please refer instruction G at the end)

(If KYC number and name are provided, below details of section 6 are

Tel

optional)

(Off.)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

State* ZIP / Post Code* ISO 3166 Country Code*

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8.

APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY

INSTITUTION DETAILS

Date : Place :

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes

therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable

for it.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code [Employee Signature]

[Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

State / U.T Code* Pin / Post Code* ISO 3166 Country Code*District*

Line 2

City / Town / Village*

Line 1*

Line 3

Line 2

City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code

Identification Number

IN PERSON VERIFICATION (IPV) CARRIED OUT BY

Date

Name

Code

Designation

Name of the Organisation

[Signature]

D D M M Y Y Y Y

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List of two – digit state / U.T codes as per Indian Motor Vehicle Act, 1988

State / U.T Code Andaman & Nicobar AN Andhra Pradesh AP Arunachal Pradesh AR Assam AS Bihar BR Chandigarh CH Chattisgarh CG Dadra and Nagar Haveli DN Daman & Diu DD Delhi DL Goa GA Gujarat GJ Haryana HR

State / U.T Code Himachal Pradesh HP Jammu & Kashmir JK Jharkhand JH Karnataka KA Kerala KL Lakshadweep LD Madhya Pradesh MP Maharashtra MH Manipur MN Meghalaya ML Mizoram MZ Nagaland NL Orissa OR

State / U.T Code Pondicherry PY Punjab PB Rajasthan RJ Sikkim SK Tamil Nadu TN Telangana TS Tripura TR Uttar Pradesh UP Uttarakhand UA West Bengal WB Other XX

List of ISO 3166 two- digit Country Code

Country Country Code

Country Country Code

Country Country Code

Country Country Code

Afghanistan AF Dominican Republic DO Libya LY Saint Pierre and Miquelon PM Aland Islands AX Ecuador EC Liechtenstein LI Saint Vincent and the Grenadines VC Albania AL Egypt EG Lithuania LT Samoa WS Algeria DZ El Salvador SV Luxembourg LU San Marino SM American Samoa AS Equatorial Guinea GQ Macao MO Sao Tome and Principe ST Andorra AD Eritrea ER Macedonia, the former Yugoslav Republic

of MK Saudi Arabia SA

Angola AO Estonia EE Madagascar MG Senegal SN Anguilla AI Ethiopia ET Malawi MW Serbia RS Antarctica AQ Falkland Islands (Malvinas) FK Malaysia MY Seychelles SC Antigua and Barbuda AG Faroe Islands FO Maldives MV Sierra Leone SL Argentina AR Fiji FJ Mali ML Singapore SG Armenia AM Finland FI Malta MT Sint Maarten (Dutch part) SX Aruba AW France FR Marshall Islands MH Slovakia SK Australia AU French Guiana GF Martinique MQ Slovenia SI Austria AT French Polynesia PF Mauritania MR Solomon Islands SB Azerbaijan AZ French Southern Territories TF Mauritius MU Somalia SO Bahamas BS Gabon GA Mayotte YT South Africa ZA Bahrain BH Gambia GM Mexico MX South Georgia and the South Sandwich

Islands GS

Bangladesh BD Georgia GE Micronesia, Federated States of FM South Sudan SS Barbados BB Germany DE Moldova, Republic of MD Spain ES Belarus BY Ghana GH Monaco MC Sri Lanka LK Belgium BE Gibraltar GI Mongolia MN Sudan SD Belize BZ Greece GR Montenegro ME Suriname SR Benin BJ Greenland GL Montserrat MS Svalbard and Jan Mayen SJ Bermuda BM Grenada GD Morocco MA Swaziland SZ Bhutan BT Guadeloupe GP Mozambique MZ Sweden SE Bolivia, Plurinational State of BO Guam GU Myanmar MM Switzerland CH Bonaire, Sint Eustatius and Saba BQ Guatemala GT Namibia NA Syrian Arab Republic SY Bosnia and Herzegovina BA Guernsey GG Nauru NR Taiwan, Province of China TW Botswana BW Guinea GN Nepal NP Tajikistan TJ Bouvet Island BV Guinea-Bissau GW Netherlands NL Tanzania, United Republic of TZ Brazil BR Guyana GY New Caledonia NC Thailand TH British Indian Ocean Territory IO Haiti HT New Zealand NZ Timor-Leste TL Brunei Darussalam BN Heard Island and McDonald Islands HM Nicaragua NI Togo TG Bulgaria BG Holy See (Vatican City State) VA Niger NE Tokelau TK Burkina Faso BF Honduras HN Nigeria NG Tonga TO Burundi BI Hong Kong HK Niue NU Trinidad and Tobago TT Cabo Verde CV Hungary HU Norfolk Island NF Tunisia TN Cambodia KH Iceland IS Northern Mariana Islands MP Turkey TR Cameroon CM India IN Norway NO Turkmenistan TM Canada CA Indonesia ID Oman OM Turks and Caicos Islands TC Cayman Islands KY Iran, Islamic Republic of IR Pakistan PK Tuvalu TV Central African Republic CF Iraq IQ Palau PW Uganda UG Chad TD Ireland IE Palestine, State of PS Ukraine UA Chile CL Isle of Man IM Panama PA United Arab Emirates AE China CN Israel IL Papua New Guinea PG United Kingdom GB Christmas Island CX Italy IT Paraguay PY United States US Cocos (Keeling) Islands CC Jamaica JM Peru PE United States Minor Outlying Islands UM Colombia CO Japan JP Philippines PH Uruguay UY Comoros KM Jersey JE Pitcairn PN Uzbekistan UZ Congo CG Jordan JO Poland PL Vanuatu VU Congo, the Democratic Republic of the

CD Kazakhstan KZ Portugal PT Venezuela, Bolivarian Republic of VE

Cook Islands CK Kenya KE Puerto Rico PR Viet Nam VN Costa Rica CR Kiribati KI Qatar QA Virgin Islands, British VG Cote d'Ivoire !Côte d'Ivoire CI Korea, Democratic People's Republic

of KP Reunion !Réunion RE Virgin Islands, U.S. VI

Croatia HR Korea, Republic of KR Romania RO Wallis and Futuna WF Cuba CU Kuwait KW Russian Federation RU Western Sahara EH Curacao !Curaçao CW Kyrgyzstan KG Rwanda RW Yemen YE Cyprus CY Lao People's Democratic Republic LA Saint Barthelemy !Saint Barthélemy BL Zambia ZM Czech Republic CZ Latvia LV Saint Helena, Ascension and Tristan da

Cunha SH Zimbabwe ZW

Denmark DK Lebanon LB Saint Kitts and Nevis KN Djibouti DJ Lesotho LS Saint Lucia LC Dominica DM Liberia LR Saint Martin (French part) MF

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CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual | Related Person

Annexure B1

Addition of Related Person

Deletion of Related Person

1. DETAILS OF RELATED PERSON (Please refer instruction G at the end)

KYC Number of Related Person (if available* )

Related Person Type*

Name*

PROOF OF IDENTITY (PoI) OF RELATED PERSON* (Please see instruction (H) at the end)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

2. APPLICANT DECLARATION

3. ATTESTATION / FOR OFFICE USE ONLY

Date : Place :

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

Signature / Thumb Impression of ApplicantD D M M Y Y Y Y

(If KYC number and name are provided, below details of section 1 are optional)

Guardian of Minor Assignee Authorized Representative

Important Instructions: A) Fields marked with ‘ * ’ are mandatory fields.

B) Please fill the form in English and in BLOCK letters.

C) Please fill the date in DD-MM-YYYY format.

D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T code as per Indian Motor Vehicle

Act, 1988 is available at the end.

F) List of two character ISO 3166 country codes is available at the end.

G) KYC number of applicant is mandatory for update application.

H) For particular section update, please tick (

) in the box available before the

section number and strike o the sections not required to be updated.f

New Update

(To be filled by financial institution) (Mandatory for KYC update request)

For office use only

Application

Type*

KYC Number

S- Simplified Measures Account - Document Type code

Identification Number

KYC VERIFICITION CARRIED OUT BY

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

[Employee Signature]

D D M M Y Y Y Y

INSTITUTION DETAILS

Name

Code

[Institution Stamp]

IN PERSON VERIFICATIN (IPV) CARRIED OUT BY

Date

Name

Code

Designation

Name of Organisation

[Signature]

D D M M Y Y Y Y

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General Instructions:1. Fields marked with ‘*’ are mandatory fields.2. Tick ‘3’ wherever applicable.3. Self-Certification of documents is mandatory.4. Please fill the form in English and in BLOCK Letters.5. Please fill all dates in DD-MM-YYYY format.6. Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor

Vehicle, 1988 and ISO 3166 country code respectively list of which is available at the end.7. KYC number of applicant is mandatory for updation of KYC details.8. For particular section update, please tick (3) in the box available before the section number and strike off the sections

not required to be updated.9. In case of ‘Small Account type’ only personal details at section number 1 and 2, photograph, signature and self-

certification required.A. Clarification / Guidelines on filling ‘Personal Details’ section

1. Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc). The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected.

2. Either father’s name or spouse’s name is to be mandatorily furnished. In case PAN is not available father’s name is mandatory.

B. Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India1. Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the

said jurisdiction has issued a high integrity number with an equivalent level of identification (a “Functional equivalent”), the same may be reported. Examples of that type of number for individual include, a social security/insurance number, citizen/personal identification/services code/number, and resident registration number)

C. Clarification / Guidelines on filling ‘Proof of Identity [Pol]’ section1. If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.2. Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.3. In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents

can also be submitted and undernoted relevant code may be mentioned in point 3 (S).Document CodeDescription01 Identity card with applicant’s photograph issued by Central/ State Government Departments,

Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, andPublic Financial Institutions.

02 Letter issued by a gazetted officer, with a duly attested photograph of the person.D. Clarification / Guidelines on filling ‘Proof of Address [PoA] - Current / Permanent / Overseas Address details’ section

1 PoA to be submitted only if the submitted Pol does not have an address or address as per Pol is invalid or not in force.2 State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses.3 In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents

can also be submitted and undernoted relevant code may be mentioned in point 4.1.Document Code Description01 Utility bill which is not more than two months old of any service provider (electricity,

telephone, post-paid mobile phone, piped gas, water bill).02 Property or Municipal Tax receipt.03 Bank account or Post Office savings bank account statement.04 Pension or family pension payment orders (PPOs) issued to retired employees by Government

Departments or Public Sector Undertakings, if they contain the address.05 Letter of allotment of accommodation from employer issued by State or Central Government

departments, statutory or regulatory bodies, public sector undertakings, scheduled commercialbanks, financial institutions and listed companies. Similarly, leave and license agreements withsuch employers allotting official accommodation.

06 Documents issued by Government departments of foreign jurisdictions and letter issued byForeign Embassy or Mission in India.

E. Clarification / Guidelines on filling ‘Proof of Address [PoA] - Correspondence / Local Address details’ section1 To be filled only in case the PoA is not the local address or address where the customer is currently residing. No

separate PoA is required to be submitted.2 In case of multiple correspondence / local addresses, Please fill ‘Annexure Al’

F. Clarification / Guidelines on filling ‘Contact details’ section1 Please mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-

9999999999).2 Do not add ‘0’ in the beginning of Mobile number.

G. Clarification / Guidelines on filling ‘Related Person details’ section1 Provide KYC number of related person if available.

H. Clarification / Guidelines on filling ‘Related Person details - Proof of Identity [Pol] of Related Person’ section1 Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

CENTRAL KYC REGISTRY | Instructions / Check list / Guidelines for filling Individual KYC Application Form

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KYC - APPLICATION FORM FOR TRADING A/C - NON-INDIVIDUAL

A. IDENTITY DETAILS

1 Name of the Applicant

2 a. Date of incorporation b. Place of incorporation

Date of Commencement of Business3

a. PAN, copy attached4

Status(Please tick any one)

5

D D M M Y Y Y Y

b. Regn. No. (eg. CIN)

Pvt. Ltd. Co.

Others (Please specify)______________________________________________

Public Ltd. Co. Body Corporate Partnership

FPI-Category III

B. ADDRESS DETAILS

1 Correspondence Address

2 Specify proof of correspondence address submitted

3 Contact Details

City/Town/VillageState

PIN CodeCountry

Telephone (office)

Fax No.

Email ID

Telephone (Res)Mobile No.

4 Registered Address(if different from above.) City/Town/Village

State

PIN Code

Country

Form

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Charities NOG's FI FIITrustHUF

AOP Bank Government Body Non-Government Organisation Defense EstablishmentBOI Society LLP FPI-Cetegory I FPI-Category II

D. DECLAR ATION

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

Name & Signature of the Authorised Signatory Date D D M M Y Y Y YPlace

D D M M Y Y Y Y

Please fill this form in ENGLISH and in BLOCK LETTERS

In-Person Verification done by

Signature of Authorised Signatory &Seal / Stamp of the Member

Date D D M M Y Y Y Y

Name

Code Designation

Date of IPV

Signature

FOR OFFICE USE ONLY

Name of theOrganisation

Originals verified and Self Attested copies received

D D M M Y Y Y Y

C. OTHER DETAILSIf space is insufficient enclose these detai ls separately [illustratative format enclosed as per Annexure I]

1 Name, PAN, Residential Address and Photographs of Promoters / Partners / Karta / Trustees & Wholetime Directors

2a DIN of Wholetime Directors:

Aadhar Number of Promoters / Partners / Karta2b

NEW CHANGE REQUEST (please tick ü the appropriate)

ACKNOWLEDGEMENT No.

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DETAILS OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLETIME DIRECTORS FORMING A PART OF KNOW YOUR CLIENT (KYC)

ParticularsS.N. Photograph

Name and signature with Stamp of the Authorised Signatory(ies) Date D D M M Y Y Y Y

Name of Applicant PAN

1

1 Name

4 Residential / Registered Address

3 a PAN

City / Town / VillageState

2 Relationship with Applicant ( i.e. promoter, whole time director etc)b DIN

c Aadhar (UID)

PINCountry

2

1 Name

4 Residential / Registered Address

3 a PAN

City / Town / VillageState

2 Relationship with Applicant ( i.e. promoter, whole time director etc)b DIN

c Aadhar (UID)

PINCountry

3

1 Name

4 Residential / Registered Address

3 a PAN

City / Town / VillageState

2 Relationship with Applicant ( i.e. promoter, whole time director etc)b DIN

c Aadhar (UID)

PINCountry

4

1 Name

4 Residential / Registered Address

3 a PAN

City / Town / VillageState

2 Relationship with Applicant ( i.e. promoter, whole time director etc)b DIN

c Aadhar (UID)

PINCountry

5

1 Name

4 Residential / Registered Address

3 a PAN

City / Town / VillageState

2 Relationship with Applicant ( i.e. promoter, whole time director etc)b DIN

c Aadhar (UID)

PINCountry

Annexure - I

Please affix yourrecent passportsize photograph

andsign across it

Please affix yourrecent passportsize photograph

andsign across it

Please affix yourrecent passportsize photograph

andsign across it

Please affix yourrecent passportsize photograph

andsign across it

Please affix yourrecent passportsize photograph

andsign across it

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( 6 )

BANK ACCOUNT( S) DETAILS

Bank Account TypeBank Account No.

Bank Name

Pri

ma

ry

Bank Branch Address

MICR Code

Savings Current Others, in case of NRI (NRE/NRO) (Plz specify)

City/Distt./VillageState

IFSC Code

PIN Code

Country

Bank Account Type

Bank Account No.

Bank Name

Seco

ndary

(if ad

dition

al, fo

r Trad

ing A/

c)

Bank Branch Address

MICR Code

Savings Current Others, in case of NRI (NRE/NRO) (Plz specify)

State

IFSC Code

PIN CodeCountry

Note : Provide a copy of cancelled cheque leaf / pass book / bank statement specifying name of the client, MICR code or / and IFSC code of the bank

Note : Provide a copy of cancelled cheque leaf / pass book / bank statement specifying name of the client, MICR code or / and IFSC code of the bank

City/Distt./Village

DEPOSITORY ACCOUNT(S) DETAILS, if available

Sr.# Particulars Primary DP Details Secondary DP Details

1

2

3

4

5

DP

DP Name

DP ID

Beneficiary Name

BO/Client ID

NSDL CDSL NSDL CDSL

Note : Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the client

TRADING PREFERENCE

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

National Commodity & Derivatives Exchange Ltd.

Multi Commodity Exchange of India Ltd.

Indian Commodities Exchange Ltd.

Name of the National Commodity Exchange Date of consent for trading on concerned exchange Signature of the Client

D D M M Y Y Y Y

[ In case of allowing a client for trading on any other Exchange at a later date, which is not selected now, a separate consentletter is required to be obtained by the Member from client and to be kept as enclosure with this document ]

D D M M Y Y Y Y

D D M M Y Y Y Y

KYC - APPLICATION FORM FOR TRADING A/C - BOTH INDIVIDUAL & NON-INDIVIDUAL

INVESTMENT / TRADING EXPERIENCE

No Prior Experience ________ years in Commodities __________ years in other investment related fields

1 Gross Annual Income(Income Range per Annum, Plz tick) Below ` 1 Lac 1-5 Lac` 5-10 Lac` 10-25 Lac`

Networth(should not be older than 1 year) Amount ( )` As on (Date) D D M M Y Y Y Y2

Please tick, as applicable(for individual only)

3

> 25 Lac`

Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)

Not Politically Exposed Person (PEP) Not related to a Politically Exposed Person (PEP)

OTHER DETAILS

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KYC - APPLICATION FORM FOR TRADING A/C - INDIVIDUAL & NON-INDIVIDUAL

PAST REGULATORY ACTIONS

Details of any actions/proceedings

initi ated/pending / taken by SEBI/

Stock Exchange/Commodity Exchange/

any other authority against the Client /

or its partners/promoters/wholetime

directors/authorised person in-charge

during the last 3 years

DEALINGS THROUGH OTHER MEMBERS

If client is dealing through any other Member, provide the following details ( in case dealing with multiple Members,provide details of all in a separate sheet containing all the information as mentioned below)

Member's/AuthorisedPerson's Name

Exchange ExchangeRegn. No.

Concerned Member's Name withwhom the AP is registered

Registered OfficeAddress

Phone Fax Email

Website

Details of disputes/dues pending from/to such Member/AP (use separate sheet if required

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ADDITIONAL DETAILS

Whether you wish to receive communication from Member in

electronic form on your E-mail ID. (If yes, then fill Annexure II)Yes No

INTRODUCER DETAILS (Optional)

Introducer'sName

Introducer'sAddress

Introducer'sStatus

Signature

Surname Name Middle Name

Authorised Person Existing Client Other (pls. specify)_____________________

Phone No.

ClientCode

GST REGISTRATION DETAILS

State Registration No.

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NOMINATION DETAILS

KYC - APPLICATION FORM FOR TRADING A/C

I/We wish to make a nomination (As per details given below) I/We do not wish to make a nomination (Strike off the nomination details below)

1 Name of the Nominee (Mr./Ms.)

2 Relationship with Nominee

3 Address ofNominee

4 Contact Details ofNominee

City/Distt./VillageState

Telephone (Office)

Fax No.

Email ID

PIN Code

CountryTelephone (Res.)

Mobile No.

PAN

5 Name of the Guardian

6 Address ofGuardian

7 Contact Details ofGuardian

City/Distt./Village

State

Telephone (Office)

Fax No.Email ID

PIN Code

Country

Telephone (Res.)

Mobile No.

PAN

In case the Nominee is MINOR (Individual Only)

Signature of two witnesses for nomination (Required only if nomination is done)Name of the Witness Address of the Witness Signature of witness with date

a.

b.

Nominee's Date of Birth D D M M Y Y Y Y

Form

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DECLAR ATION

Signature of Client Date D D M M Y Y Y YPlace

Documents verified with originals by

FOR OFFICE USE ONLY

Employee Name

Employee Code

Employee's Designation

Date

EmployeeSignature Signature of Authorised Signatory &

Seal / Stamp of the Member

Date D D M M Y Y Y Y

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

2. I/We confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non-mandatory documents.

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

I/We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of Rights and Obligations document(s), RDD, Do's and Don'ts and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the tariff sheet and all the voluntary/non-mandatory documents would be duly intimated to the clients. I/We do undetake that any change in the Rights and Obligations and RDD would be made availbale on my/our website, for the information of the clients.

UCC Code allottedto the client

8 Signature of the Guardian

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Brokerage Slab

BROKERAGE STRUCTURE

MCX

NCDEX

ICEX

Per lot % Min. Paisa*

.00%

*

.00%

*

.00%

*: Please don’t mention any (%) or (.) mark here. It should be in terms of absolute paisa only.# : Please don’t mention any (%) or (.) mark here. It should be in terms of Rs. per lot only.

The following statutory changes will also be levied at actuals:a) Commodities transactions charges.b) Turnover Tax e) SEBI turnover fees.c) Stamp Duty f) GSTd) RMS fees.

Yours faithfully,

Client Name : _______________________ Signature: ____________________________ Date :___________

TARIFF SHEET

Sta

nd

ard

Do

cum

en

t

ToASHIKA COMMODITIES & DERIVATIVES PVT. LTD.Trinity, 226/1, AJC Bose Road7th Floor, Kolkata-700 020

I / We hereby confirm that I / We have gone through all the relevant clauses at the time of execution of KYC and has sought the relevant clarification wherever required from the officials of ACDPL.

Moreover please arrange to provide the following documents in

Electronic via E-mail Physical

Sl. No. Brief Description of the Document

1. Rights and Obligation of Commodities Brokers, Authorised Person and Clients.

2. Internet and Wireless technology based trading facility provided by commodity brokers to clients.

3. Risk and disclosure documents for commodity market.

4. Guidance note- Do’s and Don’ts for trading on the Exchange(s) for Investors.

5. Executed Copy of KYC

For _________________________________________

Client Code : _________________________________

Note: The standard documents are also available in vernacular languages on our Website: www.ashikagroup.com and can be downloaded at any point of time for reference.

ACKNOWLEDGEMENT / PREFERENCE

15

Signature

#

#

#

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1. Setting up Client's exposure limits:- ACDPL may from time to time impose and vary limits on the orders that the client can place through its trading system (including exposure limits, turnover limits, limits as to the number, value in respect of which orders can be placed etc.). The client is aware and agrees that ACDPL may need to vary or reduce the limits or impose new limits urgently on the basis of its risk perception and other factors considered relevant by it including but not limited to limits on account of exchange / SEBI directions etc.

2. Applicable brokerage rate. The Commodity broker is entitles to charge brokerage within the limits imposed by exchange. However brokerage and other charges as agreed by the Client is indicated and duly signed by the client under brokerage slab. If there is any upward revision of brokerage, the same will be informed to the client with 15 days prior notice. For any downward movement, the same would be done on immediate basis post intimation to Client.

3. Imposition of penalty / delayed payment charges by either party, specifying the rate and the period ( this must not result in funding by the broker in contravention of the applicable laws):- The client agrees that any amounts which are overdue from the client towards trading or on account of any other reason to ACDPL will be charged with delayed payment charges at the maximum rate of 24% p.a. The client agrees that ACDPL may impose fines/ penalt ies for any orders/trades/deals/actions of the cl ient which are contrary to this agreement/Rules/Regulation/Bye laws of the exchange or any other law for the time being in force at such rates and in such form as it may deem fit. Further where the Commodity broker has to pay any fine or bear any punishment from any authority in connection with / as a consequence of / in relation to any of the order/trades/deals/actions of the client the same shall be borne in actual by the client.

4. The right to sell clients' securities or close clients' positions, without giving notice to the clients , on account of non-payment of client's dues ( this shall be limited to the extent of settlement /margin obligation). The client shall ensure timely availability of funds in designated form and manner for meeting his/her/its pay in obligation of funds. ACDPL shall not be responsible for any claim/loss/damage arising out of non availability of funds by the client for meeting the pay in obligation of either funds.ACDPL has the right but not the obligation, to cancel all pending orders and to sell/close/liquidate all open positions commodities at the pre-defined square off time or when Mark to Market loss (M-T-M) reaches the speculated % or margin available with the broker is not sufficient to cover the risk or the client have not taken any steps either to replenish the margin or reduce the Mark to Market loss.ACDPL have the sole discretion to decide referred stipulated margin percentage depending upon the market condition. In the event of such square off, the client agrees to bear all the losses based on actual executed prices. In case open position (ie. short /long) gets converted into delivery due to non square off because of any reason whatsoever, the client agrees to provide funds to fulfill the payin obligation failing which the client will have to face auctions or internal close outs, in addition to this, the client will have to pay penalties and charges levied by the exchange in actual and losses. If any without prejudice to the foregoing, the client shall also be solely liable for all any penalties and charges levied by the exchange(s).Notwithstanding anything to the contrary in the agreement or elsewhere, if the client fails to maintain or provide the required margin/fund/security or to meet the funds/margins pay in obligations for the orders/trades/deals of the client within the prescribed time and form, the ACDPL shall have the right without any further notice or communication to the client to take any one or more of the following steps:I. To withhold any payout of funds .ii. To withhold /disable the trading/dealing facility to the client.iii. To liquidate one or more security(s) of the client by selling the same in such manner and at such rate which

ACDPL may deem fit in its absolute discretion. iv. To liquidate / square off partially or fully the position of sales & / or purchase in any one or more commodities

contracts in such manner and at such rate which ACDPL may decide in its absolute discretion.v. To take any other steps which in the given circumstances, ACDPL may deem fit.

5. Shortages in obligations arising out of internal netting of trades. ACDPL shall not be obliged to deliver any commodities or pay any money to the client unless and until the same has been received by it from the exchange, the clearing corporation/clearing house or other company or entity liable to make the payment and the client has fulfilled his/her/its obligations first. The policy and procedure for settlement of shortages in obligations arising out of internal netting of trades is as under:

POLICIES & PROCEDURES

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The commodities delivered short are purchase from the market and the purchase consideration (including all statutory charges and levies) along with a penalty is debited to the short delivery seller client.ACDPL shall have the right to adopt a policy of its choice for internal auctions arising out of internal netting of trades and charge to default seller and compensate the impacted purchaser as per the policy. The current procedure for internal auction may be amended from time to time with prospective effect and will be published on the website.

6. Conditions under which a client may not be allowed to take further position or the broker may close the existing position of a client. The client is not entitled to trade without adequate margin / security and that it shall be his/her/its responsibility to ascertain beforehand the margin / security requirements for his/her/its orders/trades/deals and to ensure that the required margin/ security is made available in such form and manner as may be required by ACDPL. If the client's order is executed despite a shortfall in the available margin, the client shall, whether or not ACDPL intimates such shortfall in the margin to the client, make up the shortfall suo moto immediately. The client further agrees that he/ she/it shall be responsible for all orders (including any orders that may be executed without the required margin in the client's account) & / or any claim / loss / damage arising out of the non-availability / shortage of margin / security required by the Commodity broker & / or exchange & /or quantum & or percentage of the margin & / or security required to be deposited / made available from time to time. The margin/security deposited by the client with ACDPL is not eligible for any interest.

7) Temporarily suspending or closing a client's account at the client's request and:- Closure request from the client is obtained in the prescribed format, specifying the reasons for closure. The form should be duly signed by the client. The same is forwarded to the Head Office where it is processed after the signatures are being verified. Any pending settlements in the existing code are also thoroughly cross verified. An exit interview over telephone may also be taken from the HO end. Then the exiting code is deactivated in BO software as well in the Exchange records. Closure intimation is sent to the client either through E-mail or though post. Interdepartmental intimation is also sent in such cases if required. ACDPL is entitled to disable / deregister the trading facility/client , if in the opinion of ACDPL, the client has committed a crime / fraud or has acted in contradiction of this agreement or / is likely to evade/ violate any laws, rules regulations, directions of a lawful authority whether Indian or foreign or if the ACDPL so apprehends

8) Deregistering a client. Notwithstanding anything to the contrary stated in the agreement, ACDPL shall be entitled to terminate the agreement with immediate effect in any of the following circumstances:i. If the action of the Client are prima facie illegal/improper or such as to manipulate the price of any commodities

or disturb the normal / proper functioning of the market, either alone or in conjunction with others.ii. If there is any commencement of a legal process against the Client under any law in force;iii. On the death/lunacy or other disability of the client;iv. If a receiver, administrator or liquidator has been appointed or allowed to be appointed or allowed to be

appointed of all or any part of the undertaking of the client;v. If the client has voluntarily or compulsorily become the subject of proceedings under any bankruptcy or

insolvency law or being a company, goes into liquidation or has a receiver appointed in respect of its assets or refers itself to the Board for Industrial and Financial Reconstruction or under any other law providing protection as a relief undertaking;

vi. If the Client being a partnership firm, if any steps have been taken by the Client and /or its partners for dissolution of the partnership;

vii. If the Client have taken or suffered to be taken any action for its reorganization, liquidation or dissolution.viii. If the Client has made any material misrepresentation of facts, including(without limitation)in relation to the

Security;ix. If there is reasonable apprehension that the Client is unable to pay its debts or has admitted it inability to pay its

debts, as they become payable. If the Client suffers any adverse material change in his /her/its financial position or defaults in any other agreement with the Commodity broker.

x. If the Client is in breach of any term, conditions or covenant of this Agreement.xi. If any covenant or warranty of the client is incorrect or untrue in any material respect.

POLICIES & PROCEDURES

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FATCA / CRS DECLARATION - INDIVIDUAL

18

Signature

Applicant Name _____________________________________________________________________________________

PART I - Please fill in the country for each of the following :

1. Country of :

a) Birth ______________________________________ b) Citizenship__________________________________

c) Residence for Tax Purposes ______________________________________________________________________

2. US Person* : Yes No

PART II - Please note :

a. If in all fields above, the country mentioned by you is India and if you do not have US person status, please proceedto Part III for signature.

b. If for any of the above field, the country mentioned by you is not India and/or if your US person status is Yes, pleaseprovide the Tax Payer Identification Number (TIN) or functional equivalent** as issued in the specific country in the table below :

i) TIN________________________________________ Country of Issue__________________________________

ii) TIN_______________________________________ Country of Issue__________________________________

iii) TIN_______________________________________ Country of Issue__________________________________

a. In case any of the parameters in Part I indicates that you are a US person or a person resident outside of India for tax purpose and you do not have Taxpayer Identification Numbers/functional equivalent, please complete and sign the Self-Certification section given in Part IV.

b. In case you are declaring US person status as ‘No’ but your Country of Birth is US, please provide document evidencing Relinquishment of Citizenship. If not available provide reasons for not having relinquishment certificate

________________________________________________________________________________________________

Please also fill Part IV Self-Certification.

PART III - Customer Declaration (Applicable for all customers)

(i) Under penalty of perjury, I/we certify that :

1. The applicant is (i) an applicant taxable as a US person under the laws of the United States of America (“U.S.”) or any state or political subdivision thereof or therein, including the District of Columbia or any other states of the U.S., (ii) an estate the income of which is subject to U.S. federal income tax regardless of the source thereof.

(This clause is applicable only if the account holder is identified as a US person)

2. The applicant is an applicant taxable as a tax resident under the laws of country outside India. (This clause is applicable only if the account holder Is a tax resident outside of India)

(ii) I/We understand that Ashika Commodities & Derivatives (P) Ltd. ( ACDPL) is relying on this information for determining the status of applicant named above in compliance with FATCA/CRS. Ashika Commodities & Derivatives Pvt. Ltd. is not able to offer any tax adviceon CRS or FATCA or its impact on the applicant. I/we shall seek advice from professional tax advisor for any tax questions.

(iii) I/We agree to submit a new form within 30 days if any information or certification on this form becomes incorrect.

(iv) I/We agree that as may be required by domestic regulators/tax authorities ACDPL may also be required to report, reportable details to CBDT or close or suspend my account.

(v) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certification is true, correct, and complete including the taxpayer identification number of the applicant.

Signature :__________________________________________________________________________________________

Name :____________________________________________________ Date (DD/MM/YYYY) :_______________________

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Signature

PART IV - Self-Certification :

To be filled only if-

(a) Name of the country in Part I is other than India and TIN or functional equivalent is not available, or

(b) US person is mentioned as Yes in Part I, and TIN is not available

I confirm that I am neither a US person nor a resident for Tax purpose in any country other than India, though one or more parameters suggest my relation with the country outside India. Therefore, I am providing the following document as proof of my citizenship and residency in India.

____________________________________Signature

Document Proof submitted (Please tick document being submitted)

Passport Election Id Card PAN Card Driving License UIDAI Letter

NREGA Job Card Govt. Issued ID Card

* U.S. Person means,

(a) an individual, being a citizen or resident of the United States of America;

(b) a partnership or corporation organized in the United States of America or under the laws of the United States of America or any State thereof;

(c) a trust if,-

(i) a court within the United States of America would have authority under applicable law to render orders or judgments concerning substantially all issues regarding administration of the trust; and

(ii) one or more U.S. persons have the authority to control all substantial decisions of the trust; or

(d) an estate of a decedent who was a citizen or resident of the United States of America;

** Functional Equivalent of TIN

Many countries do not issue TIN to their taxpayers. However, such countries issue some other high integrity number with an equivalent level of identification (a functional equivalent). Examples of such numbers are-

• Social Security Number

• National Insurance Number

• Citizen Or Personal Identification Code Or Number

• Resident Registration Number

FATCA / CRS DECLARATION - INDIVIDUAL

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Signature

FATCA / CRS DECLARATION - NON-INDIVIDUAL

Applicant Name ______________________________________________________________________________________

PART I

A. Is the account holder a Government body/International Organization/listed company on recognized stock exchange:

Yes No

If “No”, then proceed to point B. If “yes” please specify name of stock exchange, if you are listed company

_______________________________________ and proceed to sign the declaration.

B. Is the account holder a (Entity/Financial Institution) tax resident of any country other than India : Yes No

If “yes”, then please fill of FATCA/ CRS Self certification Form. If “No”, proceed to point C.

C. Is the account holder an Indian Financial Institution : Yes No

If “yes”, please provide your GIIN, if any ______________________. If “No”, proceed to point D.

D. Are the Substantial owners or controlling persons in the entity or chain of ownership resident for tax purpose in any

country outside India or not an Indian citizen : Yes No

If “yes”, (then please fill FATCA/ CRS self-certification form)). If “No”, proceed to sign the declaration.

CUSTOMER DECLARATION

( ) Under penalty of perjury, I/we certify that :

1. The applicant is:

(i) An applicant taxable as a US person under the laws of the United States of America (“U.S.”) or any state or political subdivision thereof or therein, including the District to Columbia or any other states of the U.S.,

(ii) An estate the income of which is subject to U.S. federal income tax regardless of the source thereof. (This clause is applicable only if the account holder is identified as a US person)

2. The applicant is an applicant taxable as a tax resident under the laws of country outside India.

(i) I/We understand that Ashika Commodities & Derivatives (P) Ltd.. is relying on this information for the purpose of determining the status of the applicant named above in compliance with FATCA/CRS. ACDPL is not able to offer any tax advice on FATCA/CRS or its impact on the applicant. I/we shall seek advice from professional tax advisor for any tax questions.

(ii) I/We agree to submit a new form within 30 days if any information or certification on this form becomes incorrect.

(iii) I/We agree that as may be required by domestic regulators/tax authorities ACDPL may also be required to report, reportable details to CBDT or close or suspend my account.

(iv) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certification is true, correct, and complete including the taxpayer identification number of the applicant.

Name of the Entity____________________________________________________________________________________

Signature 1__________________________________________ Signature 2_____________________________________

Signature 3_____________________________________ ( As per MOP)

Date :____________________________

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Signature

FATCA / CRS DECLARATION - NON-INDIVIDUAL

PART II

Self-Certification Form (Entity) for Foreign Account Tax Compliance Act (“FATCA”) and Common Reporting Standards(CRS)

Section 1 : Entity information

Name of Entity_______________________________________________________________________________________

Customer id (if existing) ________________________________ Entity Constitution Type___________________________

Entity Identification type : Tax Identification Number (TIN) US GIIN Company Identification Number

Global Entity Identification Number (EIN) Other

Entity Identification No.________________________________________________________________________________

Entity Identification issuing country__________________Country of Residence for tax purpose_____________________

Section 2 : Classification of Non-Financial entities

I/We (on behalf of the entity) certify that the entity is:

a) An entity incorporated and taxable in US (Specified US person) : Yes No

If “Yes”, please provide your U.S. Taxpayer Identification Number (TIN)_____________________________________

b) An entity incorporated and taxable outside of India (other than US) : Yes No

If “Yes”, please provide your TIN or its functional equivalent_____________________________________________

Provide your TIN issuing country ___________________________________________________________________

c) Please provide the following additional details if you are not a Specified US Person :

FATCA / CRS classification for Non-financial entities (NFFE)

Active NFFE Passive NFFE without any controlling Person

Passive NFFE with Controlling Person(s) : US Others

Direct Reporting NFFE (Choose this if any entity has registered itself for direct reporting for FATCA and thus

Ashika Commodities & Derivatives Pvt.Ltd. is not required to do the reporting)

Please provide GIIN number :______________________________________________________________________

Section 3 : Classification of financial institutions (including Banks)

I/We (on behalf of the entity) certify that the entity is :

a. An entity is a U.S. financial institution : Yes No

If “Yes”, (i) Please provide your Taxpayer Identification Number (TIN)

(ii) Please provide GIIN, if any ____________________________________________________________

If “No”, please tick one of the following boxes below :

FATCA classification Please provide the Global IntermediaryIdentification number (GIIN) or other information where

Reporting Foreign Financial Institution in a Model 1Inter-Governmental Agreement (“IGA”) Jurisdiction ________________________________________________

Reporting Foreign Financial Institution in a Model 2IGA Jurisdiction _____________________________________________________________________________

Participating FFI in a Non-IGA Jurisdiction ________________________________________________________

Non-reporting FI ____________________________________________________________________________

Non-Participating FI __________________________________________________________________________

Owner-Documented FI with specified US owners __________________________________________________

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Section 4 : Controlling person declaration

If you are classified as “Passive NFFE with Controlling Person(s)” or “Owner documented FFI” or “Specified US person”, please provide the following details:

Country of TIN issuing ControllingName of controlling person Correspondence Address residence for TIN country person type

tax purpose

FATCA / CRS DECLARATION - NON-INDIVIDUAL

Details Controlling person 1 Controlling person 2 Controlling person 3 Controlling person 4 Controlling person 5

Identification Type

Identification Number

Occupation Type

Occupation

Birth Date

Nationality

Country of Birth

Section 5 : Declaration

(i) Under penalty of perjury, I/we certify that :

1. The number shown on this form is the correct taxpayer identification number of the applicant, and

2. The applicant is (i) an applicant taxable as a US person under the laws of the United States of America (“U.S.”) or any state or political subdivision thereof or therein, including the District of Columbia or any other states of the U.S., (ii) an estate the income of which is subject to U.S. federal income tax regardless of the source thereof, or

3. The applicant Is an applicant taxable as a tax resident under the laws of country outside India.

(ii) I/We understand that Ashika Commodities & Dervatives Pvt. Ltd. is relying on this information for the purpose of determining the status of applicant named above in compliance with CRS/FATCA. Ashika Commodities & Dervatives Pvt. Ltd. is not able to offer any tax advice on CRS or FATCA or its impact on the applicant. I/we shall seek advice from professional tax advisor for any tax questions.

(iii) I/We agree to submit a new form within 30 days if any information or certification on this form gets changed.

(iv) I/ We agree as may be required by Regulatory authorities, Ashika Commodities & Dervatives Pvt. Ltd. shall be required to report, reportable details to CBDT or close or suspend my account.

(v) I/We certify that I/we provide the information on this form and to the best of my/our knowledge and belief the certification is true, correct and complete including the tax payer identification number of the applicant.

I/We hereby confirm that details provided are accurate, correct and complete

_______________________________________________________________________________________________Authorized Signatories and Company Seal (if applicable)

Name________________________________________________________Date (DD/MM/YYYY)___________________

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QUESTI ONNAIRE TOWARDS RISK PROFILING OF CLIENTS

IDENTIFYING YOUR INVESTMENT RISK (From Investment Trading Perspective)

Familiarity with the Commodities / Stock Investment

Not familiar at all Somewhat familiar Fairly familiar Very familiar

(Tick the applicable)11

Commodities / Stock Investment Longevity

Less than 1 year Within 1-3 years Within 3-5 years More than 5 years

(Tick the applicable)2

Approximate percentage of your current Investment in Commodities / Stock

Above 75% Between 50% to 75% Between 10% to 25% Less than 10%

(Tick the applicable)

3

No Experienced

(Tick the applicable)Your experience in Commodities / Stock Market

Highly Experienced Very Experienced

4

(Tick the applicable)Legal Actions

Yes Rs. ____________________ (Amount involved) No

5

(Tick the applicable)Quantum of bearable loss

Minimal amount of capital loss Moderate Capital Loss High Capital Loss

6

(Tick the applicable)Source of deployment of funds, whether borrowed7

Yes Name of the lender: _______________________ and amount borrowed Rs._________________ No

(Tick the applicable)Details of the family member / group Companies being the promoter of the listed Company1

Yes Name of the listed Company _______________________________________________________ No

ADDITIONAL INFORMATION

(Tick the applicable)Details of the family member / group Companies registered with SEBI2

Yes Mention details __________________________________________________________________ No

(Tick the applicable)Details of the family members / relatives having trading account with ACDPL3

Yes Client Code ________________________ Name ________________________________________ No

(Please write down any additional comments you may have relevant to determining your Risk ProfileAdditional Comments (to be filled by Client)

NON-MANDATORY

23

Signature

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FOR REGISTRATION AND VERIFICATION OF MOBILE NUMBER AND E- MAIL ADDRESS

To Date : ___________________Ashika Commodities & Derivatives Private Ltd.Trinity, 226/1, A J C Bose RoadKolkata-700 020

Sub. : Consent for Mobile and E-mail Registration

Dear Sir,

I/We hereby request you to send all your communications pertaining to my/our trade like Trade Confirmations, Contract Notes, MTM Obligation, Marginal Calls or any other communication (whichever is necessary from your Compliance point of view) including the verifications call from Ashika Commodities & Derivatives Pvt. Ltd. on the below mentioned Mobile number / E-mail ID.

I / We confirm that :

The said Mobile is registered in the name of ______________________________________________________ and the

Email is / is also registered in the name of ______________________________________________________________

I/We am / are also aware that the Commodity Exchanges have been pursuing a process of confirming the trade details directly to the Clients via SMS and E-mail alerts which they have carried out through their respective Commodity Broker. Accordingly, I/We accord my/our consent to receive those SMS as well as Email alerts directly from the Exchanges on the above stated contact details for the purpose. I/We hereby authorize you for sharing the contract details with Exchanges.

Yours faithfully, Client Code:

Trading Code:

ContractMode

Mention E-mail / Mobile

Mobile / E-mail is registered in the Name (Please tick the correct box)

Self Spouse DependentChild

DependentParent

E-mail

Mobile No.

NON-MANDATORY

24

Signature

Please specify Client Code

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To

TRINITY, 7th Floor226/1, AJC Bose Road, Kolkata - 700020

Sub :- Internet Trading

I/We wish to trade through internet in various segments of MCX/NCDEX/ICEX and confirm that I/we am/are fully aware of and understands the risk associated with availing of a service of routing orders through internet including the risk of misuse and unauthorized use of my/our Username and/or Password by a third party and the risk of a person hacking into our account on your ITORS system and unauthorized routing order on behalf of us through the system. I/we agree that we shall be fully liable and responsible for any and all unauthorized use and misuse of my/our Password and /or Username and also for any and all acts done by any person through your ITORS system on our Username in any manner whatsoever.

I/We hereby confirm you to send our Username and Password on the below mentioned e-mail address.

Email Address : _______________________________________________________________________________

The non-receipt of bounced email notification by you shall not be construed as a ground for dispute in the future.

Thanks and best regards,

Ashika Commodities & Derivatives Pvt. Ltd.

Name:

Client Code:

Declaration for Authorization for trading on Online and Offline Mode

To Ashika Commodities & Derivatives Pvt. Ltd.Head Office : Trinity, 226/1, A.J.C. Bose Road, 7th Floor, Kolkata-700 020

Dear Sir,

1. With reference to my/our trading account opened with you, I/we request you to kindly allow me/us to trade on both online and offline mode

2. I/we can trade online on internet as well as mobile device and can trade offline on the dealer's terminal of my/our Sub Broker/Authorized Person/Trading Member terminal

3. I/We completely understand that I/we shall be solely responsible for the rewards, risks or liabilities arising out of my/our trades that I/we place either on the online/offline mode as described above

4. I/we may revoke the authorization at any time by issuing a physical letter for the effect.

Thanking You,

Yours truly,

Name:

Client Code:

INTERNET & WIRELESS TECHNOLOGY BASED TRADING LETTER NON-MANDATORY

25

Signature

Signature

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DECLARATION ON OPEN INTEREST POSITION(Mandatory if client wants to trade in NCDEX or MCX & opt for IBT)

To,Ashika Commodities & Derivatives Private Ltd.Trinity, 226/1, A J C Bose RoadKolkata-700 020Dear Sir,

Subject : My/Our request for trading in commodity forward contracts/commodityderivatives on NCDEX/MCX as your client

I/We, the undersigned, have taken cognizance of NCDEX circular no. NCDEX/TRADING 114/2006/247 dated September 28, 2006 and MCX circular no. MCX/338/2006 dated August 21, 2006 and on the guidelines provided by the respective exchanges for calculation of net open positions permitted in any commodity and I/we hereby undertake to comply with the same.

I/We hereby declare and undertake that we will not exceed the position limits prescribed from time to time by respective exchanges or Securities and Exchange Board of India and such position limits will be calculated in accordance with the contents of above stated circulars of NCDEX and MCX as modified from time to time.

I/We undertake to inform you and keep you informed if I/any of our partners/directors/karta/trustee or any of the partnership firms/companies/HUFs/ Trusts in which I or any of above such person is a partner/director/karta/ trustee, takes or holds any position in any commodity forward contract/commodity derivative on respective exchanges through you or through any other member(s) of respective exchanges, to enable you to restrict our position limit as prescribed by the above referred circulars of respective exchanges as modified from time to time.

I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/us as your clients on respective exchanges only on the basis of our above assurances and undertaking.

Yours faithfully,

For __________________________(In case of Non-Individual client, the same to be signed by the Authorised signatory with Company Seal)

MANDATE FOR AUTHORIZED REPRESENTATIVE

I am / We are having a commodities trading account bearing client code ________________with Ashika Commodities & Derivatives Pvt. Ltd. do hereby authorize Mr./Ms ___________________________________ , being my/our _________________________________ R/o __________________________________ herein after referred to as authorized representative whose signature is given below, to trade on my/ our behalf and I / we further accept that all obligations arising out of trades executed by such person will be met by me/us. Further, I / We authorize you to accept all instructions, from such person pertaining to settlement of transactions in my/our account.I/We also undertake to indemnify Ashika Commodities & Derivatives Pvt Ltd. for all dues, penalties, and incidental expenses relating to, and arising out of and in connection with transactions pertaining to trading account no. _____________________with Ashika Commodities & Derivatives Pvt Ltd. and operated by my/our authorized representative Mr / Mrs. ________________________________________________________.

Place :..................................

Date :..................................

(Signature of Mandate Holder) Attested

Note: In case the client does not sign this mandate, orders, instructions and payment / transfer advises shall not be accepted in the client account from the person (s) other than the client.

NON-MANDATORY

NON-MANDATORY

26

Signature

Signature

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UNDERTAKINGTo,Ashika Commodities & Derivatives Private Ltd.Trinity, 226/1, A J C Bose Road, Kolkata-700 020

Dear Sir,

With reference to my/our registration as your Client and the execution of Member and Client Agreement of trading in NCDEX/ MCX/ICEX, I/We hereby unconditionally and irrevocably undertake and agree that:

ACDPL may not place my/our order unless required initial margin has been upfront paid to them. I/We will pay additional/maintenance margin as and when required by ACDPL in respect of positions taken by me/us. Any margin paid will be so reckoned only when in acceptable form (as stipulated by Exchange/SEBI from time to time).

Excess Margins deposited towards one exchange may be adjusted, on a running basis, towards margin requirement/ debit balance in same / other Exchange where I/We have the client account.

ACDPL may pledge securities received from me/ us towards margins to the Commodity Exchange(s) / NCCL / MCX Clearing House/Corporation or their custodian appointed by them for the purpose of margin to facilitate my/ our transaction in the normal course of business. Further, ACDPL shall release the securities to me/ us on my/ our request only if the same is releasable to me/ us.

To accept my/our order placement / modification / cancellation verbally and confirm about the same verbally. Hence, ACDPL is advised not to send me/us any order confirmation / cancellation / modification / trade confirmation slip, etc.

To deliver contract notes/ statement of accounts/ cheques to my /our person /office which will be sufficiently deemed to have been personally delivered to me / us. These may also be sent to me /us by post / courier at my/ our own risk.

ACDPL can/may pass on me/us any penalty imposed/loss suffered together with incidental expenses due to my/ our violating any of the requirements/stipulations of NCDEX/MCX/ICEX or any other regulatory authority including but not limited to my/our disturbing fair price determination in the market or resorting to unfair trade practices.

I/We will be extending all co-operation to ACDPL in their endeavour towards Anti-Money Laundering. ACDPL may initiate any enquiry against me/us and/or my/our transactions any time without any legal implication whatsoever against them. I/We understand that information about me/us and my/our transactions may be reported by ACDPL to FlU/concerned authorities without any intimation to us and have no objection to the same.

ACDPL and its directors, officers, employees, and agents shall not be responsible or liable for any loss suffered or which may be suffered by me/ us, arising from any delay or failure in the transmission, receipt, execution or confirmation of orders due to any breakdown, interruption or failure of transmission of the Internet, computer network, software, hardware, other computer devices, Internet system and any problem arising from my/our side.

ACDPL and/or its agents will not be liable for losses caused directly or indirectly by government restriction, Exchange or market rulings, suspension of trading, computer, communication, telephone or system failure, war, earthquakes, flood, accident, power failure, equipment or software malfunction, strikes or any other conditions beyond its control.

I/we undertake to reconcile your Statement of account on receipt with my/our records and will not hold you responsible for differences, if they are not informed to you within reasonable time.

ACDPL may restrict my/our trading as per their risk management and/or due diligence policies or any other reason inspite of my/our having paid full margin. I/We will comply to their requirements then which may include submission of updated documents, undertaking new agreements, etc.

I/We shall not hold ACDPL or any of its employee/official/agent/affiliate responsible or liable for any information, recommendation or advice with respect to any investment/trading decision or transaction, and if so acted upon by me/us, the same shall be at my/our sole risk and cost.

Any expenditure incidental to my/our taking or giving of deliveries (of commodities) shall be borne by me /us.

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Òee.efue. ceW DeHevee ì^sef[bie Keelee Keesuee nw~ GmekesÀ efueS SkeÀeGvì DeesHeefvebie HeÀece& Deewj efJeefYeVe keÀeiepeele Hej

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------------------------------------- nmlee#ej

NON-MANDATORY

27

Signature

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D eclaration F orm o f U ltimate B eneficial O wnership [ UBO] / C ontrolling P ersons (Mandatory for Non-individual Investors)

I. Investor Detai ls:

Name of the Client

II. Categor y:

Our company is a Listed Company listed / Subsidiary or Controlled by a Listed Company [If this category is selected, no need to provide UBO details]

Unlisted Company Partnership Firm / LLP Unincorporated Association / Body of Individuals

Public Charitable Trust Private Trust HUF

Trust created by a Will Religious Trust Others [please specify] ____________________

UBO / Controlling Person(s) detai ls

Sl.No.

Name ofUBO

Country ofTax

Residency

TaxpayerIdenti fication

Number /PAN /

Equival entID Number

% ofbenef icialinterest

Addres s,Addres s Type

& Contactdetai ls (includecity, Pincode,

State, Country)

Gender(Male,

Female)

Note: If the given rows are not sufficient, required information in the given format can be enclosed as additional sheet(s) duly signed by Authorized Signatory.

Declaration We acknowledge and confirm that the information provided above is true and correct to the best of our knowledge and belief. In case any of the above specified information is found to be false or untrue or misleading or misrepresenting, we are aware that we may liable for it. We hereby authorize Ashika Commodities & Derivatives Pvt. Ltd. [ACDPL] to disclose, share, rely, remit in any form, mode or manner, all / any of the information provided by us, including all changes, updates to such information as and when provided by us to any of the relevant Authorities or any Indian or foreign governmental or statutory or judicial authorities / agencies without any obligation of advising us of the same. Further, we authorize to share the given information to other SEBI Registered Intermediaries and/or any other regulated intermediaries registered with SEBI / RBI / IRDA to facilitate single submission / update & for other relevant purposes. We also undertake to keep you informed in writing about any changes / modification to the above information in future and also undertake to provide any other additional information as may be required at your end.

PEP National ity

Occupation[Service,Business,Others]

(To be provided on Letter Head)

Date: _________________________________ Place: _________________________________

INSTRUCTIONS ON CONTROLLING PERSONS / ULTIMATE BENEFICIAL OWNER As per SEBI circular No. CIR/MIRSD/2/2013 dated January 24, 2013, non-individuals and trusts are required to provide details of controlling persons [CP] / ultimate beneficiary owner [UBO] and submit appropriate proof of identity of such CPs/ UBOs. The beneficial owner has been defined in the circular as the natural person or persons, who ultimately own, control or influence a client and/or persons on whose behalf a transaction is being conducted, and includes a person who exercises ultimate effective control over a legal person or arrangement.

A. For Investors other than individuals or trusts:

(i) The identity of the natural person, who, whether acting alone or together, or through one or more juridical person, exercises control through ownership or who ultimately has a controlling ownership interest. Controlling ownership interest means ownership of/entitlement to:

- more than 25% of shares or capital or profits of the juridical person, where the juridical person is a company;

- more than 15% of the capital or profits of the juridical person, where the juridical person is a partnership;

- more than 15% of the property or capital or profits of the juridical person, where the juridical person is an unincorporated association or body of individuals.

(ii) In cases where there exists doubt under clause (i) above as to whether the person with the controlling ownership interest is the beneficial owner or where no natural person exerts control through ownership interests, the identity of the natural person exercising control over the juridical person through other means like through voting rights, agreement, arrangements or in any other manner.

(iii) Where no natural person is identified under clauses (i) or (ii) above, the identity of the relevant natural person who holds the position of senior managing official.

B. For Investors which is a trust:

The identity of the settler of the trust, the trustee, the protector, the beneficiaries with 15% or more interest in the trust and any other natural person exercising ultimate effective control over the trust through a chain of control or ownership.

C. Exemption in case of listed companies / foreign investors

The client or the owner of the controlling interest is a company listed on a stock exchange, or is a majority-owned subsidiary of such a company, it is not necessary to identify and verify the identity of any shareholder or beneficial owner of such companies. Intermediaries dealing with foreign investors’ viz., Foreign Institutional Investors, Sub Accounts and Qualified Foreign Investors, may be guided by the clarifications issued vide SEBI circular CIR/MIRSD/11/2012 dated September 5, 2012, for the purpose of identification of beneficial ownership of the client.

NON-MANDATORY

28

Signature

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To

Dear Sir,

1. With reference to my/our trading account opened with you, I/we request you to maintain a running account for funds and securities/commodities on my/our behalf without settling the account on settlement of each transaction. I/We further request you to retain all amounts and securities/commodities receivable by me/us until specifically requested by me/us to be settled or to be dealt with in any other manner.

2. I/we understand and agree that no interest will be payable to me/us on the amounts so retained with you.

3. I/we hereby authorize ACDPL to act at its discretion of adjusting any credit balance under my/ our various accounts against the debit in any account across Exchange, without taking any further instruction from me/us.

5. I/we authorize you to set off a part or whole of the margin deposited by me/us against any of my / our dues, by appropriating relevant amount of fund.

7. I/we may revoke the authorization at any time by issuing a physical letter for the effect.

8. I/we also agree that the actual settlement of fund shall be done by me/us, at least once in a :

(Tick your preference)

Calendar quarter / 90 days Calendar month / 30 days

9. There shall be no inter-client adjustment for the purpose of settlement of the ‘running account’.

10. You may retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the Exchanges.

Ashika Commodities & Derivatives Private Ltd. (ACDPL)Trinity, 226/1, A J C Bose RoadKolkata-700 020

AUTHORITY LETTER FOR RUNNING ACCOUNT OF FUNDS AND SECURITIES/COMMODITIES

I/We do hereby authorise to retain an amount upto Rs. 50,000/-* (Net amount across stock exchanges) in lieu of settlement of my/our account for any specific quarter / months as per the mandate above.

Thanking you,

Yours truly,

* Amount may increase or decrease as notified by Exchanges from time to time.

Ashika Commodities & Derivatives Private Ltd. (ACDPL)

NON-MANDATORY

Signature

Signature

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Annexure IIElectronic Contract Note [ECN] — DECLARATION

(Mandatory if client opts for ECN)

To,Ashika Commodities & Derivatives Pvt. Ltd.“Trinity”, 7th Floor, 226/1, A. J. C. Bose RoadKolkata – 700020

Dear Sir,

I/We _________________________________________________________________________, a client with Member, M/s. Ashika Commodities & Derivatives Pvt. Ltd., member of respective Exchanges undertake as follows:

• I/We am/are aware that the Member has to provide physical contract note in respect of all the trades placed by me/us unless I/We myself/ourselves want the same in the electronic form.

• I/We am/are aware that the Member has to provide electronic contract note for my/our convenience on my/our request only.

• Though the Member is required to deliver physical contract note, I/We find that it is inconvenient for me/us to receive physical contract notes. Therefore, I/We am/are voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out / ordered by me/us.

• I/We have access to a computer and am/are a regular internet user, having sufficient knowledge of handling the email operations.

• My/Our email Id is/are * _________________________________. This has been created by me/us and not by someone else.

• I/We am/are aware that this declaration form should be in English or in any other Indian language known to me/us.

• I/We am/are aware that non-receipt of bounced mail notification by the member shall amount to delivery of the contract note at the above e-mail ID.

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

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

Client Name : ___________________________________________________________________________________

Unique Client Code : ___________________________________________ PAN : ___________________________

Address : _______________________________________________________________________________________

_______________________________________________________________________________________________

Date : ________________________ Place : _____________________

Verification of the client signature done by : __________________________________________________________

Name & Designation of the designated officer of the Member : ___________________________________________

Signature :________________________________________

Date: _______________________

VOLUNTARY

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Signature

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FORMAT OF DECLARATION FOR HUF(To be submitted on the Letter Head of HUF)

To

Ashika Commodities & Derivatives Pvt. Ltd.Head Office: Trinity, 226/1, A.J.C. Bose Road7th Floor, Kolkata-700 020

Trading Account No._____________

As our HUF wishes to open a trading account with your Company in the name of ______________________

_______________________________________. We hereby state that the first signatory to this letter,

i.e.__________________________________________________________ is the KARTA of the Joint Family and other

signatories are the adult coparceners of the said family.

We further confirm that the business of the said Joint Family is carried on mainly by the said KARTA in the interest and benefit of the entire body of coparceners of the Joint Family. We all undertake that claims due to the Ashika Commodities & Derivatives Private Limited from the said family shall be recoverable personally from all or any of us and also from the entire family properties of which the first signatory is the Karta, including the share of minor coparceners.

In view of the fact that ours is not a firm governed by the Indian Partnership Act of 1932, we have not got our said Family registered under the said Act. We hereby undertake to inform Ashika Commodities & Derivatives Private Limited of the death or birth of any coparcener or any change occurring at any time in the membership of our joint Family during the currency of the account.

Details of Karta

1. Name____________________________________DOB________________PAN-____________________________

Details of Adult Coparceners

1. Name____________________________________DOB________________PAN-____________________________

1. Name____________________________________DOB________________PAN-____________________________

1. Name____________________________________DOB________________PAN-____________________________

1. Name____________________________________DOB________________PAN-____________________________

Details of minor Coparceners

1. Name____________________________________DOB________________

1. Name____________________________________DOB________________

Signature of Karta__________________________

Note: Kindly provide a copy of ID Proof and Address Proof of all the above HUF members.

F O R M AT

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In case of Partnership / LLP Accounts

AUTHORITY LETTER IN FAVOUR OF MANAGING PARTNER/(S)(To be obtained on Pre-Printed Letter Head of the Firm)

We the partners of M/s ................................................................................................................., a partnership firm, having its office at ............................................................................................................................................................ (office address) City ...................................................... State ..................................................................................... hereby authorize Mr./Ms. ................................................................................................................................................ And Mr./Ms. ..................................................................................................................................................... to open a commodity trading account in derivative on behalf of the firm M/s ............................................ ..................................... with the Trading Member M/s Ashika Commodities & Derivatives Pvt. Ltd.. for sale and purchase of Commodities that may be introduced by MCX, NCDEX, ICEX. He/She/They is/are singly/jointly authorized on behalf of the firm to deal in commodities, derivatives and the said Trading Member is hereby authorized to honor all instructions oral or written, given on behalf of the firm by him/her/them.

He/She/They is/are also authorized to sign, execute and submit such applications, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to open account and give effect to this purpose.

However any partner/authorized signatory(ies) can issue cheques from bank account(s) in favor of Ashika Commodities & Derivatives Pvt. Ltd. for credit to Commodity trading account of the firm with M/s Ashika Commodities & Derivatives Pvt. Ltd. , even though his/their signatures may not be available on the records of Ashika Commodities & Derivatives Pvt. Ltd.

Note : Please affix rubber stamp of the firm for each signature

Name of the Partners Signature

ü

ü

ü

F O R M AT

BOARD RESOLUTION IN CASE OF CORPORATE / TRUST(To be obtained on Pre-Printed Letter Head of the Company)

Extracts of the Minutes of the Meeting of the Board of Directors of «COMPANY/TRUST NAME» at its Registered Office at _____________________________________________________________________________________________________________________________________________________________on_______________________________________“RESOLVED THAT the company/trust may invest / trade in Commodities Derivatives and be registered as CLIENT with Ashika Commodities & Derivatives Pvt. Ltd., a Member of MCX, NCDEX, ICEX for the purpose of dealing/trading in commodity derivatives in MCX, NCDEX, ICEX and the said member be and is hereby authorized to honor all instructions oral or written, given on behalf of the Company by any one of the under-noted authorized signatories:-1. «Name of the authorised signatory» - «Designation»2. «Name of the authorised signatory» - «Designation»who are authorized to sell, purchase, transfer, endorse, negotiate and/or otherwise deal with Ashika Commodities & Derivatives Pvt. Ltd. on behalf of the Company/Trust.RESOLVED FURTHER THAT «Authorised Signatory(ies), Designation» of the Company/Trust be and are hereby , «MODE OF OPERATION i.e. singly/severally/jointly» authorized to sign, execute and submit such applications, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to give effect to this resolution.RESOLVED FURTHER THAT «Authorised Signatory» is hereby authorized to submit the above resolution to Ashika Commodities & Derivatives Pvt. Ltd.

ForChairman/Company Secretary

Specimen Signatures of the above noted Authorised Signatory(ies)

Name Signature

Please Note: Attach list of Directors/Trustees’ as on date

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July 2017

REGISTERED OFFICE : ‘Trinity’, 226/1, A.J.C. Bose Road, 7th Floor, Kolkata-700 020Phone : 033-40102500 • Fax : 033-40033254E-mail: [email protected]

For any correspondence, please contact your respective Auhorised Person / Dealer

You can also contact our Customer Service Desk at Toll Free 1800 212 2525 or 033 4010 2525

Or write to [email protected]