Ashika Stock Broking Ltd.

Please ensure that you provide your mobile number and email id. This helps us in sending you all the important communications including your trade details, margin details, etc.

Your Name and Address should EXACTLY match with the documents provided

Please provide SELF ATTESTED, CLEAR copies of all the required documents

Kindly provide all the information and strike out all blank spaces which are not applicable

DO NOT use whitener, strike off in case of any correction and countersign

Please produce original documents for verification at the time of submission

You must paste recent passport size color photographs at the designated places and sign across it (Please note that the photograph should be printed on Photo Paper)

This is a common form for individuals and non-individuals and also for opening Demat and Trading account. Kindly fill in the parts which are applicable to you

In case of Non-individual, all the signatures should be accompanied by the stamp/seal of the organisation

Most Important things to keep in mind

ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat

For any grievance/dispute please contact Ashika Stock Broking Limited (ASBL) at the above address or mail at:- ig@ashikagroup.com (for Trading) and dpservices@ashikagroup.com (for DP) or call us at our Toll Free No. 1800 212 2525 or at +91-33-4010 2525 In case you are not satisfied with the response, please contact the concerned Exchange(s)/Depository(ies):

National Stock Exchange of India Limited, Phone : 022-26598190 • Email : ignse@nse.co.in

Bombay Stock Exchange Limited, Phone : 022-22728097 • Email : is@bseindia.com

Metropolitan Stock Exchange of India Ltd. Phone : 022-61129000, EXT 9028 • Email : investorscomplaints@msei.in

Central Depository Services India Limited, Toll Free no. : 1800-200-5533 • Email : complaints@cdslindia.com

National Securities Depository Limited, Phone : 022-24994200 • Email : relations@nsdl.co.in

Exchange / Depository Contacts

National Stock Exchange of India Ltd. (NSE) Bombay Stock Exchange Ltd. (BSE) Metropolitan Stock Exchange of India Ltd. (MSEI) Central Depository Services India Ltd. (CDSL) National Securities Depository Ltd. (NSDL)

Members

Depository Participant

NSE - CM NSE - F&O NSE - CD BSE - CM BSE - F&O BSE - CD MSEI - CM MSEI - F&O MSEI - CD

INB - 230833437 INF - 230833437 INE - 230833437 INB - 010833433 INF - 010833433 INE - 010833433 INB - 260833430 INF - 260833430 INE - 260833437

20/09/2000 05/10/2000 27/08/2008 26/03/2004 14/07/2004 25/09/2008 21/01/2013 21/01/2013 30/09/2008

Exchange-Segment Registration No. Date

Depository Registration No. Date IN-DP-CDSL-250-2004

IN-DP-NSDL-306-2008

CDSL

NSDL

14/06/2004 22/12/2008

Clearing Member Details

CIN : U65921WB1994PLC217071

Mr. DAULAT JAIN Tel: (033) 40102500 Email: ashika@ashikagroup.com

Managing Director

Compliance Officers

Trading

DP

Mr. NAWAL KISHORE KEDIA Tel. : (033) 4010 2500 E-mail ID : nawalkishore@ashikagroup.com

Mr. ASHWINI KUMAR GAUTAM Tel. : (033) 4010 2500, 4036 0600 E-mail ID : ashwinikumar@ashikagroup.com

‘Trinity’, 226/1, A.J.C. Bose Road 7th Floor, Kolkata-700 020 Phone : 033-40102500 Fax : 033-40033254, 40102354 E-mail: ashika@ashikagroup.com Website : www.ashikagroup.com

Registered Office

1008, 10th Floor, Raheja Centre 214, Nariman Point, Mumbai-400 021 Phone : 022-66111700 • Fax : 022-66111710 E-mail: mumbai@ashikagroup.com

Corporate Office

Exchange segment Clearing Member Clearing Member Code

NSE CDX

BSE CDX

MSEI CDX

NSE FNO

BSE FNO

MSEI FNO

ICICI Bank Ltd.

ICICI Bank Ltd.

ICICI Bank Ltd.

IL&FS Securities Services Ltd.

IL&FS Securities Services Ltd.

IL&FS Securities Services Ltd.

INE231308631

INE011316036

INE261313733

INF231133630

INF011133834

INF261476735

Client Name / Sole Holder

Second Holder (for DP Account)

Third Holder (for DP Account)

Client Trading Code / DP Code

Introducer Name & Code

Documents Verified by

FO R

O FF

IC E

U SE

O N

LY

Name Signature

Form No. 11802

You may also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI Office on Toll Free Helpline at 1800 22 7575/18002667575

Erstwhile Registration Details

INZ000169130SEBI Registration No.

Suggestive Formats

ACCOUNT OPENING KIT - INDEX

This KIT is valid for opening Trading Account and Demat Account with Ashika Stock Broking Limited. Clients desirous of opening both or any can utilise the relevant segments of this KIT.

The Trading Code for different desired Segments of the respective Exchanges and Demat account number will be provided on successful generation of the same.

Sl. Name of the Document Brief Significance of the Document Pg No.

3-4

MANDATORY DOCUMENTS

Managing Partner Authority letter

In case of Partnership / LLP Firm the format of letter in favour of Managing Partner

Board Resolution

Partnership Declaration Declaration formats for Trading & Demat Account

This section gives an illustrative list of instructions / Check list for filling KYC Form Know Your Client Form (Individual) Know Your Client Form (Non-Individual)

Additional KYC Form

Policies & Procedures

Tariff Sheet (Trading & Demat)

Limited Power of Attorney

Document Checklist It contains detailed Checklist for Documents required1

2

3

4

Document describing significant policies and procedures of member with respect to dealing with clients

Document detailing the rate / amount of brokerage & other charges

Authority Letter for Running Account

It contains the authorisation by the client to the member to maintain running account of funds/securities

ECN Mandate (Electronic Format)

It contains authority given to the member towards providing various statements in electronic format

Common Mobile & E-mail ID Declaration of common Email ID/Mobile Number by Client.

Internet Trading Declaration It contains authorisation by the client to be provided trading facility in internet

DOs & DON'Ts It contains the Do’s and Don’ts which are relevant for operation of Trading / Demat account

Questionnaire It contains the Common Questions towards Risk Profiling of Clients

Instruction / Checklist

KYC Form captures the basic information about the Client (Trading & Demat)

KYC Form captures the basic information about the Client (Trading & Demat)

5

6

7

13

E-Statement Agreement14

23-24

Voluntary Documents as provided by Ashika Stock Broking Ltd.

15 FATCA / CRS-Individual Declaration pertaining to foreign tax liability

UBO / Controlling Persons Declaration

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

17

18

19

20 Declaration / Authorisation

22

23

24

25

Format of Board Resolution as applicable to LLP / Corporate / Trust

HUF Declaration Declaration formats for Trading & Demat Account

26

27

28

29

5

6-8

9-10

11-15

16

17-18

20-21

22

Deposit Of Securities/ funds Towards Margin

21

28

29

30

31-32

32

33

34

35

36

37

38

39

40

Additional KYC related details for Trading & Demat Account (Both Individual & Non Individual)

Authority to operate Demat Account & other powers given for smooth operation

Agreement for providing transaction statement through Internet

Declaration for smooth operation & adherance of compliance

Declaration pursuant to margin deposit in terms of funds/securities

8

Risk Disclosure Document (RDD)

Document detailing risks associated with dealing in the Equity market.

Rights & Obligations of Members, Authorised Persons and Clients

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

Do's and Don’ts for the investors

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

Rights & Obligation of Beneficial Owner & Depository Participant

Document detailing depository participant

rights and obligations of beneficial owner and

9

C lie

n t

C o

p y

10

11

16 FATCA / CRS-Non-Individual Declaration pertaining to foreign tax liability 25-27

Issue of DIS Booklet12 19Option Form for Issue of DIS Booklet

DOCUMENTS CHECKLIST

( 3 )

INDIVIDUALS 1. Photograph 2. Aadhar 3. Proof of Permanent Address 4. Correspondence Address 5. Bank Proof with MICR Code (cancelled Cheque) 6. Demat Proof (required if openin