Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING...

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Ashika Stock Broking Ltd.

Transcript of Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING...

Page 1: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

Ashika Stock Broking Ltd.

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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

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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:- [email protected] (for Trading) and [email protected] (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 : [email protected]

Bombay Stock Exchange Limited, Phone : 022-22728097 • Email : [email protected]

Metropolitan Stock Exchange of India Ltd. Phone : 022-61129000, EXT 9028 • Email : [email protected]

Central Depository Services India Limited, Toll Free no. : 1800-200-5533 • Email : [email protected]

National Securities Depository Limited, Phone : 022-24994200 • Email : [email protected]

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

DepositoryParticipant

NSE - CMNSE - F&ONSE - CDBSE - CMBSE - F&OBSE - CDMSEI - CMMSEI - F&OMSEI - CD

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

20/09/200005/10/200027/08/200826/03/200414/07/200425/09/200821/01/201321/01/201330/09/2008

Exchange-Segment Registration No. Date

Depository Registration No. DateIN-DP-CDSL-250-2004

IN-DP-NSDL-306-2008

CDSL

NSDL

14/06/200422/12/2008

Clearing Member Details

CIN : U65921WB1994PLC217071

Mr. DAULAT JAINTel: (033) 40102500Email: [email protected]

ManagingDirector

ComplianceOfficers

Trading

DP

Mr. NAWAL KISHORE KEDIATel. : (033) 4010 2500E-mail ID : [email protected]

Mr. ASHWINI KUMAR GAUTAMTel. : (033) 4010 2500, 4036 0600E-mail ID : [email protected]

‘Trinity’, 226/1, A.J.C. Bose Road7th Floor, Kolkata-700 020Phone : 033-40102500Fax : 033-40033254, 40102354E-mail: [email protected] : www.ashikagroup.com

Registered Office

1008, 10th Floor, Raheja Centre214, Nariman Point, Mumbai-400 021Phone : 022-66111700 • Fax : 022-66111710E-mail: [email protected]

Corporate Office

Exchange segment Clearing Member Clearing Member Code

NSE CDXBSE CDXMSEI CDXNSE FNOBSE FNOMSEI 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.

INE231308631INE011316036INE261313733INF231133630INF011133834INE261313337

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

FOR

OFF

ICE

USE

ON

LY

Name Signature

Form No. 11703

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

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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 PartnerAuthority 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 FormKnow 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 withrespect to dealing with clients

Document detailing the rate / amount of brokerage & other charges

Authority Letter forRunning Account

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

ECN Mandate(Electronic Format)

It contains authority given to the member towards providing variousstatements 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

12

E-Statement Agreement13

23-24

Voluntary Documents as provided by Ashika Stock Broking Ltd.

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

UBO / Controlling PersonsDeclaration

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

16

17

18

19 Declaration / Authorisation

21

22

23

24

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

HUF Declaration Declaration formats for Trading & Demat Account

25

26

27

28

5

6-8

9-10

11-16

17

18-19

20-21

22

Deposit Of Securities/funds Towards Margin

20

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 DisclosureDocument (RDD)

Document detailing risks associated with dealing in the Equity 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 Equity exchange, for the education of the investors.

Rights & Obligation ofBeneficial Owner &Depository Participant

Document detailing depository participant

rights and obligations of beneficial owner and

9

Clie

nt

Co

py

10

11

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

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DOCUMENTS CHECKLIST

( 3 )

INDIVIDUALS1. Photograph2. PAN3. Proof of Permanent Address4. Correspondence Address5. Bank Proof with MICR Code (cancelled Cheque)6. Demat Proof (required if opening only a trading

account)7. Income Proof (for trading in derivatives segments)8. Cheque for DP AMC (as per the scheme opted)9. FATCA declaration

10. ECN (as per client)11. Running Account Mandate ( as per client)

NRI1. Photograph2. PAN3. Proof of Foreign Address 4. Proof of Local Address5. Additional Documents

a. Passport with visa copy/PIO Card/OCI Cardb. PIS Declaration Copyc. In case of Merchant Navy NRIs, Mariner’s

declaration or certified copy of CDC (Continuous Discharge Certificate)

6. Bank Proof with MICR Code 7. Demat Proof (required if opening only a trading

account)8. Income Proof (for trading in derivatives segments)9. Cheque for DP AMC (as per the scheme opted)

10. FATCA Declaration11. ECN ( as per client)

HUF1. Photograph of Karta2. PAN

a. HUFb. Karta

3. Proof of Addressa. HUFb. Karta

4. Deed of Declaration of HUF/List of coparceners5. Bank Proof with MICR Code of the HUF

6. Demat Proof (required if opening only a trading account)

7. Income Proof (for trading in derivatives segments)8. Cheque for DP AMC (as per the scheme opted)9. FATCA Declaration

10. UBO Declaration11. ECN as per client12. Running Account Mandate (as per client)

(Cancelled Cheque)

(cancelled Cheque)

CORPORATE1. Photograph

a. Whole time directors/two directors in charge of day to day operations

b. Individual promoters holding control – either directly or indirectly

2. Proof of Address

a. Whole time directors/two directors in charge of day to day operations

b. Individual promoters holding control – either directly or indirectly

3. PANa. of Companyb. Whole time directors/two directors in charge

of day to day operationsc. Individual promoters holding control – either

directly or indirectly4. DIN Number

a. Whole time directors/two directors in charge of day to day operations

5. Bank Proof with MICR Code 6. Demat Proof (required if opening only a trading

account)7. Income Proof (for trading in derivatives segments)8. Balance Sheet and Profit & Loss account with net-

worth information for last two years or for applicable period.

9. Share Holding Pattern (as of last quarter or more recent)

10. Memorandum and Articles of Association and certificate of incorporation

11. Board Resolution12. Form 18 with Challan13. Form 32 with Challan14. List of Directors15. Authorized signatories List 16. UBO Declaration17. Cheque for DP AMC (as per the scheme opted)18. FATCA declaration19. ECN ( as per client)20.

PARTNERSHIP FIRM1. Photograph of all the Partners2. PAN -

a. Partnership Firmb. All the Partners

3. Proof of Address -a. Partnership Firmb. All the Partners

(cancelled Cheque)

Running Account Mandate (as per client)

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4. Balance Sheet and Profit & Loss account for last two

years or for applicable period.

5. Copy of Partnership Deed

6. Certificate of Registration (for registered

Partnership Firms only)

7. Authorized Signatories list with specimen

signatures

9. Bank Proof with MICR Code

10. Demat Proof (required if opening only a trading account)

11. Income Proof (for trading in derivatives segments)

12. UBO Declaration

13. Cheque for DP AMC (as per the scheme opted)

14. FATCA Declaration

15. ECN ( as per client)

16.

LIMITED LIABILITY PARTNERSHIP (LLP)

1. Photograph of all the Partners

4. Balance Sheet and Profit & Loss account for last two

years or for applicable period

5. Net-worth certificate (certified by a CA)

6. Copy of Partnership Deed

7. Certificate of Registration

8. Authorized Signatories list with specimen

signatures (as per our format)

9. Bank Proof with MICR Code

10. Demat Proof (required if opening only a trading account)

11. Income Proof (for trading in derivatives segments)

12. UBO Declaration

13. Cheque for DP AMC (as per the scheme opted)

14. FATCA Declaration

15. ECN ( as per client)

16.

(cancelled Cheque)

Running Account Mandate (as per client)

2. PAN -

a. LLP

b. All the Partners

3. Proof of Address -

a. LLP

b. All the Partners

(cancelled Cheque)

Running Account Mandate (as per client)

TRUST

1. Photograph of all the signatories

2. PAN -

a. Trust

b. All the signatories

3. Proof of Address

a. Trust

b. All the signatories

4. Balance Sheet and Profit & Loss account for last

two years of for applicable period.

5. Copy of Trust Deed

6. Certificate of Registration (for registered trusts

only)

7. List of Trustees certified by Managing Trustees/CA

8. Bank Proof with MICR Code

9. Demat Proof (required if opening only a trading

account)

10. Income Proof (for trading in derivatives segments)

11. UBO Declaration

12. Cheque for DP AMC (as per the scheme opted)

13. FATCA declaration

14. ECN ( as per client)

15.

FOREIGN INSTITUTIONAL INVESTORS (FIIS)

1. Photograph of all the signatories

2. PAN

a. Bank/Institutional Investors

b. All the Signatories

3. Proof of Address

4. Copy of the SEBI registration certificate

5. Authorized Signatories list with specimen signatures

6. Bank Proof with MICR Code

7. Demat Proof (required if opening only a trading account)

8. Income Proof (for trading in derivatives segments)

9. UBO Declaration

10. Cheque for DP AMC (as per the scheme opted)

(cancelled Cheque)

Running Account Mandate (as per client)

(cancelled Cheque)

( 4 )

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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.)

( 5 )

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/multilateral 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 or for the

relevant applicable period (to be submitted every year). • 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 or as

applicable (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 or as

applicable (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 INDIVIDUAL• 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)• 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:

Page 8: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

KYC - APPLICATION FORM FOR TRADING AND DEMAT A/C - INDIVIDUAL

( 6 )

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)A. IDENTITY DETAILS

1

2

Name of the Applicant

Name of Father/Spouse

3 a. Gender

4 a. Nationality

Male

Female

Indian

Other

b. Marital StatusSingle

Marriedc. Date of Birth D D M M Y Y Y Y

Pls specify (if other) b. StatusResident Individual

Foreign National

Non Resident

5 a. PAN, copy attached b. UID/Aadhaar

Id Proof for PAN exempt Cases (DP A/c only)

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

Permanent Address(if different from above.

Mandatory for Non-Resident Applicant to

specify overseas address)City/Town/Village

State

PIN Code

Country

5 Specify the Proof of Permanent address submitted

C. DECLARATION

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

Signature of 1st / Sole ApplicantPlace Date D D M M Y Y Y Y

Date D D M M Y Y Y Y

Staff Name

Affix recentpassport size

Photograph andSign across it

In-Person Verification done by

Signature

Client interviewed by

Code & Designation

(Self Attested) True copies of documents received(Original verified) Self Certified Documents copies received

Documents verified with Originals by

D D M M Y Y Y Y D D M M Y Y Y Y

FOR

OFF

ICE

USE

ON

LY

6 Specify Identity proof submitted

Ash

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Page 9: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)A. IDENTITY DETAILS

1

2

Name of the Second Applicant

Name of Father/Spouse

3 a. Gender

4 a. Nationality

Male

Female

Indian

Other

b. Marital StatusSingle

Marriedc. Date of Birth D D M M Y Y Y Y

Pls specify (if other) b. StatusResident Individual

Foreign National

Non Resident

5 a. PAN, copy attached b. UID/Aadhaar

Id Proof for PAN exempt Cases (DP A/c only)

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

Permanent Address(if different from above.

Mandatory for Non-Resident Applicant to

specify overseas address)City/Town/Village

State

PIN Code

Country

5 Specify the Proof of Permanent address submitted

C. DECLARATION

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

Signature of 2nd ApplicantPlace Date D D M M Y Y Y Y

Affix recentpassport size

Photograph andSign across it

6 Specify Identity proof submitted

KYC - APPLICATION FORM FOR DEMAT A/C - INDIVIDUAL (For Joint A/c)

Date D D M M Y Y Y Y

Staff Name

In-Person Verification done by

Signature

Client interviewed by

Code & Designation

(Self Attested) True copies of documents received(Original verified) Self Certified Documents copies received

Documents verified with Originals by

D D M M Y Y Y Y D D M M Y Y Y Y

FOR

OFF

ICE

USE

ON

LY

( 7 )

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Page 10: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)A. IDENTITY DETAILS

1

2

Name of the Third Applicant

Name of Father/Spouse

3 a. Gender

4 a. Nationality

Male

Female

Indian

Other

b. Marital StatusSingle

Marriedc. Date of Birth D D M M Y Y Y Y

Pls specify (if other) b. StatusResident Individual

Foreign National

Non Resident

5 a. PAN, copy attached b. UID/Aadhaar

Id Proof for PAN exempt Cases (DP A/c only)

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

Permanent Address(if different from above.

Mandatory for Non-Resident Applicant to

specify overseas address)City/Town/Village

State

PIN Code

Country

5 Specify the Proof of Permanent address submitted

C. DECLARATION

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

Signature of 3rd Appli cantPlace Date D D M M Y Y Y Y

Affix recentpassport size

Photograph andSign across it

6 Specify Identity proof submitted

KYC - APPLICATION FORM FOR DEMAT A/C - INDIVIDUAL (For Joint A/c)

( 8 )

Date D D M M Y Y Y Y

Staff Name

In-Person Verification done by

Signature

Client interviewed by

Code & Designation

(Self Attested) True copies of documents received(Original verified) Self Certified Documents copies received

Documents verified with Originals by

D D M M Y Y Y Y D D M M Y Y Y Y

FOR

OFF

ICE

USE

ON

LY

Ash

ika

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Page 11: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

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

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)A. IDENTITY DETAILS

1 Name of the Applicant2 Date of incorporation Place of incorporation

a. Business Commencement date3

PAN, copy attached4

Status(Please tickany one)

5

D D M M Y Y Y Y

b. Regn. No. (eg. CIN)

Pvt. Ltd. Co.BankFIIBOI

Public Ltd. Co.SocietyHUFLLP

Body CorporateTrustAOPFI

PartnershipDefense EstablishmentNon Govt. OrganisationGovernment Body

B. ADDRESS DETAILS

1 Correspondence Address

2 Specify proof of correspondence address submitted

3 Contact Details

City/Town/Village

State

PIN Code

Country

Telephone (office)

Fax No.

Email ID

Telephone (Res)

Mobile No.

4Registered Address

(if different from above.) City/Town/Village

State

5 Specify proof of registered address submitted

C. DECLARATION

Signature of ApplicantPlace Date D D M M Y Y Y Y

CharitiesOthers

(Please specify)

PIN Code

Country

We hereby declare that the details furnished above are true and correct to the best of our knowledge andbelief and we undertake to inform you of any changes therein, immediately. In case any of the above informationis found to be false or untrue or misleading or misrepresenting, we are aware we may be held liable forit and the same will render our account liable for termination and suitable action.

D D M M Y Y Y Y

( 9 )

Date D D M M Y Y Y Y

Staff Name

In-Person Verification done by

Signature

Client interviewed by

Code & Designation

(Self Attested) True copies of documents received(Original verified) Self Certified Documents copies received

Documents verified with Originals by

D D M M Y Y Y Y D D M M Y Y Y Y

FOR

OFF

ICE

USE

ON

LY

Ash

ika

Sto

ck B

rok

ing

Lim

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d

Page 12: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

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

1

2

3

4

5

Name

Name

Name

Name

Name

Residential Address

Residential Address

Residential Address

Residential Address

Residential Address

Designation

Designation

Designation

Designation

Designation

PAN

PAN

PAN

PAN

PAN

Dt. of Birth

Dt. of Birth

Dt. of Birth

Dt. of Birth

Dt. of Birth

DIN/UID

DIN/UID

DIN/UID

DIN/UID

DIN/UID

Contact No.

Contact No.

Contact No.

Contact No.

Contact No.

Aadhar No.

Aadhar No.

Aadhar No.

Aadhar No.

Aadhar No.

Affix recent passport size

Photograph

and

Sign across it

Affix recent passport size

Photograph

and

Sign across it

Affix recent passport size

Photograph

and

Sign across it

Affix recent passport size

Photograph

and

Sign across it

Affix recent passport size

Photograph

and

Sign across it

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

Name of Applicant PAN

Place

Form should be filled in English and in Block Letters (Use Black ink only)

( 10 )

ParticularsS.N. Photograph Signature with Stamp

First Signatory Second Signatory Third Signatory

PEP Yes No

PEP Yes No

PEP Yes No

PEP Yes No

PEP Yes No

Ash

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Page 13: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

ADDITONAL KYC RELATED DETAILS FOR TRADING & DEMAT A/C

( 11 )

In case of NRI / Foreign Nationals / FII / Others (as may be applicable)

RBI Approval Reference No.

SEBI Regn. No. (for FIIs only)

RBI Approval Date D D M M Y Y Y Y

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Type of DEMAT Account

For Individual AccountsOrdinary Resident

NRI Repartiable

NRI-Non Repartiable

Foreign National

QFI

Margin

Promoter

Others (pl. specify)NSD

L D

P A

/c For Non-Individual AccountsBody Corporate

Mutual Fund

Bank

FI

FII

QFI

Trust

Clearing Member

Others, plz specify________________

For Individual AccountsResident

Minor

HUF/AOP

Promoter

Others (Plz specify)

Director

Director's Relative

Margin Trading (MANTRA)

For NRI / FOREIGN NATIONAL Accounts For Non-Individual AccountsRepatriable

Non-Repatriable

Repatriable-Promoter

Non Repatriable-Promoter

Others (Plz. specify)

F.N. Depository Receipts

Foreign National

Depo. Receipts

Body Corporate

Bank

Mutual Fund

Trust

OCB

FI

FII

Clearing House

Clearing Member

Others _____________

CD

SL D

P A

/c

HUF

Demat Account Preference (Please tick in relevant boxes)

Segment Central Depository Services Limited (CDSL) National Securities Depository Limited (NSDL)

Standing Instructions

1 I/We authorise you to receive credits automatically into my/our Demat account

2 Account to be operated through Power of Attorney

SMS Alert Facility (Mandatory if you are giving Power of Attorney (PoA). (Ensure that the mobile number is provided in the KYC Application Form also.)

Yes

Yes

No

No

3 Sole / First Holder Yes No Second Holder Yes No Third Holder Yes No

5 Account Statement Requirement Daily Weekly Fortnightly Monthly As per SEBI Regulations

6 I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID_____________________________________________ Yes No

8 Do you wish to receive dividend / interest directly in to your bank account given below through ECS?(If not marked, the default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time ] Yes No

Yes No

0 0 0

Pledge Processing Flag9 Basic Services Demat A/c10 Yes No 11 Email Download by RTAS Yes No

Yes NoRajiv Gandhi Equity Saving Scheme12 PhysicallyAnnual Reports From RTAS13 Electronic Both

a. Name b. PAN

For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., although the DEMAT accountis opened in the name of the natural persons, the name & PAN of the HUF, Association of Persons (AOP),Partnership Firm, Unregistered Trust, etc. should be mentioned below :

DETAILS REQUIRED FOR DEMAT ACCOUNT

Clearing Member Details (to be filled up by Clearing Members only) - Non-Individual DEMAT Account

Name of Stock Exchange

Clearing Member ID

Trade Name

CM-BP ID (to be filled up by DP)

1

3

5

6

SEBI Regn. No.4

TM ID (to be filled up by DP)7

Name of Clg. Corpn./Clg. House2

4 Mobile No. belongs to Self Family Member

7 Email ID belongs to Self Family Member

For both Individual & Non-Individual

Page 14: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

( 12 )

BANK DETAILS (Mandatory)

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Bank Account Type

Bank Account No.

Bank Name

Branch Address

MICR Code

IFSC CodeProof Provided

1

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

ORNet worth (Not older than 1 year) Amount (`) As on (Date) D D M M Y Y Y Y

2 Occupation (Pls. tick anyone give brief details)

Private SectorRetired

Public SectorHousewife

Govt. ServiceStudent

BusinessOthers (plz. specify)

Professional Agriculturist

3 Please tick, if applicableForex Dealer

1

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

ORNet worth (Not older than 1 year) Amount (`) As on (Date)

2 Occupation (Pls. tick anyone give brief details)

Private SectorRetired

Public SectorHousewife

Govt. ServiceStudent

BusinessOthers (plz. specify)Professional Agriculturist

3 Please tick, if applicableForex Dealer

1

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

ORNet worth (Not older than 1 year) Amount (`) As on (Date) D D M M Y Y Y Y

2Occupation (Pls. tick anyone give brief details)

Private SectorRetired

Public SectorHousewife

Govt. ServiceStudent

BusinessOthers (plz. specify)Professional Agriculturist

3 Please tick, if applicable Politically Exposed Person (PEP) Related to politically exposed person (RPEP)Forex Dealer

OTHER DETAILS

2n

d H

old

er

1st

Ho

lde

r3

rd H

old

er

Primary Secondary, if any

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

Yes No Yes No

Any Other Information

Politically Exposed Person (PEP) Related to politically exposed person (RPEP)

Politically Exposed Person (PEP) Related to politically exposed person (RPEP)

GUARDIAN'S DETAILS (same in line with KYC Form - must be filled up where Sole holder is MINOR)

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Affix recentpassport size

Photograph of the guardian

andSign across it

Guardian Name

GuardianAddress City/Town/Village

State

PIN Code

Country

Relationship with Minor

Contact Details ofGuardian

Guardian's PAN

Telephone (Office)

Fax No.

Email ID

Telephone (Res.)

Mobile No.

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

ORNetworth

Amount ( ` ) As on (Date) D D M M Y Y Y Y

D D M M Y Y Y Ya. Gender

Male Femaleb. Marital StatusSingle Married

c. Date of Birth d. NationalityIndian Other Pls specify (if other)

e. StatusResident Individual

Foreign NationalNon Resident

(should not be olderthan 1 year)

f. Occupation

Please tick, if applicable Politically Exposed Person (PEP) Related to Politically Exposed Person (RPEP)

7

8

Pvt. SectorPub. SectorGovt. Service

BusinessProfessionalAgriculturist

StudentHousewifeOthers, specify ______________

RetiredForex Dealer

1

2

3 4

5

6A

6B

Page 15: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

INTRODUCER DETAILS (Mandatory in case of Sub-broker Or Authorised Person)

Introducer's Name

Introducer's Address

Introducer's Status Sub-Broker

SurnameFirst Name Middle Name

Remisier Authorised Person Existing Client Other (pls. specify)_________________

Phone No.

( 13 )

PAST ACTIONS

(In case of any details, please provide a separate sheet)TRADING PREFERENCE

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

1.

Details of any actions/proceedings initiated/pending/taken by SEBI/Stock Exchange/any other authority against the applicant/constituent or its Partners / Promoter s/ Wholetime Directors / Authorised Persons in-charge of dealing in securities during the last 3 years

2.

3.

Cash Market

Futures & Options

Currency Derivatives

Signature

Whether dealing with any other Stock Broker / Sub-broker (in case dealing with multiple Stock Broker / Sub-Broker, provide details of all)

Stock Broker's NameSub-broker's Name, if any

Client Code Exchange

Details of disputes/dues pending from/to such stock broker/sub-broker

ADDITIONAL DETAILS

Whether you wish to receive physical contract notes/Documents or electronic contract notes (ECN)/Documents, please select (In case of currency ECN is mandatory)

If Electronic, please specify your E-mail ID

Whether you wish to avail of the facility of Internet Trading / wireless technology, please tick

Number of years of Investment / Trading Experience

In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorised to deal in securities on behalf of company / firm / others : Fill in Annexure A

Physical Electronic

Yes No

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If Client is dealing through the sub-broker, provide the following details :

Sub Broker's Name

SEBI Registration Number

Registered Office Address

Phone

WebsiteFax

E-mail

DP DETAIL SSr.# 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

Provide Proof Provide Proof

FO

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A

CC

OU

NT

FOR B

OTH D

EMAT

AND T

RADIN

G ACCO

UNT

MSEINSE BSE

4. Mutual Fund

Page 16: Ashika Stock Broking Ltd.ashikagroup.com/Upload/KYC-ASHIKA-TRADING___DP.pdf · ASHIKA STOCK BROKING LIMITED Account Opening KIT - Trading and Demat For any grievance/dispute please

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( 14 )

DECLARATION

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Name(s) of Applicant(s) Signature(s) of Holder(s) / Signatory(ies) (Plz use Black Ink)

Second Applicant / Signatory

Sole Applicant / First Signatory / Guardian (in case sole holder is a Minor)

Third Applicant / Signatory

Place Date D D M M Y Y Y Y

7

*

Iees<eCeeceQ.................................... ³en Iees<eCee keÀjlee/keÀjleer ntB efkeÀ ceQves DeeefMekeÀe mìe@keÀ ye´esefkeÀbie efue. ceW DeHevee ì^sef[bie Keelee Keesuee nw~ GmekesÀ efueS SkeÀeGvì DeesHeefvebie HeÀece& Deewj efJeefYeVe keÀeiepeele Hej nmlee#ej efkeÀ³ee nw peesefkeÀ Debûespeer Yee<ee ceW nw~ cegPes FmekeÀe efnvoer/ceele=Yee<ee ceW celeueye mecePee efo³ee ie³ee nw~ ceQ DeeefMekeÀe mìe@keÀ ye´esefkeÀbie efue. kesÀ efve³ece Je Meleex mes mencele ntB~

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

First / Sole Holder Second Holder Third Holder

Name

Signature

Note: One Witness shall attest signature(s) / Thumb impression(s).

Name of Witness: ______________________ Address: _________________________________ Signature ____________________

Nomination Form accepted and registered vide Registration No. ____________________________ dated ____________________

For ASHIKA STOCK BROKING LIMITED

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief as on date of making such application 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. The Rules and Regulations of the Depository and Depository Participant pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such account. I/We further agree that any false/misleading information given by me/us or suppression of any material fact will render my/our account liable for termination and further action

3. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and tariff sheet

4. I/We further confirm having received, read and understood the contents of the “Rights and Obligations” and “Risk Disclosure Documents.” I/We hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for information on stock broker’s designated website.

5. I/We acknowledge the receipt of copy of the document, "Rights and Obligations of the Beneficial Owner and Depository Participant".

6. Only for non-residents: I/we also declare that I/we have complied and will continue to comply with FEMA regulations.

RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS

( 13 )

Signature of the Nominee

Signature of the Guardian in case the nominee is minor

1 Nominee Name

2 Relationship with Applicant, if any

3Address ofNominee

4

City

Telephone

UID

PIN

PAN

Date of Birth D D M M Y Y Y Y

I/We do not wish to nominate any one for this demat account. [Strike out what is not applicable.][Signatures of all account holders should be obtained on this form].

I/We nominate the following person/s who is entitled to receive security balances lying in my/our account,particulars whereof are given below, in the event of the death of the Sole holder or the death of all theJoint Holders.

NOMINATION DETAILS

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2

I / We, the Sole holder / Joint Holder / Guardian (in case of minor) hereby declare that :

ToASHIKA STOCK BROKING LTD.Trinity, 226/1, AJC Bose Road,7th Floor, Kolkata-700 020

Affix recentpassport size

Photograph of theNominee

and Nominee shouldSign across it

Affix recent passportsize Photograph of the

Guardian of the Nomineein case the nominee is a

minorand the Guardian

should sign across it

BO Account Details

Name of the Sole / First Holder

Name of Second Holder

Name of Third Holder

Nomination Details

First Name Second Name Last Name

State Country

Fax

E-mail

Name of the Guardian of Nominee

5 Relationship with Nominee

6Address ofthe Guardianof nominee

City

Telephone

PIN

Age

First Name Second Name Last Name

State Country

(if the nominee is minor)

Fax E-mail

*Percentage of allocation of securities *Residual Securities (Plz. tick any one nominee, if tick not marked default will be first nominee]7

Segment CDSL Account No. NSDL Account No. Trading Code

Equity 12034500-____________________ IN303591-____________________ ________________________

(mandatory if nominee is minor)

( 13 )

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Note : Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any. * Marked is Mandatory field

Signature of the Nominee

Signature of the Guardian in case the nominee is minor

1 Nominee Name

2 Relationship with Applicant, if any

3Address ofNominee

4

City

Telephone

UID

PIN

PAN

Date of Birth D D M M Y Y Y Y

1

2

Affix recentpassport size

Photograph of theNominee

and Nomineeshould

Sign across it

Affix recent passportsize Photograph of the

Guardian of the Nomineein case the nominee is a

minorand the Guardian

should sign across it

First Name Second Name Last Name

State Country

Fax

E-mail

Name of the Guardian of Nominee

5 Relationship with Nominee

6Address ofthe Guardianof nominee

City

Telephone

PIN

Age

First Name Second Name Last Name

State Country

(if the nominee is minor)

Fax E-mail

*Percentage of allocation of securities *Residual Securities (Plz. tick any one nominee, if tick not marked default will be first nominee]7

Signature of the Nominee

Signature of the Guardian in case the nominee is minor

1 Nominee Name

2 Relationship with Applicant, if any

3Address ofNominee

4

City

Telephone

UID

PIN

PAN

Date of Birth D D M M Y Y Y Y

1

2

Affix recentpassport size

Photograph of theNominee

and Nomineeshould

Sign across it

Affix recent passportsize Photograph of the

Guardian of the Nomineein case the nominee is a

minorand the Guardian

should sign across it

First Name Second Name Last Name

State Country

Fax

E-mail

Name of the Guardian of Nominee

5 Relationship with Nominee

6Address ofthe Guardianof nominee

City

Telephone

PIN

Age

First Name Second Name Last Name

State Country

(if the nominee is minor)

Fax E-mail

*Percentage of allocation of securities *Residual Securities (Plz. tick any one nominee, if tick not marked default will be first nominee]7

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

do not delete

To,

ASHIKA STOCK BROKING LIMITED 'TRINITY', 226/1, A.J.C. Bose Road,

th7 Floor, Kolkata - 700020

Dear Sir/ Madam,

I/We the trading client / sole holder / Joint holders / Guardian (in case of minor) hereby declare that:

I/We do not wish to nominate any one for this demat/trading account.[Strike out what is not applicable.] [Signatures of all account holders should be obtained on this form].

I/We nominate the following person/s who is entitled to receive fund/security balances lying in my/our trading/demat account, particulars whereof are given below, in the event of the death of the Sole holder or the death of all the Joint Holders.

BO Account Details

DP ID Client ID

Trading Code

Name of the Sole / First Holder

Name of Second Holder

Name of Third Holder

NOMINATION DetailsNOMINEE NAME : Nominee 1 Nominee 2 Nominee 3

*First Name:

Middle Name:

*Last Name

*Address:

*City:

*State:

*Pin:

*Country:

Telephone No:

Fax No:

PAN No:

UID :

Email ID:

Proof of Identity

*Relationship with the BO:

Date of birth (mandatory ifNominee is a minor):

Please provide

recent colour

photograph

NOMINATION FORM (FOR INDIVIDUAL ONLY)

DP ONLY

DP ONLY

( 14 )

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NOMINATION Details

Nominee 1 Nominee 2 Nominee 3Name of the Guardian of Nominee (if the nominee is minor):

*First Name:

Middle Name:

*

*Last Name

*Address of theGuardian of nominee:

*City:

*State:

*Country:

*Pin:

Age

Telephone:

Fax No:

Email ID:

*Relationship of the Guardian with the Nominee:

*Percentage of allocation of securities:

*Residual Securities[please tick any one nominee. If tick not marked default will be firstnominee]:

Note : Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled for residual shares, if any.

* Marked is Mandatory field

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

Place: ___________________________ Date: ____________________

First / Sole Holder Second Holder Third Holder

Name

Signature

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

First Witness

Name of Witness

Address of Witness

Signature of Witness

DETAILS OF WITNESS

(To be filled by DP)

Nomination Form accepted and registered vide Registration No. _______________________________ Date ________________

For Ashika Stock Broking Ltd.

DP only

Second Witness

DP only DP only

( 15 )

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( 16 )

DECLARATION

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A

CC

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Name(s) of Applicant(s) Signature(s) of Holder(s) / Signatory(ies) (Plz use Black Ink)

Second Applicant / Signatory

Sole Applicant / First Signatory / Guardian (in case sole holder is a Minor)

Third Applicant / Signatory

Place 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 as on date of making such application 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 are aware that I/We may be held liable for it

2. The Rules and Regulations of the Depository and Depository Participant pertaining to an account which are in force now have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such account. I/We further agree that any false/misleading information given by me/us or suppression of any material fact will render my/our account liable for termination and further action

3. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and tariff sheet

4. I/We further confirm having received, read and understood the contents of the “Rights and Obligations” and “Risk Disclosure Documents.” I/We hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for information on stock broker’s designated website.

I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the clients.

Signature of Authorised Signatory Seal / Stamp of Ashika Stock Broking Ltd.

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A) REFUSAL OF ORDERS FOR PENNY STOCK: We do not restrict client for trading in the penny stock, if the same is permissible by the exchange. In this regard we ensure that the brokerage charged on the transaction involving penny stock shall not exceed the prescribed maximum limit as per exchange norms. We also ensure that same shall not be construed as an arrangement in any form so as to inflate, depress or cause fluctuation in the price/ volume of the penny stock so as to hurts the true sentiments of the market.

B) SETTING UP OF CLIENTS EXPOSURE LIMIT: ASBL will normally give exposure at a predetermined multiple for the net credit balance lying in the client’s ledger (across all segment) or on the unencumbered securities. Exposure on securities is given after appropriate haircut as per exchange. The amount of exposure may vary from client to client based on financial soundness (such as low, medium or high net worth) and turnover position of the client.

C) APPLICABLE BROKERAGE RATE: The rate of brokerage varies from clients to clients. For those clients having frequency in transaction, generally the brokerage is on the lower panel rather than for those who trade infrequently. The applicable brokerage is fixed with the mutual consent of the client. Moreover, the above-mentioned charges are subject to further modifications based upon mutual consent .

D) IMPOSITION OF PENALTY/DELAYED PAYMENT CHARGES: We charge penalty/delayed payment charges on our client at the maximum rate of 24% p.a. with an intention to prohibit the practice of having debit outstanding balance. The same can be reversed on specific request, past performance and assurance on client’s part to be prompt in future payments. Penalty by exchange would be transferred to the relevant client, if the fact for the imposition of such can be establish with prior verbal intimation to the client.

E) THE RIGHT TO SELL CLIENT’S SECURITIES OR CLOSE CLIENTS POSITIONS, WITHOUT GIVING NOTICE TO THE CLIENT, ON ACCOUNT OF NON PAYMENT OF CLIENT’S DUES: A reasonable opportunity and a verbal show cause notice is always given to the client before squaring off positions. It so happens when a client fails to make the payment of the margin money or pay in amount. However, the only exception to the above rule is for those clients having long term bonding or/and assurance to be firm in their future payments, the same may be viewed leniently.

F) SHORTAGE IN OBLIGATIONS ARISING OUT OF INTERNAL NETTING OF TRADES: If there are shortages due to internal netting of client’s position, the same would be squared off with the highest of the given prices :- (provided that the same shall not exceed the highest price prevailing in the Exchange from the first day of the relevant trading period till the day of closing out or 20% above the official closing price on the auction day whichever is higher)

1) Percentage on closing rate of auction date.

a) upto 100.99/- (scrip rate) x 7.5%

b) >101 < 500.99/- (Scrip rate) x 5%

c) 501/- (Scrip rate) and above x 2.5%

2) Buying/selling average rate.

3) Market Auction rate.

G) CONDITIONS UNDER WHICH A CLIENT MAY NOT BE ALLOWED TO TAKE FURTHER POSITION: The same holds good when (1) ledger reflects continuous debit balance (2) inadequacy of margin (3) any other outstanding dues (4) Further position in the given scrip is prohibited by the Exchange.

H) CLOSURE OF CLIENTS ACCOUNT: On receipt of specific written request from the client and settlement of all outstanding dues, a clients trading account can be closed. In case of retrieval of the same a written request along with all necessary updated documents are required.

I) DE-REGISTRATION OF THE CLIENT : Only in case of those clients who are consequently debarred from trading by SEBI/STOCK EXCHANGES or in case of breach of any terms and conditions of the agreement entered into with the client. All clients who has not executed a single trade for last six months shall be treated as Dormant and the same shall be made active only upon submission of specific request for the same.

Client's Signature

Date :

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POLICIES AND PROCEDURES

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Clie

nt C

opy

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Tariff Sheet (For Trading)

ACKNOWLEDGEM ENT TO ASHIKA STOCK BROKING LTD. FROM CLIENTToASHIKA STOCK BROKING 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 ASBL.

Moreover please arrange to provide the following documents in Electronic via E-mail Physical

Sl. No. Brief Description of the Document

1. Right and Obligations of Stock Brokers, Sub-Brokers, Authorised Person and Clients

2. Rights and Obligations of Beneficiary Owner and Depository Participant as prescribed bySEBI &Depository

3. Internet and Wireless technology based trading facility provided by Stock Brokers to Client.

4 Risk and Disclosure document.

5 Guidance note - Do’s and Don’t for trading on the Exchange(s) for Investors.

6 Executed Copy of KYC

For _______________________________________________

Client Code : _______________________________________Client's Signature _________________________________

(should be signed with Rubber Stamp, if applicable)

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

A. BROKERAGE*

1. Capital Market Segment Min.% Paisa

Square up Brokerage

(chargeable for each leg of transaction)Delivery Brokerage

B. OTHER CHARGES

GST on Brokerage

GST on Turnover Charges

Stamp Duty

SEBI Turnover Charges

Investor Protection Fund

Securities Transaction Charges

Investor Protection Fund (CDX only)

Date :___________________ Signature of Client

2. Future & Options Segment

Brokerage in Futures

Brokerage in Options (per lot)

3. Currency Derivative Segment

Brokerage in Futures

Brokerage in Options (per lot)

C. Additional charges of Rs 100/- per PAN will be applicable as Processing Fees

Min.% Paisa

Min.% Paisa

NSE BSE MSEI

LIST OF CHARGES ON ACTUAL BASIS

1.

2.

3.

4.

5.

6.

7.

* Brokerage as levied shall not exceed the maximum as prescribed in SEBI Guidlines.

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Charges for Depository Services (Schedule ‘A’)Schedule of charges forms an integral part of the DP - Client Agreement

Sr. # Depositories CDSL & NSDL

I Equity / Mutual Fund Segment For holdingvalue <=`50K

Account Opening / Closing1

2

3

4

5

6

7

8

9

10

11

12

NOTES

` 45/-

` 2/- per certificate + ` 50/- as courier charges

` 50/- per rejection

` 15/- per certificate or a fee of ` 15/- for every 100securities or part thereof whichever is higher +

Courier charges

` 50/- per rejection

0.02% of the Value (Min. `50/- per )Transaction

` 25/-

` 20/- (for Extra Statement)

Signature of Sole / 1st Holder Signature of 2nd Holder Signature of 3rd Holder

0.02% of the Value (Min. `50/- per )Transaction

I / We accept the above scheme

Annual Maintenance

Debit from Account (Payin with Ashika)

Off Market / Inter Depository Charges

Dematerialisation

Dematerialisation Rejection

Rematerialisation

Rematerialisation Rejection

Pledge Creation

Pledge Closure / Confirmation / Unpledge

Freeze / De-freeze

Holding / Transaction Statement Charges

FO

R

DE

MA

T

AC

CO

UN

T

NIL

` 45/-

NIL ` 100/-P.A.

` 35/-

` 35/-

` 500/-P.A.

` 10/-

` NIL

Scheme A

` 200/-P.A.

` 15/-

` 15/-

Scheme B

` 1500/-(for lifetime)

` 15/-

` 10/-

Scheme C

SCHEME A SCHEME B SCHEME C

BSDA ChargesFor holding

value> 0K & <=`2L`5

1. Cheque/Demand Draft should be in favor of "Ashika Stock Broking Limited"

2. Ashika Stock Broking Limited reserves the right to change the above tariff meant exclusively for DP by providing 30 days written notice and this will be binding on all.

3. Clients must ensure that their name, Client/BO ID and Bill number is written behind every cheque/Demand Draft deposited by them.

4. Service Tax as applicable would be levied on the above charges.

5. In case of any debit balance in Client’s name existing with the Company, DP is authorised to refuse to accept any type of instruction relating to transfer of shares/securities from client’s account, till the clearance of such dues.

6. `50/- + bank charges will be levied for any cheque dishonour, per instance.

7. AMC Charges will be applicable on quarterly basis.

8. Franking/Stamp charges will be applicable extra.

9. Extra account maintenance charges for Corporate Account ̀ 500/- p.a. with scheme applied.

10. The Client agrees to pay the charges as set out herein above subject to any change therein from time to time and specifically authorises DP to debit all type of dues/charges as set out herein above to client’s Trading Account Code______________________having with Ashika in NSE and/or BSE Segment.

11. BSDA Scheme is applicable only for Individual Clients.

12. Consolidated Account Statement Charges as levied by respective Depository will be levied as and when applicable.

13. I/We authorise Ashika Stock Broking Limited as a DP to convert my/our Demat account to BSDA scheme as and when the same becomes applicable as per SEBI/Regulatory Guidelines. Yes No

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Sig

natu

re o

f Thi

rd H

olde

rS

igna

ture

of

Sec

ond

Hol

der

Sig

natu

re o

f F

irst

Hol

der

LIMITED POWER OF ATTORNEY

TO ALL TO WHOM THESE PRESENTS SHALL COME, I/We ____________________________________________

S/o, D/o, W/o_____________________________________________________, residing at/having registered

office at __________________________________________________________________________

__________________________________________________________________________________________

hold a Beneficiary Account No. ________________________________ with Central Depository Services (India) Ltd. (DPID 12034500) and / or National Securities Depository Ltd (DPID IN303591) through ASHIKA STOCK BROKING LIMITED.AND WHEREAS I am / We are engaged in buying, selling and trading of securities/units through ASHIKA STOCK BROKING LIMITED, a member of National Stock Exchange of India Limited having CM ID 08334 (Exchange ID : NSE-12) & SEBI Registration Nos. INB230833437, INF230833437, INE-230833437; Bombay Stock Exchange Ltd. having CM ID 0912 (Exchange ID : BSE-11), SEBI Registration Nos. INB010833433, INF010833433, INE010833433 and Metropolitan Stock Exchange of India Ltd having CM ID 18300 (Exchange ID : MSEI-29), SEBI Registration Nos. INB260833430, INF260833430, INE260833437, BSE and NSE Mutual fund 12417 under Trading Client Code No. ___________________.NOW KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I/We THE ABOVE-NAMED DO HEREBY NOMINATE, CONSTITUTE/ AND APPOINT M/s Ashika Stock Broking Limited, as Trading Member and Depository Participant as my/our true and lawful attorney (hereinafter referred to as the attorney) for me/us and on my/our behalf and in my/our name to do the following:1. To debit my/our aforesaid beneficiary account and to transfer securities/units for the purpose of

delivering the same to the clearing house of the recognized stock exchange in any segment to discharge my/our settlement obligations in respect of securities/unit sold by me/us or for the purpose of providing margins in respect of the trading positions taken up by me/us.

2. To apply for and subscribe to, on my/our instructions, Initial Public Offerings made by any company registered under the provisions of the Companies Act, as applicable through online/offline bidding platform and to perform, do, undertake, discharge all incidental and ancillary acts, deeds, matters, things, functions and obligations in connection therewith refund amount on account of non-allotment / part allotment receipt by ASBL against my / our application in the designated bank account as specified in the Client Registration form.

3. To apply for, subscribe to, and / or redeem, on my/our instructions, units of Mutual Funds of various asset management companies through online / offline platform and to perform, do, undertake, discharge all incidental and ancillary acts, deeds, matters, things, functions and obligations in connection therewith, including payment of unutilised credit towards settlement of MFSS Trades executed on my/our behalf.

4. The said Attorney shall return to me/us the Securities/units that may have been received by it erroneously or that it was not entitled to receive.

5. I/we do hereby ratify and confirm and agree to ratify and confirm whatsoever my/our said Attorney shall have lawfully done or may lawfully do or cause to be done by virtue of or in exercise of any power hereby granted, given authorised or implied or intended to be so granted, given or authorised and also all lawful acts, deeds, matters and things done by the said Attorney of the nature mentioned above or incidental or relating thereto or arising there-from or deemed by my/our Attorney to be requisite or expedient to be done or performed in exercise of any power herein.

6. I/we further agree and confirm that the powers and authorities conferred by this POA shall continue to be good, valid and effective until revoked by me/us in writing given to my Attorney and that the POA shall not be affected by lapse of time. This POA shall continue in full force and effect until my/our Attorney shall receive written notice of revocation thereof, signed by me/us; or, in the event of termination thereof by my/our death, until my/our Attorney shall have received actual notice thereof, and such revocation or termination shall in no way affect the validity of this POA with reference to any transactions initiated by my/our Attorney, prior to the actual receipt by the Attorney of the notice of such revocation or termination, as above provided. Further, without prejudice to the generality of the aforesaid, such revocation of this POA, in so far as any transaction, settlement of which is pending on the date of receipt of notice of revocation by my/our Attorney is concerned, shall become effective only after all pending obligations in respect of such transactions are settled on the respective settlement

Signature of Sole / 1st Holder Signature of 2nd Holder Signature of 3rd Holder

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First Holder

Second Holder

Third Holder

Signature

Name

Address

Witness

For Ashika Stock Broking Ltd.

(Director / Authorised Signatory)

Signature

Name

Address

Signed and delivered for and on behalf of the Client,

In case of HUF all adult Co-Parceners should sign

Depositary Participants Name

Demat Account No.

Exchange

Name/Type

Ashika Stock Broking Limited IN564705 NSE CM BP ID/Pool

Ashika Stock Broking Limited 12034500 - 00001378 NSE NSE Pool Account

Ashika Stock Broking Limited 11000011 00015960 - NSE Early Payin

Ashika Stock Broking Limited 12034500 00001456 - NSE Client Account

Ashika Stock Broking Limited IN303591 - 10001840 NSE NSE Client Account

Ashika Stock Broking Limited IN303591 - 10011787 NSE NSEX Client Account

Ashika Stock Broking Limited 12034500 00004011 - BSE BSE Pool Account

Ashika Stock Broking Limited IN655195 BSE CM BP ID/Pool

Ashika Stock Broking Limited 11000010 00014766 - BSE Early Payin

Ashika Stock Broking Limited 12034500 00680619 - BSE BSEF Client Account

Ashika Stock Broking Limited IN303591 - 10010979 BSE BSEF Client Account

Ashika Stock Broking Limited IN303591 - 10024919 BSE BSES Client Account

Ashika Stock Broking Limited 12034500 00108809 - Client Account

Ashika Stock Broking Limited

Ashika Stock Broking Limited

Ashika Stock Broking Limited

Ashika Stock Broking Limited

IN303591 - 10000204

IN303591 - 10001381

Client Account

MSEIX Client Account

MSEI

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SCHEDULE - I

Witness

IN565576 MFNSCCL

IN620031 MFICCL

Name Signature of Co-parcener

dates and all dues owing by me/us in connection therewith have been fully paid by me/us to the Stock Broker. Further, such revocation of the power and authority given to my/our Attorney hereby shall in no way affect the validity of any acts, deeds or things done or action taken by my/our Attorney for discharging any of my/our settlement obligations in respect of any transactions settlement of which is pending on the date of receipt of the notice of revocation by the Attorney.

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

8. As per SEBI circular dated 23rd August 2010, the list of demat a/c’s where securities can move is listed as per schedule I.

IN WITNESS WHEREOF I/We hereunto set and subscribes my/our respective hands to these present

on this _____________________day of_______________ 20_______ at Kolkata.

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AGREEMENT BETWEEN THE PARTICIPANT AND THE CLIENT FOR PROVIDING THE TRANSACTION STATEMENT THROUGH INTERNET

This agreement made and entered into this ........................... day of ................................. between .......................................................

........................................................................................................ having his/her office/residence address at .........................................

......................................................................................................................................................................................................panies Act, 1956 having

(hereinafter called ‘the Participant’)Witnesseth

WHEREAS the Client has permitted the Participant to provide the transaction statement through internet (web-based and/or email).NOW THEREFORE in consideration of the Participant having agreed to provide the transaction statement through internet (web-based and/or email), both the parties to the agreement hereby covenant and agree as follows:General :1. BO/Client(s) is/are aware that Transaction statements will not be received in the paper form. It will be received by email or on

website.2. The Client(s) shall immediately inform the DP about change in email address, if any.3. BO/Client(s) will take all the necessary steps to ensure confidentiality and secrecy of the login name and password of the

internet/email account.4. BO/Client(s) is/are aware that the transaction statement may be accessed by other entities in case the confidentially/secrecy of

the login name and password is compounded.5. If the Client(s) is/are desirous of receiving transaction statement in paper form, DP shall be duty bound to provide the same.E-mail :1. The transaction statements shall be digitally signed in accordance with the Information Technology Act, 2000.2. The transaction statements will be password protected.Website :1. DP must implement Secure Socket Layer (SSL) security for their Internet facility featuring site authentication, encrypted

communication and appropriate client authentiction so as to restrict the access of transaction statements only to the Client. The transaction statements made available on website should be digitally signed in accordance with the Information Technology, 2000.

2. DP will be required to send a consolidated transaction statement in paper form or in accordance form (e-mail) for the entire financial year and the same shall be dispatched before 15th May of every year.

3. The transaction statement will be available on the website for a period of atleast 12 months.DP and Client(s) will have the right to terminate such service provided a written notice is given atleast 10 days in advance to the other party.IN WITNESS WHEREOF the Participant and the Client has caused these presents to be executed as of the day and year first above written.

(hereinafter called ‘the Client)’ and Ashika Stock Broking Ltd., a body corporate constituted under the Comits registered office at Trinity, 226/1, A.J.C. Bose Road, 7th Floor, Kolkata-700 020 and corporate office at 1008, Raheja Centre, 10th Floor, 214, Nariman Point, Mumbai-400 021

E-mail ID : ........................................................................................................................................................................ (Please write only ONE valid e-mail ID on which communication; if any, is to be sent)

E-STATEMENT AGREEMENT

First Holder

Second Holder

Third Holder

For Ashika Stock Broking Ltd.

(Director / Authorised Signatory)

Signed and delivered for and on behalf of the Depository Participant

Signed and delivered for and on behalf of the Client,

Witness for the Depository Participant,

Signature

Name

Address

Witness for the Client,

Signature

Name

Address

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FATCA / CRS DECLARATION - INDIVIDUAL NON-MANDATORY

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 Stock Broking Ltd. (ASBL) is relying on this information for determining the status of applicant named above in compliance with FATCA/CRS. Ashika Stock Broking 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 ASBL 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 NON-MANDATORY

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Signature

FATCA / CRS DECLARATION - NON-INDIVIDUAL NON-MANDATORY

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 Stock Broking Ltd. is relying on this information for the purpose of determining the status of the applicant named above in compliance with FATCA/CRS. ASBL 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 ASBL 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 NON-MANDATORY

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 Stock Broking 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 NON-MANDATORY

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 Stock Broking Ltd. is relying on this information for the purpose of determining the status of applicant named above in compliance with CRS/FATCA. Ashika Stock Broking 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 Stock Broking 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)___________________

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

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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 Religious Trust

Trust created by a Will HUF 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)

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 Stock Broking Ltd. [ASBL] 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]

Client Signature

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.

Declaration Form of Ultimate Beneficial Ownership [UBO] / Controlling Persons (Mandatory for Non-individual Investors)

(To be provided on Letter Head)

VOLUNTARY

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VOLUNTARY

Date :______________________

To,Ashika Stock Broking Ltd.Kolkata

Subject : Common Mobile number / Email ID For Trading accounts and DEMAT accounts

Dear Sir,We, Mr/Mrs _____________________________________________________ would like to confirm that the Mobile

number __________________________________ and Email ID ____________________________________ is registered

in my name. I am your registered client having trading code as ______________ and Demat account number as

___________________________________________.Upon understanding from you that my mobile number/email id is registered with some of the clients who have trading and/or demat accounts with you, We have to state that this is in my/our full knowledge and I/we have consented to the below clients who are my relative/s to state my mobile number/email id in their KYCs to which I/we have no objection. All the transactions in their accounts are not only done as per their respective instructions but they are well conveyed by us of all the SMS/Email belonging to them which are sent by you to us on our above mobile number/email id.

All these below clients also do not have any objection to the same, in consent they have also signed:

Sr.No. Client Name Trading Code Demat A/c. Relation

1.

2.

3.

4.

5.

However, in case of any further regulatory requirements, I/we undertake to abide upon hearing from you.

Thanking You.

Name :

Address :

Client Signature :

Note : The close relatives ONLY to be included are – Spouse, Dependent Children and Dependent Parents

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(Mandatory if E-mail ID or Mobile No. is already registered with us)

MANDATE FOR AUTHORIZED REPRESENTATIVE

We are having a trading account bearing client code ________________with Ashika Stock Broking Ltd. do hereby authorize Mr./Ms ____________________________________________________________________________________ , being our _________________________________ R/o __________________________________ herein after referred to as authorized representative whose signature is given below, to trade on my behalf and I further accept that all obligations arising out of trades executed by such person will be met by me. Further, I authorize you to accept all instructions, from such person pertaining to settlement of transactions in our account.

I also undertake to indemnify Ashika Stock Broking 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 Stock Broking Ltd and operated by my authorized representative Mr / Mrs. ________________________________.

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

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

(Signature of Mandate Holder) Attested Authorised Signature of Authorised RepresentativeNote: 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.

VOLUNTARYDECLARATION FOR MOBILE NUMBER AND EMAIL ID

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VOLUNTARY

MANDATE TO ISSUE CONTRACT NOTES, DAILY MARGIN STATEMENTAND QUARTERLY STATEMENT IN ELECTRONIC FORMAT

ToM/s. Ashika Stock Broking Limited“Trinity”226/1, A. J. C. Bose Road,

th7 Floor, Kolkata – 700020 Date : ____________________

Dear Sir,

I/We hereby agree and consent to accept the contract notes, daily margin statement, Settlement details and the quarterly statements of funds and securities issued by you electronically in accordance with the terms and conditions specified herein below and the same shall be binding on me/us. This instruction to issue digital contract notes, daily margin statement, quarterly statements & statement pertaining to settlement of accounts is applicable with immediate effect.

The mandate is subject to terms and conditions mentioned herein below :

Yours faithfully,

Client's Signature

E-mail Id:__________________________________

Client Name ___________________________________

Tel. No. ___________________________________

Mobile ___________________________________

Terms and conditions :

Terms and conditions for availing the facility of the electronic Contract Notes, Daily statement pertaining to settlement & Quarterly statements digitally signed are as follows.

1. The Client will ensure availability of the above mentioned e-mail ID at all times.

2. Non-receipt of bounced e-mail notification by ASBL can be safely taken of having been received.

3. The Client shall update for any change in e-mail ID through a duly executed physical letter.

5. Electronic Contract Notes, Daily margin statement & Quarterly statements will also be available on URL https:/www.ashikagroup.com

6. Clients can view the electronic Contract Notes, Daily margin statement & Quarterly statements on URL by using the username & Password.

7. Electronic Contract Notes will be archived at an interval of 15 days. If the client intends to view the electronic Contract Notes for a period prior to 15 days, client may request for the same in writing.

8. In case of any failure in system or errors the same will be issued in physical form, which shall be binding on the client.

9. Mandate can be revoked at any time with the issuance of Physical Letter.

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ECN MANDATE

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VOLUNTARY

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DECLARATION / AUHORISATION

I/We have executed KYC with you for dealing in Cash, F&O and Currency Segment of National Stock Exchange of India Limited (NSE), Bombay Stock Exchange Limited (BSE) and Metropolitan Stock Exchange of India Limited (MSEI) (hereinafter referred as Exchanges).

I / We hereby declare the following:

1. I / We will not carry out any unfair trade practices such as Synchronized deals, Structured deals, Circular Trading.

2. I / We will not place any order on the exchanges, which will reflect as an arrangement for profit or loss transactions. All the orders placed on the exchange will be in the normal market where there is corresponding underlying Shares/Securities positions in the Cash, F&O and CDX as applicable segment of the respective Exchange.

3. I / We will not introduce any kind of money acquired illegally in the financial system.

4. I / We will submit the necessary documents / information required under the PMLA and/ or any other statute.

5. I/ We will not indulge in any act which creates false or misleading appearance of trading in the Shares/Securities market;

6. I/ We shall not deal in a security not intended to effect transfer of beneficial ownership but intended to operate only as a device to inflate, depress or cause fluctuations in the price of such security for wrongful gain or avoidance of loss.

7. I/ We will not advance or agree to advance any money to any person thereby inducing any other person to offer to buy any security.

8. I/ We will not pay, offer or agree to pay or offer, directly or indirectly, to any person any money or money’s worth for inducing such person for dealing in any security with the object of inflating, depressing, maintaining or causing fluctuation in the price of such security;

9. I/We will not act in such a manner amounting to manipulation of the price of a security;

10. I / We will not sell, deal or pledge any of the stolen or counterfeit security whether in physical or dematerialized form;

11. I/ We will inform the management of Ashika Stock Broking Ltd. (ASBL) of any encouragement by a dealer to trade in Shares/Securities solely with the object of enhancing brokerage or commission;

12. I/ We will not plant any false or misleading news which may induce sale or purchase of Shares/Securities.

13. I/We agree to abide by client level position limit and authorize you not to increase my/our open position beyond the stipulated limit, and if inadvertently exceeded, to actually reduce and bring it within acceptable limits. I/We further authorize you to debit my/our ledger for any penalty imposed on you for my/our violation towards position limit.

14. I/We also hereby authorize ASBL with whom both the beneficiary demat account and trading account is operated, to debit the trading account for any charges payable to ASBL as Depository Participant for providing Depository Services. Any such amount debited to my/our account shall be binding on me/us.

15. I/We hereby authorise ASBL to meet the Pay-in / Pay-out obligations arising at NSE, BSE and MSEI without transferring the same to my/our Demat Account as and when such inter exchange obligations arise in the Security(ies)/ Contract(s) traded by me/us across Exchanges.

16. I/We undertake that if any claim or dispute arises between us in respect of any transactions, contracts, etc. entered into on my/our account, I/We shall be bound to refer it to Arbitration as per the Rules, Bye-Laws and Regulations and conventions of the SEBI and/or exchange(s) which are applicable to me/us.

17. I/We hereby agree that if I/we fail to make payment of consideration to you in respect of any one or more securities purchased by me/us, before the pay in date, notified by Exchange from time to time, then you shall be at liberty to sell the securities received in pay-out.

18. I/We undertake that I/we shall not hold ASBL, its Directors or Officers liable towards my/our acceptance of any lucrative offer of fixed return on investment without the knowledge of the Company and the onus to bring the same to the notice of the Company lies with me/us.

19. It shall be my/our responsibility to check the data provided through SMS Alert Service with the actual Contract Notes/Financial Ledgers given by ASBL. The messages flashed shall be merely reminders for my/our convenience that I/we shall take all my/our actions based on the normal confirmation received by me/us. I/we agree to inform you of any changes in the mobile number on which the updates are required.

20. I/We do hereby confirm that levy of Rs 20/- on the physical issuance of the contract note as an extra service in addition to ECN is duly acceptable.

Client Signature

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To Date :Ashika Stock Broking LimitedTrinity, 226/1, A. J. C. Bose Road,

th7 Floor, Kolkata- 700020

Dear Sir,

I/We understand that the Member accepts deposit of securities towards “Margin” for the purpose of allowing additional exposure/turnover and this document has been signed by me/us voluntarily without any coercion or force.

In respect of the above margins, I/We also undertake and agree to the following:

1. I /We shall pay initial margin as specified by NSE/BSE/MSEI/SEBI before placing any order. Ashika Stock Broking Ltd. (ASBL) will have all the rights not to execute the order if I/We fail to place the required initial margin with them

2. that the above margins are subject to the first and paramount lien for any sum due to ASBL by me/us for the due fulfillment of my/our engagements, obligations and liabilities arising out of or relating or incidental to any bargains, dealings, transactions and contract made through or with you.

3. that ASBL has a clear and undisputed right to dispose of the margin securities and adjust the proceeds or the cash margin provided towards overdue balances in my/our account, at my risk and cost, without any need for clearance or reference to me/us whatsoever

4. I/we shall when called upon to do so, provide additional margin money to ASBL as required by them or Stock Exchange in respect of positions taken by me/us

Your Sincerely,

DEPOSIT OF SECURITIES/FUNDS TOWARDS MARGIN

21. I/We do hereby confirm that I/we shall not deposit any third party cheque towards meeting my/our obligation for the trades executed by me/us and hence shall not hold ASBL against any such credit.

22. I am / We are investor/s and would not do any sub-broking business for shares and stock and undertake not to do any act or business which would amount to sub-broking of shares and securities.

23.

24.

25.

26.

27.

28.

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.

ASBL 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 NSE/BSE/MSEI 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.

ASBL 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.

ASBL 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.

ASBL 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, financial etc.

I/We shall not hold ASBL 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.

Client Signature

Client Signature

VOLUNTARY

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ToAshika Stock Broking Ltd. (ASBL)Trinity, 226/1, A.J.C. Bose Road, 7th Floor, Kolkata-700 020 Date :

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 on my/our behalf without settling the account on settlement of each transaction. I/We further request you to retain funds and securities 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 or securities so retained with you.

3. I/We also confirm that the securities lying with you should be considered as margin deposit /collateral as per the applicable norms of the Exchanges & Regulator.

4. 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 or by sale of securities which form part of margin.

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

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

Tick your preference (Default is Quarterly Settlement)

Calendar quarter / 90 days Calendar month / 30 days

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

8. You may retain the requisite securities/funds towards settlements as per the applicable norms of Exchanges.

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I/We do hereby authorise Ashika Stock Broking Ltd. (ASBL) to retain an amount upto Rs. 10,000/- (Net amount across segment and across stock exchanges, in lieu of settlement of my/our account for any specific quarter / months (in case traded during that period) as per the mandate above.

Thanking you,

Yours truly,

AUTHORITY LETTER FOR RUNNING ACCOUNT OF FUNDS AND SECURITIES

Client Signature

Client Signature

VOLUNTARY

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DO's and DON'Ts

Do’s and Don’ts which are relevant for operation of Trading / Demat account with ASBL:

DO’s

• Issue cheuqe(s) towards margin / pay-in obligation of funds only in the name of “Ashika Stock Broking Ltd.”.

Transfer securities against Pay-in obligations only in designated Demat Accounts of Ashika Stock Broking Ltd.

Any receivables from ASBL on account Pay-out shall be from Bank / Demat Account from ASBL only and not from sub- broker / Authorised Person /Advisor.

Ensure that no separate fees, charges, commissions or any consideration is paid to Sub Broker / Authorised Person / Advisor; other than what is payable to ASBL.

Make payments of bills/ dues in time to avoid delayed payment burden or Risk Management actions.

Check ledger, derivative position, demat statement and your account details at regular intervals.

Ensure that all your trades and Investments are executed under your instructions. Ensure that the digital contracts notes sent to your email are in concurrence with the said orders.

Any change / modifications in your contact details should be immediately updated with ASBL.

Ensure to read all the tariff / brokerage applicable to you, before placing your orders with ASBL.

DON'TS

Do not give any discretionary rights to your advisor / Relationship Manager / Sub Broker /Authorized Person to trade in your account.

As there are no fixed or guaranteed returns on investments in securities market, do not rely on any such commitments if any given by Sub Broker /Authorised Person /Advisor.

Never handover blank or signed Demat slips book to anyone it is akin to signing a blank cheque.

Do not give cash / securities to your Advisor / Relationship Manager / Sub Broker /Authorized Person for any transaction

Never give a third party cheque for funds pay-in or shares for shares pay-in.

Do not enter into any personal agreement with Sub Broker / Authorised Person / Advisor in connection with your transaction in trading / demat account opened with ASBL.

(Above Do’s and Don’t’s are in addition to Guidance Note prescribed by SEBI)

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Client Signature

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QUESTIONNAIRE TOWARDS RISK PROFILING OF CLIENTS

IDENTIFYING YOUR INVESTMENT RISK (From Investment Trading Perspective)

Familiarity with the Investment

Not familiar at all Somewhat familiar Fairly familiar Very familiar

(Tick the applicable)11

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 currentlyheld asset in investment products

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 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 ASBL3

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)

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Client Signature

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ToAshika Stock Broking Ltd.TRINITY, 7th Floor226/1, AJC Bose RoadKolkata - 700020

Sub :- Internet Trading

I/We wish to trade through internet in various segments as opted by me/us of NSE/BSE/MSEI and confirm that I am / we 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,

Applicant’s Name

Applicant’s Address

Applicant’sSignature

Mobile No. Telephone No.

Place Date

Declaration for Authorization for trading on Online and Offline Mode

To

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,

___________________

Signature of the client

Name:

Client Code:

Ashika Stock Broking Ltd.TRINITY, 7th Floor226/1, AJC Bose RoadKolkata - 700020

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VOLUNTARYINTERNET & WIRELESS TECHNOLOGY BASED TRADING LETTER

VOLUNTARYINTERNET & WIRELESS TECHNOLOGY BASED TRADING LETTER

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Signature Signature Signature

Partner's Name Partner's Name Partner's Name

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FORMAT DECLARATION FORM BY PARTNERS FOR PARTNERSHIP FIRM ( )

(To be obtained on Pre-Printed Letter Head of the Firm)To,ASHIKA STOCK BROKING LTD.‘Trinity’, 226/1, A.J.C. Bose Road7th Floor, Kolkata - 700020

1. I / We have submitted an application for opening a joint account in the name(s) of _______________________, ______________________ and ______________________ for opening a Beneficial Owner [BO] account in the category “INDIVIDUAL’ for holding and carrying out transactions in respect of securities belonging to our firm, as per the clarification issued by the Department of Company Affairs vide its Circular No. 5/75 (8/18/75-CL-V) dated March 31, 1975, Partnership Firm is not capable of being a member within the meaning of Section 41 of The Companies Act, 1956.

2. We represent the firm.3. In consideration of you having agreed to accept the Permanent Account Number [PAN] issued by the Income Tax

Department [ITD] to the firm along with our individual identity documents, we acknowledge and undertake as under :-a) the acceptance of the PAN number of our firm does not amount to you having taken notice of trust or

recognize our firmb) we shall continue to be responsible for complying with the relevant provisions of The Companies Act, 1956

and the Rules made thereunder and other applicable Laws, failing which we shall be responsible for the consequences thereof

Yours faithfully,

For DEMAT A/c

FORMATDECLARATION TO BE GIVEN BY PARTNERSHIP (For Trading A/c)

(To be obtained on Pre-Printed Letter Head of the Firm)ToAshika Stock Broking LimitedHead Office :Trinity, 226/1, A.J.C. Bose Road7th Floor, Kolkata-700 020 Dated :

Dear Sir,

We refer to the trading account opened with you in the name of ................................................ and declare and authorize you as under:

We recognize that a beneficiary account can not be opened with a Depository Participant in the name of the partnership firm as per regulations. To facilitate the operation of the above trading account with you and for the purpose of completing the securities transfer obligations, pursuant to the trading operations, we authorize you to recognize the beneficiary account No. ....................................................................................... With Depository ...........................................: having DP ID ..................................... opened as a joint account in the names of the partners of the firm.

We agree that the obligations for shares purchased and/or sold by the firm will be handled and completed through transfers to/from the above-mentioned account. We recognize and accept transfers made by you to the beneficiary account as complete discharge of obligations by you in respect of trades executed in the above trading account of the firm.

Signature Signature Signature

Partner's Name Partner's Name Partner's Name

Instructions : Should be signed by all partners of the firm.

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(To be obtained on Pre-printed Letter Head of the LLP)

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FORMATIn 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 securities trading account in Capital Market Segment, F&O Segment, Currency Derivative Segment and Debt Market segment on behalf of the firm M/s ........................................... with the Trading Member M/s ASHIKA STOCK BROKING LTD. for sale and purchase of shares/debentures/derivative instruments in Capital Market Segment(CM) and/or Futures and Options Segment(F&O) and/or Currency Derivatie Segment (CDX) or any other segment that may be introduced by NSE/BSE/MSEI in future. He/She/They is/are singly/jointly authorized on behalf of the firm to deal in equities, derivatives, debentures, debt products 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.

Mr./Ms........................... and Mr./Ms................................. is/are authorized to sell, purchase, transfer, endorse, negotiate documents and /or/ otherwise deal through ASHIKA STOCK BROKING LTD. on behalf of the firm M/s. .......................................... . 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 Stock Broking Ltd. for credit to share trading account of the firm with M/s ASHIKA STOCK BROKING LTD.,even though his/their signatures may not be available on the records of Ashika Stock Broking Ltd.

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

Signature Signature Signature

Partner's Name Partner's Name Partner's Name

FORMATRESOLUTION IN CASE OF LLP (for Demat A/c)

We the partners of M/s ……………............................ (Name of LLP) a partnership firm, having its office ………………………………………....hereby authorize one of the partner Mr. ……………….........or Mr.……………………............... to open a Demat account with Ashika Stock Broking Ltd. Depository Participant of Central Depository Services (I) Ltd., on behalf of the firm Ms/ ………..............................…….. (Name of LLP) and to complete all account opening formalities, issue receipt/delivery instructions, Demat/Remat requests, cancellation of the aforesaid and all other acts as may be necessary for operations of the account and a copy of the said resolution to be delivered to “M/s Ashika Stock Broking Limited for their reference and record.“

RESOLVED FURTHER THAT Mr.…………….................... Or Mr.………..........................…, designated partners are authorized to transfer, endorse, negotiate documents and/or otherwise deal with ASHIKA STOCK BROKING LIMITED on behalf of the firm M/s ……………….....................…..(name of LLP). They are also singly/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 open account and give effect to this purpose.

However any partner/authorized signatories can issue cheques from bank account in favor of Ashika Stock Broking Limited for credit to Share trading account of the firm with M/s ASHIKA STOCK BROKING LIMITED, even though their signatures may not be available on the records of Ashika Stock Broking Ltd. These cheques may either be form the account of partnership firm or from individual account the said amount so given shall be solely / exclusively for the account of the firm maintained with Ashika Stock Broking Limited.

For ………………………………. (Name of LLP)

Signature with Seal

Name of Partner / Authorised Signatory

Signature with Seal

Name of Partner / Authorised Signatory

Signature with Seal

Name of Partner / Authorised Signatory

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Note : Please carefully use the BOLD matter

(Company Name)

(Company Address) (Meeting Date)

(name of the account)

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FORMAT BOARD RESOLUTION IN CASE OF CORPORATE / REGISTERED TRUST (For Demat A/c)

To be typed on company’s letter head and signed by majority of directors of the company.

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED AT THE MEETING OF BOARD OF DIRECTORS OF __________________________

HAVING ITS REGISTERED OFFICE AT ____________________________________________________ HELD ON _________________.

“Resolved that a (CDSL / NSDL) depository account of the company be opened in the name and style of ___________________with M/s.

Ashika Stock Broking Limited [DPID : (NSDL) IN303591 / (CDSL) 12034500] and Mr./Mrs. _______________________________ and

Mr./Mrs. _____________________________ Director(s) / Authorized Signatory(ies) are hereby singly/jointly authorized to complete

all account opening formalities, issue receipt/delivery instructions, Demat/Remat requests, inter-settlement transfers, account

closures/shifting/freeze/defreeze requests, pledge/hypothecation instructions, cancellation of the aforesaid and all other action as may

be necessary for operations of the account and a copy of the said resolution to be delivered to “M/s. Ashika Stock Broking Limited” for

their reference and record.”

For, {Company Name)

Chairman/Company Secretary

Signature

Name of the Directors / Trustees

Signature

Name of the Directors / Trustees

Signature

Name of the Directors / Trustees

FORMAT BOARD RESOLUTION IN CASE OF CORPORATE / TRUST (For Trading A/c)

(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 Securities / Derivatives Market and be registered as CLIENT with Ashika Stock Broking Ltd., a Member of NSE, BSE and MSEI, for the purpose of dealing/trading in equities, equity derivatives, currency derivatives, debentures, debt products in NSE/BSE/MSEI 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 Stock Broking Ltd. on behalf of the Company/Trust.

RESOLVED FURTHER THAT «Authorised Signatory(ies), Designation» of the Company/Trust be and are hereby , singly/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 Stock Broking Ltd.

orSpecimen Signatures of the above noted Authorised Signatory(ies) Chairman/Company Secretary

Signature with Seal Signature with Seal Signature with Seal

Name of the Director / Trustees Name of the Director / Trustees Name of the Director / Trustees

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

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FORMAT

To Date:___________________ASHIKA STOCK BROKING LIMITED 'TRINITY', 226/1, A.J.C. Bose Road,

th7 Floor, Kolkata - 700020

As our HUF wishes to open a Trading and / or Demat 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 adult coparceners of the said family.

We hereby authorize the said Karta to open a Trading and / or Beneficiary Demat Account with Ashika Stock Broking Limited in the name and on behalf of the HUF. He is further authorized to sign, execute and submit such applications, undertakings and other requisite documents, writings and deeds as may be deemed necessary to expedient to open such account and give effect to this purpose. Ashika Stock Broking Limited is hereby authorized to honor all instructions oral or written, given on behalf of HUF by the said Karta.

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 and members of the joint family. We all undertake that claims due to Ashika Stock Broking 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, 1932, we have not got our said Family registered under the said Act. We hereby undertake to inform Ashika Stock Broking 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.

List of current members of the said HUF is as under noted,

Sr.#

AUTHORITY-CUM-DECLARATION IN CASE OF HUF AND JOINT FAMILY

(To be obtained on Pre-Printed Letter Head of the HUF)

Name

Designation &relation with Karta(Self, Spouse, Son,Daughter, Parent)

PAN Signature

1. Karta2. Coparcener3. Adult Member4. Minor Member

Compulsory for Karta Coparceners& Adult Members For Minor member(s) mentiontheir respective Date of Birth

Compulsory for Karta, Coparceners &Adult MembersFor Minor members mention NA

1

2

Stamped and signed by Karta of the said HUF

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PoliticallyExposed

Person (PEP)/ Non-PEP

PEP

Non-PEP

PEP

Non-PEP

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INSTRUCTIONS / NOTES

1. All communication shall be sent at the address of the Sole/First Holder only.2. Thumb impressions and signatures other than English or Hindi or any other language not contained in the 8th

Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.

3. Instructions related to nomination, are as below :I. The nomination can be made only by individuals holding beneficiary owner/trading account on their own behalf

singly or jointly. Non-individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of Power of Attorney cannot nominate. If the Demat account is held jointly, all joint holders must sign the nomination form.

II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.

III. The Nominee can not be a trust, body corporate, partnership firm, karta of Hindu Undivided Family or a Power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time.

1V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository and the Participant against the legal heir.

V. The cancellation of nomination can be made by individuals holding beneficiary owner account on their own behalf singly or jointly by the same persons who made the original nomination. Non-individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of Power of Attorney cannot cancel the nomination. If the beneficiary owner account is held jointly, all holders must sign the cancellation form.

VI. On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee.

4. Strike off whichever is not applicable5. Clarifications with respect to Bank Proof to be submitted

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

ii Photocopy of the Bank Statement for last two quarters having name and address of the client with Bank Logo or attested through respective bank.

iii Photocopy of the Passbook having name and address of the client, (or)iv Letter from the Bank.In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present/ mentioned on the document.

6. Provide a copy of either Demat Master or a recent holding statement issued by DP bearing name of the Client7. For Individuals:

a. Stock Broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub broker’s office.

b. Registered Authorised Person / Sub-broker are also authorised to perform ‘In-person Verification’.c. In case of non-resident clients, employees of the stock broker’s local office, overseas, can do ‘in-person’

verification. Further, considering the infeasibility of carrying out ‘in-person’ verification of the non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy/Consulate General in the country where the client resides may be permitted.

8. For Non Individuals:a. Account Opening Form need to be initialized by all the authorized signatories.b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to deal in securities

on behalf of company/firm/others and their specimen signatures.9. Additional documents in case of trading in Derivatives Segments - illustrative list:

Copy of ITR Acknowledgment In case of Salary Income - Salary Slip, Copy of Form 16

Copy of Latest Annual Accounts Net Worth Certificate

Copy of Latest Demat Account Holding Statement Copy of Bank Statement for last 6 months

Any other relevant documents substantiating Self declaration with relevant supporting documents.ownership of assets

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August, 2017