Name of the Member : Pentad Securities Private Limited · Compliance Officer Treesa Antony...

Version No.4

Name of the Member : Pentad Securities Private Limited

Exchange Segment SEBI Reg. No. Date Of Registration

BSE Equity, Derivatives & Currency Derivatives INZ01000168432 June 17, 2014

NSE Equity, Derivatives INZ01000168432 September 5, 2014

MCX Commodity Derivatives INZ01000168432 February 22, 2020

CDSL Depository Participant IN-DP-378-2018 July 5, 2018

Website : www.pentadsecurities.com

Registered & Correspondence Office Address : 33/2361 B4, 3rd Floor, Jacob’s Building,Geethanjali Junction, Vyttila, Kochi 682019. Ph : 0484 4047080, 0484 4231111

Corporate Office # 116-A, 1st Floor, 159, Vinay Bhavya Complex

CST Road, Kalina, Santacruze E, Mumbai – 400098

Dear Investor,

In case of any grievance / complaint / dispute with us, kindly mail us at [email protected] or Please contact us below

Designation Name Email Phone No.

Compliance Officer Treesa Antony [email protected] 0484 4231121

C E O Nikhil K G [email protected] 0484 4231120

If not satisfied with the response of the Pentad Securities Private Limited, you may contact the concerned Stock Exchange at the following –

Web Address Contact No Email-id

BSE www.bseindia.com 022-22728138 [email protected]

NSE www.nseindia.com 022-26598190 [email protected]

CDSL www.cdslindia.com 1800225533 [email protected]

MCX www.mcxindia.com 022-66318888 [email protected]

You can also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance, please contact SEBI Office on Toll Free Help line at 1800 22 7575 /1800 266 7575.

“Filing complaints on SCORES – Easy & quick

a. Register on SCORES portal

b. Mandatory details for filing complaints on SCORES:

i. Name, PAN, Address, Mobile Number, E-mail ID.

c. Benefits:

i. Effective communication

ii. Speedy redressal of the grievances.”

Version No.4

INDEX

Mandatory documents as prescribed by SEBI & Exchanges

1. Account Opening Form 1-6

A. KYC form - document captures the basic information about the constituent and an instruction/check list. B. Document captures the additional information about the constituent relevant to trading account and an instruction/check list.

2. Rights and Obligations

Document stating the rights & obligations of stock broker/trading member, sub-broker/Authorised Persons and client for trading on exchanges/depositories (including additional rights & obligations in case of internet/wireless technology based trading).

3. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities and commodities market.

4. Guidance Note Document detailing do's and don'ts for trading on exchange, for the education of the investors.

5. Policies and Procedures 7-10 Document describing significant Policy and Procedures of PSPL

6. Tariff sheet 11 Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s)

To b

e h

and

ed

ove

r to

clie

nt

Voluntary documents as provided by the stock broker

7. FATCA Declaration 19-22

8. Undertaking for accepting electronic contract notes and other communication through email 12

9. Authorization for Running Account 13

10. Self declaration 13

11. Online Trading Supplement 23

Addi�onal KYC form for Opening a Demat Account for INDIVIDUALS

12. Account Opening Form 14-15

13. SMS Alert 15

14. Tariff sheet 18

15. Registration Form / SMS And/or Email Alert 16-17

16. Client Acknowledgment Letter 24

Version No.4

____________________________AMC/Intermediary name OR code

(Originals Verified) Self Cer�fied Document copies received

(Atested) True copies of documents received

FOR OFFICE USE ONLY

Applica�on Form (For Non-Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black inkApplica�on No. :

A. IDENTITY DETAILS

DECLARATION

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

Name & Signature of the Authorised Person(s)

Seal/Stamp of the intermediary Should containSta ffName and Designa�onName of the

Organiza�onSign ture and Date

1. Name, PAN, DIN/AADHAR no., residen�al addess and photographs of Promoters/Partners/Karta/Trus�ees and whole �me directors: (Please fill in the details as provided in Annexure)

2. Any other Informa�on: __________________________________________________________________________________

C. OTHER DETAILS

D M YD M Y YY

1. Name of the Applicant

8. Status (Please �ck a y one ( )

2. Date of Incorpora�on 3. Registra�on No. (CIN)

7. Place of Incorpora�on

6. Date of commencement of business

Private Limited Co. Public Ltd. Co. Body Corporate Trust Partnership

Chari�es NGO’s FI FII HUF AOP

Bank

Government BodyDefense Establishment

BOISocietyLLP Others (please specify) _____________________Category II FPI Category III FPI

Category I FPI

5. PAND M YD M Y YY

B. ADDRESS DETAILS

1. Address for Correspondence

City

PIN

State Country

3. Specify the proof of address submited for Correspondence address:

4. Registered office Address (if different from above)

5. Specify the proof of address submited for Registered Office address

2. Contact Details: Tel (Off.) FaxMobile No.

PIN

City State Country

Date:

Place: ___________________

D M YD M Y YY

SMS Facility: Yes No E-mail ID :

I/We hereby declare that the aforesaid mobile no./ and or email id belongs to Mr/Ms. ___________________________ ______________ ________________________________ (Designa�on).

F1 First Authorised Signatory Second Authorised SignatoryS1 T1 Third Authorised Signatory

1

Version No.4

E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

If client is dealing through other Stock broker/ sub-broker/Authorised Person provide the following details:

Sub-broker's /Authorised Person/Stock Broker Name : _________________________________________________________________

SEBI Registration Number:_____________________________

Registered office address:_______________________________________________________________________________________

Ph: ________________________ Fax: ___________________Website: __________________________________________

Client Code: _________________________Exchange: __________________________________________In case dealing with multiple stock brokers/sub-brokers, Authorised Person provide details of all)

Details of disputes/dues pending from/to such stock broker/sub- broker/Authorised Person: ________________________________

A. BANK DETAILS (Through which Transactions and dividend will be routed )

Account Type (Default) Saving Current Others (specify) __________________

Bank Name

Branch Address

Account No

RTGS/NEFT IFSC Code MICR No.

B. DEPOSITORY ACCOUNT(S) DETAILS

DP NameDepository

NameBeneficiary Name

Beneficiary DP ID

Beneficiary/ Client ID

Pentad Securities Private Limited

CDSL

Detail of Custodian Name of the custodian Address of the custodian CP Code

C. PAST ACTIONS

Whether any past action has been taken Yes No

Details of any action/proceedings initiated/pending taken by SEBI / commodity exchange/UN/FATF/SEC /any other authority against the applicant/constituent or its Partners/promoters/whole time Directors /authorized persons in charge of dealing in commodities/securities/laws/Derivatives/Currency Derivatives/Commodity Derivatives during the last 3 years.

If yes, provide details _______________________________________________________________________

D. TRADING PREFERENCES

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

Exchange & Segment Client’s Signature Exchange & Segment Client’s Signature

BSE CASH

BSE F&O

NSE CASH

NSE F&O

BSE CURRENCY

F2

F3

F4

F5

F6

12086600

COMRIS ACCOUNT DETAILS :

Comris Name &Address :

ComRIS ID :

MCX F&OF7

2

Version No.4

G. FINANCIAL & OTHER DETAILS FOR ENTITY

OR Gross Annual Income Details

Net-worth in Rs. (Net worth should not be older than 1 year) as on (date)

I. TAX DETAILS

GST Number State of Regn.

Please Submit copy of GST Registra�on Cer�ficate

1. Whether you wish to receive: Electronic Contract Note (ECN) Physical Contract Note*2. Whether you wish to receive the below standard documents in Electronic Mode Physical Mode*

(a). Rights & Obligations of stock broker, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/ wireless technology based trading); (b) Rights and Obligations of beneficial owner and depository participant as prescribed by SEBI and depositories; (c) Uniform Risk Disclosure Documents (for all segments/ exchanges); (d). Guidance Note Detailing Do's and Don'ts for trading on stock exchanges.

*Specify your Email id ____________________________________________________________________

3. Whether you wish to avail of the facility of internet trading/ wireless technology Yes No

4. Number of years of Investment/Trading Experience: _______________________

5. Earlier having account as FII or their Sub A/c – Yes No. If yes, Reg No. ________________________

F. ADDITIONAL DETAILS

Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac 25- 1 Crore Above 1 Crore

J. STANDING INSTRUCTION FOR DEBITING CHARGES

Operative Demat A/c. No.:Dear Sir,I/We hereby authorise you to debit my/our operative Trading A/c/Ledger with you for all the charges relating to my/our demat account. Please treat this authorisation as irrevocable till further instruction from my/our side is received in writing and duly acknowledged by you.

Thanking You

___________________ Authorised Signatory F8 ___________________ Authorised SignatoryS2 _______________ Authorised SignatoryT2Signature of Demat A/c. holders

H. CLIENT CATEGORIZATION - COMMODITY DERIVATIVES

Value Chain Participants - 2 Proprietary Traders - 3 Domestic Financial Institutional Investors-4 Foreign Participants- 5 Others- 6

ALUMINIUM

BRASS

CARDAMOM

CASTORSEED

COPPER

COTTON

CRUPALMOIL

CRUDE OIL

GOLD

LEAD

MENTHAOIL

NATURALGAS

NICKEL

PEPPER

RBDPALM

SILVER

ZINC

KAPAS

ALUMINIUM

BRASS

CARDAMOM

CASTORSEED

COPPER

COTTON

CRUPALMOIL

CRUDE OIL

GOLD

LEAD

MENTHAOIL

NATURALGAS

NICKEL

PEPPER

RBDPALM

SILVER

ZINC

KAPAS

ALUMINIUM

BRASS

CARDAMOM

CASTORSEED

COPPER

COTTON

CRUPALMOIL

CRUDE OIL

GOLD

LEAD

MENTHAOIL

NATURALGAS

NICKEL

PEPPER

RBDPALM

SILVER

ZINC

KAPAS

ALUMINIUM

BRASS

CARDAMOM

CASTORSEED

COPPER

COTTON

CRUPALMOIL

CRUDE OIL

GOLD

LEAD

MENTHAOIL

NATURALGAS

NICKEL

PEPPER

RBDPALM

SILVER

ZINC

KAPAS

ALUMINIUM

BRASS

CARDAMOM

CASTORSEED

COPPER

COTTON

CRUPALMOIL

CRUDE OIL

GOLD

LEAD

MENTHAOIL

NATURALGAS

NICKEL

PEPPER

RBDPALM

SILVER

ZINC

KAPAS

With a view to understand the extent of involvement of the physical market participants and to identify the nature of participants in the

Commodities Derivative Market, Members of the Exchange are required to Categorize their Clients under one of the following category

as per the Exchange Circular No. MCX/TECH/422/2019 dated August 08, 2019 and pursuant to SEBI circular no.

SEBI/HO/CDMRD/DNPMP/CIR/P/2019/08 dated January 04, 2019. Please specify your category.

3

Version No.4

K. D

ETA

ILS

OF

AS

SO

CIA

TE

D P

ER

SO

NS

Gen

der

Au

tho

rise

d S

ign

ato

ry

P

EP

: P

oliti

cally

Exp

osed

Per

son

RP

EP

: R

elat

ed to

Pol

itica

lly E

xpos

ed P

erso

n /

dd

mm

yy

yy

/D

ate

Pho

togr

aph

Nam

e

Rel

atio

nshi

p w

ith A

pplic

ant

(i.e.

pro

mot

ers,

w

hole

tim

e di

rect

ors

etc.

)

Whe

ther

P

oliti

cally

E

xpos

ed

PE

P

RP

EP

NO

Nam

e o

f Ap

plic

ant

PA

N o

f th

e A

pp

lican

t

Det

ails

of

Pro

mo

ters

/ Par

tner

s/ K

arta

/ Tr

ust

ees

/ wh

ole

tim

e d

irec

tors

an

d A

uth

ori

sed

Per

son

dea

ling

in s

ecu

riti

es

DIN

(F

or D

irect

ors)

/U

ID (

For

Oth

ers)

Res

iden

tial

Add

ress

PE

P

RP

EP

NO

PE

P

RP

EP

NO

Sr.

No.

PAN

and

A

adha

arN

atio

nalit

y(P

rimar

y &

Sec

onda

ry)

F9

4

Version No.4

EMPLOYMENT DETAILS

Tel (Off) Mobile No. Fax

L. ULTIMATE BENEFICIAL OWNER DETAILS

2. Gender

5. Na�onality

% of shares or capital or profits of company/partnership firm/unincorporated associaia�on or body of individual

7. Address

4. Date of birth

City

PIN

State

Email id

3. Marital statusMale Female Single Married

1. Beneficial Owner Name

Mobile No.

6. PAN

DDMMYYYY

Type of Business

Years with Employer

Posi�on

Employer Name

Address

City

PIN

State

SECOND BENEFICIAL OWNER'S INFORMATION (Op�onal)

2. Gender

5. Na�onality

% of shares or capital or profits of company/partnership firm/unincorporated associaia�on or body of individual

7. Address

4. Date of birth

City

PIN

State

Email id

3. Marital statusMale Female Single Married

1. Beneficial Owner Name

Mobile No.

6. PAN

DDMMYYYY

Type of Business

Years with Employer

Posi�on

Employer Name

Tel (Off) Mobile No. Fax

Office Address

City

PIN

State

EMPLOYMENT DETAILS

5

Version No.4

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

Signature of the Authorized Signatory Seal/Stamp of the MembersDate: D D M M Y Y Y Y

Signature

Documents verified withOriginals by

Client Interviewed by In-Person Verifica�on

done byName of the Employee /

Sub BrokerEmployee Code / Sub BrokerDesigna�on of the

employee

Date

UCC Code allo�ed to the Client: ___________________________________________________________________________

Loca�on of In-person verifica�on: Our office Client's residence Client's office

Place/address of In-person verifica�on : ____________________________________________________________________

FOR OFFICE USE ONLY

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

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

3. I/We further confirm having read and understood the contents of the 'Rights and Obliga�ons' document(s) and 'Risk Disclosure Document' and Do’s and Don’ts. I/We do 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 Informa�on on member's designated website: www.pentadsecuri�es.com

M. DECLARATION

D D M M Y Y Y Y PlaceDate

F10

__________________________________ Client Name __________________________________ Authorised Signatory

6

Version No.4

1.REFUSAL OF ORDER(S) FROM THE CLIENTS INCLUDING FOR PENNY STOCKS & ILLIQUID COMMODITIES: Pentad Securities Private Limited (“PSP”) offers trading in most of the liquid stocks/commodities traded on the stock exchanges. Some of the stocks such as penny stocks i.e. stocks whose market price is less than their face value, scrips traded in physical mode or scrips which do not meet PSPL's internal criteria may not be allowed by PSPL for trading. “Penny Stocks” also include, scrips having large bid-ask spreads, low market capitalization due to unsound fundamentals, “T”, “TS”, “Z”, “BE” Category stocks or stocks, which have high chances of manipulations or as per directions/guidelines issued by the regulators. Also, the Exchanges f rom t ime to t ime provide a l i st of securities/commodities categorized as “Illiquid Securities”/ “illiquid Commodities”. PSPL may at its discretion or based on directives of the Exchanges/SEBI may also restrict trading in illiquid securities/commodities from time to time. Any existing scrip enabled for trading may be deactivated by PSPL as and when such scrips meet the criteria as defined by PSPL for illiquid scrips, even if the Client had purchased the scrips through PSPL. Further, PSPL may also at any time, at its sole discretion as a risk containment or surveillance measure and without prior notice to the client, restrict client's ability to trade in any specific security/commodity through PSPL. Such restrictions could be only on buy or sell or both. PSPL may for this purpose, introduce online blocks to prevent clients from placing orders in penny stocks, Illiquid/unapproved Securities & commodities and/or illiquid contracts through the Online Trading Platform of Pentad/Exchange. Dealers/Authorised Persons of Pentad may refuse to execute orders of the clients for trading in such stocks, securities/commodities and contracts. Further in case the client s u c c e e d s i n p l a c i n g o r d e r i n p e n n y s t o c k s , Securities/commodities and Illiquid contracts through the Online Trading Platform or otherwise, Pentad may on its discretion at any point of time cancel /modify /alter any such order before execution on the Exchanges and may square off the executed position if desired. Any losses if any on account of such restriction shall be borne by the client only. It is also provided further that PSPL may ask for compulsory settlement / advance payment of expected settlement value/delivery of commodities for settlement prior to acceptance / placement of order(s) as well. Losses, if any, on account of such refusal by PSPL or due to delay caused by such limits, shall be borne exclusively by the client alone. PSPL shall not be responsible for any financial or other implications due to such execution, delay in execution or non-execution of any such orders.

2. CLIENT'S EXPOSURE LIMITS: PSPL from time to time may impose quantity and/or value limits on the orders that a client can place through its system (including exposure limits, turnover limits, limits as to the number, value and/or kind of securities/commodities in respect of which orders can be placed etc.). PSPL may need to vary or reduce the limits or impose new limits urgently on the basis of risk perception and other factors considered relevant including but not limited to restrictions on limits on account of exchange/SEBI directions/limits (such as broker level/market level limits, security specific/volume specific exposures etc.). PSPL may be unable to inform the client of such variation, reduction or imposition in advance. PSPL shall not be responsible for consequences of such variation, reduction or imposition or the client's inability to route any order through PSPL on account of any such variation, reduction or imposition of limits. Such exposure limits may be set up to a pre-determined number of times of the Margin (the "Multiple") and the quantum of the Multiple shall be decided at sole option or discretion of PSPL. Such multiple may be changed at the discretion of PSPL

from client to client depending on various factors, which inter alia include factors like market conditions, client profile, financial status, Regulatory interventions etc. Client shall abide by the exposure limits, if any, set by PSPL or by the Exchanges or Clearing Corporation or SEBI from time to time. The exposure limits set by PSPL do not create any right in favour of the Client and are liable to be withdrawn at any time without notice and the client shall bear the loss on account of withdrawal of such limits. PSPL may at any time, at its sole discretion and without prior notice, prohibit or restrict the client's ability to place orders or trade in securities/commodities through PSPL, or it may subject any order placed by the client to a review before its entry into the trading systems and may refuse to execute/allow execution of orders due to various factors including but not limited to the reason of lack of margin/securities/commodities or the order being outside the limits set by PSPL/ Exchange/ SEBI or under alert due to surveillance or RMS reason and/or any other reasons which PSPL may deem appropriate in the circumstances. Limits/Exposure provided shall vary based on the intraday profit /loss made by the client. Exposure limits against collateral/stocks shall be given only against approved securities as decided by the Exchanges/PSPL from time to time and subject to such haircut and valuations as may be decided by PSPL from time to time. PSPL from time to time may change the applicable haircut or apply a haircut higher than that specified by the Exchanges. In case of derivatives, Clients shall be allowed to trade only up to the applicable client wise position limits set by the Exchanges/Regulators from time to time along with the added margin levied in addition to Exchange margins. PSPL shall have the prerogative to allow differential buy and sell limits for its clients depending upon credit worthiness, integrity and past conduct of each client.

3. BROKERAGE RATE: Brokerage will be charged within the limits prescribed by SEBI/ Exchanges (currently 2.5%). Further, statutory levies shall be levied as per the current guidelines. The slab rate of brokerage shall be changed as per specified in AOF but may be reviewed by PSPL from time to time and changed in such manner as PSPL may deem fit provided that the same would not contradict the regulatory provisions.

4. IMPOSITION OF PENALTY / DELAYED PAYMENT/OTHER CHARGES: The client shall pay PSPL settlement dues, brokerage, statutory levies and taxes etc. as are applicable from time to time. If the client fails to make payment of the any amount due within the time frame specified by PSPL, it shall be entitled to levy such charges by way of penalty or delayed payment charges not exceeding 24 % per annum (or other rate as may be decided from time to time by PSPL) on amount due as PSPL may deem fit. This levy is only penal measure in case client defaults in meeting settlement and margin obligations and should not be construed as funding arrangement by the client and further the client cannot demand continuation of service on a permanent basis by citing this levy of delayed payment charges. Further, where PSPL has to pay any fine or bear any punishment form any authority in connection with/a consequence of/in relation to any of the orders/trades/deals/actions of the client, the same shall be recovered from the client. PSPL shall not be liable to make payment of any interest or delayed payment charges on the credit balance, if any, lying in the client's ledger, margin account, deposit etc. with PSPL.

5. THE RIGHT TO SELL CLIENTS' SECURITIES/COMMODITIES OR CLOSE CLIENTS' POSITIONS, WITHOUT GIVING NOTICE TO THE CLIENT, ON ACCOUNT OF NON-PAYMENT OF CLIENT'S DUES: PSPL shall have the rights to square off the position of the Client (Including the right to refer the matter to arbitration) with no

POLICY & PROCEDURES OF PENTAD SECURITIES PRIVATE LIMITED

7

Version No.4

obligation of communicating the same to the Client, for non-payment of margins or other amounts, including the pay in obligations, outstanding debts, and / or there is delay /failure of the client to bring additional margins to cover the increase in risk in dynamic and volatile market conditions, etc. and adjust the proceeds of such liquidation/close out, if any, against the client's liabilities/obligations. PSPL reserves the right to decide the Position closing keeping in view of the size of the order, the depth of the market and various internal parameters as decided by PSPL from time to time. The following circumstances may trigger the square off/close out under various measures:1. If the client does not square off his open intraday positions before the specified time [currently 3.15 pm. for equities market and (currently 11.15 pm / 11.40 pm- both normal and US daylight saving time for commodities market, whichever applicable)] or the client does not convert the open intraday positions to delivery/carry forward, PSPL shall attempt to square off/close out the open positions on the same day before closure of the market. 2. In case wherein mark to market losses has reached the stipulated percentage and the client has not any immediate steps replenish the margin or reduce mark to market losses. 3. Cases wherein market or securities placed by the client falls short of requirement or the limits given to the client have been breached. 4. Client has defaulted in his existing obligation/failed to make payment or delivery of securities/commodities. On the days of market volatility or when there are system issues, PSPL shall have the right to change/modify the timings of square off by either preponing or postponing the same. Further, whenever any price of stock or underlying contract breaches the internally prescribed percentage change, PSPL may at its discretion square off the existing open positions in the Intraday Margin segment(s) without giving any prior notice to the customers. However, PSPL does not guarantee square-off of open positions. Clients solely are responsible for profit/ losses from open positions. However, in case of Intraday Derivative positions, PSPL shall attempt to square off/close the open positions on the same day or in case of any difficulties/issues, on the next trading day. PSPL does not guarantee square off of such open positions. Clients are solely responsible for profit/losses arising out of such positions. The Client accepts to comply with PSPL's requirement of payment of Margin/settlement obligations of the Client, immediately failing which PSPL may sell, dispose, transfer or deal in any other manner the securities/commodities already placed with it as Margin/lying in the beneficiary account of PSPL and/ or cancel pending orders and/ or square-off all or some of the outstanding margin/ F&O positions of the Client as it deems fit at its sole discretion without further reference to the Client and any resultant or associated losses that may occur due to such square -off/sale shall be borne by the Client. PSPL shall be fully indemnified and held harmless by the Client in this behalf at all times. In exercise of PSPL's right to sell securities/commodities, the choice of specific securities/commodities to be sold and/or orders to be cancelled shall be solely at PSPL's discretion. Where the margin/security is made available by way of securities/commodities or any other property, PSPL shall

have the discretion to decline its acceptance as margin/security/commodity and/or to accept it at such reduced value as PSPL may deem fit by applying haircuts or by valuing it by marking it to market or by any other method as PSPL may deem fit in its absolute discretion. The resultant or associated losses that may occur due to such squaring-off or sale of such securities/commodities shall be borne by the Client. Such liquidation or close out of positions shall apply to any segment/exchange in which the Client does business with PSPL. The client has to maintain applicable margin all the time i.e. till positions are open. PSPL reserves the right to change/modify the margin requirements at any point of time and if the client fails to meet the margin requirements, PSPL has the discretion to square off the open positions to the extent that the existing margin after deducting MTM losses meets the Initial Margin requirements of PSPL for the remaining open positions. PSPL may decide at its sole discretion to exercise or not to exercise the rights to square off the positions, which are failing to meet the margin requirements. Further, the client has been provided with tool/web page on the trading website through which he can ascertain details of his open positions, amount of margin blocked, margins required, MTM loss, margin percentage etc. The MTM losses and margin requirement displayed on these web pages will be considered as demand for the additional margin required by PSPL. PSPL may not inform each and every client (one to one), regarding the margin requirements/ additional margin top up calls/margin availability before squaring off the open positions. Clients are responsible/bound to monitor and review their open positions and margin requirements all the times and furnish the additional margin to PSPL before the positions are squared off by PSPL.PSPL reserves the right to set threshold for liquidation of client securities/commodities, available securities/commodities and collateral being sealed. Where there is breach in shares/ underlying scrips, specific market wide position limit (MWPL) as specified by Exchanges, client will not be permitted to take fresh positions in that share/ underlying but he can square off his existing open positions. In case any of the positions limits (client level, Trading Member level, market level) are breached, PSPL may initiate square off. Products specific terms, if any, shall be displayed on the web site.

6. SHORTAGES IN OBLIGATIONS ARISING OUT OF INTERNAL NETTING OF TRADES: The treatment of shortages shall be as below: a) Short Delivery to the Exchange for scrip at the broker level: In case of short delivery to exchange, the settlement happens as per the auction/close-out mechanism of Exchange and auction/close-out debit received shall be passed to the defaulting client who did not fulfil his selling obligation. b) Short delivery of pay-out to internal clients who bought the scrip on that day due to internal shortage (Client to Client shortage): All position will be closed out at the valuation rate defined by PSPL. The defaulting client on sell side will be debited by the amount equivalent to the quantity short delivered multiplied by the valuation price. The client on the buy side will be credited by the same amount debited to defaulting client on sell date as computed above. All losses to the client on account of the above shall be borne solely by the client and PSPL

8

Version No.4

shall not be responsible for the same. In case of any claim against PSPL, the Client shall indemnify PSPL in this regard. Valuation- Highest price from trading to settlement day (ie on T, T+1, T+2 days) or 120 % of the trading day closing price.

7. CONDITIONS UNDER WHICH CLIENT IS NOT ALLOWED TO TAKE FURTHER POSITIONS OR BROKER MAY CLOSE THE EXISTING POSITIONS OF THE CLIENT: PSPL have margin based Risk Management System (RMS) policy. Client may take exposure up to the amount of margin available with PSPL. Client may not be allowed to take position in case of non-availability/ shortage of margin as per RMS policy of the Company, securities breaching the limits specified by the Exchanges/regulators from time to time, regulatory restrictions/directives and other conditions as may be specified by PSPL from time to time in view of market conditions etc. The existing positions of the client is also liable to square off/close out without giving notice due to shortage of margin/non making of payment for their pay in obligation/outstanding debts etc. Client has to meet his pay-in obligations in cash by the scheduled date of pay-in for purchases done in Commodity segment. In the event of liquidation/square off of the open positions, the client shall be liable to pay for any resultant losses and all associated costs incurred by PSPL. PSPL at any point of time and on its sole discretion and without prior notice to the client may prohibit or restrict client's access to trade in all s e c u r i t i e s / c o m m o d i t i e s o r i n a n y s p e c i f i c security/commodity either buy or sell or both. In case of securities/commodities underlying in ban period, PSPL may not accept further orders in contracts for such securities/commodities underlying. This action of PSPL may also restrict the client from rolling over an existing position. PSPL shall not be liable for any resultant losses. In case the client has given a Power of Attorney to PSPL, it may use its discretion to debit the bank/ demat accounts of the customer to recover dues/margin etc. All losses to the client on account of the above shall be borne solely by the client and PSPL shall not be responsible for the same. In case of any claim against PSPL, the Client shall indemnify PSPL in this regard.The following few situations may be a precondition for limit for taking further position or square off: a) Technical failure. b) Securities/commodities breaching any limits specified by the Exchanges/regulators/Pentad from time to time. c) Client is dealing in illiquid contracts. d) Cheque submitted by the client has bounced or clear funds not received with the Broker for the cheque submitted by the client. e) If in the opinion of PSPL, the client has committed a fraud, crime, or acted in contravention to the agreement. f) Non-Payment of Mark to Market loss in Cash. g) Open positions in a contract exceed or are close to market wide cut-off limits. h) Client's position is close to client-wise permissible “open” positions. i) Intraday orders after the cut-off time would not be allowed. j) Wherein risk perception shows t h a t i t i s t h e i n t e r e s t o f c l i e n t / m a r k e t , securities/commodities submitted in physical form for settlement of legal dispute with member. k) Disciplinary action by Government of India, Government agencies, regulatory bodies, regulatory restrictions/directives etc. l) Violation of terms and condition of KYC. m) Liquidation of

client's positions, available securities/commodities. n) Such Shortfall/breach of threshold limits as per Risk Policy prevalent from time to time. o) Any suspicious trading patterns observed by Risk/ Surveillance Dept. p) Other conditions as specified by Pentad from time to time.

8. TEMPORARILY SUSPENDING OR CLOSING OF CLIENT'S ACCOUNT AT THE CLIENT'S REQUEST: Not Contrary to any point in KYC, the Client may request PSPL by giving 7 days' prior notice in writing, to suspend his account temporarily for any reason not limited to gravity of the grievances raised by against the client. Trade in suspended account shall not be permitted however the settlement will be active. The account can be reactivated on the submission of the written request of the client subject to account being settled and there is no dues receivable with the complete discretion of PSPL. PSPL may suspend/close the client account, if PSPL observes any abnormal or suspicious activity in the client account through its monitoring and surveillance of the client account or in case of default. PSPL may also at any time, suspend or close the client account due to any action from SEBI (e.g. SEBI orders) or Exchanges/ Circulars or other regulatory/judicial orders etc. Further, PSPL may also temporarily suspend/close the client account if there is no activity in the client account for a period of 12 months, as deemed fit by PSPL and/ or as prescribed by SEBI/Exchanges from time to time. All losses to the client on account of the above shall be borne solely by the client and PSPL shall not be responsible for the same. In case of any claim against PSPL, the Client shall indemnify PSPL in this regard.

PSPL may suspend/close the client account, if PSPL observes any abnormal or suspicious activity in the client account through its monitoring and surveillance of the client account or in case of default. PSPL may also at any time, suspend or close the client account due to any action from SEBI (e.g. SEBI orders) or Exchanges/ Circulars or other regulatory actions. Further, PSPL may also temporarily suspend/close the client account if there is no activity in the client account for a period of 12 months, as deemed fit by PSPL from time to time. PSPL/Client can also initiate closure of account by giving 15 days' written notice. All losses to the client on account of the above shall be borne solely by the client and PSPL shall not be responsible for the same. In case of any claim against PSPL, the Client shall indemnify PSPL in this regard.

9. DEREGISTRATION OF A CLIENT: Not contrary to any point in KYC PSPL shall also be entitled to deregister/terminate the client with/without the mutual consent by giving notice as per mandatory policies. Pentad may at any point of time, at its sole discretion and without prior notice, prohibit/restrict/block the client access to the use of the website or related services including offline trading rights, due to regulatory requirements, PMLA regulations, market conditions and other internal policies, Further PSPL may freeze client account in following scenario:1. If the client breaches any terms, conditions or covenant of the Standard Set of documents;2. Upon the death, winding up, bankruptcy, liquidation or is designated as a defaulter by any credit rating agency or if there is any legal /regulatory proceeding against the client

9

CLIENT ACCEPTANCE & ACKNOWLEDGEMENT: I/we agree that the communication by PSPL is complete upon posting on the website or delivery to postal department / courier company or email/SMS, or by messaging on the computer screen of the client, and these policies and procedures are to be read along with the document executed and shall be compulsorily referred to while deciding any dispute / difference in claims in between client and PSPL in any court of law, judicial / adjudicating authority, including arbitrator, mediator etc.I/We hereby state that I/we have read and understood the above policy & procedures and do hereby sign the same in acknowledgement and agree not to call into question the validity, enforceability and applicability of any provisions/clauses in this document under any circumstances whatsoever.

under any law in force; 3.The client has misrepresented facts at the time of giving instructions or otherwise;4. Any proceedings or investigations that involve the client or his/its properties have been initiated or is ongoing;5. The client has violated the applicable law particularly the securities & commodities law and Bye-laws, Rules and Regulations of SEBI/ respective Stock Exchanges on which the client trades;6. The client account figures in the list of debarred entities published by SEBI;7. If the actions of the client are prima facie illegal/improper or such as to manipulate the price of any securities/commodities or disturb the normal/proper trading in securities/commodities or disturb the normal/proper functioning of the market, either alone or in conjunction with others;8. On receipt of the order from the Regulatory authorities /SEBI/Police Authorities/Court/Others;9. Where the client has not cleared debits in his/her account in prescribed time,10. Irregular trading pattern from surveillance /Money Laundering perspective11. Where the client is categorized as ineligible due to being non- traceable, pending disputes, and any other circumstances leading to raising non confidence in client including return of undelivered couriers citing reason of no such person / addressee left /refusal to accept mails/ PODs signed by the third persons or Digital Contract Notes (DCN) failed (Bounced email) on more than 3 instances or non-updating of financial and other details viz email id, mobile no., land line, details or it is found to be belonging to a third person;12. Under such other circumstances as PSPL might think just and proper on case-to-case basis;13. If the client is found to be KYC non-compliant or non-submission/wrong/false/incomplete submission of important documents. PSPL shall have the right to close out the existing positions,

sell the collaterals to recover any dues with or without consent of the client before the de-registration of the client.

10. INACTIVE/DORMANT CLIENT ACCOUNT: A Client account will be considered as inactive if the client account does not record any trade or does not register any financial transaction across exchanges for a period of 1 year or such other period as may be prescribed by SEBI/Exchange/s. If the account is tagged as a dormant/inactive then the surplus Funds/Securities/ commodities lying with PSPL shall be refunded/returned to clients at his/her last known Bank Account/DP account or at such other separate single bank/demat account created for keeping funds/ securities of such inactive and untraceable clients. REACTIVATION: The client can reactivate his/her trading account by calling the Call centre/Customer care (after due authentication) or by sending a request email from his/her registered email id or by submitting a physical letter duly signed. Pentad shall also have the discretion to reactivate a trading account, after doing adequate due diligence, as the company may consider fit and proper. The detailed Policyin this regard is available on the website of the company www.pentadsecurities.com

11. Disclosure as to Proprietary Trades by PSPL: PSPL may carry out proprietary trades in addition to trades on behalf of its Clients.

12. Amendments to the terms and conditions: These policies and procedures may be amended/ changed unilaterally by PSPL, provided the change is informed to the client through any one of the means or method like posting on the website of PSPL or sending by speed post / courier / registered AD/ e-mail, SMS or through displays on the notice boards of branch / main office, or by newspaper or by any other suitable means and the same shall be binding on the client.

Version No.4

F11


10

Version No.4

TRADING TARIFF DETAILS

TERMS AND CONDITIONS

1. Account opening charges will be levied at Rs. 1000 for resident and Rs. 5000/- for NRI/FII/FPI and shall be non-refundable. GST will be levied additionally.2. All statutory and exchange related charges ie. STT, SEBI Turnover fees, Exchange Transaction Charges, Stamp Duty (as

applicable State wise), Service Tax and any other Statutory / Regulator / Government will be levied over and above Brokerage opted.

3. Stock Broker is authorize to charge to client if any additional charges arrives in any given circumstance and conditions related

to trading and Demat and thereafter inform the client.

4. Courier Charges will be levied on actual or Rs.100 flat, whichever is higher on per delivery of physical document

5. Inter-settlement and/or Inter Exchange and/or Securities movement in collateral account and/or Stock Brokers Pool and/or

beneficiary account and any other transaction client behalf would be charged at actual per Transaction.

6. Delayed Payment Charges on debit balance will be debited to client's Trading ledger not exceeding 24% P.a.

7. In event of Cheque bounce, charges per actual on each instance will be levied to client.

8. All Types of Demat charges like annual maintenance fees, transaction charges etc, will be debited to clients trading ledger at

actual as per clients Demat account billing.

9. Additional services provided to client like SMS facility etc., would be charged separately as decided by stock broker from time

to time.

10. Changes in any charges other than statutory/Regulatory /Government will be intimated within 15 days of notice and should

be mutually agreed upon11. Brokerage will not exceed the rates specified by SEBi and Exchange.12. Any penalty levied by exchanges on the client positions shall be recovered from the client’s account.13. Minimum brokerage will be charged at the rate of 1 paisa per share (Default)

I/We have understood and agreed the above terms and conditions related to charges listed above being charged to me/us, as applicable and agree to abide by the same.

EQUITY DELIVERY

EQUITY INTRADAY

EQUITY FUTURES

EQUITY OPTIONS

CURRENCY FUTURES

CURRENCY OPTIONS

COMMODITY FUTURES

COMMODITY OPTIONS

MINIMUM PER SHARE

Client Agreed Rates Details of Charges

F12


11

Version No.4

UNDERTAKING�FOR�ACCEPTING�ELECTRONIC�CONTRACT�NOTES�AND�OTHER�COMMUNICATION�THROUGH�EMAIL

Non-MandatorySection

1

To,M/s Pentad Securi�es Private Limited33/2361 B4, 3rd Floor, Jacob’s Building, Geethanjali Junc�on, Vy�la, Kochi 682019.Sub: Request for Sending Contract Notes, Statements of Accounts & Securi�es & other Account Related Documents & Statements on my email

Reference: Trading Account client code number: ________________________________Dear Sir,This is with reference to the Rights & Obliga�ons for registering me/us as Client of Pentad Securi�es Private Limited(hereina�er referred to as PSPL or Stock Broker interchangeably). In this regard, I hereby authorize and request PSPL:1. To send contract notes, bills, ledgers, transac�on statement (statement of fund/ securi�es), report, le�er, Circulars etc. in electronic form on my following Email ID in rela�on to trades/ transac�on done on the exchanges through PSPL. I agree and undertake

to keep my registered email inbox with sufficient space inorder to receive the messages accurately and agrees to check the junk/spam folder for receipt of the messages. Pentad will not be liable for any bounced email due to lack of space in my email inbox.

Email ID. ______________________________________________________________________ Further, I Confirm that aforesaid ECN and communica�on sent by Stock Broker from �me to �me to my / our email id shall be deem to

have seen delivered to me and it shall be presumed that the same is in order unless any discrepancies are highlighted by me or brought to no�ce of PSPL in accordance with the rules/bye-laws/regula�ons of the exchanges/regulatory authori�es. I/ we confirm that non- receipt of bounced mail no�fica�on by PSPL shall amount to delivery of the contract note at the above men�oned email ID. I shall not hold PSPL responsible for any delay in delivery due to technical reasons. I agree that Log reports of dispatching so�ware shall be conclusive proof/evidence of delivery.

2. To complete the necessary formali�es those are required under the provisions of the Informa�on Technology Act, 2000 for ge�ng the above facility Further I confirm that:

3. In case I request to receive physical contract notes, bills, ledgers, transac�on statement (statement of Fund/ securi�es), report, Le�er, Circulars and any other documents in addi�on to the digital copy, then PSPL is authorized to debit the charges as decided by PSPL to my/ our trading account.

4. I acknowledge that Contract notes, bills, ledgers, transac�on statement (statement of fund/ securi�es) may also be kept for seven days on the web server of PSPL on www.pentadsecuri�es.com which can be downloaded by me/us through login id and password provided by PSPL to me/us.

5. The above service may require using password / digital signature and I/ we shall be responsible for confiden�ality and proper use at all �me of password and/or digital signature for all transac�ons ini�ated through aforesaid service.

6. I hereby declare that above men�oned email IDs are created and operated by me,7. I confirm that any change in the aforesaid email address or any other instruc�ons with regard to dispatch/ service of my/our statement

of account to me / us shall not be binding upon you unless you are in�mated in wri�ng by me/us

Yours faithfully

CLIENT INFORMATION SHARING

To,Pentad Securi�es Private Limited, KochiDear Sir,Sub: Sharing of Data and Informa�onI/We have opened a trading account with PSPL having client code __________ and am /are interested in knowing about various financial products /facili�es offered by your associate /group companies. I/We am/ are aware that the associate/group companies are required to obtain informa�on about me/us and my/our transac�ons for providing various financial products /facili�es/ services. I/We hereby voluntarily accept and expressly authorize PSPL to get the informa�on from any other depository par�cipant with whom I/We have the Demat account and share/disclose or use in any manner ,the informa�on/documents/data about me /us and our transac�ons ,with group of associates companies which is offering the products/facili�es. I/We authorize you, your group of companies and associates to keep with us informed with any financial product which Pentad, its group companies and associates presently issue ,deal in, or distribute or may, from �me to �me, launch issue, deal in or distribute through email, SMS, Telephone, print media or otherwise as may be allowed.I/We have no objec�on to PSPL sharing the above informa�on or any such other informa�on about me/us with its group/associate companies or affiliates. This is without legal obliga�on on you, your group companies and to so inform and you or they may, in their discre�on, discon�nue sending such informa�on.

1 F13__________________________________ Client Name __________________________________ Authorised Signatory

F14


12

Version No.4

STANDING INSTRUCTION TO MAINTAIN RUNNING ACCOUNT (VOLUNTARY)

CLIENT DECLARATION FORM

I / We request you to maintain my/our accounts for funds on running accounts basis instead of 'bill to bill' se�lement basis, unless I/we specifically request you for a pay out of available free funds in the account. You may se�le the accounts at Monthly Quarterly x(If not selected, default op�on would be Quarterly) or at such other intervals as SEBI/Stock Exchanges may specify from �me to �me. I / We further authorize you to retain funds as may be permi�ed by Stock Exchanges/SEBI from �me to �me or towards other unbilled services and/or charges applicable on my account, while se�ling the accounts. I/We further authorize you to also retain an amount of up to Rs. 10,000/- (Ten Thousand Only) or any other sum as may be permi�ed by SEBI / Stock Exchanges from �me to �me, while se�ling my / our account. I / We understand and agree that no interest will be payable on the amount of funds retained by you as above. I / We agree that PSPL shall not be liable for any claim for loss or loss of profit or for any consequen�al, incidental, special or exemplary damages, or otherwise, caused by reten�on of such funds. The standing instruc�on/authoriza�on for maintaining my/our account as running account shall remain valid un�l revoked in wri�ng, addressed to you.

ToCompliance Officer,Pentad Securi�es Private Limited, 33/2361 B4, 3rd Floor, Jacob’s Building, Geethanjali Junc�on, Vy�la, Kochi 682019.

1. I/We authorize you, your group of companies and associates to keep with us informed with any financial product which Pentad, its group companies and associates presently issue, deal in, or distribute or may, from �me to �me, launch issue, deal in or distribute through email, SMS, Telephone, print media or otherwise as may be allowed. I/We have no objec�on to PSPL sharing the above informa�on or any such other informa�on about me/us with its group/associate companies or affiliates. This is without legal obliga�on on you, your group companies and to so inform and you or they may, in their discre�on, discon�nue sending such informa�on.

2. I/We hereby voluntarily accept and expressly authorize PSPL to get the informa�on from any other depository par�cipant with whom I/We have the Demat account and share/disclose or use in any manner, the informa�on/documents/data about me /us and our

transac�ons, with group of associates companies which is offering the products/facili�es.3. I understand that there is a mismatch between my actual name (for which I have given relevant documents) and the name appearing on my PAN Card (copy of which is given to Pentad Securi�es Pvt. Ltd. along with account opening form). With regards to the same, I

undertake to state that I, _____________________________________ (as appeared in________________________) and_____________________________________________ (Name appearing on PAN card) am/are one & the same person and that I request PSPL to open my trading account in the name appearing as per my submi�ed PAN. I hereby also declare & assist that I have never indulged in any of the ac�vity which comes under unfair trade prac�ces and is declared as illegal, immoral and illicit under any law prevailing in India. I hereby also declare that I have an ___________________ passport and I have never been declared as a defaulter, Dodger, Insolvent, Fraudster, Hoaxer, Swindler, Imposter, Fakester, Perpetrator, Money launder, SEBI Debarred en�ty, Culprit, Criminal, Guilty of any crime, Expelled from any ac�vity, UN sanc�oned Individual, Al Qaeda list, accused in any crime/offence/misdeed/felony/misdemeanour /wrongdoing or any such similar act or ac�vity by any of the Regulatory/Inves�ga�ve/Government/ Quasi government/SRO/Law enforcement agencies and court in India and worldwide. I hereby declare that I deal/don't deal in foreign currency and all my source of Income is genuine and legi�mate as per law prevailing in India.

4. I hereby also agree and confirm that everything stated above is true and correct. I will be solely responsible for any consequences arising out of the points stated above or in AOF or in any other suppor�ng documents provided by me at the �me of opening the account. I hereby agree to indemnify and keep PSPL indemnified at all �mes, from and against all costs, charges, damages, Penal�es/fines, fees suffered and/or incurred by PSPL for any act done or omi�ed to be done based on above declara�on & AOF data and documents.

5. PMLA DECLARATION: I/We declare that I/We have read and understood the contents and the provisions of the PMLA Act, 2002, which were also explained to me/us by PENTAD officials. I/We further declare that I/We shall adhere to all the provisions of PMLA Act, 2002. I/We further undertake and confirm that; a. I/We do not have any links with any known criminal b. I/We am/are genuine person and not involved or indulge knowingly or assisted, directly or indirectly, in any process or ac�vity connected with the proceeds of crime nor I/We am/are a party to it. The investment money is derived from proper means and does not involve any black or Hawala money in any manner.

6. I /We shall be dealing by ordering over phone and even if we visit to the branch , the fluctua�ons in markets are so rapid the it is not prac�cal to give wri�en instruc�on for order placement/ modifica�on and cancella�on, I/ We hereby authorize you to accept my verbal instruc�ons for order placement / modifica�on and cancella�on in person or over phone ( fixed line/mobile phone) and execute the same. I / We understand the risk associated with verbal orders and accept the same and agree that I/We shall be liable for all losses, damages and ac�ons which may arise as a consequences of your adhering to and carrying out my / our direc�ons given above.

In case of any change in the above details or if I wish to revoke this approval, I will inform you in wri�ng.'

F15


F16


13

Version No.414

DP Internal Reference No.

Body Corporate Banks Trust Mutual Fund OCB FII LLP CM

FI Clearing House Other (Specify) _________________________________

SEBI Registra�on No.(If Applicable)

TYPE OF ACCOUNT (PLEASE TICK WHICHEVER IS APPLICABLE)

AADHAAR

1st HOLDER NAME

PAN

AADHAAR

2nd HOLDER NAME

PAN

AADHAAR

3rd HOLDER NAME

PAN

Name*

*In case of Firms, Associa�onof Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Associaton of Persons (AOP), Partnership Firm, Unregistered Trust, etc. , should be men�onedabove.

Account statement requirement

As per SEBI Regula�on eekly Monthly

Physical Email

I/ We wish to receive dividend / interest directly in to my bank account as given below through ECS (If not marked, the default op�on would be 'Yes') [ECS is mandatory for loca�ons no�fied by SEBI from �me to �me]

1 2 0 8 6 6 0 0M M Y Y YD D YDATE CLIENT IDDP ID

INSTRUCTIONS: 1. PLEASE FILL ALL THE DETAILS IN CAPITAL LETTERS ONLY. 2. STRIKE OFF WHICHEVER IS NOT APPLICABLE 3. MANDATORY FIELDS ARE INDICATED IN RED

Addi�onal K C form for Opening a Demat Account for NON-INDIVIDUALS

CDSL DEPOSITORY PARTICIPANT

SEBI Regn. No. IN-DP-378-2018

Sub Status

To be filled by the DP

M M Y Y YD D YSEBI Registra�on date

M M Y Y YD D YRBI Registra�on No.(If Applicable)

RBI Approval date

I/we would like to instruct the DP to accept all the pledge instruc�ons in y /our account without any other further instruc�onfrom my/our end (if not marked, the default op�owould be No).

I/we would like to share the email ID the RTA

I/we instruct the DP to receive each and every credit automa� ally in my / our account (if not marked ,the default op�on ould be Yes) Yes No

Yes No

Yes No

Yes No

I/we would like to receive the annual report Physical/ Electronic/ Both physical and electronic (�ck the applicable box. If not marked the default op�on ould be in physical.)

Na�onality Indian Othes (specify)_____________________________________________________

Status

Version No.415

SMS ALERT FACILITY (Refer to Terms & Condi�ons gi en as Annexure - 2.4)

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Condi�ons pescribed by CDSL for the same.

I/We wish to register the following clearing member IDs under my/our below men�oned BO ID egistered for TRUST Stock

Exchange Name/ID _______________________Clearing Member Name ________________________________________

Clearing Member ID (Op�onal)________________________

TRANSACTIONS USING SECURED TEXTING FACILITY (TRUST) Refer to terms and condi�ons [anen ure – 2.6]

Yes No

To register for easi, please visit our website www.cdslindia.com.Easi allows a BO to view his ISIN balances, transac�ons and value of the porolio online.

__________________ Authorised Signatory F17

___________________ Authorised Signatory S3 ______________ Authorised SignatoryT3

Clearing Member Details (To be filled by CMs only)

Name of Stock Exchange Name of CC / CH

Clearing Member ID Trading member ID

MOBILE No. +9 1

(Mandatory , if you are giving Power of Atorney ( POA)

(if POA is not granted & you do not wish to avail of this facility, cancel this op�on).

Option 1 I / we require you to issue Delivery Instruction Slip (DIS) booklet to me / us immediately on opening my / our CDSL account though I / We have issued a Power of Attorney (POA) / executed PMS agreement in favour of / with Pentad Securities Pvt. Ltd. (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transaction] effected through such Clearing Member / by PMS manager.

Option 2I / We do not require the Delivery Instruction Slip (DIS) for the the being, since I / we have issued a POA / executed PMS agreement in favour of / with Pentad Securities Pvt. Ltd. (name of the attorney / Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later date.

OR

[Select one of the option given below] On selecting option 2 the Account Opening kit will be sent through email

OPTION FORM FOR ISSUE OF DIS BOOKLET

Version No.416

Terms and Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL[SMS Alerts will be sent by CDSL to BOs for all debits]

Definitions:In these Terms and Conditions, the terms shall have following meaning unless indicated otherwise:1. "Depository" means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and

having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch offices and includes its successors and assigns.

2. 'DP' means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.3. 'BO' means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be

opened with a depository as specified by the depository from time to time.4. SMS means “Short Messaging Service”5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement

for providing the SMS alerts to the BO.7. “Service” means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions

Availability:1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be available to those

accountholders who have provided their mobile numbers to the depository through their DP. The services may be discontinued for a specific period / indefinite period, with or without issuing any prior notice for security reasons or system maintenance or for such other reasons as may be warranted. The depository may also discontinue the service at any time without giving prior notice for any reason whatsoever.

2. The service is currently available to the BOs who are residing in India.3. The alerts will be provided to the BOs only if they remain within the range of the service provider's service area or within the range

forming part of the roaming network of the service provider.4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number

as submitted at the time of registration / modification.5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of

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

Receiving Alerts:1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such

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

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

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

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

5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the depository may consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, email address and mobile number for marketing offers between CDSL and any other entity.

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

7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO and the depository shall not be under any obligation to confirm the authenticity of the person(s) receiving the alert.

8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner whatsoever.

9. If the BO finds that the information such as mobile number etc., has been changed without proper authorization, the BO should immediately inform the DP in writing.

Fees:Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO

Disclaimer:The depository shall make reasonable efforts to ensure that the BO's personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no

Version No.417

Name : ___________________________ Name : ___________________________ Name : ________________________

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

BOID (Please write your 8-digit DP ID, and 8-digit Client ID)

Sole / First Holder's Name Second Holder's Name Third Holder's Name :

Mobile Number on which messages are to be sent 9 1

The mobile number is registered in the name of: ____________________________________________________________________

Email ID: ____________________________________________________________________________________________________

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above informa�on is found to be false or untrue or misleading or misrepresen�ng, I am/ we are aware that I / we may be held liable for it. In case of nonresident account, I/we also declare that I / we have complied and will con�nue to comply with FEMA regula�ons.

2. I/ We confirm having read/been explained and understood the contents of the rules and regula�ons of Depository and Depository Par�cipant and the tariff sheet and I/we agree to abide by and to be bound by the rules as are in force from �me to �me for such accounts.

3. I /We confirm having read and understood the contents of the Standard Documents- Rights and Obliga�ons of beneficial owner and depository par�cipant as prescribed by SEBI and Depositories. I/We have also been informed that the standard set of documents has been displayed for Informa�on on stock broker's designated website: www.pentadsecuri�es.com

DECLARATION:

1 2 0 8 6 6 0 0

warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate, or erroneous use/ misuse of such information by any third person.Liability and Indemnity:The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorized access to the information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless, and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

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

Governing Law and Jurisdiction:Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai. I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject

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

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

I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to take up the matter with their DP.

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



Version No.418

Other Condi�ons:1. Any Charges levied by CDSL from �me to �me will be extra. 2. All charges would a�act the GST and other such taxes as applicable frrom �me to �me.3. All payments have to be made favouring Pentad Securi�es Private Limited.4. Charges quoted above are for the services listed. Any services not listed above will be charged separately5. Statement of transac�on will be sent monthly. The ad-hoc non-periodic statement or detailed bill requested will be charged at the

rate Rs.5/- per page.6. Interest of 18% per annum will be charged on the outstanding amount from the due date.7. Postal/ courier charges are extra.8. All the above rates are subject to revision by CDSL/Pentad and will be in�mated to the clients through email or by ordinary post.

This has reference to my / our applica�on for opening of a demat account with you

I / We wish to avail the BSDA facility

I /We do not wish to avail the BSDA facility

DECLARATION TOWARDS BASIC SERVICES DEMAT ACCOUNT [BSDA]

Regular Services Demat Account Basic Services Demat Account (BSDA)

Nil + plus courier charges of Rs. 35 per demat request for every 500 gms.

a) Transac�ons within entad Rs.15/- per transac�on.b) Transac�on outside entad Rs. 50/-per transac�on.

1. Rs. 50/- per transac�on

2. Nil


Rs.10/- for every hundred securi�es or part thereof/Rs.10/- per cer� ate whichever is higher plus courier charges Rs.35/- per scrip. This is subject maximum of Rs.5 lakhs per request.

Rs 15/- per transac�on

Rs. 35/rejecton for every 500 gms

Rs. 50/- per 10 leaves


a) Transac�ons within entad Rs.15/- per transac�on.b) Transac�on outside entad Rs. 50/-per transac�on.


2. Nil



Rs. 35 per rejecton for every 500 gms


NRI

1. Rs. 100/- per transac�on 2. Nil3. Rs. 100/- per transac�on

Type 1: Nil for holding value �ll Rs.50,000/-Type 2: Rs.100/- p.a for holding value from Rs.50,001 to Rs.2,00,000/-)For Holding value above Rs.2,00,000/- the tariff for RSDA will be applicable

Delivery Instruc�on book (Addi�onal Booklet)

Demat Rejec�on charges

Failed / Rejected Transac�ons

Re-materializa�on Charges

Pledge Services1. Crea�on2. Closure3. Invoca�on

Transac�on charges Market/Off Market/ Inter-depository Transac�ons

De-materializa�on Charges


a) Transac�ons within Pentad: Rs.50/- per transac�on.b) Transac�on outside Pentad: Rs. 100/-per transac�on.


Rs. 50 per rejecton for every 500 gms


SCHEDULE OF CHARGES-DEPOSITORY SERVICES

Pentad Securi�es Pvt. Ltd.33/2361 B4, 3rd Floor, Jacob’s Building,

Geethanjali Junc�on, Vy�la, Kochi 682019.Ph: 0484 4231111

DP ID 12086600 Client ID _____________________

Rs. 400 per annum Rs. 400 per annumAnnual Maintenance charges



Version No.419

Date D D M M Y Y Y Y

FATCA - CRS DECLARATION FOR ENTITIES

(Please Seek Advice From Your Tax Adviser And/or Refer Fatca & Crs Guidelines

For Tax Residency & Other Related Information In This Form)

CLIENT 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 sub division there of or therein,including the district to Columbia or any other states or 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 accountholder is identified as a us person)

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

I. I/We understand that the bank is relying on this information for the purpose of determining the status of the applicant named above in compliancewith FATCA/CSR. The bank is not able to offer any tax advice on FATCA/CSR or its impact on the applicant.

II. I/We shall seek advice from professional tax advisor for any tax questions.

III. I/We agree to submit a new form within 30day's if any information or certification on this form becomes incorrect.

IV. I/We agree that as may be required by domestic regulators/tax authorities the bank may also be required to report, reportable details to CBDT orclose 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, andcomplete including the taxpayer identification number of the applicant

SIGNATURE

Authorised Signatory Authorised Signatory Authorised Signatory

Name of the Entity :

A.

PART - I

Is the account holder a Government body/International (Organization/listed companyon recognized stock exchange.)

Yes,please specify name of Stock exchange,if you are listed company ________________________________, andproceed to sign the declaration

B. Is the account holder a (entity/financial institution)tax resident of any country other than india

Yes, then Please fill of FATCA/CRS self certification Form

C. Is the account holder and indian financialinstitution

Please provide your GIIN,Yes,if any__________________________

D. Are the substantial owners or controlling persons inthe entity or chain of ownership resident for taxpurpose in any country outside India or not andIndian Citizen

Yes, (then please fill FATCA/CRS self certification From)

No, then proceed to point B

No, Proceed to Point C

No, Proceed to Point D

No, Proceed to sign the Declaration



Version No.4

Section 2: Classification of Non-Financial Entities

PART II

SELF CERTIFICATION FORM (EQUITY) FOR FOREIGN ACCOUNT TAX COMPLIANCE ACT (“FATCA”)AND COMMON REPORTING STANDARD.

Section 1: Entity Information

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. TaxpayerIdentification Number (Tin)

B.

An entity incorporated and taxable ouside of India(Other Than US)

Yes No

If “Yes” Please provide your TIN or Its functional equivalent

Provide your Tin issue Country

C. Please provide the following additional details if you are not a specified US personFATCA/CRS classification for Non financial Entities (NFFE)

Active NFFE Passive NFFE without any controlling person

Passive NFFE With Controlling Person US Other

Direct reporting NFFE (choose this if any entity has registered itself for direct reporting for FATCA and thusbank is not required to do the reporting )Please provide GIIN No: __________________________________________________________________

1 Name of Entity

Customer Id (if Existing)2

Entity Constitution Type3

Entity Identification No4

Entity Identification No(based on entity identification type)

5

Entity Identification issue Country6

Entity Identification7

A- Sole Proprietorship B - Partnership Firm C - HUFD - Private Limited Company E - Public Limited Company F - SocietyG -AOP/BOI H - Trust I - LiquidatorJ - Limited Liability Partnership K-Artificial Juridical Person Z - OthersX - Not Categorised

T - TIN C- Company Identification Number G- US GIIN

E- Global Entity Identification Number (EIN) O - Other

Section 3: Classification of financial institutions (Including Bank)

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”, Please provide your Taxpayer IdentificationNumber (tin / ein)

Please provide GIIN, if anyi

If No please tick one of the following boxes below:ii

20

Version No.4

Identification Type

Section 4 : Controlling person Declaration

If you are Classified as “passive NFFE with Controlling person(s)” or “ Owner documented FFI” or “Specified USperson”, please provide the following details

Name of ControllingPerson

CorrespondenceAddress

Country ofResident for TaxPurpose

TIN TIN issuing Country ControllingPerson Type

Details Controlling Person 1 Controlling Person 2 Controlling Person 3 Controlling Person 4 Controlling Person 5

Owner-Documented FI with specified US owners

FATCA classification Please provide the global intermediary identification number (GIIN)or other information where

Reporting Foreign financial institution in a model 1 intergovernmental agreement (“IGA”) jurisdiction

Reporting foreign financial institution in a model 2 IGA jurisdiction

Participating FFI IN a Non-IGA jurisdiction

Non-reporting FI

Non-Participating FI

Identification Number

Occupation Type

Occupation

Birth Date

Nationality

Country of Birth

S - Service

B - Business

O - Others

X - Not Categorised

A - PassportB - Election Id CardC - PAN CardD - ID CardE - Driving LicenseG - UIDAI LetterH - NREGA Job CardZ - OthersX - Not Categorised





S - Service

B - Business

O - Others

X - Not Categorised

S - Service

B - Business

O - Others

X - Not Categorised

S - Service

B - Business

O - Others

X - Not Categorised

S - Service

B - Business

O - Others

21

Version No.4

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 orpolitical subdivision thereof or therein, including the district of Columbia or any other states of the U.S., (ii)an estate the incomeof 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 the Bank is relaying on this information for the purpose of determining the status of the applicant naemdabove in compliance with CRS/FATCA. The Bank is not able to offer any tax advice on CRS or FATCA or its impact on theapplicant. 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, Bank shall be required to comply to report, reportable details to CBDT orClose or suspend My account.

V I/We certified that I/We provide the information on this form and to the best of my/Our knowledge and belief the certificatio ins true,correct and complete including the tax payer identification number of the applicant.

I/We here by confirm that details provided are accurate, Correct and complete

Name Date

SIGNATURE

Authorised Signatory Authorised Signatory Authorised Signatory

__________________ Authorised Signatory F21 ___________________ Authorised SignatoryS7 ______________ Authorised SignatoryT7

22

Version No.4

Dear Sir,

I/We ___________________________________________________________________ am/are registered /requesting you to register as your client with Client Code _________________ and have executed the KYC Documents and the desired forms/agreement for Internet based trading for the purpose of trading in the Capital Market segment and Futures & Options segment of National Stock Exchange of India Ltd. (NSE), Bombay Stock Exchange Limited (BSE) and Multi Commodity Exchange (MCX). I/We am/are interested in carrying securities trading through use of wireless technology and Internet based Trading (web and/ or exe) which shall include devices such as Personal Computer, mobile phone, laptop with data card/wi-fi, etc. using Internet Protocol (IP) etc. I / We understand there are terms and conditions applicable to Internet based trading and wireless trading which will also be applicable to securities trading through use of IBT software or wireless technology. I / We am /are made aware by you regarding all the possible risks, responsibilities and liabilities associated with securities trading using various means including but not limited to Internet based trading, wireless trading etc. I/We understand that you shall provide information with regards to Internet based trading softwares and systems and with respect to the addresses of Internet web site / web page where detailed information would be available about securities trading done through the use of wireless technology. I /We hereby understand and agree that in case of technical glitch/error occurred either in connectivity or system or trading mechanism or of any other technical mishaps/events/adversity, then I will contact with the concerned software vendor centre/service provider/Pentad Securities Private Limited according to its nature of difficultly. I /we hereby authorise Pentad Securities private limited to retain/generate/ save/produce/share/reset/rescind any of the system generated logs/files/ cookies/cached files/hosted application data etc which is either mandatory through any legislation or is helpful in maintain the system or other requirements. I/We understand that you shall send the Trade confirmation details on our existing Email id ____________________________________________ (mention e-mail id) on execution of order/trade on the NEAT/NOW/BEST system, or as the case may be. I/We agree that the information sent by you on our E-mail id would be deemed to be a valid delivery of such information by you. The aforesaid information regarding order and trade confirmation shall also be provided to me / us either at my email id and /or on the device used for securities trading through the use of wireless technology as desired under the requirement. I/We am / are aware that authentication technologies and strict security measures are required for the securities trading using wireless technology through order routed system and undertake to ensure that our password is not revealed to any third party. I/We therefore request you to enable me / us for Internet trading through IBT and to carry securities trading through use of wireless technology. I/We are fully aware of and understand the risks associated with availing of a service of routing orders through internet/Wireless network including the risk of misuse and unauthorized use of our Username and or Password by a third party and the risk of a person hacking into our account on your linked system and unauthorised routing of order on behalf of us through the System. I/We agree that I/We shall be fully liable and responsible for any and all unauthorized use and misuse of 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 further declare that I / We are aware of the illegal practices that are prevalent in the Stock Market. I/We hereby further declare that I will not carry out any unfair trade practices such as Synchronized deals, structured deals, Circular Trading in the Cash / Capital Market and Derivatives / Futures and Options segment. I also agree, not to involve in any money laundering transaction or illegal conversion of black money into white & vice versa.

1. I hereby agrees to change the Default password provided by the broker before placing of order. 2. I ensure that password is not shared with others and shall change the password at periodic interval. 3. I have understood the manner in which the online trading software and system need to be operated. 4. I have aware/received adequate training on usage of software.

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

Declaration:

I / We confirm that the Email ID mentioned herein above has been created by me / us. If there is any change in my/our email ID, the same shall be intimated to you in writing through physical letter duly signed by me / us. If there is any change in the residence/ correspondence address or any other details / information provided by me / us, the same shall be informed in writing. In the event of any fraudulent or unfair trade practices is noticed by you, Exchange or Regulatory Authorities, then I/We shall be solely responsible for such acts as noticed and you shall not be responsible for any misuse of my account, not done by you including my illegal / fraudulent and unfair trade practices in the Equity & Derivatives segment of the Exchange. I hereby also assure you that I shall keep Pentad Securities Private Limited Indemnified in all circumstances and in all respects including the faults by any or all party associated through any means. I/We confirm that this authorization and any subsequent change there in shall be signed by me/us only and not by any authorised person on my / our behalf or any holder of the Power of Attorney. The rights and obligations for trading through Internet/wireless technology have been read and understood by me. I'm aware that trading over the internet/wireless technology involves many uncertain factors and complex hardware, software, systems, communication lines, peripherals, etc. are susceptible to interruptions and dislocations and I shall not have any claim over Pentad/Exchange for the losses occurred due to the above technical glitches if any.

ONLINE TRADING SUPPLEMENT

1 F22__________________________________ Client Name __________________________________ Authorised Signatory

23

Version No.424

ToCompliance Officer, Pentad Securi�es Pvt. Ltd.

1. Self Declara�onI/We have to ac�vate the following service(s) on my/our account on my/our registered email id & mobile no. with the company. Accounts related alerts/informa�on on my/our mobile phone number/s & email id registered with you Market related alerts/informa�on & inform about new products on my/our mobile Nos. & e-mail id registered with you

I want to receive transac�on alerts in SMS as well as Email from NSE/BSE/MCX/CDSL I want to receive transac�on alerts only in SMS from NSE/BSE/MCX/CDSL I want to receive transac�on alerts only in Email from NSE/BSE/MCX/CDSL I do not want to receive any transac�on alerts from NSE/BSE/MCX/CDSL(Specify Reason) ________________________________________________________________________________________2. Family Declara�on

Theabovedetailsshallbedeemedvalid�llanychangeisrequestedunderthemodifica�onprocess.

Master Client name Client Code

Rela�onship with

Master ClientSignatureSL.

No.

CLIENTINFORMATIONSHARINGCLIENT ACKNOWLEDGMENT LETTER

REGISTRATION FORM / SMS AND/OR EMAIL ALERTS

I/We hereby confirm that I/we have taken cognizance of SEBI circular CIR/ MIRSD/15/2011 dated August 2, 2011 and related circulars issued by the Exchanges/ SEBI in this regard from �me to �me. We hereby confirm our mobile number and/or email address as stated in my KYC Form and / or such other mobile no. and/or email id in�mated to the Company from �me to �me for the purpose of receipt of SMS/email alerts directly from the Exchanges (NSE/BSE/MCX/CDSL).

I and my family members hereby request that mobile number being _________________________________________________and email ID being______________________________________________, belonging to undersigned shall be considered in yourrecords for the purpose of receiving communica�on from you or Stock Exchanges with regard to details of trading transac�onsexecuted through you in my account.Thus, any communica�on rela�ng to our trading and demat account should be sent to the above men�oned mobile number and emailID. This facility shall be extended to us as an excep�on, for our convenience of receiving transac�on details at a single mobilenumber and e-mail ID. I understand that for the purpose of availing the above facility “family” means self, spouse, dependentchildren and dependent parents.

To,Compliance Officer

Sub: Acknowledgment of Receipt of Copies of Documents of Trading Demat A/c Opened for NSE/BSE/MCX/CDSLDear Madam/Sir,

I, ____________________________________________ (Name of Client), hereby acknowledge the receipt of the copy of the account opening Application Form executed by me for opening Trading & Demat Account in NSE/BSE/MCX/CDSL with Pentad Securities Private Limited. Further I have received a copy of the following.

I /we here by acknowledge the receipt of duly executed copy of KYC and all other documents as executed by me/us. Further I confirmed that the documents for KYC submitted by me are true and correct.

1. General Terms & Conditions of PSPL 2. Rights and Obligations3. Risk Disclosures Document 4. Document pursuant to the SEBI circular dated December 03,2009 5. Guidance Note 6. Pentad Securities Tariff Sheet 7. All other mandatory and voluntary client registration documents.





Version No.425

___________________ First Holder Signature

F25 ___________________ Second Holder Signature

S8 _______________ Third Holder Signature

T8

POWER OF ATTORNEY FOR PAY-IN OF SECURITIES FOR THE PURPOSE OF SETTLEMENT

TO ALL WHOM THESE PRESENTS SHALL COME I/We (1) ______________________________________________________________

residing /having its registered office at ____________________________________________________________________________

(2) ________________________________________________ (3) ______________________________________________________

(Name of the Beneficial Owner (BO)/Bos) Individual/Partnership firm/Corporate, SEND GREETINGS.

Whereas I/We hold Beneficiary Account No. ______________________ (hereina�er referred to as the Demat Account) with Central Depository Services (I) Limited, through Pentad Securi�es Private Limited bearing DP-ID No. 12086600, SEBI Regd. No. IN-DP-378-2018 (hereina�er referred to as the Depository Par�cipant)

And whereas I/We, _______________________________________________________, the first holder, of the above men�oned Demat Account have/has availed broking/e-broking facili�es and services offered by Pentad Securi�es Private Limited (hereina�er referred to as “Pentad”), a Company incorporated under The Companies Act, 2013, having its registered office at #33/2361 B4, 3rd Floor, Jacob’s Building, Geethanjali Junc�on, Vy�la, Kochi. 682019 and is a SEBI registered Trading Member of Na�onal Stock Exchange of India Limited (NSE) and Bombay Stock Exchange Ltd (BSE) respec�vely (hereina�er referred to as “the Exchange”).

And Whereas due to exigency and paucity of �me, and in the course of availing the services and for mee�ng the se�lement obliga�on thereof on the Exchanges, I/ We are desirous of appoin�ng an Agent/A�orney to operate the aforesaid Demat Account on my/our behalf for a limited purpose in the manner hereina�er appearing.

NOW KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I/WE DO HEREBY NOMINATE, CONSTITUTE AND APPOINT PENTAD SECURITIES PVT LTD (TRADING MEMBER) as my/our True and Lawful A�orney (hereina�er referred to as the A�orney for me/us and on my/our behalf and in my/our name (s) to do instruct the aforesaid Depository Par�cipant and to perform the following func�ons on my/our behalf:

1. To transfer the Securi�es held in my/our aforesaid Demat Account towards exchange (s) related delivery obliga�ons arising out of trades executed by me/us through the above said Trading Account with the Trading Member, on the Na�onal Stock Exchange of India Limited /Bombay Stock Exchange Limited or any Exchange (s) the Trading Member may take the membership from the recognised stock Exchange (s) provided that I/We have executed Member-Cons�tuent Agreement with the Trading Member for such Exchange (s).

2. To Pledge the Securi�es in favour of the Trading Member/Exchange/Clearing House for the limited purpose of mee�ng my/our Margin requirements in connec�on with the trades executed by me/us on any recognized Stock Exchange (s) through the “Client Securi�es Margin Pledge Account” operated by the Trading Member for accep�ng such margin pledge.

3. To transfer my unpaid securi�es to “client unpaid securi�es account” and hereby authorise the Trading Member either to transfer the securi�es to my demat account upon fulfilment of my funds obliga�on or to dispose off the securi�es in propor�on to the amount not paid by me within five trading days a�er the pay-out. And I acknowledge that the Profit/loss on the sale transac�on of the unpaid securi�es, if any, shall be transferred to/adjusted from my respec�ve client account.

4. To apply for various products like Mutual funds, Public issues (shares as well as debentures), Bonds, Insurance Policies, Rights, Offers of Shares, IPO's, G-Sec, T-Bill, etc. and to effect necessary payment for the same pursuant to my/our instruc�ons to the Trading Member.This authority is restricted to the pay-in obliga�on arising out of the transac�ons of sale affected by me/us through the Trading Member and for the Margin pledge towards Exchange Cash Segments and F&O Segments. I/We ra�fy the instruc�ons given by the Trading Member to the Depository Par�cipant named herein above in the manner specified herein.

Sole/First Holder Name

Third Holder NameSecond Holder Name

Address

Sole/First Holder Name

12086600-

DP ID

CLIENT NAME

CLIENT ID

Version No.426

IN WITNESS THEREOF I/WE, individual / joint account holders hereunto have set and subscribe my/our respec�ve hand(s) hereto at�

__________________________________on this ____________________day of_______________________20___

First Holder Name Second Holder Name Third Holder Name

Signature Signature Signature

We Accept,For Pentad Securi�es Private Limited

Authorised Signatory

IN THE PRESENCE OF witnesses

First Witness Name

Signature

Second Witness Name

Signature

The Trading Member would return to me/us the Securi�es that may have been received by it erroneously or those Securi�es it was not en�tled to receive from me/us. And to debit such securi�es which have been erroneously credited in my/our BO Account to the respec�ve Account.

I/We authorise Trading Member/Depository Par�cipant to send my/our consolidated summary of scrip-wise posi�ons of securi�es bought and sold taken with average rates by way of SMS/email on a daily basis to my/our Mobile No./email address, notwithstanding any other document to be disseminated as specified by SEBI from �me to �me.

I/We further agree and confirm that the Powers and Authori�es conferred by this Power of A�orney shall be revoked without prior no�ce but under wri�en in�ma�on to the Trading Member, subject to my/our fulfilling the Margin/Se�lement obliga�on for the transac�ons undertaken in my Trading Account with the Trading Member.

All disputes arising out of this Power of A�orney shall be subjected to the jurisdic�on of the Courts at Ernakulam, Kerala.

F26 S9 T9

I/We understand that the Demat Account Number (s) of Trading Member where the securi�es can be moved are as under: (or any other such Demat Account opened by the Trading Member for this purpose from �me to �me). In case of any change in these Account Numbers, the Trading Member is authorised to transfer the Securi�es to the New Account Number(s) with prior in�ma�on to me/us regarding such change(s).

Account Type DP ID DP Name Client ID

BSE CDSL POOL A/C 12086600 Pentad Securi�es Pvt Ltd 00000039

BSE CDSL PRINCIPAL A/C 12086600 Pentad Securi�es Pvt Ltd 00000058

BSE NSDL POOL A/C IN300095 IL&FS Securi�es Services Ltd 11808978

NSE CDSL POOL A/C 12086600 Pentad Securi�es Pvt Ltd 00000043

NSE NSDL POOL A/C IN300095 IL&FS Securi�es Services Ltd 11820691

BSE EARLY PAY IN A/C 11000010 ICCL 00023371

NSE EARLY PAY IN A/C 11000011 NSCCL 00020415

Version No.427

D D M M Y Y Y Y

Pentad Securi�es Private Limited

UMRN Date D D M M Y Y Y Y

SB/CA/CC/SB-NRE/SB-NRO/Otherto debit( �ck)

U�lity CodeSponcer Bank Code

I/We hereby authorize

Bank A/c No.

(Tick )

CREATEMODIFYCANCEL

with Bank Name of customer Bank IFSC or MICR

Maximum AmountFixed AmountDEBIT TYPE

Phone No.

Mthly Qtly H-Yrly Yrly As & When presented

an amount of Rupees

FREQUENCY

Reference 1

Reference 2

I agree for the debit of Mandate processing charges by the bank whom I am authorizing to debit my account as per latest Schedule of the bank

Email ID

PERIOD

From

To

Or Un�l Cancelled

D D M M Y Y Y Y


Name as in bank records


Name as in bank records


Name as in bank records3.2.1.This is to confirm that the declarra�on has been c efully read, undererstood & made by me/us. I am authorizing the user en�ty/ Cor ate to debit mt my account, based on the instruc�ons aseed and signed by me.I have understood that I am authorized to cancel/ amend this mandate by appropriately communica�ng the cancella�on/ amendment request to the User en�ty/ Cor ate or the bank where I have authorized the debitI hereby express my uncondi�onal consent to debit p yment of my credit card dues, referred to above thrrough par�cipa�on in the NACH of the NPCI of th eserve Bank of India and herhereby uncondi�onally andevocably authorize IndusInd Bank, to raise the debits on such regular payments as referred to above, against my Bank Account Number as given above. I hereby declare that the par�culas given above are correct and complete and if the trransac�on is deyed or not effected at all for reasons of incomplete or incorrect infinforma�on, I will not hold IndusInd Ba esponsible.

F27

Name of the Member : Pentad Securities Private Limited · Compliance Officer Treesa Antony...

Documents

Transcript of Name of the Member : Pentad Securities Private Limited · Compliance Officer Treesa Antony...