NRIclients

8/8/2019 NRIclients

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POLICY ON PENNY STOCKS

Definition:

Any stock which is trading on a stock exchange at a price less than the face value is defined as a penny stock.Further, such stocks can be fundamentally weak in terms of net worth, sales, market capitalization and/or profitabilityand may have violated provisions of the Listing Agreement of the exchange in which they are listed or have largenumber of investors complaints pending against them. Geojit will have the right to refuse execution of trades inthe above stocks.

A list of penny stocks will be published in the customer care site.

CLOSING OUT OF POSITIONS

If shares purchased by clients are pending in Geojit's pool account due to non-payment of funds, such shares willbe sold to the extend of clearing the debit, on second trading day after the settlement date.

In cash segment , if total debit % in the client's account is greater than or equal to the stipulated % of the totalcollateral , then the existing positions will be sold .

In the F&O segment, if there is no sufficient margin , the open positions will be squared.

Geojit reserves the right to square off any position taken without sufficient margin at any point of time.

Geojit reserves the right to square off existing positions if cheques received against these are dishonoured.

Geojit reserves the right to invoke pledged shares to cover MTM losses.

In addition to above points ,for online accounts, there will be auto square off of shares purchased in 'margin' for intraday trading. The timings of auto square off will be displayed on the internet trading website.

EXPOSURE SETTING

Geojit has absolute discretion in setting the exposure limit of a client.

Exposure varies from time to time and it is depending upon the net cash & collateral available in a client's tradingaccount.

Exposure will be given on cheque entry (not applicable for online accounts). However, cheques that are notcleared within four days of entry in backoffice are not considered for exposure.

Holdings can be sold without any additional exposure .

100% credit balance is required in the trading account for trading in Trade-to-Trade scrips and other select stocks.

IMPOSITION OF PENALTY/DELAYED PAYMENTSAny amounts which are due from the Client to Geojit towards trading and or investments in any of the segments

/ exchanges or otherwise or on account of services availed or to any of Geojit’s group or associate companies willbe charged delayed payment charges at such rate per month as may be determined by Geojit from time to time.The Client hereby agrees and authorises Geojit to directly debit the same to the account of the Client. The Clientagrees that if payment is delayed by the Client, the value of which may be greater than the dues by the client toGeojit may suspend fully or partially access to all or any of the Products and/or Services or take legal action or anysuch action as it may deem fit. The rate of such charges is presently fixed as 24% p.a. and any change to the sameshall be intimated to the client in the manner provided herein.

Addendum to the Member Client Agreement and other documentsexecuted while opening the account as per SEBI circular

no.MIRSD/SE/Cir-19/2009 dated December 3, 2009

Name

Location Code TRADE CODE

☞ Signature of the client

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SUSPENDING/CLOSING/DEREGISTERING OF ACCOUNT

In all cases of non-payment, fraud, malpractice, violation of rules and regulations by the client, or if the continuedassociation with the client is prejudicial to the interest of Geojit and the market in general, at the absolute discretionof Geojit, the account shall be suspended or cancelled or the client shall be deregistered with or without notice of 30 days or of a lesser tenure as the case may be.

SHORTAGES IN OBLIGATIONS ARISING OUT OF INTERNAL NETTING OF TRADES

If a client fails to make timely delivery to Geojit in respect of the shares or securities sold by him as notified by theExchange from time to time i.e., in case of short delivery, the said un-discharged obligation on the part of theclient shall be subjected to close out or auction in accordance with the rules and regulations of the Exchange. Theloss, if any, on account of such close out or auction shall be debited to the account of the client and . Under suchcases, no further claims shall lie between the client and Geojit. Incase of shares purchased by client where nodelivery was timely effected as required under the Rules and Regulations by the Exchange the short delivery willbe closed-out by Geojit in accordance with the Exchange procedure and the credit on account of such close-out or auction shall be made to the account of the client. Under such cases, no further claims shall lie between the clientand Geojit.

TREATMENT OF INACTIVE ACCOUNT

All the active trading accounts, where no single trades are done for last two years, we will change the account

status to INACTIVE mode. Also we will take steps to settlethe funds and securities balance dues if any in suchaccounts at that time. For reactivation of accounts, such clients will have to submit a reactivation request letter along with revised KYC details wherever applicable.

This addendum shall form part and parcel of the documents/agreements already executed with Geojit.

IN WITNESS THEREOF the parties to the Agreement have caused these presents to be executed as of the day andyear first above written.

Place: Date:

Client Signatory Geojit BNP Paribas Financial Services Ltd. Authorized signatory

Signature : Signature:

Client Name Name of Authorized Signatory:

Witness: Witness:

1. Name & Address : 1. Name & Address :

Signature of the witness : Signature of the witness :

☞

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Non Mandatory

THIS POWER OF ATTORNEY MADE AT ____________________________________THIS_________________DAY

OF_________________ 20_____ BY:

______________________________________________________________________________ an Indian, residing at

_____________________________________________________________________________________________________

(hereinafter referred to as the(“ Client “ or “ Holder “) which expression shall, unless repugnant to the

context or meaning thereof, be deemed to mean and include its executors, administrators, successors and

assigns;AND *

1. ___________________________________________________________________________ an Indian, residing at

_____________________________________________________________________________________________________


_____________________________________________________________________________________________________


_____________________________________________________________________________________________________

with Demat Account in the following manner a) DP ID______________________ client ID __________________

b) DPID_______________ client ID ______________________ [hereinafter referred to as the “Demat Account

Holder” or “ Joint Demat Account Holders*” as the case may be (*only when the Demat a/c is in joint names)],

which expression shall, unless repugnant to the context or meaning thereof, be deemed to mean and include its

executors, administrators, successors and assigns of the First Part, IN FAVOUR OF Geojit BNP Paribas Financial

Services Limited , a company incorporated under the provisions of the Companies Act, 1956, (hereinafter referred

to as “ Geojit “) having its registered office at 5th Floor, Finance Towers, Kaloor, Kochi - 682017, which expression

shall, unless repugnant to the context or meaning thereof, be deemed to mean and include its executors,

administrators, successors and assigns by way of amalgamation and/or merger and registered as a stock broker of National Stock Exchange of India Ltd. (NSE) [SEBI registration number INB 231337230 in the Capital Market

Segment with CMBP ID IN506594 & Pool account number 10000004] and Bombay Stock Exchange Ltd. (BSE)

[SEBI registration number INB 011337236 in the Capital Market Segment with CMBP ID IN603287 & Pool account

number 10324155] of the Second Part,

On Stamp paper of Rs. 100

POWER OF ATTORNEY FOR BROKING AND OTHER PRODUCTS & SERVICES

☞ ☞ Signature of the JointDemat A/c holder (1)

☞Signature of the client

Signature of the JointDemat A/c holder (2)

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WHEREAS :

1. Geojit, in its capacity as a stockbroker entered into a Member Client Agreement(s) (the said “Agreement”) for

providing the trading facilities on National Stock Exchange of India Ltd. (NSE) and Bombay Stock Exchange

Limited (BSE) (collectively with the exchange) **and a Margin Trading Agreement for providing Margin

Trading Facility (MT facility) (collectively referred to as “Agreement” together with the Member Client

Agreement) pursuant to which Geojit will funds purchase of shares bought by Client and a Margin Trading

facility;

2. The Client is desirous of availing such trading facilities and products & services provided/ to be provided by

Geojit online and or offline /and the MT Facility, subject to the terms and conditions stipulated by Geojit and

such other terms as may be amended from time to time on its website or otherwise under the said Agreement;

3. The Joint Demat Account Holders, hold jointly with the Holder a demat account with a Geojit BNP Paribas

Financial Services Limited, a depository participant (“DP”)

4. As a consideration for providing the trading facility and also for availing the products & services to the Holder

to transact under the said Agreement and to facilitate execution of all transactions, online and/or offline, the

Holder and/or Joint Demat Account Holders agree to provide the power to Geojit to execute, confirm andcomplete all transactions of all deals for and on behalf of the said Parties and to give effect to the terms of the

said Agreement and/or other deeds/ agreements executed in favour of Geojit and/or its affiliate concerns

NOW THEREFORE THIS POWER OF ATTORNEY WITNESSETH THAT: We, the Parties of the First Part, do

hereby nominate, appoint and constitute Geojit as our true and lawful attorneys to do, execute and perform

or cause to be done, executed and performed, the following acts, deeds and things or any of them for and on

my/our behalf namely:

AUTHORIZATION TO GEOJIT

1. To operate demat accounts, with the said DP, in the name(s) of “Holder” and “Joint Demat Account Holders”

so far as reasonably practical to facilitate the transactions for purchase and sale of securities on the Exchanges

in the name of the Holder and other products & services / or in any other transaction including MT Facilityor combination there of having the Holder as the sole/#first holder or any other holder, as Geojit may deem

fit in its sole discretion,with the said DP.(# delete if not applicable)

2. To sign and execute necessary documents, forms, agreements, undertakings, confirmations, declaration etc.

andto accept terms & conditions, on my/our behalf for the purpose of operating such Demat Account(s).

3. To operate the Demat Accounts maintained with Geojit to meet all obligations of the Holder in terms of the

said Agreement/s for transactions done/to be done on instructions of the Holder and to give other instructions

relating to the Demat Account(s), for any matter concerning the transaction in securities including availing

the Margin Trading Facility, to debit the trading accounts held with Geojit for any liabilities or obligations of

the Holder including charges for account opening and for availing various trading facilities and any matter

concerning other products & services from Geojit. In event the designated Demat Accounts with Geojit for

carrying out transactions is closed or transferred, for any reason whatsoever, and the Holder instructs Geojit,

in such manner as may be acceptable to Geojit, for substitution of new Demat Accounts in place of the demat

Account as designated, all the terms and conditions of these presents shall likewise extend and apply to all

such new/substituted Demat Accounts. This Power of Attorney would be deemed to extend to any Demat




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account opened by us in addition, substitution or replacement of the Demat account that gets linked to the

Investment account with Geojit. This Power of Attorney would also be deemed to extend to block/mark lien

on securities in the aforesaid Demat Account(s) or any other demat account(s) as may be opened from time to

time in pursuance of these presents and/or to credit the Demat Account(s) with securities due to us.

4. To credit the trading account/investment account and or Demat Account with monies /securities due to me/us.

5. We, the joint demat account holders, do hereby understand, agree and acknowledge that, by virtue of such

joint holder ship, our names may also be required to be entered in the relevant application/ instruction formsthat are being submitted for the purposes stated herein on behalf of the holder. We fully agree to such naming

in the forms and further agree to hold Geojit harmless in any related queries by any Authorities or Regulators

and also not to raise any claim or dispute against Geojit for such filling up of names.

6. To authorize, to instruct the said DP to debit our Demat Account(s), towards securities due to Geojit, and to

discharge all obligation in this regard on our behalf to Geojit arising as a result of Agreement/s between

Geojit and me/us. I/We hereby agree that the instruction of Geojit to the said DP to transfer the securities out

of my/our Demat Account to the Demat Account of Geojit shall be deemed to have been my/ our instructions

and the said DP have no necessity to enquire about the obligations towards which such transfers are effected

by Geojit or any third party service provider.

7. To debit trading account/investment account towards monies/ fees/ charges /securities, etc. payable /due toGeojit, in relation to transactions in securities executed through Geojit, while carrying out the transaction for

payment or otherwise or for subscribing to any products, services, facilitated by Geojit or any third party

service provider.

8. To do all things necessary for and incidental to availing /repayment of dues for such transactions in securities

executed by the Holder including but not limited to pledging of scrips, stocks, securities, bonds, debentures,

mutual fund units, units of any collective investment scheme or any other security or financial instrument on

behalf of me/us through Geojit for margins or other obligations or liabilities or releasing the pledge/ lien/

block on the securities.

9. To apply for, redeem, and to do all things necessary, relevant and ancillary in this regards, for various investment

products in the nature of Mutual Fund, Bonds, Insurance Policies, IPO’s etc. and to effect necessary payment

for the same.

10. To retain all originals of documents executed by us and render accounts of all the transactions in terms of the

agreement.

11. We expressly authorise Geojit to deposit/pledge securities in my/our Demat Account as collaterals with the

exchange(s), if Geojit so desires to avail exposure against the said collaterals.

12. This PoA is executed on the firm understanding received from Geojit that, Geojit would return the securities

or funds that would have been received by Geojit erroneously or without authority from me/us.

13 . AND GENERALLY to do or cause to be done every other acts, deeds, matter or thing, as Geojit may deemnecessary or expedient for the purpose of or in relation to these presents.

14. It is specifically made clear herein that this Power of Attorney shall be cancelled or revoked at any time

without any advance notice from my/our side, however those obligations arising before such cancellation

shall be carried out by Geojit, for which I/We shall not raise any objection.




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15. It is also made clear hereby that, by virtue of me/us executing this Power of Attorney, Geojit may send a

consolidated summary of my/our scrip wise buy and sell positions taken with average rates by way of an

SMS/email on a daily basis, in addition to the normal documents being received from Geojit.

We hereby declare that all and every receipts made, executed or done for the aforesaid Products and Services

by virtue of these presents shall be as good, valid and effectual to all intents and purposes whatsoever as if the

same had been made, executed or done by us in our own name(s).

We hereby ratify and confirm and agree to ratify and confirm all that Geojit or any of their respective Officers

shall do or cause to be done in or concerning the premises by virtue of these presents.

Name: Signature of the Client

Demat Account No of client: a)

Name: X Signature of the Joint Demat Account Holder



Demat Account Noof client: b)



Name:X

Signature of the Joint Demat Account Holder

** Strike off if not applicable.

☞

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KYC DETAILS

Name of the Client Location code/ branch code Trade Code

Address*

* If there is any change in the address registered with us, please submit a valid address proof.

Financial Details (Please fill the below details in order to update our records.)

Annual Income < Rs.3 lakhs Rs. 3-5 lakhs Rs.5-10 lakhs Rs.10-15lakhsRs.15-25 lakhs >Rs.25 lakh(please specify)............................

Net worth <Rs.5 lakh Rs.5-10 lakh Rs.10-15 lakh Rs.15-25 lakh

Rs.25-35 lakh Rs.35-50 lakh >Rs.50 lakh(please specify)..................

Portfolio Present Market Value of Portfolio as on date, Rs..................................................................

Derivative (F&O and CDS) clients mandatorily attach any ONE of the below listed documents along with this form.

1.Copy of ITR Acknowledgment 2. Copy of Annual Accounts

3. Copy of Form 16 in case of salary income 4. Net worth certificate

5.Salary Slip 6.Bank account statement for last 6 months7.Copy of demat account Holding statement. 8.Self declaration along with relevant supporting.

9.Any other relevant documents substantiating ownership of assets.

Occupation Details

Occupation Employed Self Employed Business Professional Housewife Others

Name of Employer/ Establishment

Designation Period of Service

Address

Contact DetailsPhone:

Mob:

Email:

Whether Registered with any other broker/Depository Participant : YES / NO

If Yes, Specify Name of the stock broker&DP

Whether any of your relatives having Demat&Trading A/c with Geojit : YES / NO

If YES, Specify Client ID & Trade code

Signature of Client: Date: .....................................

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

☞

NRIclients

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