SET OF ACCOUNT OPENING DOCUMENT

INDEX OF DOCUMENTS

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

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

1. KYC (Account Opening) KYC form - Document captures the basic information about the constitute and an 1-2Application Form instruction / check list.

2. Uniform Risk Disclosure Documents detailing Risk associated with dealing in the Equity Market. By EmailDocument (RDD)

3. Rights and Obligations of Document stating the Rights & Obligation of Member, Authorized Person and client for Trading on exchangesMembers, AP and Clients (including additional Rights and Obligations in case of Internet/Wireless Technology based Trading) By Email

4. Do's and Don'ts for theInvestors

Document detailing Do's & Don'ts for Trading on exchange, for the education for the investors. By Email

5. Policies & Procedures Policies and procedures as per Exchange. By Email

6. Other Details Past Action, Dealing Through Other Member, Introducer Details etc. 3-5

7. Tariff Sheet Document detailing the rate/amount of brokerage and other charges levied on the client for 6-6trading on the Stock Exchange & Intimation for Proprietary Trading.

VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER*

8. Standing Instructions / Authorization Letter 7-7

9. Running Account Authorisation 8-8

10. Fatca Declaration 9-9

11. Acknowledgement 10-10

12. Authorisation for Electronic Communication 11-11

Exchange Name E-mail Id Phone No.National Stock Exchange of India Ltd. (NSE) ignse@nse.co.in 022-26598190Bombay Stock Exchange Ltd. (BSE) is@bseindia.com 022-22728097

Phone : 0172-6670000 , Web Site : www.finvasia.com Compliance Officer : Yogesh Singh, Phone No.: 0172-6670000, Email : ccofspl@finvasia.comCEO : Tajinder Pal Singh, Phone No.: 0172-6670000, Email : ccofspl@finvasia.com

Name of Member : FINVASIA SECURITIES PVT LTDMembership No. : NSE : 14846, BSE : 4043SEBI Registration No. : INZ000176037Clearing Member Name & Membership No. : FINVASIA SECURITIES PVT LTD ( CODE : M51912) Corporate office : FINVASIA CENTRE, D 179, Phase 8 B (Sector 74) Mohali, Punjab 160055, India

For any grievance/dispute please contact Finvasia Securities Private Limited FINVASIA CENTRE, D 179, Phase 8 B, Mohali, Punjab 160055, Punjab (India) ,Phone :0172-6670000.In case not satisfied with response, Please contact the concernexchange(s) at :

FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055

TARIFF CHARGES

ZERO BROKERAGE CHARGES

1. All Charges (namely : Exchange Transaction Charges ,Clearing Member Charges ,SEBI Fee etc.) and Statutory Taxes (GST& StampDuty etc.) shall be chargedas per rates applicable from time to time in addition tobrokerage.

2. Charges mentioned above are in respect of services mentioned above only and charges for any service provided to client otherthan those listed above shall be chargedextra.

3. Late payment penalty@2% p.m. calculated on daily overdue balance shall be charges till actual realisation.

4. There shall be Software charges as per the Client selection :-

a. SCALPERT : ZEROCHARGES

5. I/we hereby authorize you to Debit charges in respect of pledge of securities against margin/ settlement obligations to

Exchanges, Clearing member ,Clearing Corporation, Banks or any other Financial Institutions from my Trading account

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(Client Signature)

INTIMATION BY THE MEMBER FOR PROPRIETARY TRADING

(6)

b. NESTTRADER: NSE - BSE :- ZERO CHARGES

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FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055

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FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055

RUNNING ACCOUNT AUTHORISATION

TO, Date:___________________

Finvasia Securities Pvt. Ltd.

Sub : Running Account Authorisation

I/we are dealing through you as a client in Capital Market and/or Future & Option segment and/or Currency segment and/or Interest Rate futureSegment & in order to facilitate ease of operations and upfront requirement or margin for trade.I/We authorize you as under

1. I/We request you to maintain running balance in my account & retain the credit balance in any of my/our account and to use theunused funds towards my/our margin/pay-in/other future obligation(s) of any segment(s) of any or all the Exchange(s)/ClearingCorporation unless I/We instruct you otherwise.

2. I/We request you to settle my fund. However excess securities, so held in “Client Collateral/Collateral” account are released to clientsalong with their funds’ settlement (i.e. once in every 30/90 days) after making necessary retention. (choose one option)

Once in a calendar Month

Once in every calendar Quarter except the funds given towards collaterals/margin in form of Bank Guarantee and/or FixedDeposit Receipt.

3. In case I/We have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towards suchobligations and may also retain the fund expected to be required to meet margin obligation for next 5 trading days, calculated in themanner specified by the exchanges.

4. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in writingpreferably within 7 working days from the date of receipt of funds/securities or statement of account or statement related to it, as thecase may be at your registered office.

5. I/We confirm you that I can revoke the above-mentioned authority at any time6. All accounts with credit balances of Rs. 10000/- or lesser shall be automatically retained and transfer of funds to the bank account

shall not be made as per SEBI circular MIRSD/SE/Cir-19/2009 & Exchange Circular Nos. NSE/INSP/24849 & 20091204-7.7. Deposit / Pledge of securities with Stock Exchange / Clearing Corporation / Clearing House / Clearing Member. As stipulated in the

circular, the brokers are allowed to maintain onlyi. ‘Pool account’ (including ‘Early Pay-in’)ii. ‘Client Margin Trading Securities account’ andiii ‘Client collateral account’.Accordingly, the securities received as collateral shall be used for meeting margin requirement by way of depositing the same withStock Exchange / Clearing Corporation / Clearing House / Clearing Member. In this regards, kindly note that securities provided byyou in respective collateral account against the margin obligation may be pledged / deposited with Stock Exchange / ClearingCorporation / Clearing House / Clearing Member.

8. This Running account authorization would continue until it is revoked by me.

Thanking you

Client Code :

(8)

FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055 (India)

✍8______________Yours faithfully,(Client Signature)Client Name :

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FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055

FINVASIA CENTRED 179, Phase 8 B (Sector 74)Mohali, Punjab 160055

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