Trading & Demat LKP · 2015-09-14 · Investment Products 18. Exchange Address Contact details for...

www.lkpsec.com

CLIENT CODE_____________________________________

CLIENT NAME_____________________________________

LKP Securities LimitedMember : NSE - SEBI Regn. No. INB/INF/INE230720030 , Clg Code 07200

Member : BSE - SEBI Regn. No. INB/INF010675433, CIg Code 408Member : MSEI - SEBI Regn. No. INE260720030, CIg Code 47700

Depository Participant CDSL : SEBI Regn. No. IN- DP-CDSL-206-2003

KNOW YOUR CLIENTTrading & Demat

LKPSince 1948

Notes : Below mentioned Symbols denotes various signatures

“ ’’ Client Signature – 25 signatures

“ ’’ 2nd Holder Signature – 13 signatures ( In case of Joint accounts )

“ ’’ 3rd Holder Signature – 13 signatures ( In case of Joint accounts )

“ ’’ Witness Signature - 2 signatures

“ ’’ LKP authorized Signature – 6 signatures

“ ’’ Non-Individual – 22 signatures

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Name of Stock Broker / Trading Member : LKP SECURITIES LTD.

SEBI Registration Nos. : - NSE - INB / INF / INE230720030- BSE - INB / INF / INE010675433- MSEI - INF / INE260720030- CDSL (DP) - IN-DP-CDSL-206-2003

Registered Office address :203 Embassy Centre, Nariman Point, Mumbai - 400 021Phone : (022) 2282-8234, Fax : (022) 2282-2415E.mail : [email protected], Website : www.lkpsec.comCIN : U67120MH1994PLC080039

Correspondence Office address :13th Floor, Raheja Center, Free Press RoadNariman Point, Mumbai - 400 021Phone : (022) 6635-1234, Fax : (022) 6635-1249

Compliance Officer Name, Phone No. & email ID :Ms.Neha Malviya, (022) 6635-1234, [email protected]

CEO Name, Phone No. & email ID :Mr. Pratik M Doshi, (022) 6635-1234, [email protected]

For any grievance/dispute, please contact LKP SECURITIES LTD. at the above addressor E.mail : [email protected] / [email protected] and Phone : (022) 6635-1234. In case not satisfied with the response, please contact the concerned exchange(s)at [email protected] and Phone No. (022) 2659-8190 for NSE, at [email protected],Phone No. (022) 2272-8097 for BSE and at [email protected] and PhoneNo. (022) 6112-9000 (Ext. 9028) for MSEI.

Sl. No.

ACCOUNT OPENING KIT INDEX

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

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

1. Tariff sheet Document detailing the rate/amount of brokerage and other 1

charges levied on the client for trading on the stock exchange(s)

2. Account Opening Form A. KYC form (Trading & DP) - Document captures the basic 2-9 information about the constituent and an instruction/check list.

B. Document captures the additional information about the 10-14

constituent relevant to trading account and an instruction/check list.

3. Rights and Obligations Document stating the Rights & Obligations of stock broker/trading 15-19Sheet member, sub-broker for trading on exchanges (including and client

additional rights & obligations in case of internet/wireless

technology based trading).

4. Risk Disclosure Document detailing risks associated with dealing in the 20-23

Document (RDD) securities market.

5. Guidance note Document detailing do’s and don’ts for trading on exchange, 24-25

for the education of the investors.

6. Policies and Procedures Mandatory Policies applicable to Clients 26-28

VOLUNTARY DOCUMENTS

7. Rights & Obligations Rights & Obligations of BO & DP as prescribed by SEBI 29-30

of BO & DP

8. Power of Attorney for POA provided by BO to LKP for settlement purpose etc. 31-35

the purpose of settlement

/ Margin obligation

9. Terms and Conditions – SMS alert facility from CDSL 36

cum – registration form

for receiving SMS alerts

from CDSL

10. Authority Letter For Authorising a person to deal on your behalf 37

Dealings

11. Authorisation for Receipt of contract notes / statements etc. electronically 38

Electronic Contract Notes

12. Running Account Authorisation to maintain running account 39

Authorisation / quarterly settlement etc.

13. Authority to remit funds Authorization to directly release payout of funds through 40

payout electronically into Net Banking / RTGS/ NEFT, etc. to clients bank account.

clients bank account

14. Fema Declaration Declaration by NRO / NRE clients 41

15. Client Letter Undertaking for Online and Offline 42

16. Star MFSS Application Star Mfss (Mutual Fund) Facility Activation 43

17. Authority Letter for Authority letter for dealing in Mutual fund 44Investment Products

18. Exchange Address Contact details for Exchanges 45-47

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LKP Securities Ltd.CLIENT INTRODUCTION FORM

V 07.15.05

FOR OFFICE USE

Client Signature___________________________________ �11�

Both SideBROKERAGE

INTRADAYDELIVERYFUTURESOPTIONSCURRENCY FUTURESCURRENCY OPTIONS

SEGMENTS One Side Minimum

� Statutory & Exchange related and Regulatory charges shall be charged which are lawful in nature and under the prevalent norms

of the exchange.

� Expiry charges / clearing member charges would be charged separately as applicable at actual.� Any bank charges or Exchange charges on account of any violation done by client shall be charged to the client at actual.

� Authorised representative shall mean a person authorized to become the representative under the prevailing norms of exchange.

� The terms “Member client agreement” or ‘Agreement’ should be read as “Rights & Obligations sheet”.� As a controlling measure, LKP Securities Ltd. may record client’s conversation over telephone with any of its employee.

Date :__________________

DP ID

Client ID Client Code

Trading & Demat Account � OnlyTrading Account � Only Demat Account �

Client Name______________________________________________________________

For Internal UseBack Office Code

Mapping Details Code Name

RM / BM

Dealer

Tele Caller / Marketing Activity / Referral

Introducer

Introducer Address

Introducer Phone :

Branch Code

Branch / Sub-broker / AP / Remisier / Existing Client / Others, please specifiy :

�Name & Signature of Introducer

I would like to introduce the above client and I state that I have verified the present residential & office address of the above client and the sameare existing, I have also checked out his relationship /dealings with other brokers in the past and found them to be clear of any discrepanciesor liabilities. The duly filled in client registration form is also attached here with for your verifications kindly approve the same.Remarks if any :

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INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORMA. IMPORTANT POINTS :

1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time

directors and persons authorized to deal in securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification.

In case the original of any document is not produced for verification, then the copies should be properly attested by entities

authorized for attesting the documents, as per the below mentioned list.

3. If any proof of identity or address is in a foreign language, then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/

Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions

in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers,

senior executives of state owned corporations, important political party officials, etc.

B. Proof of Identity (POI) : - List of documents admissible as Proof of Identity :

1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2. PAN card with photograph.

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments,

Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and

Credit cards/Debit cards issued by Banks.

C. Proof of Address (POA) : - List of documents admissible as Proof of Address :

(*Documents having an expiry date should be valid on the date of submission.)

1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat

Maintenance bill/ Insurance Copy.

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill (Pipeline connections only) - Not more than 3 months old.

3. Bank Account Statement/Passbook -- Not more than 3 months old.

4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.

5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative

Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/

Parliament/Documents issued by any Govt. or Statutory Authority.

6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/

Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiledor consularised) that gives the registered address should be taken.

8. The proof of address in the name of the spouse may be accepted.

D. Exemptions/clarifications to PAN

(*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed byCourts e.g. Official liquidator, Court receiver etc.

2. Investors residing in the state of Sikkim.

3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

4. SIP of Mutual Funds upto Rs 50, 000/- p.a.

5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and BilateralDevelopment Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with

IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the

PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

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F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & abovethe POI & POA, as mentioned below :

Types of Entity

Corporate

Partnership Firm

Trust

HUF

Unincorporatedassociation or abody of individuals

Banks /InstitutionalInvestorsForeignInstitutionalInvestors (FII)Army/GovernmentBodies

Registered Society

Documentary Requirements

• Copy of the balance sheets for the last 2 financial years (to be submitted every year).• Copy of latest share holding pattern including list of all those holding control, either

directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certifiedby the company secretary/Whole time director/MD (to be submitted every year).

• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directorsin charge of day to day operations.

• Photograph, POI, POA, PAN of individual promoters holding control - either directlyor indirectly.

• Copies of the Memorandum and Articles of Association and certificate of incorporation.• Copy of the Board Resolution for investment in securities market.• Authorised signatories list with specimen signatures.• Copy of the balance sheets for the last 2 financial years (to be submitted every year).• Certificate of registration (for registered partnership firms only).• Copy of partnership deed.• Authorised signatories list with specimen signatures.• Photograph, POI, POA, PAN of Partners.• Copy of the balance sheets for the last 2 financial years (to be submitted every year).• Certificate of registration (for registered trust only).• Copy of Trust deed.• List of trustees certified by managing trustees/CA.• Photograph, POI, POA, PAN of Trustees.• PAN of HUF.• Deed of declaration of HUF/ List of coparceners.• Bank pass-book/bank statement in the name of HUF.• Photograph, POI, POA, PAN of Karta.• Proof of Existence/Constitution document.• Resolution of the managing body & Power of Attorney granted to transact business on

its behalf.• Authorized signatories list with specimen signatures.• Copy of the constitution/registration or annual report/balance sheet for the last 2

financial years.• Authorized signatories list with specimen signatures.• Copy of SEBI registration certificate.• Authorized signatories list with specimen signatures.

• Self-certification on letterhead.• Authorized signatories list with specimen signatures.• Copy of Registration Certificate under Societies Registration Act.• List of Managing Committee members.• Committee resolution for persons authorised to act as authorised signatories with

specimen signatures.• True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.

E. List of people authorized to attest the documents :

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks

(Name, Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court

Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.

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Copy of ITR Acknowledgement Copy of Annual Accounts In case of salary income - Salary Slip, Copy of Form 16

Net worth certificate

Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiating ownership of assets.

Self declaration with relevant supporting documents.

*In respect of other clients, documents as per risk management policy of the stock broker need to be

provided by the client from time to time.

2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent,MICR Code or/and IFSC Code of the bank should be submitted.

3. Demat master or recent holding statement issued by DP bearing name of the client.

4. For individuals:

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

b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’ verification. Further, considering the infeasibility of carrying out ‘In-person’ verification ofthe non-resident clients by the stock broker’s staff, attestation of KYC documents by Notary Pub-lic, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the countrywhere the client resides may be permitted.

5. For non-individuals:

a. Form need to be initialized by all the authorized signatories.

b. Copy of Board Resolution or declaration (on the letterhead) naming the persons authorized to dealin securities on behalf of company/firm/others and their specimen signatures.

INSTRUCTIONS/ CHECK LIST

1. Additional documents in case of trading in derivatives segments - illustrative list:

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KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR INDIVIDUALS

Please fill this form in ENGLISH and in BLOCK LETTERS.

A. IDENTITY DETAILS

1. Name of the Applicant : _____________________________________________________________________

2. Father’s / Spouse Name : ____________________________________________________________________

3. a. Gender : � Male � Female

b. Marital Status : � Single � Married

c. Date of Birth : ______________________________(dd/mm/yyyy)

4. a. Nationality : ______________________________

b. Status : � Resident Individual � Non Resident � Foreign National

5. a. PAN : _______________________________________________________________________

b. Aadhaar Number, if any :________________________________________________________________

6. Specify the proof of Identity submitted : ______________________________________________________

B. ADDRESS DETAILS

1. Residence Address : _______________________________________________________________________

_______________________________________________________________________________________

Landmark : _________________________________ City/town/village : _________________________________

Pin Code : ______________________ State : ______________________ Country : ______________________

2. Contact Details : Tel. (Off.)______________________ Tel. (Res.)__________________________________

Mobile No. : __________________________________ Fax : ______________________________________

Email id : _______________________________________________________________________________

3. Specify the proof of address submitted for residence address :_____________________________________

4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant) :

_______________________________________________________________________________________

_______________________________________________________________________________________

City/town/village : _____________________________ Pin Code : __________________________________

State : ______________________________________Country : ___________________________________

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake

to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue ormisleading or misrepresenting, I am aware that I may be held liable for it.

_____________________________

Signature of the Applicant Date : ______________________ (dd/mm/yyyy)

FOR OFFICE USE ONLY

� Originals verified and Self Attested Document copies received

________________________________________

Name & Signature of the Authorised Signatory

Date : ________________________ Seal/Stamp of the intermediary

PHOTOGRAPH

Please affix your

recent passport

size photographand sign across it

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�3

First Holder Details

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Second Holder Details



A. IDENTITY DETAILS






4. a. Nationality : ______________________________


5. a. PAN : _______________________________________________________________________



B. ADDRESS DETAILS


_______________________________________________________________________________________


State : ______________________________________Country : ___________________________________


Mobile No. : __________________________________ Fax : ______________________________________

Email id : _______________________________________________________________________________



_______________________________________________________________________________________

_______________________________________________________________________________________


State : ______________________________________Country : ___________________________________

DECLARATION



_____________________________


FOR OFFICE USE ONLY


________________________________________



PHOTOGRAPH

Please affix your

recent passport


1�

2�

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Third Holder Details



A. IDENTITY DETAILS






4. a. Nationality : ______________________________


5. a. PAN : _______________________________________________________________________



B. ADDRESS DETAILS


_______________________________________________________________________________________


State : ______________________________________Country : ___________________________________


Mobile No. : __________________________________ Fax : ______________________________________

Email id : _______________________________________________________________________________



_______________________________________________________________________________________

_______________________________________________________________________________________


State : ______________________________________Country : ___________________________________

DECLARATION



_____________________________


FOR OFFICE USE ONLY


________________________________________



PHOTOGRAPH

Please affix your

recent passport


1�

2�

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KNOW YOUR CLIENT (KYC) APPLICATION FORM - FOR NON-INDIVIDUALSPlease fill this form in ENGLISH and in BLOCK LETTERS.

A. IDENTITY DETAILS

1. Name of the Applicant: ___________________________________________________________________

2. Date of Incorporation : __________________(dd/mm/yyyy) & Place of Incorporation :__________________

3. Date of commencement of business : ______________________________________________(dd/mm/yyyy)

4. a. PAN : _____________________________ b. Registration No. (e.g. CIN) : ____________________________

5. Status (please tick any one) :

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

� NGO’s � FI � FII � HUF � AOP � Bank � Government Body � Non-GovernmentOrganization � Defence Establishment � BOI � Society � LLP � Others (please specify) ________

B. ADDRESS DETAILS

1. Address for correspondence : _______________________________________________________________

_______________________________________________________________________________________

Landmark : _________________________________ City/town/village : _________________________________

Pin Code : ______________________ State : ______________________ Country : ______________________


Mobile No. : __________________________________Fax : ______________________________________

Email id : _______________________________________________________________________________

3. Specify the proof of address submitted for correspondence address :_______________________________

4. Registered Address (if different from above) : ____________________________________________________

_____________________________________________________________________________________


State : ______________________________________Country : ___________________________________

C. OTHER DETAILS

1. Name, PAN, residential address and photographs of Promoters / Partners / Karta / Trustees and whole

time directors : As per annexure

2. a) DIN of whole time directors : As per annexureb) Aadhaar number of Promoters / Partners / Karta : As per annexure

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 information is found to be false oruntrue or misleading or misrepresenting, I am / we are aware that I / we may be held liable for it.

_______________________________________

Name & Signature of the Authorised Signatory Date : ______________________ (dd/mm/yyyy)

FOR OFFICE USE ONLY


________________________________________



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DETAIL OF PROMOTERS / PARTNERS / KARTA / TRUSTEES AND WHOLE TIMEDIRECTORS / TWO DIRECTORS IN CHARGE OF DAY TO DAY OPERATIONS

Use additional sheet, if required.

Name

Designation

PAN

Proof of Identitysubmitted

Proof of Addresssubmitted

DIN of whole timedirectors

Aadhaar numberof Promoters /

Partners / Karta

ResidentialAddress

Photograph

1st 2nd 3rdParticulars

PHOTOGRAPH

Please affix the recent

passport size photographand sign across it

PHOTOGRAPH



PHOTOGRAPH



�3b

�3c

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TRADING ACCOUNT AND DP RELATED DETAILS For Individuals & Non-individuals

BANK ACCOUNT(S) DETAILS

Particulars Bank Details -I Bank Details - II

Account No.

Bank Name

Micr Code

Branch Add

IFSC Code

Account Type Saving Current Cash credit Saving Current Cash credit

Segments BSE NSE MSEI

Cash

F&O

Currency

DEMAT ACCOUNT(S) DETAILS

Particulars Demat Account(s) Details - I Demat Account(s) Details - II

Depository CDSL NSDL CDSL NSDL

DP Name

Beneficiary Name

DP ID

BO A/c No. (Beneficiary ID)

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

TRADING PREFERENCES

�4 /� 4

1. Gross Annual Income Details (please specify) : Income Range per annum :

� Below ` 1 Lac � 1-5 Lac � 5-10 Lac � 10-25 Lac � 25 Lacs-1 crore � > 1 crore

2. Net-worth ̀ _______________________________as on (date)__________________________(dd/mm/yyyy)(*Net worth should not be older than 1 year)

OCCUPATION (FOR INDIVIDUALS ONLY) - (PLEASE TICK ANY ONE AND GIVE BRIEF DETAILS)

� Private Sector � Public Sector � Government Service � Business � Professional � Agriculturist

� Retired � Housewife � Student � Others ___________________________________________

Please tick, if applicable, for any of your authorized signatories / Promoters / Partners / Karta / Trustees /whole time directors : � Politically Exposed Person (PEP) � Related to a Politically Exposed Person (PEP)

INCOME DETAILS

# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter shouldbe taken from the client by the stock broker.

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11Client’s Signature �1st Holder 2nd Holder 3rd Holder

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PAST ACTIONSDetails of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority againstthe applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealingin securities during the last 3 years : _________________________________________________________________________________________________________________________________________________________

DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

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

Sub-broker’s Name______________________________________SEBI Regn. No.______________________

Regd. office address________________________________________________________________________

______________________________________________________________________________________

Phone_______________________Fax_______________________Website_________________________

� Whether dealing with any other stock broker/sub-broker (in case dealing with multiple stock brokers/sub-brokers, provide details of all)

Name of stock broker__________________________Name of Sub-Broker, if any_________________________

Client Code_________________________________Exchange______________________________________

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

______________________________________________________________________________________

ADDITIONAL DETAILS

� Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify):

______________Specify your Email id, if applicable________________________________________________

� Whether you wish to avail of the facility of internet trading/ wireless technology : � Yes � No

� Number of years of Investment/Trading Experience________________________________________________

� In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs ofpersons authorized to deal in securities on behalf of company/firm/others : Refer Page No.16

� Any other information________________________________________________________________________

NOMINATION (For Individuals only)

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

� I/We do not wish to nominate any one for this demat account.

� I/We nominate the following person who is entitled to receive security balances lying in my/our account,particulars whereof are given below, in the event of my / our death.

Name of the Nominee__________________________________________________________________________

Relationship with the Applicant___________________________Date of Birth of Nominee____________________

PAN of Nominee________________________________UID of Nominee________________________________

Address and phone no. of the Nominee____________________________________________________________

___________________________________________________________________________________________

If Nominee is a minor, details of guardian:

Name of guardian_____________________________________________________________________________

Address and phone no. of Guardian_______________________________________________________________

__________________________________________________________________________________________

Signature of guardian__________________________________________________________________________

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FOR OFFICE USE ONLY

UCC Code allotted to the Client:

To receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / allJoint holders. This nomination shall supersede any prior nomination made by me / us.

WITNESSES (Only applicable in case the account holder has made nomination)

Name Name

Signature Signature

Address Address

Nomination accepted and registered vide registration no. and dated

�1a �1b

DECLARATION BY CLIENT

1 I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and beliefand I/we undertake to inform you of any changes therein, immediately. In case any of the above information is foundto be false or untrue or misleading or misrepresenting, I 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 the document on policy andprocedures of LKP and the tariff sheet.

3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s)and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by such provisions as outlined in thesedocuments. I/We have also been informed that the standard set of documents has been displayed forInformation on stock broker’s designated website, if any.

Place : _____________________

Date : _____________________ ______________________________________

Signature of Client / All Authorised Signatory(ies)

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

LKP Securities Ltd.

_____________________________________Signature of the Authorised SignatoryDate : ________________________ Seal/Stamp of the stock broker

Documents verifiedwith Originals

Name of the Employee/SB/AP

Employee SB/AP Code

Designation

Date

Signature

Client Interviewed By In-Person Verification done by

�6 �4 � � 54

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ADJUSTMENT OF CDSL BILL WITH TRADING ACCOUNT

Do you wish to authorise to sett off / adjust my debit balance in the demat account with the credit balance lyingin trading account from time to time.

SMS - E.MAIL ALERTSI, ............................................................(name of the client) undertake that I have an existing relationship withLKP and have provided my phone nos.......................... (phone no of client) to LKP Securities Ltd. for “VoiceDrop/Blast Call / Mass Call/SMS” in relation to value added services provided by LKP as per company policies

I ,also undertake that on the basis of this relationship LKP is allowed to make phone calls and send SMS tothe aforesaid number as and when generated by LKP.

As per this authorisation/undertaking provided by me/us, LKP Securities Ltd. is not liable to the legal implicationsif any due to “Do Not Disturb” feature being activated on the number mentioned herein the undertaking and I/ we will not file a complaint for the calls made/sms sent by LKP on the given numbers.

I/we would provide a written communication to LKP if we do not wish to avail any of the abovementionedservices of LKP in future.

Further, pursuant to SEBI Circular No. CIR/MIRSD/15/2011 dated August 02, 2011 regarding SMS and emailalerts to investors by Stock Exchanges, I/we allow you to upload my/our mobile no. and/or email id asmentioned in this KYC to be uploaded to BSE/NSE/MSEI.

Name_______________________________________________

Signature____________________________________________

INDIVIDUAL Individual Resident Individual –Director Individual Director’s Relative Individual HUF/AOP Individual Promotor Other (Specify)NRI NRI Repatriable NRI Non Repatriable NRI Repatriable Promotor NRI Non Repatriable Promotor NRI – Depository Receipts Other (Specify)Foreign Foreign National Foreign National –Depository Receipts Other (Specify)National

SUBTYPE

Commodity

Yes No

Mobile No Yes No EASI(Facility Through www.cdslindia.com where in BO can view his ISIN balance,tranaction and valueportfolio online.) Please contact us on E.mail : [email protected], Tele. : 022 - 4926-2132

NO

NO

NO

VOLUNTARY

LKP may do pro-trading as and when may deem fit.

YES

YES

YES

I/We authorised you to receive credit in my/our account without any instruction from me/us. Account statement requirement Daily Weekly Fortnightly Monthly Do you wish to receive credits/interest directly into your bank account given below through ECS? I/We request you to send Electronic Transaction – cum-Holding statement at sole/first holder email id stated in the account opening form

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VOLUNTARYSEBI Regn. No. (If Applicable)____________________ SEBI Registration DateROC Regn. No. (If Applicable)____________________ ROC Registration DateRBI Regn. No. (If Applicable)_____________________ RBI Approval Date

Name of Stock ExchangeName of the CC/CHTrading IDClearing Member ID

CLEARING MEMBERS DETAILS (TO BE FILLED BY CM’S ONLY)

Name

Designation

PAN

DIN / UID

ResidentialAddress

Photograph

Signature

First / Sole AuthorisedSignatory

Second / Joint AuthorisedSignatory

Third / Joint AuthorisedSignatory

Particulars

Please affix yourrecent passportsize photograph

and sign across it


and sign across it


and sign across it

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RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTSAS PRESCRIBED BY SEBI AND STOCK EXCHANGES

1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on theExchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities and ExchangeBoard of India (SEBI) and circulars/notices issued there under from time to time.

2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws and Regulations of theExchange and circulars/notices issued there under and Rules and Regulations of SEBI and relevantnotifications of Government authorities as may be in force from time to time.

3. The client shall satisfy itself of the capacity of the stock broker to deal in securities and/or deal in derivativescontracts and wishes to execute its orders through the stock broker and the client shall from time to timecontinue to satisfy itself of such capability of the stock broker before executing orders through the stock broker.

4. The stock broker shall continuously satisfy itself about the genuineness and financial soundness of theclient and investment objectives relevant to the services to be provided.

5. The stock broker shall take steps to make the client aware of the precise nature of the Stock broker’s liability forbusiness to be conducted, including any limitations, the liability and the capacity in which the stock broker acts.

6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all its dealingswith the client(s).

CLIENT INFORMATION

7. The client shall furnish all such details in full as are required by the stock broker in "Account Opening Form”with supporting details, made mandatory by stock exchanges/SEBI from time to time.

8. The client shall familiarize himself with all the mandatory provisions in the Account Opening documents. Anyadditional clauses or documents specified by the stock broker shall be non-mandatory, as per terms &conditions accepted by the client.

9. The client shall immediately notify the stock broker in writing if there is any change in the information in the‘account opening form’ as provided at the time of account opening and thereafter; including the informationon winding up petition/insolvency petition or any litigation which may have material bearing on his capacity.The client shall provide/update the financial information to the stock broker on a periodic basis.

10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in the accountopening form or any other information pertaining to the client, confidentially and that they shall not disclosethe same to any person/authority except as required under any law/regulatory requirements. Provided howeverthat the stock broker may so disclose information about his client to any person or authority with the expresspermission of the client.

MARGINS

11. The client shall pay applicable initial margins, withholding margins, special margins or such other margins asare considered necessary by the stock broker or the Exchange or as may be directed by SEBI from time totime as applicable to the segment(s) in which the client trades. The stock broker is permitted in its sole andabsolute discretion to collect additional margins (even though not required by the Exchange, Clearing House/Clearing Corporation or SEBI) and the client shall be obliged to pay such margins within the stipulated time.

12. The client understands that payment of margins by the client does not necessarily imply complete satisfactionof all dues. In spite of consistently having paid margins, the client may, on the settlement of its trade, beobliged to pay (or entitled to receive) such further sums as the contract may dictate/require.

TRANSACTIONS AND SETTLEMENTS

13. The client shall give any order for buy or sell of a security/derivatives contract in writing or in such form ormanner, as may be mutually agreed between the client and the stock broker. The stock broker shall ensureto place orders and execute the trades of the client, only in the Unique Client Code assigned to that client.

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14. The stock broker shall inform the client and keep him apprised about trading/settlement cycles, delivery/payment schedules, any changes therein from time to time, and it shall be the responsibility in turn of theclient to comply with such schedules/procedures of the relevant stock exchange where the trade is executed.

15. The stock broker shall ensure that the money/securities deposited by the client shall be kept in a separateaccount, distinct from his/its own account or account of any other client and shall not be used by the stock brokerfor himself/itself or for any other client or for any purpose other than the purposes mentioned in Rules, Regulations,circulars, notices, guidelines of SEBI and/or Rules, Regulations, Bye-laws, circulars and notices of Exchange.

16. Where the Exchange(s) cancels trade(s) suo moto all such trades including the trade/s done on behalf of the clientshall ipso facto stand cancelled, stock broker shall be entitled to cancel the respective contract(s) with client(s).

17. The transactions executed on the Exchange are subject to Rules, Byelaws and Regulations and circulars/notices issued thereunder of the Exchanges where the trade is executed and all parties to such trade shallhave submitted to the jurisdiction of such court as may be specified by the Byelaws and Regulations of theExchanges where the trade is executed for the purpose of giving effect to the provisions of the Rules,Byelaws and Regulations of the Exchanges and the circulars/notices issued thereunder.

BROKERAGE

18. The Client shall pay to the stock broker brokerage and statutory levies as are prevailing from time to time andas they apply to the Client’s account, transactions and to the services that stock broker renders to the Client.The stock broker shall not charge brokerage more than the maximum brokerage permissible as per therules, regulations and bye-laws of the relevant stock exchanges and/or rules and regulations of SEBI.

LIQUIDATION AND CLOSE OUT OF POSITION

19. Without prejudice to the stock broker's other rights (including the right to refer a matter to arbitration), theclient understands that the stock broker shall be entitled to liquidate/close out all or any of the client's positionsfor non-payment of margins or other amounts, outstanding debts, etc. and adjust the proceeds of suchliquidation/close out, if any, against the client's liabilities/obligations. Any and all losses and financial chargeson account of such liquidation/closing-out shall be charged to and borne by the client.

20. In the event of death or insolvency of the client or his/its otherwise becoming incapable of receiving andpaying for or delivering or transferring securities which the client has ordered to be bought or sold, stockbroker may close out the transaction of the client and claim losses, if any, against the estate of the client. Theclient or his nominees, successors, heirs and assignee shall be entitled to any surplus which may resultthere from. The client shall note that transfer of funds/securities in favor of a Nominee shall be valid dischargeby the stock broker against the legal heir.

21. The stock broker shall bring to the notice of the relevant Exchange the information about default in payment/delivery and related aspects by a client. In case where defaulting client is a corporate entity/partnership/proprietary firm or any other artificial legal entity, then the name(s) of Director(s)/Promoter(s)/Partner(s)/Proprietor as the case may be, shall also be communicated by the stock broker to the relevant Exchange(s).

DISPUTE RESOLUTION

22. The stock broker shall provide the client with the relevant contact details of the concerned Exchanges and SEBI.

23. The stock broker shall co-operate in redressing grievances of the client in respect of all transactions routedthrough it and in removing objections for bad delivery of shares, rectification of bad delivery, etc.

24. The client and the stock broker shall refer any claims and/or disputes with respect to deposits, marginmoney, etc., to arbitration as per the Rules, Byelaws and Regulations of the Exchanges where the trade isexecuted and circulars/notices issued thereunder as may be in force from time to time.

25. The stock broker shall ensure faster settlement of any arbitration proceedings arising out of the transactionsentered into between him vis-à-vis the client and he shall be liable to implement the arbitration awards madein such proceedings.

26. The client/stock-broker understands that the instructions issued by an authorized representative for disputeresolution, if any, of the client/stock-broker shall be binding on the client/stock-broker in accordance with theletter authorizing the said representative to deal on behalf of the said client/stock-broker.

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TERMINATION OF RELATIONSHIP

27. This relationship between the stock broker and the client shall be terminated; if the stock broker for anyreason ceases to be a member of the stock exchange including cessation of membership by reason of thestock broker's default, death, resignation or expulsion or if the certificate is cancelled by the Board.

28. The stock broker, sub-broker and the client shall be entitled to terminate the relationship between themwithout giving any reasons to the other party, after giving notice in writing of not less than one month to theother parties. Notwithstanding any such termination, all rights, liabilities and obligations of the parties arisingout of or in respect of transactions entered into prior to the termination of this relationship shall continue tosubsist and vest in / be binding on the respective parties or his / its respective heirs, executors, administrators,legal representatives or successors, as the case may be.

29. In the event of demise/insolvency of the sub-broker or the cancellation of his/its registration with the Boardor/withdrawal of recognition of the sub-broker by the stock exchange and/or termination of the agreementwith the sub broker by the stock broker, for any reason whatsoever, the client shall be informed of suchtermination and the client shall be deemed to be the direct client of the stock broker and all clauses in the‘Rights and Obligations’ document(s) governing the stock broker, sub-broker and client shall continue to bein force as it is, unless the client intimates to the stock broker his/its intention to terminate their relationship bygiving a notice in writing of not less than one month.

ADDITIONAL RIGHTS AND OBLIGATIONS

30. The stock broker shall ensure due protection to the client regarding client’s rights to dividends, rights orbonus shares, etc. in respect of transactions routed through it and it shall not do anything which is likely toharm the interest of the client with whom and for whom they may have had transactions in securities.

31. The stock broker and client shall reconcile and settle their accounts from time to time as per the Rules,Regulations, Bye Laws, Circulars, Notices and Guidelines issued by SEBI and the relevant Exchangeswhere the trade is executed.

32. The stock broker shall issue a contract note to his constituents for trades executed in such format as may beprescribed by the Exchange from time to time containing records of all transactions including details of ordernumber, trade number, trade time, trade price, trade quantity, details of the derivatives contract, client code,brokerage, all charges levied etc. and with all other relevant details as required therein to be filled in andissued in such manner and within such time as prescribed by the Exchange. The stock broker shall sendcontract notes to the investors within one working day of the execution of the trades in hard copy and/or inelectronic form using digital signature.

33. The stock broker shall make pay out of funds or delivery of securities, as the case may be, to the Clientwithin one working day of receipt of the payout from the relevant Exchange where the trade is executedunless otherwise specified by the client and subject to such terms and conditions as may be prescribed bythe relevant Exchange from time to time where the trade is executed.

34. The stock broker shall send a complete `Statement of Accounts’ for both funds and securities in respect ofeach of its clients in such periodicity and format within such time, as may be prescribed by the relevantExchange, from time to time, where the trade is executed. The Statement shall also state that the client shallreport errors, if any, in the Statement within such time as may be prescribed by the relevant Exchange fromtime to time where the trade was executed, from the receipt thereof to the Stock broker.

35. The stock broker shall send daily margin statements to the clients. Daily Margin statement should include,inter-alia, details of collateral deposited, collateral utilized and collateral status (available balance/due fromclient) with break up in terms of cash, Fixed Deposit Receipts (FDRs), Bank Guarantee and securities.

36. The Client shall ensure that it has the required legal capacity to, and is authorized to, enter into the relationshipwith stock broker and is capable of performing his obligations and undertakings hereunder. All actions requiredto be taken to ensure compliance of all the transactions, which the Client may enter into shall be completedby the Client prior to such transaction being entered into.

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ELECTRONIC CONTRACT NOTES (ECN)

37. In case, client opts to receive the contract note in electronic form, he shall provide an appropriate e-mail id tothe stock broker. The client shall communicate to the stock broker any change in the email-id through aphysical letter. If the client has opted for internet trading, the request for change of email id may be madethrough the secured access by way of client specific user id and password.

38. The stock broker shall ensure that all ECNs sent through the e-mail shall be digitally signed, encrypted, non-tamper able and in compliance with the provisions of the IT Act, 2000. In case, ECN is sent through e-mail asan attachment, the attached file shall also be secured with the digital signature, encrypted and non-tamperable.

39. The client shall note that non-receipt of bounced mail notification by the stock broker shall amount to deliveryof the contract note at the e-mail ID of the client.

40. The stock broker shall retain ECN and acknowledgement of the e-mail in a soft and non-tamperable form inthe manner prescribed by the exchange in compliance with the provisions of the IT Act, 2000 and as per theextant rules/regulations/circulars/guidelines issued by SEBI/Stock Exchanges from time to time. The proofof delivery i.e., log report generated by the system at the time of sending the contract notes shall be maintainedby the stock broker for the specified period under the extant regulations of SEBI/stock exchanges. The logreport shall provide the details of the contract notes that are not delivered to the client/e-mails rejected orbounced back. The stock broker shall take all possible steps to ensure receipt of notification of bouncedmails by him at all times within the stipulated time period under the extant regulations of SEBI/stock exchanges.

41. The stock broker shall continue to send contract notes in the physical mode to such clients who do not optto receive the contract notes in the electronic form. Wherever the ECNs have not been delivered to the clientor has been rejected (bouncing of mails) by the e-mail ID of the client, the stock broker shall send a physicalcontract note to the client within the stipulated time under the extant regulations of SEBI/stock exchangesand maintain the proof of delivery of such physical contract notes.

42. In addition to the e-mail communication of the ECNs to the client, the stock broker shall simultaneouslypublish the ECN on his designated web-site, if any, in a secured way and enable relevant access to theclients and for this purpose, shall allot a unique user name and password to the client, with an option to theclient to save the contract note electronically and/or take a print out of the same.

LAW AND JURISDICTION

43. In addition to the specific rights set out in this document, the stock broker, sub-broker and the client shall beentitled to exercise any other rights which the stock broker or the client may have under the Rules, Bye-lawsand Regulations of the Exchanges in which the client chooses to trade and circulars/notices issued thereunderor Rules and Regulations of SEBI.

44. The provisions of this document shall always be subject to Government notifications, any rules, regulations,guidelines and circulars/notices issued by SEBI and Rules, Regulations and Bye laws of the relevant stockexchanges, where the trade is executed, that may be in force from time to time.

45. The stock broker and the client shall abide by any award passed by the Arbitrator(s) under the Arbitrationand Conciliation Act, 1996. However, there is also a provision of appeal within the stock exchanges, if eitherparty is not satisfied with the arbitration award.

46. Words and expressions which are used in this document but which are not defined herein shall, unless thecontext otherwise requires, have the same meaning as assigned thereto in the Rules, Byelaws andRegulations and circulars/notices issued thereunder of the Exchanges/SEBI.

47. All additional voluntary clauses/document added by the stock broker should not be in contravention withrules/regulations/notices/circulars of Exchanges/SEBI. Any changes in such voluntary clauses/document(s)need to be preceded by a notice of 15 days. Any changes in the rights and obligations which are specified byExchanges/SEBI shall also be brought to the notice of the clients.

48. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations ofSEBI or Bye-laws, Rules and Regulations of the relevant stock Exchanges where the trade is executed,such changes shall be deemed to have been incorporated herein in modification of the rights and obligationsof the parties mentioned in this document.

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INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITYPROVIDED BY STOCK BROKERS TO CLIENT

(All the clauses mentioned in the ‘Rights and Obligations’ document(s) shall be applicable.Additionally, the clauses mentioned herein shall also be applicable.)

1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use ofwireless technology that shall include the use of devices such as mobile phone, laptop with data card, etc.which use Internet Protocol (IP). The stock broker shall comply with all requirements applicable to internetbased trading/securities trading using wireless technology as may be specified by SEBI & the Exchangesfrom time to time.

2. The client is desirous of investing/trading in securities and for this purpose, the client is desirous of usingeither the internet based trading facility or the facility for securities trading through use of wireless technology.The Stock broker shall provide the Stock broker’s IBT Service to the Client, and the Client shall avail of theStock broker’s IBT Service, on and subject to SEBI/Exchanges Provisions and the terms and conditionsspecified on the Stock broker’s IBT Web Site provided that they are in line with the norms prescribed byExchanges/SEBI.

3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilitiesassociated with securities trading through wireless technology/internet/smart order routing or any othertechnology should be brought to the notice of the client by the stock broker.

4. The stock broker shall make the client aware that the Stock Broker’s IBT system itself generates the initialpassword and its password policy as stipulated in line with norms prescribed by Exchanges/SEBI.

5. The Client shall be responsible for keeping the Username and Password confidential and secure and shallbe solely responsible for all orders entered and transactions done by any person whosoever through theStock broker’s IBT System using the Client’s Username and/or Password whether or not such person wasauthorized to do so. Also the client is aware that authentication technologies and strict security measuresare required for the internet trading/securities trading through wireless technology through order routed systemand undertakes to ensure that the password of the client and/or his authorized representative are not revealedto any third party including employees and dealers of the stock broker.

6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers securityflaw in Stock Broker’s IBT System, discovers / suspects discrepancies / unauthorized access through hisusername/password/account with full details of such unauthorized use, the date, the manner and thetransactions effected pursuant to such unauthorized use, etc.

7. The Client is fully aware of and understands the risks associated with availing of a service for routing ordersover the internet/securities trading through wireless technology and Client shall be fully liable and responsiblefor any and all acts done in the Client’s Username/password in any manner whatsoever.

8. The stock broker shall send the order/trade confirmation through email to the client at his request. The clientis aware that the order / trade confirmation is also provided on the web portal. In case client is trading usingwireless technology, the stock broker shall send the order/trade confirmation on the device of the client.

9. The client is aware that trading over the internet involves many uncertain factors and complex hardware,software, systems, communication lines, peripherals, etc. are susceptible to interruptions and dislocations.The Stock broker and the Exchange do not make any representation or warranty that the Stock broker’s IBTService will be available to the Client at all times without any interruption.

10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension,interruption, non-availability or malfunctioning of the Stock broker’s IBT System or Service or the Exchange’sservice or systems or non-execution of his orders due to any link/system failure at the Client/Stock brokers/Exchange end for any reason beyond the control of the stock broker/Exchanges.

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RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET AND DERIVATIVES SEGMENTS

This document contains important information on trading in Equities/Derivatives Segments of the stock exchanges. Allprospective constituents should read this document before trading in Equities/Derivatives Segments of the Exchanges.

Stock exchanges / SEBI does neither singly or jointly and expressly nor impliedly guarantee nor make anyrepresentation concerning the completeness, the adequacy or accuracy of this disclosure document nor haveStock exchanges / SEBI endorsed or passed any merits of participating in the trading segments. This briefstatement does not disclose all the risks and other significant aspects of trading.

In the light of the risks involved, you should undertake transactions only if you understand the nature of therelationship into which you are entering and the extent of your exposure to risk.

You must know and appreciate that trading in Equity shares, derivatives contracts or other instruments traded onthe Stock Exchange, which have varying element of risk, is generally not an appropriate avenue for someone oflimited resources / limited investment and / or trading experience and low risk tolerance. You should thereforecarefully consider whether such trading is suitable for you in the light of your financial condition. In case you tradeon Stock exchanges and suffer adverse consequences or loss, you shall be solely responsible for the same andStock exchanges/its Clearing Corporation and/or SEBI shall not be responsible, in any manner whatsoever, forthe same and it will not be open for you to take a plea that no adequate disclosure regarding the risks involvedwas made or that you were not explained the full risk involved by the concerned stock broker. The constituentshall be solely responsible for the consequences and no contract can be rescinded on that account. You mustacknowledge and accept that there can be no guarantee of profits or no exception from losses while executingorders for purchase and/or sale of a derivative contract being traded on Stock exchanges.

It must be clearly understood by you that your dealings on Stock exchanges through a stock broker shall besubject to your fulfilling certain formalities set out by the stock broker, which may inter alia include your filling theknow your client form, reading the rights and obligations, do’s and don’ts, etc., and are subject to the Rules,Byelaws and Regulations of relevant Stock exchanges, its Clearing Corporation, guidelines prescribed by SEBIand in force from time to time and Circulars as may be issued by Stock exchanges or its Clearing Corporationand in force from time to time.

Stock exchanges does not provide or purport to provide any advice and shall not be liable to any person whoenters into any business relationship with any stock broker of Stock exchanges and/or any third party based onany information contained in this document. Any information contained in this document must not be construedas business advice. No consideration to trade should be made without thoroughly understanding and reviewingthe risks involved in such trading. If you are unsure, you must seek professional advice on the same.

In considering whether to trade or authorize someone to trade for you, you should be aware of or must getacquainted with the following :-

1. BASIC RISKS :

1.1 Risk of Higher Volatility : Volatility refers to the dynamic changes in price that a security/derivativescontract undergoes when trading activity continues on the Stock Exchanges. Generally, higher the volatilityof a security/derivatives contract, greater is its price swings. There may be normally greater volatility inthinly traded securities / derivatives contracts than in active securities /derivatives contracts. As a resultof volatility, your order may only be partially executed or not executed at all, or the price at which yourorder got executed may be substantially different from the last traded price or change substantiallythereafter, resulting in notional or real losses.

1.2 Risk of Lower Liquidity : Liquidity refers to the ability of market participants to buy and/or sell securities/ derivatives contracts expeditiously at a competitive price and with minimal price difference. Generally,it is assumed that more the numbers of orders available in a market, greater is the liquidity. Liquidity isimportant because with greater liquidity, it is easier for investors to buy and/or sell securities / derivativescontracts swiftly and with minimal price difference, and as a result, investors are more likely to pay orreceive a competitive price for securities / derivatives contracts purchased or sold. There may be a riskof lower liquidity in some securities / derivatives contracts as compared to active securities / derivativescontracts. As a result, your order may only be partially executed, or may be executed with relativelygreater price difference or may not be executed at all.

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1.2.1 Buying or selling securities / derivatives contracts as part of a day trading strategy may also resultinto losses, because in such a situation, securities / derivatives contracts may have to be sold /purchased at low / high prices, compared to the expected price levels, so as not to have any openposition or obligation to deliver or receive a security / derivatives contract.

1.3 Risk of Wider Spreads : Spread refers to the difference in best buy price and best sell price. It representsthe differential between the price of buying a security / derivatives contract and immediately selling it orvice versa. Lower liquidity and higher volatility may result in wider than normal spreads for less liquid orilliquid securities / derivatives contracts. This in turn will hamper better price formation.

1.4 Risk-reducing orders : The placing of orders (e.g., "stop loss” orders, or "limit" orders) which are intendedto limit losses to certain amounts may not be effective many a time because rapid movement in marketconditions may make it impossible to execute such orders.

1.4.1 A "market" order will be executed promptly, subject to availability of orders on opposite side, withoutregard to price and that, while the customer may receive a prompt execution of a "market" order,the execution may be at available prices of outstanding orders, which satisfy the order quantity, onprice time priority. It may be understood that these prices may be significantly different from the lasttraded price or the best price in that security / derivatives contract.

1.4.2 A "limit" order will be executed only at the "limit" price specified for the order or a better price.However, while the customer receives price protection, there is a possibility that the order may notbe executed at all.

1.4.3 A stop loss order is generally placed "away" from the current price of a stock / derivatives contract,and such order gets activated if and when the security / derivatives contract reaches, or tradesthrough, the stop price. Sell stop orders are entered ordinarily below the current price, and buy stoporders are entered ordinarily above the current price. When the security / derivatives contract reachesthe pre -determined price, or trades through such price, the stop loss order converts to a market/limitorder and is executed at the limit or better. There is no assurance therefore that the limit order will beexecutable since a security / derivatives contract might penetrate the pre-determined price, in whichcase, the risk of such order not getting executed arises, just as with a regular limit order.

1.5 Risk of News Announcements : News announcements that may impact the price of stock / derivativescontract may occur during trading, and when combined with lower liquidity and higher volatility, maysuddenly cause an unexpected positive or negative movement in the price of the security / contract.

1.6 Risk of Rumors : Rumors about companies / currencies at times float in the market through word ofmouth, newspapers, websites or news agencies, etc. The investors should be wary of and should desistfrom acting on rumors.

1.7 System Risk : High volume trading will frequently occur at the market opening and before market close.Such high volumes may also occur at any point in the day. These may cause delays in order executionor confirmation.

1.7.1 During periods of volatility, on account of market participants continuously modifying their orderquantity or prices or placing fresh orders, there may be delays in order execution and its confirmations.

1.7.2 Under certain market conditions, it may be difficult or impossible to liquidate a position in the marketat a reasonable price or at all, when there are no outstanding orders either on the buy side or thesell side, or if trading is halted in a security / derivatives contract due to any action on account ofunusual trading activity or security / derivatives contract hitting circuit filters or for any other reason.

1.8 System/Network Congestion : Trading on exchanges is in electronic mode, based on satellite/leasedline based communications, combination of technologies and computer systems to place and route orders.Thus, there exists a possibility of communication failure or system problems or slow or delayed responsefrom system or trading halt, or any such other problem/glitch whereby not being able to establish accessto the trading system/network, which may be beyond control and may result in delay in processing or notprocessing buy or sell orders either in part or in full. You are cautioned to note that although theseproblems may be temporary in nature, but when you have outstanding open positions or unexecutedorders, these represent a risk because of your obligations to settle all executed transactions.

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2. As far as Derivatives segments are concerned, please note and get yourself acquainted with thefollowing additional features :-

2.1 Effect of "Leverage" or "Gearing" : In the derivatives market, the amount of margin is small relative tothe value of the derivatives contract so the transactions are 'leveraged' or 'geared'. Derivatives trading,which is conducted with a relatively small amount of margin, provides the possibility of great profit or lossin comparison with the margin amount. But transactions in derivatives carry a high degree of risk.

You should therefore completely understand the following statements before actually trading in derivativesand also trade with caution while taking into account one's circumstances, financial resources, etc. If theprices move against you, you may lose a part of or whole margin amount in a relatively short period oftime. Moreover, the loss may exceed the original margin amount.

A. Futures trading involve daily settlement of all positions. Every day the open positions are marked tomarket based on the closing level of the index / derivatives contract. If the contract has moved againstyou, you will be required to deposit the amount of loss (notional) resulting from such movement. Thisamount will have to be paid within a stipulated time frame, generally before commencement of tradingon next day.

B. If you fail to deposit the additional amount by the deadline or if an outstanding debt occurs in youraccount, the stock broker may liquidate a part of or the whole position or substitute securities. In thiscase, you will be liable for any losses incurred due to such close-outs.

C. Under certain market conditions, an investor may find it difficult or impossible to execute transactions.For example, this situation can occur due to factors such as illiquidity i.e. when there are insufficientbids or offers or suspension of trading due to price limit or circuit breakers etc.

D. In order to maintain market stability, the following steps may be adopted: changes in the margin rate,increases in the cash margin rate or others. These new measures may also be applied to the existing openinterests. In such conditions, you will be required to put up additional margins or reduce your positions.

E. You must ask your broker to provide the full details of derivatives contracts you plan to trade i.e. thecontract specifications and the associated obligations.

2.2 Currency specific risks :

1. The profit or loss in transactions in foreign currency-denominated contracts, whether they are tradedin your own or another jurisdiction, will be affected by fluctuations in currency rates where there is aneed to convert from the currency denomination of the contract to another currency.

2. Under certain market conditions, you may find it difficult or impossible to liquidate a position. This canoccur, for example when a currency is deregulated or fixed trading bands are widened.

3. Currency prices are highly volatile. Price movements for currencies are influenced by, among otherthings, changing supply-demand relationships; trade, fiscal, monetary, exchange control programsand policies of governments; foreign political and economic events and policies; changes in nationaland international interest rates and inflation; currency devaluation; and sentiment of the market place.None of these factors can be controlled by any individual advisor and no assurance can be given thatan advisor's advice will result in profitable trades for a participating customer or that a customer willnot incur losses from such events.

2.3 Risk of Option holders :

1. An option holder runs the risk of losing the entire amount paid for the option in a relatively short periodof time. This risk reflects the nature of an option as a wasting asset which becomes worthless when itexpires. An option holder who neither sells his option in the secondary market nor exercises it prior toits expiration will necessarily lose his entire investment in the option. If the price of the underlying doesnot change in the anticipated direction before the option expires, to an extent sufficient to cover thecost of the option, the investor may lose all or a significant part of his investment in the option.

2. The Exchanges may impose exercise restrictions and have absolute authority to restrict the exerciseof options at certain times in specified circumstances.

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2.4 Risks of Option Writers :

1. If the price movement of the underlying is not in the anticipated direction, the option writer runs therisks of losing substantial amount.

2. The risk of being an option writer may be reduced by the purchase of other options on the sameunderlying interest and thereby assuming a spread position or by acquiring other types of hedgingpositions in the options markets or other markets. However, even where the writer has assumed aspread or other hedging position, the risks may still be significant. A spread position is not necessarilyless risky than a simple 'long' or 'short' position.

3. Transactions that involve buying and writing multiple options in combination, or buying or writing optionsin combination with buying or selling short the underlying interests, present additional risks to investors.Combination transactions, such as option spreads, are more complex than buying or writing a singleoption. And it should be further noted that, as in any area of investing, a complexity not well understoodis, in itself, a risk factor. While this is not to suggest that combination strategies should not be considered,it is advisable, as is the case with all investments in options, to consult with someone who is experiencedand knowledgeable with respect to the risks and potential rewards of combination transactions undervarious market circumstances.

3. TRADING THROUGH WIRELESS TECHNOLOGY/ SMART ORDER ROUTING OR ANY OTHERTECHNOLOGY :

Any additional provisions defining the features, risks, responsibilities, obligations and liabilities associatedwith securities trading through wireless technology / smart order routing or any other technology should bebrought to the notice of the client by the stock broker.

4. GENERAL

4.1 The term ‘constituent’ shall mean and include a client, a customer or an investor, who deals with a stockbroker for the purpose of acquiring and / or selling of securities / derivatives contracts through themechanism provided by the Exchanges.

4.2 The term ‘stock broker’ shall mean and include a stock broker, a broker or a stock broker, who has beenadmitted as such by the Exchanges and who holds a registration certificate from SEBI.

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BEFORE YOU BEGIN TO TRADE

1. Ensure that you deal with and through only SEBI registered intermediaries. You may check their SEBIregistration certificate number from the list available on the Stock exchanges http://www.nseindia.com/http://www.bseindia.com/ http://www.msei.in/ and SEBI website www.sebi.gov.in.

2. Ensure that you fill the KYC form completely and strike off the blank fields in the KYC form.

3. Ensure that you have read all the mandatory documents viz. Rights and Obligations, Risk DisclosureDocument, Policy and Procedure document of the stock broker.

4. Ensure to read, understand and then sign the voluntary clauses, if any, agreed between you and the stockbroker. Note that the clauses as agreed between you and the stock broker cannot be changed withoutyour consent.

5. Get a clear idea about all brokerage, commissions, fees and other charges levied by the broker on you fortrading and the relevant provisions/ guidelines specified by SEBI/Stock exchanges.

6. Obtain a copy of all the documents executed by you from the stock broker free of charge.

7. In case you wish to execute Power of Attorney (POA) in favour of the Stock broker, authorizing it to operateyour bank and demat account, please refer to the guidelines issued by SEBI/Exchanges in this regard.

TRANSACTIONS AND SETTLEMENTS

8. The stock broker may issue electronic contract notes (ECN) if specifically authorized by you in writing.You should provide your email id to the stock broker for the same. Don’t opt for ECN if you are not familiarwith computers.

9. Don’t share your internet trading account’s password with anyone.

10. Don’t make any payment in cash to the stock broker.

11. Make the payments by account payee cheque in favour of the stock broker. Don’t issue cheques in thename of sub-broker. Ensure that you have a documentary proof of your payment/deposit of securities withthe stock broker, stating date, scrip, quantity, towards which bank/ demat account such money or securitiesdeposited and from which bank/ demat account.

12. Note that facility of Trade Verification is available on stock exchanges’ websites, where details of trade asmentioned in the contract note may be verified. Where trade details on the website do not tally with thedetails mentioned in the contract note, immediately get in touch with the Investors Grievance Cell of therelevant Stock exchange.

13. In case you have given specific authorization, payout of funds or delivery of securities as the case maybe, may not be made to you within one working day from the receipt of payout from the Exchange. Thusthe stock broker may maintain a running account for you subject to the following conditions:

a) Such authorization from you shall be dated, signed by you only and contains the clause that you mayrevoke the same at any time.

b) The actual settlement of funds and securities shall be done by the stock broker, at least once in a calendarquarter or month, depending on your preference. While settling the account, the stock broker shall send toyou a ‘statement of accounts’ containing an extract from the client ledger for funds and an extract from theregister of securities displaying all the receipts/deliveries of funds and securities. The statement shall alsoexplain the retention of funds and securities and the details of the pledged shares, if any.

c) On the date of settlement, the stock broker may retain the requisite securities/funds towards outstandingobligations and may also retain the funds expected to be required to meet derivatives margin obligationsfor next 5 trading days, calculated in the manner specified by the exchanges. In respect of cash market

GUIDANCE NOTE - DO’s AND DON’Ts FOR TRADING ON THE EXCHANGE(S) FOR INVESTORS

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transactions, the stock broker may retain entire pay-in obligation of funds and securities due from clientsas on date of settlement and for next day’s business, he may retain funds/securities/margin to the extentof value of transactions executed on the day of such settlement in the cash market.

d) You need to bring any dispute arising from the statement of account or settlement so made to thenotice of the stock broker in writing preferably within 7 (seven) working days from the date of receiptof funds/securities or statement, as the case may be. In case of dispute, refer the matter in writing tothe Investors Grievance Cell of the relevant Stock exchanges without delay.

14. In case you have not opted for maintaining running account and pay-out of funds/securities is not receivedon the next working day of the receipt of payout from the exchanges, please refer the matter to the stockbroker. In case there is dispute, ensure that you lodge a complaint in writing immediately with the InvestorsGrievance Cell of the relevant Stock exchange.

15. Please register your mobile number and email id with the stock broker, to receive trade confirmation alerts/details of the transactions through SMS or email, by the end of the trading day, from the stock exchanges.

IN CASE OF TERMINATION OF TRADING MEMBERSHIP

16. In case, a stock broker surrenders his membership, is expelled from membership or declared a defaulter;Stock exchanges gives a public notice inviting claims relating to only the “transactions executed on thetrading system” of Stock exchange, from the investors. Ensure that you lodge a claim with the relevantStock exchanges within the stipulated period and with the supporting documents.

17. Familiarize yourself with the protection accorded to the money and/or securities you may deposit withyour stock broker, particularly in the event of a default or the stock broker’s insolvency or bankruptcy andthe extent to which you may recover such money and/or securities may be governed by the Bye-laws andRegulations of the relevant Stock exchange where the trade was executed and the scheme of the Investors’Protection Fund in force from time to time.

DISPUTES/ COMPLAINTS

18. Please note that the details of the arbitration proceedings, penal action against the brokers and investorcomplaints against the stock brokers are displayed on the website of the relevant Stock exchange.

19. In case your issue/problem/grievance is not being sorted out by concerned stock broker/sub-broker thenyou may take up the matter with the concerned Stock exchange. If you are not satisfied with the resolutionof your complaint then you can escalate the matter to SEBI.

20. Note that all the stock broker/sub-brokers have been mandated by SEBI to designate an e-mail ID of thegrievance redressal division/compliance officer exclusively for the purpose of registering complaints.

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Policies and Procedures related to Risk Management & Controls

a. Refusal of orders for “Penny Stocks”

Although, the term “Penny Stock” has not been defined by BSE / NSE/MSEI or any other stock exchange orby SEBI, a “Penny Stock” generally refers to a stock which has following characteristics:

1. Has small market capitalization;

2. Trades at a price less than its face value;

3. Has unsound fundamentals;

4. Is illiquid

(A list of illiquid securities is jointly released by NSE and BSE from time to time.)

LKP Securities Ltd. recognizes that it is the client’s privilege to choose shares in which he / she would like to trade.

However, LKP Securities Ltd. likes to pay special attention to dealing in “Penny Stocks”. To this end:

1. LKP Securities Ltd. may refuse to execute any client’s orders in “Penny Stocks” without assigning anyreason for the same.

2. Any large order for purchase or sale of a “Penny Stock” should be referred to Head - Dealing before suchorders can be put in the market for execution.

3. Clients must ensure that trading in “Penny Stock” does not result in creation of artificial volume or false ormisleading appearance of trading. Further, clients should ensure that trading in “Penny Stock” does notoperate as a device to inflate or depress or cause fluctuations in the price of such stock.

4. Clients are expected not to place orders in “Penny Stocks” at prices which are substantially differentfrom the prevailing market prices. Any such order is liable to be rejected at the sole discretion of LKPSecurities Ltd.

5. In case of sale of “Penny Stocks”, clients should ensure the delivery of shares to LKP Securities Ltd.before the pay-in date.

b. Setting up client’s exposure limit

� Exposure limit for each client is determined by the Risk Management Department based on client’s networth information, client’s financial capacity, prevailing market conditions and margin deposited by clientin the form of funds / securities with LKP Securities Ltd. These limits may be set exchange-wise, segment-wise, and scrip-wise.

� The limits are determined by Risk Management Department based on the above criteria and the paymenthistory of the client in consultation with Sales / Sales traders.

� LKP Securities Ltd. retains the discretion to set and modify, from time to time, any client’s exposure limitdecided as above.

� Whenever any client has taken or wants to take exposure in any security, LKP Securities Ltd. may call forappropriate margins in the form of early pay-in of shares or funds before or after execution of trades inthe Cash segment. In case of any margin shortfall, the clients will be told to reduce the position immediatelyor they will be requested to deposit extra margin to meet the shortfall. Otherwise, LKP Securities Ltd.may refuse to trade on behalf of such client at its own discretion.

c. Applicable brokerage rate

� Brokerage Rate is mutually decided between the LKP Securities Ltd. and each client based on client’snet worth, expected trading volume, etc. The maximum brokerage chargeable will not exceed the ratesprescribed by SEBI and the exchanges.

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� The applicable brokerage rate will be mentioned in the Client registration form and any change in thebrokerage rate in future will be communicated to the client in writing and as mutually agreed.

d. Imposition of penalty / delayed payment charges by either party, specifying the rate and the period

� Penalty and other charges levied by Exchanges pertaining to trading of the client shall be recovered fromthe respective client.

� If there is delay on the part of the client in satisfying his / her margin obligation or settlement obligationthen LKP Securities Ltd. shall levy delayed payment charges at the rate of 2% per month on such shortfallfor the period of delay on such client. LKP Securities Ltd. shall recover such delayed payment chargesfrom the client by debiting the client’s account.

� No interest or charges will be paid by LKP Securities Ltd. to any client in respect of retention of funds orsecurities towards meeting future settlement obligations and in respect of running account authorizations.

e. Right to sell clients’ securities or close clients’ positions, without giving notice to the client, onaccount of non-payment of client’s dues

LKP Securities Ltd. has the right to close out / liquidate or square off any open position of the client (limited tothe extent of settlement / margin obligation), without giving any prior notice, all or any of the client’s positionsas well as securities / collaterals placed as margins for non-payment of margin or other amounts due fromsuch client in respect of settlement or any other lawful dues that are recoverable from the client by LKPSecurities Ltd. The proceeds of the same shall be adjusted against the client’s trade liabilities / obligations.Any loss or financial charges on account of such close-out / liquidation shall be debited to the client’s account.

f. Shortages in obligations arising out of internal netting of trades

In case of shortage in meeting the settlement obligation, either party shall endeavor to make good suchshortage through securities / value of shortage as per the Rules, Regulations and Bye-laws of the respectivestock exchange.

g. Conditions under which a client may not be allowed to take further position or the broker may closethe existing position of the client

LKP Securities Ltd. shall have absolute discretion and authority to limit client’s volume of business or toclose any existing position of a client without giving any prior notice to the client under following conditions:

� Extreme volatility in the market or in particular scrip or in the F&O segment.

� There is shortfall in the margin deposited by client with LKP Securities Ltd.

� There is insider trading restrictions on the client.

� There are any unforeseen adverse market conditions or any natural calamity affecting the operation ofthe market.

� There are any restrictions imposed by Exchange or Regulator on the volume of trading outstandingpositions of contracts.

� The client is undertaking any illegal trading practice or the client is suspected to be indulging in moneylaundering activities.

� LKP Securities Ltd. has reached its limit in that scrip.

� The client has breached the client-wise limit.

� The client has taken or intends to take new position in a security which is in the banned period.

� Due to abnormal rise or fall in the market, the markets are closed.

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h. Temporarily suspending or closing a client’s account based on the client’s request:

� Any client desirous of temporarily suspending his or her trading account has to give such request inwriting to the management. After management’s approval, further dealing in such client’s account will beblocked. Whenever trade has to be resumed in any suspended client account, a request in writing shouldbe made by the client to the management and the management may ask for updated financial informationand other details for reactivating such account. After receiving necessary documents, details, etc. andapproval from the management, the client account will be reactivated and transaction will be carried out.

� Similarly, any client desirous of closing his / her account permanently is required to inform in writing andthe decision in this regard will be taken by the management. After necessary approval from themanagement, the client code will be deactivated. Only after scrutinizing the compliance requirementsand a “no pending queries” confirmation is taken, securities and funds accounts will be settled.

i. Deregistering a Client

LKP Securities Ltd. may, at its absolute discretion, decide to deregister a particular client. The illustrativeCircumstances under which LKP Securities Ltd. may deregister a client are given below:

� SEBI or any other regulatory body has passed an order against such client, prohibiting or suspendingsuch client from participating in the securities market.

� Such client has been indicted by a regulatory body or any government enforcement agency in case ofmarket manipulation or insider trading or any other case involving violation of any law, rule, regulation,guideline or circular governing securities market.

� Such client is suspected of indulging in illegal or criminal activities including fraud or money laundering.

� Such client’s name appears in the UN list of prohibited entities or in the SEBI debarred list.

� Such client’s account has been lying dormant for a long time or the client is not traceable.

� Such client has been declared insolvent or any legal proceedings to declare him / her as insolvent havebeen initiated.

� Such client has been irregular in fulfilling obligations towards margin or settlement dues.

� Such client has a tainted reputation and any business relationship with such clients is likely to tarnish thereputation of LKP Securities Ltd. or may act as detriment to LKP Securities Ltd. prospects.

j. Dormant/Inactive account

If the client does not do a transaction for a period/gap of 1 year, his/her account will be treated as a dormant/inactive account.

However, after one year if the client is willing to re-activate the account he will provide a letter to the member foractivating his dormant account. In case there is any change with respect to the proofs / documents givenearlier, copies of all latest supporting documents i.e. proof of residential address, proof of bank account, proofof demat account (LKP DP account to be ignored) shall be provided by the client. The client will also provide histelephone details and email ids, if any. The letter to be obtained from the client is enclosed herewith.

For Derivatives account, client in addition to the above will have to provide the proof of income of last financialyear as on the date of request for activating the dormant account.

On a client being declared inactive / dormant, HIS/HER/THEIR unencumbered funds and securities shall becredited back to the client. Further, the same can also be returned by way of monthly or quarterly actualsettlement exercise under the prescribed guidelines of regulators.

Note : I understand that the policies are subject to change from time to time and I shall regularly keep my selfupdated as per your policies which are being displayed on the website www.lkpsec.com and any change inPolicies will be informed to me in writing.

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Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories

General Clause

1. The Beneficial Owner and the Depository participant (DP) shall be bound by the provisions of the Depositories Act, 1996, SEBI(Depositories and Participants) Regulations, 1996, Rules and Regulations of Securities and Exchange Board of India (SEBI),

Circulars/Notifications/Guidelines issued there under, Bye Laws and Business Rules/Operating Instructions issued by the

Depositories and relevant notifications of Government Authorities as may be in force from time to time.

2. The DP shall open/activate demat account of a beneficial owner in the depository system only after receipt of complete Account

opening form, KYC and supporting documents as specified by SEBI from time to time.

Beneficial Owner information

3. The DP shall maintain all the details of the beneficial owner(s) as mentioned in the account opening form, supporting documents

submitted by them and/or any other information pertaining to the beneficial owner confidentially and shall not disclose the sameto any person except as required by any statutory, legal or regulatory authority in this regard.

4. The Beneficial Owner shall immediately notify the DP in writing, if there is any change in details provided in the account openingform as submitted to the DP at the time of opening the demat account or furnished to the DP from time to time.

Fees/Charges/Tariff

5. The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of securities in dematerialized form andfor availing depository services as may be agreed to from time to time between the DP and the Beneficial Owner as set out in the Tariff

Sheet provided by the DP. It may be informed to the Beneficial Owner that “no charges are payable for opening of demat accounts”

6. In case of Basic Services Demat Accounts, the DP shall adhere to the charge structure as laid down under the relevant SEBI and/

or Depository circulars/directions/notifications issued from time to time.

7. The DP shall not increase any charges/tariff agreed upon unless it has given a notice in writing of not less than thirty days to the

Beneficial Owner regarding the same.

Dematerialization

8. The Beneficial Owner shall have the right to get the securities, which have been admitted on the Depositories, dematerialized in

the form and manner laid down under the Bye Laws, Business Rules and Operating Instructions of the depositories.

Separate Accounts

9. The DP shall open separate accounts in the name of each of the beneficial owners and securities of each beneficial owner shall be

segregated and shall not be mixed up with the securities of other beneficial owners and/or DP’s own securities held in dematerialized form.

10. The DP shall not facilitate the Beneficial Owner to create or permit any pledge and /or hypothecation or any other interest or

encumbrance over all or any of such securities submitted for dematerialization and/or held in demat account except in the formand manner prescribed in the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996 and Bye-Laws/

Operating Instructions/Business Rules of the Depositories.

Transfer of Securities

11. The DP shall effect transfer to and from the demat accounts of the Beneficial Owner only on the basis of an order, instruction, direction or

mandate duly authorized by the Beneficial Owner and the DP shall maintain the original documents and the audit trail of such authorizations.

12. The Beneficial Owner reserves the right to give standing instructions with regard to the crediting of securities in his demat account

and the DP shall act according to such instructions.

Statement of account

13. The DP shall provide statements of accounts to the beneficial owner in such form and manner and at such time as agreed with the

Beneficial Owner and as specified by SEBI/depository in this regard.

14. However, if there is no transaction in the demat account, or if the balance has become Nil during the year, the DP shall send one

physical statement of holding annually to such BOs and shall resume sending the transaction statement as and when there is a

transaction in the account.

15. The DP may provide the services of issuing the statement of demat accounts in an electronic mode if the Beneficial Owner sodesires. The DP will furnish to the Beneficial Owner the statement of demat accounts under its digital signature, as governed

under the Information Technology Act, 2000. However if the DP does not have the facility of providing the statement of demat

account in the electronic mode, then the Participant shall be obliged to forward the statement of demat accounts in physical form.

16. In case of Basic Services Demat Accounts, the DP shall send the transaction statements as mandated by SEBI and/or Depository

from time to time.

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Manner of Closure of Demat account

17. The DP shall have the right to close the demat account of the Beneficial Owner, for any reasons whatsoever, provided the DP has

given a notice in writing of not less than thirty days to the Beneficial Owner as well as to the Depository. Similarly, the BeneficialOwner shall have the right to close his/her demat account held with the DP provided no charges are payable by him/her to the DP.

In such an event, the Beneficial Owner shall specify whether the balances in their demat account should be transferred to another

demat account of the Beneficial Owner held with another DP or to rematerialize the security balances held.

18. Based on the instructions of the Beneficial Owner, the DP shall initiate the procedure for transferring such security balances orrematerialize such security balances within a period of thirty days as per procedure specified from time to time by the depository.

Provided further, closure of demat account shall not affect the rights, liabilities and obligations of either the Beneficial Owner or the

DP and shall continue to bind the parties to their satisfactory completion.

Default in payment of charges

19. In event of Beneficial Owner committing a default in the payment of any amount provided in Clause 5 & 6 within a period of thirty

days from the date of demand, without prejudice to the right of the DP to close the demat account of the Beneficial Owner, the DPmay charge interest at a rate as specified by the Depository from time to time for the period of such default.

20. In case the Beneficial Owner has failed to make the payment of any of the amounts as provided in Clause 5&6 specified above,the DP after giving two days notice to the Beneficial Owner shall have the right to stop processing of instructions of the Beneficial

Owner till such time he makes the payment along with interest, if any.

Liability of the Depository

21. As per Section 16 of Depositories Act, 1996,

1. Without prejudice to the provisions of any other law for the time being in force, any loss caused to the beneficial owner dueto the negligence of the depository or the participant, the depository shall indemnify such beneficial owner.

2. Where the loss due to the negligence of the participant under Clause (1) above, is indemnified by the depository, the

depository shall have the right to recover the same from such participant.

Freezing/ Defreezing of accounts

22. The Beneficial Owner may exercise the right to freeze/defreeze his/her demat account maintained with the DP in accordance withthe procedure and subject to the restrictions laid down under the Bye Laws and Business Rules/Operating Instructions.

23. The DP or the Depository shall have the right to freeze/defreeze the accounts of the Beneficial Owners on receipt of instructions

received from any regulator or court or any statutory authority.

Redressal of Investor grievance

24. The DP shall redress all grievances of the Beneficial Owner against the DP within a period of thirty days from the date of receipt

of the complaint.

Authorized representative

25. If the Beneficial Owner is a body corporate or a legal entity, it shall, along with the account opening form, furnish to the DP, a listof officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change in such list including

additions, deletions or alterations thereto shall be forthwith communicated to the Participant.

Law and Jurisdiction

26. In addition to the specific rights set out in this document, the DP and the Beneficial owner shall be entitled to exercise any other

rights which the DP or the Beneficial Owner may have under the Rules, Bye Laws and Regulations of the respective Depository

in which the demat account is opened and circulars/notices issued there under or Rules and Regulations of SEBI.

27. The provisions of this document shall always be subject to Government notification, any rules, regulations, guidelines andcirculars/ notices issued by SEBI and Rules, Regulations and Bye-laws of the relevant Depository, where the Beneficial Owner

maintains his/ her account, that may be in force from time to time.

28. The Beneficial Owner and the DP shall abide by the arbitration and conciliation procedure prescribed under the Bye-laws of the

depository and that such procedure shall be applicable to any disputes between the DP and the Beneficial Owner.

29. Words and expressions which are used in this document but which are not defined herein shall unless the context otherwise

requires, have the same meanings as assigned thereto in the Rules, Bye-laws and Regulations and circulars/notices issued there

under by the depository and /or SEBI.

30. Any changes in the rights and obligations which are specified by SEBI/Depositories shall also be brought to the notice of the clients at once.

31. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations of SEBI or Bye-laws, Rules

and Regulations of the relevant Depository, where the Beneficial Owner maintains his/her account, such changes shall bedeemed to have been incorporated herein in modification of the rights and obligations of the parties mentioned in this document.

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POWER OF ATTORNEY IN FAVOUR OF LKP SECURITIES LTD.

(ON STAMP PAPER OF ` 100/-)

This Power of Attorney (POA) is made by the persons mentioned in the Schedule 1 in favour of “LKPSECURITIES LTD.”, a company incorporated under the provisions of the Companies Act, 1956 in India andhaving its registered office at 203, Embassy Centre, Nariman Point, Mumbai - 400 021 (hereinafter referredto as ‘LKP’, an expression deemed to mean and include its successors and assigns)

WHEREAS LKP Securities Ltd. is a member of the National Stock Exchange of India Ltd. (“NSE”) (bearingSEBI Regn. nos. INB/INF/INE230720030 on the Capital Market, F&O and Currency Derivatives Segmentsrespectively), BSE Limited (“BSE”) (bearing SEBI Regn. nos. INB/INF010675433 on the Capital Market andF&O Segments respectively) and Metropolitan Stock Exchange of India Ltd. (MSEI) (bearing SEBI Regn.nos. INB/INF/INE260720030 on the Capital Market, F&O and Currency Derivatives Segments respectively).

AND WHEREAS LKP Securities Ltd. is a Depository Participant with the Central Depository Services(India) Limited (CDSL) having SEBI Regn. no. IN-DP-CDSL-206-2003.

AND WHEREAS LKP Securities Ltd. is registered with Association of Mutual Funds in India (AMFI) asMutual Fund Distributor having Regn. no. ARN 31751.

AND WHEREAS I / We wish to avail / I/We am/are a client availing of the services offered by LKP and has enteredinto necessary Mandatory & Voluntary Client Registration Documents with LKP for transacting in securities with/without On-Line trading / E-broking & web based facilities and / or services through its website www.lkpsec.comor any other website used for offering said Services. Details of my / our Trading and Demat account with LKP areprovided in Schedule 1 AND WHEREAS for facilitating smooth operations of the said services being availed fromLKP by me / us, I / we am/are desirous of appointing an attorney and confer upon it powers hereinafter stated.

NOW THESE PRESENTS WITNESS that I / we, do hereby, jointly and severally nominate, constitute and appoint“LKP Securities Ltd.” being a Stock Broker and Depository Participant registered with Securities and ExchangeBoard of India (“SEBI”)acting through any of its directors, officers and / or agents, as my/ our true and lawfulConstituted Attorney (hereinafter referred to as the said Attorney) for me / us, in my / our name and on my / ourbehalf and at my / our risk and costs to do, exercise and perform all or any of the following acts, deeds and things:

1. To instruct the Depository Participant, being LKP to transfer securities held in my/our beneficial owner /demataccount as provided in Schedule 2 or such other demat account as may be intimated by me/us to LKP fromtime to time (“client designated demat accounts”) to such demat account of LKP as provided in Schedule 2and / or designated by LKP and intimated to me from time to time (“LKP designated demat account”) towardsstock exchange related margin / delivery / pay-in obligations arising out of trades executed by me/us throughLKP on any Stock Exchange in any segment including cash, F&O and currency derivatives segments.

2. To make application and / or issue instruction for creation / invocation / closure of pledge on the securities/units held in my / our client designated demat accounts in favour of LKP for the limited purpose ofmeeting the margin requirements in connection with the trades executed by me / us through LKP on anyStock Exchange in any segment including cash, derivatives and currency derivatives segment.

3. To credit my/our client designated demat accounts with any securities that are to be delivered to me/us / borrowed by me/us.

4. Generally to do all such acts, deeds, matters and things as may be necessary for or incidental toensure that all payments for and delivery of securities arising out of transactions undertaken by me /us under the Mandatory & Voluntary Client Registration Documents are duly and properly completed.

� � � 5591st H 2nd H 3rd H

� 9

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5. Pursuant to my/our instruction, to make necessary applications on my/our behalf to any officials or authoritiesin India, including but not limited to, the Central Government, and/or the Reserve Bank Of India, Income TaxAuthority, Stock Exchanges, Securities and Exchange Board of India in connection with my/our purchase/sale/transfer holding and continuing to hold securities, and to represent me in all respects before suchauthority/ies and establish without encumbrance the ; ownership of securities in my name.

6. The term “Securities” shall include shares, scrips, stocks, bonds, warrants, options, futures, derivatives,convertible debentures, non-convertible debentures, securitized debt instruments, fixed return investment,equity linked instruments or other marketable Securities of a like nature in or of any incorporated company orother body corporate, negotiable instruments including usuance Bills of Exchange, deposits or other moneymarket instruments, commercial paper, certificate of deposit, units issued by Unit Trust of India and unitsissued by Mutual Funds, mortgage backed or other asset backed Securities issued by any institution or bodycorporate cumulative convertible preference shares issued by any incorporated company and Securitiesissued by any incorporated company and Securities issued by the Central Government or a State Governmentfor the purpose of raising public loan and having one of the forms specified in Clause (2) of Section 2 of thePublic Debt Act, 1944, any other new form of capital or money market instruments that may be issued in thefuture by any incorporated company/firm/institution or Government.

7. Pursuant to my/our instruction or instruction of my/our Authorised Representative as per applicable laws,rules & regulations of SEBI & exchange(s), to apply for various products like Mutual Funds, Public issues ofsecurities including debentures, rights, offer of shares, tendering shares in open offers etc.

8. Pursuant to my/our instruction or instruction of my/our Authorised Representative as per applicable laws,rules & regulations of SEBI & exchange(s), to acquire by subscribing to or by purchase of securities or anyother investment products and to sell, transfer and endorse the same or redeem the same or otherwise dealin the securities and / or any other investment products including but not limited to Initial Public Offerings,Further Public Offerings, Buy Back Offers, Right Issues either through internet using identification numberissued by any Authority from time to time or otherwise, and/or to sign and to execute all transfer deedswhether as transferor or transferee and such other instruments, applications and papers as may be necessaryfor acquiring or transferring/redeeming the same, marking pledge/lien on such securities and/or for transferringthe investments in the units of Mutual Funds from one scheme to another or between Mutual Funds and / orotherwise as may be required to deal in the securities or other investment products.

9. Pursuant to my/our instruction or instruction of my/our Authorised Representative as per applicable laws,rules & regulations of SEBI & exchange(s), to make applications for or to renounce and sign renunciationforms in respect of bonds/debentures, right shares and additional shares of any Company/ Body/Authorityand to receive and hold such rights or additional shares bonds or debentures.

10. To issue orders and instructions for acquisitions and disposal of investments for and on behalf of myself/ourselves and to purchase or otherwise acquire, sell or otherwise dispose off and invest in securities.

11. To sign the necessary forms and other documents if any and to file the same with the company/ies and / orMutual Fund concerned for purchase, sell, redemption or otherwise transfer of such securities/ units ofMutual Funds and transferring it in my/our name.

12. To forward all such applications placed through the website to the online-lPO module of the concernedExchange or owner/issuer of Investment Product.

13. To receive statements and other documents pertaining to the above units/securities and to acknowledgereceipt of the same.

� � � 6610�10

33� � � 77�1111

14. To do all such acts and things as may be necessary to effect the subscription/purchase/redemption or anyother transaction in any securities and / or Investment Product for which services are availed from LKP.

15. To debit the purchase price of such securities or any other lawful fees/charges etc. due to LKP and todischarge all obligation in this regard on my/our behalf to LKP, in my account with LKP Securities Ltd.

16. To operate and to give delivery/receive instructions, borrowing and lending instructions, pledge instructions,pledge closure instructions and to do all such other things that may be necessary in the course of businessrelating to operation of client designated demat account(s) or towards the obligation for transactions donethrough LKP on NSE, BSE, MSEI and any other Exchange, under my/our instructions

17. To execute the share transfer requests given by me/us through the website or any other medium and processthe documents authenticated by authorized signatories empowered to do so in this regard.

18. To square off at its discretion my/our position of transactions that are not delivery marked during the day.

19. To demand, receive and give good and effectual receipt(s) and discharge(s) for all or any dividends, interest,bonus or any other sum(s) and/or income arising from the shares, debentures, units and other investmentsand to sign and endorse pay orders, dividend/interest warrants or certificates, receive all debts, sums ofmoney, principal, interest, dividend or other dues of whatever nature or account which are now or at any timedue and payable and belong to me/ us.

20. For the purpose of the aforesaid to sign contracts, agreements, transfers, acceptances, receipts, or otherinstruments, documents and forms, to accept and carry out correspondence with such person(s) or authority/authorities or department(s) and to do all such lawful acts requisite for effecting the same.

21. To correspond with and give notice to the corresponding Asset Management Company/Body Corporate/Registrar & Transfer Agent of securities.

22. To comply and /or cause to be complied with all statutory and other requirements attached to or arising outof these premises and for these purpose to take such steps and actions necessary or proper, includingsigning of affidavits, indemnity, declarations, legal documents, deeds and writings required.

23. To send consolidated summary of my / our scrip wise buy and sell positions taken with average rates by wayof SMS / e-mail at my / our registered mobile no. / email id as provided by me / us through contract note orany other intimation, on a daily basis, notwithstanding any other document to be disseminated as specifiedby SEBI from time to time.

24. To arrange to return to me / us the securities that may have been received by LKP erroneously or thosesecurities that LKP is not entitled to receive from me / us.

25. For all or any of the purpose aforesaid to appoint from time to time a client representative as per applicablelaws, rules & regulations of SEBI and exchange(s) and to revoke such representation but so that theappointment of any such representative shall not affect or prejudice the rights or powers of the Attorney toact hereunder and the Attorney may continue to do so notwithstanding such appointments.

26. To do or omit to do all such acts and things as LKP may in its discretion consider to be necessary ordesirable in order to exercise its powers hereunder or to comply with any laws, orders, rules, regulations ordirections of any government or regulatory or other authorities.

27. My/Our Attorney LKP shall not be liable for any loss that may result from failure/inability of electronic connectivityor rejection of my/our application for any reason beyond its control.

34

28. My/our Attorney LKP shall not be liable for any transaction processed on the basis of information provided byLKP to the issuers / owners of securities or investment products in the applications or otherwise based onthe information provided by me / us.

29. To receive intimation from the Exchange/RTA/Company/ Bank/DP or any other party regarding the allocation/allotment/rejection/regret of the securities or such other “Investment Product” applications / subscriptions/withdrawal or any other communications.

30. To debit my /our any account(s) towards monies/fees/charges etc. by virtue of my/our using/subscribing toany of the facilities/ services provided to me or sought by me/us.

31. I/we agree that LKP is entitled to credit the refund amount on account of application rejection due to whatsoeverreason in the designated bank account.

32. I/We agree that LKP shall return to me/us, the securities or funds that may have been received by iterroneously or those securities or fund that it was not entitled to receive from me/us.

AND I/We hereby agree that LKP shall exercise such powers and authorities conferred under the above Powerof Attorney only pursuant to the instructions in that behalf given by me/us or my/our approved AuthorisedRepresentative, which may be given orally, over the telephone, through the internet, electronically or in any othermanner acceptable to LKP and such instructions shall be deemed to have been given by me/us in respect of theclauses explicitly mentioned therein not otherwise.

AND I /We hereby agree that all such acts done by my/our above mentioned attorney shall be deemed to be actsdone by me/us and if necessary shall be ratified by me/us on the instructions of the said attorney.

I / we may revoke this Power of Attorney at any time by giving notice to LKP in writing at below mentioned addressand the cessation of this authority shall not affect or impair any act thereto done in exercise of these presents.

LKP Securities Ltd.13th Floor, Raheja CenterFree Press Road, Nariman PointMumbai - 400 021

The revocation shall be subject to due receipt, verification and processing of the same by LKP.

I/we hereby undertake to ensure that prior to the revocation of this power of attorney all amounts of debit balancesincluding penalties and other lawful charges & expenses till the date of revocation due to the Attorney as per itsrecords are paid/ cleared in full.

This document shall be subject to the jurisdiction of the Courts in West Bengal.

Made and executed at __________________________ on this ________ day of ____________________ 20_____.Schedule 1

First / Sole Holder(Trading Account Client)

Second Holder

Third Holder

Trading Account No. /Client ID

Demat Account No.

�12

�

� 8

8

�12

35

Schedule 2Client Designated Demat Account Nos.

LKP Designated Demat Account Nos. :

DP Name : LKP SECURITIES LTD.

IN WITNESS WHEREOF I/We have hereunto set and subscribed my/our respective hands to these presents theday and the year herein above written.Name

1.

2.

3.

In the presence of :

We hereby agree to execise the powers conferred upon us in terms of the clauses mentioned hereinabove.

For LKP Securities Ltd.

Authorised SignatoryDate :

DPID : CLIENT ID DPID :CLIENT ID

Witnesses

1. Name Signature

Address

2. Name Signature

Address

�

�

�

�

�

IN300011-10004177

1203000000002836

1203000000018124

IN300888-20662091

1203000000002821

1203000000002568

1203000000002840

1203000000005592

IN301330-18828273

1203000000110432

1203000000004696

IN300888-14917704

1203000000110447

1203000000388590

IN300095-11440476

1100001000014352 ,1100001100015580

13

� 9

� 9

2a

2b

6

�13

� In case the Power of Attorney is executed by HUF account, all members should sign above.� The POA signed by the client shall be binding on the client only in respect of the clauses

explicitly mentioned therein not otherwise.

36

Common Registration Form for availing SMS Alert and /or TRUST facilityTo

LKP SECURITIES LTD.

Dear Sir/Madam,

I/We wish to avail the following facility/ies provided by the depository on my/our mobile number as providedbelow, subject to the terms and conditions as specified by CDSL :

a. SMART-SMS alert facility �

b. TRUST-Transaction using Secured Texting facility �

(please note that SMS alert facility is mandatory if TRUST facility is opted for)BOID

(Please write your 8 digit DPID) (Please write your 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 +91

(Please write only the mobile number without prefixing country code or zero)(Existing users registered for SMS alerts:- Please note that if the mobile number for TRUST is different thanthe registered mobile number for SMS alert, the new mobile number will be updated for SMS alert also. )The mobile number is registered in the name of:

(Name) __________________________________________________________________________

Email ID: _________________________________________________________________________

(Please write only ONE valid email ID on which communication; if any, is to be sent)

I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions inmy/our account as is necessary for the purpose of availing the said facility.I/We have read and understood the terms and conditions prescribed by CDSL for the said facility/ies and agreeto abide by them and any amendments thereto made by the depository from time to time. I/ we further undertaketo pay fee/ charges as may be levied by the depository from time to time.

I / We would like to instruct the DP to accept all the pledge instructionsin my /our account without any other further instruction from my/our end(If not marked, the default option would be ‘No’)I/ We would like to share the email ID with the RTA

I / We would like to receive the Annual Report � Physical � Electronic � Both Physical and Electronic(Tick the applicable box. If not marked the default option would be in Physical)

I wish to avail the TRUST facility using the Mobile number registered for SMSAlert Facility. I have read and understood the Terms and Conditions prescribedby CDSL for the same. � Yes � No

I/We wish to register the following clearing member IDs under my/our belowmentioned BO ID registered for TRUST.

� Yes � No

� Yes � No

Stock Exchange Name/ID Clearing Member NameClearing Member ID

(Optional)

Date:

Place:

Sole / First Holder Second holder Third Holder�10�10

Transaction Using SecuredTexting Facility (TRUST)

�14 /�14

37

ONLY FOR INDIVIDUAL

Date :

ToLKP SECURITIES LTD.203, Embassy centreNariman PointMumbai - 400 021

Dear Sirs,

SUB. : AUTHORITY LETTER FOR DEALINGS

I am intending to have dealings with LKP SECURITIES LTD. and hereby authorise my husband / wife / father* /daughter* / son* Mr/ Ms ___________________________________________ to execute orders on my behalf &deal on � National Stock Exchange of India Ltd., � BSE Limited, and � Metropolitan Stock Exchange of IndiaLtd. and any dealings/actions done on my behalf by above mentioned person shall be acceptable to me Subjectto the Bye laws, Rules and Regulations of the Exchanges from time to time.

The Specimen Signature of the Authorised person is given below:

Specimen Signature in full__________________________________________________

Thanking you,

Yours faithfully,

_____________________________________________Signature

Name_________________________________________

* only dependent parents and dependent children

VOLUNTARY

�15

38

Date :_______________________


Dear Sir, Unique Client code no. Demat A/c No.: 1203000000

SUB.:Digital Contract notes/account statements/Transaction cum holding Statement

I/We agree to receive contract notes/ statements/securities transaction statements / demat statements/ marginstatement, confirmation slips, notices, circulars, etc. in respect of my /our dealings in Cash, currency derivatives,F&O segments of the exchanges and/or IPO products. I/we wish to register for digital contract notes onlythrough email from you in accordance with the SEBI circular SMDRP/POLICY/CIR-56/00 dated December 15,2000. I/We also authorize the member to stop issuing physical copies of contracts unless required by me / usand if deemed suitable to the member.

I/We also agree that the dispatch of the digital contract note from the member’s end shall constitute deemeddelivery of the same unless bounced back and it shall be my /our responsibility to check my / our emails for thesame. I/We also agree to bring to the member’s notice any discrepancy at the earliest after receipt of the statementor any sort of document failing which the contract shall be considered as accepted and acknowledged in totowithout any discrepancies, save and except typographical and technical errors.

I/We also authorize the member to send quarterly financial account statements/securities transaction statements/ other statements periodically through the email mode and in physical mode only under specific requests fromme / us. The email address or addresses to be used for the purpose of sending digital contracts and otherdocuments such as account statements/securities transaction statements / confirmation slips/ demat statements/margin statement, notices, circulars, etc. is/are mentioned below

Email address :

Email address :

Pursuant to the amendment in Clause 3 of the agreement (Annexure C to the Bye Laws of CDSL), I/We confirmhaving opted to receive the statement of accounts pertaining to the above mentioned BO account in electronicmode in lieu of physical copy of the statement of account.

In case of any change in email id, same will be communicated by me in writing to LKP.

I also have noted that the digital contracts would also be available to me on www.lkpsec.com.

This authority is valid till we continue to maintain association with your company or can be revoked by me / us atany point of time.

Yours truly,

Sole / First Holder Second holder Third Holder

VOLUNTARY

Date:

�11�15 �16 /� 11

39

Date :________________________


Unique Client Code No. Ref : Authority letter for adjustment of funds and shares across all segments

and maintaining running account

Respected Sir,

I/We _______________________________________ have entered into Mandatory & Voluntary Client RegistrationDocuments/Rights and obligations sheet prescribed for trading on NSE, MSEI and BSE and investing in primarymarket products. Pursuant to completion of registration formalities I/we wish to commence trading on:

� BSE � NSE � MSEI � all segments including Mutual Fund� Primary Market products.

I/We hereby willfully and unconditionally issue following standing instructions with reference to personal discussionbetween us for my/our operational convenience.

� I / we will make payments to you for bills raised by you. I/we am/are agreeable for maintaining runningaccount and instruct you that no Cheque / Shares be issued to me / us towards credit balance in my account,unless specifically demanded by me / us and only to the extent of amount demanded by me / us.

� I / we are agreeable that the unencumbered credit balance of funds and shares etc. lying in my/our accountbe treated as margin across the segments and products that I/we have registered for and also allowed to betransferred towards adjustment of any debit balance in my/our account.

� I / we am / are agreeable for utilization of unencumbered balance lying in my/our account to be utilized whileapplying for Primary market products etc. as authorized by me/us.

� I / we am / are agreeable for inter-settlement transfer of securities towards pay-in/pay-out of securities in thefuture /past settlements.

� I / we am / are agreeable for and authorise you to withheld funds pay-out towards all the applicable marginsand debits.

� I/We authorize LKP to retain an amount up to Rs 10,000 (consolidated amount across segment and acrossstock exchanges wherever I/we am/are registered with you) for settlement of funds and securities of thatrespective traded quarter/month in context of NSE circular no. NSE/INSP/24849 dated 29.10.2013, BSEnotice no. 20131029-15 dated 29.10.2013 and MSEI circular no. 1552 dated 30.10.2013.

As regards the placement of orders, although you had insisted on written instruction for placing orders, consideringthe practical difficulties faced by me / us in complying the same, I / we would request you to accept orders placedorally on telephone.

I am aware that the above mentioned points are voluntary and I have an authority to set aside or revoke any ofthem anytime whenever I want to. These standing instructions are valid from the date the account is opened andwill be valid until revoked. I/We instruct you to settle my account on monthly basis � or quarterly basis �(Strike out whichever is not applicable).

I have read, received and understood Rights & obligations sheet, policies and Risk disclosure documentsprescribed by Exchange.

Thanking You,

Yours Faithfully,

Signature of the client___________________________________________

Name : ____________________________________________

VOLUNTARY

16 �17 /�

40

Date :______________________


Dear Sir,

Sub : Authority for funds pay out / pay in electronically through NEFT/RTGS

This is with reference to the KYC & Mutual fund Activation Application executed with you for the purpose of dealingin all segment and Mutual fund on the stock exchange(s) through you under client code_______________________.In this connection I/we request you to update my /our details in your records as given below.

Name of The Bank

Name of The Bank Branch

Account Type Saving/Current/Others

Account Number

IFSC CODE

MICR No.

I/We request you to make / accept transaction in respect of my/our dealing to / from the above mentioned bankaccount or any other bank account which I/We may intimate from time to time.

Terms and Conditions: In addition to the clauses contained in the Rights and Obligations, Mutual fund Regulationand other KYC documents executed with the client, the client herein specifically agrees with the LKP SecuritesLtd. and authorizes the LKP Securites Ltd. to arrange release of payout of funds (subject to other governingconditions agreed to in the KYC documents) by making direct credit and accept pay in from / to the bank accountof the client maintained with any bank, the details of which are provided by the client to the stock broker. It is alsoagreed to by the clients that since the bank account details are provided by the client (based on which the stockbroker were to arrange marking credits thereto) In case of any wrong entry flowing into any wrong account due tomistake on the part of the client, LKP Securites Ltd. shall not accept any responsibility/consequences relatingthereto. Registration/activation of payout of funds through Net Banking/EFT/RTGS/NEFT, etc. mode by LKP SecuritesLtd. is subject to receipt of copy of cancelled cheque from the client. Rejection/Deactivation of facility of payout offunds through Net Banking/EFT/RTGS/NEFT, etc. to the client is at the discretion of the LKP Securites Ltd.

"This is only a value added service offered to the clients, it does not prohibit the client from depositing cheque asdone in normal course of business. LKP shall not bear any responsibility of any system failure or payment notbeing credited/delayed/reflected in the client's account due to any technical or any other reason beyond its control.Please read and understand the manner, terms and conditions of online transfer before executing any transaction."

Thanking You,

Yours Faithfully,

________________________________Client Signature

VOLUNTARY

�18 / 17�

41

Date :____________________ ToLKP SECURITIES LTD.203, Embassy centreNariman PointMumbai - 400 021 Dear Sirs, RE : Dealings under NRO/NRE status I, ___________________________________, do hereby state that I am making an application to open an investmentand depository with your company subject to execution of all necessary documents mandated as per SEBI. I hereby undertake that I have complied and will continue to comply with all post compliance issues related to RBI(Portfolio Investments Scheme Registrations), Fema and Income Tax related to my dealings in the NRO / NREstatus with your company. Thanking you,Yours truly, Name & Signature

FEMA DECLARATION (Mandatory In case of NRI’s Account)

FOR NRO / NREOnly DP

(Perforated Card Only Demat)

(To be filled by the LKP SECURITIES LTD.)

Client IDDP ID

Name

First/Sole Holder Second /Joint Holder Third /Joint Holder

SpecimenSignatures

1 2 0 3 0 0 0 0

�19

�20 � 12 � 12

42

Undertaking for Online and Offline


Dear Sir,

1. I/we, __________________________________________, have read and understood terms related toonline account operation including rules and regulations, as more elaborately contained in Rights andObligations sheet provided in KYC. Accordingly, I/we hereby request you to open my online account.

2. However, I/we may place order / trade in any manner as per my/our convenience - through online or off-line mode - either verbally or in writing.

3. I/we agree that any change in operation / mode of said account from offline to online or vice versa will notaffect my/our liabilities and obligations towards LKP Securities Ltd. I/we shall be liable for satisfactorycompletion of all transactions/trades/dealings/orders executed in my/our account.

4. I/we also have noted that the digital contract note would also be available to me on www.lkpsec.com.

Yours Faithfully,

Client Signature

VOLUNTARY

�2118�

43

MFSS (MUTUAL FUND) FACILITY ACTIVATION

To

LKP SECURITIES LTD. Date: ________________

SUB: STAR MFSS (MUTUAL FUND) FACILITY ACTIVATION

Dear Sir,

I/We ____________________________________________________________________ am/are registered as your client withClient Code No.________________________________ and have executed the Rights and Obligations of stock brokers sub-brokersand client for the purpose of trading in the Capital Market segment of National Stock Exchange of India Ltd. / BSE Limited.

I/We am/are interested in availing the facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permittedto be dealt with. For the purpose of availing the facility, I/we state that Know Your Client details as submitted by me/us for the stock brokingmay be considered for the purpose and I/we further confirm that the details contained in same remain unchanged as on date.

I/We am/are willing to abide by the terms and conditions as mentioned in the SEBI circular no SEBI/IMD/CIR No. 11/ 183204/2009dated November 13, 2009, Exchange circular no NSE/MFSS/003/2009 dated November 24, 2009 and any other related circularsissued from time to time by the Exchange, SEBI, AMFI and other regulators. I/We shall also ensure compliance with the requirementsas may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India (AMFI).

I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum, addendumissued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/redeem. I/We further agree to abide bythe terms and conditions for using MFSS facility , rules and regulations of the Mutual Fund Schemes.

I/We therefore request you to register me/us as your client for participating in the______________________________( please specifyMFSS / BSE Star MF).

Details of terms & conditions for the Investor / Client for using New MFSS facility1 Pre-requisites for becoming Investor / Client for the

New MFSS facility1.1 The client who is desirous of investing in units of mutual fund

schemes through the New MFSS.

1.2 The Client intends to execute his instruction for thesubscription/redemption of units of Mutual Fund Schemesthrough the Participant of the New MFSS.

1.3 The client has satisfied itself of the capacity of the Participantto deal In Mutual Fund units and wishes to execute its instructionthrough the Participant and the client shall from time to timecontinue to satisfy itself of such capability of the Participantbefore executing transacting through the Participant.

1.4 The Client has approached to the Participant with theapplication for availing the New MFSS facility.

1.5 The client has submitted relevant KYC (Know Your Client)details to the Participants

2 Terms and Conditions2.1 The client shall be bound by circulars issued by NSEIL, Rules,

Regulations and circulars issued there under by SEBI andrelevant notifications of Government authorities as may be inforce from time to time.

2.2 The client shall notify the Participant in writing if there is anychange in the to the services that Participant renders to theClient information in the ‘client registration form’ provided bythe client to the Participant at the time registering as a clientfor participating in the New MFSS or at any time thereafter.

2.3 The client shall submit to the Participant a completedapplication form in the manner prescribed format for thepurpose of placing a subscription order with the Participant.

2.4 The client has read and understood the risks involved ininvesting in Mutual Fund Schemes.

2.5 The client shall be wholly responsible for all his investmentdecisions and instruction.

2.6 The client shall ensure continuous compliance with therequirements of the NSEIL, SEBI and AMFI.

2.7 The Client shall pay to the Participant fees and statutory leviesas are prevailing from time to time and as they apply to theClient’s account, transactions and

2.8 The client will furnish information to the Participant in writing,if any winding up petition or insolvency petition has been filedor any winding up or insolvency order or decree or award ispassed against him or if any litigation which may have materialbearing on his capacity has been filed against him.

2.9 In the event of non-performance of the obligation by theParticipant, the client is not entitled to claim anycompensation either from the Investor Protection Fund orfrom any fund of NSEIL or NSCCL.

2.10 In case of any dispute between the Participants and theinvestors arising out of the MFSS facility, NSEIL and / orNSCCL agrees to extend the necessary support for the speedyredressal of the disputes.

I have read and understood the above and I agree to abide by the same.

�Signature 22

VOLUNTARY

19�

44

Date : ___________________

ToLKP SECURITIES LTD.203, Embassy centreNariman pointMumbai - 400 021

Dear Sir/Madam,

I,_____________________________________________________ having PAN no. ________________________hereby authorize Mr./Ms/ M/s _____________________________________________________ bearing addressas ________________________________________________________________________________________to acquire by subscribing to or purchase of any investment product including but not limited to units of MutualFunds, Initial Public Offerings, Follow on Public Offering and such related products and to sell/ transfer/ endorse/pledge/ redeem or otherwise deal in such products as it may deem fit. LKP Securities Ltd. is hereby authorizedto act on instruction of the above-mentioned person/entity. All such acts carried out by LKP shall be final andbinding on me. LKP shall not be held responsible and be kept indemnified for all such transactions carried out inmy account.

Yours Faithfully,

________________________________________Signature

Client Name : _____________________________

* Authorised person should be as per applicable laws, rules & regulations

VOLUNTARYAuthority Letter for Investment Products*

�2320�

45

NSE Investor Service CentresMUMBAI - Western Regional OfficeNational Stock Exchange of India Ltd.6th Floor, Kohinoor City, Tower - 1Commercial - II, Kirol Road, Off. L. B. S. MargKurla (W), Mumbai - 400 070Phone : (022) 2504-5300, Fax : (022) 2504-5299E-mail : [email protected]

BANGALORENational Stock Exchange of India Ltd.Office No. 101, DBS House 26Cunningham Road, Bengaluru - 560 052, KarnatakaPhone : (080) 4040-7188 / 7101Fax : (080) 4040 7188E-mail : [email protected]

DELHINational Stock Exchange of India Ltd.4th Floor, Jeevan Vihar BuildingParliament Street, New Delhi -110 001Phone : (011) 2345-9133, 4939-3033Fax : (011) 2345-9291E-mail : [email protected]

INDORENational Stock Exchange of India Ltd.Ground Floor, B 31-6, Palika Plaza, Phase IIMTH Compound, Indore - 452 001Phone : +91 91675-77416E-mail : [email protected]

AHMEDABADNational Stock Exchange of India Ltd.Office No. 304/305, GCP Business CentreOpposite Memnagar Fire Station, NavrangpuraAhmedabad - 380 009Phone : (079) 4900-8609, Fax : (079) 4900-8660E-mail : [email protected]

CHENNAINational Stock Exchange of India Ltd.8th Floor, Arihant Nitco ParkNo 90 Dr Radhakrishnan Salai, MylaporeChennai - 600 004Phone : (044) 2847-9900 / 9909Fax : (044) 2847-9926 / 27E-mail : [email protected]

HYDERABADNational Stock Exchange of India Ltd.8-2-594/A/1, Third Floor, Urmila HeightsOpp Rainbow Hospital, Road No 10, Banjara HillsHyderabad - 500 034Phone : (040) 2335-7082/ 7083Fax : (040) 2335-7084E-mail : [email protected]

JAIPURNational Stock Exchange of India Ltd.13 First Floor, Gitanjali Tower, Ajmer Road, SodalaJaipur - 302 019Fax : (0141) 403-5195, E-mail : [email protected]

KANPURNational Stock Exchange of India Ltd.365-366, 3rd Floor, Padam Tower-214/113 Civil Lines, Kanpur - 208 001Phone : (0512) 323-2669E-mail : [email protected]

PUNEM/s. Regus Business Centre (Pune) Pvt. Ltd.Regus, NSEIL’s Office No. 233, Level - IIConnaught Place, Bund Garden, Pune - 411001Phone : (020) 4014-7519, Fax : (020) 4014-7576E-mail : [email protected]

LUCKNOWNational Stock Exchange of India Ltd.110 - 1st floor, Titanium, Shalimar Corporate ParkTC/G-1/1, Vibhuti khand, Gomti NagarLucknow - 226 010Phone : (0522) 606-0030E-mail : [email protected]

HEAD OFFICENational Stock Exchange of India Ltd.Exchange Plaza, C-1, Block GBandra Kurla Complex, Bandra (E)Mumbai - 400 051Phone : (022) 2659-8173, Fax : (022) 2659-8191E-mail : [email protected]

KOLKATANational Stock Exchange of India Ltd.1st Floor, Park View Apartments99, Rash Behari Avenue, Kolkata - 700 029Phone : (033) 4040-0400, Fax : (033) 4040-0440E-mail : [email protected]

PATNANational Stock Exchange of India Ltd.No. 305, 3rd Floor, Vasundhara Metro MallBoring Canal Road, Patna - 800 001Phone : 095706-60011E-mail : [email protected]

VADODARANational Stock Exchange of India Ltd.Atlantis Height, Office No. 505, 5th FloorSarabha Main Road, AlkapuriVadodara - 390 007, GujaratPhone : 097277-34971E-mail : [email protected]

46

BSE Investor Service CentresAhmedabad - BSE Investor Service Centre203/204, ‘Abhishree Avenue’Near Nehru Nagar Circle, S. M. Road,AmbawadiAhmedabad - 380 015Phone : (079) 2640-2992, 2646-2992Fax : 079 - 2640 2992E-mail : [email protected]

Bangalore - BSE Investor Service CentreStock Exchange Towers, Annexe Building No. 511st Cross, J C RoadBangalore - 560 027Phone : (080) 4150-5075E-mail : [email protected]

Chennai - BSE Investor Service CentreNo.4, Vijaya Towers, 3rd FloorKodambakkam High Road(Opp. to Palm Grove Hotel)Chennai - 600 034Phone : (044) 4208-9959Telefax : (044) 4208-9958E-mail : [email protected]

[email protected]

New Delhi - BSE Investor Service Centre101, 1st Floor, Aggarwal Corporate TowerPlot No. 23, District Center, Rajendra PlaceNew Delhi - 110 008Phone : (011) 2578-2116 - 18E-mail : [email protected],

[email protected]

Hyderabad - BSE Investor Service CentreFlat No. 302, Marigold Pavani EstatesDwarkapuri Colony, PujaguttaHyderabad - 500 082Phone : (040) 3060-5844/45/46E-mail : [email protected]

Indore - BSE Investor Service CentreG - 12 - 13, Bansi Trade CentreM. G. RoadIndore - 452 001Phone : +91 99770-69237E-mail : [email protected]

Jaipur - BSE Investor Service CentreOffice No. 401, Situated on 4th FloorDurga Business CenterOpp. Hotel Gangaur, M. I. Road, Jaipur - 302 001Phone : (0141) 237-0877 / 8077E-mail : [email protected]

Kanpur - BSE Investor Service Centre5th Floor, Padam Towers14/113, Civil Lines, Kanpur - 208 001Phone : (0512) 233-8115 / 8074E-mail : [email protected]

Kolkata - BSE Investor Service Centre57 Jawaharlal Nehru Road, Horizon, 2nd FloorNear Rabindra Sadan Metro, Kolkata - 700 071Phone : (033) 2282-1375, Telefax : (033) 2282-1376E-mail : [email protected],

[email protected]

Lucknow - BSE Investor Service Centre109, 1st Floor, Saran Chamber - 25, Park Road,1 Hazaratganj, Lucknow - 226 001E-mail : [email protected]

Mumbai - BSE Investor Service CentreCama Building, 1st FloorDalal Street, Fort, Mumbai - 400 001Phone : (022) 2272-1233/34, Fax : (022) 2272-3677E-mail : [email protected]

Patna - BSE Investor Service Centre609, 6th Floor, Ashiana PlazaBudh Marg, Patna - 800 001E-mail : [email protected]

Pune - BSE Investor Service CentreShivleela Chambers, 4th Floor, 752 Sadashiv PethR. B. Kumathekar Marg, Pune - 411 030Phone : (020) 6520-2065E-mail : [email protected]

Vadodara - BSE Investor Service CentreE/1, 109, Tower 3, Kashi Visheswar Township FlatJetalpur Road, Vadodara - 390 007E-mail : [email protected]

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MSEI Investor Service Centres

AHMEDABAD

Metropolitan Stock Exchange of India Limited

Investor Service Center

507, Sun Square, Near Hotel Nest

Off C. G. Road

Ahmedabad - 380 009

Phone : (079) 3244-7968

E-mail : [email protected]

CHENNAI



F-1, Akshaya Plaza

Adithanar Salai (Harris Road), Pudupet

Chennai - 600 002

Phone : (044) 3202-7989


DELHI



4D, 4th Floor, Gopala Tower

25, Rajendra Place

New Delhi -110 005

Phone : (011) 4679-3800


HYDERABAD



Unit No. 412 –B, 4th Floor, Down Town - The Mall

Beside Lotus Hospital, Lakdi-ka-pul

Hyderabad - 500 004

Phone : +91-95054-46566


INDORE



G-26/B, City Center

570, M. G. Road, Opp. High Court

Indore - 452 001

Phone : +91-78040-44818


KANPUR



Cabin No. 407, Krishna Tower, Civil Line

Kanpur - 208 001, Uttar Pradesh

Phone : (051) 2331-5568


KOLKATA



Mangalam Building

A-Block, 6th Floor, Room No. 602

24, Hemanta Basu Sarani

Kolkata - 700 001

Phone : (033) 3008-4646


MUMBAI



Vibgyor Towers, 4th Floor, Plot No C 62

G-Block, Opp. Trident Hotel

Bandra Kurla Complex, Bandra (E)

Mumbai - 400 098

Phone : (022) 6112-9028


[email protected]

ORDER PLACEMENT SLIP

DateExchange

(BSE / NSE / MSEICash/F&O/Currency)

Scrip Quantity Signature

�2124 �

ACKNOWLEDGEMENT FOR THE RECEIPT OF DOCUMENTS

From :

Date :____________________


Ref. : Acknowledgement for the receipt of Mandatory & Voluntary Client Registration Documents

Dear Sir,

This is to acknowledge the receipt of a copy of the duly executed following documents viz.,

1. Copy of KYC Form

2. Copy of Rights and Obligations of stock broker, sub-broker and client & DP

3. Copy of Risk Disclosure Document

4. Copy of Guidance Note

5. Copy of Policies & Procedures

6. Copy of Tariff / Brokerage Charge Sheet

7. A copy of any other voluntary document executed by me as a client

I/we hereby declare that I/we have the full intimation of the trading code and the unique client code allotted to me/us and the email id for the purpose of receiving electronic contract notes.

I / We am/are also aware of the fact that LKP does not guarantee and shall not be deemed to have guaranteed thetimeliness, sequence, accuracy, completeness, reliability or content of the market information or messages,disseminated to the client. LKP does not guarantee any fixed return or capital guarantee on the investment, sincereturn on investment in stock market is subject to various risks and dynamics.

Thanking you,

Yours truly,

_______________________ _______________________ _______________________ Sole / First Holder Second holder Third Holder

__________________________Authorised Signatory�22

�25 � 13 � 13

Registered Office :203 Embassy Centre, Nariman Point, Mumbai - 400 021

Phone : (022) 2282-8234, Fax : (022) 2282-2415E.mail : [email protected], Website : www.lkpsec.com

CIN : U67120MH1994PLC080039

Trading & Demat LKP · 2015-09-14 · Investment Products 18. Exchange Address Contact details for...

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Transcript of Trading & Demat LKP · 2015-09-14 · Investment Products 18. Exchange Address Contact details for...