ACCOUNT OPENING FORM - iVentures - INDIVIDUAL.pdf · Fueling Your Aspirations iVENTURES CAPITAL PVT. LTD. ACCOUNT OPENING FORM

Fu e l i n g Yo u r A s p i r a t i o n s

iVENTURES CAPITAL PVT. LTD.

ACCOUNT OPENING FORM

Name of Stock Broker / Trading Member / Clearing Member:

iVENTURES CAPITAL PVT. LTD.EXCHANGE NAME SEGMENT SEBI REGISTRATION NO. DATE

NSE Cash INB231356735 03/12/2009

NSE F&O INF231356735 03/12/2009

NSE Currency Derivatives INE231356735 03/12/2009

BSE Cash INB011356731 14/09/2010

BSE F&O INF011356731 14/09/2010

MCX-SX Currency Derivatives INE261356735 03/12/2009

CDSL Depository Participant IN-DP-CDSL-588-2010 08/10-2010

Registered Office Address:

17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048

Phone : +91-11-40947000

E-mail : [email protected], Website : www.iventures.in

Corporate Office Address

A-18, FIEE Complex, Okhla Phase-II, New Delhi-110020

Phone : +91-11-40947000

E-mail : [email protected], Website : www.iventures.in

Compliance Officer Details :Name : Nitin JindalPhone No. : +91-11-40947000, 9818515141Email id : [email protected]

CEO DetailsName : Nirmal BansalPhone No. : +91-11-40947000, 9810377077Email id : [email protected]

For any grievance/dispute please contact iVENTURES CAPITAL PVT. LTD. at the above address or email id: [email protected] and Phone No.: +91-11-40947000. In case not satisfied with the response, please contact the concerned exchange(s) at :

Exchange Name Email ID Phone No.

NSE [email protected] +91-22-26598100BSE [email protected] +91-22-22721233/34MCX-SX [email protected] +91-22-6731 9000CDSL [email protected] 1800-200-5533


01

Know Your Client (KYC)Application Form (For Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS

Application No. :

A. Identity Details (please see guidelines overleaf)

1. Name of Applicant (As appearing in support identification document).

Name

Father’s/Spouse Name

2. Gender Male Female B. Marital Status Single Married C. Date of Birth d d m m y y y y

3. Nationality Indian Other (Please specify)

4. Status Please tick (3) Resident Individual Non Resident Foreign National (Passport Copy Mandatory for NRIs & Foreign Nationals)

PHOTOGRAPH

Please affixthe recent passportsize photograph and

sign across it

5. PAN Please enclose a duly attested copy of your PAN Card

Aadhaar Number, if any :

6. Proof of Identity submitted for PAN exempt cases Please Tick (3)

UID (Aadhaar) Passport Voter ID Driving Licence Others (Please see guideline ‘D’ overleaf

B. Address Details (please see guidelines overleaf)

1. Address for Correspondence

City/Town/Village

State

Pin Code

Country

City/Town/Village

State

Pin Code

Country

2. Contact Details

Tel. (Off.)

Mobile

E-Mail Id.

(ISD)

(ISD)

(STD)

(STD)

(ISD)

(ISD)

(STD)

(STD)

Tel. (Res.)

Fax

4. Permanent Address of Resident Applicant if different from above B1 OR Overseas Address (Mandatory) for Non-Resident Applicant

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (3) against the document attached.

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook

*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please Specify)

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (3) against the document attached.

Passport Ration Card Registered Lease/Sale Agreement of Residence Driving License Voter Identity Card *Latest Bank A/c Statement/Passbook

*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Gas Bill Others (Please Specify)

*Not more than 3 Months old. Validity/Expiry date of proof of address submitted d d m m y y y y

6. Any other information

DECLARATION SIGNATURE OF APPLICANTI hereby declare that the details furnished above are true and correct to the best of my/our 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 or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

Place Date


FOR OFFICE USE ONLY

AMC/Intermediary name OR code

(Originals Verified) Self Certified Document copies received

(Attested) True copies of documents received

Main Intermediary

IPV Done on d d m m y y y y

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

(To be filled by the applicant in BLOCK LETTERS in English)

(To be filled by the Depository Participant)

Application No.

DP Internal Reference No.

DP ID

Date

Client ID

D D M M Y Y Y Y

I/We request you to open a demat account in my/our name as per the following details

ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT ( FOR INDIVIDUAL)

Holders Details

PAN

UID

PAN

UID

PAN

UID

Sole/First HolderName

Second Holder Name

Third HolderName

1 2 0 6 7 5 0 0

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm,Unregistered Trust, etc., should be mentioned above.

Name *

Details of Guardian (in case the account holder is minor)

Guardian’s Name

PAN Relationship with the applicant

Type of Account (Please tick whichever is applicable)

Individual

NRI

Foreign National

Status Sub - Status

Individual Resident

Individual HUF / AOP

Individual Margin Trading A/c (MANTRA)

NRI Repatriable

Foreign National

NRI Non-Repatriable Promoter

Others (specify)____________

NRI Non-Repatriable

Foreign National Depository Receipts

NRI-Depository Receipts

NRI Repatriable Promoter


Individual - Director

Individual Promoters

Individual Director’s Relative

Minor


I/We instruct the DP to receive each and every credit in my/our account(If not marked, the default option would be ‘Yes’)I/We would like to instruct the DP to accept all the pledge instructions inmy/our account without any other further instruction from my/our end(If not marked, the default option would be ‘No’)

[Automatic Credit] Yes No

Yes No

I/We wish to receive dividend / interest directly in to my bank account as given below through ECS (If not marked, the default option would be ‘Yes’) [ECS is mandatory for locations notified by SEBI from time to time]

YesNo

Account Statement Requirement

I/We request you to send Electronic Transaction-cum-Holding Statement at the email ID ________________________________________________________________________________________________

As per SEBI Regulation Daily Weekly Fortnightly Monthly

Yes No

I/We would like to share the email ID with the RTA Yes No

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

Physical / Electronic /

Both Physical and Electronic

13

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

Name

Signature

Address

Name

Signature

Address

FOR OFFICE USE ONLY

Name(s) of the Authorised Signatory Signature of the Authorised Signatory

1.

2.

3.

DECLARATION

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to 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 and procedures of the stock broker 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 these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker's designated website, if any.

4. I/We declare that iVENTURES CAPITAL PVT. LTD. , the brokers, has put me/us on notice that it is engaged in not only client based trading but also in pro-account trading.

DISCLOSURE

Dear Client, This is to inform you that we do client based trading and pro-account trading in National Stock Exchange of India limited (NSE), BSE Ltd. (BSE), & MCX Stock Exchange Limited (MCX-SX)For iVENTURES CAPITAL PVT. LTD.

Authorized Signatory

12

Signature of the Authorised Signatory

Name of the Employee /A P / SB

UCC Code allotted to the Client: .............................................................................................

Documents verifiedwith Originals

Client Interviewed By In-Person Verificationdone by

Employee Code

Designation of the Employee / AP / SB

Date

Signature

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

Seal/Stamp of the stock broker*AP: Authorized Person SB: Sub-broker

Date D D M M Y Y Y Y


iVENTURES CAPITAL PVT. LTD.(Depository Participant with CDSL)

DP-ID : CDSL - 12067500 | SEBI REGN. NO.: IN-DP-CDSL-588-2010

Phone : +91-11-40571206, Fax : +91-11-41604408E-mail : [email protected], Website : www.iventures.in

Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048

As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian:

Full name of Guardian of Nominee

E-mail ID

Telephone No. Fax No.

Relationship of Guardian with Nominee

AddressCity/town/village

StatePIN CodeCountry

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

Note : Two witnesses shall attest signature(s) / thumb impression(s)

DETAILS OF THE WITNESS

First Witness

Name of witness

Address of witness

Signature of witness

Second Witness

I/We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.

First/Sole Holder orGuardian (in case of Minor)

Name

Signature

Second Holder Third Holder

(Signatures should be preferably in black ink ).

15

Nomination DetailsI/We the Sole Holder / Joint Holder / Guardian (in case of minor) hereby declare that

Nomination Regn. No.

DatedI/We do not wish to nominate any one for this demat accountI/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.

Full Name of the Nominee

E-mail ID

Telephone No.

PAN

Fax No.

UID

Relationship with BO (if any)

Date of Birth (mandatory If nominee is a minor)



SMS Alerts Facility

Refer to Terms &Conditions given as

Annexure 2.4

Mobile No. + 9 1

[(Mandatory , if you are giving Power of Attorney ( POA)]

(If POA is not granted & you do not wish to avail of this facility, cancel this option).

To register for easi, please visit our website : www.cdslindia.comEasi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

(I) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)(ii) Photocopy of the Bank Statement having name and address of the BO(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank.ØIn case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.

Other Details

Gross Annual Income Details

Up to Rs. 1,00,000Income Range per annum

Rs. 1,00,001 to Rs. 5,00,000 Rs. 5,00,001 to Rs. 10,00,000

Rs. 10,00,001 to Rs. 25,00,000 More than Rs. 25,00,001

Net worth as on (Date) _____/_____/20___ Rs. _____________ [Net worth should not be older than 1 year]

Occupation Private / Public Sector Govt. Service Business Professional AgricultureRetired Housewife Student Others (Specify)_______________

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

Any other information

Transactions UsingSecured TextingFacility (TRUST)Refer to Termsand ConditionsAnnexure - 2.6

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Conditions prescribed by CDSL for the same. Yes No

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

Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)

Bank Details [Dividend Bank Details]

Bank Name Branch Name

BankBranch Address

City/town/village


Bank A/c Type Saving Current Others __________Pl. SpecifyBank A/c No.

( * 9 digit MICR Code ) #( 11 Character )

MICR Code* #IFSC Code

14

As the nominee is a minor as on date, to receive the securities in this account on behalf of the nominee in the event of the death of the Sole holder / all Joint holders, I/We appoint following person to act as Guardian:

Full name of Guardian of Nominee

E-mail ID

Telephone No. Fax No.

Relationship of Guardian with Nominee



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

Note : Two witnesses shall attest signature(s) / thumb impression(s)

DETAILS OF THE WITNESS

First Witness

Name of witness

Address of witness

Signature of witness

Second Witness

I/We have received and read the Rights and Obligations document and terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material information will render my account liable for termination and suitable action.

First/Sole Holder orGuardian (in case of Minor)

Name

Signature

Second Holder Third Holder

(Signatures should be preferably in black ink ).

15

Nomination DetailsI/We the Sole Holder / Joint Holder / Guardian (in case of minor) hereby declare that

Nomination Regn. No.

DatedI/We do not wish to nominate any one for this demat accountI/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.

Full Name of the Nominee

E-mail ID

Telephone No.

PAN

Fax No.

UID

Relationship with BO (if any)

Date of Birth (mandatory If nominee is a minor)



SMS Alerts Facility

Refer to Terms &Conditions given as

Annexure 2.4

Mobile No. + 9 1

[(Mandatory , if you are giving Power of Attorney ( POA)]

(If POA is not granted & you do not wish to avail of this facility, cancel this option).

To register for easi, please visit our website : www.cdslindia.comEasi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

(I) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)(ii) Photocopy of the Bank Statement having name and address of the BO(iii) Photocopy of the Passbook having name and address of the BO, (or)(iv) Letter from the Bank.ØIn case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document.

Other Details

Gross Annual Income Details

Up to Rs. 1,00,000Income Range per annum

Rs. 1,00,001 to Rs. 5,00,000 Rs. 5,00,001 to Rs. 10,00,000

Rs. 10,00,001 to Rs. 25,00,000 More than Rs. 25,00,001

Net worth as on (Date) _____/_____/20___ Rs. _____________ [Net worth should not be older than 1 year]

Occupation Private / Public Sector Govt. Service Business Professional AgricultureRetired Housewife Student Others (Specify)_______________

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

Any other information

Transactions UsingSecured TextingFacility (TRUST)Refer to Termsand ConditionsAnnexure - 2.6

I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the Terms and Conditions prescribed by CDSL for the same. Yes No

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

Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)

Bank Details [Dividend Bank Details]

Bank Name Branch Name

BankBranch Address

City/town/village


Bank A/c Type Saving Current Others __________Pl. SpecifyBank A/c No.

( * 9 digit MICR Code ) #( 11 Character )

MICR Code* #IFSC Code

14

Client IDDP ID

First Holder’s Name : _________________________________________________________________________________

Second Holder’s Name : _________________________________________________________________________________

Third Holder’s Name : _________________________________________________________________________________

Mobile No. on which messages are to be sent

(Please write only the mobile number without prefixing country code or zero)

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

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

+ 9 1

IN CASE OF JOINT HOLDERS, ALL JOINT HOLDERS MUST SIGN.* Please do not use correction fluid, all cuttings must be attested by all the joint holder(s).

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

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

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

9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BO should immediately inform the DP in writing.

Fees :

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

Disclaimer :

The depository shall make reasonable efforts to ensure that the BO’s personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use/ misuse of such information by any third person.

Liability and Indemnity :

The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to

unauthorized consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

Amendments :

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

Governing Law and Jurisdiction :

Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai.

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

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

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

access to the information meant for the BO. In

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

Sole/First Holder Name & Signature Second Holder Name & Signature Third Holder Name & Signature

The Mobile Number is registered in the name of : _______________________________________________________________

E-mail Id: ______________________________________________________________________________________________

1 2 0 6 7 5 0 0

19

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

Definitions :

In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

1. “Depository” means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch offices and includes its successors and assigns.

2. ‘DP’ means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.

3. ‘BO’ means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be opened with a depository as specified by the depository from time to time.

4. SMS means “Short Messaging Service”

5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.

6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for providing the SMS alerts to the BO.

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

Availability :

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

2. The service is currently available to the BOs who are residing in India.

3. The alerts will be provided to the BOs only if they remain within the range of the service provider’s service area or within the range forming part of the roaming network of the service provider.

4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as submitted at the time of registration / modification.

5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the BO wants to receive the alerts from the depository. In case of change in mobile number not intimated to the depository, the SMS

alerts will phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobile number.

Receiving Alerts :

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

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

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

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

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

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. T h e B O m a y s e n d a n e m a i l t o C D S L a t [email protected]. The BO is advised not to inform the service provider about any such unauthorized debit to/ transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository.

continue to be sent to the last registered mobile

Terms and Conditions-Cum-Registration / Modification Form for receiving SMS Alerts from CDSL

Annexure 2.4


18

Client IDDP ID

First Holder’s Name : _________________________________________________________________________________

Second Holder’s Name : _________________________________________________________________________________

Third Holder’s Name : _________________________________________________________________________________

Mobile No. on which messages are to be sent

(Please write only the mobile number without prefixing country code or zero)

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

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

+ 9 1

IN CASE OF JOINT HOLDERS, ALL JOINT HOLDERS MUST SIGN.* Please do not use correction fluid, all cuttings must be attested by all the joint holder(s).

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

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

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

9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BO should immediately inform the DP in writing.

Fees :

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

Disclaimer :

The depository shall make reasonable efforts to ensure that the BO’s personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use/ misuse of such information by any third person.

Liability and Indemnity :

The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to

unauthorized consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

Amendments :

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

Governing Law and Jurisdiction :

Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai.

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

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

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

access to the information meant for the BO. In

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


The Mobile Number is registered in the name of : _______________________________________________________________

E-mail Id: ______________________________________________________________________________________________

1 2 0 6 7 5 0 0

19

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

Definitions :

In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

1. “Depository” means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch offices and includes its successors and assigns.

2. ‘DP’ means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.

3. ‘BO’ means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be opened with a depository as specified by the depository from time to time.

4. SMS means “Short Messaging Service”

5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.

6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for providing the SMS alerts to the BO.

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

Availability :

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

2. The service is currently available to the BOs who are residing in India.

3. The alerts will be provided to the BOs only if they remain within the range of the service provider’s service area or within the range forming part of the roaming network of the service provider.

4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as submitted at the time of registration / modification.

5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the BO wants to receive the alerts from the depository. In case of change in mobile number not intimated to the depository, the SMS

alerts will phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobile number.

Receiving Alerts :

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

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

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

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

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

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. T h e B O m a y s e n d a n e m a i l t o C D S L a t [email protected]. The BO is advised not to inform the service provider about any such unauthorized debit to/ transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository.

continue to be sent to the last registered mobile

Terms and Conditions-Cum-Registration / Modification Form for receiving SMS Alerts from CDSL

Annexure 2.4


18

TARIFF STRUCTURE FOR DEPOSITORY SERVICES (DEMAT ACCOUNTS) (W.E.F. 01.09.2014)

20

PARTICULARSSl. No.

Account Opening Charges1.

Annual Maintenance Charges2.

KRA Charges / Documentation3.

Dematerialisation4.

a) For Individual/ HUF

a) Upload of KYC data

b) Download of KYC Data

AMC Rs. 750/- per annum

Rs. 200/- per holder

Rs. 100/- per holder

Rs. 20/- per certificate with a minimum of Rs. 100/ plus Rs. 50/- postage / courier charges

AMC Rs. 1800/- per annum

AMC Rs. 1800/ - per annum

b) For NRI / Foreign National

c) For Corporate/Clearing Member

NIL

TARIFF RATE

Rematerialisation5.

a) Rs. 50-per certificate plus Rs. 50/- postage/ courier chargesb) Rs. 50/- for every 100 securities or part thereof plus Rs. 50/- postage / courier charges.The charges will be applicable as per clause ‘a’ or ‘b’ whichever is higher.

Transaction Charges7.

Sale of Debt Securities 0.04% of the value of transaction with a minimum of Rs. 40/- pertransaction and maximum of Rs. 1000/- per transaction.

Transaction Charges6.

Market Trades

Off Market Trades

Rs. 25/- Per Instruction

Rs. 50/- Per Instruction

Pledge ( Per Transaction)8.

Modification Charges9. Rs. 200/- per request plus Rs. 50/- postage / courier charges

a) Pledge Creation

b) Pledge Closure

c) Pledge Invocation

Rs. 50/- per ISIN

Rs. 50/- per ISIN

Rs. 50/- per ISIN

Account freezing/defreezing charges10.

Booklet (Deliver Instruction Slip) Charges 11.

Rs. 500/- per instance

1st Booklet Free containing 10 leaves2nd Booklet (onward ) Rs. 200/- plus 50/- postage / courier charges

DateSignature D D M M Y Y Y Y

iVENTURES …………………………………...........................…............…………….. (*Scheme details as per executed addendum)

CASH SEGMENT

in% (subject to max. of 2.5%)

Minimum Paise (subject to max. 25/- paise) One Side/Both Side

One Side / Both Side

DERIVATIVE SEGMENT

CURRENCY DERIVATIVES & INTEREST RATE FUTURES SEGMENT

In addition to brokerage additional charges including statutory levies i.e. stamp duty, exchange transaction charges, SEBI fees, service tax, STT, other taxes and levies, investor protection fund fees etc. charged by the statutory authorities/ Exchange(s), delayed payment charges, cheque bounce charges, RTGS/NEFT charges, auction settlement charges as may be applicable will be levied. For details please login on our website www.iventures.in

I/We understand that economic condition change over time and therefore agree that IVCPL is authorized to change the tariff in future.

Minimum brokerage charge for trading in illiquid/high risk scrips in cash segment will be .50% on delivery and .05% on intraday turnover with minimum 5 paisa (Scrip list available under client login).

Nature of Charge Applicable Charge

` 100/- (Per dispatch)

Other Charges:

a) Monthly/ Quarterly Physical Statements dispatch

Brokerage

Delivery Based

Daily Square up

Brokerage

Future

Option

Brokerage

Future

Option

TARIFF SHEET

PRODUCT PLAN* / BROKERAGE

in% (subject to max. 2.5% / `100/- Per Lot) Minimum Paise/ Per Lot

in% One Side/Both Side

f) Delayed Payment Charges – On overdue balance towards trading or margin (Standard rate per annum)

19%

Brokerage per lot (in `)

21

iVENTURES CAPITAL PVT. LTD.(Depository Participant with CDSL) | Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Ph.: +91-11-40571206, Fax: +91-11-41604408E-mail : [email protected], Website : www.iventures.in

DP-ID : 12067500 | SEBI Regn. : IN-DP-CDSL-588-2010


* For instruction above value of Rs. 3 Lac. Additional charges @0.005% of the value over and above Rs' 3Lac will be charged subject to a maximum of Rs. 300/- per instruction.

Terms & Conditions:

• The above charges are exclusive of service Tax

• Annual Maintenance charges are levied up-front for a period of one year, in the month of opening of the demat account. All other charges are payable monthly. Any delayed payment will be liable for interest @ 1.5% per month.

• DP Charges of Broking Clients (with us) will be debited to their Trading Accounts.

• Market value of the transactions will be as per the rates provided by CDSL.

• Same day execution instructions will be accepted on a best effort basis at the sole risk and responsibility of the client. The DP will not be held responsible for non-execution of same day instructions.

• The DP also reserves its right to revise tariff or charge an additional fee after giving a notice of 30 days.

• Any Demat account holder not maintaining Trading Account with us OR without ECS mandate will have to maintain a Deposit of Rs.2000/- as a security deposit.

• For demat accounts with credit balance but no transactions during the year, one physical statement of holding would be sent. Any extra physical statement during the year will be charged Rs. 5/- per page plus Rs. 50/- postage / courier charges.

• DP may suspend/ freeze the depository services of the account holder on non- payment of dues / outstanding bills.

Note: We wish to inform you that the dispatch of the physical statement may be discontinued if the account continues to remain zero balance even after one year or if no Annual Maintenance Charge (AMC) is received by the DP.

I/We agree to the above terms and conditions.

` 25/- (Per Contract Note)b) Physical Contract Note Charges

` 250/-c) Dormant Account re-activation charges

` 20/- (Plus Service Tax) per segmentd) Daily Minimum Brokerage

` 200/- (Plus Service Tax) per segment per monthe) NOW software charges (if other than NSE is activated)

To,iVENTURES CAPITAL PVT. LTD.17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40947000Dear Sirs,

SUB: REQUEST TO PROVIDE THE STATEMENTS THROUGH E-MAIL AND/OR WEBSITE.Client id.: __________________________. E-mail id. _____________________________________________________________You are hereby requested to provide me/us transaction statement(s)/bills or any other document(s) required to be sent to me under my specific request or as per the statutory requirement(s) through e-mail and/orwebsite.I/We am/are aware and understand the following: -I. I/We am/are aware that I/we will not receive the transaction statements/bills etc. in paper form.2. I/We understand that website(s) would mean www.iventures.in and or any of it's pages/links/applets or any other website that

iVentures Capital Pvt. Ltd. may inform from time to time.3. I/We will take all the necessary steps to ensure confidentiality and secrecy of the login name and password of the back office /email

account.4. I/We am/are aware that the transaction statement/bills etc. may be accessed by other entities in case the confidentiality/secrecy of

the login name and password is compromised.5. I/We shall immediately inform iVentures Capital Pvt. Ltd. about change in email address, if any.6. I/we agree that till the time the change in email address is not updated in the records of iVentures Capital Pvt. Ltd., the

statements/bills etc. sent to the original email address shall deem to be a valid delivery and I/we shall keep iVentures Capital Pvt. Ltd. and/or any of it's employees, directors, agents, associates indemnified against any loss suffered by them and also not hold them responsible for any loss suffered by me/us on this account.

7. I/We shall log off from website/back office/e-mail service, whenever I/we am/are not accessing or using the service. Any liability incurred to the me/ us as a consequence of the not logging off the service shall be borne solely by me/us.

8. I/we agree that iVentures Capital Pvt. Ltd. shall not take cognizance of out-of-office/out-of-station auto replies and I/we am/are deemed to have received above referred documents. Non-receipt of bounced mail notification by iVentures Capital Pvt. Ltd. shall amount to delivery of the above referred documents at the email id provided by me/us.

9. I/we agree that I/we shall immediately notify iVentures Capital Pvt. Ltd. in writing with full details if I/we discover or suspect, unauthorized access through my/our back office password or Notice discrepancies that might be attributable to unauthorized access, Forget back office password or Discover a security flaw.

10. I/we understand that I/we am/are responsible for installing, operating and maintaining the communication equipment (including but not limited to personal computers and modems), software, tools, telephone or alternative service required at the my/our end and connectivity required for using and accessing the website(s), back office, email account(s), any above referred documents or any other related services at my/ourown cost.

11. iVentures Capital Pvt. Ltd. will not ( and shall not be under any obligation to ) assist me/us in operating, installing and / or maintaining any such communication equipment/infrastructure or obtaining any permits, clearances etc for establishing connectivity or linkages to the website(s)ofthe participant.

12. iVentures Capital Pvt. Ltd.'s own records of the transactions/holdings/bills etc. mentioned through computer systems or otherwise shall be accepted as conclusive and binding on me/usforall purposes.

13. I/we understand and agree that the initial password sent by iVentures Capital Pvt. Ltd. of back office should only be used for the first login. I/we agree to immediately reset my/our password(s) upon the first login. I/we understand and agree that If I/we do not change the password(s) after the first login, I/we shall keep the iVentures Capital Pvt. Ltd. and/or any of it's employees, directors, agents, associates indemnified against any loss suffered by them and also not hold them responsible for any loss suffered by me/us on this account.

14. I /we understand and agree that the records of the iVentures Capital Pvt. Ltd. with respect to delivery of above referred documents shall be conclusive evidence of any such documents delivered.

15. iVentures Capital Pvt. Ltd. and I/we shall have the right to terminate such service provided a written notice is given at least 10 days in advance to the other party.

16. I/We shall approach iVentures Capital Pvt. Ltd. within 24 hours from the delivery/display of the above data/documents etc. intimating any inability to access or download of the above data, document, data etc. failing which it shall be deemed to be the due delivery and acceptance of the data, document, data etc. sent to me/us via electronic mail/displayed by iVentures Capital Pvt. Ltd./on the website of iVentures Capital Pvt. Ltd. In all cases, iVentures Capital Pvt. Ltd. reserves the right to determine the validity of my/our objection to the transaction.

Thanking youYour truly,

REQUEST LETTER FOR STATEMENTS

* Please stamp & Sign in case of HUF Account ** In case of Joint holding, all joint holders must sign.


Signature of First Executant Signature of ExecutantSecond Signature of Third Executant

25

To,iVENTURES CAPITAL PVT. LTD.17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40947000

SUBJECT: AUTHORISATION FOR ELECTRONIC CONTRACT NOTES (ECN)

UCC:_______________________I/We have been / shall be dealing through you as my / our Broker on the Capital Market and/ or Futures & Options Segments / Currency Derivatives Segments etc. This instruction is applicable for all the exchanges / segments in which I / we have opened account with you or I/We may open account in future with you. As my / our Broker i.e. agent I / We direct and authorize you to carry out trading / dealings on my / our behalf as per instructions given below.I/ We understand that, I/ we have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I/ we hereby opt for receipt of contract notes & other documents in electronic form, I /We understand that for the above purpose, you are required to take from the client “an appropriate email account” for you to send the electronic contract notes. Accordingly, please take the following email account(s) / email id on your record for sending the contract notes to me / us.1 ..............................................................................................................................................................................................2 ..............................................................................................................................................................................................I/ We agree not to hold you responsible for late / non-receipt of contract notes sent in electronic form and any other communication for any reason including but not limited to failure of email servers, loss of connectivity, email in transit etc. I/ we agree that the log reports/other communications of your dispatching software shall be a conclusive proof of dispatch of contract notes to me/us and such dispatch shall be deemed to mean receipt by me/us and shall not be disputed by me / us on account of any non-receipt/ delayed receipt for any reason whatsoever.I /We also agree that non-receipt of bounced mail notification by you shall amount to delivery at my/our email account(s) / email id(s).In case, in any of the above segments / exchanges due to any reason, whatsoever, if you want to send contract notes in physical form, I / we here by permit you to send the same in physical mode.I/We understand that I/We am/are required to intimate any change in the email id/ email account mentioned herein above needs to be communicated by me through a duly signed request letter in original to you by registered A.D. at your following address, provided however that if I/we am/are an internet client then in that event the request for change in email id/ email account can be made by me/ us through a secured access using client specific user id and password. Please treat this authorization as written ratification of my / our verbal directions / authorizations given and carried out by you earlier. I/We shall be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying out my / our directions given above.


A-18, FIEE Complex, Okhla Phase-II, New Delhi-110020Phone : +91-11-40947000I/We agree that till the time the change in email address(s) is not updated in your records, the ECN and other documents sent to existing email address (s) with you shall be deemed to be a valid delivery and I/We shall not hold you responsible for any direct or indirect consequences faced by me/us on this account.I/We have signed/submitted this document on my/our own volition.

Thanking you,

Yours faithfully,

AUTHORISATION FOR ELECTRONIC CONTRACT NOTES (ECN)

DateSignature

Name : ...................................................................................

D D M M Y Y Y Y

24

To,iVENTURES CAPITAL PVT. LTD.17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40571207, Fax : +91-11-41604408

SUB:- LETTER OF AUTHORISATION TO ACT THROUGH AUTHORISED PERSON

UCC:_______________________

I/we have been / shall be dealing through you as my/our Broker on the Capital Market(Cash) Segment and/ or Futures & Options

Segment(s) and/or Currency Derivatives Segment. As my/our Broker i. e. agent I/we direct and authorize you to carry out trading /

dealings on my / our behalf as per instructions given below. Please treat these instructions as written ratification of my / our verbal

directions/ authorizations given and carried out by you earlier.

I/we authorize Mr./Mrs./Ms .................................................................................. S/o, W/o, D/o .............................................................

to deal/transact on my / our behalf and to place orders, give instructions through telephone/ voice mail/email/fax /letters or other modes

of communication including oral communication make and receive payments of securities and monies, collect contract notes, bills,

order confirmations, trade confirmations, account statements and any other documents or communication, to sign any document, settle

the account, enter into any compromise and to do any and all act (s) on my / our behalf which I/ we can do and I/ we the undersigned do

hereby agree and declare and confirm that all the acts and things done by him / her or his/ her substitutes shall be my / our acts, deeds

and things validly done by me / us to all intents and purposes.

I/We agree to indemnify you and keep you indemnified against all losses, damages and actions which you may suffer or face as a

consequence of adhering to and carrying out my / our directions given above. I/We have signed/submitted this document at my/our own

volition.

Thanking you,

Yours faithfully

Name & Address details of my/our Authorized Person are :

Name : ...................................................................................................................................................................................

Address : ...................................................................................................................................................................................

...................................................................................................................................................................................

Dated : ............................................

LETTER OF AUTHORISATION TO ACT THROUGH AUTHORISED PERSON

DateSignature

Name : ...................................................................................

D D M M Y Y Y Y

Non Mandatory

28

Reg: My/Our Trading Account UCC Code:______________

Dear Sirs,I/We are trading through you under the abovesaid UCC Code. My following relatives are also trading through you under the following UCC Codes:

I/We have gone through the various SEBI/Exchanges circulars on margin collection. I/We convey my consent and hereby authorize you to consider any margin in approved form collected under my account/available in my account towards margin requirements of any of the above accounts and exercise such rights with reference thereto as if the said collaterals were provided by them. You may also get it certified by independent professionals including Chartered Accountant

*Note: The relationships for the purpose are limited to the following. Please mention the correct applicable relationship.i. In case of individuals – spouse, dependent children and parents of the clientii. In case of HUF – any of the Co-parceners of the HUFiii. In case of a Trust – any of the trustees or beneficiariesiv. In case of Partnership firm – the partners and spouse, dependent children and parents of any of the partnersv. In case of Corporate – the promoters having controlling shareholdings and spouse, dependent children and parents of any such

promoter

VOLUNTARY - FOR CONSIDERATION OF MARGIN IN RELATIVES’ ACCOUNTS

DateSignature

Name : ...................................................................................

D D M M Y Y Y Y

Relationship with the Client* UCC CodeName

Declaration to be signed by all the members of HUF [applicable in case of ‘HUF’ Client]

Name of Karta : ..........................................................

Date of Birth of Karta :

PAN No. of Karta :

To,iVENTURES CAPITAL PVT. LTD.17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40947000

We confirm that the undersigned are all members of ....................................................................................................................(HUF), and we have no objection to the Karta, Mr. ...................................................................................................................operating a trading a/c with M/s. iVENTURES CAPITAL PVT. LTD.

Yours truly,

Name of Co-parcener/Karta Date of Birth Relationship with Karta

1.

2.

3.

4.

5.

Signature

Non Mandatory

D D M M Y Y Y Y

29

ADDENDUM TO THE CLIENT REGISTRATION FORM / KEY INFORMATION

In compliance with the provisions of Prevention of Money Laundering Act, 2002 and subsequent circulars issued by SEBI thereto, we

hereby obliged to consider it as a part of client registration document: -

PREVENTION OF MONEY LAUNDERING

Prevention of Money Laundering Act, 2002 (herein refer to an “Act”) came into affect July 1, 2005 vide notification No. GRE 436(E)

dated July 1,2005 issued by Department of Revenue, Ministry of Finance, Govt. of India. Further SEBI vide Circular reference number

ISD/CIR/RR/AML/1/06 dated January 18,2006 mandated that all the Stock Brokers should formulate and implement a proper policy

framework as per the guidelines on anti money laundering measures and also to adopt a Know Your Client (KYC) policy. SEBI also

issued another circular reference number ISD/CIR/RR/AML/2/06 dated March 23,2006 advising all the Stock Broker to take necessary

steps to ensure compliance with the requirement of Sec12of the Act inter-alia, maintenance and preservation of records and reporting

of information relating to cash and suspicious transactions to Financial Intelligence Unit-India (FIU-IND), New Delhi.

The constituents should ensure that the amount invested in the securities is through legitimate sources only and does not involve and is

not designated for the purpose of contravention or evasion of the provision of the Income Tax Act, Prevention of Money Laundering Act,

Prevention of corruption Act and/or any other law for the time being in force enacted by Govt. of India from time to time or any rules and

regulations, notifications or directions issued there under.

To ensure appropriate identification of the constituents under its KYC policy and with view to monitor the transactions for the prevention

of anti money laundering, the company has reserve the right to seek information, record constituents telephonic calls and/or obtained or

retained documentation for establishing the identity of the constituents, proof of residence, source of funds, etc. It may re-verify identity

and obtain any incomplete or additional information for this purpose.

The constituents or their attorney, if any, shall produce independent source documents, such as photographs, certified copies of ration

card/passport/pan card/driving license or such other documents or produce such information as may be required from time to time for

verification of the identity, residential address, financial information of the constituents by the company.

If the constituents refuses/fails to produce the required documents and information with in the period specified in the communication

sent by company to the constituents, then the company after applying due diligence measures believes that the transaction is

suspicious in nature within the purview of the Act and SEBI circulars issued from time to time or on account of deficiencies in the

documentation shall have absolute discretion to report suspicious transaction to FIU-IND or to reject the application or to freeze the

account of constituent. Thus the KYC documentation shall comply by all the constituents in its true spirit and word.

The Company, its Directors, its Employees and agents shall not be liable in any manner for any claim arising whatsoever on account of

freezing of account or on rejection of application etc. due to non-compliance of the provisions of the Act, SEBI circulars and KYC policy

and or where company believes that transaction is suspicious in nature within the purview of the Act or SEBI circulars and reporting the

same to FIU-IND.

This document form an integral part of the client registration form as addendum or key information memorandum and will be subject to

amendments from time to time.

Thanking you.

Yours faithfully,

DateSignature

Name : ...................................................................................

[ Note : To be signed by person himself/herself not to be signed by his/her attorney/ authorised person etc. ]

D D M M Y Y Y Y

Non Mandatory

30

iVENTURES CAPITAL PVT. LTD.17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40571206

Dear Sir / Madam,

I / We hereby state that: [Select one of the options given below]

Second Joint Holder Third Joint Holder

Name

Signatures

First/Sole Holder

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

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

Yours faithfully

OPTION 1 :

OPTION 2 :

Second Joint Holder Third Joint Holder

Name

Signatures

First/Sole Holder

Non Mandatory

OPTION FORM FOR ISSUE OF DIS BOOKLET

DP ID 1 2 0 6 7 5 0 0 CLIENT ID

31

To all to whom these presents shall come I/ we ______________________________________________________, (name of the beneficial owner/s), residing at/ having its registered office at _________________________________________________________

Whereas I/ we hold beneficial owner account number with Central Depository Services (India) Limited (CDSL), through iVentures Capital Pvt Ltd (name of the depository participant) registered with Securities and Exchange Board of India (SEBI).

And Whereas I/ we am/ are desirous to buy and sell securities through iVentures Capital Pvt Ltd (name of the stock broker) who is a stock broker registered with SEBI and member of recognized stock exchange/s.

And Whereas I/ we am/ are desirous of appointing iVentures Capital Pvt Ltd (name of the stock broker) as my/our constituted attorney to operate my/ our beneficial owner account on my/ our behalf for a limited purpose in the manner hereinafter appearing and subject to conditions as provided herein.

Now know you all and these presents witness that I/ we do hereby nominate, constitute and appoint iVentures Capital Pvt Ltd (name of the stock broker) (hereinafter referred to as “the stock broker”) as my true and lawful attorney and authorise it to perform the following functions on my behalf:

i. to transfer securities held in my/our aforementioned beneficial owner account(s) or any other account informed by me in writing to the stock broker from time to time to the demat account nos. 1206750000001029 (Pool Account NSE) and 1206750000000876 (Pool Account BSE) of the stock broker maintained for the purpose of settlement of trades and 1206750000001048 (Beneficiary Account) for margin obligations arising out of trades executed by me/us on any recognized stock exchange through the stock broker. However, the said power will be restricted to only transfer of securities to the Clearing Member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined/ will join as a member or to any demat accounts linked to the said Clearing Member ID provided that I/we have executed a Client Member Agreement with the stock broker for such exchanges.

ii. to pledge the securities in favor of the stock broker for the limited purpose of meeting my/our margin requirements in connection with the trades executed by me/us on any recognized stock exchange through the stock broker.

iii. to return to me/us, the securities or funds that may have been received by the stock broker erroneously or those securities or funds that the stock broker was not entitled to receive from me/us;

iv. to send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by way of SMS/ email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time.

To apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of shares, tendering shares in open offers etc pursuant to oral/written/electronic instructions given by me/us to the stock broker.

I/We ratify the instructions given by the aforesaid stock broker to the depository participant named hereinabove in the manner specified herein.

I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) .in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received by the stock broker in his office at: A-18, FIEE Complex, Okhla Phase-II, New Delhi-110020

Signed and delivered

By the within named Beneficial Owner/s

I/We AcceptFor iVENTURES CAPITAL PVT. LTD.

Authorised Signatory

Witnesses :1. On behalf of Client

Name : .......................................................................Address : .......................................................................Signature : .......................................................................

LIMITED PURPOSE POWER OF ATTORNEY ELECTRONIC CLEARING SERVICE (DEBIT CLEARING)

Name of A/c Holder

Sign of A/c Holder

Sole/First Holder Second Holder Third Holder

Non Mandatory

1 2 0 6 7 5 0 0

For Tech Process Use

UI Code : ____________________ Mandate Reference No. :__________________

Customer Reference No.: _____________________The Manager

Bank Name: ___________________________________

Branch Name: __________________________________

Address: ______________________________________

Telephone No.: _________________________________

I hereby authorized you to debit my account for making payment to iVentures Capital Private Limited through ECS (Debit) clearing as

per the details given as under.

A. MICR-9 Digit code numbers of the bank & branch

( (Appearing on the MICR cheque issued by the bank)

B. Account Type (Saving/Current/Credit): ________________________________________________________________________

C. Ledger No./Ledger Follo No.: _______________________________________________________________________________

D. Account Number: ________________________________________________________________________________________

E. Account holder names (As per bank’s record): 1st _______________________________________________________________

2st _______________________________________________________________

3st _______________________________________________________________

Name of the Scheme

Date of Effect Periodicity Amount (upper limit)Number of installments/Valid up

to (in case of utility bills) End Date

F. ECS Debit Start Date:

I hereby declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I would not hold the user institution responsible. I have read the option invitation letter and agree to discharge the responsibility expected of me as a participant under the scheme.

Date:

Signature of the account holders.

(As per bank’s record)

Certified that, the particulars furnished above are correct & as per our records.

Bank’s Stamp

Date: Signature of the Authorized from the Bank.

32 33

iVentures Capital Private LimitediVENTURES CAPITAL PVT. LTD.(Depository Participant with CDSL) | Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Ph.: +91-11-40571206, Fax: +91-11-41604408E-mail : [email protected], Website : www.iventures.in


To all to whom these presents shall come I/ we ______________________________________________________, (name of the beneficial owner/s), residing at/ having its registered office at _________________________________________________________

Whereas I/ we hold beneficial owner account number with Central Depository Services (India) Limited (CDSL), through iVentures Capital Pvt Ltd (name of the depository participant) registered with Securities and Exchange Board of India (SEBI).

And Whereas I/ we am/ are desirous to buy and sell securities through iVentures Capital Pvt Ltd (name of the stock broker) who is a stock broker registered with SEBI and member of recognized stock exchange/s.

And Whereas I/ we am/ are desirous of appointing iVentures Capital Pvt Ltd (name of the stock broker) as my/our constituted attorney to operate my/ our beneficial owner account on my/ our behalf for a limited purpose in the manner hereinafter appearing and subject to conditions as provided herein.

Now know you all and these presents witness that I/ we do hereby nominate, constitute and appoint iVentures Capital Pvt Ltd (name of the stock broker) (hereinafter referred to as “the stock broker”) as my true and lawful attorney and authorise it to perform the following functions on my behalf:

i. to transfer securities held in my/our aforementioned beneficial owner account(s) or any other account informed by me in writing to the stock broker from time to time to the demat account nos. 1206750000001029 (Pool Account NSE) and 1206750000000876 (Pool Account BSE) of the stock broker maintained for the purpose of settlement of trades and 1206750000001048 (Beneficiary Account) for margin obligations arising out of trades executed by me/us on any recognized stock exchange through the stock broker. However, the said power will be restricted to only transfer of securities to the Clearing Member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined/ will join as a member or to any demat accounts linked to the said Clearing Member ID provided that I/we have executed a Client Member Agreement with the stock broker for such exchanges.

ii. to pledge the securities in favor of the stock broker for the limited purpose of meeting my/our margin requirements in connection with the trades executed by me/us on any recognized stock exchange through the stock broker.

iii. to return to me/us, the securities or funds that may have been received by the stock broker erroneously or those securities or funds that the stock broker was not entitled to receive from me/us;

iv. to send consolidated summary of my/our scrip-wise buy and sell positions taken with average rates to me/us by way of SMS/ email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to time.

To apply for various products like Mutual Funds, Public Issues (shares as well as debentures), rights, offer of shares, tendering shares in open offers etc pursuant to oral/written/electronic instructions given by me/us to the stock broker.

I/We ratify the instructions given by the aforesaid stock broker to the depository participant named hereinabove in the manner specified herein.

I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until it is revoked (without notice) .in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received by the stock broker in his office at: A-18, FIEE Complex, Okhla Phase-II, New Delhi-110020

Signed and delivered

By the within named Beneficial Owner/s

I/We AcceptFor iVENTURES CAPITAL PVT. LTD.

Authorised Signatory

Witnesses :1. On behalf of Client

Name : .......................................................................Address : .......................................................................Signature : .......................................................................

LIMITED PURPOSE POWER OF ATTORNEY ELECTRONIC CLEARING SERVICE (DEBIT CLEARING)

Name of A/c Holder

Sign of A/c Holder

Sole/First Holder Second Holder Third Holder

Non Mandatory

1 2 0 6 7 5 0 0

For Tech Process Use

UI Code : ____________________ Mandate Reference No. :__________________

Customer Reference No.: _____________________The Manager

Bank Name: ___________________________________

Branch Name: __________________________________

Address: ______________________________________

Telephone No.: _________________________________

I hereby authorized you to debit my account for making payment to iVentures Capital Private Limited through ECS (Debit) clearing as

per the details given as under.

A. MICR-9 Digit code numbers of the bank & branch

( (Appearing on the MICR cheque issued by the bank)

B. Account Type (Saving/Current/Credit): ________________________________________________________________________

C. Ledger No./Ledger Follo No.: _______________________________________________________________________________

D. Account Number: ________________________________________________________________________________________

E. Account holder names (As per bank’s record): 1st _______________________________________________________________

2st _______________________________________________________________

3st _______________________________________________________________

Name of the Scheme

Date of Effect Periodicity Amount (upper limit)Number of installments/Valid up

to (in case of utility bills) End Date

F. ECS Debit Start Date:

I hereby declare that the particulars given above are correct and complete. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information, I would not hold the user institution responsible. I have read the option invitation letter and agree to discharge the responsibility expected of me as a participant under the scheme.

Date:

Signature of the account holders.

(As per bank’s record)

Certified that, the particulars furnished above are correct & as per our records.

Bank’s Stamp

Date: Signature of the Authorized from the Bank.

32 33

iVentures Capital Private LimitediVENTURES CAPITAL PVT. LTD.(Depository Participant with CDSL) | Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Ph.: +91-11-40571206, Fax: +91-11-41604408E-mail : [email protected], Website : www.iventures.in


We hereby acknowledge the receipt of the Account Opening Application Form :

ACKNOWLEDGEMENT TO CLIENT

iVENTURES CAPITAL PVT. LTD.(Depository Participant with CDSL)DP ID : 12067500 | SEBI Regn. : IN-DP-CDSL-588-2010Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40571206E-mail : [email protected], Website : www.iventures.in

Date.............../............./20............Application No.:

Name of the Sole/First Holder

Name of Second Holder

Name of Third Holder

Depository Participant Seal and Signature


(Please Tear Here)

I/We hereby acknowledge the receipt of duly executed copy of Account Opening Form, Rights and Obligations, RDD, Policies & Procedures and also the receipt of copy of the document, Rights and Obligations of the Beneficial Owner and Depository Participant, Schedule of Service Charges and All Other Documents as executed by me/us.

Trading Code_______________________________________ Client ID : _______________________________________

SEBI Regn No. :NSE Cash-INB231356735NSE F&O-INF231356735NSE CD-INE231356735BSE Cash-INB011356731BSE F&O-INF011356731MCX-SX CD INE261356735

ACKNOWLEDGEMENT FROM CLIENT (TRADING)

iVENTURES CAPITAL PVT. LTD.Regd. Office : 17, First Floor, Hemkunt Colony, Greater Kailash, New Delhi-110048Phone : +91-11-40947000E-mail : [email protected], Website : www.iventures.in


Non Mandatory

Sole/First Holder /Authorised Signatory

Second HolderAuthorised Signatory

/ Third HolderAuthorised Signatory

/

Signature

Name

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

Name & Signature of Client

* Please stamp & Sign in case of HUF Account ** In case of Joint holding, all joint holders must sign.

35


34

iVENTURES CAPITAL PVT. LTD.Regd. Office: 17, First Floor, Hemkunt Colony, Greater Kailash,

Phone: +91-11-40571207, Fax: +91-11-41604408E-mail: [email protected], Website: www.iventures.in

New Delhi-110048
