INDEX OF DOCUMENTS

Sr. No. Name of the Document Brief Significance of the Document Page nos.
SECTION-A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI AND EXCHANGES
1. Account Opening Form Part I - KYC form - Document captures the basic 6-7
information about the constituent and an
instruction/ checklist.
Part II - Document captures the additional information 8-13
about the constituent relevant to trading account
and an instruction/check list.
2. Rights & Obligations Document stating the Rights & Obligations of stock
broker/trading member, sub-broker and client for

Included in Client Copy

trading on exchanges (including additional rights
& obligations in case of internet/wireless
technology based trading).
3. Risk Disclosure Document (RDD) Document detailing risks associated with dealing
in the securities market.
4. Guidance note Document detailing do’s and don’ts for trading
on exchange, for the education of the investors.
5. Policies and Procedures Documents describing significant policies and procedures
of IIFL related to Trading Account of the client.
6. Tariff sheet Document detailing the rate/amount of brokerage 14-15
and other charges levied on the client for trading and
demat account on the stock exchange(s)/ depository.
SECTION-B - VOLUNTARY DOCUMENTS
1. DP - Client Agreement Prescribed by Depository; Provides basic rights and 16-18
obligations of client and Depository Participant.
Required if Demat account is being opened with IIFL.
2. Authorisation for receiving transaction Required for issuance of Monthly/ quarterly demat 19
statement through Internet account statement at the client's registered e-mail id.
3. Power of Attorney Voluntary and Limited purpose POA in favour of 20-23
Broker for operational requirements as per
client authorization/ instruction.
a POA in favour of IIFL.
4. NOC from Co-parceners (HUF Account) Prescribed by Regulator. Require if HUF is granting 24
a POA in favour of IIFL.
5. Terms and Conditions cum Registration Prescribed by Depository. Required to receive SMS 25
form for receiving SMS Alerts from CDSL alerts for the transactions executed in the demat
account directly from the Depository
6. Availing of Research SMS Facility Subscription by client for value added services including 27
receipt of updates on stock prices & margin/ ledger
balance of client on their registered mobile number
7. Authorisation for receipt of Documents Required for issuance of Statement of Account and 27
in Digital Mode other documents on the client's registered e-mail id.
8. Running Account Authorisation Required for maintaining clients account on a 28
running account basis.
9. Authorization for considering of balance Required for considering the balances towards the 29
towards Family/ Group Accounts position family/ group account position as detailed by the client.
10. Authorisation to send password by SMS Required for issuing the password of the client's 29
trading account on the registered mobile number
11. Authorization for placing instruction Required if client wish to give authority of giving 30
and receipt of documents instructions and receiving documents to any person.
12. Mutual Fund Service System facility & Required if the client wants to avail Mutual Fund 31-33
BSE StAR Mutual Fund Service System facility & BSE StAR MUTUAL FUND
provided by NSE & BSE respectively
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INSTRUCTIONS/ CHECK LIST FOR FILLING KYC FORM

A. 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 - 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, Colleges affiliated 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
apostiled or 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 by Courts e.g. Official liquidator, Court receiver etc.
2. Investors residing in the state of Sikkim.
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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 Bilateral
Development 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.
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.

INSTRUCTIONS/ CHECK LIST FOR ACCOUNT OPENING FORM - TRADING ACCOUNT

1. Additional documents in case of trading in derivatives segments - illustrative list:
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Net worth certificate
Copy of Form 16
Copy of demat account holding statement. Bank account statement for last 6 months
Any other relevant documents substantiating Self declaration with relevant supporting documents.
ownership of assets.
*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 office of 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 of the non-resident clients by the
stock broker’s staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker,
Indian Embassy/ Consulate General in the country where the client resides may be permitted.

NOTES
1. In case of additional signature, seperate Annexure should be attached to the Application Form.
2. All communication shall be sent at the correspondence address/ mobile number/ e-mail ID of the Sole/ First Holder only.
3. Thumb impressions and signature other than English or Hindi or any of the other language not contain in the 8th
Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive
Magistrate.
4. Strike of whichever is not applicable.

ADDITIONAL INSTRUCTIONS
1 Trading A/c cannot be opened in joint names.
2 All corrections on the form should be countersigned with full signature. White ink is not allowed either in form or agreement
3 Incase of an employee of another Member Broker, NOC from employer is required.
Please note that the mode of payment should be only by way of account payee crossed cheques/Demand draft in favour of "India Infoline Ltd - (Client's
Login id)". No cash receipts payments will be entertained for any transactions made by the client. IIFL will not be responsible for any kind of claims raised by the clients
regarding payment made in cash. Mobile number is compulsory for opening of Demat/ Trading account with IIFL. In case of change in mobile number any time after
opening of this account, for postpaid connection it is mandatory to submit the photocopy of the latest/ last 2 months mobile bill and for prepaid connection client
must personally visit the branch/ FAN’s along with their ID proof (eg. PAN Card/ Driving Licence/ Passport/ Election Voter ID) and get the same verified.
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IN CASE OF NON-INDIVIDUALS, ADDITIONAL DOCUMENTS TO BE OBTAINED FROM

NON-INDIVIDUALS, OVER & ABOVE THE POI & POA, AS MENTIONED BELOW:

TYPES OF ENTITY DOCUMENTARY REQUIREMENTS

Corporate • 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 certified
by the company secretary/Whole time director/MD (to be submitted every year).
• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in
charge of day to day operations.
• Photograph, POI, POA, PAN of individual promoters holding control - either directly or
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.
Partnership firm • 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.
Trust • 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.
HUF • 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.
Unincorporated • Proof of Existence/Constitution document.
association or a • Resolution of the managing body & Power of Attorney granted to transact business
body of individuals on its behalf.
• Authorized signatories list with specimen signatures.
Banks/Institutional • Copy of the constitution/registration or annual report/balance sheet for the last 2
Investors financial years.
• Authorized signatories list with specimen signatures.
Foreign Institutional • Copy of SEBI registration certificate.
Investors (FII) • Authorized signatories list with specimen signatures.
Army/ Government • Self-certification on letterhead.
Bodies • Authorized signatories list with specimen signatures.
Registered Society • 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.

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FOR OFFICE USE ONLY

UCC Code allotted to the Client: DP ID 1 2 0 4 4 7 0 0

Client ID
Online trading software: Yes No
(If No) TT Dealer ID: Trading Interface: Trader Terminal
Sourcing Channel Branch Code
Branch Name
Sourcing RM/ Sales Executive/ FAN Name (E1)
Sourcing RM/ Sales Executive/ FAN Code (E1)
Servicing RM/ Dealer/ FAN Name (E2)
Servicing RM/ Dealer/ FAN Code (E2)
Remiser (if any)

FOR OFFICE PURPOSE ONLY

CLIENT RISK CATEGORISATION UNDER PMLA: LOW RISK MEDIUM RISK HIGH RISK

Documents verified with Originals Client Interviewed By In-Person Verification done by

Name of the Employee
Employee Code
Designation of the employee
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 ‘Rights 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 ‘Rights and Obligations’ and RDD would be made available on my/our website, if any, for the information of the
clients.
I have read and understood that if any of the requirements is not fulfilled then a penalty would be charged to me or any
other action may be taken as deemed fit by the Management for non compliance from my end.
Name of the Empolyee:

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Signature of the Employee
Date D D M M Y Y Y Y Seal/Stamp of IIFL

KRA REGISTRATION DETAILS (FOR OFFICE PURPOSE ONLY)

If Client is already registered with KRA please fill in below details:
NDML CVL (Please tick (9) any one)
(Please furnish photocopy of KRA Registration letter)
KRA Registration No.:
Date of Registration: D D M M Y Y Y Y

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PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR NON-INDIVIDUAL

Please fill this form in ENGLISH & in BLOCK LETTERS with BLACK ink
A. IDENTITY DETAILS (Please see guidelines)
1. Name of Applicant (Please write complete name as per Certificate of Incorporation/ Registration; leaving one box blank
between 2 words. Please do not abbreviate the Name).

2. Date of Incorporation D D MM Y Y Y Y Place of incorporation

3. Registration No. (e.g. CIN) Date of Commencement of Business D D MMY Y Y Y
4. STATUS Please tick (9) any one)
STA Private Limited Company Public Limited Company Body Corporate Partnership
Trust/ Charities/ NGO FI FII HUF AOP Bank Government Body Non-Government Orginazation
Defense Establishment BOI Society LLP Other (please specify)
5. PAN (MANDATORY) (Please enclose a duly attested copy of your PAN card)

B. ADDRESS DETAILS (Please see guidelines)

1. Address for Correspondence :

City/ Town/ Village: PIN Code:

State: Country:

(I S D) (S T D)
2. Contact Details: Tel. (Off) : (I S D) (S T D)
Tel. (Res):
Mobile No.: (I S D) (S T D) Fax No.: (I S D) (S T D)
E-mail ID:
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (9
9) against the document attached.
*Latest TTelephone
elephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank A/c Statement/P assbook
Statement/Passbook Registered Lease/Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf) (Please specify)
*Not more than 3 Months old. Validity/Expiry date of proof of address submitted D DMM Y Y Y Y Document No.
4. Registered Address: (If different from above)

City/ Town/ Village: PIN Code:

State: Country:

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (9) against the document attached.
*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *Latest Bank A/c Statement/Passbook Registered Lease/Sale Agreement of Office Premises
Any other proof of address document (as listed overleaf). (Please specify)
*Not more than 3 Months old. Validity/Expiry date of proof of address submitted D D MMY Y Y Y Document No.

C. OTHER DETAILS (Please see guidelines)

1. GROSS ANNUAL INCOME DETAILS: (Please 9) Below `1Lac `1-5Lac `5-10 Lac `10-25Lac `25Lac-1 Crore > `1 Crore
(Networth should not be older than one year) as on
2. Networth in ` D D MM Y Y Y Y
3. Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure
to fill in the details)
4. Is the entity involved/providing any of the following services YES NO
• For Foreign Exchange/ Money Changer Services YES NO • Gaming/ Gambling/ Lottery Services (e.g. casinos, betting syndicates) YES NO
• Money Lending/ Pawning YES NO
5. Any other information:

DECLARATION NAME & SIGNATURE(S) OF AUTHORISED PERSON(S)

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 1
misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. 36
Place: Date: D D M M Y Y Y Y

FOR OFFICE USE ONLY IPV Done on D D MMY Y Y Y

India Infoline Limited Seal/Stamp of IIFL Seal/Stamp of IIFL
Staff Name Staff Name
Code: 1100044700
Designation Designation
(Originals verified) Self certified Documents copies received. Signature
Signature
(Attested) True copies of Documents received. Date
Date
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KNOW YOUR CLIENT (KYC) APPLICATION FORM - GUARDIAN

(IN CASE PARTNER IS MINOR - ONLY FOR DEMAT ACCOUNT)
Please fill this form in ENGLISH and in BLOCK LETTERS.
A. IDENTITY DETAILS
1. Name First Middle Last
2. Father/Spouse Name First Middle Last
3. a. Gender: Male Female b. Marital Status: Single Married c. Date of Birth D D M M Y Y Y Y
4. a. Nationality:
b. Status: Resident Individual Non-resident Foreign National Others (Please specify)
5. a. PAN C O M P U L S O R Y
b. Unique Identification Number (UID) / AADHAAR, if any
6. Specify the Proof of Identity submitted: PAN Card Any other (Please specify) ________________________________
7. Relationship of Guardian with Minor ____________________________ Date of Birth of Minor D D M M Y Y Y Y

B. ADDRESS DETAILS
1. Address for Correspondence

City/ Town/ Village PIN Code

State Country
2. Contact Details: Tel. (Off) Tel. (Res)
Mobile C O M P U L S O R Y Fax
E-mail ID C O M P U L S O R Y
3. Specify the Proof of Address submitted for Correspondence Address
Document No.
4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant):

City/ Town/ Village PIN Code

State Country
5. Specify the Proof of Address submitted for Permanent Address
Document No.

C. OTHER DETAILS
1) Gross Annual Income Details: (Please specify)
a) Income Range per Annum: Below Rs.1,00,000 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 OR
b) Networth Rs. as on D D M M Y Y Y Y (Networth should not be older than one year)
2) OCCUPATION DETAILS: (Please tick any one and give brief details):
Service: Private Sector Public Sector Govt. Service Business Professional Agriculturist Retired
Housewife Student Others (pls specify)
Nature of Business
3) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP).
4) Any other information:

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 or misleading or misrepresenting, I am aware that I may be held liable for it.
Signature of Sole/ First Holder 2 Date D D M M Y Y Y Y
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FOR OFFICE USE ONLY IPV Done on D D MMY Y Y Y

India Infoline Limited Seal/Stamp of IIFL Seal/Stamp of IIFL
Staff Name Staff Name
Code: 1100044700
Designation Designation
(Originals verified) Self certified Documents copies received. Signature
Signature
(Attested) True copies of Documents received. Date
Date
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PART II - ACCOUNT OPENING FORM

India Infoline Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle
Estate, Thane - 400 604 Tel
el.: 022 - 3929 4000/ 4103 5000 Fax
ax: 022 - 4103 5290
A. ADDITIONAL INFORMATION FOR TRADING ACCOUNT (Please fill this form in ENGLISH and in BLOCK LETTERS)

1. DEPOSITORY ACCOUNT DETAILS

Depository Participant Name and Address

Depository Name
DP ID BO Account Number:
Beneficiary Name

2. TRADING PREFERENCE

STOCK EXCHANGE(S) & SEGMENT ON WHICH YOU WISH TO TRADE:

(Please sign in the relevant boxes where you wish to trade. The Segment not chosen should be struck off by you.)
NATIONAL STOCK EXCHANGE (NSE) SEGMENTS
3 4
Capital/Cash 36 Derivatives/F&O 36

Currency Derivatives 5 MFSS 6

36 36

BOMBAY STOCK EXCHANGE (BSE) SEGMENTS

7 8
Capital/Cash 36 Derivatives/F&O 36

Debt 9 BSE StAR Mutual Fund 10

36 36

MCX - STOCK EXCHANGE (MCX-SX) SEGMENTS

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Currency Derivatives 36

USE SEGMENTS
Currency Derivatives 12
36
If in future, you want to trade on any new segment/ new exchange, seperate authorisation/ letter should be submitted to IIFL.

3. PAST ACTIONS
Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the
applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities
during the last 3 years:
Particulars Name of Authority Month & Year of Action

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4. PROOF OF FINANCIAL DETAILS (MANDATORY IN CASE OF DERIVATIVES/ CURRENCY)

Copy of ITR acknowledgement Copy of annual accounts Copy of Form 16 Networth certificate
salary slip bank account statement for last 6 months copy of demat account holding statement

5. 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 Registration number:
Registered office address:
Ph: Fax: Website:
Whether dealing with any other stock broker/sub-broker (if 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:

6. ADDITIONAL DETAILS
• Whether you wish to receive: physical contract note Electronic Contract Note (ECN)
Specify your Email id, if applicable:
• Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Yes No
• Number of years of Investment/ Trading Experience:
• Any other information:

7. CONSENT FOR RECEIVING SMS/EMAIL ALERTS FROM CONCERNED STOCK EXCHANGES

I/We wish to avail the SMS/Email alert facility offered by respective Exchanges showing details of my daily transactions
executed through India Infoline Ltd. (IIFL) on my e-mail id/ mobile no. provided in KYC Form.
(The above facility is provided by Exchanges and will be activated once the details are verified by Exchanges and
confirmed by you)
Clients signature 13
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DP ID: 12044700 Client ID (To be filled by IIFL) :

B. ADDITIONAL INFORMATION FOR DEMAT ACCOUNT (Please fill this form in ENGLISH and in BLOCK LETTERS)
I/We request you to open a depository account in my/our name as per the following details: (Please fill all the details in
CAPITAL LETTERS only) Date D D M M Y Y Y Y
1. DETAILS OF ACCOUNT HOLDER(S)
Name PAN
Sole/ First Holder
Second Holder
Third Holder

2. TYPE OF ACCOUNT
Body Corporate Qualified Foreign Investor Bank FI Mutual Fund CM FII Trust
Others (Please specify)

3. For HUF
HUF,, Association of PPersons
ersons (AOP), PPartnership
artnership Firm, Unregistered TTrust,
rust, etc., although the demat account is
opened in the name of the natural persons, the name & PPAN AN of the HUF
HUF,, Association of PPersons
ersons (AOP), PPartnership
artnership
Firm, Unregistered TTrust,
rust, etc., should be mentioned below
below:
a) Name b) PAN

4. STANDING INSTRUCTIONS (FOR DEMAT ACCOUNT)

a. I/We authorise you to receive credits automaticaly into my/our account Yes No
b. Account to be operated through Power of Attorney (PoA) Yes No
c. Account Statement Requirement: Daily Weekly Fortnightly *
Monthly (Default option is monthly)*
d. Do you wish to receive dividend/interest directly to your bank account given herein through ECS? Yes No

SMS ALERT FACILITY Yes Mobile No. +91 No

Refer to Terms & Conditions given as ANNEXURE
easi Yes. If yes, please contact your DP for details
[Facility through CDSL’s website: www.cdslindia.com wherein a BO can view his No
ISIN balances, transactions and value of the portfolio online.]
SMS Alert Facility: (Mandatory if you are giving Power Of Attorney (POA). Ensure that the mobile number is provided in the
KYC application form.)
Sr. No. Holder Yes No
1 Sole/ First Holder/ Authorised Signatory
2 Second Holder/ Authorised Signatory
3 Third Holder/ Authorised Signatory

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C. COMMON DETAILS FOR BOTH TRADING & DEMAT ACCOUNT

1. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT)
Bank Name
Branch Address
City PIN Code
State Country Tel.
Bank A/c No. MICR No.
A/c Type: Savings Current Others - in case of NRI/ NRE/ NRO (specify)
IFSC Code

2. IN CASE OF FII’S/ OTHERS (AS MAY BE APPLICABLE)

(A) RBI Approval Ref No.: (B) RBI Approval Date
SEBI Registration No. (For FIIs): SEBI Registration Date:
Currency
Foreign Address
City Country
Tel. Mobile Fax
Website

3. CLEARING MEMBERS DETAILS (TO BE FILLED BY CMS ONLY)

Name of the Stock Exchange
Name of the CC / CH
Trading ID Clearing Member ID
SEBI Regd. No. CM-BP ID (to be filled-up by participant)

4. INTRODUCER’S DETAILS
Status of Introducer: Sub-broker Remisier EXISTING ACCOUNT HOLDER BANK OFFICIAL IIFL EMPLOYEE
ANY OTHER PERSON
Introducer’s Name:
Address:

Occupation: Tel.no.:
DP ID: For existing client only Client ID: For existing client only Login ID: For existing client only
PAN C O M P U L S O R Y Designation If bank employee
Bank & Branch Name If bank employee
Employee Code: If bank employee
Email Id:

Signature of the Introducer

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 DETAILS OF AUTHORISED SIGNATORY(S) FORMING PART OF KNOW YOUR CLIENT (KYC)

Name of Applicant PAN of the Applicant

Sr
Sr.. Name Relationship PAN Resi./Regd. Address DIN (For Directors)/
(For Whether Photograph
No. with applicant UID (F or Others)
(For Politically
(i.e. Promoters, Exposed
Beneficiary/
Whole time
Directors, etc.)

1. PEP
Please sign across
RPEP the Photograph
N.A.

2. PEP
Please sign across
RPEP the Photograph
N.A.

3. PEP
Please sign across
RPEP the Photograph
N.A.

4. PEP
Please sign across
RPEP the Photograph
N.A.

5. PEP
Please sign across
RPEP the Photograph
N.A.

Name & Signature of the Authorised Signatory(ies) 14

36

12
Date: D D M M Y Y Y Y PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person
 Login ID:

DECLARATION
1. I/We hereby declare that the details furnished above “Guidance Note” and “Policies and Procedures”. I/We
are true and correct to the best of my/our knowledge further understand that any change in the said
and belief and I/we undertake to inform you of any documents including the “Policies and Procedures”
changes therein, immediately. In case any of the above shall be made available on the website of IIFL and also
information is found to be false or untrue or misleading intimated to me through circulars in internet trading
or misrepresenting, I am/we are aware that I/we may platform/e-mails. I/We shall keep myself updated of
be held liable for it. the same.
2. I/We confirm having read/been explained and 5. The rules and regulations of the Depository and
understood the contents of the document on policy Depository Participants pertaining to an account which
and procedures of the stock broker and the tariff sheet. are in force now have been read by us and we have
3. I/We further confirm having read and understood understood the same and we agree to abide by and
the contents of the ‘Rights and Obligations’ to be bound by the rules as are in force from time to
document(s) and ‘Risk Disclosure Document’. I/We time for such accounts. We hereby declare that the
do hereby agree to be bound by such provisions as details furnished above are true and correct to the
outlined in these documents. I/We have also been best of our knowledge and belief and we undertake
informed that the standard set of documents has to inform you of any changes therein, immediately. In
been displayed for Information on stock broker’s case any of the above information is found to be false
designated website, if any. or untrue or misleading or misrepresenting, we are
aware that we may be held liable for it.
4. I/We further confirm having received a hard copy of
“Rights and Obligations”, “Risk disclosure Document”,

Name and Signature of Authorised Signatory(ies) [Enclose a Board Resolution for Authorised Signatories]

NAME SIGNATURE

AUTHORISED SIGNATORY 15
36

AUTHORISED SIGNATORY

AUTHORISED SIGNATORY

AUTHORISED SIGNATORY

AUTHORISED SIGNATORY

Date D D M M Y Y Y Y

MODE OF OPERATION (In case of joint holdings, all the holders/ Authorised Signatories must sign)

ANY ONE SINGLY

JOINTLY BY

AS PER RESOLUTION

OTHERS (PLEASE SPECIFY)

13
Login ID:

TARIFF SHEET
SCHEDULE OF BROKERAGE AND OTHER CHARGES
A/c opening charge Rs. 750* Depository Charges
Depository Acct AMC Onetime AMC Rs. 555/-
DP Annual Maintenance - Rs. 25** per month +
Monthly AMC Rs. 25/-+ Service Tax Charges Service Tax
VAS Scheme (if any)
Credit Charges - NIL
*750/- to be reversed against brokerage within 90 days of account opening
Debit Charges - 0.05% (Minimum Rs 15 -
Broking Services Maximum Rs 100) per
BROKERAGE (CASH) STANDARD RATE QUOTED RATE debit transaction
Intra-day 0.05% **These charges are billed every month and will be debited to the ledger.
Delivery: (Normal) settlement 0.50% Other Charges
Exchange Trade for Trade 0.75% Standard Special Annual
and Z group scrip charges Scheme
BROKERAGE (FUTURES) 0.05% Pledge creation Rs. 50 Rs. 50
BROKERAGE (OPTIONS) 1% of Premium Pledge closure -- --
Minimum or Rs. 100/- per
lot whichever DEMA
DEMAT T
is higher Per certificate Rs. 15 Rs. 15
MINIMUM PER SHARE Rs 0.05 Postal charges Rs. 40 Rs. 40
BROKERAGE per request
AUCTION BROKERAGE 1.00% REMA
REMAT T
Liquid Bees Per certificate Rs. 15 Rs. 15
Minimum Per Physical contract note Postal charges Rs. 40 Rs. 40
per request
VAS SMS Facility Rejection/F ailure
Rejection/Failure Rs. 50 Rs. 50
Rs 249 per month per entry

Remark :

NOTES: 6. Charges/ service standards are subject to revision at sole discretion of India
1. Customers will get Digital Contract Notes on their E-mail ID mentioned Infoline Ltd. and as informed by communication sent by ordinary post/ E-mail.
in the account opening form. Physical print copy of digital contract note 7. Value of the transaction will be in accordance with rates provided by
can be availed from the branches. Depository.
2. In case of Customer opting for Physical Documents options for receiving 8. Transaction charges will be payable on a monthly basis.
Contract Notes and other related Documents, Document handling charge 9. Charges quoted above are for the services listed. Any service not quoted
of Rs.25/- per dispatch will be levied. This charge may be partly/ fully above will be charged separately.
waived off for high networth/large Customer at the discretion of IIFL. 10. Customer is required to maintain a minimum balance of Rs.1000/- in
3. Client will be charged Rs. 250/- for process of closure of trading accounts. his/ her ledger account.
4. The above charges are exclusive of Service tax, Securities Transaction 11. No refund of account opening charges would be given if the account
Tax, regulatory charges and stamp duty. The same shall be charged to could not be opened due to non submission of complete documents by
the Client's account on actual basis. the client or due to lack of desired co-operation from the client.
5. Inter/ settlement/ Beneficiary to pool transfer would be charged @ Rs.15/- 12. Management reserves the right to freeze, discontinue or suspend any
per scrip plus service tax. account if required.

I/ We have understood and accepted the Schedule of Charges as stated here in above.

Authorised Signatory 16
36
Authorised Signatory

Authorised Signatory

Branch Official Name: Branch Official Signature: 2

7

14
 Login ID:

TARIFF SHEET
SCHEDULE OF BROKERAGE AND OTHER CHARGES - CURRENCY SEGMENT

CURRENCY SEGMENT
BROKERAGE STANDARD RATE QUOTED RATE
Brokerage (Futures) Rs. 25 per lot
Brokerage (Options) Rs. 10 per lot

OTHER CHARGES
STAMP DUTY - As applicable Rs. 200/- per Crore
Service Tax - As applicable 10.30%
Regulatory Charges Rs. 10/- Per 1 Crore

CURRENCY DERIVATIVE (NSE) TRANSACTION CHARGES DETAILS

Transaction Charges Future Delivery/Intraday 0.0012%
Transaction Charges Option Delivery/Intraday 0.0420%

CURRENCY DERIVATIVE (MCX-SX) TRANSACTION CHARGES DETAILS

Transaction Charges Future Delivery0/Intraday 0.0011%
Protection Fund Trust 0.00005%

Remark :

NOTES: 6. Charges/ service standards are subject to revision at sole discretion of India
1. Customers will get Digital Contract Notes on their E-mail ID mentioned Infoline Ltd. and as informed by communication sent by ordinary post/ E-mail.
in the account opening form. Physical print copy of digital contract note 7. Value of the transaction will be in accordance with rates provided by
can be availed from the branches. Depository.
2. In case of Customer opting for Physical Documents options for receiving 8. Transaction charges will be payable on a monthly basis.
Contract Notes and other related Documents, Document handling charge 9. Charges quoted above are for the services listed. Any service not quoted
of Rs.25/- per dispatch will be levied. This charge may be partly/ fully above will be charged separately.
waived off for high networth/large Customer at the discretion of IIFL. 10. Customer is required to maintain a minimum balance of Rs.1000/- in
3. Client will be charged Rs. 250/- for process of closure of trading accounts. his/ her ledger account.
4. The above charges are exclusive of Service tax, Securities Transaction 11. No refund of account opening charges would be given if the account
Tax, regulatory charges and stamp duty. The same shall be charged to could not be opened due to non submission of complete documents by
the Client's account on actual basis. the client or due to lack of desired co-operation from the client.
5. Inter/ settlement/ Beneficiary to pool transfer would be charged @ Rs.15/- 12. Management reserves the right to freeze, discontinue or suspend any
per scrip plus service tax. account if required.

I/ We have understood and accepted the Schedule of Charges as stated here in above.
17
Authorised Signatory 36

Authorised Signatory

Authorised Signatory

Branch Official Name: Branch Official Signature: 3

7

15
To be stamped with Rs.20/- Stamp Paper

SECTION B - VOLUNTARY DOCUMENTS

Prescribed by Depository; Provides basic rights and obligations of client and Depository Participant.
Required if Demat account is being opened with IIFL.

Login ID: Client ID: 1 2 0 4 4 7 0 0

DP - CLIENT AGREEMENT BETWEEN A PARTICIPANT AND A PERSON SEEKING TO OPEN

A BENEFICIAL OWNER'S ACCOUNT

This Agreement made and entered into at on this day of ,

20 between INDIA INFOLINE LTD. (description of the legal entity) having his/its office/ registered office at IIFL
House, Sun Infotech Park, Road No. 16V, Plot No. B-23, Thane Industrial Area, Wagle Estate, Thane - 400 604 and
Processing Office at India Infoline Towers, No.143, M.G.R. Road, 3rd Floor, Central Processing Unit (CPU), Perungudi, Near
Life Line Hospital, Chennai - 600 096, hereinafter called "the Participant" of the ONE PART; AND,
1) situated at
18
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2) situated at

3) situated at

(description of the legal entity) hereinafter called "the Beneficial Owner" of the OTHER PART. WHEREAS the Beneficial
Owner is desirous of opening a beneficial owner's account with the Participant and the Participant has agreed to open an
account in the name of the Beneficial Owner and render services to the Beneficial Owner as a participant, on the terms and
conditions recorded hereinbelow:
NOW THIS AGREEMENT WITNESSETH AND IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES HERETO AS
FOLLOWS:
1. GENERAL CLAUSE: The parties hereto agree to abide notice in writing to the Beneficial Owner in that behalf.
by the provisions of the Depositories Act, 1996, SEBI In case the Beneficial Owner committing a default in
(Depositories and Participants) Regulations, 1996, Bye the payment of any such amount payable to the
Laws and Operating Instructions issued by CDSL from Participant on their respective due dates or within fifteen
time to time in the same manner and to the same extent days of the same being demanded (where no such due
as if the same were set out herein and formed part of date is specified), the Participant shall be entitled to
this Agreement. charge interest on the amount remaining outstanding
2. FEES, CHARGES AND DEPOSITS: The Participant shall or unpaid not exceeding 18% per annum or part thereof.
be entitled to change or revise the fees, charges or On such continued default, the Participant after giving
deposits from time to time provided however that no two days notice to the Beneficial Owner shall have a
increase therein shall be effected by the Participant unless right to stop processing of instructions of Beneficial
the Participant shall have given at least one month's Owners till such time he makes the payment along with
Continued on page 17
16
 interest if any. furnish to the Participant, a list of officials authorized
3 STATEMENT OF ACCOUNT: by it, who shall represent and interact on its behalf with
the Participant. Any change in such list including
3.1 The Participant shall furnish to the Beneficial Owner a
additions, deletions or alterations thereto shall be
statement of his/its account at the end of every month
forthwith communicated to the Participant.
if there has been even a single entry or transaction during
that month, and in any event once at the end of each 7. CLOSURE OF ACCOUNT: The Beneficial Owner, may,
quarter. [The statement of accounts to be provided to at any time terminate this Agreement by calling upon
the Beneficial Owner under this Agreement shall be in the Participant to close his/its account with the
the form specified in Operating Instructions or as Participant in the manner and on the terms and
communicated by CDSL from time to time.] The conditions set out in the Bye Laws and the procedure
Participant shall furnish such statements at such shorter laid down in the Operating Instructions. In the event of
periods as may be required by the Beneficial Owner on termination of this Agreement the Beneficial Owner shall
payment of such charges by the Beneficial Owner as either get the securities transferred to some other
may be specified by the Participant. account or get the same rematerialised.
3.2 It is agreed that if a Participant is providing the services 8. STAMP DUTY: Any stamp duty (including interest or
of issuing the statement of accounts in an electronic penalty levied thereon) payable on the Agreement and/
mode and if the Beneficial Owner is desirous of availing or on any deed, document or writing executed in
such services from the Participant, then the Participant pursuance hereof between the parties hereto shall be
will furnish to the Beneficial Owner the statement of borne and paid by the Beneficial Owner.
accounts under its digital signature, as governed under 9. FORCE MAJEURE: Notwithstanding anything contained
the Information Technology Act, 2000. Provided herein or in the Bye Laws, neither party hereto shall be
however that in the event of the Beneficial Owner liable to indemnify or compensate the other for any
requiring a physical copy of the statement of accounts, breach, nonperformance or delay in performance of any
despite receiving the same in the electronic mode, then obligations under the Agreement or for any harm, loss,
irrespective of having forwarded the same via electronic damage or injury caused to the other due to causes
mode, the Participant shall be obliged to provide a reasonably beyond its control including but not limited
physical copy thereof to the BO. to tide, storm, cyclone, flood, lightning, earthquake, fire,
3.3 It is agreed and understood between the parties that if blast, explosion or any other act of God, war, rebellion,
the Participant does not have the facility of providing revolution, insurrection, embargo or sanction, blockade,
the statement of account in the electronic mode, then riot, civil commotion, labour action or unrest including
the Participant shall be obliged to forward the statement strike, lock-out or boycott, interruption or failure of any
of account only in physical form. utility service, enemy action, criminal conspiracy, act of
terrorism or vandalism, sabotage, or intrusion, or any
4. BENEFICIAL OWNER SHALL INTIMATE CHANGE OF
other irresistible force or compulsion.
PARTICULARS: The Participant shall not be liable or
responsible for any loss that may be caused to the 10. SERVICE OF NOTICE: Any notice or communication
Beneficial Owner by reason of his/its failure to intimate required to be given under the Agreement shall not be
change in the particulars furnished to the Participant binding unless the same is in writing and shall have been
from time to time, unless notified by the Beneficial served by delivering the same at the address set out
Owner. hereinabove against a written acknowledgement of
receipt thereof or by sending the same by pre-paid
5. DEPOSITORY NOT LIABLE FOR CLAIMS AGAINST
registered post at the aforesaid address or transmitting
BENEFICIAL OWNER: CDSL shall not be liable to the
the same by facsimile transmission, electronic mail or
Beneficial Owner in any manner towards losses, liabilities
electronic data transfer at number or address that shall
and/ or expenses arising from the claims of third parties
have been previously specified by the party to be notified.
or for any fees, charges, taxes, duties, levies or penalties
Notice given by personal delivery shall be deemed to be
levied, imposed or demanded by any Central, State,
given at the time of delivery. Notice given by post in
statutory or revenue authority in respect of securities
accordance with this clause shall be deemed to be given
credited to the Beneficial Owner's account.
at the commencement of business of the recipient of
6. AUTHORISED REPRESENTATIVE: Where the Beneficial
the notice on the third working day next following its
Owner is a body corporate or a legal entity, it shall,
posting. Notice sent by facsimile transmission, electronic
simultaneously with the execution of the Agreement
Continued on page 18
17
Login ID:

mail or electronic data transfer shall be deemed to be 12. JURISDICTION: The parties hereto agree to submit to
given at the time of its actual transmission. the exclusive jurisdiction of the courts in Mumbai.
11. ARBITRATION: The parties hereto shall, in respect of all 13. GOVERNING LAW: The Agreement shall be governed
disputes and differences that may arise between them, by and construed in accordance with the laws in force
abide by the provisions relating to arbitration and in India.
conciliation specified under the Bye Laws.
IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/ seals to this Agreement
in duplicate on the day, month, year and place first hereinabove mentioned.
Signed and delivered by:
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AUTHORISED SIGNATORY AUTHORISED SIGNATORY AUTHORISED SIGNATORY
(for and on behalf of the Client)

4
7

For INDIA INFOLINE LIMITED

(for and on behalf of the Depository Participant)
Stamp of Depository Participant:

DETAILS OF THE WITNESS

Witness 1 on behalf of IIFL Witness 1 on behalf of Client

Name Name
Address Address

Signature Signature

Witness 2 on behalf of IIFL Witness 2 on behalf of Client

Name Name
Address Address

Signature Signature

18
 AUTHORISATION LETTER FOR RECEIVING TRANSACTION STATEMENT THROUGH INTERNET
THIS AUTHORIZATION FORMS PART OF DP-CLIENT AGREEMENT
1) situated at
20
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2) situated at

3) situated at

(hereinafter called "the Client") and INDIA INFOLINE LTD. situated at IIFL House, Sun Infotech Park, Road No. 16V, Plot No.B-23, Thane
Industrial Area, Wagle Estate, Thane - 400 604 and Processing Office at India Infoline Towers, No.143, M.G.R. Road, 3rd Floor, Central
Processing Unit (CPU), Perungudi, Near Life Line Hospital, Chennai - 600 096 (hereinafter called "the Depository Participant"). WITNESSETH
WHEREAS the Client has permitted the Depository Participant change in E-mail address, if any. The Participant shall verify
to provide the transaction statement through internet. and confirm with the Client about the change. Further,
NOW THEREFORE in consideration of the Depository the Participant shall confirm with the Client about validity
Participant having agreed to provide the transaction statement of the E-mail address atleast once in a year.
through internet, both the parties to the agreement hereby vii. The Client agrees not to receive Transaction Statement in
covenant and agree as follows: paper form from the Participant. Provided however that, in
i. The Depository Participant shall install adequate systems case when the Participant is not able to provide Transaction
to restrict the access of the transaction statement only Statement to its Client’s through Internet (web-based/ E-
to the Client. mail) due to any unforeseen problems, the Participant should
ensure that the Transaction Statement reaches to the Client
ii. The Client shall take all the necessary steps to ensure in physical form as per the time schedule stipulated in the
confidentiality and secrecy of the log-in name and password. Bye Laws & Business Rules of CDSL.
iii. The Client is aware that the transaction statement may viii. The client further undertakes to indemnify the DP wholly
be accessed by other entities in case the confidentiality/ against any loss, injury, claim or damages that may be
secrecy of the login name and password is compromised. suffered by it due to or consequence upon such
iv. The Depository Participant and the Client shall have disclosure of information without notice to the client.
the right to terminate this agreement after giving a ix. The above terms and conditions are in addition to and
notice of atleast 10 days to the other party. not in violation of the terms and conditions forming a
v. The client agrees that the DP is authorised by him to part of the “AGREEMENT BETWEEN THE DEPOSITORY
disclose any information pertaining to the client’s a/c PARTICIPANT AND THE PERSON SEEKING TO OPEN AN
and the balances in the said a/c to the DP and the ACCOUNT WITH THE DEPOSITORY PARTICIPANT”
owner of the website 5paisa.com (India Infoline Ltd.) signed by the Client at the time of opening the account
to any Regulator or any other government official, with the Depository.
without notice to the client. IN WITNESS WHEREOF the Depository Participant and the
vi. In case the Client opts for transaction statement through Client has caused these presents to be executed as of the
change in E-mail address, if any. The Participant about day and year first above written.
SIGNED AND DELIVERED BY (INDIA INFOLINE LIMITED)
5
7
(for and on behalf of the Depository Participant)
SIGNED AND DELIVERED BY
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SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER
(for and on behalf of the Client)
DETAILS OF THE CLIENT’S WITNESS
Witness 1 Witness 2
Name Name
Address Address

Signature Signature
19
To be stamped with Rs.100/- Stamp Paper

Voluntary and Limited purpose POA in favour of Broker for operational requirements as per client
authorization/ instruction.
POWER OF ATTORNEY
POWER OF ATTORNEY IN FAVOUR OF INDIA INFOLINE LIMITED
This Power of Attorney (POA) is made by the persons mentioned through its website www.indiainfoline.com or any other
in the Schedule 1 in favour of "INDIA INFOLINE LIMITED", a website used for offering said Services. Details of my/ our
company incorporated under the provisions of the Companies Trading and Demat account with IIFL are provided in Schedule 1
Act, 1956 in India and having its registered office at IIFL House, AND WHEREAS for facilitating smooth operations of the said
Sun Infotech Park, Road No. 16V, Plot No.B-23, Thane Industrial services being availed from IIFL by me/ us, I/ We am/ are
Area, Wagle Estate, Thane - 400 604 and Central Processing desirous of appointing an attorney and confer upon it powers
and Record keeping office at India Infoline Tower, No.143, hereinafter stated.
M.G.R. Road, 3rd Floor, Central Processing Unit (CPU), NOW THESE PRESENTS WITNESS that I/ We, do hereby, jointly
Perungudi, Near Life Line Hospital, Chennai - 600 096 and severally nominate, constitute and appoint "India Infoline
(hereinafter referred to as 'IIFL', an expression deemed to mean Limited" being a Stock Broker and Depository Participant
and include its successors and assigns) registered with Securities and Exchange Board of India
WHEREAS India Infoline Limited is a member of the National ("SEBI")acting through any of its directors, officers and/ or
Stock Exchange of India Limited ("NSE") (bearing SEBI agents, as my/ our true and lawful Constituted Attorney
registration nos. INB231097537, INF231097537 & (hereinafter referred to as the said Attorney) for me/ us, in
INE23109753 on the Capital Market Segment, Futures & my/ our name and on my/ our behalf and at my/ our risk and
Options Segment and Currency Derivatives Segment costs to do, exercise and perform all or any of the following
respectively), Bombay Stock Exchange Limited ("BSE") (bearing acts, deeds and things:
SEBI registration nos. INB011097533 and INF011097533 1. To instruct the Depository Participant, being IIFL to
on the Cash Market Segment and Derivatives Segment), MCX transfer securities held in my/our beneficial owner/demat
Stock Exchange Limited (bearing SEBI registration no. account as provided in Schedule 2 or such other demat
INE261097537 on Currency Derivatives Segment) and United account as may be intimated by me/us to IIFL from time
Stock Exchange Limited (bearing SEBI Registration Number to time ("client designated demat accounts") to such
INE271097532 on Currency Derivatives Segment). demat account of IIFL as provided in Schedule 2 and/
AND WHEREAS India Infoline Limited is a Depository or designated by IIFL and intimated to me from time to
Participant with the National Securities Depository Limited time ("IIFL designated demat account") towards stock
(hereinafter referred to as "NSDL") having SEBI registration exchange related margin/ delivery obligations arising
number IN-DP-NSDL- 185-2000 and with Central Depository out of trades executed by me/ us through IIFL on any
Services (India) Limited (CDSL) having SEBI registration Stock Exchange in any segment including cash,
number IN-DP-CDSL-352-2006. derivatives and currency derivatives segment.
AND WHEREAS India Infoline Limited is registered with 2. To make application and/ or issue instruction for
Association of Mutual Funds in India (AMFI) as Mutual Fund creation/ invocation/ closure of pledge on the securities/
Distributor having Registration no. ARN47791. units held in my/ our client designated demat accounts
AND WHEREAS I/ We wish to avail / I/We am/ are a client in favour of IIFL for the limited purpose of meeting the
availing of the services offered by IIFL and has entered into margin requirements in connection with the trades
necessary documents/ agreement(s) ("Client Agreements") executed by me/ us through IIFL on any Stock Exchange
with IIFL for transacting in securities with/ without On-Line in any segment including cash, derivatives and currency
trading/ E-broking & web based facilities and/ or services derivatives segment.
Continued on page 21
20
3. To credit my/ our client designated demat accounts with internet using identification number issued by any
any securities that are to be delivered to me/ us/ Authority from time to time or otherwise, and/ or to
borrowed by me/ us. sign and to execute all transfer deeds whether as
4. Generally to do all such acts, deeds, matters and things transferor or transferee and such other instruments,
as may be necessary for or incidental to ensure that all applications and papers as may be necessary for
payments for and delivery of securities arising out of acquiring or transferring/redeeming the same, marking
transactions undertaken by me/ us under the pledge/lien on such securities and/or for transferring
agreements are duly and properly completed. the investments in the units of Mutual Funds from one
5. Pursuant to my/ our instruction, to make necessary scheme to another or between Mutual Funds and/ or
applications on my/ our behalf to any officials or otherwise as may be required to deal in the securities
authorities in India, including but not limited to, the or other investment products.
Central Government, and/or the Reserve Bank Of India, 9. Pursuant to my/ our instruction or instruction of my/ our
Income Tax Authority, Stock Exchanges, Securities and Authorised Representative, to make applications for or
Exchange Board of India in connection with my/ our to renounce and sign renunciation forms in respect of
purchase/ sale/ transfer holding and continuing to hold bonds/ debentures, right shares and additional shares of
securities, and to represent me in all respects before any Company/ Body/ Authority and to receive and hold
such authority/ies and establish without encumbrance such rights or additional shares bonds or debentures.
the ownership of securities in my name. 10. To issue orders and instructions for acquisitions and
6. The term "Securities" shall include shares, scrips, stocks, disposal of investments for and on behalf of myself/
bonds, warrants, options, futures, derivatives, ourselves and to purchase or otherwise acquire, sell or
convertible debentures, non-convertible debentures, otherwise dispose off and invest in securities.
securitized debt instruments, fixed return investment, 11. To sign the necessary forms and other documents if
equity linked instruments or other marketable Securities any and to file the same with the company/ies and/ or
of a like nature in or of any incorporated company or Mutual Fund concerned for purchase, sell, redemption
other body corporate, negotiable instruments including or otherwise transfer of such securities/ units of Mutual
usuance Bills of Exchange, deposits or other money Funds and transferring it in my/ our name.
market instruments, commercial paper, certificate of 12. To forward all such applications placed through the
deposit, units issued by Unit Trust of India and units website to the online-IPO module of the concerned
issued by Mutual Funds, mortgage backed or other asset Exchange or owner/ issuer of Investment Product.
backed Securities issued by any institution or body 13. To receive statements and other documents pertaining
corporate cumulative convertible preference shares to the above units/ securities and to acknowledge receipt
issued by any incorporated company and Securities of the same.
issued by any incorporated company and Securities 14. To do all such acts and things as may be necessary to
issued by the Central Government or a State effect the subscription/ purchase/ redemption or any
Government for the purpose of raising public loan and other transaction in any securities and/ or Investment
having one of the forms specified in Clause (2) of Section Product for which services are availed from IIFL.
2 of the Public Debt Act, 1944, any other new form of
15. To debit the purchase price of such securities or any
capital or money market instruments that may be issued
other fees/ charges etc. due to IIFL and to discharge all
in the future by any incorporated company/ firm/
obligation in this regard on my/ our behalf to IIFL, in
institution or Government.
my account with India Infoline Ltd.
7. Pursuant to my/ our instruction or instruction of my/
16. To operate and to give delivery/ receive instructions,
our Authorised Representative, to apply for various
borrowing and lending instructions, pledge instructions,
products like Mutual Funds, Public issues of securities
pledge closure instructions and to do all such other
including debentures, rights, offer of shares, tendering
things that may be necessary in the course of business
shares in open offers etc.
relating to operation of client designated demat
8. Pursuant to my/ our instruction or instruction of my/ account(s) or towards the obligation for transactions
our Authorised Representative, to acquire by subscribing done through IIFL on NSE, BSE and any other Exchange,
to or by purchase of securities or any other investment under my/our instructions.
products and to sell, transfer and endorse the same or
17. To execute the share transfer requests given by me/us
redeem the same or otherwise deal in the securities
through the website or any other medium and process
and/ or any other investment products including but
the documents authenticated by authorized signatories
not limited to Initial Public Offerings, Further Public
empowered to do so in this regard.
Offerings, Buy Back Offers, Right Issues either through
Continued on page 22
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Login ID:

18. To square off at its discretion my/ our position of connectivity or rejection of my/ our application for any
transactions that are not delivery marked during the day. reason whatsoever.
19. To demand, receive and give good and effectual receipt(s) 28. My/ our Attorney IIFL shall not be liable for any
and discharge(s) for all or any dividends, interest, bonuses transaction processed on the basis of information
or any other sum(s) and/ or income arising from the provided by IIFL to the issuers/ owners of securities or
shares, debentures, units and other investments and to investment products in the applications or otherwise
sign and endorse pay orders, dividend/ interest warrants based on the information provided by me/ us.
or certificates, receive all debts, sums of money, principal, AND I/ We hereby agree that IIFL shall exercise such powers
interest, dividend or other dues of whatever nature or and authorities conferred under the above Power of Attorney
account which are now or at any time due and payable only pursuant to the instructions in that behalf given by me/
and belong to me/ us. us or my/ our Authorised Representative, which may be given
20. For the purpose of the aforesaid to sign contracts, orally, over the telephone, through the internet, electronically
agreements, transfers, acceptances, receipts, or other or in any other manner acceptable to IIFL and such
instruments, documents and forms, to accept and carry instructions shall be deemed to have been given by me/ us
out correspondence with such person(s) or authority/ and shall not be questioned by me/ us and shall be conclusive
authorities or department(s) and to do all such lawful and binding on me/ us.
acts requisite for effecting the same. My/ Our "Authorised Representative" for the purpose this
21. To correspond with and give notice to the corresponding Power of Attorney shall mean Mr.
Asset Management Company/ Body Corporate/ Registrar , or such other person
& Transfer Agent of securities including but not limited appointed by me/ us and intimated by me/ us in writing to
to giving instructions with regard to nomination/change the Attorney from time to time.
in investment plans/any other changes that may be AND I/ We hereby agree that all such acts done by my/ our
necessitated/ instructed by me/ us. above mentioned attorney shall be deemed to be acts done
22. To comply and/ or cause to be complied with all statutory by me/ us and if necessary shall be ratified by me/ us on the
and other requirements attached to or arising out of instructions of the said attorney.
these premises and for these purpose to take such steps AND I/ WE DO HEREBY CONFIRM AND DECLARE THAT this
and actions necessary or proper, including signing of Power of Attorney shall be valid, effective and operative and
affidavits, indemnity, declarations, legal documents, shall remain in force till the termination of the Member -
deeds and writings required. Client Agreement and/ or any other agreement(s) that I/ We
23. To send consolidated summary of my/ our scrip wise have entered into with IIFL.
buy and sell positions taken with average rates by way I/ We may revoke this Power of Attorney at any time by giving
of SMS/ e-mail at my/ our registered mobile no./ email a notice to IIFL in writing and the cessation of this authority
id as provided by me/ us through contract note or any shall not affect or impair any act thereto done in exercise of
other intimation, on a daily basis, notwithstanding any these presents.
other document to be disseminated as specified by SEBI Such notice shall be duly signed by me/ us and should be
from time to time. received at :
24. To arrange to return to me/ us the securities that may India Infoline Tower, No.143, M.G.R. Road, 3rd Floor, Central
have been received by IIFL erroneously or those securities Processing Unit (CPU), Perungudi, Near Life Line Hospital,
that IIFL is not entitled to receive from me/ us. Chennai - 600 096
25. For all or any of the purpose aforesaid to appoint from The revocation shall be subject to due receipt, verification
time to time a representative and to revoke such and processing of the same by IIFL.
representation but so that the appointment of any such I/ We hereby undertake to ensure that prior to the revocation
representative shall not affect or prejudice the rights or of this power of attorney all amounts of debit balances
powers of the Attorney to act hereunder and the including penalties and other charges & expenses till the
Attorney may continue to do so notwithstanding such date of revocation due to the Attorney as per its records are
appointments. paid/ cleared in full.
26. To do or omit to do all such acts and things as IIFL may This document shall be subject to the jurisdiction of the
in its discretion consider to be necessary or desirable in Courts in Mumbai.
order to exercise its powers hereunder or to comply
MADE and executed at Mumbai on this
with any laws, orders, rules, regulations or directions
day of 20
of any government or regulatory or other authorities.
27. My/ Our Attorney IIFL shall not be liable for any loss
that may result from failure/ inability of electronic Continued on page 23
22
 Login ID:

SCHEDULE 1
Name Age Address
Authorised Signatory
(Trading Account Client)
Authorised Signatory
Authorised Signatory
Trading Account No./ Client ID
Demat Account No.

SCHEDULE 2
Client Designated Demat Account Nos.:

IIFL Designated Demat Account Nos.:

DP Name: INDIA INFOLINE LIMITED
DPID: 12044700 DPID: IN302269
00000044 12180091
00000063 12144461
00000078 10000005
00000103 10000013
00000059
00000082
IN WITNESS WHEREOF I/We have hereunto set and subscribed my/our respective hands to these presents the day and
the year herein above written.

Signed and Delivered by

22
36
Authorised Signatory Authorised Signatory Authorised Signatory
(for and on behalf of the Client)

CLIENT’S WITNESS FOR POWER OF ATTORNEY

Witness 1 Witness 2
Name Name
Address Address

Signature Signature

We hereby agree to exercise the powers conferred upon us in terms of the clauses mentioned hereinabove.
For India Infoline Limited
6
7
Authorised Signatory
Date:

23
 (This document is Mandatory in case of HUF account executing Power of Attorney)

NO OBJECTION CERTIFICATE/POWER OF ATTORNEY

[HUF DEMAT/ TRADING ACCOUNT]

To,
INDIA INFOLINE LTD.
Mumbai

Dear Sir/ Madam,

Sub: Declaration of Coparcener(s)
I/We hereby declare that I/we are coparcenars of the HUF with as “Karta”.
I/We have opened Trading and/or Demat account with you under HUF category.I/We hereby declare that I/We am/are
authorizing the said Karta to execute the transactions and to do all such needful acts/deeds in our Demat/Trading
account. I/We further authorize the Karta to appoint any other attorney and authorize him/her/it to act on behalf of the
HUF and Coparcener(s) with regard to the operations of the said Demat/Trading account. The details of our account are
given below:
BO ACCOUNT DETAILS:
DP ID: 12044700 Client ID: Login ID:
Name of the Karta

Signature & Stamp of Karta alongwith stamp of HUF

HUF::

LIST OF CO-PARCENERS:

Sr
Sr.. No. Name Sex [M/F] Date of Birth Relationship Signature
with Karta

1.

2.

3.

4.

5.

6.

I/We hereby state that the details mentioned as above are true and any change in them would be intimated to you in
writing.

Place :
Date :

24
 TERMS AND CONDITIONS-CUM-REGISTRATION/ MODIFICATION FORM FOR RECEIVING
SMS ALERTS FROM CDSL
(* Registration for receiving SMS alerts from CDSL is mandatory for the client who are executing the POA in favour of stock
broker.)
ANNEXURE depository for any loss or damage suffered by it on
DEFINITIONS: account of SMS alerts sent on such mobile number.
In these Terms and Conditions the terms shall have following RECEIVING ALERTS:
meaning unless indicated otherwise: 1. The depository shall send the alerts to the mobile phone
1. "Depository" means Central Depository Services (India) number provided by the BO while registering for the
Limited a company incorporated in India under the service or to any such number replaced and informed by
Companies Act 1956 and having its registered office at the BO from time to time. Upon such registration/ change,
17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400 the depository shall make every effort to update the
001 and all its branch offices and includes its successors change in mobile number within a reasonable period of
and assigns. time. The depository shall not be responsible for any event
2. 'DP' means Depository Participant of CDSL. The term covers of delay or loss of message in this regard.
all types of DPs who are allowed to open demat accounts 2. The BO acknowledges that the alerts will be received only
for investors. if the mobile phone is in 'ON' and in a mode to receive
3. 'BO' means an entity that has opened a demat account the SMS. If the mobile phone is in 'Off'' mode i.e. unable
with the depository. The term covers all types of demat to receive the alerts then the BO may not get/ get after
accounts, which can be opened with a depository as delay any alerts sent during such period.
specified by the depository from time to time. 3. The BO also acknowledges that the readability, accuracy
4. SMS means "Short Messaging Service" and timeliness of providing the service depend on many
5. "Alerts" means a customized SMS sent to the BO over the factors including the infrastructure, connectivity of the
said mobile phone number. service provider. The depository shall not be responsible
6. "Service Provider" means a cellular service provider(s) with for any non-delivery, delayed delivery or distortion of the
whom the depository has entered/ will be entering into alert in any way whatsoever.
an arrangement for providing the SMS alerts to the BO. 4. The BO further acknowledges that the service provided
7. "Service" means the service of providing SMS alerts to the to him is an additional facility provided for his convenience
BO on best effort basis as per these terms and conditions. and is susceptible to error, omission and/ or inaccuracy.
AVAILABILITY: In case the BO observes any error in the information
1. The service will be provided to the BO at his/ her request provided in the alert, the BO shall inform the depository
and at the discretion of the depository. The service will and/ or the DP immediately in writing and the depository
be available to those accountholders who have provided will make best possible efforts to rectify the error as early
their mobile numbers to the depository through their DP. as possible. The BO shall not hold the depository liable
The services may be discontinued for a specific period / for any loss, damages, etc. that may be incurred/ suffered
indefinite period, with or without issuing any prior notice by the BO on account of opting to avail SMS alerts facility.
for the purpose of security reasons or system maintenance 5. The BO authorizes the depository to send any message
or for such other reasons as may be warranted. The such as promotional, greeting or any other message that
depository may also discontinue the service at any time the depository may consider appropriate, to the BO. The
without giving prior notice for any reason whatsoever. BO agrees to an ongoing confirmation for use of name,
2. The service is currently available to the BOs who are email address and mobile number for marketing offers
residing in India. between CDSLand any other entity.
3. The alerts will be provided to the BOs only if they remain 6. The BO agrees to inform the depository and DP in writing
within the range of the service provider's service area or of any unauthorized debit to his BO account/
within the range forming part of the roaming network of unauthorized transfer of securities from his BO account,
the service provider. immediately, which may come to his knowledge on
4. In case of joint accounts and non-individual accounts the receiving SMS alerts. The BO may send an E-mail to CDSL
service will be available, only to one mobile number i.e. at [email protected]. The BO is advisednot to
to the mobile number as submitted at the time of inform the service provider about any such unauthorized
registration/ modification. debit to/ transfer of securities from his BO account by
sending a SMS back to the service provider as there is no
5. The BO is responsible for promptly intimating to the
reverse communication between the service provider and
depository in the prescribed manner any change in mobile
the depository.
number, or loss of handset, on which the BO wants to
receive the alerts from the depository. In case of change 7. The information sent as an alert on the mobile phone
in mobile number not intimated to the depository, the number shall be deemed to have been received by the BO
SMS alerts will continue to be sent to the last registered and the depository shall not be under any obligation to
mobile phone number. The BO agrees to indemnify the confirm the authenticity of the person(s) receiving the alert.
25
8. The depository will make best efforts to provide the fraudulent, duplicate or erroneous use/ misuse of such
service. The BO cannot hold the depository liable for non- information by any third person.
availability of the service in any manner whatsoever. LIABILITY AND INDEMNITY:
9. If the BO finds that the information such as mobile number The Depository shall not be liable for any breach of
etc., has been changed with out proper authorization, the confidentiality by the service provider or by any third person
BO should immediately inform the DP in writing. due to unauthorized access to the information meant for
FEES: the BO. In consideration of the depository providing the
Depository reserves the right to charge such fees from time service, the BO agrees to indemnify and keep safe, harmless
to time as it deems fit for providing this service to the BO. and indemnified the depository and its officials from any
DISCLAIMER: damages, claims, demands, proceedings, loss, cost, charges
The depository shall make reasonable efforts to ensure that and expenses whatsoever which a depository may at any
the BO's personal information is kept confidential. The time incur, sustain, suffer or be put to as a consequence of
depository does not warranty the confidentiality or security or arising out of interference with or misuse, improper or
of the SMS alerts transmitted through a service provider. fraudulent use of the service by the BO.
Further, the depository makes no warranty or representation AMENDMENTS:
of any kind in relation to the system and the network or The depository may amend the terms and conditions at any
their function or their performance or for any loss or damage time with or without giving any prior notice to the BOs. Any
whenever and howsoever suffered or incurred by the BO or such amendments shall be binding on the BOs who are
by any person resulting from or in connection with availing already registered as user of this service.
of SMS alerts facility. The Depository gives no warranty with GOVERNING LAW AND JURISDICTION:
respect to the quality of the service provided by the service Providing the Service as outlined above shall be governed by
provider. The Depository will not be liable for any the laws of India and will be subject to the exclusive
unauthorized use or access to the information and/ or SMS jurisdiction of the courts in Mumbai.
alert sent on the mobile phone number of the BO or for
I/ We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the
registration form subject to the terms and conditions mentioned below. I/ We consent to CDSL providing to the service
provider such information pertaining to account/ transactions in my/ our account as is necessary for the purposes of
generating SMS Alerts by service provider, to be sent to the said mobile number.
I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any
amendments thereto made by the depository from time to time. I/ We further undertake to pay fee/ charges as may be
levied by the depository from time to time.
I/ We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits
take place, the BOs would be required to take up the matter with their DP.
I/ We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been
accepted by the depository for providing the service.
I/ We provide the following information for the purpose of REGISTRATION/ MODIFICATION (Please cancel out what is
not applicable).

BO ID DP ID 1 2 0 4 4 7 0 0 Client ID
(Please write your 8 digit)
Authorised Signatory Name First Middle Last

Authorised Signatory Name First Middle Last

Authorised Signatory Name First Middle Last
Mobile Number on which messages are to be sent + 9 1 -
(Please write only the mobile number without prefixing country code or zero)
The mobile number is registered in the name of First Middle Last
Email ID
(Please write only ONE valid E-mail ID on which communication; if any, is to be sent)

AUTHORISED SIGNATORY AUTHORISED SIGNATORY AUTHORISED SIGNATORY

SIGNATURES 23
36

Place Date
26
 AVAILING OF RESEARCH SMS FACILITY
Subscription by client for research including receipt of updates on stock prices & margin/ ledger balance
of client on their registered mobile number
Name time to time for availing the above facilities.
Login ID Whenever I want to discontinue the said facilities, I
shall inform to IIFL on the contact number and/ or
Dear Sir/Madam, send mail as mentioned above.
I want to avail the below mentioned facilities through I declare that the above is my personal mobile number and
SMS over my is always in my safe custody. I will be solely responsible for
Mobile the security of the information provided on my aforesaid
0
No. mobile number. I shall keep IIFL informed of any change in
Subscribe through SMS (Send SUB <your Client id> to my mobile number. Further, I agree and undertake to
567675555 and get RESEARCH SMS & make an informed indemnify IIFL and its group companies, that they will not be
decision by availing the following facilities: held liable/responsible for any losses, claims, damages, cost
• Stock ideas by research team and liabilities etc. caused to me due to misuse of this
• Net position of your top five stocks information or pursuant to any litigations, non-litigation
• Updates on your stock prices during market hours cases, complaints, actions, etc. that may arise in future on
• Updates on Ledger Balance on daily basis account of my above authorization request.
For any queries & suggestions call on (022) 3054 2995 / Yours faithfully,
97 or mail us on [email protected] I hereby agree 24
to pay such fees as may be prescribed by IIFL from Client Signature 36

AUTHORISATION FOR RECEIPT OF CONTRACT NOTES AND OTHER DOCUMENTS IN DIGITAL MODE
Required for issuance of Contract Notes, Statement of Account and other documents on the
client's registered e-mail id.
To, India Infoline Ltd., Mumbai (vi) IIFL may at its discretion discontinue to send me/us
Sir, the Statements in physical form.
I/We hereby consent to receive from India Infoline Limited (vii) IIFL shall not be liable or responsible for any Statement
the digital contract notes, bills, ledgers, transaction received from frauds or impostors or any consequences
statements, demat statement of accounts/ holding thereof.
statement(s)/ bills/ other statements, notices, circulars, (viii) IIFL shall not be liable for any problem, which arises
amendments and such other correspondence documents, at my/our computer network because of my/our
records by whatever name called in electronic form duly receiving any Statement from IIFL.
authenticated by means of a digital signature as specified in (ix) I/We shall inform IIFL by way of a letter in writing duly
the Information Technology Act 2000 and the rules made signed by me or inform through internet platform if
thereunder to my below mentioned email id (said email id). there is any change in the E-mail given above.
E-mail Id (x) I/We undertake to check the Statement and bring
I/We further hereby agree that the India Infoline Ltd. shall the discrepancies to your notice within the time
fulfill the legal obligation, if the above documents are sent period as specified under the relevant agreements
electronically to the said e-mail id. In this regard, entered into with IIFL. My/Our non-verification or not
I/we further confirm and agree that: accessing the Statement on regular basis shall not
(i) The above is my/ our personal E-mail id. I/We shall be a reason for disputing the same at any time.
take all necessary steps to ensure confidentiality and Whenever I/We want to discontinue the said facilities,
the secrecy of the login and password of the I/We shall inform to IIFL immediately in writing in prescribed format.
abovementioned e-mail account. IIFL shall not be I/We further agree that IIFL will not be responsible for
liable to or responsible for any breach of secrecy. nonreceipt of documents sent via electronic delivery due to
I/We will be solely responsible for the security of the change in/incorrect e-mail address/ correspondence address
information provided on my/ our aforesaid e-mail id. as mentioned or any other reason which inter alia include
(ii) E-mails sent to any of the above mentioned e-mail technical reasons or malfunction of my/our computer system/
account, which have not bounced back, shall be server/internet connection etc. Further I/We agree and
deemed to be duly delivered to the me/us. undertake to indemnify IIFL and its group companies, that
(iii) In the event any e-mail sent by IIFL bounces back due they will not be held liable/ responsible for any losses, claims
to insufficient space in my/our inbox or in the event damages, cost and liabilities etc. caused to me/us due to
any network problem occurs, IIFL shall in no way be misuse of this information or pursuant to any litigation cases,
responsible for the same. complaints, actions, etc that may arise in future on account
(iv) IIFL shall not take cognizance of out-of -office/ out of my/ our above authorization request.
ofstation auto replies and I/We shall be deemed to I/We further agree that IIFL may at its sole discretion also
have received such electronic mails. provide such Statements in physical form.
(v) Such Statements shall be deemed to have been Yours faithfully,
delivered on the day when the e-mail is sent by IIFL. 25
AUTHORISED SIGNATORY 36
27
 RUNNING ACCOUNT AUTHORISATION
Authorisation to India Infoline Limited behalf and/or credit balances lying in my/our ledger account
a) I would like to keep securities purchased by me with of any segments of any Exchanges can be considered as
you as collateral for giving me exposure limits in my margin for the any segments of any Exchanges.
trading account/margin obligation. I authorize you not h) I/We understand that this authorization shall remain
to transfer shares/securities purchased by me to my valid until revoked by me/us. I/we undertake to clear
demat beneficiary account and keep them with all my dues arising during the validity of this
yourselves. I also authorise you to pledge these shares/ authorization else the member shall recover all my/
securities with the Clearing Member/ Exchange/ our dues in my/our ledger till date.
Custodian, at your discretion. In case any of the shares/ i) I also note that I may revoke the authorisation at any
securities are sold in subsequent settlements, you may time by giving you written notice at least seven days
take this as a standing instruction to adjust against in advance to your office. I also undertake to clear all
my previous purchase positions in any of Exchanges. my dues to you before serving revocation of this
b) Whenever I require delivery of any shares/securities, I authorisation else the member will recover all my dues
shall send you a written request. I understand that in my ledger till date and then effect the revocation.
such payout of securities will be made subject to your j) I also undertake to bring any dispute arising from
risk management policies. Statement of accounts or settlement so made to your
c) In case there is a debit balance in my account, you are notice within seven working days from the date of receipt
authorized to sell at any point of time the shares/ securities of funds/securities or Statement as the case may be.
held by me/held on my behalf, at your sole discretion. I /We further wish to have settlement of my account (funds
Any profit or loss made on such transactions will be to and securities):- (9 Tick any one option)
my account as it would have occurred on normal Once in Quarter Once in Month
purchase/ sale made by me. I also agree to pay the balance I understand that settlement amount shall be subject to
amount, if any after deducting credit of sale of shares. retention of requisite securities/ funds towards outstanding
d) I also request you not to issue cheques /make payments obligations and margins in my account calculated in the
settlement wise unless specifically demanded by me, manner specified by SEBI/ Exchange and details mentioned in
as pay-in and payout are very close and therefore the "Statement of Account" at the time of settlement. I authorise
exchange of cheque becomes unnecessary paper work. you to send the statement of account on funds and securities
e) I/We understand and agree that no interest will be as on the date of settlement to my internet trading account or
payable to me/us on the amounts or securities so e-mail id registered with you. I understand that I can obtain a
retained with you. copy of the same from any of your Branch offices.
f) I further authorise you to set off/ adjust any of my So kindly maintain my account as a running account basis
debits/dues in any segment of any Exchange with for funds and securities.
credits of any other segment(s) of any Exchange(s) in Name
my account within the period of settlement of my Login ID Date
account (Securities and Funds) as opted by me.
g) The Securities lying in client beneficiary account on my/our AUTHORISED SIGNATORY 26
36

AVAILING OF VAS SMS FACILITY*

Subscription by client for value added services including receipt of updates on stock prices & margin/
ledger balance of client on their registered mobile number
Name time to time for availing the above facilities.
Login ID Whenever I want to discontinue the said facilities, I
Dear Sir/Madam, shall inform to IIFL on the contact number and/ or
I want to avail the below mentioned facilities through SMS send mail as mentioned above.
over my I declare that the above is my personal mobile number and
Mobile No. 0 is always in my safe custody. I will be solely responsible for
the security of the information provided on my aforesaid
Subscribe through SMS (Send SUB <your Client id> to
mobile number. I shall keep IIFL informed of any change in
567675555) and get VAS SMS & make an informed
my mobile number. Further, I agree and undertake to
decision by availing the following facilities:
indemnify IIFL and its group companies, that they will not
• Stock ideas by research team be held liable/responsible for any losses, claims, damages,
• Net position of your top five stocks cost and liabilities etc. caused to me due to misuse of this
• Updates on your stock prices during market hours information or pursuant to any litigations, non-litigation
• Updates on Ledger Balance on daily basis cases, complaints, actions, etc. that may arise in future on
For any queries & suggestions call on (022) 3054 2995 / account of my above authorization request.
97 or mail us on [email protected] I hereby agree Yours faithfully,
to pay such fees as may be prescribed by IIFL from Authorised Signatory 27
36
28
 AUTHORIZATION FOR CONSIDERING OF BALANCE TOWARDS FAMILY/GROUP ACCOUNTS POSITIONS
Is your account part of a family of accounts? If yes, please mention all Client ID & name of the family members
For the purpose of this clause “Family/ Group” shall mean period of settlement of my account (Securities & Funds)
all the Family/ Group individuals, relatives, HUF, group as opted by me under Section A.
companies/ associate companies/ firm/ entities and such I hereby undertake to intimate you from time to time about
other persons. any additions or deletion of details of my Family/ Group
I hereby confirm that my Family/ Group members detailed member accounts held with IIFL under this authorisation.
below will/ have trading accounts with India Infoline I agree that any deletion shall take effect only after the
Limited (IIFL) on BSE/ NSE in Cash and Derivatives completion of settlement in accounts of the clients
segment. In order to facilitate the smooth operations of belonging to family.
my account and these accounts with regard to payment I have affixed my signature below consenting to consider
of margins (Cash & Collaterals) pay in and payout of Funds the outstanding in below mentioned Family/ Group
and Securities. I hereby authorize you to consider the accounts held with IIFL to be adjusted against credit/
outstanding in any of these accounts against credits/ securities in my account as per the aforesaid terms of
securities available or arising in my account within the adjustment.

Sr.No. Name of the person Relationship with Signature Client Code

Account holder
1.

2.

3.

4.

28
AUTHORISED SIGNATORY 36
Name of the Client Client Code
AUTHORISATION TO SEND PASSWORD BY SMS
Please send my system-generated, internet account first time as well as subsequent, Password on the following mobile numbers.
0
Also, if I ever need to reset the Password later, the same should also be sent by SMS on the above given mobile number.
As soon as I receive the system-generated Password, I shall login and change it for security reasons. I am aware that
system-generated Password will automatically expire in 72 hours from the time of sending. I have been explained that
I shall set my new Password as may be easy to remember for me, but should not be easy to decipher for anybody else
and should be preferably alpha-numeric and not my or any family member’s name/ surname. I also confirm that the
above mobile number shall be updated in all your records and databases including trading and demat account.
1. I declare that the above is my personal mobile number and is always in my safe custody. I shall keep IIFL informed of
any change in my mobile number immediately for updating the same in databases. I am aware that without intimation
for change in mobile number, IIFL would not be able to send my Password over new mobile number and also would
not be able to update in records and databases.
2. In the event that I do not receive the Password on SMS within 24 hours of opening of account or request for reset of
Password, I shall contact the Customer Service Department of the IIFL immediately and request for re-setting of my Password.
3. I am fully aware of the risk of electronic loss/ theft and agree to be solely liable and responsible for the same as well
as for any unauthorized use/ misuse of the Password. I understand IIFL will not be responsible or liable in any manner
whatsoever for the same.
4. I am aware that in case of change in my mobile number anytime after opening of this account, it is mandatory for me
to submit the photocopy of a latest/last two months Mobile bill for postpaid connection. If I have prepaid connection
then I have to visit personally to the Branch/FANs alongwith my ID proofs (E.g.: Pan Card or Driving License) and get the
documents verified by the branch officials.
AUTHORISED SIGNATORY
Name of the Client
29
Client Code 36
29
 AUTHORISATION TO PLACE INSTRUCTIONS AND RECEIPT OF DOCUMENTS
TO,
INDIA INFOLINE LTD., Mumbai. Photograph
Dear Sir/ Madam, of the
For a smooth and convenient operation of my account, besides my instruction, I also hereby authorize Authorised
the following person to place/give instructions to IIFL for trade, request payouts, receive and Person
acknowledge all documents including Contract notes, Statement of accounts, holding statements,
quarterly statements etc. in my account. I/We shall be responsible for all the instructions/acts and
consequences thereof of the person(s) authorised by me. I/We hereby declare and confirm that I will not make IIFL
responsible or liable for any acts done based on the instructions of the following authorised person(s):

Name of the Authorised Person

Relationship with Client (Friend/ Family Member/ Consultant/ CA Advisor)
Address of the Authorized Person (Proofs required)

Contact No./ Mobile Number of the Authorised Person

PAN Number of the Authorised Person
Does authorised person have a trading account with us? Yes / No
If yes, please mention the Client ID.
Signature of the Authorised Person

NOTE: 1. Kindly note that authorization should not be issued in favour of any employee or official of IIFL or its group companies/ Sub-broker/
Franchisee. 2. The above authorization is given by the client voluntarily. 3. The above authorization would be valid and binding on the client until
withdrawn by the client in writing and acknowledged by IIFL.

Name & address of account holder

Login ID of the client

30
36
Authorised Signatory

DETAILS OF WITNESS:

WITNESS 1 WITNESS 2

NAME, ADDRESS
AND SIGNATURE
SIGNATURE SIGNATURE

DATE D D M M Y Y Y Y PLACE

30
 MUTUAL FUND SERVICE SYSTEM FACILITY AND BSE STAR MUTUAL FUND

Required if the client wants to avail Mutual Fund Service System facility & BSE StAR Mutual Fund
provided by NSE & BSE respectively

To, Date:
India Infoline Limited
IIFL House, Sun Infotech Park,
Road No. 16V, Plot No.B-23,
Thane Industrial Area, Wagle Estate, Thane - 400 604

Sir,

Sub: Mutual Fund Service System (MFSS) facility/ BSE StAR MUTUAL FUND (hereinafter jointly referred to
"Mutual Fund Transaction Facilities")

I/We (name of the client/ first holder) am/are registered as your

client with Client Code No. and have executed the Trading Member and Client Agreement
for the purpose of trading in the Capital Market segment and F&O/ Derivatives segment of National Stock Exchange of
India Ltd. (NSE) and Bombay Stock Exchange Limited (BSE) (hereinafter jointly referred to as "Exchanges").
I/We am/are interested in availing the trading facility of the Exchanges for the purpose of transacting in the units of
Mutual Funds Schemes permitted to be dealt with on the MFSS and BSE StAR MUTUAL FUND of NSE and BSE respectively.
For the purpose of availing these facilities, I/We state that Know Your Client details as submitted by me/us for the stock
broking may be considered for the purpose of Mutual fund transaction facilities and I/We further confirm that the details
contained in same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the NSE Circular dated 24/11/09, BSE Circular
dated 02/12/2009 and further circulars as may be specified by the Exchanges from time to time in this regard.
I/We shall also ensure compliance with the requirements as 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 Scheme Information Document and Key Information Memorandum,
addenda issued regarding each Mutual Fund Schemes with respect to which I/We choose to subscribe/redeem. I/We
further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/We therefore request you to register me/us as your client for participating in the Mutual fund transaction facilities
(MFSS and BSE StAR MUTUAL FUND).

Thanking you,

Yours faithfully,
31
36
Authorised Signatory Authorised Signatory Authorised Signatory

My our Demat Account No.

31
Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUAL FUND
offered by NSE and BSE respectively
1. Definition: application form in the manner prescribed format for
In these terms and conditions, the terms shall have the purpose of placing a subscription order with the
following meaning unless stated otherwise: Participant.
1. "BSE" shall mean Bombay Stock Exchange Limited 3.4 The client has read and understood the risks involved
in investing in Mutual Fund Schemes.
2. "Exchanges" shall mean NSE and BSE jointly
3.5 The client shall be wholly responsible for all his
3. "Investor/ Client" shall mean client of the Participant investment decisions and instruction.
who have requested for registration for Mutual Fund
Trading facilities. 3.6 The client shall ensure continuous compliance with
the requirements of the NSE, BSE, SEBI and AMFI.
4. "Participant" shall mean India Infoline Limited
3.7 The Client shall pay to the Participant fees and statutory
5. "Mutual Fund Transaction Facilities" shall mean levies as are prevailing from time to time and as they
MFSS and BSE StAR MUTUAL FUND jointly apply to the Client's account, transactions and to the
6. "NSE" shall mean National Stock Exchange of India services that Participant renders to the Client.
Ltd. 3.8 The client will furnish information to the Participant in
2. Pre-requisities: writing, if any winding up petition or insolvency
Pre-requisites for becoming Investor/ Client for the petition has been filed or any winding up or insolvency
Mutual Fund Transaction facilities order or decree or award is passed against him or if
any litigation which may have material bearing on his
2.1 The Client is desirous of investing in units of mutual capacity has been filed against him.
fund schemes through Mutual Fund Transaction
facilities. 3.9 In the event of non-performance of the obligation by
the Participant, the client is not entitled to claim any
2.2 The Client intends to execute his/her instruction for compensation either from the Investor Protection Fund
the subscription/redemption of units of Mutual Fund or from any fund of NSE or NSCCL or BSE.
Schemes through the Participant of the Mutual Fund
Transaction facilities. 3.10 In case of any dispute between the Participants and
the investors arising out of the Mutual Fund
2.3 The client has satisfied itself of the capacity of the Transaction facilities, NSE and/or NSCCL and BSE agrees
Participant to deal in Mutual Fund units and wishes to to extend the necessary support for the speedy
execute its instruction through the Participant and the redressal of the disputes.
client shall from time to time continue to satisfy itself
of such capability of the Participant before executing 4. Additional Terms and conditions:
transacting through the Participant. 4.1 The client understands and agrees that India Infoline
2.4 The Client has approached to the Participant with the Limited shall make available the Mutual Fund
application for availing the Mutual Fund Transaction Transaction Facilities for the schemes of Mutual Funds
facilities. which have entered into an agreement with India
Infoline Limited ("eligible schemes").
2.5 The client has submitted relevant KYC (Know Your
Client) details to the Participants. 4.2 Mutual fund Transaction Facilities provided by India
Infoline Limited shall be available for the units of the
3. Terms and Conditions: eligible schemes which are in dematerialized form. The
3.1 The client shall be bound by circulars issued by said facility shall not be provided for the units of the
Exchanges, Rules, Regulations and circulars issued schemes which are not available in dematerialized form.
there under by SEBI and relevant notifications of 4.3 Client agrees to provide the correct information with
Government authorities as may be in force from time respect to its account including information with
to time. regard to Bank and Demat account of the client. Any
3.2 The client shall notify the Participant in writing if there loss/ damages caused due to wrong information being
is any change in the information in the 'client submitted by the client shall be sole responsibility of
registration form' provided by the client to the the client and the client shall keep the Participant
Participant at the time registering as a client for indemnified for the same.
participating in the Mutual fund transaction facilities 4.4 Fees: Participant reserves the right to charge such fees
or at any time thereafter. from time to time as it deems fit for providing the
3.3 The client shall submit to the Participant a completed
Continued on page 33
32
 services to the Client and the Client agrees and without any obligation of prior intimation to client
undertakes to pay fees / brokerage and statutory levies/ and the client agrees to abide by the same.
charges as may be levied by the Participant from time 4.12 In case of units wrongly/ erroneously subscribed and
to time. delivered in my account, the Participant is authorised
4.5 The Client agrees and understands that the Participant is to automatically transfer the units in its pool/
only a facilitator for the client for applying in the Mutual beneficiary or other account without client's consent.
Fund units. Allotment of units shall be at the sole 4.13 The Client agrees and understands that the terms and
discretion of the respective Asset Management Company conditions as mentioned in the Member - Client
("AMC") and the Participant shall not be held liable or agreement and Annexure thereto, clauses pertaining
responsible for any act/ deed/ non-action of the AMC. to Internet Trading and DP - Client agreement entered
4.6 The client agrees not to hold the Participant responsible into with the Participant in its capacity as Stock Broker
for any transactions rejected by the Exchanges/ AMC and Depository Participant continues to remain
due to any reasons. applicable for transacting in Mutual Fund units.
4.7 The Client agrees and undertakes to provide funds to 4.14 The client agrees to receive all trade confirmations,
the Participant equivalent to the subscription amount statements including statement of account, etc in
and applicable brokerage/ fees/ charges before electronic form at the e-mail id provided by the client
applying for mutual fund units through the Participant. in the KYC form or as would be changed and intimated
The client further agrees and authorizes the Participant to the Participant from time to time.
to utilize the surplus funds in the client's Broking 4.15 The client agrees to indemnify and keep safe, harmless
account held with the Participant in its capacity as a and indemnified the Participant and its officials from
Stock Broker and transfer funds to the extent of any damages, claims, demands, proceedings, loss,
subscription amount and/ or applicable brokerage, fees cost, charges, penalties and expenses whatsoever
and charges (in case of both subscription and which a Participant may at anytime incur, sustain, suffer
redemption) to meet the debit in the client's Mutual or be put to as a consequence of or arising out of
fund transaction account. interference with or misuse, improper or fraudulent
4.8 The Client agrees and understands that in absence of use of the mutual fund transaction facilities by the
sufficient funds in the client's account, the Participant Client.
may not execute the client's instruction for applying 4.16 The Client and the Participant agrees to refer any claims
in any Mutual fund scheme. and/ or disputes to the Arbitration under the Indian
4.9 The client agrees and understands that in case physical Arbitration and Conciliation Act, 1996.
documents are being submitted for any transaction, 4.17 The Participant may amend the terms and conditions
the Client shall be solely responsible for the timely with a notice to the Client.
submission of the same. Participant shall not be
responsible for any lost profits or charges levied by 4.18 Instructions issued by Authorised representatives, if
Exchanges/ AMC, etc due to non-submission of any of the client shall be binding on the client in
documents within the prescribed time limits. accordance with the letter authorizing the said
representative to deal on behalf of the said client.
4.10 The client agrees that before giving any instruction
for sale/ redemption order of Mutual fund units, the 4.19 The Service as outlined above shall be governed by
client shall ensure that the required Mutual Fund units the laws of India and will be subject to the exclusive
are transferred from the client's demat account to such jurisdiction of the courts in Mumbai
account as may be prescribed by the Participant. The 4.20 The Client have read and understood the terms and
Client agrees and understands that the Participant shall conditions mentioned above and agree to abide by
check the availability of units prior to execution of sale/ them and any amendments thereto made by the
redemption order and in case of non-availability of Participant from time to time.
the same the Participant shall have a right to reject/ 4.21 The Client is aware that mere acceptance of the
refuse the order. The Participant shall not be held registration form does not imply in any way that the
responsible for non execution of any order in case the request has been accepted by the Participant for
units are not available in the account as prescribed by providing the mutual fund transaction facilities.
the Participant.
32
4.11 The Client agrees that the Participant may refuse to 36
execute any buy/ sell order or allow any trade or reject Authorised Signatory
any trade as per its Risk Management Policy or for any
other reason as it may deem fit, from time to time,

33
 AUTHORIZATION LETTER

To,
India Infoline Limited
IIFL House, Sun Infotech Park,
Road No. 16V, Plot No. B-23,
Thane Industrial Area, Wagle Estate, Thane - 400 604

Sub.: Mutual Fund Service System (MFSS) facility and BSE StAR MUTUAL FUND (hereinafter jointly referred
to as "Mutual Fund Transaction Facilities") offered by NSE and BSE

Sir,
With reference to my application for registering as a client for Mutual Fund Transaction facilities offered by NSE and BSE,
I/We hereby undertake to provide funds to the Participant equivalent to the subscription amount and applicable brokerage/
fees/ charges before applying for mutual fund units through the Participant.
For this purpose, I/We hereby authorize India Infoline Limited to utilize the surplus funds in my/our Broking account held
with India Infoline Limited in its capacity as a Stock Broker and transfer funds to the extent of subscription amount and/
or applicable brokerage, fees, charges and other statutory levies (in case of both subscription and redemption) and/or
any other obligation to meet the debit in my/ our Mutual fund transaction account.
In case of subscription request, I/We hereby understand and agree that based on my instruction, the amount will be
debited in my Mutual fund transaction account and surplus funds shall be transferred from my Broking account to my
mutual fund transaction account as per this authority letter. I/We further agree and understand that such funds will be
used by the Participant for applying for mutual fund units after deducting the applicable brokerage, fees, charges and
other statutory levies.
In case of a redemption request, I/We agree and authorise India Infoline Limited to debit my mutual fund transaction
account to the extent of applicable brokerage, fees, charges and other statutory levies and further authorize to utilize
the surplus funds in my/our Broking account held with India Infoline Limited in its capacity as a Stock Broker and transfer
funds to the extent of applicable brokerage, fees, charges and other statutory levies (in case of both subscription and
redemption) and/or any other obligation to meet the debit in my/our Mutual fund transaction account.
My/our exposure limits in my trading account shall be reduced to the extent of the amount utilized for transacting in the
mutual fund units as per my instruction.
I/We agree and undertake to make good such shortfall immediately as may be informed by India Infoline Limited from
time to time.

Name of the Client:

Client Code:
33
36
Authorised Signatory

34
 SCHEDULE OF CHARGES

Mutual Fund Services Schedule of Charges

LOGIN ID -
DP ID -
Service Charges for Mutual Fund Transaction
Depository Services Charges As applicable to the
DP account of the client

Notes:
1. Customers will get Digital confirmation notes on their email ID mentioned in the account opening form. Physical print copy of digital confirmation
note can be availed from the branches. Physical confirmation notes provided only on request, which would entail a nominal charge of Rs. 25/- for
document handling. The same may be waived as per management’s discretion.
2. In case any charges are waived by the Exchange/ Depository, India Infoline Ltd may pass the benefit to the clients as per its sole discretion.
3. The above charges are exclusive of the service tax, securities transaction tax, regulatory charges & stamp duties.
4. Charges/ Service standards are subject to revision at the sole discretion of India Infoline Ltd. and as informed by communication sent by ordinary
post/ Email.
5. Value of transactions will be in accordance with NAV of the scheme as provided by respective AMCs.
6. Charges quoted above are for services listed. Any service not quoted above would be charged separately.
7. Customer is required to maintain a minimum balance of Rs 1000/- in his/ her Ledger account.
I/ We have understood and accepted the schedule of charges as stated here in above.

Authorised 34 Authorised Authorised

Signatory 36 Signatory Signatory


TEAR HERE

ACKNOWLEDGEMENT RECEIPT FOR CLIENT

India Infoline Limited - DP ID: 12044700
Received the application from Mr/ Ms as the sole/first holder
alongwith and as the second
and third holders respectively for opening of a depository account. Your Client ID will be intimated to you shortly. Please
quote the Login ID, DP ID & CLIENT ID allotted to you in all your future correspondence.
Nomination Details:
Date : Participant Stamp & Signature
35
 CONDITIONS GOVERNING TRADING IN SECURITIES OTHER THAN ON THE FLOOR OF THE STOCK EXCHANGE
The Stock broker is also engaged in marketing and distribution stock broker shall have no responsibility to determine
of IPOs of Securities of Issuers and registered with the the authenticity of any instructions given or
Association of Mutual Funds in India (AMFI) as a Mutual Fund purported to be given by the client. The client shall
Distributor. The Stock broker is providing a facility through its not hold the stock broker liable on account of the
ONLINE services to apply/purchase/redeem/sale/ buyback or stock broker acting in good faith on instructions
otherwise deal in the units of Mutual Funds and securities given by the client or its authorized representative.
(hereinafter referred to as ‘transactions’) through its website 6) The stock broker may at its discretion not carry out
(located at url http://www.indiainfoline.com and such other the client’s instruction where the stock broker has
internet sites that the stock broker may launch). reasons to believe (which discretion of the stock
The Client wishes to avail of the facility of the said transactions broker the client shall not question or dispute) that
and such other facilities offered through the stock broker’s the instructions are not genuine or are otherwise
website on the following terms and conditions set forth herein improper/ unclear/ raise a doubt. The stock broker
below. The terms and conditions contained herein are binding shall not be liable if any instructions are not carried/
on the client. The client has agreed to obtain services from partly carried out for any reason, whatsoever.
the Stock Broker after fully understanding the terms and 7) The client understands and agrees the mutual fund/
conditions. The terms and conditions shall be subject to RTA/ Issuer Company may cancel, close or reject any
modification from time to time and such modifications are contract suo-moto without giving any reason
binding on the client. For the purpose of this Agreement, thereof. In the event of such cancellation, closure
National Stock Exchange of India Limited and the Bombay or rejection, the stock broker shall be entitled to
Stock Exchange Limited shall be known as the Stock Exchanges. cancel relative contract(s) with Client.
1) The client shall authorize the stock broker by executing 8) The client understands and agrees that the Stock
a Power of Attorney in the favour of the stock broker Exchange may cancel, close or reject any trade
to execute instructions of the client or its authorized suomoto without giving any reason thereof. In the
representative with regard to the transactions including event of such cancellation, closure or rejection, the
but not limited to acquire by subscribing to or by stock broker shall be entitled to cancel relative
purchase of securities and to sell, transfer, endorse contract(s) with Client.
the securities (including but not limited to Initial Public 9) In case of Mutual Funds, the client agrees and
Offerings, Buy back offers, right issues etc.) or redeem acknowledges that the stock broker shall provide
the same either through Internet (using the the facilities as provided in this agreement only in
identification number issued by any Mutual Fund from respect of the select Mutual Funds, with whom the
time to time) or otherwise and/or to sign and execute stock broker has entered into a separate
all transfer deeds whether as transferor or transferee arrangement/ agreement.
and such other instruments, application and papers 10) The client undertakes to read all the relevant Offer
as may be necessary for the purpose of acquiring, Documents and addendums thereto and terms and
transferring/redeeming the same, marking pledge/ lien conditions of all schemes of all mutual funds and other
on such securities and/or for transferring the issues of securities including but not limited to Initial
investments in the units of Mutual Fund from one Public Offerings/ Public Offers, Rights issue and Buy
scheme to another or between mutual Funds, to make Back offers, offered through stock broker’s website;
application for, or to renounce and sign renounciation before entering into any transactions through the
forms in respect of bonds/ debentures, right shares website and agrees to abide by the terms, conditions,
and additional shares of any company/ Body/ Authority rules and regulations as applicable from time to time.
and to receive and hold such rights or additional shares,
11) The client shall ensure that the transactions through
bonds or debentures.
the stock broker are executed in accordance with the
2) All instructions given by the client/ its authorized applicable laws, byelaws, rules and regulations
representative shall be binding on the client. The governing the specific investment product. The stock
stock broker may furnish a certified copy of the broker may, from time to time, impose and vary limits
Power of Attorney and other documents on behalf on the orders which the client may place, including
of the client to the Company/ Registrar/ Mutual Fund but not limited to exposure limits, turnover limits and
or any third party. limits as to numbers. The client agrees that the broker
3) The client agrees that the instructions with regard to shall not be responsible for any variation or reduction
the transactions may be in the client’s sole name or that may be deemed necessary by the stock broker
in the name of the client jointly with other persons. based on its risk perception and other relevant factors.
4) The instructions with regard to the transactions may 12) The stock broker shall not be under any duty to
be given through internet or telephone or any other verify compliance with any restriction on the client’s
reasonable mode as permitted by the stock broker. investment powers.
5) The stock broker may refuse to act on any 13) The client is responsible for the personal and bank
instructions unless they are given in the manner and related details provided by the client. Neither the
form acceptable to the stock broker. However, the Continued on page 37
36
 stock broker nor any of the Mutual Funds/ Issuers not be bound to) square up the transaction at any
or their respective Registrars shall accept any liability time at the client’s sole risk and cost. Any loss arising
which may arise as a consequence of the erroneous on such squaring up will be borne solely by the client
information provided by the client. and the client shall pay to the stock broker the
14) The client agrees that the stock broker is entitled to additional amount that may be payable by the client,
disclose to a third party, all such information pertaining the stock broker’s demand being conclusive.
to the Client as may be required from time to time, for 23) The client declares and confirms that the amount
the client to be able to avail of any or all of the services being invested by the client either directly or through
provided by the stock broker under this agreement. its Power of Attorney holders, in any schemes of all
15) In case of change of address and personal details mutual funds or other securities including but not
of the client, the client shall send a letter duly signed limited to Initial Public Offerings/ Public Offers,
by all the holders of the demat account to the stock Rights issue and Buy Back offers is obtained through
broker giving intimation of the change. legitimate sources and is not held or designed for
16) The client agrees and understands that the folio the purpose of contravention of the provisions of
number of the client in respect of the Mutual Fund any Act, Rules and Regulations or any statue or
schemes shall be received by the stock broker from legislation or any other applicable Laws or any
the Asset Management Company. Notifications, directions issued by any Governmental
17) The Client agrees that the client shall not, without prior or Statutory Authority from time to time.
intimation and acknowledgement of the stock broker, 24) In case the client is a Non-resident Indian, the client
deal/ liaise with the Issuer Company/ Mutual Fund/ Asset confirms that the funds are remitted from abroad
Management Company or its respective Registrars in through approved banking channels or from the
respect of the services availed under this agreement. NRE/ NRO/ FCNR account.
18) Further, any change in the details of the client 25) If for any reasons, the stock broker is unable to carry
including but not limited to the Demat account, out the transactions as instructed by the client/
Bank Account, Address, shall be first intimated to Client’s authorised representative to the extent of
the stock broker who may in turn liaise with the full quantity of units/ securities, the stock broker
Issuer Company/ Mutual Fund/ Asset Management shall be entitled at its discretion and the client hereby
Company or its respective Registrars to update such irrevocably authorizes the stock broker to carry out
changes. The Issuer Company/ Mutual Fund/ Asset a transaction of a lesser quantity of units/ securities.
Management Company or its respective Registrars The stock broker shall not be responsible for the
may reject such requests and in such an event the non-execution of the client’s instructions for the
stock broker shall not be liable for any such rejection. entire quantity or the remaining quantity.
19) The client further agrees that the client shall not close/ 26) The client agrees and acknowledges that any
change the details of the Demat account/ Bank instruction given or purported to be given by the client/
account without prior notification to the Stock broker its authorized representative before the cut off time
and the Client agrees that the stock broker may as may be intimated by the stock broker to the client
instruct the Depository Participant/ Bank of the Client from time to time, will be processed on the same day.
to reject any such request received from the Client. Any instruction received after the cut off time will be
20) The Client shall provide the stock broker with its processed on the next working day, if applicable.
Permanent Account Number (PAN). In the event the 27) In case of Mutual Fund, applicable Net Asset Value
Client has mentioned “Not Applicable” against PAN (NAV) shall be as per the Offer Document and SEBI
in the Application Form, the client confirms that Rules and Regulations. The units of scheme shall be
the client is exempted from obtaining a PAN under allotted, redeemed or switched, as the case may
the provisions of the Income Tax Act, 1961. be, at the NAV prevalent on the date of the
However, in the event the client’s bid /application is application, if the application for purchase,
for Rs. 50,000 or more and PAN is not provided, redemption or switch is received by the Fund before
the client shall be required to submit Form 60 or the cut-off time as specified on the website and
Form 61 as the case may be together with consistent with the terms of the scheme. Any request
permissible documents as proof of address. falling due on holiday would be processed on the
next business day and respective NAV would be
21) The client acknowledges that the purchase/
applicable as per Mutual Funds offer documents.
application instructions shall be processed by the
stock broker only after sufficient funds to cover the 28) In case of other securities, the order for purchase,
purchase/ application price and other costs and sell, offer under Buy Back etc. shall be accepted by
charges are received by the stock broker. the Stock Broker only if the same is received by the
cut off date as indicated on the website and
22) If after execution of any transaction it is for any reason
consistent with the terms of the offer.
found that the stock broker has not been provided
with sufficient funds by the client, the client shall pay 29) The client agrees and acknowledges that after the
the deficient amount to the stock broker forthwith on first purchase transaction in any Mutual Fund, the
demand, failing which the stock broker may (but shall client may not be permitted to transact till the folio
Continued on page 38
37
 number is allotted. The stock broker does not accept 39) The stock broker shall also not be liable to the client
any liability for delay in processing time at the for any delay, failure or refusal of the Mutual Fund/
Mutual Fund’s or Registrar’s end. any Issuer Company/ Corporation or other body in
30) The stock broker shall credit the proceeds of the sale/ registering or transferring units to the names of the
redemption etc., if received by the stock broker, any of clients of for any interest, dividend or other loss
the Investment Products only after the stock broker has caused to the client arising therefrom.
received the same unless specifically agreed otherwise. 40) The client agrees to provide the stock broker with
31) The Client acknowledges that the stock broker shall any confirmation/ declaration or any other document
not be under any obligation to provide him with that the concerned Issuer/ Asset Management
any tax, legal, accounting, investment advice or Company or any other entity may from time to time
advice regarding the suitability or profitability of require the stock broker to collect from the client in
investment of any kind, nor does the stock broker, respect of the services offered under this agreement.
give any advice or offer any opinion with respect to 41) The stock broker shall not be responsible for any
the nature, potential value or suitability of any changes in the data of any scheme as carried out in
particular transaction or investment strategy. the Offer document or any other documents/
32) It is explicitly stated herein that the Mutual Fund material issued by Asset Management company/
Schemes/ Offer Documents/ other schemes offered Issuer Company/ Mutual Fund.
by the stock broker, have not been/ shall not be 42) The stock broker does not accept any liability for delay
understood as recommended by the stock broker. in processing time at the Mutual Fund’s/ Issuer or
33) The client can view his/ her/ its transactions on the Registrar’s end. The client agrees that the stock broker
website. A physical copy of the transactions statement shall not be liable or responsible for not executing
or the account statement shall be sent by the stock any transactions for any reason, whatsoever.
broker only on a written request from the client. 43) Neither the stock broker, nor any of the Mutual Funds/
34) In case an application is made for Initial Public Offer/ nor the issuer shall be liable for any failure to perform
Public Offer/ Units of Mutual Fund through the stock its obligations, to the extent that such performance
broker, the client authorizes the stock broker to collect had been delayed, hindered or prevented by systems
on client’s behalf, the refund amount, if any, from the failures network errors, delay or loss of data due to
Issuer Company/ Registrar/ Asset Management the aforesaid, acts of God, floods, epidemics,
Company/ Mutual Fund and subsequently credit the quarantine, riot or civil commotion and war.
same to client’s Bank account, after set-off/ adjustment 44) The client agrees and understands that the application
of dues payable by the Client on account of obligations in Mutual Fund/ Initial Public Offering shall be subject
incurred in connection with the application. to the applicable Acts, Rules, Regulations, guidelines,
35) The client further agrees that the stock broker shall circulars, notifications, and directives issued by the
not be held responsible for non-allotment of securities Regulatory Authorities and Offer Document issued
either fully or partly to the client, for any reason by the respective Mutual Fund/ Issuer.
whatsoever. The stock broker shall not be held 45) The client further understands and agrees that he/ she
responsible in case due to some reason the bid/ shall not place trades at unrealistic prices from current
application/ revision instructions sent by the client is market price of the security or trade in illiquid securities
not received by it, or if the bid / application/ revision which create artificial liquidity or amounts to
could not be uploaded to the Stock Exchange, or could manipulation of prices or cross/ synchronized trades.
not be sent to the Bankers/ Registrar to the issue. 46) The stock broker shall provide its services on a best
36) The stock broker shall not be held responsible for efforts basis. However in respect of mutual funds,
non – receipt/ delay in/ incorrect receipt of fund, if other securities, including but not limited to Initial
any, from the Registrar/ Company. The stock broker Public Offering, Rights issue, Buy Back Offers offered
shall not be held responsible for incorrect Tax through its website the stock broker shall not be
Deduction at Source (TDS) by the Registrar/ liable for any failure or for any loss, damage or other
company, if applicable, or for non-receipt or delay costs arising in any way out of:
in/ incorrect receipt of TDS Certificate, if any from a) System failure including failure of ancillary or
the Registrar/ Company/ Mutual Fund. associated systems, or fluctuation of power, or
37) The stock broker shall not be liable for any loss or other acts of God/force majeure;
damage caused by reason of failure or delay of the b) Accident, transportation, neglect, misuse, errors,
mutual fund to deliver any units purchased even frauds on the part of the client or any agent of
though payment has been made for the same or the Client or agents or any third party, or
failure or delay in making payment in respect of c) Any fault in any attachments or associated
any sold though they may have been delivered. equipments of the client
38) The client understands that the corporate actions d) Any incidental, special or consequential damages
including but not limited to Dividends, declared by including without limitation of loss of profit.
the Issuer Company/ Mutual Fund shall be directly paid
by the Issuer Company/ Mutual Fund to the client. AUTHORISED SIGNATORY 35
36
38
 ONLY FOR THE ACCOUNTS SOURCED BY SUB BROKERS/ AUTHORISED PERSONS

Date:

Client ID: Login ID:

SUB BROKER/ AUTHORISED PERSONs DETAILS

Sub broker's/ Authorised Person’s Code :

Sub broker's/ Authorised Person’s Name :
Sub broker's/ Authorised Person’s Address :
Pincode :

Sub Broker/ Authorised Person’s Signature :

Client’s Signature : 36
36

FORM CHECKED BY

Name of Sub Broker/ Authorised Person :

Date :

Signature :

Branch Address :
Pincode :

Name of the Employee of HO :

Employee Code :

Signature : 7
7

39
 (SPECIMEN COPY OF THE BOARD RESOLUTION)
(To be provided by the Corporate clients on the letterhead)
CERTIFIED TRUE COPY OF A RESOLUTION PASSED BY THE BOARD OF DIRECTORS OF THE COMPANY AT THEIR MEETING
HELD ON ,2 AT THE REGISTERED OFFICE OF THE COMPANY
"RESOLVED THAT the Company be and is hereby authorised to open a Trading and Demat account with India Infoline
Limited ("IIFL"), Member of Bombay Stock Exchange Limited (BSE), National Stock Exchange of India Limited (NSE), MCX
Stock Exchange Ltd. (MCX), United Stock Exchange Limited (USE) and Depository Participant of National Securities
Depository Limited (NSDL) and Central Depository Services (India) Limited (CDSL) for purpose of trading in Securities at
BSE & NSE and opening Demat account with the said member to trade in Capital/Cash, Derivatives/F&O, Debt & Currency
Derivative segment and the said Member be and is hereby authorized to honor instructions oral or written, given on

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behalf of the Company by any of the following authorized signatories:
Sr. No. Name Designation Specimen Signature

1.

A
2.

3.

RESOLVED FURTHER THAT the abovementioned officials are authorized to sell, purchase, transfer, endorse, negotiate
and / or otherwise deal in securities and / or derivatives with / through India Infoline Limited on behalf of the Company.
RESOLVED FURTHER THAT the abovementioned officials be and are hereby authorized to jointly / severally sign, execute

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and submit such applications undertaking, agreements DP instructions and other requisite documents, writings and
deeds as may be deemed necessary or expedient to open and account and give effect to this resolution."
RESOLVED FURTHER THAT all the abovementioned officials would have authority to act on behalf of the Company and
their actions will be binding on the Company."

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RESOLVED FURTHER THAT the Common Seal of the Company be affixed, wherever necessary as per the applicable
provisions of the Articles of Association of the Company, in the presence of any of the Directors of the Company who
shall sign the same in token of their presence,"

For
Managing Director/ Company Secretary

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FORMAT FOR BANK VERIFICATION LETTER
To, Date: D D M M Y Y Y Y

F
INDIA INFOLINE LTD.
Mumbai.
Dear Sir,
This is to certify that (name of the client) resident of
(full address), is holding a savings/ current bank account
no. with our branch since . The
signature and photograph of the account holder as per the specimen recorded with us is being attested below.

Authorised Signatory

Signed in my presence and attested

(Name of Branch Manager)

Signature of Branch Manager Put Bank stamp

across photograph
(Sign under bank stamp)

MICR code of Branch

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 FORMAT OF DECLARATION TO BE GIVEN BY PARTNERS ON LETTERHEAD OF THE FIRM

Date: D D M M Y Y Y Y
To, made by you to the beneficiary account as complete discharge of
INDIA INFOLINE LTD. obligations by you in respect of trades executed in the above trading
Mumbai. account of the firm.

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Dear Sir, We hereby authorize , partner in the
We refer to the trading account being opened/ opened with you in firm to execute/sign and submit such documents, agreements, deeds
the name of and declare etc. as any be necessary to enter into the agreement and engage in
and authorize you as under. business with India Infoline Ltd. and to place order for buying and
We recognize that a beneficiary account cannot be opened with a selling of securities, sell, purchase, transfer, endorse, negotiate and

A
depository participant in the name of a partnership firm as per do other things that may be necessary to engage in business on
Regulations. To facilitate the operation of the above trading account behalf of the partnership firm and to sign any authority letter
with you and for the purpose of completing the securities transfer including adjustment of balances.
obligations pursuant to the trading operations, we authorize you Further, we acknowledge that we ,
to recognize the beneficiary account No. and
with depository opened as a joint being partners of the above mentioned firm are responsible for the
account in the names of the partner of the firm. liabilities thereof. We shall advise you in writing for any change

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We agree that the obligations for shares purchased and/ or sold by that takes place in the constitution of the firm at any time in the
the firm will be handled and completed through transfer to/form future.
the above-mentioned account. We recognize and accept transfers

NAME OF PARTNERS (IN BLOCK LETTERS) SIGNATURES

R
O
*(to be signed by all the partners of the firm under stamp of the firm)

F
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 OTHER INFORMATION ABOUT IIFL
LIST OF DESIGNATED BANKS DISCLOSURE OF PROPRIETARY TRADING BY BROKER
1. HDFC BANK 2. ICICI BANK 3. AXIS BANK TO CLIENT:
4. CITIBANK N.A 5. BANK OF BARODA 6. YES BANK We refer to circular no. SEBI/MRD/SE/Cir.42/2003 dated
LIST OF DESIGNATED DEPOSITORY PARTICIPANTS 19/11/2003 issued by Securities and Exchange Board of
India in connection with the above and in terms of the said
1. INDIA INFOLINE LTD.
circular we disclose that we have undertaken proprietary
NOTE: IIFL reserves the right to make any modifications trading, arbitrage as well as investment business on our
in the above lists.
account in addition to Client based business.

INITIAL MARGIN

FUNDS: Securities:
Bank Name: Expected value:
Initial Margin Cheque No.: Details:
Amount Rs.:
FD Details:

FOR OFFICE USE ONLY

Form No.:

1. Complete Documentation Received Yes No 2. If No, give details

3. “Verified with Original” stamp affixed on proofs Yes No
4. “PAN verified” stamp with Employee name & signature affixed on proof Yes No
5. Margin Money collected Yes No
6. If yes, Amount in Rs. Amount in words
7. Unique Client Code Original documents verfied by:
Authorised by: 8. Chq./ CMS No: 9. Chq./ CMS. Date:
10. Bank:

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