Sr. No.

IIFL Capital Services Limited

(Formerly known as IIFL Securities Limited)

Account Opening Form (Individual / NRI)

Broking & Depository Services

Login ID / UCC : Depository Service : CDSL NSDL (Select any one)

CDSL - DP ID 1 2 0 4 4 7 0 0 Client ID
NSDL - DP ID I N 3 0 2 2 6 9 Client ID

Process Employee Code & Name Process Employee Code & Name
Pre-Audit Maker Data Entry Maker
Pre-Audit Checker Data Entry Checker
PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING TO ITS CONTENTS
AND ENSURE ALL THE DETAILS PROVIDED ARE CORRECT.
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FOR OFFICE PURPOSE ONLY

Marketing Executive (E1) Relationship Manager (E2)

Remiser (if any) Branch/ FAN

Sourcing Channel

CLIENT RISK CATEGORISATION UNDER PMLA: LOW RISK MEDIUM RISK HIGH RISK
CDSL DP ID : 12044700 OR NSDL DP ID: IN302269 Client ID (To be filled by IIFL) :

SUBMISSION CHECKLIST
1. Complete Documentation Received Yes No If No, give details
2. “Verifed with Original” stamp affixed on proofs Yes No
Documents verifed with Originals Client Interviewed By In-Person Verifcation done by
Name of the Employee
Employee Code
Designation of the employee
Sourcing Channel
Branch Code
Branch Name
Branch State
Date
Signature

3. “PAN verifed” stamp with Employee name & signature affixed on proof Yes No
4. Margin Money collected Yes No Amount in Rs. Rs. (in words)
Chq./ CMS No: Chq./ CMS. Date: D D M M Y Y Y Y Bank Name

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, Guidance Note & Do’s & Dont’s.
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 am aware 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.

Branch Address :
Pincode :

Name of the Employee of IIFL : Employee Code :

IIFL Representative Signature & Stamp : 1 2

Date D D M M Y Y Y Y

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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 information about the
constituent. 3-4

Part II - Document captures the additional information about the

constituent relevant to trading account and an instruction/check list.
Nomination Form for appointing a nominee to the client’s account. 5-12
Additional information for DEMAT
Client Declaration
2. Tariff Sheet Document detailing the rate/amount of brokerage and other charges
levied on the client for trading and demat account on the stock 13
exchange(s)/ depository.
3. Rights & Obligations of Stock Brokers, Document stating the Rights & Obligations of stock broker/trading
Sub-Broker / AP & Clients member, sub-broker/AP and client for trading on exchanges (including
additional rights & obligations in case of internet/wireless technology
based trading).
4. Rights & Obligations of Beneficial Owner Rights and Obligations of Beneficial Owner and Depository Participant as
& Depository Participant prescribed by SEBI and Depositories.
5. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market.
6. Guidance note Document detailing do’s and don’ts for trading on exchange, for the
education of the investors.
7. Policies and Procedures Documents describing significant policies and procedures of IIFL related
to Trading Account of the client.
8. Investor Charter for Stock Broker Document detailing the services provided to Investors, Rights of

Included in Client Copy

Investors, various activities of Stock Brokers with timelines, DOs and
DON’Ts for Investors and Grievance Redressal Mechanism
9. Investor Charter for Depository Participant Document detailing the services provided to Investors, Rights of
Investors, various activities of Depository Participant with timelines, DOs
and DON’Ts for Investors and Grievance Redressal Mechanism
SECTION-B - VOLUNTARY DOCUMENTS - AS PROVIDED BY STOCK BROKER/ DEPOSITORY PARTICIPANT
1. Terms & Conditions cum Registration form Terms and Conditions-cum-registration / Modification form for receiving
for receiving SMS Alerts from Depository SMSAlerts from CDSL/ NSDL any other depository.
2. Terms & Conditions For Distribution of
Terms & Conditions for Distribution of Securities
Securities
3. Mutual Fund Trading Services Terms and Conditions for availing Mutual Fund Service System (MFSS)
facility and BSE STAR MUTUAL FUND offered by NSE and BSE
respectively
4. SIP in Mutual Fund and Securities Terms and conditions for availing systematic investment plan (SIP) in
Mutual Fund and Securities

5. Instruction / Checklist KYC Form - Instruction / Checklist

6. Terms & Conditions Investment Objectives & Risk Assessment Questionnaire

7. Demat Debit And Pledge Instruction Voluntary and Limited purpose DDPI in favour of Broker for operational
requirements as per client authorization/instruction. 14 - 15
8. Authorisation Letter A. Availing Mutual Fund Service System (MFSS) facility/ BSE STAR
MUTUAL FUND (hereinafter jointly referred to “Mutual FundTransaction
Facilities”) B. Authorization for Systematic Investment in Mutual Fund 16 - 19
/Securities C. Running Account Authorisation D. Authorisation for Receipt
of Contract Note2s and Other documents in Digital Mode E. Authorisation
for Online Trading Software Password
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PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL-1st / Sole Holder

A. IDENTITY DETAILS (Please see guidelines overleaf)

1. Name of the Applicant: (As appearing in supporting Identification document)
Prefix First Name Middle Name Last Nam e PHOTOGRAPH
2. Maiden Name (If any):
3. Father/ Husband : Please affix
4. Mother Name : the recent passport
size Photograph and
5. (a) Gender: Male Female Transgender (b) Marital Status: Single Married Other sign
6. Nationality: Indian Other (Please specify) (c) Date of Birth:
7. Status: (Please ü) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals)
8. (a) PAN (Please enclose a duly attested copy of your PAN card)
9. Specify the proof of Identity submitted (Please 3)
Passport Voter ID Driving License Others (Please see guideline ‘D’ overleaf)
B. ADDRESS DETAILS (Please see guidelines overleaf)
1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above
B.1. Overseas Address (Mandatory) for Non-Resident Applicant

Landmark: Landmark:
City/ Town/ Village: PIN Code: City/ Town/ Village: PIN Code:
State: Country: State: Country:
GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered)
Note : Proof of GST registration is required if selected Yes (Related to correspondence address only)
Address Type : Residential / Business Residential Address Type : Residential / Business Residential
Business Registered Office Unspecified Business Registered Office Unspecified
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (3) against the document attached.
Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card
Utility Bill (Latest 2 Months) Utility Bill (Latest 2 Months)
UID Others (Please specify) UID Others (Please specify)
Document No. : Date of Issue: D D M M Y Y Document No. : Date of Issue: D D M M Y Y
Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old.
4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D)
Mobile No.: Fax No.: (I S D) (S T D)
E-mail ID:

DECLARATION SIGNATURE OF APPLICANT

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.
I willingly give my consent to all exchanges to accept copy of my Aadhaar Card
proceed with the referred applications.
Place: Date: D D M M Y Y Y Y
FOR OFFICE USE ONLY IPV Done on D D M M Y Y Y Y
IIFL Capital Services Limited Code: 1100044700 Staff Name Seal/Stamp of IIFL
(Originals verified) Self certified Documents copies received. Designation Staff Name
(Attested) True copies of Documents received. Designation
Signature Signature
Date Date
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PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL-2nd / Second Holder

A. IDENTITY DETAILS (Please see guidelines overleaf)

1. Name of the Applicant: (As appearing in supporting Identification document)
Prefix First Name Middle Name Last Nam e PHOTOGRAPH
2. Maiden Name (If any):
3. Father/ Husband : Please affix
4. Mother Name : the recent passport
size Photograph and
5. (a) Gender: Male Female Transgender (b) Marital Status: Single Married Other sign
6. Nationality: Indian Other (Please specify) (c) Date of Birth:
7. Status: (Please ü) Resident Non Resident Foreign National (Passport copy mandatory for NRIs & Foreign Nationals)
8. (a) PAN (Please enclose a duly attested copy of your PAN card)
9. Specify the proof of Identity submitted (Please 3)
Passport Voter ID Driving License Others (Please see guideline ‘D’ overleaf)
B. ADDRESS DETAILS (Please see guidelines overleaf)
1. Resident / Correspondence Address : 2. Permanent Address of Resident Applicant if different from above
B.1. Overseas Address (Mandatory) for Non-Resident Applicant

Landmark: Landmark:
City/ Town/ Village: PIN Code: City/ Town/ Village: PIN Code:
State: Country: State: Country:
GST Registered (Goods and Services Tax) Yes No GSTIN No (If GST Registered)
Note : Proof of GST registration is required if selected Yes (Related to correspondence address only)
Address Type : Residential / Business Residential Address Type : Residential / Business Residential
Business Registered Office Unspecified Business Registered Office Unspecified
3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (3) against the document attached.
Passport Driving License Voter Identity Card Passport Driving License Voter Identity Card
Utility Bill (Latest 2 Months) Utility Bill (Latest 2 Months)
UID Others (Please specify) UID Others (Please specify)
Document No. : Date of Issue: D D M M Y Y Document No. : Date of Issue: D D M M Y Y
Validity/Expiry date of proof of address submitted *Not more than 3 Months old. Validity/Expiry date of proof of address submitted *Not more than 3 Months old.
4. Contact Details: Tel (Off) : (I S D) (S T D) Tel (Res) : (I S D) (S T D)
Mobile No.: Fax No.: (I S D) (S T D)
E-mail ID:

DECLARATION SIGNATURE OF APPLICANT

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.
I willingly give my consent to all exchanges to accept copy of my Aadhaar Card
proceed with the referred applications.
Place: Date: D D M M Y Y Y Y
FOR OFFICE USE ONLY IPV Done on D D M M Y Y Y Y
IIFL Capital Services Limited Code: 1100044700 Staff Name Seal/Stamp of IIFL
(Originals verified) Self certified Documents copies received. Designation Staff Name
(Attested) True copies of Documents received. Designation
Signature Signature
Date Date
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PART II - ACCOUNT OPENING FORM

1. DEPOSITORY SERVICE
CDSL DP ID : 12044700 OR NSDL DP ID: IN302269 Client ID (To be filled by IIFL) :
I/We wish to open Depository Account with CDSL: 12044700 / NSDL : IN302269) as per the following details:
(Please fill all the details in CAPITAL LETTERS only)
2. DETAILS OF ACCOUNT HOLDER(S)
First Holder Second Holder Third Holder
Client Name
PAN
Occupation Private Sector Agriculturist Private Sector Agriculturist Private Sector Agriculturist
Public Sector Retired Public Sector Retired Public Sector Retired
Government Housewife Government Housewife Government Housewife
Service Service Service
Business Student Business Student Business Student
Professional Others Professional Others Professional Others
Nature of Manufacturer Services Manufacturer Services Manufacturer Services
Business
Trading Consultancy Trading Consultancy Trading Consultancy
Others Others Others
Client VCP Exporter Importer VCP Exporter Importer VCP Exporter Importer
Category Hedger Financial Participant Hedger Financial Participant Hedger Financial Participant
Trader Arbitrager Trader Arbitrager Trader Arbitrager
Commercial Participant Commercial Participant Commercial Participant
Non Commercial Participant Non Commercial Participant Non Commercial Participant
Others Others Others

3. For Association of persons (AOP), Partnership Firm, Unregistered Trust, etc, although the account is opened in the name of the
natural persons, the name and PAN of the Associations of persons (AOP) Partnership Firm, Unregistered Trust etc.
Should be mentioned below :

(a) Name (b) PAN

4. TYPE OF ACCOUNT
Status Sub - Status
Individual Individual Resident Individual Promoter Individual-Director
Individual Director's Relatives Individual Margin Trading A/c Individual HUF/AOP
Minor Other (specify)
NRI NRI Repatriable NRI Non Repatriable NRI Non Repartriable Promoter
NRI Repatriable Promoter NRI - Depository Receipts Other (specify)
Foreign National Foreign National Foreign National- Depository Receipts Other (specify)
5. Guardian Details (where sole holder is a minor):
Guardian Details (where sole holder is a minor):
[For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian)]
Guardian Name
PAN
Relationship of guardian
with minor

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6. TRADING PREFERENCE

STOCK EXCHANGES ON WHICH YOU WISH TO TRADE

Equity/Mutual Fund (BSE & NSE) F & O (BSE & NSE) Currency (BSE & NSE) Commodity (MCX & NCDEX)
I have knowledge of trading in derivatives I have knowledge of trading in currency I have knowledge of trading in Commodity
segment and am aware of risks associated derivatives segment and am aware of risks derivative segment and am aware of risks
therein associated therein associated therein

1. Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off / mentioned as NA.
2. In future, if you need to trade in any additional Segment/Exchange, not opted above, separate authorisation letter will be required.
3. In case of trading in Derivatives it is compulsory to submit proof of Financial Details.

RISK DISCLOSURES ON DERIVATIVES - 9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses On an average, loss makers registered net trading
loss close to ₹ 50,000 Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs. Those making net trading
profits, incurred between 15% to 50% of such profits as transaction costs.

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

Copy of ITR acknowledgement Copy of annual accounts Copy of Form 16 Networth certifcate
Salary slip Bank account statement for last 6 months Copy of demat account holding statement
Gross Annual Income a) Income Range per Annum:
Details: (Please specify) 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)
8. DEPOSITORY ACCOUNT DETAILS (APPLICABLE IN CASE OF NON - IIFL DEMAT ACCONTS
Depository Participant
Name and Address

Depository Name
DP ID BO Account Number:
Beneficiary Name
Note : IIFL Demat Account will be default Demat Account for securities pay out.
9. COMTRACK ACCOUNT DETAILS :
CP Name & Address :

CP ID :
CMS (E) ID :

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10. COMRIS ACCOUNT DETAILS :

COMRIS Name & Address :

COMRIS ID :

11. DEALINGS THROUGH SUB-BROKERS / AP AND OTHER STOCK BROKERS

If client is dealing through the sub-broker / AP provide the following details:
Sub-broker’s / AP
Name & Code:
Registered office address:
Tel. Fax
SEBI / AP Registration No.: Website:

Authorised Person’s Code :

Name :
Address :

Whether dealing with any other stock broker/sub-broker / AP (if case dealing with multiple
stock brokers/ sub-broker / APs, provide details of all
Name of stock broker:
Name of Sub-Broker / AP,
if any:
Client Code: Exchange:
Details of disputes/dues pending from/to such stock broker/sub- broker / AP:
12. 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

Please tick, if applicable: Politically Exposed Person (PEP) Related to PEP Not a PEP Not Related to PEP
Experience in securities Number of years of Investment/Trading Experience:
Market No Experience:

Any other information:

13. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT)

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

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14. IN CASE OF NRI’S/ FOREIGN NATIONALS

RBI Approval Ref No.: RBI Approval Date:
Foreign Address
City Country
State PIN Code Tel.
Mobile Fax
Name of the person to
give trading instructions Relationship with the Applicant
BANK ACCOUNT DETAILS (PIS):
Bank Name
Branch Address
City Country
State PIN Code Tel.
Bank A/c No.
IFSC Code MICR Code
BANK ACCOUNT DETAILS (SAVINGS):
Bank Name
Branch Address
City Country
State PIN Code Tel.
Bank A/c No.
IFSC Code MICR Code
15. FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL
First/Sole Holder Second Holder (if any) Third Holder (if any)
Are you U.S. Person?
Yes No Yes No Yes No
(Refer KYC Handout - Customer Copy)
Specify country of residence for tax purpose
India Other India Other India Other
(Tax Residency)
Specify country of citizenship India Other India Other India Other
Salary Business Gift Salary Business Gift Salary Business Gift
Rental Income Prize Money Rental Income Prize Money Rental Income Prize Money
Source of Wealth
Ancestral Property Ancestral Property Ancestral Property
Royalty Others Royalty Others Royalty Others
Note: If you are a U.S. person and/or if your tax residency/nationality/citizenship is other than India, then please provide declaration/self
certification under FATCA/CRS. This declaration form can be downloaded from http://content.indiainfoline.com/IIFLTT/Download Form
Formats/downloads/Fatca_Declaration_Individual.pdf. or call at centralized helpdesk at 022-41035000 or write to [email protected].

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16. STANDING INSTRUCTIONS

a. I/We would like to execute DDPI in favor of IIFSL for Demat A/C Bank A/C Bank & Demat A/C
b. As I/We have issued Demat Debit And Pledge Instruction in favour of IIFL Capital Services Limited for
executing delivery instructions for settlement of transactions executed through IIFL Capital Services Limited. Required Not Required
However, the DIS booklet should be issued to me/us immediately on my/our request at any later date. The
Delivery Instruction Slip (DIS) for the time being,.

c. SMS ALERT FACILITY On registered Mobile Number (Mandatory if you are giving DDPI).
Ensure that the mobile number is provided in the KYC application form. Yes No
d. I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any
other further instruction from my/our end (If not marked, the default option would be ‘No’) Yes No
e. Account Statement Requirement: As per SEBI Regulations Daily Weekly Fortnightly Monthly
f. I/We would like to receive Statement of Account / Transaction-cum-Holding Statement /
Daily Margin Statement and All Other Statement at my email ID Yes No
g. Whether you wish to receive: Physical contract note Electronic Contract Note (ECN)
h. I/We would like to receive Annual Report in Physical Electronic Both

I. EASI facility [Facility through CDSL’s website: www.cdslindia.com wherein a BO can view his Yes No
ISIN balances, transactions and value of the portfolio online.]
a. I/We authorise you to receive credits automaticaly into my/our account Yes No
b. Do you wish to receive dividend/interest directly to your bank account given herein through ECS? Yes No
c. Account to be operated through Demat Debit And Pledge (DDPI) Yes No
II. I / We would like to share the email ID with the RTA Yes No
III. I/We wish to receive/Dividend/interest directly in to my bank account as given below through ECS Yes No
(if not marked, the default option would be "yes")
(ECS is mandatory for location notified by SEBI from time to time)
IV.I/We would like to maintain running account with IIFL Capital Services Limited. Yes No
If Yes, Funds & Securities settlement frequency Quarterly Monthly
V. I/We would like to receive Client Copy containing following Physical Electronic
• Rights and Obligations of Stock Rights and Obligations of Stock Brokers, Sub-Broker / AP / APs and Clients as prescribed by
SEBI and Exchanges
• Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories
• Risk disclosure Document for Capital, Currency, Stock and Commodity Derivatives Segment
• Guidance Note-Do’s and Don’ts for Trading on the Exchange (s) for Investors
• Policies and Procedures applicable to clients.

n. For Joint accounts, communication to be sent to First holder All joint account holders
o. Mode of Operations for Joint Accounts First Named Holder only Jointly Either or Survivor / Any one or Survivor
p. ASBA Yes No
q. I wish to opt for Margin Trading Facility - Yes
IIFL may close out the entire MTF position or part thereof, with or without assigning any reason whatsoever with prior notice of at
least 5 working days, in the circumstances considering market conditions, Risk mitigation measures, cost of borrowings or such
other condition which at the discretion of IIFL Capital Services Limited is prejudicial for continuing MTF facility for client(s).

r. Basic Service Demat Account (BSDA) - Yes

I/We confirm that my/our new demat account, if eligible, will be opened as a BSDA Account. I/We also confirm having read and
understood the guidelines pertaining to BSDA. I/We will comply with the said guidelines and that in case my/our Demat Account
under BSDA facility does not meet the eligibility for BSDA facility as per guidelines issued by SEBI or any such authority at any
point of time, my/our BSDA account will be converted Regular Demat Account without further reference to me/us and will be
levied charges as applicable to regular accounts.

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17. FORM FOR NOMINATION/OPTING OUT OF NOMINATION (To be filled in by Individual applying singly or Jointly)
CDSL DP Id Login id
NSDL DP Id Nomination No.
NOMINATION FORM
I /We The Sole Holder/Joint Holders/Guardian (in case of minor) hereby Declare That :
I/We wish to make nomination [As per Details given Below]. This nomination shall supersede any prior nomination made by me/us and also
any testamentary document executed by me/us.
Flag for Nominee Details in Statement a) Print Nominee Name b) Print Registration Status
I/WE DO NOT WISH TO APPOINT ANY NOMINEE(S) IN MY/OUR TRADING/DEMAT ACCOUNT
I/We hereby confirm that I/We do not wish to appoint any nominee(s) in my/our trading/demat account and understand the issues
involved in non-appointment of nominee(s) and further are aware that in case of death of all the account holder(s), my/our le gal heirs
would need to submit all the requisite documents/information for claiming of assets held in my/our trading/demat account, which may
also include documents issued by Court or other such competent authority, based on the value of assets held in the trading/demat
account.
NOMINEE DETAILS
I/We wish to make a nomination. [As per details given below]

Nomination Details
I/We wish to make a nomination and do hereby nominate the person(s), who shall receive all the assets held in my / our account in the event of my / our death.

Nomination can be made up to st nd rd

three nominees in the account. Details of 1 Nominee Details of 2 Nominee Details of 3 Nominee
Mandatory Details
1 Name of the nominee(s) (Mr./Ms.)*
Equally % % %
2 Share of each Nominee [If not equally,
Any odd lot after division shall be transferred to the first nominee mentioned in the form.
please specify
percentage]

3 Relationship With the Applicant ( If Any)

4 Date of Birth of Guardian {in case of minor

nominees(s)}
5 Name of Guardian {in case of minor
nominees(s)}

6 *Address of Nominee(s)/Guardian
in case of Minor City / Place:
State & Country
PIN Code

7 *Mobile/Telephone No. of nominee(s)

8 *Email ID of nominee(s) / Guardian in
case of Minor

9 Nominee/ Guardian (in caseof Minor)

Identification details – [ Any one of the
following Nominee identifiers ]

9A PAN No.
4 digits of Aadhaar No.
Driving License No.

9B Passport No./OCI/PIO (mandatory

in case of Nominee(s) NRI)

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DECLARATION

1. I/We hereby declare that the details furnished above are true and I/We confirm having read/been explained and understood the contents
correct to the best of my/our knowledge and belief and I/we undertake to of the document on policy and procedures of the stock broker, tariff
inform you of any changes therein, immediately. In case any of the sheet, voluntary & non voluntary documents. I/We do hereby agree to
above information is found to be false or untrue or misleading or be bound by such provisions as outlined in these documents. I/We
misrepresenting, I am / we are aware that I/we may be held liable for it. have also been informed that the standard set of documents has
2. I/We confirm having received a copy of the following documents and been displayed for Information on stock broker’s designated website, if
further confirm having read and understood the contents of these any. I/We further understand that any change in the said
documents:- documents including the “Policies and Procedures” shall be made
• Rights and Obligations of Stock Brokers, Sub-Brokers and Clients available on the website of IIFL and also intimated to me through
as prescribed by SEBI and Stock Exchanges circulars in internet trading platform/e-mails. I/We shall keep myself
• Rights and Obligations of Beneficial Owner and Depository updated of the same. https://ttweb.indiainfoline.com/trade/
Participant as prescribed by SEBI and Depositories frminformation2customer.aspx
3. I/We have read and understood the rules and regulations of the
• Risk disclosure Document for Capital and Derivatives Segment
Depository and Depository Participants and I/We agree to abide and
• Guidance Note-Do’s and Don’ts for Trading on the Exchange (s) for bind by the rules which are in force in force from time to time pertaining
Investors
to my/our account. Further in respect of Government Securities (G-Sec),
• Policies and Procedures applicable to clients. I/We will submit only those inter depository transfer instructions which
are bonafide and arising out of genuine trade or transfer transaction.
3. In case non-resident account, I/We also declare that I/We have a partner/director/karta/trustee, takes or holds any position in any
complied and will continue to comply with FEMA regulation. I have informed commodity forward contract/commodity derivative on Exchanges
the Bank that I will be trading through IIFL Capital Services Limited (IIFL) through or through any other member(s) or Exchanges, to enable you to
and to honor all relevant requests. In case Bank is not been mapped or restrict our position limit as prescribed by the above referred circular of
Tagged to IIFL Capital Services Limited (IIFL) as my registered broker, IIFL Exchanges as modified from time to time.
will not be responsible for any defaults thereof. I/We confirm that you have agreed to enter order in commodity forward
contracts / commodity derivatives for me / us as your clients on
4. I/We hereby consent to receive information from central KYC Registry Commodity Exchanges only on the basis of our above assurances and
through SMS/Email on the registered number/email address. undertaking. I/We further undertake to bear any liable/penalty/charges
levied by Commodity Exchanges / SEBI.
5. I/We the undersigned, have taken cognizance of circulars issued by
SEBI/Commodity Exchanges from time to time on the guidelines for 7. GST details furnished are true and genuine along with proof of GST no. If
calculation of net open positions permitted in any commodity and/we hereby no GST details furnished then, it shall be deemed that you are unregistered
undertake to comply with the same. under GST. In case there is any change in correspondence address, we will
I/We hereby declare and undertake that I/We will not exceed the position
limits prescribed from time to time by Commodity Exchanges or SEBI and charge GST based on the address available on record, unless intimated to
such position limits will be calculated in accordance with the circulars on us. We would not be responsible for any non-receipt/short-receipt of GST
position limits as modified from time to time. I/We undertake to inform you credit due to incorrect/inaccurate/incomplete information provided and any
and keep you informed if I/any of our partners/directors/karta/trustee or any
of the partnership firms/companies/HUFs/Trusts in which I or any of above loss, damage, cost and/or expenses suffered/incurred by us due to non-
such person is reversal of GST credit, act, omission, false statement suppression of fact
and/or any breach would be borne by you.

Place : Date :

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 Login ID:

Signature of Holder/
Name(s) of Account Holder(s)
Thumb impression of Holder
Sole/First Holder (in case of
Sole holder is Minor) (Mr./Ms.)

Second Holder (Mr./Ms.) ?

Third Holder (Mr./Ms.) ?

Guardian (in case sole holder is

minor) (Mr./Ms./Mrs.)
Details of Witness required if the account holder affixes thumb impression
Name of the Witness Address Signature of Witness

18. INTRODUCER’S DETAILS

Status Of Introducer Sub-Broker Authorised Person Remisier Existing Account Holder Bank Official
IIFL Employee Any Other Person
Introducer’s Name:
Address
City Country
State PIN Code Tel.
Occupation PAN C O M P U L S O R Y
DP ID For ex ist ing clie nt only Client ID For exist ing clie nt only Login ID Fo r exist ing clie nt only
Designation PAN If bank employe e
Bank & Branch Name If bank employee
Employee Code: Email Id If ba nk emplo yee

Signature of the Introducer

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TARIFF SHEET
Investor Plan Super Trader Plan Premium Plan
Plan Name (Online Plus) (Pro Traders) (Dedicated RM)
Account Charges
Account Opening Charges (one time) ` 250 ` 250 ` 250
First Year Annual Maintenance `0 `0 `0
Annual Maintenance (from 2nd year) ` 250 ` 250 ` 250
Margin at the time of Account opening `0 `0 `0
Monthly subscription `0 ` 999 `0
Demat Charges
Credit transaction Charges `0 `0 `0
Debit transaction charges ` 25 ` 10 ` 50
Margin Pledge initiation and Pledge release from
Client to Stock Broker (Nil for Mutual Funds) ` 10 ` 10 ` 10
Margin Re-pledge initiation and Re-pledge release `1 `1 `1
from Stock Broker to Clearing Member (CM) (` 0 for Mutual Funds) (` 0 for Mutual Funds) (` 0 for Mutual Funds)
Margin Re-pledge initiation and Re-pledge release `1 `1 `1
from CM to Clearing Corporation (CC) (` 0 for Mutual Funds) (` 0 for Mutual Funds) (` 0 for Mutual Funds)
Margin Pledge Invocation charges by Stock Broker/CM/CC ` 15 ` 15 ` 15
Pledge creation (other than margin pledge) ` 50 ` 50 ` 50
Pledge Closure (other than margin pledge) `0 `0 `0
Demat/Remat Charges per certificate ` 15 ` 15 ` 15
Payment Gateway Charges `0 `0 `0
Conversion of MF units/De-statementization Per SOA `0 `0 `0
Reconversion of MF units in to SOA or
Redemption/Re-statementization Per SOA `0 `0 `0
Re-issuance of (Additional) New DIS ` 100 ` 100 ` 100
Brokerage Charges
Equity Delivery % 0.25% 0.10% 0.50%
Equity Intraday/ Futures (per lot) 0.025% 0.01% 0.05%
Stock/Index Options (per lot) ₹ 25 (Stock)/₹ 75 (Index) ₹ 10(Stock)/₹ 50 (Index) ₹ 50(Stock)/₹ 100 (Index)
Commodity, Currency trading ` 0.025% 0.015% 0.050%
Currency Options (Per lot) `8 `5 ` 10
Currency Futures (Per Lot)
Commodity Options (Per lot) ` 20 ` 15 ` 25
Gold ` 125 ` 80 ` 150
Silver ` 80 ` 50 ` 100
Crude Oil ` 80 ` 50 ` 100
Copper ` 65 ` 50 ` 80
Zinc ` 65 ` 50 ` 80
Gold Mini ` 10 `5 ` 15
Others Charges
Delayed payment charge (p.a.) 18% 15% 18%
System & Risk square off ` 100 `0 ` 100
Call & Trade `0 `0 `0
Postal Charges for physical dispatch ` 40 ` 40 ` 40
Courier/ physical printing (when requested) ` 100 ` 100 ` 100
Auction Charges 1% 1% 1%
Access to Services
Research Report Yes Yes Yes
Intraday calls Yes Yes Yes
Market Guru seminars No Yes Yes
Trader Terminal EXE No Yes Yes
Dedicated RM No Yes Yes
Analyst/ Investment advisor meetings No No Yes
NOTES:
1. Customer is required to maintain a minimum balance of Rs.1000/- in his/ her ledger account.
2. Minimum brokerage per unit subject to regulatory cap Rs. /- 0.05
3. Document handling charge of Rs. 50 /- shall be applicable: • Customer who has opted for receiving documents by electronic mode: In case such customer also intends to receive documents
(contract notes and other related documents) by physical mode. • Customer who has opted for receiving documents by physical mode: In case such customer intends to receive additional/duplicate
copies of documents (contract notes and other related documents) by physical mode. Thischargemaybepartly/fullywaivedoffforhighnetworth/largecustomeratthediscretionof IIFL.
4. lnter/settlement/ Beneficiary to pool transfer would be charged 0.04% (Minimum Rs.25 per scrip)
5. Charges quoted above are for the services listed. Any service not quoted above will be charged separately
6. No refund of account opening charges would be given if the account could not be opened due to non- submission of complete documents by the client or due to lack of desired co-operation from the
client.
7. Charges/service standards are subject to revision at sole discretion of IIFL Capital Services Limited and as informed by communication sent by ordinary post/ E-mail.
8. Management reserves the right to freeze, discontinue or suspend any account if required
9. The above charges are exclusive of GST, statutory and other levies like Securities Transaction Tax, stamp duty and other charges if any, being charges related to the execution and/or
settlement of transactions shall be separately chargeable as in force from time to time. The same shall be charged to the Client’s account on actual basis
10. AMC Charges for BSDA accounts will be levied as prescribed by SEBI/ Depository from time to time. AMC charges will be prorated monthly from the month in which the account is opened till
the end of the financial year. For subsequent financial years, the same is payable at the beginning of the financial year *AMC, Demat and other charges will be debited to your ledger on yearly/
monthly basis. *Value of the transaction will be in accordance with rates provided by the Depository.
11. To margin benefit, EPI (Early Pay-in) is processed several times a day. Debit transaction Charges will be levied on every EPI transaction processed.

Sole/First Holder Second Holder Third Holder

? ?

Branch Official’s Name Branch Official’s Signature Place :

Date ________________________________________________ 13
IIFL House, Sun Infotech Park,Road No. 16V,
Plot No. B-23, MIDC, Thane Industrial Area,
Wagle Estate, Thane - 400 604

Date : NSDL DP ID-IN302269

Login ID : NSDL DP ID-IN300394
CDSL DP ID-12044700 NSDL DP ID-IN301557
CDSL DP ID-13014400 NSDL DP ID-IN301926
PAN NSDL DP ID-IN302470

To,
IIFL Capital Services Limited

Demat Debit and Pledge Instruction

Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange
related deliveries / settlement obligations arising out of trades executed by clients on the Stock
Exchange through IIFL Capital Services Limited.
Pledging / re-pledging of securities in favour of trading member (TM) / clearing member (CM)/
Clearing Corporation (CC) for the purpose of meeting margin requirements of the clients in
connection with the trades executed by the clients on the Stock Exchange.
Note:- For NRI clients the Pledge / Re-pledge of securities would be extended once the same si
enabled by NSDL/ CDSL.
Mutual Fund transactions being executed on Stock Exchange order entry platforms. Tendering
shares in open offers through Stock Exchange platforms.

Sole/First Holder Name Second Holder Name Third Holder Name

Sole/First Holder Name or Second Holder Name or Third Holder Name or
authorized signatory authorized signatory authorized signatory

Sole/First Holder Signature Second Holder Signature Third Holder Signature

Schedule 'A – List of DEMAT Accounts ' is on the next page..

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 Schedule A – List of DEMAT Accounts
BOID / CMBPID / CMID Holder Name A/c Type
1204470000000044 IIFL Capital Services Limited - POOL NSE Pool (CDSL)
1204470000000063 IIFL Capital Services Limited - POOL BSE – Principal (CDSL)
1204470000000078 IIFL Capital Services Limited- POOL BSE Pool (CDSL)
1204470011416801 IIFL Capital Services Limited-CSMPA Margin Pledge
1204470011617961 IIFL Capital Services Limited- CSMFA Margin Funding
1204470031167581 IIFL Capital Services Limited- POOL NSE Pool – SLBM
1204470031173042 IIFL Capital Services Limited- CUSPA NSE CUSPA Pledge
1100001100017685 IIFL Capital Services Limited NSE - Early Pay In A/c
IN559021 - 10000005 IIFL Capital Services Limited - POOL Clearing Member (Pool) – NSE
IN652277 - 10000013 IIFL Capital Services Limited- POOL Clearing Member (Pool) - BSE
1100001100020926 NCL NCL Repledge
14850698 IIFL Capital Services Limited Stock Broker- TM/CM-Client Securities Margin Pledge
Account
14850702 IIFL Capital Services Limited Stock Broker - TM-Client Securities under Margin Funding
Account
14865351 IIFL Capital Services Limited Stock Broker - TM/CM- Client Unpaid Securities Pledgee
Account

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AUTHORIZATION LETTER
To, Date: / /
IIFL Capital Services Limited
IIFLHouse, Sun Infotech Park,
Road No. 16V, Plot No. B-23,
Thane Industrial Area, Wagle Estate, Thane - 400 604

Sir,
A. Availing Mutual Fund Service System (MFSS) facility/ BSE StAR MUTUAL FUND (hereinafter jointly referred to “Mutual Fund
Transaction Facilities”) (Applicable in case opted)
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 MUTUALFUND of NSE and BSE respectively.
I/We therefore request you to register me/us as your client for participating in the Mutual fund transaction facilities (MFSS and BSE StAR
MUTUALFUND).
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). For the said 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 and I/We further confirm that the details contained in same
remain unchanged as on date.
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.
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 IIFL Capital Services Limited to utilize the surplus funds in my/our Broking account held
with IIFL Capital Services 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.
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. 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. I/We agree and
undertake to make good such shortfall immediately as may be informed by IIFL Capital Services Limited from time to time.
In case of a redemption request, I/We agree and authorise IIFL Capital Services 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 IIFL Capital Services 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.
B. Authorization for Systematic Investment in Mutual Fund / Securities (Applicable in case opted)
I/We hereby authorize IIFL to execute an order in my/our account held with IIFL for purchase of the securities and/or mutual fund units
under systematic investment plan on my/ our behalf as per my/our instructions.
I/We further agree and understand that all the terms and conditions of the trading agreement/terms and condition entered into/agreed with
IIFL shall be also applicable to the instructions for systematic investment in mutual fund units / securities and I/We hereby agree to abide
by the same at all times.
I/We understand that the instructions for systematic investment can be given by me in writing or through the online facility provided by IIFL
or over recorded telephone line. I/We hereby agree and understand that the said instructions shall be valid and binding upon me/us until
modified and/or cancelled by me/us by giving valid instruction to IIFL either in writing or through the online facility provided by IIFL.
I/We hereby undertake to give an ECS mandate/ standing instruction in favor of IIFL towards my/our trade obligations arising out of this
authorization or I/we hereby authorize IIFL to execute order under SIP on the basis of clear fund available in my ledger account and as per
risk management policy.
I/We hereby authorize IIFL to debit my/our trading account held with IIFL towards my/our trade obligations and all the fees, charges, taxes,
brokerage etc due and payable by me/us.
I/We understand that this authorization can be revoked by me/us at any time by giving a written notice atleast 30 days in advance to IIFL.
I/We understand that such revocation shall be effective from the date of receipt of confirmation of the same from IIFL. I/We agree and
undertake to fulfill all my/our obligations as per the instructions for systematic investment arising in my/ our account before the effective
date of such revocation.

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I/We agree to abide by the Terms and Conditions applicable for Systematic Investment in Mutual Fund and/or Securities and
any amendments thereto at all times.
I/We undertake to indemnify and keep indemnified IIFL and its directors / officers for all trades executed on my / our behalf as per
the instructions given by me/us.

C. RUNNINGACCOUNTAUTHORISATION (Applicable in case opted)

Authorisation to IIFL Capital Services Limited
In order to facilitate operations of my/our trading account opened under the aforesaid client code, I/we would like to authorize IIFL
Capital Services Limited to maintain a running account, instead of settlement-to-settlement clearance of funds due to me/us. In this
regard I/we hereby authorize IIFL Capital Services Limited to maintain a running account in accordance with circulars/ guidelines
issued by SEBI/Exchanges from time to time. I/we authorize IIFL Capital Services Limited to retain the pay out of funds and
understand and agree that no interest will be payable to me/us on such funds.
I/We also authorize IIFL Capital Services Limited to consider the funds so retained towards collateral margin for allowing enhanced
gross exposure to me/us.
I/We agree that l/we shall be liable to pay the debit standing to my account on the settlement date or any other date. Notwithstanding
anything contained in this authorization, the actual settlement of funds shall be done by IIFL Capital Services Limited as per my given
preference. Such actual settlement shall be done as per SEBI and exchange directives. There shall be no inter-client adjustments for
the purpose of settlement of the 'running account'.
I/We am/are aware that for the purpose of settlement of funds, the mode of transfer of funds shall be only by way of electronic transfer
viz NEFT, RTGS etc.
I/We agree that IIFL Capital Services Limited may, at the time of periodic settlement retain funds as may be allowed by the
Exchanges/SEBI, towards margin obligations on current and future transactions in all the segments across all exchanges as
permissible within in regulatory provisions and such funds towards any other unbilled services/charges for services availed from IIFL
Capital Services Limited.
I/We agree that IIFL Capital Services Limited shall not be liable for any claim for loss, loss of profit, loss of interest or for any
consequential, incidental, special or exemplary damages, caused by retention/settlement of such funds under aforesaid arrangement
or otherwise.
IIFL Capital Services Limited may release the funds to me/us on settlement date or on request or on revocation of authority, if
sufficient margins in respect of my/our trading, across the Stock Exchange(s) and across the segment of the Stock Exchange(s) are
available with IIFL Capital Services Limited and such funds towards any other unbilled services/charges for services availed from IIFL
Capital Services Limited.
I/We am/are aware that the authorization will be in force till the same is revoked by me/us. Further I/we may revoke the authorization
any time making a valid request for revocation.

D. AUTHORISATION FOR RECEIPT OF CONTRACT NOTES AND OTHER DOCUMENTS IN DIGITAL MODE (Applicable in case
opted)
I/We hereby consent to receive from IIIFL Capital Services Limited the digital contract notes, bills, ledgers, transaction statements,
demat statement of accounts/ holding statement(s)/bills/other statements, notices, circulars, amendments and such other
correspondence documents, records by whatever name called in electronic form duly authenticated by means of a digital signature as
specified in the Information Technology Act 2000 and the rules made thereunder to my registered email id. I/We further hereby
agree that the IIFL Capital Services Limited shall fulfill the legal obligation, if the above documents are sent electronically to the said
e-mail id and I/We am/are aware that I/we will not receive the statements / documents in paper form. In this regard, I/we further confirm
and agree that:
(i) The above is my/ our personal E-mail id. I/ We shall take all necessary steps to ensure confidentiality and the secrecy of the login and
password of the abovementioned e-mail account. IIFL shall not be liable to or responsible for any breach of secrecy. I/We am/are
aware that the statements/ documents may be accessed by other entities in case the confidentiality/secrecy of the login name and
password is compromised. I/We will be solely responsible for the security of the information provided on my/ our aforesaid e-mail id.
(ii) E-mails sent to any of the above mentioned e-mail account, which have not bounced back, shall be deemed to be duly delivered to the
me/us.

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(iii) IIFL shall not take cognizance of out-of -office/ out ofstation auto replies and I/We shall be deemed to have received such electronic
mails.
(iv) Such Statements shall be deemed to have been delivered on the day when the e-mail is sent by IIFL.
(v) I/We further agree that IIFLmay at its sole discretion also provide / discontinue such statements in physical form.
(vi) IIFL shall not be liable or responsible for any statement received from frauds or impostors or any consequences thereof.
(vii) IIFL shall not be liable for any problem, which arises at my/our computer network because of my/our receiving any Statement from
IIFL.
(viii) I/We shall inform IIFL by way of a letter in writing duly signed by me or inform through internet platform if there is any change in the
Email given above.
(ix) I/We undertake to check the Statement and bring the discrepancies to your notice within the time period as specified under the
relevant agreements entered into with IIFL. My/Our non-verification or not accessing the Statement on regular basis shall not be a
reason for disputing the same at any time.
(x) I/We shall inform in writing in prescribed format to IIFL to discontinue the said facilities. I/We and IIFL shall have the right to terminate
such service provided a written notice is given atleast 10 days in advance to the other party.
I/We shall immediately inform IIFL about change in email address, if any. I/We further agree that IIFL will not be responsible for nonreceipt
of documents sent via electronic delivery due to change in/incorrect email address/correspondence address as mentioned or any other
reason which inter alia include technical reasons or malfunction of my/our computer system/server/internet connection etc. Further I/We
agree and undertake to indemnify IIFL and its group companies, that they will not be held liable/ responsible for any losses, claims
damages, cost and liabilities etc. caused to me/us due to misuse of this information or pursuant to any litigation cases, complaints, actions,
etc that may arise in future on account of my/ our above authorization request.
• I/We am/are aware that the Member has to provide physical contract note in respect of all the trades placed by me/us unless I/We
myself/ourselves want the same in the electronic form.
• I/We am/are aware that the Member has to provide electronic contract note for my/our convenience on my/our request only.
• Though the Member is required to deliver physical contract note, I/We find that it is inconvenient for me/us to receive physical contract
notes. Therefore, I/We am/are voluntarily requesting for delivery of electronic contract note pertaining to all the trades carried out /
ordered by me/us.
• I/We have access to a computer and am/are a regular internet user, having sufficient knowledge of handling the email operations.
• My email id is . This has been created by me/us and not by someone
else.
• I/We am/are aware that this declaration form should be in English or in any other Indian language known to me/us.
• I am aware that non-receipt of bounced mail notification by member shall amount to delivery of the contact note at the above email id.
[The above declaration has been read and understood by me/us. I/We am/are aware of the risk involved in dispensing with the physical
contract note, and do hereby take full responsibility for the same]
E. AUTHORISATION FOR ONLINE TRADING SOFTWARE PASSWORD (Applicable in case opted)
I wish to use online Trading Software in this regards Following:-
I. Please send my system-generated, internet account first time as well as subsequent, password on the registered mobile numbers.
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.
II. 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 IIFLimmediately and request for re-setting of my Password.
III. 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.
IV. 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 IIFLwill not be responsible or liable in any manner whatsoever for the same.
F. Availing IIFL Distribution Services (Applicable in case opted)
I/We understand that:
(a) IIFL Capital Services Limited (herein after referred as IIFL), are engaged in providing various financial services including
distribution and execution services of various financial products. Accordingly, for providing said services IIFL and its associates
may earn fees (including arranger fees) or commission from issuers of mutual funds, alternative investment funds, venture capital
funds, debt instruments etc.
(b) Apart from above, investment may be made in securities of associates, investment transaction may be done with IIFL, its
associates and group companies of IIFL as counterparties and IIFL, including its subsidiaries and associates may receive various
form of remuneration linked to distribution services offered to the Client.
I/ We hereby agree to avail services like distribution of securities / financial products including but not limited to following offered by
IIFL Distribution Services.

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• Initial Public Offer/Follow on Public Offer /Offer for sale

• Mutual Funds
• Bonds, Debentures
• NPS
• Other financial products
1. I/We hereby give my/our consent to execute new Demat Debit And Pledge Instruction (DDPI) in favour of IIFL and enable IIFL to my
investments & redemptions relating to IIFL Distribution Services being availed by me.
2. I/ We hereby authorize IIFL and its associates to disclose, share, remit in any form, mode or manner, all / any of the information
provided by me/ us, including all changes, updates to such information as and when provided by me/ us to associates of IIFL Group,
issuers, brokers, Mutual Funds, AIFs, banks and other relevant parties ('the Authorized Parties') or any Indian or foreign
governmental or statutory or judicial authorities / agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND),
the tax / revenue authorities in India or outside India wherever it is legally required and other agencies without any obligation of
advising me/ us of the same.
3. I/ We hereby declare that there is no action pending against me/us by any regulatory authority for violation of any law. There are no
unpaid fines/penalties levied on me/us. I/We have not violated any law applicable to us or circular/regulations issued under any law
as on date. I/We have no legal or regulatory proceedings pending against me/us for any financial crimes or violation of Securities
laws initiated be SEBI/RBI/Banks or any other financial institution.
Pursuant to my/our instructions, I/We hereby authorize IIFL, to invest the balance lying in the my/our ledger account, demat account
and/or bank account, in the units of mutual fund and/or in such other financial products of as specified above and redeem in part or full
as and when to meet my account obligations with IIFL.
DECLARATION
i. I am aware that the mobile number shall be updated in all your records and databases including trading and demat account.
ii. I declare that the registered 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.
iii. 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.
iv. I will be solely responsible for the security of the information provided on my aforesaid mobile number. Further,
v. I agree and undertake to indemnify IIFLand its group companies, that they will not be held liable/responsible for any losses, claims,
damages, cost and liabilities etc. caused to me due to misuse of this information or pursuant to any litigations, non-litigation cases,
complaints, actions, etc. that may arise in future on account of my above authorization request.
vi. I/We confirm having received a hard copy of the following documents and further confirm having read and understood the contents of
these documents.
• SMS Alerts Facility by depository : I/ We consent to CDSL / NSDL providing to the service provider such information pertaining to
account/ transactions in my/ our account as is necessary for the purposes of generating SMSAlerts 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.
• Terms & Conditions For Distribution of Securities.
• Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUALFUND offered by NSE and
BSE respectively.
• Terms and Condition for availing systematic investment in Mutual fund/Securities
vii. I/We declare and confirm that the authorisation will not be applicable for the product / services not opted by me/us
viii. I/We hereby authorise the representatives/employees of IIFL or its group companies to give call on my/our registered mobile number
and send any messages & emails on my registered mobile number & Email ID as mentioned in the account opening form to share any
information/alert/message including but not limited to research data, trading calls, marketing and promotional messages/calls with
reference to any products, promotions etc.

Sole/First Holder (Mr./Ms.) Second Holder (Mr./Ms.) Third Holder (Mr./Ms.)

SIGNATURE
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Most Important Terms and Conditions (MITC)

(For non-custodial settled trading accounts)

1. Your trading account has a “Unique Client Code” (UCC), different from your demat account number. Do not
allow anyone (including your own stock broker, their representatives and dealers) to trade in your trading
account on their own without taking specific instruction from you for your trades. Do not share your
internet/ mobile trading login credentials with anyone else.

2. You are required to place collaterals as margins with the stock broker before you trade. The collateral can
either be in the form of funds transfer into specified stock broker bank accounts or margin pledge of
securities from your demat account. The bank accounts are listed on the stock broker website. Please do
not transfer funds into any other account. The stock broker is not permitted to accept any cash from you.

3. The stock broker’s Risk Management Policy provides details about how the trading limits will be given to
you, and the tariff sheet provides the charges that the stock broker will levy on you.

4. All securities purchased by you will be transferred to your demat account within one working day of the
payout. In case of securities purchased but not fully paid by you, the transfer of the same may be subject
to limited period pledge i.e. seven trading days after the pay-out (CUSPA pledge) created in favor of the
stock broker. You can view your demat account balances directly at the website of the Depositories after
creating a login.

5. The stock broker is obligated to deposit all funds received from you with any of the Clearing Corporations
duly allocated in your name. The stock broker is further mandated to return excess funds as per applicable
norms to you at the time of quarterly/ monthly settlement. You can view the amounts allocated to you
directly at the website of the Clearing Corporation(s).

6. You will get a contract note from the stock broker within 24 hours of the trade.

7. You may give a one-time Demat Debit and Pledge Instruction (DDPI) authority to your stock broker for
limited access to your demat account, including transferring securities, which are sold in your account for
pay-in.

8. The stock broker is expected to know your financial status and monitor your accounts accordingly. Do
share all financial information (e.g. income, networth, etc.) with the stock broker as and when requested
for. Kindly also keep your email Id and mobile phone details with the stock broker always updated.

9. In case of disputes with the stock broker, you can raise a grievance on the dedicated investor grievance ID
of the stock broker. You can also approach the stock exchanges and/or SEBI directly.

10. Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature are prohibited by
law. You will not have any protection/recourse from SEBI/stock exchanges for participation in such
schemes

First Holder Second Holder Third Holder

 Login ID:

In terms of Regulation 24(6) of the SEBI Research Analyst Regulations and with reference to SEBI Circular
no. SEBI/HO/MIRSD/ MIRSD-PoD-1/P/CIR/2025/004 dated January 08, 2025 and SEBI/HO/MIRSD/MIRSD-
PoD/P/CIR/2025/20 February 17, 2025 please find attached terms and conditions for Research Services
including Most Important Terms & Conditions as a client of IIFL Capital Services Limited (IIFLCAP).

Annexure- I
Minimum mandatory Terms and Conditions Research and Analyst

1. Availing the research services: By accepting delivery of the research service, the client
confirms that he/she has elected to subscribe the research service of the IIFLCAP at his/
her sole discretion. IIFLCAP confirms that research services shall be rendered in accordance
with the applicable provisions of the RA Regulations.
2. Obligations on RA: IIFLCAP and client shall be bound by SEBI Act and all the applicable rules
and regulations of SEBI, including the RA Regulations and relevant notifications of
Government, as may be in force, from time to time.
3. Client Information and KYC: The client shall furnish all such details in full as may be required
by IIFLCAP in its standard form with supporting details, if required, as may be made
mandatory by RAASB/SEBI from time to time. IIFLCAP shall collect, store, upload and check
KYC records of the clients with KYC Registration Agency (KRA) as specified by SEBI from
time to time.
4. Standard Terms of Service:
Client hereby gives consent on the following understanding:
“I / We have read and understood the terms and conditions applicable to a research analyst
as defined under regulation 2(1)(u) of the SEBI (Research Analyst) Regulations, 2014,
including the fee structure. I/We are subscribing to the research services for our own
benefits and consumption, and any reliance placed on the research report provided by
research analyst shall be as per our own judgement and assessment of the conclusions
contained in the research report.
I/We understand that –
i. Any investment made based on the recommendations in the research report are subject
to market risk.
ii.Recommendations in the research report do not provide any assurance of returns.
iii. There is no recourse to claim any losses incurred on the investments made based on
the recommendations in the research report.”

IIFLCAP hereby declares that:

i. It is duly registered with SEBI as an RA pursuant to the SEBI (Research Analysts) Regulations,
2014 and its registration details are: registration number- INH000000248, registration date
26.03.2015;
ii. It has registration and qualifications required to render the services contemplated under the IRA
Regulations, and the same are valid and subsisting;
iii. Research analyst services provided by it do not conflict with or violate any provision of law, rule
or regulation, contract, or other instrument to which it is a party or to which any of its property
is or may be subject;
iv. The maximum fee that may be charged by IIFLCAP is ₹1.51 lakhs per annum per family of client.
v. The recommendations provided by IIFLCAP do not provide any assurance of returns.
5. Consideration and mode of payment: The client shall duly pay to RA, the agreed fees for
the services that IIFLCAP renders to the client and statutory charges, as applicable. Such
fees and statutory charges shall be payable through the specified manner and mode(s)/
mechanism(s).
6. Risk factors: Investment in securities market are subject to market risks. Read all the
related documents carefully before investing.
7. Conflict of interest: IIFLCAP shall adhere to the applicable regulations/
circulars/directions specified by SEBI from time to time in relation to disclosure and
mitigation of any actual or potential conflict of interest. Client can refer to the full
disclosure on this path: Research Disclaimer
8. Termination of service and refund of fees: IIFLCAP may suspend or terminate rendering
of research services to client on account of suspension/ cancellation of registration of
IIFLCAP by SEBI and shall refund the residual amount to the client. In case of suspension
of certificate of registration of the IIFLCAP for more than 60 (sixty) days or cancellation
of the RA registration, IIFLCAP shall refund the fees, on a pro rata basis for the period
from the effective date of cancellation/ suspension to end of the subscription period.
9. Grievance redressal and dispute resolution: Any grievance related to (i) nonreceipt of
research report or (ii) missing pages or inability to download the entire report, or (iii) any
other deficiency in the research services provided by IIFLCAP, shall be escalated promptly
by the client to: Customer service department- Email: [email protected].
IIFLCAP shall be responsible to resolve grievances within 7 (seven) business working days
or such timelines as may be specified by SEBI under the RA Regulations. IIFLCAP shall
redress grievances of the client in a timely and transparent manner. Any dispute between
IIFLCAP and its client may be resolved through arbitration or through any other modes or
mechanism as specified by SEBI from time to time.
10. Additional clauses: All additional voluntary clauses added by IIFLCAP shall not be in
contravention with rules/ regulations/ circulars of SEBI. Any changes in such voluntary
clauses/document(s) shall be preceded by a notice of 15 days.
11. Mandatory notice: Clients is requested to go through Do’s and Don’ts while dealing with
RA as specified in SEBI master circular no. SEBI/HO/MIRSD-POD-1 /P/CIR /2024/49 dated
May 21, 2024 or as may be specified by SEBI from time to time.

Annexure- II
Most Important Terms and Conditions (MITC) Research and Analyst

1. The terms and conditions and the consent thereon are for the research services provided
by IIFLCAP and IIFLCAP cannot execute/ carry out any trade (purchase/ sell transaction)
on behalf of the client. Thus, you are advised not to permit IIFLCAP to execute any trade
on your behalf.
2. The fee charged by IIFLCAP to the client will be subject to the maximum of amount
prescribed by SEBI/ Research Analyst Administration and Supervisory Body (RAASB) from
time to time (applicable only for Individual and HUF Clients).
Note:
2.1. The current fee limit is Rs 1,51,000/- per annum per family of client for all research
services of IIFLCAP.
2.2. The fee limit does not include statutory charges.
2.3. The fee limits do not apply to a non-individual client / accredited investor.
3. IIFLCAP may charge fees in advance if agreed by the client. Such advance shall not
exceed the period stipulated by SEBI; presently it is one year. In case of pre-mature
termination of the RA services by either the client or IIFLCAP, the client shall be entitled
to seek refund of proportionate fees only for unexpired period.
4. Fees to IIFLCAP may be paid by the client through any of the specified modes like
cheque, online bank transfer, UPI, etc. Cash payment is not allowed. Optionally the client
can make payments through Centralized Fee Collection Mechanism (CeFCoM) managed
by BSE Limited (i.e. currently recognized RAASB).
5. IIFLCAP is required to abide by the applicable regulations/ circulars/ directions specified
by SEBI and RAASB from time to time in relation to disclosure and mitigation of any
actual or potential conflict of interest. IIFLCAP will endeavour to promptly inform the
client of any conflict of interest that may affect the services being rendered to the
client.
6. Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature
are prohibited by law. No scheme of this nature shall be offered to the client by IIFLCAP.
7. IIFLCAP cannot guarantee returns, profits, accuracy, or risk-free investments from the
use of its research services. All opinions, projections, estimates of IIFLCAP are based on
the analysis of available data under certain assumptions as of the date of
preparation/publication of research report.
8. Any investment made based on recommendations in research reports are subject to
market risks, and recommendations do not provide any assurance of returns. There is no
recourse to claim any losses incurred on the investments made based on the
recommendations in the research report. Any reliance placed on the research report
provided by the RA shall be as per the client’s own judgement and assessment of the
conclusions contained in the research report.
9. The SEBI registration, Enlistment with RAASB, and NISM certification do not guarantee
the performance of the RA or assure any returns to the client.
10. For any grievances,
Step 1: the client should first contact IIFLCAP using details on its website under the tab escalation
matrix on https://www.iiflcapital.com/ contact-us or e-mail on: mail to:[email protected]
Step 2: If the resolution is unsatisfactory, the client can also lodge grievances through SEBI’s
SCORES platform at https://scores.sebi.gov.in/
Step 3: The client may also consider the Online Dispute Resolution (ODR) through the Smart ODR
portal at https://smartodr.in
11. Clients are required to keep contact details, including email id and mobile number/s
updated with IIFLCAP at all times.
12. IIFLCAP shall never ask for the client’s login credentials and OTPs for the client’s Trading
Account Demat Account and Bank Account. Never share such information with anyone
including IIFLCAP.

First Holder Second Holder Third Holder

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

Request for availing e-DIS facility

(Applicable in case of joint accounts/ non- individual accounts)

DP ID

Client ID
Sole/First Holder Name
or authorized person

Second Holder Name

or authorized person
Third Holder Name
or authorized person

We wish to use the e-DIS facility provided by IIFL Capital Services limited by
accepting the instructions on the Depository system. We agree to be bound by the
Bye-laws & Business Rules of NSDL/CDSL. We agree that the instructions as
executed through e-DIS by anyone of the account holder(s) or survivor (s) shall
discharge the Participant in full vis-a-vis all account holders. We further agree that
any one of the account holders or Survivor (s) would accept such electronic
instruction on depository system through OTP & PIN/Passwordconfirmation or other
verifiable mechanism.

Sole/First Holder or Second Holder or Third Holder or

authorized signatory authorized signatory authorized signatory
 For Branches and Locations of IIFL Capital Services Limited, please
visit our website: www.iiflcapital.com

IIFL Capital Services Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area,
Wagle Estate, Thane – 400 604 Tel.: (91-22) 3929 4000 / 4103 5000.
Member: BSE, BSE (F&O) NSE, NSE (F&O), MCX & NCDEX SEBI Registration No. INZ000164132
Depository: CDSL & NSDL SEBI Registration No: IN - DP-185-2016, Research Analyst SEBI Regn: INH000000248
Portfolio Management Service SEBI Regn: INP 000002213, Merchant Banking SEBI Regn: INM 000010940, Investment
Adviser SEBI Regn: INA00000623, MF Distributor ARN: 47791 & PFRDA (PoP) Regn. No. 20092018

Version:30th April 2025