Client Registration Form Individual - Stocks and Securities Aditya Birla Money Limited (A subsidiary of Aditya Birla Capital Ltd.)
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Client Registration Form
Individual
Stocks and Securities
Aditya Birla Money Limited
(A subsidiary of Aditya Birla Capital Ltd.)
PROTECTING INVESTING FINANCING ADVISINGTo be mandatorily filled by Branches / Authorised Persons
Name of the Branch / AP
Branch / AP Code
TWS Terminal ID
Employee Code AP/DSA Code
Account Type : Trading & Demat Only Trading Only Demat
Account Mode (Please Tick) Online
Scheme (Please Tick) Normal Empower Trader
Margin (above Rs. 50,000) Corporate Others
Verified by - Account Opening Department :
Name : Signature :
Introducer Details - Optional
Name of the Introducer
Surname Middle Name
Status of the Introducer Authorized Person Existing Client Employee
Others (Please specify)
Address of the Introducer
Phone No. of the Introducer
Signature of Introducer
INDEX
S.No. Name of the Document Brief Significance of the Document Page No.
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
A. KYC form - Document captures basic information on about 1-8
1. Account Opening Form the Client
B. Document captures additional information about the Client
Document detailing tariff, brokerage, interest and other charges levied
2. Tariff sheet 9-11
to Client for trading and demat services
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
3. Voluntary Authorization Document authorizing Stock Broker to maintain running account, to 12
Letter send documents through E-Mail, to send SMS, as well as debit DP
charges to trading A/C
4. Suitability Assessment Document assessing the suitability of client 13-14
Questionnaire
5. Power of Attorney Document authorising the Stock Broker to transfer securities from 15-16
the demat account/beneficiary account to the margin/settlement
accounts of stock broker and to perform other services
6. Consent form for receiving Consent form for receiving trade alerts through SMS and/or E-mail - 17
trade alerts through SMS Document of client consent for receiving trade alerts through SMS
and/or E-mail and/or E-mail from the Exchange
7. Mobile / Email Declaration Declaration for updating same mobile number and email address for 18
trading and demat account
8. One Time Declaration Declaration for Transfer of G Securities. 19
for G Securities
9. Categorization of Participant MCX-Self declaration on Categorization of Participants in 20
in Commodities Derivatives Commodities Derivatives
10. Categorization of Participant NCDEX- Self declaration on Categorization of Participants in 21
in Commodities Derivatives Commodities Derivatives
VERSION 1.00 / 01-2021Stocks and Securities
Aditya Birla Money Limited
(A subsidiary of Aditya Birla Capital Ltd.)
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form I Individual
For office use only Application Type* New Update
KYC Number (Mandatory for KYC update request)
(To be filled by
financial institution) Account Type* Normal Minor Aadhaar OTP based E-KYC (in non-face to face mode)
1. PERSONAL DETAILS* (Please refer instruction A at the end)
Prefix First Name Middle Name Last Name
Name* (Same as ID
proof)
Maiden Name
Father / Spouse Name
Mother Name
Date of Birth* D D M M Y Y Y Y
Gender* M-Male F-Female T-Transgender
PAN* Form 60 furnished
2. PROOF OF IDENTITY AND ADDRESS* (Please refer instruction B at the end)
I. Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital KYC process needs
to be submitted (anyone of the following OVDs)
A- Passport Number PHOTO*
B-Voter ID Card
C-Driving Licence
D-NREGA Job Card
E-National Population Register Letter
F-Proof of Possession of Aadhaar
II E-KYC Authentication
III Offline verification of Aadhaar
Address
Line 1*
Line 2
Line 3 City/Town Village*
District* Pin/Post Code* State/U.T Code* ISO 3166 Country Code*
13. CURRENT ADDRESS DETAILS (Please refer instruction B at the end)
Same as above mentioned address (In such cases address details as below need not be provided)
I. Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital KYC process needs to be
submitted (anyone of the following OVDs)
A- Passport Number
B-Voter ID Card
C-Driving Licence
D-NREGA Job Card
E-National Population Register Letter
F-Proof of Possession of Aadhaar
II E-KYC Authentication
III Offline verification of Aadhaar
IV Deemed Proof of Address - Document
Type code
Address
Line 1*
Line 2
Line 3 City/Town Village*
District* Pin/Post Code* State/U.T Code* ISO 3166 Country Code*
4. CONTACT DETAILS (All communications will be sent to Mobile number/ Email-ID provided)
(Please refer instruction C at the end)
District* - Tel. (Res) -
Mobile -
E-mail ID
5. REMARKS (If any)
6. APPLICANT DECLARATION
Ÿ 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. lncase 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.
Ÿ I hereby consent to receiving information from Central KYC Registry through
SMS/Email on the above registered number/email address.
Signature/Thumb Impression
Date: D D M M Y Y Y Y Place: of Applicant
27. ATTESTATION I FOR OFFICE USE ONLY
Documents Received Certified Copies E-KYC data received from UIDAI
Data received from Offline verification Digital KYC Process
Equivalent e-document Video Based KYC
KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS
Date D D M M Y Y Y Y Name
Emp. Name Code I N 0 1 1 3
Emp. Code
Emp. Designation
Emp. Branch Name
(Institution Stamp)
(Employee Signature)
1. Trading Preferences (Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client)
Please refer Additional booklet for Instructions/ Checklist/Guidelines for filling the KYC
Name of Segment Name of Exchange Date of Consent for trading Signature
on concerned Exchange
2
Cash NSE
&
Mutual Funds BSE 3
NSE 4
F&O Income Proof to be submitted as per
BSE 5
guidelines in Rights & Obligations
NSE 6
Currency 7
BSE Income Proof to be submitted as per
NSE 8 guidelines in Rights & Obligations
Commodity BSE 9
MCX 10 Income Proof to be submitted as per
Futures & Options
NCDEX 11 guidelines in Rights & Obligations
# If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the
client by the stock broker.
2. Other Details
a. Occupation Government Services Public Sector Private Sector Business
(Please tick any one)
Student Housewife Agriculturist Retired
Professional
Others (Please Specify)
b. Gross Annual Income Income Range Up to Rs. 1 Lac 1-5 Lacs 5-10 Lacs
Details (please specify) per annum 10-25 Lacs > 25 Lacs
Net-worth as on
D D M M Y Y Y Y
(date) (Net worth should not be older than 1 year)
c. Please tick
Politically exposed person Related to a politically exposed person None
(Whichever is applicable)
33. Bank Details (Through which transactions would be routed. Details & proof of bank account(s) is required)
Account Type Savings Current Others (Please specify )
Bank Account No.
PIS A/C No ( In case of NRI)
MICR Number IFSC Code
Bank Name
Bank Address
City Pincode
State Country INDIA
Please provide additional bank account details (if any) as annexures with proofs.
4. Foreign Account Tax Compliance Act (FATCA) - Self Declaration
In order to comply with FATCA and Common Reporting Standards (CSR) noms, we request you to kindly provide
the following details:
a. Are you person with US Indicia: Yes No
b. Please specify your name country of Birth
c. Place of Birth: (Place of Birth is not required if country of birth is india)
d. Are you a US Person: Yes No
e. Are you taxable in any other country: Yes No
5. Depository Account Details
Depository Participant Name : ADITYA BIRLA MONEY LIMITED Depository Name : CDSL
DP ID 1 2 0 3 7 6 0 0 Beneficiary ID (BO ID)
6. Past Actions
Details of any actions/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.
Yes No If yes, provide details:
7. Dealings through Authorised Person and Other Stock Brokers
If client is dealing through any other Member, provide the following details (in case dealing with multiple
Members, provide details of all in a separate sheet containing all the information as mentioned below) :
Member’s/Authorized Person (AP)’s Name
Exchange
Exchange’s Registration number
Concerned Member’s Name with whom the AP is registered
Registered office address
Phone Fax
E-mail
Website
Client Code
Details of disputes/dues pending from/to such Member/AP
48. In case of NRI / Foreign National
RBI Approval Ref No: ______________________ RBI Approval Date: _______________________
9. GSTIN Number (If Applicable) : ___________________
10. Standing Instruction
1. Account to be operated through Power of Attorney (PoA) Yes No
2. I / We instruct the DP to receive each and every credit in my / our (Automatic Credit)
account (If not marked, the default option would be Yes’) Yes No
3. SMS Alert Facility Mobile No. +91
Refer to Terms & Conditions Mandatory, if you are giving power of
given as Annexure in Rights
& Obligations Booklet.
Attorney (POA) Yes No
If POA is not granted & you do not wish to
avail of this facility, cancel this option.
4. Account Statement Requirement As per SEBI Regulation
Daily Weekly Fortnightly Monthly
5. Whether you wish to receive physical contract note/Electronic Electronic Transaction-cum-Holding
Contract Note (ECN)*/ Electronic Transaction and Holding Statement Statement (ESOTH)
(If ECN & ESOTH is opted, "Authorization for sending Electronic Contract Note (ECN)
documents through E-Mail" shall be executed) Physical Contract Note (Charges applicable)
6. I/We wish to receive dividend/interest directly in to my/our
bank account as given above through ECS (If not marked, the
default option would be ‘Yes) [ECS is mandatory for locations Yes No
notified by SEBI from time to time]
7. To register for easi, please visit CDSL website www.cdslindia.com
(Easi allows a BO to view ISIN balances, transactions and value Yes No
of the portfolio through Internet.)
8. Whether you wish to avail of the facility of Internet Trading/Wireless
Technology (please specify): Yes No
9. Investment/Trading experience: Y Y
10. I /We would like to instruct the DP to accept all the pledge instructions
in my/our account without any other further instruction from Yes No
my/our end (if not marked, the default option would be 'No')
11. I/We would like to share the email ID with the RTA Yes No
12. I/We would like to receive the Annual Report of companies held by me/us. Physical Electronic
(Tick the appropriate box. If not marked the default option
would be in Physical) Both Physical and Electronic
13. I/We have issued a Power of Attorney (POA) in favour of Aditya Option 1: I/We require you to issue
Birla Money Limited for Executing delivery instructions for Delivery Instruction Slip Booklet to me/us
settling stock exchange trades effected through clearing though we have issued POA.
member, margin obligations etc. Option 2: I/ We do not require the Delivery
Instruction Slip for the time being.
514. I/We wish to receive the following documents for Equity /
Derivatives Segment
a. Rights & Obligations
b. Rights and Obligations of the Beneficial Owner and
Depository Participant
c. Risk Disclosure Document Physical Electronic
d. Guidance Note
e. Policies & Procedures
f. Additional (Voluntary) Rights & Obligations
g. Terms and Conditions-cum-Registration/Modification
Form for receiving SMS Alerts from CDSL Definitions.
15. I/We wish to receive the following documents for
commodities segment
a. Rights and Obligations of members, Authorised Person
and Clients
b. Uniform Risk Disclosure Document (Including Risk Disclosure
Document on Options Trading) Physical Electronic
c. Do’s and Don’ts for the investors
d. Additional (Voluntary) Rights and Obligations
e. Policies & Procedures
11. TYPE OF ACCOUNT (Please tick whichever is applicable)
Status Sub Status
Individual Resident Individual-Director
Individual Director’s Relative Individual HUF/AOP
Individual Individual Promoter Others (Please specify)
Individual Margin Trading A/c (Mantra)
NRI NRI Repatriable NRI Non - Repatriable
NRI Repatriable Promoter NRI Non - Repatriable Promoter
NRI - Depository Receipts Others (specify)
Foreign National Foreign National Foreign National - Depository Receipts Others (specify)
12. Nomination Option
I/We do not wish to make a nomination.
I/We nominate the following person who is entitled to receive amounts/security balance lying in my/our trading &
demat accounts, whose particulars where of are given below, in the event of my/our death.
Nomination Details Nominee 1 Nominee 2 Nominee 3
Nominee Name :
*First Name:
Middle Name:
*Last Name:
*Address:
*City:
*State:
6*Pin:
*Country:
Telephone No:
Fax No:
Nomination Details Nominee 1 Nominee 2 Nominee 3
PAN No:
UID :
Email ID:
*Relationship with the BO:
Date of birth (mandatory if
Nominee is a minor):
*First Name:
Middle Name:
*Last Name
*Address of the Guardian
of nominee:
*First Name:
Middle Name:
*Last Name
*Address of the Guardian of nominee:
*City:
*State:
*Country:
*Pin:
Age
Telephone No:
Fax No:
Email ID:
*Relationship of the Guardian with
the Nominee:
*Percentage of allocation of
securities:
*Residual Securities [please tick
any one nominee.
If tick not marked default will be
first nominee]:
Signature of Guardian
Date D D M M Y Y Y Y Nomination Registration No:
Two witness shall attest signature(s)/thumb impression(s)
1) Name 2) Name
Address Address
Signature Signature
Note: Guardian and Applicant cannot be the same person
7DECLARATION CUM ACKNOWLEDGMENT
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and
I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be
false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the
stock broker and the tariff sheet.
3. I/We have been informed that the standard set of documents has been displayed for information on Stock Broker’s
designated website www.stocksandsecurities.adityabirlacapital.com and any change in the Rights and Obligations and
RDD would be made available on Stock Broker’s designated website www.stocksandsecurities.adityabirlacapital.com.
I/We have been also informed that any change in the ‘Policy and Procedures’, ‘tariff sheet’ and all the non mandatory
documents would be duly intimated to me/ us and also displayed for information on the Stock Broker’s designated
website www.stocksandsecurities.adityabirlacapital.com
I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s), Rights and
Obligations of the Beneficial Owner and Depository Participant, ‘Risk Disclosure Document’ (RDD), ‘Guidance Note’,
‘Policies & Procedures’, Tariff Sheet, Additional (Voluntary) Rights & Obligations and all other non-mandatory
documents. I/We do hereby agree to be bound by such provisions as outlined in these documents.
4. I/We further confirm to receive the following documents by way of a separate booklet for Equity / Derivatives Segment.
a. Rights & Obligations
b. Rights and Obligations of the Beneficial Owner and Depository Participant .
c. Risk Disclosure Document
d. Guidance Note
e. Policies and Procedures
f. Additional (Voluntary) Rights & Obligations
g. Terms and conditions-cum-Registration/Modification Form for receiving SMS Alerts from CDSL Definitions.
5. I/We further confirm to receive the following documents by way of a separate booklet for Commodity Segment:
a. Rights and Obligations of members, Authorised Person and Clients
b. Uniform Risk Disclosure Document (Including Risk Disclosure Document on Options Trading)
c. Do’s and Don’ts for the investors
d. Additional (Voluntary) Rights and Obligations
e. Policies & Procedures
6. I / We have read the Rights and Obligations document (Annexure 2.7) and terms & conditions (Annexure 2.4) and agree to
abide by and be bound by the same and by the Bye Laws as are in force from time to time. I/We declare that the particulars
given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree
and undertake to intimate the DP any change(s) in the details/Particulars mentioned by me / us in this form. I/We further
agree that any false/misleading information given by me / us or suppression of any material information will render my
account liable for termination and suitable action. In case non-resident account, I / We also declare that I have complied
and will continue to comply with FEMA regulations.
7. I/We hereby declare that the details furnished under FATCA are true and correct to the best of my/our knowledge and
belief. In case of any change in the given status on a future date, I/We undertake to inform ABML the same within 30
days. I/We agree that as may be required by domestic regulators/tax authorities, ABML may also be required to report,
reportable details to CBDT/regulatory authority and comply with its direction.
8. I / We willingly give my consent to ABML to accept copy of my Aadhaar card as Address proof and proceed with the
application.
Name Signature
Sole First Holder / Guardian (in case of Minor)
12
2ⁿ Holder
3 Holder
8TARIFF DETAILS
SCHEDULE OF TRADING CHARGES
Details of Charges Standard Rate Agreed Rate
Account Opening Charge Rs.750
Brokerage-Equity-Intra Day 0.05%
Brokerage-Equity-Delive 0.50%
Brokerage-Equity Derivatives-Futures 0.05%
Brokerage-Equity Derivatives-Options 2.5% of premium or Rs. 100 per lot
(whichever is higher)
Brokerage-Currency Derivatives-Futures 0.05%
Brokerage-Currency Derivatives-Options 2.5% of premium or Rs. 100 per lot
(whichever is higher)
Minimum Brokerage/per Share* 5 paise per share
*If brokerage levied as a percentage on the value of the shares/contract is less than the agreed brokerage payable
per share/contract, you will be charged minimum rate of brokerage per share instead of the percentage.
A minimum brokerage of Rs.20 per executed order will be charged subject to a maximum of 2.5% of the traded value
Commodity Account Tari ffDetails
Delivery Brokerage 0.5%
Buying and Selling of Derivative Contracts 0.05%
The delivery charges for Bullion/Metals and Agricultural commodities varies as per exchange norms and guidelines
The delivery Brokerage will vary according to the commodity intended for delivery
DP TARIFF STRUCTURE
Description Non BSDA
Lifetime AMC Tariff Normal Scheme 999 AMC Tariff BSDA DP Tariff
-7 Years Validity Tariff - 5 Years Validity (Only for Individuals)
LIFE TIME AMC Rs.1500/- (Only for Nil Rs. 999/- (Only for NIL
Individuals) Individuals)
Annual Maintenance NIL Rs.450/- for NIL For Debt Securities
Charges Individuals and Nil - Holding Valuation
Rs.1000/- less than Rs. 100000/- in
forcorporates Demat a/c
Rs.100/- pa - Holding
Valuation Rs 100001 to 2
lacs in Demat a/c
For Debt Securities
Nil - Holding Valuation
less than Rs. 100000/- in
Demat a/c
Rs.100/- pa - Holding
Valuation Rs 100001 to 2
lacs in Demat a/c
Within ABML POA Within ABML POA Market within ABML Within ABML Rs.75/-, External
Transaction Fee - Rs.20/-,External Broker Rs.30/-, External Broker Rs.25/-, External Broker Broker min Rs.75/- or 0.05%
Market trades min Rs.30/- or 0.03% min Rs.30/- or 0.03% min Rs.30/- or 0.03% whichever is higher.
& Off-Market Trades on value of securities on value of securities on value of securities,
max Rs.1000/- max Rs.1000/ maximum of Rs.1000/-
Pledge Creation
Pledge invocation / Rs.50/- Rs.50/- Rs.50/- Rs.100/-
Closure / Confirmation
9Description Non BSDA
Margin Pledge Rs.15/-per ISIN Rs.15/-per ISIN Rs.15/-per ISIN Rs.15/-per ISIN
Creation/Closure/
Invocation
MTF Margin Pledge Rs.30/-per ISIN Rs.30/-per ISIN Rs.30/-per ISIN Rs.30/-per ISIN
Creation/Closure/
Invocation
Rs.5 .00/- per Rs.5 .00/- per Rs.5.00/- per Rs.25 .00/- per certificate
Demat Charges certificate plus certificate plus certificate plus plus Rs.50/- per request
Rs.50 /- per request Rs.50 /- per request Rs.50/- per request
Demat / Remat /
Rs.40/- Plus Courier
Delivery Instruction Rs.40/- Courier cost Rs.50/- Courier cost Rs.50/- Courier cost
cost
Slip Rejection Charges
A flat fee of Rs.15/- A flat fee of Rs.15/- A flat fee of Rs.15/- A flat fee of Rs.25/- per
per certificate or per certificate or per certificate or certificate or Rs.25/- for
Rs.15/- for every Rs.15/- for every Rs.15/- for every every hundred securities or
hundred securities hundred securities hundred securities or part thereof, whichever is
or part thereof, or part thereof, part thereof, higher subject to a
Remat Charges whichever is whichever is higher maximum fee of 500000
whichever is higher
higher subject to subject to a plus Rs. 40 /- courier plus Rs. 50 /- courier
a maximum fee maximum fee of charge charges
of 500000 plus 500000 plus
Rs.40/- courier Rs. 50 /-courier
charge charge
First Book Free, Rs. 40/ First Book Free, Rs. 50/ First Book Free, Rs. 40/- First Book Free, Rs. 50/-
DIS Book Issue Charges
for additional Book for additional Book for additional Book for additional Book
Actual Depository Actual Depository Actual Depository Actual Depository
CAS Dispatch Charges
Charges Charges Charges Charges
Destat - Conversion of
MF units represented
by SOA into Flat fee of Rs.10/- Flat fee of Rs.10/- Flat fee of 10/- Flat fee of Rs.25/-per
dematerialized form per transaction plus per transaction plus per transaction plus transaction plus Courier
Restat -Conversion of Courier Charges Courier Charges Courier Charges Charges Rs.50/
Demat MF units into Rs.40/ Rs.50/ Rs.40/-
SOA
Minimum Rs. 50/- Minimum Rs. 50/- Minimum Rs. 50/- Minimum Rs. 50/- per
per request or per request or per request or request or 0.015% on
0.015% on 0.015% on 0.015% on transaction value plus Rs.
transaction value transaction value transaction value 50/- whichever is higher
NDU Charges plus Rs. 50/- plus Rs. 50/- plus Rs. 50/- payable by the borrower for
whichever is higher whichever is higher whichever is higher NDU request accepted by
payable by the payable by the payable by the the lender
borrower for NDU borrower for NDU borrower for NDU
request accepted by request accepted by
the lender the lender
Note: Goods and Service Tax, Stamp Duty and other regulatory charges would be charged as per prevailing Govt rules
& regulations from time to time, on above charges.
Terms and Condition
1. The charges are subject to revision from time to time as per applicable guidelines.
2. In case of Lifetime AMC i.e. (1500 AMC 7 year validity) if account is closed before 12 months, then AMC of Rs.500/-
will be levied.
3. In case of (999 AMC 5 year validity) if account is closed before 12 months, then AMC of Rs.350/- will be levied.
4. Interest @ 13% per annum for non-payment of bill & GST and other levies would be levied as applicable.
5. All other delivery/dispatch charges incurred by DP from time to time will be recovered.
Sole/First Holder Second Holder Third Holder
Client Name
SignatureTerms and Conditions :
1. In case the Demat account under BSDA facility does not 8. Client shall at all times maintain a minimum
meet the eligibility as per guideline issued by SEBI or any balance of Rs.1000/- in his account to meet
such authority at any point of time, the BSDA account various dues pertaining to trading/demat accounts.
will be converted to regular Demat account without
further reference and charges will be levied as applicable 9. Account opening charges would not be refunded if
to regular accounts as informed by the ABML. the account is not opened due to non-submission of
required details/documents by client.
2. All other delivery/dispatch charges incurred by DP 10. As Borrower of funds, the Client authorizes the
from time to time will be recovered. Company (ABML) to charge interest at the rate of
24% on the amounts lent by the Company to the
3. Document handling charge of Rs.25 shall be applicable client under Funding Facility. The client hereby agrees
to delivery of all documents in physical mode. However if that the Funding Facility offered is in the nature of
a customer who has opted to receive documents in an interest bearing loan towards fulfilling client's
electronic mode receives documents in physical mode obligations. Interest rate for such lending activity is
(due to bounce of mails or otherwise), document subject to change. Changes would be communicated
handling charge of Rs. 50 shall be applicable. by the Company to clients through e-mail /website
display / sms / ordinary post and such communication
4. In case the total brokerage earned per segment per shall suffice as notice of change in interest.
exchange is not exceeding Rs. 50/- then a sum of
11. An account opening fee of Rs. 750/- Is applicable
Rs. 50/- or such other sum as may be decided by the
unless the same is waived based on the scheme
Stock Broker will be charged per segment per exchange
chosen by the client. The fee is also applicable if
as minimum processing fee.
the Client fails to comply with the terms &
conditions of a specific scheme.
5. Brokerage rates and Depository tariff indicated above are
exclusive of all statutory levies/ taxes and charges levied 12. Standard brokerage as mentioned above would
by Exchanges/Depositories. Statutory levy/tax and/or automatically be applicable in case tariff is not
exchange/depository charges (if any) will be levied agreed upon for any segment/ exchange.
separately .
13. Any deviation in the brokerage/volume commitment
6. Shares transferred on account of inter - settlement / (basis which a lower brokerage is charged) will
inter exchange/dues (custodial) to beneficiary account result in revision of the lower brokerage rate to
would be charged at Rs. 20 per ISIN. standard rate of brokerage (rack rates) as specified in
the tariff sheet above or the maximum statutory
7. Brokerage rates/Taxes/Levies/Tariff/Service brokerage specified by SEBI/Exchanges with
standards are subject to change. retrospective effect.
Stock Broker/Depository Participant shall have the 14. Bank charges like NEFT / RTGS / Cheque return
sole discretion to change applicable Brokerage rate charges shall be borne by the client only.
on securities transactions /Taxes/Levies /Tariff
Changes (if any) would be communicated to clients 15. Additional services (if any) would be charged
through e-mail /ordinary post /website upload /SMS separately.
and such communication shall suffice as notice of
change in Brokerage rates /Interest /Taxes /Levies
/Tariff.VOLUNTARY AUTHORIZATION LETTER
To:
Aditya Birla Money Limited
Sai Sagar, 2ⁿ & 3 Floor,Plot No. M7,Thiru-Vi-Ka (SIDCO),
Industrial Estate, Guindy, Chennai 600 032.
Sub: Voluntary Authorization Letter
Ref: 1. Trading account no:
2. Demat account no:
1. Running Account Authorization
I request you to maintain my trading account on a running account basis & retain the available credit balance
i.e. funds towards my margin/pay-in/other future obligation(s) on all segments(s) of Exchange(s)/Clearing Corporation
unless I instruct you otherwise. I agree that no interest need be paid in respect of funds so retained by you.
I request you to settle my funds once in Month or Quarter or such other higher period allowed by SEBI/Exchange (s)
from time to time.
I authorize you to maintain a minimum credit balance of Rs.10,000/- at any point in my trading account from the amounts
due and payable to me.
I also authorize you to transfer/adjust all the additional funds and securities lying to my credit in my trading account against
my settlement obligations in any of the segments in any of the Exchanges in which I have opted to trade.
I confirm that this running account authorization can be revoked by me at any point of time.
2. Authorization for Sending documents through E-Mail
I hereby authorize you to send any and all documents pertaining to my trading/depository account (including but not limited
to Electronic Contract Notes/Statement of Funds and Securities/Margin Bills etc./Notices/Letters/Trade
C o n f i rm a t i o n s / C i rc u l a r s / A m e n d m e n t s / S t a t e m e n t o f Tr a n s a c t i o n / S t a t e m e n t o f H o l d i n g / Re j e c t i o n
Intimation/Bills/Amendments/Debit - Credit Intimations "etc.) to the below mentioned e-mail id.
E- Mail ID:
I hereby declare that I have read and understood Additional Rights and Obligations pertaining to Delivery of Documents and
agree to the same.
3. Contact Number Declaration
I confirm and declare that the contact number(s) given in the KYC Form or any updation thereto (either in writing or through
internet) belong to me/my relative/my acquaintance and as such authorize you to either call or send any/all information
pertaining to my trading/demat accounts and/or any promotional material related to financial products manufactured/
distributed by you or your group/associate companies (including but not limited to alerts/confirmations/passwords/research
recommendations/intimation of account balances/commercial communication etc.) on the said contact numbers.
I further confirm that I will neither hold you or your service provider liable nor will institute complaint under the Telecom
Commercial Communications Customer Preference (TRAI) Regulations 2010 or such other applications legislations
including amendment thereof.
I further agree and confirm to the applicability of all Regulations/Rights and Obligations/Circulars issued by SEBI/
Exchanges/Depositories and Additional Rights and Obligations pertaining to receipt of communication on contact numbers
in addition to this declaration.
4. Authorization to debit various Depository Charges
I confirm and consent for debiting any and all depository charges (including but not limited to schedule of charges agreed upon by
me/inter-settlement charges/statutory charges/taxes etc.) to my trading account irrespective of the balance in my trading account.
I further confirm that once the charges are debited to my trading account and the same shall be treated like any other trading
debit and as such authorize you to recover the same from available balances in my trading account, including sale of
securities available to my credit in margin/dues/demat account (s).
14 (Sole / First Holder) (Second Holder) (Third Holder)
Date:
(Please sign here, incase if you are accepting all the above clauses.)
12Voluntary Document
Suitability Assessment cum Declaration
Please respond to the below questionnaire to review suitability for trading in Securities market (including derivatives segment)
Questionnaire Yes No
Do you understand that dealing/trading in equities & derivatives markets is subject to performance
of securities/volatility/market risk and forces affecting Securities market/Commodity Market and
1
there is no assurance that your investment objectives will be achieved. Likewise do you understand
that research recommendations are also subject to the above mentioned risks.
Do you understand that trading in derivatives segment is based on leveraging and is subject to high
2 risk due to volatility and price fluctuations? Hence, do you understand that trading in derivative
contracts requires high risk appetite.
Do you know that trading in derivatives contracts typically requires additional capital in the form of
3 Margins/or topping up of Mark to Market (M2M) losses, which in turn, would require sound financial
background and knowledge to withstand any volatility in the market?
Ø You are advised to avoid trading in securities market /commodities market if:
o You have answered 'No' to any of the questions above
o Your age is above 60 years and you are a retired person
o You have no prior experience of dealing in intraday trading/trading in derivative contracts
o You are looking for returns of fixed amount or protection of principal or growth in capital
o You are not a person of trader profile and prefers low risk low return investment strategy
o Investment you are considering in intraday trading/trading derivative contracts is more than 10% of your
total investment surplus/savings corpus
Declaration
I have reviewed the suitability assessment questionnaire given above and based on my risk assessment, financial
background and investment objective, I confirm that trading in equity/derivative contracts is appropriate or suitable for me.
Further by signing this document, I confirm that I have been apprised of the risks involved in investing in securities market
and in particular all types of derivative contracts.
I confirm that there is no assurance on profits or any fixed or guaranteed return while executing transactions in the securities
market / commodities market I confirm that the research recommendations disseminated by ABML through its
employees/associates are incidental to its stock broking services and transactions affected basis the same are in good faith
and are I authorize the same.
I also confirm that I will not hold ABML or its group companies, associates or any of its employees, directors, officers or sub
brokers/authorized persons responsible or liable for any direct or indirect, punitive, special or exemplary damages, for any
profit /loss arising or resulting due to transactions effected in my trading /demat account.
I may, in advance, instruct the dealer for placement of orders in my trading account basis market events/market view/
recommendations and I may not be available for re-confirmation on such order placement. I also understand that all orders
placed in the derivative segment/trade confirmations with account balances are sent to my registered mobile number. I also
understand that contract notes, margin bills, statement of accounts, profit and loss statements, statement of transactions /
holding (if any) are sent to my registered e-mail id and I shall bring any discrepancy therein to your notice within 24 hours
from the date of receipt of the said details / documents, in writing, failing which it shall be legally construed that the
transactions have been effected by me and I shall not challenge the same in any forum / court of law. I further confirm the
levy of interest on the amounts lent by the Stock Broker towards securities transactions / commodities transactions and / or
margin requirements and payable by me in my trading / demat accounts as agreed by me in the tariff sheet and I undertake
not to challenge the levy of such Interest at a later point of time.
13I further agree that I may acknowledge net positions / statement of accounts / statement of transactions / profits and loss
statements by affixing my signature on the said documents and that would amount to confirmation of transactions effected
in my trading account and would not be disputed in any manner at any point of time. I have been informed and I acknowledge
that ABML does not authorize any of its employees to send any details / documents pertaining to my trading / demat accounts
and I shall not depend upon or take into consideration any mail / document shared by any employee of ABML except the mails
/ documents received from the below mentioned email ids:
Documents E Mail ID
Contract Note ereports.stocksandsecurities@adityabirlacapital.org
care.stocksandsecurities@adityabirlacapital.com
Demat transaction statement and holdings dptransaction.stocksandsecurities@adityabirlacapital.org
care.stocksandsecurities@adityabirlacapital.com
Statement of accounts ebills.stocksandsecurities@adityabirlacapital.org
care.stocksandsecurities@adityabirlacapital.com
I understand that surveillance department of ABML on a random basis will seek confirmation as to whether am trading
through my trading account and affirmative confirmations to that effect would be deemed by ABML as confirmation of all
transactions effected in my account and I undertake not to challenge the same in any manner at a later point of time as the
transactions are owned by me upon such confirmation.
I confirm having read and understood all the contents of the suitability assessment cum declaration as given hereinabove
and I agree to the same.
15 (Signature of the client)
14POA No. :
POWER OF ATTORNEY - VOLUNTARY DOCUMENT
This Power of Attorney is made on the date and place mentioned in Schedule 2 and Schedule 3.
mentioned hereunder by individuals/entities mentioned in 3. To pledge / re-pledge / un-pledge / release all or
Schedule 1 hereunder (hereinafter referred to as Holder/s or any securities available in the beneficial owner
Principal/s) in favour of Aditya Birla Money Limited, company account (s) reflected in Schedule 1 or mapped to
incorporated under the provisions of the Companies Act, UCC in Exchange Portals to meet my / our margin
1956 and having its registered office at Indian Rayon obligations / exposure requirements that may arise
Compound, Veraval - 362 266, Gujarat and corporate office or arising out of transactions effected by me / us in
at Sai Sagar, 2nd & 3rd Floor, Plot No. M7, Thiru-Vi-Ka all the segments of all the Exchanges including
(SIDCO), Industrial Estate, Guindy, Chennai 600 032. Nadu transactions effected by me under Margin Trading
(hereinafter referred to as ABML which expression shall Facility, to the Client Securities Margin Pledge
unless repugnant to the context thereof mean and include is Accounts of Stock Broker / Clearing Member /
successors and assigns) acting through its Directors and /or Professional Clearing Member / Clearing
such other persons as may be authorised by ABML in this Corporation etc. mentioned in Schedule 3.
regard from time to time.
4. To apply, sign and execute the necessary documents,
Whereas ABML is a SEBI registered Stock Broker/ Depository forms, agreements, undertakings, confirmations,
Participant and is providing broking/depository/investment declarations etc. or any other documents and provide
/financial services (both internet and non-internet based) to information relating to various investment products
its clients/customers through its branch/franchisee/ website including but not limited to Mutual Funds, Public
(currently www.stocksandsecurities.adityabirlacapital.com) or Issues (shares as well as debentures), rights offer of
through any other website/mobile application etc. The shares, tendering shares in open offers, redemptions
details of the pool/margin accounts currently maintained by etc. and to debit my/our accounts all related
ABML is provided in Schedule 2 and 3. charges.
Whereas, the Holder/s or Principal/s, are desirous of 5. To send consolidated summary of my/our scripwise
availing various broking/depository/investment/financial buy and sell positions taken with average rates,
services (both internet based and not internet based) trading account and demat account related
services being offered by ABML through its information through SMS or by e-mail to the
branch/franchisee network/website (currently registered mobile/e-mail id.
www.stocksandsecurities.adityabirlacapital.com) or through
any other website/mobile application etc. and for the 6. To return securities that may have been received
purpose of facilitating the transactions/services in by erroneously or those securities that it
broking/depository /investment/financial markets in a were not entitled to receive from me/us upon
seamless manner, the Holder/s or Principal/s appoint written communication and production of
ABML as his/her/their lawful attorney to do, execute, and adequate proof on the erroneous transfer of
perform severally the following acts, deeds, things etc. securities.
1. To transfer securities (as defined in Section 2h of the 7. To do all such acts, deeds and things as may be
Securities and Contracts Regulation Act, 1956 and necessary to fulfill all the afore mentioned
amendments thereto) held in beneficial owner purposes on behalf of the Holder/s or Principal/s.
account(s) reflected in Schedule 1 herein towards
my/our margin/exposure/delivery settlement This Power of Attorney executed shall be revocable at any
obligations including settlement obligations arising time basis the communication in writing received from
out of transactions executed for and on my/our me/us. However such revocation shall not be applicable
behalf to the pool/margin accounts mentioned in for any outstanding margin/exposure/delivery/settlement
Schedule 2 and Schedule 3. obligation arising out of trades carried out prior to
2. To block/hold/release all or any securities or to mark receiving request for revocation of power of attorney.
lien on securities available in beneficial owner
account (s) reflected in Schedule 1 herein to meet This power of attorney is subject to the rules, regulations
my/our margin/exposure/delivery/settlement and bye-laws of Exchanges and is subject to the exclusive
obligations arising out of transactions executed for jurisdiction of courts at Chennai.
and on my/our behalf to the pool/margin accountsThe details provided in Schedule 1 may be altered/modified by Principal/s and the details provided in Schedule 2 and 3
may be altered by ABML, by giving notice of 7 working days to the Principal/s.
Holder/s or Principal/s do hereby agree that all acts, deeds and things committed by Attorney under this Power
of Attorney shall be construed as acts, deeds and things committed by him/them and the Holder/s or Principal/s
ratify and confirm that all such acts deeds, things and whatsoever the attorney shall on behalf of him/them by virtue
I/We have Executed this power of attorney on the date, month & year mentioned in Schedule 2.
1 Holder Holder
4
Schedule 1 (Details of Holders/Principals)
Name of Holder(s)/Principals)
Address of Holder(s)/Principal(s)
Trading Account No.
Depository Participant Name
Aditya Birla Money Limited
DP ID
12037600
Demat Account No.
Schedule 2 Schedule 3
S.No. Designated Broker Pool S.No. Designated Broker Margin
1 NSE - IN301696 10000022 Pledge Accounts
2 BSE – IN301696 10016929 1 12037600 01196616
3 NSE -12037600 01197337 2 12037600 01196523
4 BSE- 12037600 01197662 3 IN301696 12438302
4 IN301696 12438319
S.No. Clearing Member Margin Pledge
Account
Place : _______________________ 1 IN300484 30311297
2 13027500 04672690
3 IN300484 30311301
4 13027500 04672707
S.No Clearing Corporation
Margin Pledge Account
1 IN001002 10009132
2 11000011 00020926
3 IN001184 10000012
4 IN001176 10000029CONSENT FORM FOR RECEIVING TRADE ALERTS THROUGH SMS AND / OR E-MAIL
Date :
To,
Aditya Birla Money Limited
MCX Member ID : 28730
NCDEX Member ID: 00158
Sai Sagar, 2nd & 3rd Floor, Plot No. M7, Thiru-Vi-Ka
(SIDCO), Industrial Estate, Guindy, Chennai 600 032.
Dear Sir,
Exchanges : MCX NCDEX
I/we, , a Client with Aditya Birla Money Limited, undertake
as follows:
1. I/We are aware that Multi Commodity Exchange (MCX) and National Commodity & Derivatives Exchange Ltd
(NCDEX) provides the details of the trades executed on its trading platform to the concerned clients/constituents
through SMS and E-mail alerts.
2. I/We are aware that the Member has to provide the trade details through SMS/E-mail alerts for my convenience at
my request only.
3. I/We here by confirm that I/ we wish to receive the trade alerts through:
a. SMS :
b. E-mail :
c. SMS and E-mail
4. I do not want to receive any transaction alerts, specify reason
5. The alerts should be sent on
a. Mobile Number:
b. Email Address:
I/We hereby agree to the terms and conditions specified by MCX vide circulars No. MCX/T&S/165/2012 dated April 26,
2012 and NCDEX vide circular NCDEX/COMPLIANCE-007/2012/093 and circulars/clarifications issued by the Exchange
from time to time in this regard. We/I are/am aware that the receipt of SMS/Email alerts on the above mobile number
and/or email address can be stopped only on our/my written request. We are also aware that this is an additional facility
provided by the Exchange and we shall not solely rely or use such data for any purpose and, Exchange shall not be liable
for any direct or indirect loss of any nature because of providing this additional facility. .
Client Name: Client Signature:
17DECLARATION FOR UPDATING MOBILE NUMBER AND EMAIL ADDRESS FOR TRADING AND DEMAT ACCOUNT
(Only under exceptional circumstances)
To,
Aditya Birla Money Limited
Sai Sagar, 2ⁿ & 3 Floor,Plot No. M7,Thiru-Vi-Ka (SIDCO),
Industrial Estate, Guindy, Chennai 600 032.
I hereby confirm that the mobile number / email id provided by me as per KYC belongs to
Mobile Self / Spouse / Dependent Children / Dependent Parents
Email Self / Spouse / Dependent Children / Dependent Parents
I hereby confirm that the mobile number/email id provided by me has also been updated to my other family member
accounts as given below. I request you to kindly update the same mobile number and/or E-mail ID to my trading and/or
demat account also.
Client Code Demat ID of Family* Mobile Number Email ID Relationship
of the Family the Family Members Name with the
Member Member Client
“Family” for the purpose would mean self, spouse, dependent children and dependent parents
I hereby declare that the changes are true and correct to the best my knowledge and belief. I further undertake to keep
you informed about the changes in the mobile number/email id non-receipt of such updation may be construed that the
above iven mobile number/email id is valid and subsisting.
In case any of the above information is found to be false or untrue or misleading of misrepresenting, I am aware that
I may be held liable for it.
Client Name : Client Signature:
18Declaration for Transfer of G-Securities"
To, Date:
Aditya Birla Money Limited
Sai Sagar, 2ⁿ & 3 Floor,
Plot No. M7,Thiru-Vi-Ka (SIDCO),
Industrial Estate, Guindy,
Chennai 600 032.
Kind Attn: Compliance Officer – DP
Dear Sir,
I/we, undersigned, having demat account with you as per the details mentioned below, hereby
declare that I/we will submit for execution only those transfer instructions which are bonafide
and arising out of genuine trade or transfer transaction.
Demat Account Number 12037600
DP Name Aditya Birla Money Limited
Name of Sole/First Account Holder
Name of Second Account Holder
Name of Third Account Holder
Yours faithfully,
Signature of Sole/First Holder / Signature of Second Holder / Signature of Third Holder /
Authorized Signatory Authorized Signatory Authorized Signatory
19MCX - Categorization of Participants in Commodities Derivatives
Client Code:
Client Name: Date:
I/ We hereby confirm the following categories:
Various categories of market participants (Tick the appropriate Box)
(ii) Value (iv) Domestic
Chain (iii) Financial
(i) Participants Proprieta Institutional (v) Foreign
Commodity Farmers/FPOs (VCPs) traders Investors Participants (vi) Others
CARDAMOM □ □ □ □ □ □
CASTORSEED □ □ □ □ □ □
COTTON □ □ □ □ □ □
CPO □ □ □ □ □ □
MENTHAOIL □ □ □ □ □ □
PEPPER □ □ □ □ □ □
RBDPALMOLEIN □ □ □ □ □ □
GOLD □ □ □ □ □ □
SILVER □ □ □ □ □ □
ALUMINIUM □ □ □ □ □ □
BRASS □ □ □ □ □ □
COPPER □ □ □ □ □ □
LEAD □ □ □ □ □ □
NICKEL □ □ □ □ □ □
ZINC □ □ □ □ □ □
Client Signature
Note: In case you are not actively involved in producing/distribution in any particular commodity, you can choose the ‘Others’
option from the drop - down. Please note that you have to individually select t he catego of each commodity.
20NCDEX - Categorization of Participants in Commodities Derivatives
Client Code:
Client Name: Date:
I/ We hereby confirm the following categories:
Various categories of market participants(Tick the appropriate Box)
(ii) Value (iv) Domestic
Chain (iii) Financial
(i) Participants Proprieta Institutional (v) Foreign
Commodity Farmers/FPOs (VCPs) traders Investors Participants (vi) Others
BARLEY
□ □ □ □ □ □
CASTOR SEED
□ □ □ □ □ □
CHANA
□ □ □ □ □ □
COIRANDER
□ □ □ □ □ □
COTTON SEED
OIL CAKE □ □ □ □ □ □
GUAR GUM □ □ □ □ □ □
GUAR SEED
□ □ □ □ □ □
JEERA □ □ □ □ □ □
KAPAS □ □ □ □ □ □
MAIZE RABI
□ □ □ □ □ □
MOONG
□ □ □ □ □ □
MUSTARDSEED
□ □ □ □ □ □
REF SOYA OIL
□ □ □ □ □ □
SOY BEAN
□ □ □ □ □ □
TURMERIC
□ □ □ □ □ □
WHEAT
□ □ □ □ □ □
Client Signature
Note: In case you are not actively involved in producing/distribution in any particular commodity, you can choose the ‘Others’
option from the drop - down. Please note that you have to individually select the catego of each commodity
21Aditya Birla Money Limited
Registered Office Corporate Office
Indian Rayon Compound, Veraval, Gujarat - 362 266. Sai Sagar, 2ⁿ & 3 Floor, Plot No. M7, Thiru-Vi-Ka
(SIDCO), Industrial Estate,Guindy, Chennai 600 032.
National Stock Exchange of India Limited
Bombay Stock Exchange Limited
SEBI Reg No. INZ000172636
Multi Commodity Exchange of India Limited
National Commodity and Derivatives Exchange Limited
Central Depository Services (India) Limited
SEBI Reg. No. IN-DP-17-2015
National Securities Depository Limited
CLEARING MEMBER CLEARING MEMBER
Equity Segment of NSE & BSE (Equity Derivatives Segment of NSE & BSE
and Commodity Segment of MCX & NCDEX) Currency Derivatives Segment of NSE & BSE)
Aditya Birla Money Ltd. Axis Bank Ltd.
Sai Sagar, 2ⁿ & 3 Floor, Plot No. M7, Thiru-Vi-Ka CM No.: INF 231133937
(SIDCO), Industrial Estate,Guindy, Chennai 600 032. Jeevan Prakash Building,
Sri P M Road, Fort, Mumbai - 400 001.
Director Compliance Officer
Mr. TUSHAR SHAH Ms. SANGEETA SHETTY
Telephone No.: +91 - 44 - 49490001 Telephone No.: +91 - 022 - 4356 7841
E-mail ID: ceo.stocksandsecurities@adityabirlacapital.com E-mail ID: abm-chn.compliance@
adityabirlacapital.com
Please contact us at the above address or mail us at care.stocksandsecurities@adityabirlacapital.com for trading related
queries / dpcare.stocksandsecurities@adityabirlacapital.com for depository related queries or call our customer care
department @ Telephone No.(s): +91 - 1800 270 7000. If not satisfied with our response, you may contact the concerned
exchange(s) / Depositories(s) at:
Contact details in case of Grievance / Dispute:
Name Telephone Number E-mail ID
National Stock Exchange of India Limited +91-22-2659 8190 ignse@nse.co.in
Bombay Stock Exchange Limited +91-22-2272 1233 / 4 is@bseindia.com
Central Depository Services (India) Limited +91-22-2272 3333 complaints@cdslindia.com
National Securities Depository Limited +91-22-2499 4200 relations@nsdl.co.in
Multi Commodity Exchange of India Limited +91-22-6731 8888 grievance@mcxindia.com
National Commodity and Derivatives
+91-22-6640 6609 askus@ncdex.com
Exchange LimitedAditya Birla Money Limited Corporate Office: Sai Sagar, 2ⁿ & 3 Floor, Plot No. M7, Thiru-Vi-Ka (SIDCO), Industrial Estate, Guindy, Chennai 600 032. Registered office: Indian Rayon Compound, Veraval, Gujarat - 362 266 | E-mail: care.stocksandsecurities@adityabirlacapital.com CIN L65993GJ1995PLC064810 | Tel: +91-44-49490000 Website: stocksandsecurities.adityabirlacapital.com | Fax: +91-44-28290835. Contact No : 1800-270-7000
You can also read
