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DepositoryAccount Opening FormThis booklet captures additional details, mandatory disclosures and declaration for opening Depository Accounts

Index of Documents

Demat Account Opening FormDocument captures the KYC & other additional details of the account holder

Individual

Non-Individual

Tariff SheetDocument detailing the charges levied on the client for Demat account

Declaration for Non-Issuance of DISDeclaration for Non-Issuance of DIS from clients opting for Portfolio Management Services

Rights and ObligationsDocument stating the Rights & Obligations of the Beneficial Owner & Depository Participant as prescribed by SEBI & Depositories

Document ChecklistThis section provides the document checklist for filling up Depository Account Opening form

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D E M AT A C C O U N T O P E N I N G F O R M

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Registered Office: Unit 1501, Tower 2B, One Indiabulls Centre, 841, Jupiter Mills, Off Senapati Bapat Marg, Lower Parel, Mumbai – 400013

CIN: U74140MH2015PTC264932

Name of the

Depository

Participant

Depository

Depository

Participant ID

Registered /

Correspondence

Office Address

Compliance

Officer Name

Phone Number

Email ID

CEO Name

Phone Number

Email ID

For any grievance/dispute please contact Sanctum Wealth Management Private Limited at the above address or email address [email protected] and phone number 022-61064800. Clients are requested to go through the PMLA guidelines available on www.sanctumwealth.com

Sanctum Wealth Management Private Limited

National Securities Depository Limited (NSDL)

Unit 1501 Tower 2B, One Indiabulls Centre, 841 Jupiter Mills, Off Senapati Bapat Marg, Lower Parel, Mumbai 400013.

Ms. Shraddha Shah

+91 22 61064800

[email protected]

Mr. Shivaashish Gupta

+91 22 61064800

[email protected]

IN303956

D E M AT A C C O U N T O P E N I N G F O R M

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CIN: U74140MH2015PTC264932

Participant Name

Address

Client ID(To be filled by Participant)

UCC(If already available)

I/We request you to open a depository account in my/our name as per the following details: (Please fill all the details in CAPITAL LETTERS only)

All the client details like address, mobile number & email address will be taken as stated/available in the CentralKYC / CVL KRA registry. In case any details need to be modified, a KYC modification form with the relevantdocuments must be submitted along with the Depository Account Opening Form.

Part I

Details of Account Holder(s)

Sole/First Applicant

PAN Number

GST Number(Optional)

Occupation (Please tick any one)


CIN: U74140MH2015PTC264932

D E M AT A C C O U N T O P E N I N G F O R M( F O R I N D I V I D U A L S O N LY )

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Unit 1501, Tower 2B, One Indiabulls Centre, 841, Jupiter Mills, Off Senapati Bapat Marg, Lower Parel, Mumbai 400013.

D D M M Y Y Y YDate

DP ID

A


IN303956

Professional Agriculturist

Government Service Business

Retired Housewife

Others (Please Specify)

Private Sector Public Sector

UID Number

PREFIX FIRST NAME MIDDLE NAME LAST NAME

Date of Birth (In case Sole/1st Holder is a minor)

Second Applicant

PAN Number


Third Applicant

PAN Number


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CIN: U74140MH2015PTC264932

Professional Agriculturist

Government Service Business

Retired Housewife


Private Sector Public Sector


UID Number

D D M M Y Y Y Y

I hereby declare that the mobile numbers and email IDs as stated and available in the CKYC/CVL KRA database belong to:

#Spouse, dependent child & dependent parent

Me My family#

Me My family#

Mobile Number

Email ID


UID Number

Government Service BusinessPrivate Sector Public Sector



Me My family#

Me My family#

Mobile Number

Email ID

For Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the accountis opened in the name of the natural persons, the name & PAN of the Association of Persons(AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned below:

Name

PAN Number

GST Number

Type of account

Gross Annual Income Details

Income Range per annum

In case of NRIs/ Foreign Nationals

RBI Approval Ref. No.

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CIN: U74140MH2015PTC264932

`25,00,000 to `1 Crore

`5,00,000 to `10,00,000 `10,00,000 to `25,00,000Below `1,00,000 `1,00,000 to `5,00,000

D D M M Y Y Y YRBI Approval Date

Investor Margin


Foreign National Foreign National Promoter

NRI-Non Repatriable Qualified ForeignOrdinary Resident NRI-Repatriable

Professional Agriculturist Retired Housewife




Me My family#

Me My family#

Mobile Number

Email ID

Bank details

Bank account type

Bank Account Number

MICR Code

Bank Name

Branch Address

Whether Politically Exposed(Please tick if applicable)

Standing Instructions

I/We authorise you to receive all credits automatically into my/our account without any further instructions

from me/us (If not marked, default will be ‘Yes’)

I/We authorize you to accept all the pledge instructions into my/our account without any further instructions

from me/us (If not marked, default will be ‘No’)

I/We authorize you to share my/our email address(es) with Registrars & Transfer Agents for electronic

communications of company annual report and other notifications (If not marked, default would be ‘Yes’)

I/We request you to send Electronic Transaction-cum-Holding Statement, Statement of Accounts, Bills

and Invoices to my/our registered email address(es) (If not marked, default would be ‘Yes’)

`

Account to be operated through Power of Attorney (PoA) (If yes, POA duly attested by Notary or Gazetted officer along

with Proof of Identify & Proof of Address of the POA holder to be submitted)

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CIN: U74140MH2015PTC264932

Yes No

Yes No

Yes No

Yes No

Yes No

Politically Exposed Person (PEP)

Related to a Politically Exposed Person (RPEP)

Not Applicable

Current Account Others (Please Specify)Savings Account

IFSC Code4

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CIN: U74140MH2015PTC264932

SMS Alert facility[Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form]

Mode of receiving mandatory documents

Rights & Obligations of Beneficiary Owner and Depository Participant and Copy of Account Opening Kit

Statement of Account and Company Balance Sheets

Note:

All communication shall be sent at the address/email address of the Sole/First holder only.

The email ID would be as available in the KYC records.

For receiving Statement of Account and other communication in electronic form:

Client must ensure the confidentiality of the password of the email account.Client must promptly inform the Participant if the email address has changed.Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

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 theminor (to be signed by guardian)]

Guardian’s Name

PAN Number

Relationship of

Guardian with minor

Sr. No. Yes

1.

2.

3.

Sole/First Holder

Second Holder

Third Holder

NoHolder

Physical Form Electronic Form


Nomination Details

(Details are provided in the nomination form)

Client Declaration

The rules and regulations of the Depository and Depository Participants pertaining to an account which are in forcenow have been read by me/us and I/we have understood the same and I/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/we hereby declare that the details furnished aboveare true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changestherein, 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. In case non-resident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

Note :

In case of additional signatures, separate annexures should be attached to the application form.

Thumb impressions and signatures other than English, Hindi or any of the other language contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.

For receiving Statement of Account in electronic form:

Client must ensure the confidentiality of the password of the email account. Client must promptly inform the Participant if the email address has changed. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

Strike off whichever field is not applicable.

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CIN: U74140MH2015PTC264932

I/We do not wish to make a nomination

I/We wish to make a nomination

3rd Applicant

Sole/1st Applicant 2nd Applicant

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Details of 2nd Nominee

Details of 1st Nominee

Name of the nominee(s) (Mr./Ms.)

Share of each Nominee

Relationship with the Applicant (If any)

Mobile/Telephone Number

Email Address of nominee(s)

Address of Nominee(s)(Tick if the address is same as the applicant)

Pin Code

% % %

Details of 3rd Nominee

1

Date

DP ID

I/We wish to make a nomination. (As per details given below)

I/We wish to cancel the nomination made by me/ us earlier and consequently all rights and liabilities in respectof beneficiary ownership in the securities held by me / us in the said account shall vest in me/ us. (Strike off the nomination details below)

Nomination Details

I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all securities held in the Depository by me / us in the said beneficiary owner account in the event of my / our death.

Nomination can be made upto three nominees in the account :


CIN: U74140MH2015PTC264932

F O R M 1 0 - F O R M F O R N O M I N AT I O N / C A N C E L L AT I O N O F N O M I N AT I O N

Client ID

D D M M Y Y Y Y

Equally

(If not equally,please specifypercentage) Any odd lot after division shall be transferred to the first nominee mentioned in the form.

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3

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CIN: U74140MH2015PTC264932

Details of 2nd Nominee

Details of 1st Nominee

Document Type

Detail

Document Type

Detail

Document Type

Detail

Document Type

Detail

Document Type

Detail

Document Type

Detail

Nominee Identification details(Please specify any one of following and provide details of same)

Photograph & Signature, Aadhaar, Saving Bank account, Proof of Identity, Demat Account ID

Name of Guardian

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

Date of Birth

Details of 3rd Nominee

7

Address of Guardian(s)

Pin Code

Mobile/Telephone Number of Guardian

Email Address of Guardian

Guardian Identification details (Please specify any one of following and provide details of same)

Photograph & Signature, Aadhaar, Saving Bank account, Proof of Identity, Demat Account ID

Relationship of Guardian with Nominee

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9

10

11

12

13

14

Note :

The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly or jointly. Non- individuals including society, trust, body corporate and partnership firm, karta of Hindu UndividedFamily, holder of power of attorney cannot nominate. If the account is held jointly, all joint holders will sign thenomination form.

A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.

The Nominee(s) shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force,from time to time.

Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owneraccount. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.

Transfer of securities in favour of a Nominee(s) shall be valid discharge by the Depository and the Participant againstthe legal heir.

The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their ownbehalf singly or jointly by the same persons who made the original nomination. Non- individuals including society,trust, body corporate and partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannotcancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.

On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under anyobligation to transfer the securities in favour of the Nominee(s).

3rd Applicant

Sole/1st Applicant 2nd Applicant

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CIN: U74140MH2015PTC264932

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CIN: U74140MH2015PTC264932

Nomination can be made upto three nominees in a demat account. In case of multiple nominees, the Client mustspecify the percentage of share for each nominee that shall total upto hundred percent. In the event of thebeneficiary owner not indicating any percentage of allocation/share for each of the nominees, the default option shall be to settle the claims equally amongst all the nominees.

On request of Substitution of existing nominees by the beneficial owner, the earlier nomination shall stand rescinded.Hence, details of nominees as mentioned in the nomination form at the time of substitution will be considered.Therefore, please mention the complete details of all the nominees.

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CIN: U74140MH2015PTC264932

Participant Name

Address

Client ID(To be filled by Participant)

UCC(If already available)

I/We request you to open a depository account in my/our name as per the following details: (Please fill all the details in CAPITAL LETTERS only)

All the client details like address, mobile number & email address will be taken as stated/available in the CentralKYC / CVL KRA registry. In case any details need to be modified, a KYC modification form with the relevantdocuments must be submitted along with the Depository Account Opening Form.

Part I

Details of Account holder(s)

Name of the Client

PAN Number

Type Of Account

Gross Annual Income Details

Income Range per annum

D E M AT A C C O U N T O P E N I N G F O R M( F O R N O N - I N D I V I D U A L S O N LY )

A

B

C

Unit 1501, Tower 2B, One Indiabulls Centre, 841, Jupiter Mills, Off Senapati Bapat Marg, Lower Parel, Mumbai 400013.

D D M M Y Y Y YDate

DP IDSanctum Wealth Management Private Limited

IN303956

Qualified Foreign

Others (Please Specify)HUF

Registered Trust Investor Bank CM

FII Mutual FundBody Corporate FI

GST Number

`50 Lac - 1 Crore Above 1 croreBelow `20 Lac `20 - 50 Lac

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CIN: U74140MH2015PTC264932

Net Worth in (` Lakhs)

(Net worth should not be older than 1 year)

In case of FPIs/Others (As may be applicable)

RBI Approval Ref. No.

SEBI Registration No.(for FPIs)

Bank Details

Bank Account Type

Bank Account Number

MICR Code

Bank Name

Branch Address

Whether Politically Exposed(Please tick if applicable)

Clearing Member Details

(To be filled up by Clearing Members only)

Name of Stock Exchange

Name of Clearing Corporation / Clearing House

Clearing Member ID

SEBI Registration No.

D

E

1

2

3

5

6

F

G

1

2

3

4

D D M M Y Y Y YIncome Range / Net Worth Date

D D M M Y Y Y YRBI Approval Date

Current Account Others (Please Specify)Savings Account

IFSC Code4

Politically Exposed Person (PEP)

Related to a Politically Exposed Person (RPEP)

Not Applicable

Trade Name

CM-BP-ID (To be filled up by Depository Participant)

Standing Instructions

I/We authorise you to receive all credits automatically into my/our account without any further instructions

from me/us (If not marked, default will be ‘Yes’)

I/We authorize you to accept all the pledge instructions into my/our account without any further instructions

from me/us (If not marked, default will be ‘No’)

I/We authorize you to share my/our email address(es) with Registrars & Transfer Agents for electronic

communications of company annual report and other notifications (If not marked, default would be ‘Yes’)

I/We request you to send Electronic Transaction-cum-Holding Statement, Statement of Accounts, Bills

and Invoices to my/our registered email address(es) (If not marked, default would be ‘Yes’)

Account to be operated through Power of Attorney (PoA) (If yes, POA duly attested by Notary or Gazetted officer along

with Proof of Identify & Proof of Address of the POA holder to be submitted)

SMS Alert facility[Mandatory if you are giving Power of Attorney (PoA). Ensure that the mobile number is provided in the KYC Application Form]

Mode of receiving mandatory documents

Note:

The email ID would be as available in the KYC records.

For receiving Statement of Account and other communication in electronic form:


CIN: U74140MH2015PTC264932 1 5


CIN: U74140MH2015PTC264932

5

6

H

1

2

3

4

5

6

7

1

2

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No


Client must ensure the confidentiality of the password of the email account.Client must promptly inform the Participant if the email address has changed.Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

Mode of Operation : As per resolution submitted by the client

Client Declaration

The rules and regulations of the Depository and Depository Participants pertaining to an account which are in forcenow have been read by us and we have understood the same and we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. We hereby declare that the details furnished aboveare true and correct to the best of our knowledge and belief and 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, we are aware that we may be held liable for it. I/we acknowledge the receipt of copy of the document, “Rights and Obligations of the Beneficial Owner and Depository Participant”.

Authorised Signatories (Enclose a Board Resolution for Authorised Signatories)

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CIN: U74140MH2015PTC264932

I


CIN: U74140MH2015PTC264932 1 7

Note:

In case of additional signatures, separate annexures should be attached to the application form.

Thumb impressions and signatures other than English, Hindi or any of the other language contained in the 8th Schedule of the Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.

For receiving Statement of Account in electronic form:

Client must ensure the confidentiality of the password of the email account. Client must promptly inform the Participant if the email address has changed. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, Participant may also terminate this facility by giving 10 days prior notice.

Strike off whichever field is not applicable.

1

2

3

4

Client Declaration

I/We understand and agree:

Fees and charges are subject to change at the sole discretion of the Sanctum Wealth Management Private Limitedafter giving 30 days notice.

All fee and charges will be exclusive of GST, Cess and other levies as applicable.

All charges will be billed quarterly and will be payable by clients within 5 (five) working days.

Sanctum Wealth Management Private Limited is authorized to recover these charges from my/our bank account as mentioned in the NACH Mandate submitted by me/us.


CIN: U74140MH2015PTC264932

R AT E S T R U C T U R E F O R D E P O S I T O R Y S E R V I C E S

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1

2

3

4

Sr. No. Service Charges

1 Dematerialisation ( for every 50 certificates) NIL

2 Rematerialization NIL

3 Equities- Transfer Fees – market & off market NIL

5 Account maintenance charges ( per annum pro rata) `1500/- p.a payable quarterly

4 Pledge Creation / Closure / Invocation NIL

3rd Applicant/Authorised Signatory

Sole/1st Applicant/Authorised Signatory 2nd Applicant/Authorised Signatory

To,


1501 Tower 2B, One Indiabulls Centre

841 Jupiter Mills Compound, Off Senapati Bapat Marg

Lower Parel, Mumbai 400013

Beneficiary Account Number

Dear Sir,

I / We hereby confirm that I / we do not require Delivery Instruction Slip (DIS) booklets for my / our beneficiaryaccount mentioned above for the time being:

I / We have granted a Power of Attorney in favour of Sanctum Wealth Management Private Limited (ClearingMember) for giving instructions to the Depository Participant on my / our behalf for settling stock exchange tradesdone by me / us through the said Clearing Member.

I / We have executed a Portfolio Management Services Agreement with Sanctum Wealth Management PrivateLimited (Portfolio Manager) for giving instructions to the Custodian / Depository Participant on my / our behalf for settling stock exchange trades done on my / our behalf by the said Portfolio Manager.

The Delivery Instruction Slip (DIS) booklet shall be issued to me / us immediately upon my / our request at any laterdate.

Yours sincerely,

1 9


CIN: U74140MH2015PTC264932

D E C L A R AT I O N F O R N O N - I S S U A N C EO F D E L I V E R Y I N S T R U C T I O N S L I P S

(Applicable for PMS accounts only)

1

2

3rd Applicant/Authorised Signatory

Sole/1st Applicant/Authorised Signatory 2nd Applicant/Authorised Signatory

Rights And Obligations Of Beneficial Owner And Depository Participant As Prescribed By SEBI And Depositories

General Clause

The Beneficial Owner and the Depository participant (DP) shall be bound by the provisions of the Depositories Act,1996, SEBI (Depositories and Participants) Regulations, 1996, Rules and Regulations of Securities and ExchangeBoard of India ( S E B I ), Circulars/Notifications/ Guidelines issued there under, Bye Laws and Business Rules /Operating Instructions issued by the Depositories and relevant notifications of Government Authorities as may be in force from time to time.

The DP shall open/activate demat account of a Beneficial owner in the depository system only after receipt of complete Account opening form, KYC and supporting documents as specified by SEBI from time to time.

Beneficial Owner information

The DP shall maintain all the details of the Beneficial owner(s) as mentioned in the account opening form, supportingdocuments submitted by them and/or any other information pertaining to the Beneficial owner confidentially andshall not disclose the same to any person except as required by any statutory, legal or regulatory authority in thisregard.

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

Fees/Charges/Tariff

The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of securities in dematerialized form and for availing depository services as may be agreed to from time to time between the DP and the Beneficial Owner as set out in the Tariff Sheet provided by the DP. It may be informed to the Beneficial Owner that “no charges are payable for opening of demat accounts”

In case of Basic Services Demat Accounts, the DP shall adhere to the charge structure as laid down under the relevant SEBI and/or Depository circulars/directions/notifications issued from time to time.

The DP shall not increase any charges/tariff agreed upon unless it has given a notice in writing of not less than thirtydays to the Beneficial Owner regarding the same.

Dematerialization

The Beneficial Owner shall have the right to get the securities, which have been admitted on the Depositories,dematerialized in the form and manner laid down under the Bye Laws, Business Rules and Operating Instructions of the depositories.

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CIN: U74140MH2015PTC264932 2 0


CIN: U74140MH2015PTC264932 2 1

Separate Accounts

The DP shall open separate accounts in the name of each of the Beneficial owners and securities of each Beneficialowner shall be segregated and shall not be mixed up with the securities of other Beneficial owners and/or DP’s ownsecurities held in dematerialized form.

The DP shall not facilitate the Beneficial Owner to create or permit any pledge and / or hypothecation or any otherinterest or encumbrance over all or any of such securities submitted for dematerialization and/or held in demataccount except in the form and manner prescribed in the Depositories Act, 1996, SEBI (Depositories andParticipants) Regulations, 1996 and Bye - Laws/Operating Instructions/ Business Rules of the Depositories.

Transfer of Securities

The DP shall effect transfer to and from the demat accounts of the Beneficial Owner only on the basis of an order,instruction, direction or mandate duly authorised by the Beneficial Owner and the DP shall maintain the originaldocuments and the audit trail of such authorizations.

The Beneficial Owner reserves the right to give standing instructions with regard to the crediting of securities in his demat account and the DP shall act according to such instructions.

Statement of Account

The DP shall provide statements of accounts to the Beneficial owner in such form and manner and at such time as agreed with the Beneficial Owner and as specified by SEBI/depository in this regard.

However, if there is no transaction in the demat account, or if the balance has become Nil during the year, the DPshall send one physical statement of holding annually to such BOs and shall resume sending the transactionstatement as and when there is a transaction in the account.

The DP may provide the services of issuing the statement of demat accounts in an electronic mode if the BeneficialOwner so desires. The DP will furnish to the Beneficial Owner the statement of demat accounts under its digitalsignature, as governed under the Information Technology Act, 2000. However if the DP does not have the facility of providing the statement of demat account in the electronic mode, then the Participant shall be obliged to forwardthe statement of demat accounts in physical form.

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

Manner of Closure of Demat account

The DP shall have the right to close the demat account of the Beneficial Owner, for any reasons whatsoever, providedthe DP has given a notice in writing of not less than thirty days to the Beneficial Owner as well as to the Depository.

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CIN: U74140MH2015PTC264932 2 2

Similarly, the Beneficial Owner shall have the right to close his/her demat account held with the DP provided no charges are payable by him/ her to the DP. In such an event, the Beneficial Owner shall specify whether the balances in their demat account should be transferred to another demat account of the Beneficial Owner held with another DP or to rematerialize the security balances held.

Based on the instructions of the Beneficial Owner, the DP shall initiate the procedure for transferring such securitybalances or rematerialize such security balances within a period of thirty days as per procedure specified from time to time by the depository. Provided further, closure of demat account shall not affect the rights, liabilities andobligations of either the Beneficial Owner or the DP and shall continue to bind the parties to their satisfactorycompletion.

Default in Payment of Charges

In event of Beneficial Owner committing a default in the payment of any amount provided in Clause 5 & 6 within a period of thirty days from the date of demand, without prejudice to the right of the DP to close the demat accountof the Beneficial Owner, the DP may charge interest at a rate as specified by the Depository from time to time for the period of such default.

In case the Beneficial Owner has failed to make the payment of any of the amounts as provided in Clause 5&6specified above, the DP after giving two days notice to the Beneficial Owner shall have the right to stop processingof instructions of the Beneficial Owner till such time he makes the payment along with interest, if any.

Liability of the Depository

As per Section 16 of Depositories Act, 1996;

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

Where the loss due to the negligence of the participant under Clause (1) above, is indemnified by the depository,the depository shall have the right to recover the same from such participant.

Freezing/Defreezing of Accounts

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

The DP or the Depository shall have the right to freeze/defreeze the accounts of the Beneficial Owners on receipt of instructions received from any regulator or court or any statutory authority.

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b

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CIN: U74140MH2015PTC264932 2 3

Redressal of Investor Grievance

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

Authorised Representative

If the Beneficial Owner is a body corporate or a legal entity, it shall, along with the account opening form, furnish to the DP, a list of officials authorised by it, who shall represent and interact on its behalf with the Participant. Any change in such list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant.

Law and Jurisdiction

In addition to the specific rights set out in this document, the DP and the Beneficial owner shall be entitled to exercise any other rights which the DP or the Beneficial Owner may have under the Rules, Bye Laws andRegulations of the respective Depository in which the demat account is opened and circulars/notices issued there under or Rules and Regulations of SEBI.

The provisions of this document shall always be subject to Government notification, any rules, regulations, guidelines and circulars/ notices issued by SEBI and Rules, Regulations and Bye-laws of the relevant Depository,where the Beneficial Owner maintains his/her account, that may be in force from time to time.

The Beneficial Owner and the DP shall abide by the arbitration and conciliation procedure prescribed under the Bye-laws of the depository and that such procedure shall be applicable to any disputes between the DP and the Beneficial Owner.

Words and expressions which are used in this document but which are not defined herein shall unless the contextotherwise requires, have the same meanings as assigned thereto in the Rules, Bye-laws and Regulations andcirculars/ notices issued there under by the depository and/or SEBI.

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

If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations of SEBI or Bye-laws, Rules and Regulations of the relevant Depository, where the Beneficial Owner maintains his/her account,such changes shall be deemed to have been incorporated herein in modification of the rights and obligations of the parties mentioned in this document.

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Document Checklist

Individuals & Non-Individuals

Sanctum Account Opening Form ( for new clients)

Self Attested Copy of cancelled cheque leaf/pass book/bank statement specifying name of the constituent, MICR Codeor/and IFSC Code of the bank

DIS Non Issuance Declaration ( In case the Depository Account is for Portfolio Management Services)

Board Resolution and Authorized Signatory List for Non Individual Clients ( in case it is not submitted earlier)

Any Other Documents (Please specify)


CIN: U74140MH2015PTC264932

For Office Use Only

Client Name

Client Group/

Relationship Name

UCC Code allotted

to the Client (if any)

Account Type

For Operations Team

Documents Verified By:

Employee Name

Employee Code

Demat A/c number

A/c opening date

Signature


CIN: U74140MH2015PTC264932

IPV Done & Documents Verified with Originals done ByParticulars

Name of the Employee

Employee Code

Designation of the Employee

Date

Signature with Seal/Stamp

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Execution PMS

D D M M Y Y Y Y

version2018.01

Registered Office

Sanctum Wealth Management Private Limited Unit 1501, Tower 2B, One Indiabulls Centre, 841, Jupiter Mills, Off Senapati Bapat Marg, Lower Parel, Mumbai – 400013

+91 22 61064800

/company/sanctum-wealth-management

@sanctum_wealth

@SanctumWealth

www.sanctumwealth.com