PLEASEREADTHISDOCUMENTCAREFULLYBEFOREAGREEINGTOITSCONTENTSANDENSUREALLTHEDETAILSPROVIDEDARECORRECT.
LoginID CRN
DepositoryService CDSL NSDL
1 2083300
ForAccountOpeningTeamPurpose
ProcessEmployeeCode&NameProcessEmployeeCode&Name
Pre-AuditMaker DateEntryMaker
Pre-AuditChecker DateEntryChecker
NSDL-ClientID
CDSL-ClientID IN304158
1
INDEX OF DOCUMENTS
Sr. No. Brief Signifcance of the Document Page Nos.
SECTION-A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI AND EXCHANGES
5-12
Name of the Document
1. AccountOpeningForm Part I - KYC form - Document captures the basic information about theconstituentandtheinstructionandguidelines.
13-14
16
9.
5.
6.
RiskDisclosureDocument(RDD)7.
8. Guidancenote
PoliciesandProcedures
Included
inClien
tCopy
DocumentstatingtheRights&Obligationsofstockbroker/tradingmember,sub-brokerandclientfortradingonexchanges(includingadditionalrights&obligationsincaseofinternet/wirelesstechnologybasedtrading).
Rights andObligations of Beneficial Owner andDepository Participant asprescribedbySEBIandDepositories.
Rights&ObligationsofStockBrokers,Sub-Broker&Clients
Rights&ObligationsofBeneficialOwner&DepositoryParticipant
Documentdetailingdo’sanddon’tsfortradingonexchange,fortheeducationoftheinvestors.
Documents describing significant policies and procedures of IIFL WealthManagementLimited(IIFLW)relatedtoTradingAccountoftheclient.
193. Tariffsheet Documentdetailingtherate/amountofbrokerageandotherchargesleviedontheclientfortradinganddemataccount.
21
1.
23-262. PowerofAttorney
30-32
FamilyDeclaration AuthorizationForReceivingCommunicationOnCommonMobileNo.And
EmailAddressForTradingAndDematAccount22
3. AuthorisationLetter/StandingInstructions
4. Terms&ConditionsForDistributionof
Securities
A.AvailingMutualFundServiceSystem(MFSS)facility/BSEStARMUTUALFUND(hereinafterjointlyreferredto“MutualFundTransactionFacilities”)B.Authorization for Systematic Investment in Mutual Fund /Securities C.RunningAccountAuthorisationD.AuthorisationforReceiptofContractNotesandOther documents inDigitalModeE.Authorisation forOnlineTradingSoftwarePassword.F.Authorisationfortemproraryinvestmentofidlefunds.
Terms&ConditionsforDistributionofSecurities
VoluntaryandLimitedpurposePOAforoperationalrequirements.
ClientDeclaration/Consent
NominationFormforappointinganomineefortheclient’saccount.
PartII-Documentcapturestheadditionalinformationabouttheconstituent.
Documentdetailingrisksassociatedwithdealinginthesecuritiesmarket.
2. 17-18RiskProfiler RiskProfilingoftheclient
27-29
5. 34
Acknowledgement ClientAcknowledgementCopy
4. Declaration/Consent
SECTION-B - VOLUNTARY DOCUMENTS - AS PROVIDED BY STOCK BROKER/ DEPOSITORY PARTICIPANT / DISTRIBUTOR
Foranygrievance/disputepleasecontactstockbrokerIIFLWealthManagementLimitedattheaboveaddressoremailid-IG@iiflw.comandPhoneno.91-2239585600.Incasenotsatisfiedwiththeresponse,pleasecontacttheconcernedexchange(s)[email protected]/[email protected]/02261363100.
1. SelfattestedcopyofPANcard ismandatory forallclients, includingPromoters/Partners/Karta/Trusteesandwhole timedirectorsandpersonsauthorizedtodealinsecuritiesonbehalfofcompany/firm/others.
2. KYCnumberofapplicantismandatoryforupdate/changeofKYCdetails.3. Forparticularsectionupdate,pleasetick(P)intheboxavailablebeforethesectionnumberandstrikeoffthesectionsnotrequiredtobe
updated.4. Copies of all documents that are submitted need to be compulsorily self-attested by the applicant and accompanied by originals for
verification.Incasetheoriginalofanydocumentisnotproducedforverification,thenthecopiesshouldbeproperlyattestedbyentitiesauthorizedforattestingthedocuments,asperthelistmentionedunder[I].
5. Ifanyproofofidentityoraddressisinaforeignlanguage,thentranslationintoEnglishisrequired.6. Name&addressoftheapplicantmentionedontheK)/Cform,shouldmatchwiththedocumentaryproofsubmitted.7. Ifcorrespondence&permanentaddressesaredifferent,thenproofsforbothhavetobesubmitted.8. Soleproprietormustmaketheapplicationinhisindividualname&capacity.9. Fornon-residentsandforeignnationals,(allowedtotradesubjecttoRBIandFEMAguidelines),copyofpassport/andoverseasaddressproof
ismandatory.10. IncaseofMerchantNavyNRl‘s,MarinersdeclarationorcertifiedcopyofCDC(ContinuousDischargeCertificate)istobesubmitted.11. ForopeninganaccountwithDepositoryparticipantorMutualFund,foraminor,photocopyoftheSchoolLeavingCertificate/Marksheet
issuedbyHigherSecondaryBoard/PassportofMinor/BirthCertificatemustbeprovided.12. Forforeignentities,CINisoptional;andintheabsenceofDINno.forthedirectors,theirpassportcopyshouldbegiven.B. Clarification/Guidelinesonfilling‘IdentityDetails’section 1. Name:PleasestatethenamewithPrefix(Mr/Mrs/Ms/Dr/etc.).ThenameshouldmatchthenameasmentionedintheProofofIdentity
submittedfailingwhichtheapplicationisliabletoberejected. 2. Eitherfather'snameorspouse‘snameistobemandatorilyfurnished.IncasePANisnotavailablefather’snameismandatory.C. Clarification/Guidelinesonfillingdetailsifapplicantresidencefortaxpurposesinjurisdiction(s)outsideIndia 1. TaxidentificationNumber(TIN):TINneednotbereportedifithasnotbeenissuedbythejurisdiction,However,ifthesaidjurisdictionhas
issuedahighintegritynumberwithanequivalentlevelofidentification(a“Functionalequivalent"),thesamemaybereported.Examplesofthattypeofnumberforindividualinclude,asocialsecurity/insurancenumber,citizen/personalidentification/senricescode/number,andresidentregistrationnumber)
D. ClarificationIGuidelinesonfilling‘ProofofIdentity[Pol]’section.ifPANCardcopyisnotenclosed/ForPANexemptInvestors 1. Ifdrivinglicensenumberorpassportisprovidedasproofofidentitythenexpirydateistobemandatorilyfurnished. 2. Mentionidentification/referencenumberif‘Z—Others(anydocumentnotifiedbythecentralgovernment)’isticked. 3. Othersincludes—Utilitybillwhichisnotmorethantwomonthsoldofanysen/iceprovider(electricity,telephone,post-paidmobilephone,
pipedgas,waterbill);BankaccountorPostOfficesavingsbankaccountstatement;DocumentsissuedbyGovernmentdepartmentsofforeignjurisdictionsandletterissuedbyForeignEmbassyorMissioninIndia;Identitycardwithapplicant'sphotographandaddressissuedbyanyofthefollowing:CentrallStateGovernmentDepartments,Statutory/RegulatoryAuthorities,PublicSectorUndertakings,ScheduledCommercialBanks,PublicFinancial Institutions,Collegesaffiliated toUniversities,ProfessionalBodiessuchas ICAI, ICWAI, ICSI,BarCouncil,etc.,totheirMembers;andCreditcards/DebitcardsissuedbyBanks.
4.Proof of address issued by any of the following: BankManagers of Scheduled Commercial Banks / Scheduled Co-Operative Bank /MultinationalForeignBanks/GazettedOfficer/Notarypublic /Elected representatives to theLegislativeAssembly/Parliament/DocumentsissuedbyanyGovt.orStatutoryAuthority.
5.ForFPI,PowerofAttorneygivenbyFPItotheCustodians(whicharedulynotarizedand/orapostiledorconsularised)thatgivestheregisteredaddressshouldbetaken.
6.Theproofofaddressinthenameofthespousemaybeaccepted. 7. POA for Resident Individual Constituent opting for only Equity Segment under Saral KYC Form would be obtained vide SEBI
CIR/MIRSD/1/2015datedMarch04,2015.E. Clarification/Guidelinesonfilling‘ProofofAddress[PoA]section 1. PoAtobesubmittedonlyifthesubmittedPoldoesnothaveanaddressoraddressasperPolisinvalidornotinforce. 2. State/U.TCodeandPin/PostCodewillnotbemandatoryforOverseasaddresses. 3. Othersincludes—Utilitybillwhichisnotmorethantwomonthsoldofanysen/iceprovider(electricity,telephone,post-paidmobilephone,
pipedgas,waterbill);BankaccountorPostOfficesavingsbankaccountstatement;DocumentsissuedbyGovernmentdepartmentsofforeignjurisdictionsandletterissuedbyForeignEmbassyorMissioninIndia;Identitycardwithapplicant'sphotographandaddressissuedbyanyofthefollowing:CentrallStateGovernmentDepartments,Statutory/RegulatoryAuthorities,PublicSectorUndertakings,ScheduledCommercialBanks,PublicFinancial Institutions,Collegesaffiliated toUniversities,ProfessionalBodiessuchas ICAI, ICWAI, ICSI,BarCouncil,etc.,totheirMembers;andCreditcards/DebitcardsissuedbyBanks.
4.Proof of address issued by any of the following: BankManagers of Scheduled Commercial Banks / Scheduled Co-Operative Bank /MultinationalForeignBanks/GazettedOfficer/Notarypublic /Elected representatives to theLegislativeAssembly/Parliament/DocumentsissuedbyanyGovt.orStatutoryAuthority.
5.ForFPI,PowerofAttorneygivenbyFPItotheCustodians(whicharedulynotarizedand/orapostiledorconsularised)thatgivestheregisteredaddressshouldbetaken.
6.Theproofofaddressinthenameofthespousemaybeaccepted. 7. POA for Resident Individual Constituent opting for only Equity Segment under Saral KYC Form would be obtained vide SEBI
CIR/MIRSD/1/2015datedMarch04,2015.F. ClarificationIGuidelinesonfilling‘Contactdetails’section 1. Pleasementiontwo-digitcountrycodeand10dlgitmobilenumber(e.g.forIndianmobilenumbermention91-9999999999). 2. Donotadd‘O’inthebeginningofMobilenumber.G. ClarificationIGuidelinesonfilling‘RelatedPersondetails-ProofofIdentity[Pol]ofRelatedPerson’section 1. Mentionidentification/referencenumberif‘Z-Others(anydocumentnotifiedbythecentralgovernment)‘isticked.H. ForreceivingstatementofaccountinelectronicForm: I. ClientmustensuretheconfidentialityofthepasswordoftheEmailaccount/Mobile. II.ClientmustpromptlyinformIIFLWealthManagementLtd.(IIFLW)iftheemailaddresshaschanged. III.Clientmayopttoterminatethisfacilitybygiving10dayspriornotice.SimilarlyIIFLWealthManagementLtd.mayalsoterminatethisfacility
bygiving7dayspriornoticeI. Strikeofwhicheverisnotapplicable.
Instructions/Guidelines for filling KYC Application FormA. General Instructions
2
NOTES
OTHER INFORMATION ABOUT IIFLW
1.HDFCBANK 2.ICICIBANK
4.CITIBANKN.A 6.YESBANK
LIST OF DESIGNATED DEPOSITORY PARTICIPANTS
LIST OF DESIGNATED BANKS
3.AXISBANK
5.BANKOFBARODA
1. IIFL Wealth Management Ltd.
NOTE:IIFLWreservestherighttomakeanymodifcations
intheabovelists.
We refer to circular no. SEBI / MRD / SE / Cir.42 / 2003 dated19/11/2003 issued by Securities and Exchange Board of India inconnectionwiththeaboveandintermsofthesaidcircularwedisclosethat we have undertaken proprietary trading, arbitrage as well asinvestment business on our account in addition to Client basedbusiness.
TO CLIENT:
DISCLOSURE OF PROPRIETARY TRADING BY BROKER
1. Additionaldocumentsincaseoftradinginderivativessegments-illustrativelist:(anyoneofbelow)
CopyofAnnualAccounts
Networthcertifcate
Bankaccountstatementforlast6months
Selfdeclarationwithrelevantsupportingdocuments.
CopyofITRAcknowledgement
Incaseofsalaryincome-SalarySlip,
CopyofForm16
Copyofdemataccountholdingstatement.
Anyotherrelevantdocumentssubstantiating
ownershipofassets.
*Inrespectofotherclients,documentsasperriskmanagementpolicyofthestockbrokerneedtobeprovidedbytheclientfromtimetotime.2. Copyofcancelledchequeleaf/passbook/bankstatementspecifyingnameoftheconstituent,MICRCodeor/andIFSCCodeofthebank
shouldbesubmitted.
3. DematmasterorrecentholdingstatementissuedbyDPbearingnameoftheclient.
4. Forindividuals:
a. Stockbrokerhasanoptionofdoing‘in-person’verificationthroughwebcameraatthebranchofficeofthestockbroker/sub-broker’soffice.
b. Incaseofnon-residentclients,employeesatthestockbroker’slocaloffice,overseascandoin-person’verification.Further,consideringthe infeasibilityof carryingout ‘In-person’verificationof thenon-residentclientsby thestockbroker’s staff, attestationofKYCdocumentsbyNotaryPublic,Court,Magistrate,Judge,LocalBanker,IndianEmbassy/ConsulateGeneralinthecountrywheretheclientresidesmaybepermitted.
5. Allcommunicationshallbesentatthecorrespondenceaddress/mobilenumber/e-mailIDoftheSole/FirstHolderonly.
6. Thumb impressions and signature other than English orHindi or any of the other language not contain in the 8th Schedule of theConstitutionofIndiamustbeattestedbyaMagistrateoraNotaryPublicoraSpecialExecutiveMagistrate.
7. Minor:Tradinga/ccannotbeopenedinnameofMinor;Demata/c-Jointa/csnotpermittedwithminor;PANandProofofaddressofbothMinorandGuardiantobesubmitted
8. CurrencyDerivativeSegment:NRIcannotdealinCurrencyDerivativeSegment.
9. Tradinga/ccannotbeopenedinjointnames.
10. Allcorrectionsontheformshouldbecountersignedwithfullsignature.Whiteinkisnotallowedeitherinformorauthorization.
11. IncaseofanemployeeofanotherMemberBroker,NOCfromemployerisrequired.
Pleasenotethatthemodeofpaymentshouldbeonlybywayofaccountpayeecrossedcheques/Demanddraft in favourof“IIFLWealthManagementLtd.-(Client’sLoginid)”.Nocashreceiptspaymentswillbeentertainedforanytransactionsmadebytheclient.IIFLWwillnotberesponsibleforanykindofclaimsraisedbytheclientsregardingpaymentmadeincash.MobilenumberiscompulsoryforopeningofDemat/TradingaccountwithIIFLW.Incaseofchangeinmobilenumberanytimeafteropeningofthisaccount,forpostpaidconnectionitismandatorytosubmitthephotocopyofthelatest/last2monthsmobilebillandforprepaidconnectionclientmustpersonallyvisitthebranch/FAN’salongwiththeirIDproof(eg.PANCard/DrivingLicence/Passport/ElectionVoterID)andgetthesameverified.
3
IntentionallyLeftBlank
5
CKYCNumber
PROOFS SUBMITTED FOR IDENTITY & ADDRESS
PassportExpiryDate
PANNumber(mandatory)
AadhaarCard(mandatory)
PassportNumber
(SelfCertifiedcopyofanyoneoftheabovementionedneedstobesubmittedtwowordsIdentity&Addressproofseparately)
3.
TYPE OF ACCOUNT (FOR DEMAT - STATUS / SUB - STATUS)
NRI-RepatriableOrdinaryResident Director Margin PromoterNRI-NonRepatriable
4.
1. PERSONAL DETAILS
Married Unmarried Others
IN-Indian Others-Country_______________CountryCode
Male Female Transgender
SelfEmployed Retired Housewife Student Business NotCategorised
Name(sameasIDproof)
MaritalS tatus
Citizenship
ForeignNational PersonofIndianOriginResidentResidentialStatus
DateofBirth
Maiden Name(Ifany)
Father/SpouseName
MotherName
Gender
OccupationType Service
PrivateSector PublicSector ProfessionalGovernmentSector Others
Pleasetick,ifapplicable PoliticallyExposedPerson(PEP) NA
Whetheryouwishtoavailtheinternettradingfacility Yes No
NonResident
MiddleName LastNameFirstNamePrefix
RelatedtoaPoliticallyExposedPerson(PEP)
123
PleaseaffixtherecentpassportsizePhotographand
signacrossit
2. ADDRESS DETAILS
2.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS
AddressType
Country
Residential/Business Residential Business RegisteredOffice Unspecified
CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
2.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS
AddressType Residential/Business Residential Business RegisteredOffice Unspecified
Country CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
PART- I - KYC AND ACCOUNT OPENING FORM - FOR INDIVIDUAL - 1st / First Holder
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.
6
[Signature/ThumbImpression]
223
stSignature/ThumbImpressionof1 Applicant
Date
Place
a)IncomeRangeperannum
b)NetworthRs.____________ason(Networthshouldnotbeolderthanoneyear)
BelowRs.1,00,000
Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000
D DM M Y Y Y Y
Rs.10,00,001toRs.25,00,000MorethanRs.25,00,001OR
7. GROSS ANNUAL INCOME
CountryofBirth
AddressinthejurisdictionwhereapplicantisresidentoutsideIndiaforTaxpurpose
CountryofJurisdictionofResidence
TaxIdentificationNumberorequivalent(Ifissuedbyjurisdiction)
Place/CityofBirth CountryCode asperISO3166
CountryCodeofJurisdictionofResidence
City/Town/Village
Zip/PostCode
Line1Line2
Line3
DistrictState/UT Country
State/UTCode asperIndianMotorVehicleAct,1988
asperISO3166
CountryCode asperISO3166
8.
6. CONTACT DETAILS
9. APPLICANT DECLARATION
I/Weacknowledgeandconfirmthattheinformationprovidedaboveistrueandcorrecttothebestofmy/ourknowledgeandbelief.Incaseanyoftheabovespecifiedinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/WemaybeliableforitI/WeherebyauthorizeIIFLWealthManagementLimitedtodisclose,share,remitinanyform,modeormanner,all/anyoftheinformationprovidedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLGroup,issuers,brokers,banksandother relevantparties ('theAuthorizedParties')or any Indianor foreigngovernmentalor statutoryor judicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawherever it is legally requiredandother investigationagencieswithoutanyobligationofadvisingme/usof thesame,Further, I/WeauthorizetosharethegiveninformationtootherAuthorisedPartiestofacilitatesinglesubmission/updation&forotherrelevantpurposes,I/Wealsoundertaketokeepyouinformedinwritingaboutanychanges/modificationtotheaboveinformationinfuturepromptly,i.e.,within30daysandalsoundertaketoprovideanyotheradditionalinformationasmayberequiredatyourend, Asmayberequiredbydomesticoroverseasregulators/taxauthorities,I/WeauthorizetheAuthorisedPartiestowithholdandpayoutanysumsfromyouraccountorcloseorsuspendyouraccount(s)withoutanyobligationofadvisingmeofthesame.I/Weherebyauthoriseyoutokindlyupdate/modifyKRA/CKYCbasisthedocumentssubmittedandalsotoupdatetheaccountdetailsbasisanychangesdoneonKRA/CKYC.
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.IherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmyknowledgeandbeliefandIundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,IamawarethatImaybeheldliableforit.IherebydeclarethatIamnotmakingthisapplicationforthepurposeofcontraventionofanyAct.Rules,Regulationsoranystatuteoflegislationoranynotifications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.
I/Weherebydeclarethati/weareFit&Properpersonasperregulation20ofSECCregulation2012forexecutingtransactionsinthesecuritiesofthelistedexchanges.
IherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.
5. GST Registered (Goods and Services Tax) Yes No
GSTINNo.IfGSTRegistered) Note:ProofofGSTregistrationisrequiredifselectedYES
TheGoodsandServiceTaxNumber(GSTN)iscorrectandIIFLAMCwillnotberesponsibleforveri�icationofGSTNIftheGSTNnotprovided,itwillbeconsideredasunregisteredandwillbeunabletoclaimtheinputtaxcreditonthefeesandchargespaid.
FATCA/CRS INFORMATION (tick If Applicable) A. Residence for Tax Purposes in Jurisdiction(s) outside India B. Not Applicable
AdditionalDetailsRequired(mandatoryonlyifaboveoption(A)isticked)
FaxNo.
Tel(Off)
Mobile
Tel(Res)
7
PART- I - KYC AND ACCOUNT OPENING FORM - FOR INDIVIDUAL - 2nd / Second Holder
CKYCNumber
PROOFS SUBMITTED FOR IDENTITY & ADDRESS
PassportExpiryDate
PANNumber(mandatory)
AadhaarCard(mandatory)
PassportNumber
(SelfCertifiedcopyofanyoneoftheabovementionedneedstobesubmittedtwowordsIdentity&Addressproofseparately)
3.
1. PERSONAL DETAILS
Married Unmarried Others
IN-Indian Others-Country_______________CountryCode
Male Female Transgender
SelfEmployed Retired Housewife Student Business NotCategorised
Name(sameasIDproof)
MaritalS tatus
Citizenship
ForeignNational PersonofIndianOriginResidentResidentialStatus
DateofBirth
Maiden Name(Ifany)
Father/SpouseName
MotherName
Gender
OccupationType Service
PrivateSector PublicSector ProfessionalGovernmentSector Others
Pleasetick,ifapplicable PoliticallyExposedPerson(PEP) NA
Whetheryouwishtoavailtheinternettradingfacility Yes No
NonResident
MiddleName LastNameFirstNamePrefix
RelatedtoaPoliticallyExposedPerson(PEP)
113
PleaseaffixtherecentpassportsizePhotographand
signacrossit
2. ADDRESS DETAILS
2.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS
AddressType
Country
Residential/Business Residential Business RegisteredOffice Unspecified
CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
2.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS
AddressType Residential/Business Residential Business RegisteredOffice Unspecified
Country CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.
8
[Signature/ThumbImpression]
213
ndSignature/ThumbImpressionof2 Applicant
Date
Place
a)IncomeRangeperannum
b)NetworthRs.____________ason(Networthshouldnotbeolderthanoneyear)
BelowRs.1,00,000
Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000
D DM M Y Y Y Y
Rs.10,00,001toRs.25,00,000MorethanRs.25,00,001OR
5. GROSS ANNUAL INCOME
4. CONTACT DETAILS
7. APPLICANT DECLARATION
I/Weacknowledgeandconfirmthattheinformationprovidedaboveistrueandcorrecttothebestofmy/ourknowledgeandbelief.Incaseanyoftheabovespecifiedinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/WemaybeliableforitI/WeherebyauthorizeIIFLWealthManagementLimitedtodisclose,share,remitinanyform,modeormanner,all/anyoftheinformationprovidedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLGroup,issuers,brokers,banksandother relevantparties ('theAuthorizedParties')or any Indianor foreigngovernmentalor statutoryor judicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawherever it is legally requiredandother investigationagencieswithoutanyobligationofadvisingme/usof thesame,Further, I/WeauthorizetosharethegiveninformationtootherAuthorisedPartiestofacilitatesinglesubmission/updation&forotherrelevantpurposes,I/Wealsoundertaketokeepyouinformedinwritingaboutanychanges/modificationtotheaboveinformationinfuturepromptly,i.e.,within30daysandalsoundertaketoprovideanyotheradditionalinformationasmayberequiredatyourend, Asmayberequiredbydomesticoroverseasregulators/taxauthorities,I/WeauthorizetheAuthorisedPartiestowithholdandpayoutanysumsfromyouraccountorcloseorsuspendyouraccount(s)withoutanyobligationofadvisingmeofthesame.I/Weherebyauthoriseyoutokindlyupdate/modifyKRA/CKYCbasisthedocumentssubmittedandalsotoupdatetheaccountdetailsbasisanychangesdoneonKRA/CKYC.
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.IherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmyknowledgeandbeliefandIundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,IamawarethatImaybeheldliableforit.IherebydeclarethatIamnotmakingthisapplicationforthepurposeofcontraventionofanyAct.Rules,Regulationsoranystatuteoflegislationoranynotifications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.
I/Weherebydeclarethati/weareFit&Properpersonasperregulation20ofSECCregulation2012forexecutingtransactionsinthesecuritiesofthelistedexchanges.
IherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.
CountryofBirth
AddressinthejurisdictionwhereapplicantisresidentoutsideIndiaforTaxpurpose
CountryofJurisdictionofResidence
TaxIdentificationNumberorequivalent(Ifissuedbyjurisdiction)
Place/CityofBirth CountryCode asperISO3166
CountryCodeofJurisdictionofResidence
City/Town/Village
Zip/PostCode
Line1Line2
Line3
DistrictState/UT Country
State/UTCode asperIndianMotorVehicleAct,1988
asperISO3166
CountryCode asperISO3166
6. FATCA/CRS INFORMATION (tick If Applicable) A. Residence for Tax Purposes in Jurisdiction(s) outside India B. Not Applicable
AdditionalDetailsRequired(mandatoryonlyifaboveoption(A)isticked)
FaxNo.
Tel(Off)
Mobile
Tel(Res)
9
PART- I - KYC AND ACCOUNT OPENING FORM - FOR INDIVIDUAL - 3rd / Third HolderPART- I - KYC AND ACCOUNT OPENING FORM - FOR INDIVIDUAL - 3rd / Third Holder
CKYCNumber
PROOFS SUBMITTED FOR IDENTITY & ADDRESS
PassportExpiryDate
PANNumber(mandatory)
AadhaarCard(mandatory)
PassportNumber
(SelfCertifiedcopyofanyoneoftheabovementionedneedstobesubmittedtwowordsIdentity&Addressproofseparately)
3.
1. PERSONAL DETAILS
Married Unmarried Others
IN-Indian Others-Country_______________CountryCode
Male Female Transgender
SelfEmployed Retired Housewife Student Business NotCategorised
Name(sameasIDproof)
MaritalS tatus
Citizenship
ForeignNational PersonofIndianOriginResidentResidentialStatus
DateofBirth
Maiden Name(Ifany)
Father/SpouseName
MotherName
Gender
OccupationType Service
PrivateSector PublicSector ProfessionalGovernmentSector Others
Pleasetick,ifapplicable PoliticallyExposedPerson(PEP) NA
Whetheryouwishtoavailtheinternettradingfacility Yes No
NonResident
MiddleName LastNameFirstNamePrefix
RelatedtoaPoliticallyExposedPerson(PEP)
113
PleaseaffixtherecentpassportsizePhotographand
signacrossit
2. ADDRESS DETAILS
2.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS
AddressType
Country
Residential/Business Residential Business RegisteredOffice Unspecified
CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
2.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS
AddressType Residential/Business Residential Business RegisteredOffice Unspecified
Country CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.
10
[Signature/ThumbImpression]
213
rdSignature/ThumbImpressionof3 Applicant
Date
Place
a)IncomeRangeperannum
b)NetworthRs.____________ason(Networthshouldnotbeolderthanoneyear)
BelowRs.1,00,000
Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000
D DM M Y Y Y Y
Rs.10,00,001toRs.25,00,000MorethanRs.25,00,001OR
5. GROSS ANNUAL INCOME
4. CONTACT DETAILS
7. APPLICANT DECLARATION
I/Weacknowledgeandconfirmthattheinformationprovidedaboveistrueandcorrecttothebestofmy/ourknowledgeandbelief.Incaseanyoftheabovespecifiedinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/WemaybeliableforitI/WeherebyauthorizeIIFLWealthManagementLimitedtodisclose,share,remitinanyform,modeormanner,all/anyoftheinformationprovidedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLGroup,issuers,brokers,banksandother relevantparties ('theAuthorizedParties')or any Indianor foreigngovernmentalor statutoryor judicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawherever it is legally requiredandother investigationagencieswithoutanyobligationofadvisingme/usof thesame,Further, I/WeauthorizetosharethegiveninformationtootherAuthorisedPartiestofacilitatesinglesubmission/updation&forotherrelevantpurposes,I/Wealsoundertaketokeepyouinformedinwritingaboutanychanges/modificationtotheaboveinformationinfuturepromptly,i.e.,within30daysandalsoundertaketoprovideanyotheradditionalinformationasmayberequiredatyourend, Asmayberequiredbydomesticoroverseasregulators/taxauthorities,I/WeauthorizetheAuthorisedPartiestowithholdandpayoutanysumsfromyouraccountorcloseorsuspendyouraccount(s)withoutanyobligationofadvisingmeofthesame.I/Weherebyauthoriseyoutokindlyupdate/modifyKRA/CKYCbasisthedocumentssubmittedandalsotoupdatetheaccountdetailsbasisanychangesdoneonKRA/CKYC.
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.IherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmyknowledgeandbeliefandIundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,IamawarethatImaybeheldliableforit.IherebydeclarethatIamnotmakingthisapplicationforthepurposeofcontraventionofanyAct.Rules,Regulationsoranystatuteoflegislationoranynotifications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.
I/Weherebydeclarethati/weareFit&Properpersonasperregulation20ofSECCregulation2012forexecutingtransactionsinthesecuritiesofthelistedexchanges.
IherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.
CountryofBirth
AddressinthejurisdictionwhereapplicantisresidentoutsideIndiaforTaxpurpose
CountryofJurisdictionofResidence
TaxIdentificationNumberorequivalent(Ifissuedbyjurisdiction)
Place/CityofBirth CountryCode asperISO3166
CountryCodeofJurisdictionofResidence
City/Town/Village
Zip/PostCode
Line1Line2
Line3
DistrictState/UT Country
State/UTCode asperIndianMotorVehicleAct,1988
asperISO3166
CountryCode asperISO3166
6. FATCA/CRS INFORMATION (tick If Applicable) A. Residence for Tax Purposes in Jurisdiction(s) outside India B. Not Applicable
AdditionalDetailsRequired(mandatoryonlyifaboveoption(A)isticked)
FaxNo.
Tel(Off)
Mobile
Tel(Res)
PART- I - KYC AND ACCOUNT OPENING FORM - GUARDIAN (IN CASE SOLE HOLDER OF DEMAT ACCOUNT IS MINOR)PART- I - KYC AND ACCOUNT OPENING FORM - GUARDIAN (IN CASE HOLDER IS MINOR)
CKYCNumber
PROOFS SUBMITTED FOR IDENTITY & ADDRESS
PassportExpiryDate
PANNumber(mandatory)
AadhaarCard(mandatory)
PassportNumber
(SelfCertifiedcopyofanyoneoftheabovementionedneedstobesubmittedtwowordsIdentity&Addressproofseparately)
3.
1. PERSONAL DETAILS
Married Unmarried Others
IN-Indian Others-Country_______________CountryCode
Male Female Transgender
SelfEmployed Retired Housewife Student Business NotCategorised
Name(sameasIDproof)
MaritalS tatus
Citizenship
ForeignNational PersonofIndianOriginResidentResidentialStatus
DateofBirth
Maiden Name(Ifany)
Father/SpouseName
MotherName
Gender
OccupationType Service
PrivateSector PublicSector ProfessionalGovernmentSector Others
Pleasetick,ifapplicable PoliticallyExposedPerson(PEP) NA
Whetheryouwishtoavailtheinternettradingfacility Yes No
NonResident
MiddleName LastNameFirstNamePrefix
RelatedtoaPoliticallyExposedPerson(PEP)
13
PleaseaffixtherecentpassportsizePhotographand
signacrossit
2. ADDRESS DETAILS
2.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS
AddressType
Country
Residential/Business Residential Business RegisteredOffice Unspecified
CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
2.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS
AddressType Residential/Business Residential Business RegisteredOffice Unspecified
Country CountryCode asperISO3166
State/UTCode
City/Town/Village
Zip/PostCode asperIndianMotorVehicleAct,1988District
Line1
Line2
Line3
State/UT
11
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.
[Signature/ThumbImpression]
23
Signature/ThumbImpressionofGuardian
Date
Place
a)IncomeRangeperannum
b)NetworthRs.____________ason(Networthshouldnotbeolderthanoneyear)
BelowRs.1,00,000
Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000
D DMMY Y Y Y
Rs.10,00,001toRs.25,00,000MorethanRs.25,00,001OR
5. GROSS ANNUAL INCOME
7. APPLICANT DECLARATION
I/Weacknowledgeandconfirmthattheinformationprovidedaboveistrueandcorrecttothebestofmy/ourknowledgeandbelief.Incaseanyoftheabovespecifiedinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/Wemaybeliableforit I/Weherebyauthorize IIFLWealthManagementLimitedtodisclose,share,remitinanyform,modeormanner,all/anyoftheinformationprovidedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLGroup,issuers, brokers, banks andother relevantparties ('theAuthorizedParties') or any Indianor foreign governmental or statutoryor judicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawhereveritislegallyrequiredandotherinvestigationagencieswithoutanyobligationofadvisingme/usofthesame,Further,I/WeauthorizetosharethegiveninformationtootherAuthorisedPartiestofacilitatesinglesubmission/updation&forotherrelevantpurposes,I/Wealsoundertaketokeepyouinformedinwritingaboutanychanges/modificationtotheaboveinformationinfuturepromptly,i.e.,within30daysandalsoundertaketoprovideanyotheradditionalinformationasmayberequiredatyourend,Asmayberequiredbydomesticoroverseasregulators/taxauthorities,I/WeauthorizetheAuthorisedPartiestowithholdandpayoutanysumsfromyouraccountorcloseorsuspendyouraccount(s)withoutanyobligationofadvisingmeofthesame.I/Weherebyauthoriseyoutokindlyupdate/modifyKRA/CKYCbasisthedocumentssubmittedandalsotoupdatetheaccountdetailsbasisanychangesdoneonKRA/CKYC.
I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii)updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsmadethereunder)andPMLA.IherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmyknowledgeandbeliefandIundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,IamawarethatImaybeheldliableforit.IherebydeclarethatIamnotmakingthisapplicationforthepurposeofcontraventionofanyAct.Rules,Regulationsoranystatuteoflegislationoranynotifications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.
I/Weherebydeclarethati/weareFit&Properpersonasperregulation20ofSECCregulation2012forexecutingtransactionsinthesecuritiesofthelistedexchanges.
IherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.
12
CountryofBirth
AddressinthejurisdictionwhereapplicantisresidentoutsideIndiaforTaxpurpose
CountryofJurisdictionofResidence
TaxIdentificationNumberorequivalent(Ifissuedbyjurisdiction)
Place/CityofBirth CountryCode asperISO3166
CountryCodeofJurisdictionofResidence
City/Town/Village
Zip/PostCode
Line1Line2
Line3
DistrictState/UT Country
State/UTCode asperIndianMotorVehicleAct,1988
asperISO3166
CountryCode asperISO3166
6. FATCA/CRS INFORMATION (tick If Applicable) A. Residence for Tax Purposes in Jurisdiction(s) outside India B. Not Applicable
AdditionalDetailsRequired(mandatoryonlyifaboveoption(A)isticked)
4. CONTACT DETAILS
FaxNo.
Tel(Off)
Mobile
Tel(Res)
PART II - ACCOUNT OPENING FORM
1. APPLICANT NAME
PANFirstApplicant
SecondApplicant
ThirdApplicant
PAN
PAN
5. DEPOSITORY SERVICE
ForHUF,Associationofpersons(AOP),PartnershipFirm,UnregisteredTrust,etc,althoughtheaccountisopenedinthenameofthenaturalpersons,thenameandPANoftheHUF,AOP,PartnershipFirm,UnregisteredTrustetc.shouldbeasmentionedabove
Name PAN
I/WewishtoopenDepositoryAccountwith CDSL:12083300NSDL:IN304158
DPNameCDSLNSDL
DPID:IN BeneficiaryAccountNo.
DPName
BeneficiaryAccountNo.
2. EXISTING DEPOSITORY ACCOUNT DETAILS
BankA/cNo. IFSCCode
TypeofA/c
BankNameAddress
Savings Current NRE NRO OthersMICRCode
3. POA BANK ACCOUNT DETAILS
PISPermissionNumber Date
13
I/WedonotrequiretheDeliveryInstructionSlip(DIS)forthetimebeing,sinceI/WehaveissuedPowerofAttorneyinfavour of IIFLWealthManagement Ltd. (IIFLW) for executing delivery instructions for settling transactions executedthrough(IIFLW)However,theDISbookletshouldbeissuedtome/usimmediatelyonmy/ourrequestatanylaterdate.
Yes No
b.I/Weauthoriseyoutoreceivecreditsautomaticalyintomy/ouraccount Yes No
a.AccounttobeoperatedthroughPowerofAttorney(PoA)
c.I/Wewishtoreceivedividend/interestdirectlytomy/ourbankaccountgivenhereinthroughECS Yes No
d.AccountStatementRequirement Daily Weekly Fortnightly Monthly(Defaultoptionismonthly)
Yes No
6. STANDING INSTRUCTIONS (FOR DEMAT ACCOUNT)
BankA/cNo. IFSCCode
TypeofA/c
BankNameAddress
Savings Current NRE NRO OthersMICRCode
4. EXISTING / EXTERNAL BANK ACCOUNT DETAILS
PISPermissionNumber Date
IwouldliketoreceivethebelowdocumentsthroughPhysicalElectronicMode
1.RightsandObligations2.UniformRiskDisclosuredocuments
3.Do’sandDon't’s4.Allothercommunications
8. COMMUNICATION MODE
CopyofITRacknowledgement Copyofannualaccounts CopyofForm16 Networthcertifcate
Bankaccountstatementforlast6months Copyofdemataccountholdingstatement
Anyotherrelevantdocumentssubstantiatingownershipofassets.
PROOF OF FINANCIAL DETAILS (MANDATORY IN CASE OF DERIVATIVES/ CURRENCY) Any One7.
9. ADDITIONAL DETAILS (PAST ACTIONS IF ANY )
Particulars NameofAuthority Month&YearofAction
Detailsofanyaction/proceedingsinitiated/pending/takenbySEBI/Stockexchange/anyotherauthorityagainsttheapplicant/constituentoritsPartners/promoters/wholetimedirectors/authorizedpersonsinchargeofdealinginsecuritiesduringthelast3years:
I/We wish to open BASIC SERVICES DEMAT ACCOUNT (BSDA) Yes No
11. DEALINGS THROUGH STOCK BROKERS AND OTHER SUB-BROKERS sub-brokers,providedetailsofall)Whetherdealingwithanyotherstockbroker/sub-broker(ifcasedealingwithmultiplestockbrokers/
Sub-broker’sName&Code
Registeredofficeaddress
Tel.
SEBIRegistrationnumber Website
Tel.
Stockbroker’sName&Code
Registeredofficeaddress
SEBIRegistrationnumber
Website
Fax
Detailsofdisputes/duespendingfrom/tosuchstockbroker/sub-broker____________________________________________________________________________
Fax
12.
Mobile1
Mobile2
Mobile3
Dayendtransactioncon�irmation
Dayendtransactioncon�irmation
Onetimeveri�icationcall
Transactionauthorisation(forPOAcasesonly)
Transactionauthorisation(forPOAcasesonly)
Transactionauthorisation(forPOAcasesonly)
Transactionauthorisation(forPOAcasesonly)
Dayendtransactioncon�irmation
Dayendtransactioncon�irmation
Dayendtransactioncon�irmation
E-mail1 :
E-mail2 :
E-mail3 :
Transactionauthorisation(forPOAcasesonly)
NameofPersonforveri�icationcall_______________________________________________________________________________________________________________________
CONTACT DETAILS
14
StatusOf Introducer Sub-Broker AuthorisedPerson Remisier ExistingAccountHolder BankOf�icial
IIFLEmployee AnyOther Person
Introducer’sName
Address
City
State
Occupation
OrganizationName Forexistingclientonly
C O M P U L S O R Y
13. INTRODUCER’S DETAILS
Tel.PINCode
Country
PAN
Signature
Ifinfuture,youwanttotradeonanynewsegment/newexchange,seperateauthorisation/lettershouldbesubmittedtoIIFLW.
NSE BSE
CapitalMarketSegment
NameoftheExchangeNameoftheSegment
3 23 4 23
Futures&Options
CurrencyDerivatives
Debt
MFSS/BSEStAR
5 23 6 23
7 23 8 23
9 23 1023
1123
1223
STOCKEXCHANGE(S)&SEGMENTONWHICHYOUWISHTOTRADE:(Pleasesignintherelevantboxeswhereyouwishtotrade.TheSegmentnotchosenshouldbestruckoffbyyou.)
10. TRADING PREFERENCE
(i.e., Owner/ Promoter in case of Non-individual entity and family head incase of an individual)TOUCH POINT DETAILS 14.
Prefix
Name
Address
City
MobileNo.
Organization
Designation
Industry
DateofBirth
NameofSpouse
DOBofSpouse
Dr. Mr. Mrs. Ms. Other Gender Male Female
PinCode
Tel(Off)
MaritalStatusD D M M Y Y Y Y
1
Relationshipwithheadoffamily
SubIndustry
Country
D D M M Y Y Y Y AnniversaryDate D D M M Y Y Y Y
Prefix
Name
Address
City
MobileNo.
Organization
Designation
Industry
DateofBirth
NameofSpouse
DOBofSpouse
Dr. Mr. Mrs. Ms. Other Gender Male Female
PinCode
Tel(Off)
MaritalStatusD D M M Y Y Y Y
2
Relationshipwithheadoffamily
SubIndustry
Country
D D M M Y Y Y Y AnniversaryDate D D M M Y Y Y Y
Prefix
Name
Address
City
MobileNo.
Organization
Designation
Industry
DateofBirth
NameofSpouse
DOBofSpouse
Dr. Mr. Mrs. Ms. Other Gender Male Female
PinCode
Tel(Off)
MaritalStatusD D M M Y Y Y Y
3
Relationshipwithheadoffamily
SubIndustry
Country
AnniversaryDate D D M M Y Y Y YD D M M Y Y Y Y
15
NominationDetails
I/Wewishtomakenomination(asperdetailsgivebelow)
I/Wedonotwishtomakeanomination(strikeofthenominationdetailsbelow)
NOMINATIONREGN.NO.:____________________________ DATE:______________________
I/We wish to make a nomination and do here by nominate the following person in whom all rights and/ or amount payable inrespectofallmy/ourinvestmentsmadeinvariousassetclassesincludingMutualFundsroutedthrough/opened&operatedunderPOAbyIIFLWWealth&AssetManagementLimitedandsecuritiesheldintheDepositorybyme/usinthesaidbeneficiaryowneraccountshallvestintheeventofmy/ourdeath.I/WeauthorisethePOAholdertosigntherelevantnominationformonmy/ourbehalfforallinvestmentmadethroughourPOAaccountsheldunderCRN________________________withIIFLWealthManagementLtd.
Nameofthenominee(s)
Nominationcanbemadeuptothreenomineesintheaccount.
Detailsof1stNominee Detailsof2ndNominee Detailsof3rdNominee
ShareofeachNominee
Anyoddlotafterdivisionshallbetransferredtothefirstnomineementionedintheform.
% % %
Relationshipwiththeapplicant
AddressofNominee(s)
NameofGuardian
RelationshipofGuardianwithnominee
AddressofNominee(s)
SecondHolder
ThirdHolder
Sole/FirstHolder/Guardian(incaseminor)
Signature(s)ofholder
NameoftheWitness
Signature
Date
313
1323
313
DateofBirthofNominee(s)
AddressoftheWitness
Pleaseaffix
Photographof
Nominee/Guardian
&signacross
PhotographofNominee/Guardian
Instructionsrelatedtonominationareasbelow:I. Thenominationcanbemadeonlybyindividualsholdingbeneficiaryowneraccountsontheirownbehalfsinglyorjointly.Non-individuals
includingsociety,trust,bodycorporate,partnershipfirm,kartaofHinduUndividedFamily,holderofpowerofattorneycannotnominate.Iftheaccountisheldjointlyalljointholderswillsignthenominationform.
II.Aminorcanbenominated.Inthatevent,thenameandaddressoftheGuardianoftheminornomineeshallbeprovidedbythebeneficialowner.III.TheNomineeshallnotbeatrust,society,bodycorporate,partnershipfirm,kartaofHinduUndividedFamilyorapowerofAttorneyholder.A
non-residentIndiancanbeaNominee,subjecttotheexchangecontrolsinforce,fromtimetotime.IV. Nomination inrespectof thebeneficiaryowneraccountstandsrescindeduponclosureof thebeneficiaryowneraccount.Similarly, the
nominationinrespectofthesecuritiesshallstandterminatedupontransferofthesecurities.V. TransferofsecuritiesinfavourofaNomineeshallbevaliddischargebythedepositoryagainstthelegalheir.VI.Thecancellationofnominationcanbemadebyindividualsonlyholdingbeneficiaryowneraccountsontheirownbehalfsinglyorjointlybythe
samepersonswhomadetheoriginalnomination.Non-individualsincludingsociety,trust,bodycorporate,partnershipfirm,kartaofHinduUndividedFamily,holderofpowerofattorneycannotcancelthenomination.Ifthebeneficiaryowneraccountisheldjointly,alljointholderswillsignthecancellationform.
VII.Oncancellationofthenomination,thenominationshallstandrescindedandthedepository/participantshallnotbeunderanyobligationtotransferthesecuritiesinfavouroftheNominee.
DateofBirth
IncaseNomineeisminorpleaseprovidebelowdetails
Name(s)ofholder(s)
Pleaseaffix
Photographof
Nominee/Guardian
&signacross
Pleaseaffix
Photographof
Nominee/Guardian
&signacross
16
ThisquestionnaireendeavourstobringoutyourcurrentattitudetowardsRisk,orthe“ChanceofLoss”andyourviewofhowaninvestmentshouldperformoverthenextdecade.Itwillsuggestwhattypeofstrategyyoushouldadopttowardsyourinvestments.Sincetheseanswerswillbeusedasinputsinyourlong-termassetallocation,weurgeyoutoinvestsometimeinunderstandingandansweringeachquestion.
RISK PROFILER
(Pleasetickany1optionamongthosepresented) RISK ASSESSMENT: 1. The age group you belong to 5. “Beatinginflationoverthelongtermismoreimportantto
methanpossibleshorttermlosses”
StronglyDisagree
Disagree
Neutral
Agree
StronglyAgree
2. Yourcurrentandfutureincomesources(example:Salary,BusinessIncome,InvestmentIncome,etc)are:
6. Imagine the market goes down 25% in a matter of 3Months,whatwouldbeyourresponse?
Veryunstable
Unstable
Somewhatstable
Stable
Verystable
A
B
C
D
E
3. Howwouldyoudescribeyourinvestment
experiencetilldate? 7.
APrimarily fixed income investments /
currentlydeployedinBankFixedDeposits.
BMixofFixed Income andEquitieswithhigher
allocationinEquities.
C Primarilyequityinvestments A Notatallinterested B SlightlyInterested
D
MixoffixedIncome,equitiesandrealestate
withhigherallocationinReal
Estate/alternativeinvestments
C Interested D VeryInterested.
E Primarilyrealestateinvestments E ExtremelyInterested.
4. Which of the following statements would berepresentativeofyourriskappetite?
8. As a percentage of your overall financial portfolio,whatwouldbetheextentofyourcurrentborrowings:
A I do not want my investment to lose any
value, even if thismeans it takes longer to
achievemyinvestmentgoals
A 0%
B Upto5%
C Greaterthan5%andupto10%
B I can tolerate small fluctuations in my
portfolio value in order to achieve my
investmentgoals
D Greaterthan10%andupto20%
E Greaterthan20%
C I can tolerate moderate fluctuations in my
portfolio value in order to achieve my
investmentgoals
D I can tolerate large fluctuations in my
portfolio value in order to achieve my
investmentgoals
E I can tolerate extreme fluctuations in my
portfolio value in order to achieve my
investmentgoals
AB
C
D
E
Upto18years
18-24years
25-35years
36-49years
50yearsandabove
A
B
C
D
E
AB
C
D
E
ThegoalofLeveragingistoprovideahigherreturnoninvestedequitybybuildinginfixedcostofinterest.Howeverthisstrategycanoftenleadtosteeperlossesifthereturnoninvestmentsislessthaninterestcost.Howinterestedwouldyoubeinleveraging?
ExitmyinvestmentscompletelyExitmyriskierassetsevenatalossandputthemoneyintosaferassetsHoldallmyinvestmentsandselltheriskierassetsoncetheyreachparvalueHold all my investments and sell nothing, waiting forconditionstoimproveInvestmorecapitalandlowermyaveragepurchaseprice
17
RISK PROFILER
Signature
ForIIFLWealthManagementLtd.
First Applicant / Guardian14
23Second Applicant Third Applicant 4
134
13
INVESTMENTOBJECTIVES: 9. While making an investment decision, which is
mostimportanttoyou? A CapitalPreservation
B RegularIncome/CashFlows
C StableInflationBeatingReturns
D LongTermCapitalGrowth
E SignificantCapitalAppreciation 10. What is your investmenthorizon?How long can
youkeepyourmoneyinvestedinsecuritiesbeforeneedingaccesstoit?
Disclaimer:
This assessment is built on the theoretical correlation betweenrisk tolerance, investment term, liquidity needs and attitudetowards risk. Should the client not feel comfortable with theoutcome of this assessment, his/her specific requirements willtakeprecedence.
A LessthanaYear
B 1-3Years
C Above3years-Lessthan5years
D Above5years-Lessthan10years
E Above10years 11. Ifyouareplanningsignificantexpenditure,how
many years do you estimate you can let your
investmentgrowbeforeyoumayneedtotapinto
them?
A Lessthan1year(VeryShortterm)
B 1-3years(Shortterm)
C Above3years-Lessthan5years(Mediumterm)
D Above5years-Lessthan10years(Longterm)
E Above10years(Verylongterm)
12. Although it is difficult to plan for the unexpected,in case of any special circumstances (College,Retirement, Medical, etc) outside your usual needswhat proportion of your portfolio would requireimmediateliquidationoverthenext3-5years?
ClientDeclaration
I/we hereby confirm that I/we have read, reviewed and
understood the above mentioned risk assessment
questionnaire and agree to my categorization, based on
investmentobjectivesandriskassessment. A FullPortfoliocouldbeliquidated
B MajorLiquidations
C Halfoftheportfoliocouldbeliquidate
D Somesmallliquidations
E NoLiquidations
SignedanddeliveredonbehalfoftheClientbythehandof
No.ofA X1=
No.ofB X2=
No.ofC X3=
No.ofD X4=
No.ofE X5=
Total
Clientcategorizationbasedonriskassessmentand
investmentobjectivesquestionnaire:
Conservative
(score0-20)
Moderate(score21-40)
Aggressive
(score41-60)
18
SCHEDULE OF BROKERAGE AND OTHER CHARGES
TARIFF SHEET
Remark NOTESDelayedPaymentCharges-Anyamountwhichareoverduefromtheclienttowardstradingeitherincashorderivativesegmentsoronaccountofanyotherreason,theClientwillbechargeddelayedpaymentchargesattherateof2%permonthor suchother rateasmaybedeterminedby theStockBroker.1. Physical print copy of digital contract note can be availed from the
branches.2. DocumenthandlingchargeofRs.30/-shallbeapplicable: • Customerwhohasoptedforreceivingdocumentsbyelectronicmode:
Incasesuchcustomeralsointendstoreceivedocuments(contractnotesandotherrelateddocuments)byphysicalmode.
• Customerwhohasoptedforreceivingdocumentsbyphysicalmode:Incasesuchcustomerintendstoreceiveadditional/duplicatecopiesof documents (contract notes and other related documents) byphysicalmode.
Thischargemaybepartly/fullywaivedoffforhighnetworth/largecustomeratthediscretionofIIFLW.
3. TheabovechargesareexclusiveofServicetax,SecuritiesTransactionTax,otherchargesandstampduty.ThesameshallbechargedtotheClient’saccountonactualbasis.
4. Inter/settlement/Beneficiarytopooltransferwouldbecharged0.04%(MinimumRs.25)perscripplusservicetax.
5. Charges/servicestandardsaresubjecttorevisionatsolediscretionofIIFL Wealth Management Ltd. and as informed by communicationavailableonwebsiteorsentbyordinarypost/E-mail.
6. Valueof the transactionwillbe inaccordancewith ratesprovidedbyDepository.
7. Statutoryandotherleviesbeingchargesrelatedtotheexecutionand/orsettlementoftransactionsshallbeseparatelychargeableasinforcefromtimetotime
8. Chargesquotedabovearefortheserviceslisted.Anyservicenotquotedabovewillbechargedseparately.
9. CustomerisrequiredtomaintainaminimumbalanceofRs.1000/-inhis/herledgeraccount.
10. Norefundofaccountopeningchargeswouldbegiveniftheaccountcouldnotbeopenedduetononsubmissionofcompletedocumentsbytheclientorduetolackofdesiredco-operationfromtheclient.
11. Management reserves the right to freeze, discontinue or suspend anyaccountifrequired.
12. Incaseofexpiryoffuturecontractsandexerciseandassignmentofoption,DerivativesSettlementChargesmaybelevied.
13. Incaseofbuy/sellofsamesecurityduringtheday,thebrokeragewillbeleviedonhighersideofthetransactionamount/priceforbothintra-dayanddeliverytransactions.
14. CallcenterservicechargesofRs20percallfornoofcallsexceeding20inanymonth.
15. TheminimumaggregatebrokeragewillbeRs.25per scripperday fordeliverytradesincashsegment,subjecttoregulatorycaps,asapplicable.
16. BrokerageisalsoapplicableonExpiry/Exercise/AssignmentofOptionsContract
17. Dematchargesshallbeapplicableformutualfundtransactions..
Depository Charges
CreditCharges NIL
DebitCharges 0.04%(MinimumRs.25perdebittransaction)
A/cMaintenanceCharges* YearlyRs.400/-+ServiceTax
BROKERAGE(CASH) STANDARD QUOTED RATE RATE
BrokingServices
Intra-day
Delivery:(Normal)settlementExchangeTradeforTradeandZgroupscrip
Brokerage(Futures)
Brokerage(Options)Minimum
MinimumBrokerage
AuctionChargesLiquidBees
CurrencyBrokerage(Futures)
CurrencyBrokerage(Options)
EquityFundsandBalancedFundsDebtFunds/MIP/ArbitrageFunds/GoldETFShortTermFunds/UltraShortTermFunds/LiquidFundsStructuredProductsThirdPartyAIF/PMSBonds(>3yearmaturity)Bonds(<3yearmaturityTaxFreeBonds
0.05%
0.50%0.75%
0.05%1%ofPremiumorRs.100/-perlotwhichever
ishigher
0.05pershareor0.05%whichever
ishigher
1.00%
Rs.25perlot
Rs.10perlot
0.50%0.10%
Nil0.05%0.25%0.10%0.05%0.01%
OtherCharges
Standardcharges
Rejection/Failureperentry
ReconversionofMFunitsintoSOAorRedemption/RestatmentisationPerSOA
Pledgecreation
Pledgeclosure
DEMAT-Percertificate
REMAT-PercertificateORPer100Units/shares(Whicheverishigher)
ConversionofMFunits/Destatmentisation
PerSOA
PostalChargesperrequestshallbechargedseparately
--
Rs.50
Rs.15
Rs.15
Rs.15
Nil
Rs.15
--
*The charges will be pro-rated monthly from the month in which the account isopened till theendof the financial year. For subsequent financial years, the same ispayableatthebeginningofthefinancialyear**AMCandotherchargeswillbedebitedtoyourledgeronyearlyandmonthlybasisrespectively
I/WehaveunderstoodandacceptedtheScheduleofChargesasstatedhereinabove.
SIGNATURE
Sole/FirstHolder SecondHolder ThirdHolder
513
1523
513
19
RM NOTE AND CONFIRMATION
2. CLIENT RISK CATEGORISATION UNDER PMLA Low Medium High
3. WHERE DID YOU GET THE REFERENCE OF THIS CLIENT?
Self-AcquiredExistingClient(ifapplicablepleasehelpwiththenameoftheexistingclientaswell)
AcquisitionLeadAnyothersourceotherthantheabove;PleaseSpecify:
1.CompleteDocumentationReceivedasmentionbelow:
1.1SelfattestedclearPanCardandvalidaddressproofcopy
1.2Cancelledchequecopy(attestedbankstatementorpassbookifchequeisnotpersonalised)
1.3DulyfilledNominationform
1.4ClientMasterListofDemataccount
1.5FinancialDetails(forlast2years) Yes No
Yes No
Yes No
Yes No
Yes No
6. SUBMISSION CHECKLIST
7. “VERIFIED WITH ORIGINAL” STAMP AFFIXED ON PROOFS Yes No
DocumentsverifiedwithOriginals ClientInterviewedByIn-PersonVerificationdoneby
NameoftheEmployee
EmployeeCode
Designationoftheemployee
Signature
4. CLIENT BACKGROUND (Please provide a brief about the client in 2-3 lines)
1. PERSONAL DETAILS
FamilyDetails
FamilyName FRN
NewExisting*(*IfExisting,pleaseconfirmthefollowing)
DowemapthisclientastheHeadoffamily?YesNoWouldyouliketomapheldawayassetsaswell?YesNo
ClientName
8. SOURCE RM (PRIMARY RM)
Name Emp.Code
9. RM 2 (EQUITY RM/SUPPORTING RM)
Name Emp.Code
10. SERVICE RM
Name Emp.Code
I/Weundertakethatwehavemadetheclientawareof‘PolicyandProcedures’,tariffsheetandallthenon-mandatorydocuments.I/Wehavealsomadetheclientawareof‘RightsandObligations’document(s),RiskDisclosureDocumentandGuidanceNote.I/Wehavegiven/senthimacopyofalltheKYCdocuments.I/Weundertakethatanychangeinthe‘PolicyandProcedures’,tariffsheetandallthenon-mandatorydocumentswouldbedulyintimatedtotheclients.I/Wealsoundertakethatanychangeinthe‘RightsandObligations’andRDDwouldbemadeavailableonourwebsite,ifany,fortheinformationoftheclients.IhavereadandunderstoodthatifanyoftherequirementsisnotfulfilledthenapenaltywouldbechargedtomeoranyotheractionmaybetakenasdeemedfitbytheManagementfornoncompliancefrommyend.
11. DECLARATION
NameoftheEmployeeofIIFLW EmployeeCode
EmployeeSignature&Stamp Date
5. OTHER DETAILS
ExpectedAUM_____________________(Rs.inCrs)
ProductofHighInterestDirectEquityMutualFundsStructuredProductsBonds&OtherDebts
ManagedAccounts(DiscretionaryPMS)Commodities
YesNo
Clientspreferences(selectfrombelow:)
ResearchReportProductUpdate/Launches
RegulatoryCommunication
CorporateCommunication
Gift
GreetingsYesNo
YesNo
YesNo
YesNo
YesNo
20
1. I/Weherebydeclarethatthedetailsfurnishedabovearetrueandcorrect to the best ofmy/our knowledge and belief and I/weundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,Iam/weareawarethatI/wemaybeheldliableforit.
2. I/Weconfirmhavingread/beenexplainedandunderstood thecontentsofthedocumentonpolicyandproceduresandthetariffsheet.
3. I/Weconfirmhavingreceivedacopyofthefollowingdocumentsandfurtherconfirmhavingreadandunderstoodthecontentsofthesedocuments:-
•RightsandObligationsofStockRightsandObligationsofStockBrokers,Sub-BrokersandClientsasprescribedbySEBIandStockExchanges
• Rights and Obligations of Beneficial Owner and DepositoryParticipantasprescribedbySEBIandDepositories
• Risk disclosure Document for Capital and DerivativesSegment
• Guidance Note-Do’s and Don’ts for Trading on theExchange(s)forInvestors
•PoliciesandProceduresapplicabletoclients.
I/Wedoherebyagreetobeboundbysuchprovisionsasoutlinedinthesedocuments.
I/We further understand that any change in the sai documentsincludingthe“PoliciesandProcedures”shallbemadeavailableonthewebsiteofIIFLWandI/Weshallkeepmyselfupdatedofthesame.
4. The rules and regulations of the Depository and DepositoryParticipantspertainingtoanaccountwhichareinforcenowhavebeenreadbyme/usandI/wehaveunderstoodthesameandI/weagreetoabidebyandtobeboundbytherulesasareinforcefromtimetotimeforsuchaccount.
5. In case non resident account, I/We also declare that I/We havecompliedandwillcontinuetocomplywithFEMAregulation.
6. I/We hereby consent to receiving information from central KYCRegistry through SMS/Email on the above registered number /emailaddress.
7. I/WeherebyagreethatIIFLWmayassign/transferentireorpartofitsbroking,depositoryparticipantand/ordistributionservices,toits associate or group companies,without prior consent of theclient.
8. I/WeagreethattheBrokingaccountwillbeopenedinthenameofthefirstapplicantonly.
9. The instruction/authorization received from the accountholder(s)/authorizedrepresentativeaspermodeofholdingstatedinSchedule1tothePowerofAttorneyonshallbeexecutedbytheattorney.
DECLARATION / CONSENT
NAME SIGNATURE
SOLE/FIRSTHOLDER
SECONDHOLDER
THIRDHOLDER
GUARDIAN(incaseSoleHolderisMinor)
613
33
613
1623
21
22
To,
IIFLWealthManagementLtd.
DearSir/Madam,
I/WewishtoreceivealertsincludingdetailsoftransactionsfromStockExchange/DepositoryParticipant(DP)onthefollowingmobileNo.and/oremailaddress.
DateDD M MY YY Y
I/Wedeclarethattheaboveismy/ourpersonalmobilenumberand/oremailaddress.I/Wewillbesolelyresponsibleforthesecurityoftheinformationprovidedonmy/ouraforesaidmobilenumberand/oremailaddress.IamfullyawarethatifsamemobilenumberisprovidedforsomeotheaccountwithIIFLW.thenIwillkeepatrackforthepasswordrequestsplacedfordifferentaccountsandIIFLW.willnotbeanywayresponsibleorliableforthesame.
I/Weagreetoabidebyandtobeboundbytherulesasareinforcefromtimetotimeforsuchaccount.I/Weherebydeclarethatthedetailsfurnishedaretrueandcorrecttothebestofmy/ourknowledgeandbelief.I/Weundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingofmisrepresenting,I/Weam/areawarethatI/Wemaybeheldliableforit.
Further,I/WeagreeandundertaketoindemnifyIIFLWanditsgroupcompanies,thattheywillnotbeheldliable/responsibleforanylosses,claims,damages,costandliabilitiesetc.causedtome/usduetomisuseofthisinformationorpursuanttoanylitigation,non-litigation,complaintsactions,etc.thatmayariseinfutureonaccountofmy/ouraboveauthorizationrequest.DetailsforJointHolder/Family(*)Account/MultipleAccount'sforwhomcommonmobilenumberandemailaddresstobeupdatedisasfollows;
Place_______________________________Date____________________________
Note*”Family”shallmeanself,spouse,dependentchildrenanddependentparents.
AUTHORIZATION FOR RECEIVING COMMUNICATION ON COMMON MOBILE NO AND EMAIL ADDRESS FOR TRADING,
DEMAT AND DISTRIBUTION ACCOUNT
NSDL-IN304158
CDSL-12083300
NSDL-IN304158
CDSL-12083300
NSDL-IN304158
CDSL-12083300
NSDL-IN304158
CDSL-12083300
1 2 3 4
LoginId
DPid(Cancelwhicheverisnotapplicable)
Clientid
Relationshipwithaboveperson
FirstHolderName
Signature
SecondHolderName
Signature
ThirdHolderName
Signature
1723
713
713
LoginId(Incaseregisteredclient)
MobileNoName EmailaddressLoginId
(Incaseregistrationclient) Signature
ThisPowerofAttorney(POA)ismadebythepersonsmentionedintheSchedule 1 in favour of “IIFLWealthManagement Ltd.”, a companyincorporatedundertheprovisionsoftheCompaniesAct,1956inIndiaandhavingitsregisteredofficeatIIFLHouse,SunInfotechPark,RoadNo.16V,PlotNo.B-23,ThaneIndustrialArea,WagleEstate,Thane-400604and(hereinafterreferredtoas'IIFLW',anexpressiondeemedtomeanandincludeitssuccessorsandassigns)WHEREASIIFLW isinteraliaregisteredwithSEBIasaStockBrokerbearingSEBIregistrationnos.INZ000011437andisamemberoftheNational Stock Exchange of India Limited (“NSE”) and BSE Limited(“BSE”) on the Capital Market Segment, Wholesale Debt Segment,Futures&OptionsSegmentandCurrencyDerivativesSegment.ANDWHEREAS IIFLW is also registeredwith SEBI as a DepositoryParticipant, bearing SEBI registration number IN-DP-271-2016 andregisteredwith theNationalSecuritiesDepositoryLimited(“NSDL”)andwithCentralDepositoryServices(India)Limited(“CDSL”).ANDWHEREASIIFLWisregisteredwithAssociationofMutualFundsinIndia(“AMFI”)asMutualFundDistributorhavingRegistrationno.ARN-59563.AND WHEREAS IIFLW as a part of / incidental to the aboveemblements, offers distribution of Initial Public Offers/Follow onPublicOffers,OfferforSale,MutualFunds,AlternateInvestmentFunds,Bonds/Debts,NationalPensionSchemeandotherfinancialproducts;ANDWHEREASI/WewishtoavailtheservicesofferedbyIIFLWandhasenteredintonecessarydocumentswithIIFLWforavailingvariousservicesfortransactingand/orinvestinginsecuritiesorotherfinancialproducts with/without Online trading/E-broking & web basedfacilities and/or services through itswebsitewww.iiflw.com or anyotherwebsite used for offering said Services or directly inmy/ourtrading,depository,distribution,bankaccount(collectivelyreferredtoas 'clientaccounts')andwherein thedetailsofmy/ourTradingandDemataccountandbankaccountdetailsareprovidedinSchedule2hereunder and WHEREAS for facilitating smooth investmentsredemption/operationsoftheservicesasmentionedhereunderbeingavailed from IIFLW byme/us, I/We am/are desirous of appointingIIFLWasanattorneyandconferuponitpowershereinafterstated.NOWTHESEPRESENTSWITNESS that I/We, dohereby, jointly andseverallynominate,constituteandappoint“IIFLWealthManagementLtd.”(IIFLW) being a Stock Broker and Depository ParticipantregisteredwithSecuritiesandExchangeBoardofIndia(“SEBI”)andAMFI registered distributor of Mutual Funds and as distributor ofvarious financial products, acting throughanyof its officers and/oragents,asmy/ourtrueandlawfulConstitutedAttorney(hereinafter
POWER OF ATTORNEY (POA) IN FAVOUR OF IIFL Wealth MANAGEMENT LTD.
VoluntaryandLimitedpurposePowerofAttorney(POA)infavourofIIFLWforoperationalrequirements
asperclientauthorization/instruction.
referredtoasthesaidAttorney)forme/us,inmy/ournameandonmy/ourbehalfandatmy/oursoleriskandcosts todo,exercise and perform all or any of thefollowingacts,deedsandthings:1. To i n s t r u c t t h e D e p o s i t o r y
Participant, being IIFLW to transfersecurities held inmy/our beneficialowner/demataccountasprovidedinSchedule 2 or such other demataccount as may be intimated byme/us to IIFLW from time to time(“clientdesignateddemataccounts”)to such demat account of IIFLW asprovided in Schedule 2 and/ordesignatedbyIIFLWandintimatedtome from time to time (“IIFLWdesignateddemataccount”)towardss t o c k e x c h a n g e r e l a t e dmargin/delivery obligations andother transactions arising out oftrades executed by me/us throughIIFLWinanysegmentincludingcash,derivativesandcurrencyderivativessegment.
2. To operate the Bank Account onmy/ourbehalfinconnectionwiththeTrading/Distribution Account andperformthefollowingfunctions:
i. TowithdrawortransferanysumsfromtheBankAccount towardsany transactions/obligations tothe Stock Exchanges/IIFLW,irrespective of debit or creditbalance inmy ledger statementof trading / distribution /distributionaccount;
ii. Toset-offanysumofmoniesfromthe Bank Account against anyoutstanding amount payable byme/ustoIIFLW;
iii. Topreparesignandsubmitallthef o r m s , s t a t e m e n t s
SIGNATURE 1823
Sole/First Holder Second Holder Third Holder
813
813
23
andndeclarationsasmayberequiredinrespectoftheBankAccount and collect cheque books/leaves/bank statementfrom the bank in respect of the Bank Account opened inconnectionwith the trading/ distribution services accountopenedwithIIFLW.
3. Pursuanttoinstructions,receivedfromthepersons(aspermodeof Operation) mentioned in Schedule 1 of the POA, to makeinvestments in various financial products i.e. Mutual Funds,Alternate Investment Funds, Bonds/Debts, National PensionScheme and other financial products from the credit balanceavailableinledgerstatementoftrading/depository/distributionaccount and/orredeemtheinvestmentsfromtheabovetowardsmeeting my obligations/ledger debits towards facilitating myinvestments/disinvestments and in this regard IIFLW isauthorized:
i. To enable/execute the transactions throughmy designatedBrokingaccount/Demataccount/Bankaccount/IIFLWledgeraccount/IPO, Bonds & Debts Account/Direct Investmentaccountfromtimetotime.
ii. Tosign/execute/submitnecessaryapplication/instructions/forms/intimationasmayberequiredbytherespectiveFundHouses/Institutions/Banks/ Issuers/ Companies or otherentitiesforpurchase,sell,redemptionortransferofSecuritiesetc.throughphysicalorelectronicorinternetplatformsfromtimetotime.
4. To make application and/or issue instruction for creation/invocation/closure of pledge on the securities/units held inmy/ourclientdesignateddemataccountsinfavourofIIFLWforthe limited purpose of meeting the margin requirements inconnectionwiththetradesexecutedbyme/usthroughIIFLWonanyStockExchangeand/oranyothertransactionsarisingoutoftradesexecutedbyme/usthroughIIFLWinanysegmentincludingcash,derivativesandcurrencyderivativessegment.
5. Generallytodoallsuchacts,deeds,mattersandthingsasmaybenecessaryfororincidentaltoensuringthatallpaymentsforanddelivery of securities arising out of transactions undertakenbyme/usthroughIIFLWaredulyandproperlycompleted.
6. Pursuanttoinstructionsreceivedfromthepersons(aspermodeofOperation)mentionedinSchedule1ofthePOAtomakenecessaryapplications onmy/our behalf to any officials or authorities inIndia,includingbutnotlimitedto,theCentralGovernment,and/ortheReserveBankOfIndia,IncomeTaxAuthority,StockExchanges,SecuritiesandExchangeBoardofIndiainconnectionwithmy/ourpurchase/sale/transferofthesecurities,andtorepresentmeinall respects before such authority/ies and establish withoutencumbrancetheownershipofsecuritiesinmy/ourname;
7. The term “Securities” shall include shares, scrips, stocks, bonds,warrants, options, futures, derivatives, convertible debentures,non-convertibledebentures, securitizeddebt instruments, fixedreturninvestment,equitylinkedinstrumentsorothermarketableSecuritiesofalikenatureinorofanyincorporatedcompanyorother body corporate, negotiable instruments, usuance Bills ofExchange, deposits or other money market instruments,commercialpaper,certificateofdeposit,unitsissuedbyUnitTrustof Indiaandunits issuedbyMutualFunds,mortgagebackedorother asset backedSecurities issuedby any institutionorbodycorporatecumulativeconvertiblepreferencesharesissuedbyanyincorporatedcompanyandSecuritiesissuedbyanyincorporatedcompanyandSecurities issuedby theCentralGovernmentoraStateGovernmentforthepurposeofraisingpublicloanandhavingoneoftheformsspecifiedinClause(2)ofSection2ofthePublicDebtAct,1944,anyothernewformofcapitalormoneymarketinstrumentsthatmaybeissuedinthefuturebyanyincorporatedcompany/firm/institutionorGovernment.
8. Pursuanttoinstructionsreceivedfromthepersons(aspermodeofOperation) mentioned in Schedule 1 of the POA(general orspecific) to apply for various products and securities includingMutualFunds,AlternativeInvestmentFunds,StructuredProducts,Public issues of securities including shares, debentures, rights,offerforsale,tenderingsharesinopenoffersetc.
9. Pursuanttoinstructionsreceivedfromthepersons(aspermodeofOperation) mentioned in Schedule 1 of the POA to acquire bysubscribingtoorbypurchaseofsecuritiesoranyotherinvestmentproductsandtosell,transferandendorsethesameorredeemthesame or otherwise deal in the securities and/or any otherinvestment products including but not limited to Initial PublicOfferings,FurtherPublicOfferings,BuyBackOffers,RightIssueseitherthroughinternetusingidentificationnumberissuedbyanyAuthorityfromtimetotimeorotherwise,and/ortosignandtoexecutealltransferdeedswhetherastransferorortransfereeandsuch other instruments, applications and papers as may benecessary for acquiring or transferring/redeeming the same,markingpledge/lienonsuchsecuritiesand/orfortransferringtheinvestments in the units of Mutual Funds from one scheme toanotherorbetweenMutualFundsand/orotherwiseasmayberequiredtodealinthesecuritiesorotherinvestmentproducts.
10. Pursuanttoinstructionsreceivedfromthepersons(aspermodeofOperation) mentioned in Schedule 1 of the POA to makeapplications for or to renounce and sign renunciation forms inrespectofbonds/debentures,rightsharesandadditionalsharesofanyCompany/Body/Authorityandtoreceiveandholdsuchrightsoradditionalsharesbondsordebentures.
11.Toissueordersandinstructionsforacquisitionsanddisposalofinvestmentsforandonbehalfofmyself/ourselvesandto purchase or otherwise acquire, invest and sell or otherwisedisposeoffsecurities.
12 Tosignthenecessaryformsandotherdocumentsifanyandtofilethesamewiththecompany/iesand/orMutualFundconcernedorany other entity for purchase, sell, redemption or otherwisetransferofsuchsecurities/unitsofMutualFundsandtransferringitinmy/ourname.
13. Toforwardallsuchapplicationsplacedthroughthewebsitetotheonline-IPOmoduleoftheconcernedExchangeorowner/issuerofInvestmentProduct.
14.Toreceivestatementsandotherdocumentspertainingtotheaboveunits/securitiesandtoacknowledgereceiptofthesame.
15.Todoall suchactsand thingsasmaybenecessary toeffect thesubscription/purchase/redemption or any other transaction inanysecuritiesand/orInvestmentProductforwhichservicesareavailedfromIIFLW.
16. To debit the purchase price of such securities or any otherfees/chargesetc.duetoIIFLWandtodischargeallobligationinthisregardonmy/ourbehalf to IIFLW, inmyaccountwith IIFLWealthManagementLtd.
17. Tooperate and to givedelivery/receive instructions, borrowingand lending instructions, pledge instructions, pledge closureinstructionsandtodoallsuchotherthingsthatmaybenecessaryinthecourseofbusinessrelatingtooperationofclientdesignateddemataccount(s)ortowardstheobligationfortransactionsdonethrough IIFLW, including transactions on NSE, BSE and otherExchange,undermy/ourinstructions.
18. Toexecutethesharetransferrequestsgivenbyme/usthroughthewebsite or any other medium and process the documentsauthenticatedbyauthorizedsignatoriesempoweredtodoso inthisregard.
19.To square off at its discretion my/our position oftransactionsthatarenotdeliverymarkedduringtheday.
20. To demand, receive and give good and effectual receipt(s) and
SIGNATURE 1923
Sole/First Holder Second Holder Third Holder
913
913
24
discharge(s)foralloranydividends,interest,bonusesoranyothersum(s)and/orincomearisingfromtheshares,debentures,unitsand other investments and to sign and endorse pay orders,dividend/interestwarrantsorcertificates,receivealldebts,sumsofmoney,principal,interest,dividendorotherduesofwhatevernatureoraccountwhicharenoworatanytimedueandpayableandbelongtome/us.
21.Forthepurposeoftheaforesaidtosigncontracts,agreements,transfers, acceptances, receipts, or other instruments,documents and forms, to accept and carry out correspondencewithsuchperson(s)orauthority/authoritiesordepartment(s)andtodoallsuchlawfulactsrequisiteforeffectingthesame.
22. To correspondwith and givenotice to the correspondingAssetManagement Company/Body Corporate/Registrar & TransferAgentofsecuritiesincludingbutnotlimitedtogivinginstructionswithregardtonomination/changeininvestmentplans/anyotherchangesthatmaybenecessitated/instructedbyme/us.
23. Tocomplyand/orcausetobecompliedwithallstatutoryandotherrequirementsattachedtoorarisingoutofthesepremisesandforthesepurposetotakesuchstepsandactionsnecessaryorproper,including signing of affidavits, indemnity, declarations, legaldocuments,deedsandwritingsrequired.
24. Tosendconsolidatedsummaryofmy/ourscripwisebuyandsellpositions taken with average rates by way of SMS/ e-mail atmy/our registeredmobile no./email id as provided byme/ usthroughcontractnoteoranyother intimation,onadailybasis,notwithstanding any other document to be disseminated asspecifiedbySEBIfromtimetotime.
25. Toarrangetoreturntome/usthesecuritiesthatmayhavebeenreceivedbyIIFLWerroneouslyorthosesecuritiesthatIIFLWisnotentitledtoreceivefromme/us.
26. Foralloranyofthepurposeaforesaidtoappointfromtimetotimearepresentativeandtorevokesuchrepresentationbutsothattheappointment of any such representative shall not affect orprejudicetherightsorpowersoftheAttorneytoacthereunderandthe Attorney may continue to do so notwithstanding suchappointments.
27. Totemporarilyinvest,withoutmy/ourconsent,thecreditbalancewhich is lying idle inmy/our ledger and/or bank statement oftrading / depository / distribution account, in liquid assetsincluding units of liquid, money market and ultra-short termschemesofmutualfundsandalsoredeem/sellthesaidtemporaryinvestment(s);
28. Toinstructthebanktotransferthefundsanddebitmy/ourbankaccount(s) mentioned hereunder to meet with the followingrequirement;
i. Towards meeting the settlement obligations / marginrequirements in connection with the trades executed byme/us in connection with the trades executed by me/usthrough IIFLW on any Stock Exchange and / or any othertransactionsarisingoutoftradesexecutedbyme/usthroughIIFLW,
ii. To recover any outstanding amount due/debit balance asreflectinginmyledgerstatementarisinginconnectionwiththe trades executed byme/us through IIFLWon any StockExchangeand/oranyothertransactionsarisingoutoftradesexecutedbyme/usthroughIIFLW.
iii . Towards the payment for subscription of financialproducts/facilities/servicesthroughIIFLWlikeMutualFunds,PublicIssues(sharesaswellasdebentures),rights,offerofsharesetc.
iv. Topayanyothermonies/fees/charges/costexpensesetc.duep aya b l e t o I I F LW f o r a va i l i n g / s ub s c r i b i n g t ofacilities/servicesavailedbyme/us.
v. Toinvestavailablecreditbalanceinanyoffinancialproductsaspermy/ourinstructiontoIIFLW.
29. Toprepare,complete,signandsubmitallforms,statementsanddeclarationsasmayberequiredinrespectofoperatingofthebankaccount(s).
30. Tomake,draw,sign,endorse,negotiate,acceptandreleaseasthecase may be cheques, drafts , pay orders, telegraphictransfers/directtransfersontheinternetorothersecuritiesforpaymentofmoneywhetherdebitorcreditinmy/ouraccount(s)withtheIIFLW.
31.Tomake,signandexecuteallformsanddocumentsasrequiredtooperate depository account with depository participant and toissueinstructionsrelatingtodematerializationorrematerialisingof securities, freezing of accounts, to block and/or debit theaccount,togivedelivery/receiptinstructions,pledgeinstruction,pledgeclosureinstructions,lendingandborrowinginstructions,andtodoallsuchotherthingsthatmayberequiredinthecourseofbusiness relating to the depository account opened onmy/ourbehalf including closure of the account if deemednecessary orexpedient.
32. Subject to Exchange Control Regulations in India to demand,receiveandgivegoodandeffectualreceipt(s)anddischarge(s)foralloranydividends,interest,bonusesoranyothersum(s)and/orincomefromtheshares,debentures,unitsandotherinvestmentsand to sign and endorse pay orders, dividend or other dues ofwhatevernatureoraccountwhicharenoworatanytimemaybedueandpayableandbelongtome/orusonanyaccount(s).
33. Toenterintoandexecutesuchdeeds,documentsandwritingsasmayberequired for thepurposesofopening,operatingand/orclosingofanybankaccountwithanyBankinIndiainournameandonourbehalf,inconnectionwiththesaidcreditfacilities.
34. Toprepare,complete,signandsubmitallforms,statementsanddeclarations as may be required in respect of the opening,operatingandclosingthebankaccount(s).
35. To receive and deposit the monies realized from sale of thesecurities or any other financial products and all interest/dividendsinmy/ourbehalfinmy/ourbankaccount;
36. Further to standing authority to invest in liquid assets, asmentionedinpointnumber27ofthispowerofattorney, IIFLWmayinvest/redeemtheavailablecreditbalanceinmy/ourledgeraccount/demataccount/bankaccountininsuchothersecuritiesandfinancialproducts,asinstructedbyme/us;
37.Todooromit todoallsuchactsandthingsas IIFLWmay in itsdiscretion consider to be necessary or desirable in order toexerciseitspowershereunderortocomplywithanylaws,orders,rules,regulationsordirectionsofanygovernmentorregulatoryorotherauthorities.
38.My/OurAttorneyIIFLWshallnotbe liableforanylossthatmayresultfromfailure/inabilityofelectronicconnectivityorrejectionofmy/ourapplicationforanyreasonwhatsoever.
39.My/OurAttorneyIIFLWshallnotbeliableforanytransactionprocessedonthebasisof informationprovidedbyIIFLWtotheissuers/owners of securities or investment products in theapplicationsorotherwisebasedontheinformationprovidedbyme/us.
40. Toattend,voteandotherwiseactasattorneyorproxyatmeetingsofthemembers,creditors,debenturesholdersofanycompanyinwhichSecuritiesareacquiredorheldpursuanttothisauthorityforandonmy/ourbehalfand/orpermy/ourinstructions.
41. To buy/sell foreign exchange onmy/our behalf and to sign alldocumentsrelatedtorepatriatingthefundfrommy/ouraccount.
42. ItisherebyclarifiedanddeclaredthattheAttorneybeingabodycorporate,thepowerhereinabovegrantedmaybeexercisedby
SIGNATURE 2023
Sole/First Holder Second Holder Third Holder
1013
1013
25
anyofitsagentsoremployeestowhomtheAttorneymaydelegateany of the powers aforesaid and accordingly the Attorneymayappointandremoveanysub-agentorAttorneyfromtimetotimeasitmayconsiderappropriate.
43. TheAttorneyshallhavethesoleauthorityandpowertooperatethe said Account with the Bank and I/we hereby declare andundertakenottooperatesuchAccountduringthecurrencyofthisPowerofAttorneyinanymannerwhatsoeverMy/OurAttorneyIIFLWshallnotbeliableforanylossthatmayresultfromfailure/inability of electronic connectivity or rejection of my/ ourapplicationforanyreasonwhatsoever.
44. I/ We hereby agree that all such acts done by my/ our abovementionedattorneyshallbedeemedtobeactsdonebyme/usandifnecessaryshallberatifiedbyme/usontheinstructionsofthesaidattorney.
ANDI/WeherebyagreethatIIFLWshallexercisesuchpowersandauthorities conferred under the above Power of Attorney onlypursuant to the instructions in that behalf given by me/us ormy/our Authorised Representative, whichmay be given orally,overthetelephone,throughtheinternet,electronicallyorinanyothermanneracceptabletoIIFLWandsuchinstructionsshallbedeemedtohavebeengivenbyme/usandshallnotbequestionedbyme/usandshallbeconclusiveandbindingonme/us.
My/Our“AuthorisedRepresentative”forthepurposeofthisPowerofAttorney shall mean Mr./Ms. __________________ or such other person
appointedbyme/usandintimatedbyme/usinwritingtotheAttorneyfromtimetotime.AND I/We hereby agree that all such acts done by my/our abovementionedattorneyshallbedeemedtobeactsdonebyme/usandifnecessary shall be ratifiedbyme/uson the instructionsof the saidattorney.ANDI/WEDOHEREBYCONFIRMANDDECLARETHATthisPowerofAttorneyshallbevalid,effectiveandoperativeonlyaftertheexecutionbybothpartiesandacceptancebyIIFLWandshallremaininforcetillmyaccountisintheoperationandactive.I/WemayrevokethisPowerofAttorneyatanytimebygivinganoticetoIIFLWinwritingandthecessationofthisauthorityshallnotaffectorimpairanyacttheretodoneinexerciseofthesepresents.Suchnoticeshallbedulysignedbyme/usandshouldbereceivedat5thFloor,IIFLCentre,KamalaCity,SenapatiBapatMarg,LowerParel(W),Mumbai-400013.I/Weherebyundertaketoensurethatpriortotherevocation of this power of attorney all amounts of debit balancesincluding penalties and other charges & expenses till the date ofrevocationduetotheAttorneyasperitsrecordsarepaid/clearedinfull.Therevocationofthispowerofattorneyshallbecomeoperativeonlyafterallamountsofdebitbalancesincludingpenaltiesandotherchargesandexpensesthatarepayablebymearepaidinfull.This document shall be subject to the jurisdiction of the Courts
in______________.MADEandexecutedat____________onthis____________dayof_________________20_________.
INWITNESSWHEREOFI/Wehavehereuntosetandsubscribedmy/ourrespectivehandstothesepresentsthedayandtheyearhereiabovewritten
SCHEDULE2a.ClientDesignatedDematDematAccountNo.
b.IIFLWDesignatedDemat/BankAccountNos.andForMutualFundsNSCCL&ICCLCM-BPIdsDPName:IIFLWealthManagementLtd.
DPID:12083300(CDSL) BankAccountNos.DPID:IN304158(NSDL)
NSE-12083300-00000042BSE-12083300-00000023
NSE-10000012BSE-10000004
SignedandDeliveredby
SIGNATURE 2123
Sole/FirstHolder SecondHolder ThirdHolder
1113
1113
SCHEDULE1
Name Age Address
First/SoleHolder(TradingAccountClient)
SecondHolder
ThirdHolder
TradingAccountNo./ClientIDDematAccountNo.BankAccountNo.
ModeofOperation(forDistributionPOAAccountonly)
SinglyJointly_______________AnyoneorSurvivor
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AnnexureEnclosed-AnnexuretoSchedule2
Weherebyagreetoexercisethepowersconferreduponusintermsoftheclausesmentionedhereinabove.
ForIIFLWealthManagementLtd.
AuthorisedSignatory Date:______________________________
CLIENT’SWITNESSFORPOWEROFATTORNEY(forandonbehalfoftheClient)
Witness2
Name
Address
Witness1
Name
Address
Signature Signature
27
SrNo Category DPName DPID Client/BOId
1 CMPOOL IIFLWealthManagementLtd. 12083300 00000042
2 CMPOOL IIFLWealthManagementLtd. 12083300 00000038
3 CMPrincipal IIFLWealthManagementLtd. 12083300 00000023
4 CMPOOL IIFLWealthManagementLtd. 12083300 00000116
SrNo Category DP Name DP ID Client/BOId
1 CMPOOL IIFLWealthManagementLtd. IN304158 10000012
2 CMPOOL IIFLWealthManagementLtd. IN304158 10000004
3 ClientMarginAccount IIFLWealthManagementLtd. IN304158 10000037
4 ClientMarginAccount IIFLWealthManagementLtd. 12083300 00000057
5 ClientMarginAccount IIFLWealthManagementLtd. IN304158 10024902
6 ClientAccount IIFLWealthManagementLtd.-ClientAccount 12083300 00000061
7 ClientAccount IIFLWealthManagementLtd.-ClientAccount IN304158 10022343NSDL
Annexure to Schedule - 2 IIFLW Designated Demat A/c with IIFL Wealth Management Ltd
NSDL
NSDL
NSDL
CDSL
NSDL
CDSL
Depository
CDSL
CDSL
CDSL
CDSL
Depository
AUTHORIZATION LETTER
To, Date:_____/_____/________IIFLWealthManagementLtd.IIFLHouse,SunInfotechPark,RoadNo.16V,PlotNo.B-23,ThaneIndustrialArea,WagleEstate,Thane-400604.Sir,A. AvailingMutual Fund Service System (MFSS) facility/ BSE StARMUTUAL FUND (hereinafter jointly referred to “Mutual Fund
TransactionFacilities”)YesNo I/Weam/areinterestedinavailingthetradingfacilityoftheExchangesforthepurposeoftransactingintheunitsofMutualFundsSchemes
permittedtobedealtwithontheMFSSandBSEStARMUTUALFUNDofNSEandBSErespectively. I/Wethereforerequestyoutoregisterme/usasyourclientforparticipatingintheMutualfundtransactionfacilities(MFSSandBSEStAR
MUTUALFUND). I/WearewillingtoabidebythetermsandconditionsasmentionedintheNSECirculardated24/11/09,BSECirculardated02/12/2009and
furthercircularsasmaybespecifiedbytheExchangesfromtimetotimeinthisregard. I/WeshallalsoensurecompliancewiththerequirementsasmaybespecifiedfromtimetotimebySecuritiesandExchangeBoardofIndiaand
AssociationofMutualFundsofIndia(AMFI).Forthesaidpurposeofavailingthesefacilities,I/WestatethatKnowYourClientdetailsassubmittedbyme/usforthestockbrokingmaybeconsideredforthepurposeofMutualfundtransactionfacilitiesandI/Wefurtherconfirmthatthedetailscontainedinsameremainunchangedasondate.
I/WeshallreadandunderstandthecontentsoftheSchemeInformationDocumentandKeyInformationMemorandum,addendaissuedregardingeachMutualFundSchemeswithrespecttowhichI/Wechoosetosubscribe/redeem.I/Wefurtheragreetoabidebythetermsandconditions,rulesandregulationsoftheMutualFundSchemes.
WithreferencetomyapplicationforregisteringasaclientforMutualFundTransactionfacilitiesofferedbyNSEandBSE,I/WeherebyundertaketoprovidefundstotheParticipantequivalenttothesubscriptionamountandapplicablebrokerage/fees/chargesbeforeapplyingformutualfundunitsthroughtheParticipant.
Forthispurpose,I/WeherebyauthorizeIIFLWealthManagementLtd.toutilizethesurplusfundsinmy/ourBrokingaccountheldwithIIFLWealthManagement Ltd. in its capacity as a StockBroker and transfer funds to the extent of subscription amount and/or applicablebrokerage,fees,chargesandotherstatutorylevies(incaseofbothsubscriptionandredemption)and/oranyotherobligationtomeetthedebitinmy/ourMutualfundtransactionaccount.
My/ourexposurelimitsinmytradingaccountshallbereducedtotheextentoftheamountutilizedfortransactinginthemutualfundunitsaspermyinstruction.Incaseofsubscriptionrequest,I/Weherebyunderstandandagreethatbasedonmyinstruction,theamountwillbedebited inmyMutual fund transaction account and surplus funds shall be transferred frommy Broking account tomymutual fundtransactionaccountasperthisauthorityletter.I/WefurtheragreeandunderstandthatsuchfundswillbeusedbytheParticipantforapplyingformutualfundunitsafterdeductingtheapplicablebrokerage,fees,chargesandotherstatutorylevies.I/WeagreeandundertaketomakegoodsuchshortfallimmediatelyasmaybeinformedbyIIFLWealthManagementLtd.fromtimetotime.
Incaseofaredemptionrequest,I/WeagreeandauthoriseIIFLWealthManagementLtd.todebitmymutualfundtransactionaccounttotheextentofapplicablebrokerage,fees,chargesandotherstatutoryleviesandfurtherauthorizetoutilizethesurplusfundsinmy/ourBrokingaccountheldwithIIFLWealthManagementLtd.initscapacityasaStockBrokerandtransferfundstotheextentofapplicablebrokerage,fees,chargesandotherstatutorylevies(incaseofbothsubscriptionandredemption)and/oranyotherobligationtomeetthedebitinmy/ourMutualfundtransactionaccount.
B. AuthorizationforSystematicInvestmentinMutualFund/SecuritiesYesNo I/WeherebyauthorizeIIFLWtoexecuteanorderinmy/ouraccountheldwithIIFLWforpurchaseofthesecuritiesand/ormutualfundunits
undersystematicinvestmentplanonmy/ourbehalfaspermy/ourinstructions. I/Wefurtheragreeandunderstandthatallthetermsandconditionsofthetradingagreement/termsandconditionenteredinto/agreedwith
IIFLWshallbealsoapplicabletotheinstructionsforsystematicinvestmentinmutualfundunits/securitiesandI/Weherebyagreetoabidebythesameatalltimes.
I/WeunderstandthattheinstructionsforsystematicinvestmentcanbegivenbymeinwritingorthroughtheonlinefacilityprovidedbyIIFLWoroverrecordedtelephoneline.I/Weherebyagreeandunderstandthatthesaidinstructionsshallbevalidandbindinguponme/usuntilmodifiedand/orcancelledbyme/usbygivingvalidinstructiontoIIFLWeitherinwritingorthroughtheonlinefacilityprovidedbyIIFLW.
I/WeherebyundertaketogiveanECSmandate/standinginstructioninfavorofIIFLWtowardsmy/ourtradeobligationsarisingoutofthisauthorizationorI/weherebyauthorizeIIFLWtoexecuteorderunderSIPonthebasisofclearfundavailableinmyledgeraccountandasperriskmanagementpolicy.
I/WeherebyauthorizeIIFLWtodebitmy/ourtradingaccountheldwithIIFLWtowardsmy/ourtradeobligationsandallthefees,charges,taxes,brokerageetcdueandpayablebyme/us.
I/Weunderstandthatthisauthorizationcanberevokedbyme/usatanytimebygivingawrittennoticeatleast30daysinadvancetoIIFLW.I/WeunderstandthatsuchrevocationshallbeeffectivefromthedateofreceiptofconfirmationofthesamefromIIFLW.I/Weagreeandundertaketofulfillallmy/ourobligationsaspertheinstructionsforsystematicinvestmentarisinginmy/ouraccountbeforetheeffectivedateofsuchrevocation.
I/We agree to abide by the Terms and Conditions applicable for Systematic Investment in Mutual Fund and/or Securities and anyamendmentstheretoatalltimes.
I/WeundertaketoindemnifyandkeepindemnifiedIIFLWanditsdirectors/officersforalltradesexecutedonmy/ourbehalfaspertheinstructionsgivenbyme/us.
C. RUNNINGACCOUNTAUTHORISATIONYesNo AuthorisationtoIIFLWealthManagementLtd.a) Iwouldliketokeepsecuritiespurchasedbymewithyouascollateralforgivingmeexposurelimitsinmytradingaccount/marginobligation.I
authorizeyounottotransfershares/securitiespurchasedbymetomydematbeneficiaryaccountandkeepthemwithyourselves.Ialsoauthoriseyoutopledgetheseshares/securitieswiththeClearingMember/Exchange/Custodian,atyourdiscretion. Incaseanyof theshares/securitiesaresoldinsubsequentsettlements,youmaytakethisasastandinginstructiontoadjustagainstmypreviouspurchasepositionsinanyofExchanges.
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b) WheneverIrequiredeliveryofanyshares/securities,Ishallsendyouawrittenrequest.Iunderstandthatsuchpayoutofsecuritieswillbemadesubjecttoyourriskmanagementpolicies.
c) Incasethereisadebitbalanceinmyaccount,youareauthorizedtosellatanypointoftimetheshares/securitiesheldbyme/heldonmybehalf,atyoursolediscretion.Anyprofitorlossmadeonsuchtransactionswillbetomyaccountasitwouldhaveoccurredonnormalpurchase/salemadebyme.Ialsoagreetopaythebalanceamount,ifanyafterdeductingcreditofsaleofshares.
d) Ialsorequestyounottoissuecheques/makepaymentssettlementwiseunlessspecificallydemandedbyme,aspayinandpayoutareverycloseandthereforeexchangeofchequebecomesunnecessarypaperwork.
e) I/Weunderstandandagreethatnointerestwillbepayabletome/usontheamountsorsecuritiessoretainedwithyou.f) Ifurtherauthoriseyoutosetoff/adjustanyofmydebits/duesinanysegmentofanyExchangewithcreditsofanyothersegment(s)ofany
Exchange(s)inmyaccountwithintheperiodofsettlementofmyaccount(SecuritiesandFunds)asoptedbyme.g) TheSecuritieslyinginclientbeneficiaryaccountonmy/ourbehalfand/orcreditbalanceslyinginmy/ourledgeraccountofanysegmentsof
anyExchangescanbeconsideredasmarginfortheanysegmentsofanyExchanges.h) I/Weunderstandthatthisauthorizationshallremainvaliduntilrevokedbyme/us.I/weundertaketoclearallmyduesarisingduringthe
validityofthisauthorizationelsethemembershallrecoverallmy/ourduesinmy/ourledgertilldate.Ialsoundertaketoclearallmyduestoyoubeforeservingrevocationof thisauthorisationelsethememberwillrecoverallmydues inmy ledgertilldateandtheneffect therevocation.
I) I/Wefurtherwishtohavesettlementofmyaccount(fundsandsecurities):-(Tickanyoneoption):- OnceinQuarterOnceinMonth I/Weunderstandthatsettlementamountshallbesubjecttoretentionofrequisitesecurities/fundstowardsoutstandingobligationsand
marginsinmyaccountcalculatedinthemannerspecifiedbySEBI/Exchangeanddetailsmentionedinthe“StatementofAccount”atthetimeofsettlement.I/Weauthoriseyoutosendthestatementofaccountonfundsandsecuritiesasonthedateofsettlementtomyinternettradingaccountore-mailidregisteredwithyou.I/WeunderstandthatI/WecanobtainacopyofthesamefromanyofyourBranchoffices.
I/WeunderstandandauthorizethatyouwillnotreleasethepayoutincasethebalanceafternecessaryretentionisuptoRs.10000/-inanyofthequarters,tillmyrevocationinwritingasI/Wewillbedoingregularlytradingwithyou.
IalsoundertaketobringanydisputearisingfromStatementofaccountsorsettlementsomadetoyournoticewithinsevenworkingdaysfromthedateofreceiptoffunds/securitiesorStatementasthecasemaybe.
Sokindlymaintainmyaccountasarunningaccountbasisforfundsandsecurities.D. AUTHORISATIONFORRECEIPTOFCONTRACTNOTESANDOTHERDOCUMENTSINDIGITALMODEYesNo I/WeherebyconsenttoreceivefromIIFLWealthManagementLtd.thedigitalcontractnotes,bills,ledgers,transactionstatements,demat
statement of accounts/ holding statement(s)/bills/other statements, notices, circulars, amendments and such other correspondencedocuments, recordsbywhatevernamecalled inelectronic formdulyauthenticatedbymeansof adigital signatureas specified in theInformation Technology Act 2000 and the rules made thereunder to my below mentioned email id (said email id). E-mail Id :_________________________________I/WefurtherherebyagreethattheIIFLWealthManagementLtd.shallfulfillthelegalobligation,iftheabovedocumentsaresentelectronicallytothesaide-mailidandI/Weam/areawarethatI/wewillnotreceivethestatements/documentsinpaperform.Inthisregard,I/wefurtherconfirmandagreethat:
(i) Theaboveismy/ourpersonalE-mailid.I/Weshalltakeallnecessarystepstoensureconfidentialityandthesecrecyoftheloginandpasswordoftheabovementionede-mailaccount.IIFLWshallnotbeliabletoorresponsibleforanybreachofsecrecy.I/Weam/areawarethatthestatements/documentsmaybeaccessedbyotherentitiesincasetheconfidentiality/secrecyoftheloginnameandpasswordiscompromised.I/Wewillbesolelyresponsibleforthesecurityoftheinformationprovidedonmy/ouraforesaide-mailid.
(ii) E-mailssenttoanyoftheabovementionede-mailaccountshallbedeemedtobedulydeliveredtotheme/us.However,emailsbouncedbackonaccountoferrors/systemsissueattributabletoanyactofIIFLWwillnotbeconsiderdasdulydelivered.
(iii) IIFLWshallnottakecognizanceofout-of-office/outofstationautorepliesandI/Weshallbedeemedtohavereceivedsuchelectronicmails.
(iv) SuchStatementsshallbedeemedtohavebeendeliveredonthedaywhenthee-mailissentbyIIFLW. (v) I/WefurtheragreethatIIFLWmayatitssolediscretionalsoprovide/discontinuesuchstatementsinphysicalform. (vi) IIFLWshallnotbeliableorresponsibleforanyStatementreceivedfromfraudsorimpostorsoranyconsequencesthereof. (vii) IIFLWshallnotbeliableforanyproblem,whicharisesatmy/ourcomputernetworkbecauseofmy/ourreceivinganyStatementfrom
IIFLW. (viii) I/WeshallinformIIFLWbywayofaletterinwritingdulysignedbymeorinformthroughinternetplatformifthereisanychangeinthe
Emailgivenabove. (ix) I/WeundertaketochecktheStatementandbringthediscrepanciestoyournoticewithinthetimeperiodasspecifiedunderthe
relevantagreementsenteredintowithIIFLW.My/Ournon-verificationornotaccessingtheStatementonregularbasisshallnotbeareasonfordisputingthesameatanytime.
(x) I/WeshallinforminwritinginprescribedformattoIIFLWtodiscontinuethesaidfacilities.I/WeandIIFLWshallhavetherighttoterminatesuchserviceprovidedawrittennoticeisgivenatleast10daysinadvancetotheotherparty.
I/Weshall immediately inform IIFLWabout change inemailaddress, if any. I/We furtheragree that IIFLWwillnotbe responsible fornonreceiptofdocumentssentviaelectronicdeliveryduetochangein/incorrectemailaddress/correspondenceaddressasmentionedoranyotherreasonwhichinteraliaincludetechnicalreasonsormalfunctionofmy/ourcomputersystem/server/internetconnectionetc.FurtherI/WeagreeandundertaketoindemnifyIIFLWanditsgroupcompanies,thattheywillnotbeheldliable/responsibleforanylosses,claimsdamages,costandliabilitiesetc.causedtome/usduetomisuseofthisinformationorpursuanttoanylitigationcases,complaints,actions,etcthatmayariseinfutureonaccountofmy/ouraboveauthorizationrequest.
E. AUTHORISATIONFORONLINETRADINGSOFTWAREPASSWORDYesNo IwishtouseonlineTradingSoftwareinthisregardsFollowing:- I. Pleasesendmysystem-generated,internetaccountfirsttimeaswellassubsequent,passwordontheregisteredmobilenumbers.Also,if
IeverneedtoresetthePasswordlater,thesameshouldalsobesentbySMSontheabovegivenmobilenumber.AssoonasIreceivethesystemgenerated Password, I shall login and change it for security reasons. I am aware that system-generated Password willautomaticallyexpirein72hoursfromthetimeofsending.
II. IntheeventthatIdonotreceivethePasswordonSMSwithin24hoursofopeningofaccountorrequestforresetofPassword,IshallcontacttheCustomerServiceDepartmentoftheIIFLWimmediatelyandrequestforre-settingofmyPassword.
III. IhavebeenexplainedthatIshallsetmynewPasswordasmaybeeasytorememberforme,butshouldnotbeeasytodecipherfor
29
anybodyelseandshouldbepreferablyalpha-numericandnotmyoranyfamilymember'sname/surname. IV. I am fullyawareof the riskofelectronic loss/ theftandagree tobesolely liableandresponsible for thesameaswellas forany
unauthorizeduse/misuseofthePassword.IunderstandIIFLWwillnotberesponsibleorliableinanymannerwhatsoeverforthesame. F. AvailingIIFLWDistributionServicesYesNo I/Weunderstandthat: (a)IIFLWealthManagementLtd.(hereinafterreferredasIIFLW),itsassociatesandsubsidiariesofIIFLHoldingsLtd.(IIFLGroup)are
engaged in providing various financial services including distribution and execution services of various securities and financialproducts.Accordingly,forprovidingsaidservicesIIFLGroupmayearnfees(includingarrangerfees)orcommissionfromissuersofmutualfunds,alternativeinvestmentfunds,venturecapitalfunds,debtinstrumentsetc.
(b)Apart fromabove, securities/productsdistributedmaybeof IIFLGroupandaccordingly investment transactionmay includetransactionwithIIFLGroupascounterpartiesandIIFLGroupmayreceivevariousformofremunerationlinkedtodistributionservicesofferedtotheClient.
I/Weherebyagreetoavailserviceslikedistributionofsecurities/financialproductsincludingbutnotlimitedtofollowingofferedbyIIFLWDistributionServices.
• InitialPublicOffer/FollowonPublicOffer/Offerforsale • MutualFunds/AlternativeInvestmentFunds • Bonds,Debentures • NPS • Otherfinancialproducts 1. The instruction/authorization received from the account holder(s)/authorized representative as per mode of holding stated in
Schedule1tothePowerofAttorneyonshallbeexecutedbytheattorney. 2. I/WeherebyauthorizeIIFLWanditsassociatestodisclose,share,remit inanyform,modeormanner,all/anyoftheinformation
providedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLWGroup,issuers,brokers,MutualFunds,AIFs,banksandotherrelevantparties('theAuthorizedParties')oranyIndianorforeigngovernmentalorstatutoryorjudicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawhereveritislegallyrequiredandotheragencieswithoutanyobligationofadvisingme/usofthesame.
3. I/Weherebydeclarethatthereisnoactionpendingagainstme/usbyanyregulatoryauthorityforviolationofanylaw.Therearenounpaidfines/penaltiesleviedonme/us.I/Wehavenotviolatedanylawapplicabletousorcircular/regulationsissuedunderanylawasondate.I/Wehavenolegalorregulatoryproceedingspendingagainstme/usforanyfinancialcrimesorviolationofSecuritieslawsinitiatedbeSEBI/RBI/Banksoranyotherfinancialinstitution.
DECLARATION i. Iamawarethatthemobilenumbershallbeupdatedinallyourrecordsanddatabasesincludingtradinganddemataccount. ii. Ideclarethattheregisterednumberismypersonalmobilenumberandisalwaysinmysafecustody.IshallkeepIIFLWinformedofany
changeinmymobilenumberimmediatelyforupdatingthesameindatabases.Iamawarethatwithoutintimationforchangeinmobilenumber,IIFLWwouldnotbeabletosendmyPasswordovernewmobilenumberandalsowouldnotbeabletoupdateinrecordsanddatabases.
iii. Iamawarethatincaseofchangeinmymobilenumberanytimeafteropeningofthisaccount,itismandatoryformetosubmitthephotocopyofalatest/lasttwomonthsMobilebillforpostpaidconnection.IfIhaveprepaidconnectionthenIhavetovisitpersonallytotheBranch/FANsalongwithmyIDproofs(E.g.:PanCardorDrivingLicense)andgetthedocumentsverifiedbythebranchofficials.
iv. Iwillbesolelyresponsibleforthesecurityoftheinformationprovidedonmyaforesaidmobilenumber.Further, v. IagreeandundertaketoindemnifyIIFLWanditsgroupcompanies,thattheywillnotbeheldliable/responsibleforanylosses,claims,
damages,costandliabilitiesetc.causedtomeduetomisuseofthisinformationorpursuanttoanylitigations,non-litigationcases,complaints,actions,etc.thatmayariseinfutureonaccountofmyaboveauthorizationrequest.
vi. SMSAlertsFacilitybydepository : I/Weconsent toCDSL/NSDLproviding to the serviceprovider such informationpertaining toaccount/transactionsinmy/ouraccountasisnecessaryforthepurposesofgeneratingSMSAlertsbyserviceprovider,tobesenttothesaidmobilenumber.I/Wehavereadandunderstoodthetermsandconditionsmentionedaboveandagreetoabidebythemandanyamendmentstheretomadebythedepositoryfromtimetotime.I/Wefurtherundertaketopayfee/chargesasmaybeleviedbythedepositoryfromtimetotime.I/WefurtherunderstandthattheSMSalertswouldbesentforamaximumfourISINsatatime.Ifmorethanfourdebitstakeplace,theBOswouldberequiredtotakeupthematterwiththeirDP.
vii. I/Weconfirmhavingreceivedahardcopyofthefollowingdocumentsandfurtherconfirmhavingreadandunderstoodthecontentsofthesedocuments.
• Terms&ConditionsForDistributionofSecurities. • Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR Mutual fund offered
byNSEandBSErespectively. • TermsandConditionforavailingsystematicinvestmentinMutualfund/Securities.
2223
SIGNATURE
Sole/FirstHolder SecondHolder ThirdHolder
1213
1213
30
IIFLWealthManagementLtd.beingthestockbrokerisinthebusinessof providingTrading cumDemat Services to its clients. In additions,IIFLWisalsoengagedinmarketinganddistributionofmutual funds,registeredwiththeAssociationofMutualFunds in India(AMFI)asaMutualFundDistributorandinvolvedindistributionofvariousothersecurities and financial products including products offered by itsaffiliatesorgroupcompanies.IIFLWprovidesonline/offlinefacilitytoapply/purchase/redeem/sale/buybackorotherwisedealintheunitsof Mutual Funds and other securities including transaction servicesopted in Account Opening Form (hereinafter referred to as'transactions').TheClientwishes toavailof the facilities/services through IIFLWonthefollowingtermsandconditionssetforthhereinbelow.ThetermsandconditionscontainedhereinarebindingontheClient.TheClienthas agreed to obtain facilities/services from the IIFLW after fullyunderstanding the entire terms and conditions. The terms andconditionsshallbesubjecttoamendment,ifanyfromtimetotimeatthe solediscretionof IIFLWandsuchamendments shallbindon theclient.ForthepurposeofthepresentTermsandConditions,NationalStock Exchange of India Limited and the Bombay Stock ExchangeLimitedshallbeknownastheStockExchanges.1) TheClienthasoptiontoauthorizeIIFLWbyexecutingaPowerof
AttorneyinfavouroftheIIFLWtoexecuteinstructionsoftheClientor its authorized representativewith regard to the transactionsincludingbutnotlimitedtoacquirebysubscribingtoorbypurchaseofsecuritiesandtosell,transfer,endorsethesecurities(includingbut not limited to Initial Public Offerings, Buy back offers, rightissuesetc.)orredeemthesameeitherthroughOnline(usingtheidentificationnumberissuedbyanyMutualFundfromtimetotime)orotherwiseand/ortosignandexecutealltransferdeedswhetherastransferorortransfereeandsuchotherinstruments,applicationand papers as may be necessary for the purpose of acquiring,transferring/ redeeming the same,marking pledge/lien on suchsecuritiesand/or fortransferringthe investments intheunitsofMutual Fund from one scheme to another or between mutualFunds, to make application for, or to renounce and signrenounciationformsinrespectofbonds/debentures,rightsharesand additional shares of any company/Body/Authority and toreceive and hold such rights or additional shares, bonds ordebentures.
2) All instructionsgivenbytheClient/itsauthorizedrepresentativeshallbebindingontheClientandIIFLWmayfurnishacertifiedcopyof the Power of Attorney and other documents on behalf of theClienttotheCompany/Registrar/MutualFundoranythirdparty.
3)TheClientagreesthattheinstructionswithregardtothetransactionsshallbeintheClient'ssolenameorinthenameoftheClientjointlywithotherpersonsasintimatedbytheClient.
4) The instructions with regard to the transactions may be giventhroughbysendingemailfromregisteredemailIDorbymakingthecall from registered telephone number/mobile number or anyotherreasonablemodeaspermittedbyIIFLW.
5) IIFLWmayrefusetoactonanyinstructionsunlesstheyaregiveninthemanner and formacceptable to IIFLW.However, IIFLWshallhave no responsibility to determine the authenticity of anyinstructionsgivenorpurportedtobegivenbytheClient.TheClientshallnotholdIIFLWliableonaccountofIIFLWactingingoodfaithoninstructionsgivenbytheClientoritsauthorizedrepresentative.
6) IIFLW at its own discretion may not carry out the Client’sinstruction, where the IIFLW has reasons to believe (whichdiscretionofIIFLWtheClientshallnotquestionordispute)thattheinstructions are not genuine or are otherwise improper/unclear/raiseadoubt.IIFLWshallnotbeliableifanyinstructionsarenotcarried/partlycarriedoutforanyreason,whatsoever.Alltransactionsaresubjecttotheapplicableregulatorynormsand/orIIFLW’sinternalpolicyrequirements.
7)TheClientunderstandsandagreesthatthemutualfund/RTA/Issuer
Company/stockexchanges/maycancel,closeorrejectanycontractsuo-motowithoutgivinganyreasonthereof.Intheeventofsuchcancellation,closureorrejection,IIFLWshallbeentitledtocancelrelativecontract(s)withtheClientandtheClientshallnotraiseanyobjectionandforitandholdIIFLWliable/responsibleforit.
8) IncaseofMutualFunds,theClientagreesandacknowledgesthatIIFLWshallprovidethefacilitiesasagreedbetweenthepartiesonlyin respect of the selected Mutual Funds, with whom IIFLW hasenteredintoaseparatearrangement/agreement.
9)TheClientundertakestoreadalltherelevantOfferDocumentsandaddendumstheretoandtermsandconditionsofallschemesofallmutualfundsandotherissuesofsecuritiesincludingbutnotlimitedtoInitialPublicOfferings/PublicOffers,RightsissueandBuyBackoffers,;beforeentering intoanytransactions theClientagrees toabidebytheterms,conditions,rulesandregulationsasapplicablefromtimetotime.Allrelevantdocuments inthisregardshallbemadeavailablebyIIFLWtotheClient.
10)ThePartiesshallensure that the transactions through IIFLWareexecutedinaccordancewiththeapplicablelaws,byelaws,rulesandregulationsgoverningthespecificinvestmentproduct.IIFLWmay,fromtimetotime,imposeandvarylimitsontheorderswhichtheClient may place, including but not limited to exposure limits,turnover limits and limits as to numbers. TheClient agrees thatIIFLWshallnotberesponsibleforanyvariationorreductionthatmaybedeemednecessarybyIIFLWbasedonitsriskperceptionandotherrelevantfactors.
The Client understands that direct investments in bonds/debentures/equity/equity related instruments/ mutualfund/venturecapitalfundmaycarrysignificantliquidity,creditanddefault risk, pricing risk. including the possible loss of principalamount invested. Past results are not a guarantee of futureperformance; yield or performance fluctuates andmay not be areflectionofpast results.TheClient shallmake investment aftercarefullyunderstandingtheInvestmentproducts.IIFLWshallnotbeliableorheldliableforanyconsequencesthereof.
11)TheClientexpresslyagreeandacknowledgethatanyinformationcontainedintheIIFLW’sBrochuresorothermaterialsorotherwisecommunicated by IIFLW shall not be constructed as investmentadvice and that all decisions topurchase or sell units/securitiesmade by the Client and shall be on the basis of own personaljudgmentarrivedatafterdueconsideration.IIFLWnotassureorpromise any bonus, interest, dividend, guaranteed returns andprofit.
12) IIFLWshallnotbeunderanydutytoverifycompliancewithanyrestrictionontheClient’sinvestmentpowers.
13)TheClientisresponsibleforthepersonalandbankrelateddetailsprovided by the Client. Neither IIFLW nor any of the MutualFunds/Issuers or their respective Registrars shall accept anyliability which may arise as a consequence of the erroneousinformationprovidedbytheClient.
14) The Client authorizes the IIFLW to disclose/share, all suchinformation pertaining to the Client with the companies/entities/subsidiaries/affiliates of IIFLW or their agents’Banks/FinancialInstitutions/StatutoryBodiesasmayberequiredfromtimetotime,fortheClienttobeabletoavailofanyoralloftheservicesprovidedbyIIFLWunderthisarrangementoranyotherservices. The Client shall undertake not to hold IIFLW and/orcompanies/entities/subsidiaries/affiliatesof IIFLWand/ortheiragentsliableorresponsibleforuseoftheaforesaidinformation.
15) IncaseofchangeofaddressandpersonaldetailsoftheClient,theClienttshallintimatetesameviawrittenletter/emailtoIIFLWofsuchchange.
16)TheClientagreesandunderstandsthatthefolionumberoftheClientinrespectoftheMutualFundschemesshallbereceivedbyIIFLWfromtheAssetManagementCompany.
17) Further,anychange in thedetailsof theClient includingbutnot
TERMS AND CONDITIONS FOR AVAILING THE SERVICES OF DISTRIBUTION OF SECURITIES/ FINANCIAL PRODUCTSAND DIRECT INVESTMENT PRODUCTS OFFERED BY IIFLW
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limited to theDemataccount,BankAccount,Address, registeredcontactnumber,emailIDshallbefirstintimatedtotheIIFLWwhomay in turn liaisewith the IssuerCompany/MutualFund/AssetManagementCompanyoritsrespectiveRegistrarstoupdatesuchchanges.TheIssuerCompany/MutualFund/AssetManagementCompanyoritsrespectiveRegistrarsmayrejectsuchrequestsandinsuchaneventIIFLWshallnotbeliableforanysuchrejection.
18)TheClientfurtheragreesthattheClientshallnotclose/changethedetailsoftheBankaccountwithoutpriornotificationtoIIFLWandtheClientagreesthatIIFLWmayinstructBankoftheClienttorejectanysuchrequestreceivedfromtheClient.
19)TheClientshallprovideIIFLWwithitsPermanentAccountNumber(PAN). In the event the Client has mentioned “Not Applicable”againstPANintheApplicationForm,theClientconfirmsthattheClientisexemptedfromobtainingaPANundertheprovisionsoftheIncome Tax Act, 1961. However, in the event the Clientid/applicationisforRs.50,000ormoreandPANisnotprovided,theClientshallberequiredtosubmitForm60orForm61asthecasemaybetogetherwithpermissibledocumentsasproofofaddress.
20)The Client acknowledges that the purchase/applicationinstructionsshallbeprocessedbyIIFLWonlyaftersufficientfundstocoverthepurchase/applicationpriceandothercostsandchargesarereceivedbyIIFLW.
21) IfafterexecutionofanytransactionitisforanyreasonfoundthatIIFLWhasnotbeenprovidedwithsufficientfundsbytheClient,theClientshallpaythedeficientamounttoIIFLWforthwithondemand,failingwhichIIFLWmay(butshallnotbeboundto)squareupthetransactionatanytimeattheClient’ssoleriskandcost.AnylossarisingonsuchsquaringupwillbebornesolelybytheClientandtheClient shallpay to the IIFLW theadditional amount thatmaybepayablebytheClient,theIIFLW’sdemandbeingconclusive.
22)TheClientdeclaresandconfirmsthattheamountbeinginvestedbytheClienteitherdirectlyorthroughitsPowerofAttorneyholders,inanyschemesofallmutualfundsorothersecuritiesincludingbutnotlimited to Initial PublicOfferings/PublicOffers,Rights issue andBuyBackoffersisobtainedthroughlegitimatesourcesandisnotheldordesignedforthepurposeofcontraventionoftheprovisionsofanyAct,RulesandRegulationsoranystatueorlegislationoranyotherapplicableLawsoranyNotifications,directionsissuedbyanyGovernmentalorStatutoryAuthorityfromtimetotime.
23) IncasetheClientisaNon-residentIndian,theClientconfirmsthatthe funds remitted from abroad are through approved bankingchannelsorfromtheNRE/NRO/FCNRaccount.
24) Ifforanyreasons,IIFLWisunabletocarryoutthetransactionsasinstructedbytheClient/Client'sauthorizedrepresentativetotheextentoffullquantityofunits/securities,IIFLWshallbeentitledatitsdiscretionandtheClientherebyirrevocablyauthorizesIIFLWtocarry out a transaction of a lesser quantity of units/securitiessubject to the prior consent of the Client. IIFLW shall not beresponsibleforthenon-executionoftheClient'sinstructionsfortheentirequantityortheremainingquantityduetomarketconditionsprovidedthepriorconsentoftheclienthasbeenobtained.
25)TheClientagreesandacknowledgesthatanyinstructiongivenorpurportedtobegivenbytheClient/itsauthorizedrepresentativebeforethecutofftimeasmaybeintimatedbytheIIFLWtotheClientfrom time to time, will be processed on the same day. Anyinstructionreceivedafterthecutofftimewillbeprocessedonthenextworkingday,ifapplicable.
26) IncaseofMutualFund,applicableNetAssetValue(NAV)shallbeaspertheOfferDocumentandSEBIRulesandRegulations.Theunitsofschemeshallbeallotted,redeemedorswitched,asthecasemaybe, at the NAV prevalent on the date of the application, if theapplicationforpurchase,redemptionorswitchisreceivedbytheFund before the cut-off time as specified on the website andconsistentwiththetermsofthescheme.AnyrequestfallingdueonholidaywouldbeprocessedonthenextbusinessdayandrespectiveNAVwouldbeapplicableasperMutualFundsofferdocuments.
27) Incaseofothersecurities,theorderforpurchase,sell,offerunderBuyBacketc.shallbeacceptedbyIIFLWonlyifthesameisreceived
bythecutoffdateasindicatedonthewebsiteandconsistentwiththetermsoftheoffer.
28)TheClientagreesandacknowledgesthatafter the firstpurchasetransactioninanyMutualFund,theClientmaynotbepermittedtotransacttillthefolionumberisallotted.IIFLWdoesnotacceptanyliability for delay in processing time at the Mutual Fund’s orRegistrar’send.
29) IIFLWshallcredittheproceedsofthesale/redemptionetc.,foranyoftheInvestmentProductsonlyafterIIFLWhasreceivedthesameunlessspecificallyagreedotherwise.
30)TheClientacknowledgesthatIIFLWoritsrepresentativesshallnotbe under any obligation to provide him with any tax, legal,accounting,investmentadviceoradviceregardingthesuitabilityorprofitability of investment of any kind, nor does IIFLW or itsrepresentativesgiveanyadviceorofferanyopinionwithrespecttothe nature, potential value or suitability of any particulartransactionorinvestmentstrategy.
31) ItisexplicitlystatedhereinthattheMutualFundSchemes/OfferDocuments/otherschemesofferedbyIIFLW,havenotbeen/shallnotbeunderstoodasrecommendedbytheIIFLW.
32)The Client can view his/her/its transactions on the website. Aphysical copy of the transactions statement or the accountstatementshallbesentbyIIFLWonlyonawrittenrequestfromtheClient.
33) In case an application is made for Initial Public Offer/PublicOffer/UnitsofMutualFund through IIFLW, theClient authorizesIIFLWtocollectonClient’sbehalf,therefundamount,ifany,fromthe Issuer Company/Registrar/Asset Management Company/Mutual Fund and subsequently credit the same to Client’s Bankaccount,afterset-off/adjustmentofduespayablebytheClientonaccountofobligationsincurredinconnectionwiththeapplication.
34)TheClientfurtheragreesthatIIFLWshallnotbeheldresponsiblefornon-allotmentofsecuritieseitherfullyorpartlytoClient,foranyreasonwhatsoever.IIFLWshallnotbeheldresponsibleincaseduetosomereasonthebid/application/revisioninstructionssentbyClientisnotreceivedbyit,orifthebid/application/revisioncouldnotbeuploadedtotheStockExchange,orcouldnotbesenttotheBankers/Registrartotheissue.
35) IIFLW shall not be held responsible for non-receipt/delayin/incorrectreceiptoffund, ifany,fromtheRegistrar/Company.IIFLWshallnotbeheldresponsibleforincorrectTaxDeductionatSource (TDS) by the Registrar/company, if applicable, or fornonreceiptordelayin/incorrectreceiptofTDSCertificate,ifanyfromtheRegistrar/Company/MutualFund.
36) IIFLWshallnotbeliableforanylossordamagecausedbyreasonoffailureordelayofthemutualfundtodeliveranyunitspurchasedeventhoughpaymenthasbeenmadeforthesameorfailureordelayinmakingpayment inrespectofanysold though theymayhavebeendelivered.
37)TheClientunderstandsthatthecorporateactionsincludingbutnotlimitedtoDividends,declaredbytheIssuerCompany/MutualFundshallbedirectlypaidbytheIssuerCompany/MutualFundtotheClient’sbankaccountasdetailprovidedbytheClient.
38) IIFLWshallalsonotbeliabletotheClientforanydelay,failureorrefusaloftheMutualFund/anyIssuerCompany/CorporationorotherbodyinregisteringortransferringunitstothenamesoftheClientsofforanyinterest,dividendorotherlosscausedtotheClientarisingtherefrom.
39)The Client agrees to provide IIFLW with any confirmation/declarationoranyotherdocumentthattheconcernedIssuer/AssetManagementCompanyoranyotherentitymayfromtimetotimerequireIIFLWtocollectfromtheClientinrespectoftheservicesofferedunderthisagreement.
40) IIFLWshallnotberesponsibleforanychangesinthedataofanyscheme as carried out in the Offer document or any otherdocuments/materialissuedbyAssetManagementcompany/IssuerCompany/MutualFund.
41) IIFLWdoesnotacceptanyliabilityfordelayinprocessingtimeattheMutualFund’s/IssuerorRegistrar’send.TheClientagreesthat
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IIFLWshallnotbe liableorresponsible fornonexecutionofanytransactionsforanyreason,whatsoever.
42)NeitherIIFLW,noranyoftheMutualFunds/northeissuershallbeliableforanyfailuretoperformitsobligations,totheextentthatsuch performance had been delayed, hindered or prevented bysystems failuresnetworkerrors,delayor lossofdatadue to theaforesaid, actsofGod, floods, epidemics,quarantine, riotor civilcommotionandwar.
43)TheClientagreesandunderstandsthattheapplicationinMutualFund/InitialPublicOfferingshallbesubjecttotheapplicableActs,Rules, Regulations, guidelines, circulars, notifications, anddirectivesissuedbytheRegulatoryAuthoritiesandOfferDocumentissuedbytherespectiveMutualFund/Issuer.
44)TheClient furtherunderstands andagrees thathe/she shall notplacetradesatunrealisticpricesfromcurrentmarketpriceofthesecurity or trade in illiquid securities which create artificiall i qu id i t y o r amoun t s t o man ipu l a t i on o f p r i c e s o rcross/synchronizedtrades.
45) IIFLWshallprovide its servicesonabest effortsbasis.HoweverIIFLWshallnotbeliableforanyfailureorforanyloss,damageorothercostsarisinginanywayoutof:
a) System failure including failure of ancillary or associatedsystems, or fluctuation of power, or other acts of God/forcemajeure;
b) Accident,transportation,neglect,misuse,errors,fraudsonthepartoftheClientoranyagentoftheClientoragentsoranythirdparty,or
c) AnyfaultinanyattachmentsorassociatedequipmentsoftheClient
d) Any incidental, special or consequential damages includingwithoutlimitationoflossofprofit.
46) Intheeventofdisputes,differences,claimsandquestionsbetweenthePartiesarisingoutoftheseTermsandConditionsorinanywayrelatingheretoor toanyprovisionhereofor theconstructionor
interpretationthereof,thePartiesshallfirstendeavortosettlethesamebyfriendlyconsultationand,failingsuchsettlement,Boththepartiesagreetoreferanyclaimsand/ordisputestoarbitrationaspertheRules,ByelawsandRegulationsoftheExchange/regulatorsandcircularsissuedthereunderinaccordancewiththeprovisionsoftheIndianArbitrationandConciliationAct,1996.ThelanguageofArbitrationshallbeEnglish.Theawardofthearbitratorshallbefinalandbinding.
47)TheClientunderstandthatalldisputesanddifferencesarisingoutof, under or in connection with these terms and conditions oranythingdonehereundershallbewithintheexclusivejurisdictiononlytothecourtsofMumbai.FurtherthesetermsandconditionsaresubjecttoandshallbeconstruedinaccordancewiththelawsprevalentinIndia.
48)Thepartiesunderstandthatincaseofgrossnegligence,orwilfuldefaultbyeitherparty,thepartyguiltyofgrossnegligenceorwilfuldefault shall indemnify the other party for, any and all costs,charges,expenses,claims,lossesorliabilitiesofanynature(directorindirect)includingreasonablelegalfeesandexpensesincurredand/or suffered by other party resulting from any act ofomission/commission(oranydelay)committedbythepartyguiltyofsuchgrossnegligenceorwilfuldefault.
49. The Client confirms that he/she has read and understooddisclosures relating to commissionsonmutual funddistributionactivities, which are made are available on our websitewww.iiflw.com. He/She is also aware that IIFL Mutual Fund issponsoredbyIIFLW&subsidiaryofIIFLWmanagesAIF'sandVCfundlaunchedbyIIFLgroup.
50)TheClient confirms that the said distribution arrangement is apurely executionary arrangement, without any productrecommendationoradvice.Foranyproduct recommendationoradvicetheClientmayseekservicesoftheCompany’sAdvisoryUnitwhichisdistinctandsegregated.
SIGNATURE 2323
Sole/FirstHolder SecondHolder ThirdHolder
1313
1313
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Intentionallyleftblank
35
ACKNOWLEDGEMENT
Received the application from Mr/Ms_______________________________________________________ as the sole/first holder alongwith
_____________________________ and _______________________________ as the second and third holders respectively for opening of a trading,
depositoryanddistributionaccount.PleasequotetheDPID&ClientIDallottedtoyouinallyourfuturecorrespondence.
ParticipantStamp&SignatureDate D D M M Y Y Y Y
From
IIFLWealthManagementLtd.IIFLHouse,SunInfotechPark,RoadNo.16V,PlotNo.B-23,ThaneIndustrialArea,WagleEstate,Thane-400604.
DPId:12083300/IN304158
Intentionallyleftblank
REGD.OFF.:IIFLHouse,SunInfotechPark,RoadNo.16V,
PlotNo.B-23,ThaneIndustrialArea,WagleEstate,
Thane-400604.
TEL.:(+91-22)39294000/41035000
CEO:KaranBhagat
Email:[email protected]
TEL.:(+91-22)39585600
Compliance:DineshTanwar
Officer
Email:[email protected]
CORP.OFF.:7thFloor,IIFLCentre,WingB,KamalaMillsCompound,
SenapatiBapatMarg,LowerParel(W),Mumbai-400013,
India.
TEL.:(+91-22)39585600
EMAIL:[email protected]
WEBSITE:www.iiflw.com
MemberoftheNationalStockExchangeofIndiaLimited(“NSE”)andBSELimited(“BSE”)ontheCash,F&O,CDS,WDM
SEBIReg.No.INZ000011437
Depository-NSDL&CDSL-SEBIReg.No.IN-DP-271-2016,AMFIasMutualFundDistributorhavingReg.No.ARN-59563.
U74140MH2008PLC177884