Account Opening Form (Non-Individual)

1 India Infoline LimitedAccount Opening form (Non-Individual)Broking & Depository ServicesLogin ID :LEAD ID:Depository Service :CDSLNSDL (Select any one)Wire ID:CDSL-Client ID 1 2 0 4 4 7 0 0 NSDL-Client ID I N 3 0 2 2 6 9 NAMECODEM arketing Executive (E1)Relationship Manager (E2)Branch/ FANO nline software for sNo (If No) TT Manager ID:PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING TO ITS CONTENTSAND ENSURE ALL THE DETAILS PROVIDED ARE Employee Code & Name Process Employee Code & NamePre-Audit MakerDate Entry MakerPre-Audit CheckerDate Entry CheckerRemiser (if any)Sr. No. ECINNV01615 For Account Opening Team Purpose1 Version: OF DOCUMENTSSr. Signifcance of the DocumentPage - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI AND EXCHANGES6-8 Name of the Opening FormPart I - KYC form - Document captures the basic information about theconstituent and an instruction / II - Document captures the additional information about theconstituent relevant to trading Account and an instruction/check Disclosure Document (RDD) notePolicies and ProceduresIncluded in Client CopyDocument stating the Rights & Obligations of stock broker / tradingmember, sub-broker and client for trading on exchanges (includingadditional rights & obligations in case of internet / wireless technologybased trading).

2 Rights and Obligations of Beneficial Owner and Depository Participant asprescribed by SEBI and & Obligations of Stock Brokers,Sub-Broker & ClientsRights & Obligations of Beneficial Owner& Dipository ParticipantDocument detailing risks associated with dealing in the securities detailing do s and don ts for trading on exchange, for theeducation of the describing significant policies and procedures of IIFL relatedto Trading Account of the sheetDocument detailing the rate/amount of brokerage and other chargeslevied on the client for trading and demat Account on the stockexchange(s)/ Declaration13 SECTION-B - VOLUNTARY DOCUMENTS - AS PROVIDED BY STOCK BROKER/ DEPOSITORY & Conditions cum Registration formreceiving SMS Alerts from DepositoryforTerms and Conditions-cum-registration / Modification form for receivingSMS Alerts from of AttorneyNOC FROM Co-Parceners (HUF Account )Voluntary and Limited purpose POA in favour of Broker for operationalrequirements as per client authorization/instruction.

3 A POA in favour of by regulator. required if HUF is granting a POA in favour of & Conditions For Distribution ofSecuritiesTerms & Conditions for Distribution of Fund Trading ServicesSIP in Mutul fund and SecurityTerms and Conditions for availing Mutual Fund Service System (MFSS)facility and BSE StAR MUTUAL FUND offered by NSE and BSErespectivelyTerms and conditions for availing systematic investment plan in Mutul fundand SecuritiesA. Availing Mutual Fund Service System (MFSS) facility/BSE StARMUTUAL FUND (hereinafter jointly referred to Mutual FundTransactionFacilities ) B. Authorization for Systematic Investment in Mutual Fund/Securities C. Running Account Authorisation D. Authorisation for Receiptof Contract Notes and Other documents in Digital Mode E. Authorisationfor Online Trading Software Password2 instructions / CHECK LIST FOR filling KYC FORML ogin of Identity (POI): - List of documents admissible as Proof of of Address (POA): - List of documents admissible as Proof of to PAN attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors andpersons authorized to deal in securities on behalf of company/ of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification.

4 In case theoriginal of any document is not produced for verification, then the copies should be properly attested by entities authorized for attestingthe documents, as per the below mentioned any proof of identity or address is in a foreign language, then translation into English is & address of the applicant mentioned on the KYC form , should match with the documentary proof correspondence & permanent address are different, then proofs for both have to be proprietor must make the application in his individual name & non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Cardand overseas address proof is foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be case of Merchant Navy NRI s, Mariner s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be Opening an Account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheetissued by Higher Secondary Board/Passport of Minor/Birth Certificate must be Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in aforeign country, , Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, seniorexecutives of state owned corporations, important political party officials, Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving card with card/ document with applicant s Photo, issued by any of the following.

5 Central/State Government and its Departments,Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debitcards issued by Banks.(*Documents having an expiry date should be validon the date of submission.) Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/Insurance bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months Account Statement/Passbook -- Not more than 3 months by High Court and Supreme Court judges, giving the new address in respect of their own of address issued by any of the following: Bank Managers of Scheduled Commercial Banks / Scheduled Co-Operative Bank /Multinational Foreign Banks / Gazetted Officer / Notary public / Elected representatives to the Legislative Assembly / Parliament /Documents issued by any Govt.

6 Or Statutory card / document with address, issued by any of the following: Central/State Government and its Departments, Statutory /Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated toUniversities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their FII / sub Account , Power of Attorney given by FII / sub- Account to the Custodians (which are duly notarized and / or apostiled orconsularised) that gives the registered address should be proof of address in the name of the spouse may be accepted.(*Sufficient documentary evidence in support of such claims to be collected.) case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts liquidator, Court receiver residing in the state of entities/multilateral agencies exempt from paying taxes/filing tax returns in : documents in case of trading in derivatives segments - illustrative list.

7 Copy of ITR AcknowledgementCopy of Annual AccountsIn case of salary income - Salary Slip,Net worth certifcateCopy of form 16 Copy of demat Account holding Account statement for last 6 monthsAny other relevant documents substantiatingSelf declaration with relevant supporting of CHECK LIST FOR Account Opening form - TRADING ACCOUNTL ogin of Mutual Funds upto Rs 50,000/- case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral DevelopmentFinancial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public FinancialInstitution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PANcard and provide duly certified copies of such verified PAN details to the Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name,Designation & Seal should be affixed on the copy).

8 Case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, CourtMagistrate, Judge, Indian Embassy/ Consulate General in the country where the client resides are permitted to attest the of people authorized to attest the documents:*In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to of cancelled cheque leaf/ pass book/ bank statement specifying name of the constituent, MICR Code or/and IFSC Code of thebank should be master or recent holding statement issued by DP bearing name of the broker has an option of doing in-person verification through web camera at the branch office of the stock broker/sub-broker case of non-resident clients, employees at the stock broker s local office, overseas can do in-person verification. Further,considering the infeasibility of carrying out In-person verification of the non-resident clients by the stock broker s staff, attestationof KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy/ Consulate General in the countrywhere the client resides may be INSTRUCTIONSNOTES1.

9 In case of Additional Signature, Separate annexures should be attached to the application All Communication shall be sent at the corresponding address/Mobile/Email Id of sole holder/First holder Thumb Impression and signatures other than English or hindi or any of the other language not contained in the 8th Schedule of theconstitution of India must be attested by a magistrate or a notary public or a Special Executive For receiving statement of Account in electronic form :1. Client Must insure the confidentially of the password of the email Client must promptly inform the participant if the email address has Client may opt to terminate this facility by giving 10 days prior notice. Similarly, India Infoline LImited may also terminate this facility bygiving 10 days prior of Which ever is not note that the mode of payment should be only by way ofNo cash receipts payments willbe entertained for any transactions made by the client.

10 IIFL will not be responsible for any kind of claims raised by the clients regarding payment madein cash. Mobile number is compulsory for Opening ofDemat/ Trading Account with payee crossed cheques/Demand draft in favour of India Infoline Ltd - (Client s Login id) .In case of change in mobile number any time after Opening of this Account , for postpaid connection it is mandatory to submit the photocopy of the latest/last 2 monthsmobile bill and for prepaid connection client must personally visit the branch/ FAN s along with their ID proof (eg. PAN Card/ Driving Licence/ Passport/ Election Voter ID) and get the same : INSTRUCTIONS1cannot be opened in joint the form should be countersigned with full signature. White ink is not allowed either in form or of an employee of another Member Broker, NOC from employer is A/ccorrectionsTYPES OF ENTITYDOCUMENTARY REQUIREMENTSC orporatePartnership frmTrustHUFU nincorporatedassociation or abody of individualsBanks/InstitutionalForeign InstitutionalInvestors (FII)Army/ GovernmentBodiesRegistered SocietyIN CASE OF NON-INDIVIDUALS, ADDITIONAL DOCUMENTS TO BE OBTAINED FROMNON-INDIVIDUALS, OVER & ABOVE THE POI & POA, AS MENTIONED BELOW:Login ID: Copy of the balance sheets for the last 2 financial years (to be submitted every year).