TRADING ACCOUNT OPENING FORM TABLE OF CONTENTS

DOCUMENT Account Opening Form SIGNIFICANCE MANDATORY DOCUMENTS a) KYC form - Document captures the basic information about the constituent and an instruction/check list. b) Document captures the additional information about the constituent relevant to trading account and an instruction /check list. Details the rate / amount of brokerage and other charges levied on the client for trading on the stock exchange(s) Acknowledgement indicating receipt of documents by the client OPTIONAL DOCUMENTS Authorization of running account / request letter Authorization for Electronic Contract Notes Internet Based Trading Letter or authority / request to RKSV Securities India Pvt. Ltd. Letter of Authorization for Electronic Contract Notes. Letter of Authorization for Internet Based Trading (IBT) 10 11 12 PAGE NUMBER 4-7

Tariff Sheet Acknowledgement Letter

8 9

QUICK CHECKLIST
Attached copy of passport picture on page 4 and signed across Signed all areas marked with X and yellow highlight Photocopy of PAN card with signature Photocopy of address proof with signature Photocopy of last 6 months bank statement or last years Income Tax Return (ITR) or last 6 months salary slip with signature Cancelled cheque to tie your primary banking account Account opening fees cheque for Rs. 250 made payable to RKSV Securities India Pvt. Ltd. Mailing the forms to 212, Trade Centre, BKC, Bandra (E), Mumbai, MH, 400 051 REGISTERED OFFICE ADDRESS 807, New Delhi House, Barakhamba Road Connaught Place, New Delhi, 110 011 Ph: +91-22-6130-9999 / +91-22-2654-4100 Fax: +91-22-6710-7492 www.rksv.in CEO / COMPLIANCE OFFICER Mr. Ravi Kumar Ph: +91-22-6130-9999 [email protected], www.rksv.in CORRESPONDENCE OFFICE ADDRESS 212, Trade Centre Building BKC, Bandra (E), Mumbai, MH, 400 051 Ph: +91-22-6130-9999 / +91-22-2654-4100 Fax: +91-22-6710-7492 www.rksv.in SEBI REGISTRATION NUMBERS SEBI Regn. No. NSE: INB/ INF/ INE 231394231 SEBI Regn. No. BSE: INB/ INF 011394237 Registration Date: July 23, 2010

For any grievance/ dispute please contact RKSV Securities India Pvt. Ltd. at the above address and/ or email id: complaints@ rksv.in and/ or Phone No. +91-22-6130-9999 / +91-22-2654-4100. In case you are not satisfied with the response, please contact the concerned exchange(s) at National Stock Exchange of India Limited at [[email protected] and Phone No. +9122-2659-8190] and Bombay Stock Exchange Limited at[[email protected] and Phone No. +91-22-2272-8097].

INSTRUCTIONS FOR FILLING OUT THIS KYC FORM

SECTION A IMPORTANT POINTS 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/ Partners/ Karta/ Trustees and whole time directors and persons authorized to deal in securities on behalf of company/ firm/ others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/ PIO Card/ OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRIs, Mariners declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/ Mark sheet issued by Higher Secondary Board/ Passport of Minor/ Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/ judicial/ military officers, senior executives of state owned corporations, important political party officials, etc. SECTION B PROOF OF IDENTITY (POI) - LIST OF DOCUMENTS ADMISSABLE AS PROOF OF IDENTITY 1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/ document with applicants Photo, 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 to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/ Debit cards issued by Banks. SECTION C PROOF OF ADDRESS (POA) - LIST OF DOCUMENTS ADMISSABLE AS PROOF OF ADDRESS Documents having an expiry date should be valid on the date of submission 1. Passport/ Voters Identity Card / Ration Card / Registered Lease or Sale Agreement of Residence / Driving License / Flat Maintenance bill / Insurance Copy. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement / Passbook - Cannot be older than 3 months. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof 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. or Statutory Authority. 6. Identity 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 to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members. 7. For FII / sub account, Power of Attorney given by FII / sub-account to the Custodians (which are duly notarized and/ or apostiled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. SECTION D EXEMPTIONS / CLARIFICATIONS TO PAN Sufficient documentary evidence in support of such claims to be collected 1. In case of transactions undertaken on behalf of Central Government and/ or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/ multilateral agencies exempt from paying taxes/ filing tax returns in India. 4. SIP of Mutual Funds up to Rs. 50, 000/ - p.a. 5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.

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SECTION E LIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial / Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy). 2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy / Consulate General in the country where the client resides are permitted to attest the documents. SECTION F ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENTS - ILLUSTRATIVE LIST 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 time. 1. Copy of ITR Acknowledgement 2. Copy of Annual Accounts 3. In case of Salary Income Salary Slip, Copy of Form 16 4. Net Worth Certificate 5. Copy of demat account holding statement. 6. Bank account statement for last 6 months 7. Self declaration with relevant supporting documents. 8. Any other relevant documents substantiating ownership of Assets. SECTION G COPY OF CANCELLED CHEQUE LEAF/ PASS BOOK/ BANK STATEMENT Please ensure the document specifies the name of the constituent, MICR Code and/or IFSC code of the bank. SECTION H DEMAT MASTER OR RECENT HOLDING STATEMENT ISSUED BY DP BEARING NAME OF THE CLIENT For individuals: 1. Stock broker has an option of doing in-person verification through web camera at the branch office of the stock broker/ sub-brokers office. 2. In case of non-resident clients, employees at the stock brokers 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 brokers staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the country where the client resides may be permitted.

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PLEASE AFFIX A RECENT PASSPORT PHOTOGRAPH AND SIGN ACROSS [1]

KNOW YOUR CUSTOMER (KYC) FORM FOR INDIVIDUALS

Please type or print legibly on each field. Sign all areas highlighted with the yellow color. Once completed, please mail the completed form along with the necessary proofs to our corporate office in Mumbai. IDENTITY MIDDLE NAME LAST NAME

RKSV TRADING APPLICATION FORM

SECTION A FIRST NAME

FATHER / SPOUSES NAME MARRIED MALE FEMALE MARITAL STATUS SINGLE GENDER STATUS RESIDENT INDIVIDUAL NON RESIDENT FOREIGN NATIONAL (PASSPORT COPY MANDATORY) NATIONALITY DATE OF BIRTH (DD/MM/YYYY) PAN CARD NUMBER UNIQUE IDENTIFICATION NUMBER (UID)/AADHAAR (IF ANY) PROOF OF IDENTITY SUBMITTED SECTION B CORRESPONDENCE ADDRESS ADDRESS CITY/TOWN/VILLAGE PIN CODE STATE COUNTRY

SPECIFY PROOF OF ADDRESS FOR CORRESPONDENCE ADDRESS SECTION C PERMANENT ADDRESS ADDRESS (IF DIFFERENT FROM ABOVE OR OVERSEAS ADDRESS, MANDATORY FOR NON-RESIDENT APPLICANTS) CITY/TOWN/VILLAGE PIN CODE STATE COUNTRY

TEL (OFF) TEL (RES) FAX EMAIL MOBILE SPECIFY PROOF OF ADDRESS FOR PERMANENT ADDRESS SECTION D OTHER DETAILS GROSS ANNUAL INCOME RANGE NET WORTH ON DATE (NOT OLDER THAN 1 YEAR) DATE (DD/MM/YYYY) BELOW 1 LAC 1 - 5 LAC 5 - 10 LAC OR VALUE 10 - 25 LAC OVER 25 LAC AFFILIATIONS POLITICALLY EXPOSED PERSON (PEP) RELATED TO A POLITICALLY EXPOSED PERSON (PEP) OCCUPATION GOVERNMENT SERVICE BUSINESS PROFESSIONAL PRIVATE SECTOR SERVICE PUBLIC SECTOR AGRICULTURIST RETIRED HOUSEWIFE STUDENT OTHER ANY OTHER INFORMATION SECTION E DECLARATION I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it. CLIENTS SIGNATURE [2] DATE (DD/MM/YYYY)

FOR OFFICE USE ONLY

(ORIGINALS VERIFIED) TRUE COPIES OF DOCUMENTS RECEIVED (SELF ATTESTED) SELF CERTIFIED DOCUMENT COPIES RECEIVED EMPLOYEE SIGNATURE DATE (DD/MM/YYYY)

SEAL/STAMP OF THE INTERMEDIARY

MANDATORY

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TRADING ACCOUNT RELATED DETAILS

SECTION A BANK NAME CITY/TOWN/VILLAGE ACCOUNT NUMBER ACCOUNT TYPE CURRENT SECTION B BANK NAME CITY/TOWN/VILLAGE PRIMARY BANKING ACCOUNT BRANCH ADDRESS STATE COUNTRY MICR NUMBER SAVINGS IFSC CODE OTHER SECONDARY BANKING ACCOUNT BRANCH ADDRESS PIN CODE STATE COUNTRY MICR NUMBER OTHER IFSC CODE PRIMARY DEPOSITORY ACCOUNT DP TYPE (NSDL/CDSL) DEPOSITORY PARTICIPANT ID BENEFICIARY ID (BO ID) SECONDARY DEPOSITORY ACCOUNT DP TYPE (NSDL/CDSL) DEPOSITORY PARTICIPANT ID BENEFICIARY ID (BO ID)

PIN CODE

ACCOUNT NUMBER CURRENT SAVINGS ACCOUNT TYPE SECTION C DEPOSITORY PARTICIPANT NAME BENEFICIARY NAME SECTION D DEPOSITORY PARTICIPANT NAME BENEFICIARY NAME

SECTION E TRADING PREFERENCES Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. If, in future, the client wants to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker. I WOULD LIKE TO TRADE ON THE NSE CASH SEGMENT I WOULD LIKE TO TRADE ON THE NSE F&O SEGMENT I WOULD LIKE TO TRADE ON THE BSE CASH SEGMENT FOR AN ADDITIONAL RS. 150/MONTH I WOULD LIKE TO TRADE ON THE NSE CDS SEGMENT SECTION F CLIENTS SIGNATURE [3A]

X X X X

CLIENTS SIGNATURE [3B] CLIENTS SIGNATURE [3C] CLIENTS SIGNATURE [3D] PAST ACTIONS

Details of any action/ proceedings initiated/ pending/ taken by SEBI/ Stock exchange/ any other authority against the applicant/ constituent or its Partners/ promoters/ whole time directors/ authorized persons in charge of dealing in securities during the last 3 years SECTION G DEALINGS THROUGH SUB BROKERS AND OTHER STOCK BROKERS IF CLIENT IS DEALING THROUGH A SUB BROKER, PLEASE PROVIDE THE FOLLOWING DETAILS SUB BROKER NAME SEBI REGISTRATION NUMBER WEBSITE REGISTERED OFFICE ADDRESS STATE COUNTRY CITY TEL FAX

MANDATORY

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IF DEALING WITH ANY OTHER STOCK BROKER/SUB BROKER (IN CASE DEALING WITH MULTIPLE STOCK BROKERS/SUB BROKERS, PROVIDE DETAILS OF ALL) STOCK BROKER NAME SUB BROKER NAME CLIENT CODE EXCHANGE DETAILS OF DISPUTE / DUE SPENDING FROM / TO SUCH STOCK BROKER / SUB BROKER ADDITIONAL DETAILS EMAIL ADDRESS

SECTION H CONTRACT NOTE PREFERENCES ELECTRONIC CONTRACT NOTE (ECN) PHYSICAL CONTRACT NOTE

NUMBER OF YEARS OF INVESTMENT/TRADING EXPERIENCE I WISH TO AVAIL THE FACILITY OF INTERNET TRADING / WIRELESS TECHNOLOGY IN CASE OF NON-INDIVIDUALS, NAME, DESIGNATION, PAN, UID, SIGNA- ANY OTHER INFORMATION TURE, RESIDENTIAL ADDRESS AND PHOTOGRAPHS OF PERSONS AUTHORIZED TO DEAL IN SECURITIES ON BEHALF OF COMPANY/FIRM/OTHERS

SECTION I NAME OF THE INTRODUCER INTRODUCERS STATUS EXISTING CLIENT

INTRODUCER DETAILS RELATIONSHIP WITH THE INTRODUCER AUTHORIZED PERSON SUB-BROKER REMISIER

OTHERS, PLEASE SPECIFY INTRODUCERS ADDRESS INTRODUCERS PHONE NUMBER INTRODUCERS CLIENT ID SECTION J

INTRODUCERS SIGNATURE

NOMINATION DETAILS (FOR INDIVIDUALS ONLY) I DO NOT WISH TO HAVE A NOMINEE RELATIONSHIP WITH THE NOMINEE

I WISH TO NOMINATE THE FOLLOWING PERSON NOMINEES NAME NOMINEES ADDRESS NOMINEES PHONE NUMBER

NOMINEES PAN CARD NUMBER

NOMINEES DATE OF BIRTH (DD/MM/YYYY)

IF NOMINEE IS A MINOR, PLEASE PROVIDE DETAILS OF HIS/HER GUARDIAN GUARDIANS NAME GUARDIANS ADDRESS GUARDIANS PHONE NUMBER GUARDIANS SIGNATURE

TWO WITNESSES ARE REQUIRED TO ATTEST IF YOU WANT TO NOMINATE A PERSON PRIMARY WITNESS NAME PRIMARY WITNESS ADDRESS PRIMARY WITNESS PHONE NUMBER SECONDARY WITNESS NAME PRIMARY WITNESS SIGNATURE

SECONDARY WITNESS ADDRESS SECONDARY WITNESS SIGNATURE

SECONDARY WITNESS PHONE NUMBER

CLIENTS NAME

PLEASE SIGN BELOW ATTESTING TO ALL THE INFORMATION ON THIS PAGE

CLIENTS SIGNATURE [4]

DATE (DD/MM/YYYY)

X
MANDATORY
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DECLARATION
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it. 2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet. 3. I/We further confirm having read and understood the contents of the Rights and Obligations document(s) and Risk Disclosure Document. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock brokers designated website, if any. CLIENTS NAME PLACE CLIENTS SIGNATURE [5] DATE (DD/MM/YYYY)
FOR OFFICE USE ONLY

CLIENTS UCC CODE

VERIFICATION OF DOCUMENTS

DOCUMENTS VERIFIED BY EMPLOYEE SIGNATURE

EMPLOYEE CODE EMPLOYEE DESIGNATION ON DATE (DD/MM/YYYY)

CLIENT INTERVIEW

CLIENT INTERVIEWED BY EMPLOYEE SIGNATURE

EMPLOYEE CODE EMPLOYEE DESIGNATION ON DATE (DD/MM/YYYY)

IN-PERSON VERIFICATION (IPV)

IPV PERFORMED BY

EMPLOYEE CODE EMPLOYEE DESIGNATION ON DATE (DD/MM/YYYY) SEAL/STAMP OF THE INTERMEDIARY

EMPLOYEE SIGNATURE

I / We undertake that we have made the client aware of Policy and Procedures, tariff sheet and all the non-mandatory documents. I/ We have also made the client aware of Rights and Obligations document (s), RDD and Guidance Note. I/ We have given/ sent him a copy of all the KYC documents. I/ We undertake that any change in the Policy and Procedures, tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/ We also undertake that any change in the Rights and Obligations and RDD would be made available on my/ our website, if any, for the information of the clients. EMPLOYEE SIGNATURE DATE (DD/MM/YYYY)

MANDATORY

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TARIFF SHEET
To RKSV Securities 212, Trade Centre BKC, Bandra (E) Mumbai, MH, 400 051 Request for subscription to the RKSV Freedom Plan and / or the RKSV Currency 999 Plan Dear Sir or Madam, I would like to subscribe to the RKSV Securities India Pvt. Ltd Freedom Plan and request RKSV Securities India Pvt. Ltd. to apply the applicable monthly subscription tariff as per the terms and conditions of RKSV Securities India Pvt. Ltd. Freedom Plan and/or the RKSV Currency 999 Plan. I hereby authorize RKSV Securities India Pvt. Ltd. to debit my ledger for the subscription amount as per terms and conditions of RKSV Securities India Pvt. Ltd. Freedom Plan. THE RKSV FREEDOM PLAN Provided for a monthly fee of Rs. 1,947 only. You can do unlimited trading across NSE Cash, BSE Cash, and NSE F&O segments. For BSE Cash only - Monthly non-refundable fee of Rs. 150 applies as per NSE NOW software usage policies. This is levied by the NSE and RKSV does not charge anything extra. Addtionally, one paise (Rs. 0.01) as brokerage will be applied for the entire day (irrespective of trade volume) if trading on BSE Cash occurs. This negligible fee is applied as per BSE policies and is not applied for NSE trading. THE RKSV CURRENCY 999 PLAN Provided for a monthly fee of Rs. 999 only. You can do unlimited trading across NSE Currency Derivatives (CDS) segment. STATUTORY CHARGES In addition to the above monthly subscription charges, the following statutory charges will also be levied: Securities Transaction Tax Transaction Charges Service Tax Stamp Duty Education and Higher Education Cess SEBI Turnover Fees Electronic Contract Notes are free. Depository Participant charges as levied by IL&FS. Terms and Conditions can be subject to change. The terms and conditions of the RKSV Securities India Pvt. Ltd. Freedom Plan has been read and understood by me. I wish to avail the Freedom Plan provided by RKSV Securities India Pvt. Ltd. for my trading account subject to the terms and conditions mentioned above. I declare that I have read and understood the terms and conditions governing the RKSV Securities India Pvt. Ltd. Freedom Plan and the Currency 999 Plan and shall agree and abide by the same. I WOULD LIKE TO ENROLL ON THE RKSV FREEDOM PLAN FOR NSE CASH, BSE CASH, NSE F&O I WOULD LIKE TO ENROLL ON THE RKSV CURRENCY 999 PLAN FOR NSE CURRENCY SEGMENT Yours faithfully, CLIENTS NAME CLIENTS SIGNATURE [6] DATE (DD/MM/YYYY) FOR OFFICE USE ONLY CLIENTS TRADING ACCOUNT NUMBER

Sub

MANDATORY

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ACKNOWLEDGEMENT
To RKSV Securities 212, Trade Centre BKC, Bandra (E) Mumbai, MH, 400 051 Dear Sir or Madam, I/We hereby acknowledge receipt of the following documents 1. Rights and Obligations of Stock Brokers, Sub-brokers and Clients (including additional rights & obligations in case of internet / wireless technology based trading). 2. Risk Disclosure Document for Capital Market and Derivatives Segments. 3. Guidance Note - Dos and Donts for Trading on the Exchange(s) for Investors. 4. Policies and Procedures Document pursuant to the SEBI circular dated December 03, 2009. 5. The RKSV Securities Freedom Plan Tariff Sheet. 6. General Terms and Conditions governing securities trading and broking services of RKSV Securities India Pvt. Ltd. I/We understand that the Voluntary documents executed by me/us are out of my/our own free will. I state that I have read and understood all above documents and these documents are binding upon me.

Yours faithfully, CLIENTS NAME CLIENTS SIGNATURE [7] DATE (DD/MM/YYYY)

MANDATORY

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AUTHORIZATION FOR RUNNING ACCOUNT

To RKSV Securities 212, Trade Centre BKC, Bandra (E) Mumbai, MH, 400 051 I am a registered client with you, and am dealing in Capital Market/ Derivative Market/ Currency Market segment(s), and have a RKSV Securities India Pvt. Ltd. client code as mentioned below. I am aware that payout / dividend received / credited from the exchange(s) against settlement of transaction as per settlement cycle is available within 1 working day of the payout from the Exchange. It is difficult for me to make available the required funds on every pay-in of funds obligation / margin obligation, hence I request you to maintain my account on a running basis and retain the payout received / credit balance in my account for my future obligation / margin obligation or other liabilities unless I instruct otherwise. I hereby further authorize you to debit / credit / transfer the amounts between the various segments either on the same Exchange and / or Exchanges to meet my/our obligation or various dues payable to you / Exchange(s). If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the web login. Further it may be noted that if required I may revoke this authorization at any time after giving request in writing. This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be done at least once in the preference period selected below: QUARTERLY MONTHLY

While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the exchanges. I shall bring any dispute arising from the statement of account or settlement so made to your notice within 30 working days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such communication the statement / settlement of running account shall be considered as final as agreed and accepted by me. Yours faithfully, CLIENTS NAME CLIENTS SIGNATURE [8] DATE (DD/MM/YYYY)

OPTIONAL

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10

LETTER FOR AUTHORIZATION FOR ELECTRONIC CONTRACT NOTES

To RKSV Securities 212, Trade Centre BKC, Bandra (E) Mumbai, MH, 400 051 Authorization for Electronic Contract Notes

Sub

I have been/shall be dealing through you as my broker on the Capital Market and/or Futures & Options and/or Currency Derivatives and/or Interest Rate Futures Segments. As my broker i.e. agent I direct and authorize you to carry out trading/dealings on my behalf as per instructions given below. I understand that, I have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I hereby opt to receive contract notes in electronic form. I understand that for the above purpose, you are required to take from the client an appropriate email account for you to send the electronic contract notes. Accordingly, please take the following email account /email id on your record for sending the contract notes to me: EMAIL ADDRESS

I also agree that non-receipt of bounced mail notification by you shall amount to delivery at my email account / email id. I agree not to hold you responsible for late/non-receipt of contract notes sent in electronic form and any other communication for any reason including but not limited to failure of email services, loss of connectivity, email in transit etc. I agree that the log reports of your dispatching software shall be a conclusive proof of dispatch of contract notes to me and such dispatch shall be deemed to mean receipt by me and shall not be disputed by me on account of any non-receipt/delayed receipt for any reason whatsoever. I understand that I am required to intimate any change in the email id/email account mentioned herein above needs to be communicated by me through a physical letter to you, provided however that if I am an internet client then in that event the request for change in email id/email account can be made by me through a secured access using client specific user id and password. Please treat this authorization as written ratification of my verbal directions/authorizations given and carried out by you earlier. I shall be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying out my directions given above. I understand that, you shall send physical copy of the contract note within 24 hours if you received a bounced email. Yours faithfully, CLIENTS NAME CLIENTS SIGNATURE [9] DATE (DD/MM/YYYY)

OPTIONAL

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INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT (ALL THE CLAUSES MENTIONED IN THE RIGHTS AND OBLIGATIONS DOCUMENT(S) SHALL BE APPLICABLE. ADDITIONALLY, THE CLAUSES MENTIONED HEREIN SHALL ALSO BE APPLICABLE)
1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use of wireless technology that shall include the use of devices such as mobile phone, laptop with data card, etc. which use Internet Protocol (IP). The stock broker shall comply with all requirements applicable to internet based trading/ securities trading using wireless technology as may be specified by SEBI & the Exchanges from time to time. 2. The client is desirous of investing/ trading in securities and for this purpose, the client is desirous of using either the internet based trading facility or the facility for securities trading through use of wireless technology. The Stock broker shall provide the Stock brokers IBT Service to the Client, and the Client shall avail of the Stock brokers IBT Service, on and subject to SEBI/ Exchanges Provisions and the terms and conditions specified on the Stock brokers IBT Web Site provided that they are in line with the norms prescribed by Exchanges/ SEBI. 3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilities associated with securities trading through wireless technology/ internet/ smart order routing or any other technology should be brought to the notice of the client by the stock broker. 4. The stock broker shall make the client aware that the Stock Brokers IBT system itself generates the initial password and its password policy as stipulated in line with norms prescribed by Exchanges/ SEBI. 5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible for all orders entered and transactions done by any person whosoever through the Stock brokers IBT System using the Clients Username and/ or Password whether or not such person was authorized to do so. Also the client is aware that authentication technologies and strict security measures are required for the internet trading/ securities trading through wireless technology through order routed system and undertakes to ensure that the password of the client and/ or his authorized representative are not revealed to any third party including employees and dealers of the stock broker. 6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers security flaw in Stock Brokers IBT System, discovers/ suspects discrepancies/ unauthorized access through his username/ password/ account with full details of such unauthorized use, the date, the manner and the transactions effected pursuant to such unauthorized use, etc.. 7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the internet/ securities trading through wireless technology and Client shall be fully liable and responsible for any and all acts done in the Clients Username/ password in any manner whatsoever. 8. The stock broker shall send the order/ trade confirmation through email to the client at his request. The client is aware that the order/ trade confirmation is also provided on the web portal. In case client is trading using wireless technology, the stock broker shall send the order/ trade confirmation on the device of the client. 9. The client is aware that trading over the internet involves many uncertain factors and complex hardware, software, systems, communication lines, peripherals, etc. are susceptible to interruptions and dislocations. The Stock broker and the Exchange do not make any representation or warranty that the Stock brokers IBT Service will be available to the Client at all times without any interruption. 10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension, interruption, non-availability or malfunctioning of the Stock brokers IBT System or Service or the Exchanges service or systems or non-execution of his orders due to any link/ system failure at the Client/ Stock brokers/ Exchange end for any reason beyond the control of the stock broker/ Exchanges.

CLIENTS NAME CLIENTS SIGNATURE [10] DATE (DD/MM/YYYY)

OPTIONAL

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CLIENT REFERRAL PROGRAM

To RKSV Securities 212, Trade Centre BKC, Bandra (E) Mumbai, MH, 400 051 Request for appointment as a Client Referrer

Sub

Dear Sir or Madam, I wish to register with you as a client referrer using my registered client code. I intend to introduce other people to you as a client so they can avail your services. In this regards, I declare as under: 1. 2. 3. 4. 5. 6. I am not a Broker on any Stock Exchange. I am not an employee of any Stock Broker. I am not a Sub Broker, Remisier and/or Authorised Person of any Stock Broker There has not been any action initiaited or taken against me by SEBI or any regulatory authority. I will not refer any immediate family members such as parents, siblings, spouse or children. I undertake to inform you immediately in case there is any incident that results in a change in my declaration.

Should I violate any of the above specified terms, I understand that my account and/or some/all of my clients accounts may be suspended and/or terminated. I understand that after referring any individual to RKSV, I will email RKSV at [email protected] with my name, and the Individuals Name and Date of Birth from my registered email address with RKSV. I will also fill out the Introducer Details section of the Trading Application Form with my details to confirm that I am the referrer for the new client. In light of any change to regulatory, exchange, or broker policy, I understand that the referral arrangement is subject to modification at the discretion of the management of the company.

Yours faithfully, CLIENTS NAME CLIENTS SIGNATURE CLIENT ID (LEAVE BLANK IF NEW CUSTOMER) DATE (DD/MM/YYYY)

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