SEBI Single Reg.

No: INZ000243934
NSDL-CDSL Reg. No: IN-DP-310-2017
Trading Member: JKB Financial Services Limited
CIN: U65990JK2008SGC002931 | AMFI-Reg. No: ARN-82988
NSE CM/FO SEBI Reg. No: INF231441131
BSE CM/FO SEBI Reg. No: INB011441137

DEMAT & TRADING ACCOUNT OPENING FORM | INDIVIDUALS

FORM NUMBER CLIENT ID UCC

INDEX OF DOCUMENTS
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
S.No Name of Document Brief Significance of the Document Page No
Part I - KYC Form: Document captures basic information
2
about the constituent.
1 Account Opening Form.
Part II - Document capturing additional information about the
3-4
constituent relevant to client Trading/Demat Account.
Document stating brief instructions for filling KYC Form &
2 Instructions/Checklist. Client Copy
documents required.
Document stating the Rights & Obligations of the beneficiary
owner & DP, Stock Broker / Trading Member, Sub-Broker &
3 Rights and Obligations. Client for trading on exchanges (including additional rights & Client Copy
obligations in case of Internet/Wireless technology based
trading).
Document detailing risks associated with dealing in the
4 Risk Disclosure Document (RDD). Client Copy
securities market.
Document detailing Do’s & Don’ts for trading on exchange, for
5 Guidance Note. Client Copy
the education of investors.
Document describing significant Policies & Procedures of the
6 Policies and Procedures. Client Copy
Stock Broker.
Document detailing the Rate/Amount of brokerage and the
7 Tariff Sheet. charges levied on the client for trading on the Stock 6
Exchange(s).
Document contains information pertaining to the financial
8 FATCA & CRS Declaration Form. assets held by their citizens in foreign or overseas financial 7
institutions.
Document capturing the declaration for opting out of
Nomination Option / nomination.
9 8-9
Nomination Form. Nomination form for appointing nominee to the clients’
account.
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
Document contains voluntary undertakings by the client with
1 Undertaking / Authorisation. respect to JKBFSL internal operations during the course of 5
the relationship with JKBFSL.
2 Running Account Authorisation. Letter of Authorisation for maintaining account with JKBFSL 5
Document confirming the rights of JKBFSL to Debit/Credit,
5 BMLI & DDPI. Block/Unblock, Pledge/Unpledge Funds/Securities in the 10-12
linked Bank/Demat Account.

Grievance Redressal
For any grievance or dispute, kindly contact JKB Financial Services at below address or email us on
[email protected] | [email protected] and Call Us On +91 (0) 194 248 3866
In case not satisfied with the response, please contact the concerned exchange at:
1. NSE: [email protected] | 91 (0) 22 26598100 2. BSE: [email protected] | 91 (0) 22 22728097
3. SEBI Scores: [email protected] | https://scores.gov.in/scores/Welcome.html

Managing Director: Mr. Syed Aadil Bashir Andrabi Compliance Officer: Mr. Mudassir Ah Padder
T: +91 194 231 1512 E: [email protected] T: +91 194 231 1512 E: [email protected]

REGISTERED / CORPORATE OFFICE:

Main Road, Jawahar Nagar, Srinagar (J&K) 190008.
T: 91 (0) 194 231 1512 www.jkbfsl.com E: [email protected]
 Registered / Corporate Office: Main Road, Jawahar Nagar
Srinagar, JK-190008
T: +91 194 231 1512 E: [email protected]
W: www.jkbfsl.com
[MANDATORY DOCUMENT]

PART I | KNOW YOUR CUSTOMER (KYC) ACCOUNT OPENING FORM

Application Type √ New KYC Number (if already existing)

Account Type Normal Minor

1. PERSONAL DETAILS

Prefix First Name Middle Name Last Name

Name (As per PAN)
Father/Spouse Name
Mothers Name
Date of Birth Marital Status: Single Married
Gender Male Female PAN
Nationality Indian Others (Please Specify: ______________________________)
PHOTO
Residential Status: Resident Non Resident
Occupation Government Service Private Sector Business Agriculturist
Retired Public Sector Professional Housewife Student
Others (___________________)
Sign Across the Photo
S1

2. PROOF OF IDENTITY AND ADDRESS (Please tick any of the below OVDs and mention the corresponding ID Number)
1.
Aadhaar Voter ID Card Driving Licence Passport NPR Letter MG-NREGA Card
ID Number

4. ADDRESS DETAILS
3.
Permanent Address

District State/UT Country PIN

Correspondence Address (Specify the proof of address submitted for correspondence address) If same as permanent address: Yes No

Correspondence Address

District State/UT Country PIN

3. CONTACT DETAILS (All communications will be sent to Mobile number/ Email ID provided)
2.
Mobile Number Email ID

5. 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. Further I hereby consent for receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

DATE
S2
PLACE
[Signature of the Applicant]

FOR OFFICE USE ONLY

IN PERSON VERIFICATION [IPV] BY J&K BANK/JKBFSL OFFICIAL

Name of the person who has done the IPV

Designation Date of IPV
Emp. Code
Originals verified and self-attested documents received.

[J&K Bank/JKBFSL Branch Stamp & Signature]

Page | 2
 PART II ACCOUNT OPENING FORM | Individuals [MANDATORY DOCUMENT]
J&K Bank Branch SOL ID
DEMAT ACCOUNT RELATED DETAILS
Name of Depository Participant: JKB FINANCIAL SERVICES LIMITED DP-ID: IN302349
Address: Main Road, Jawahar Nagar, Srinagar (J&K) 190008 Date
I/We request you to open an ordinary resident depository account in my/our name as per the following details
(Please fill all the details in CAPITAL LETTERS only) Account Category: GENERAL BSDA STAFF

1. ACCOUNT HOLDER DETAILS

FIRST HOLDER
SECOND HOLDER
THIRD HOLDER
2. FAMILY FLAG

FIRST HOLDER SECOND HOLDER THIRD HOLDER

Mobile Mobile Mobile

I/We hereby declare that the Mobile Number I/We hereby declare that the Mobile Number I/We hereby declare that the Mobile Number
belongs to: belongs to: belongs to:
Self Spouse Self Spouse Self Spouse
Dependent Parent Dependent Child Dependent Parent Dependent Child Dependent Parent Dependent Child

E-Mail E-Mail E-Mail

I/We hereby declare that the E-Mail ID belongs to: I/We hereby declare that the E-Mail ID belongs to: I/We hereby declare that the E-Mail ID belongs to:
Self Spouse Self Spouse Self Spouse
Dependent Parent Dependent Child Dependent Parent Dependent Child Dependent Parent Dependent Child

3. PLEASE TICK IF APPLICABLE Politically Exposed Person (PEP) Related to Politically Exposed Person (PEP)
4. STANDING INSTRUCTIONS
a) Authorisation to transfer credits automatically into account. YES NO
b) Account to be operated through Power of Attorney (POA). (If yes, submit POA later) YES NO
c) Receive Annual Report, AGM notices and other communications from issuer & RTA in Electronic Form YES NO
d) Mode of receiving Statement of Account electronically. YES NO
e) SMS Alert Facility. Sole/First Holder Second Holder Third Holder
f) Receive DIS Booklet (DIS Booklet is chargeable). NO YES
5. GUARDIAN DETAILS [Where Sole/First Holder is Minor]
Name
PAN Relationship with Minor

6. DECLARATION
The rules and regulations of the Depository and Depository Participants/stock broker pertaining to an account which are in force now have been read by me/us and I/we have
understood the same and agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/we hereby declare that the details furnished 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. In case non-resident account, I/we have complied and will continue to comply with FEMA regulations. I/we
have also been informed that the standard set of documents has been displayed for information on DP/stockbroker's designated website www.jkbfsl.com. I /we hereby acknowledge the receipt
of following documents/information as per index: 1) Account Opening Form 2) Instruction/Checklist for filing KYC Form. 3) Rights and obligations of BO and DP/Stockbroker. 4) Risk
Disclosure Document 5) Guidance Note 6) Policies and Procedures. 7) Tariff Sheet. 8) Undertaking/Authorisation 9) Running Account Authorisation.
Further I authorise J&K Bank to share my KYC details with JKBFSL for availing demat/trading / mutual fund services.

S3
Sole / First Holder Second Holder Third Holder

7. FOR JOINT ACCOUNT HOLDERS

7.1 Mode of Operation for Joint Account [Please tick the appropriate one] Jointly Anyone of the holder(s)
Signature and Name of Holder(s)

S4
First Holder Second Holder Third Holder

7.2 Communication to be sent to [Please tick the appropriate one] First Holder All the Joint Holders
Signature and Name of Holder(s)

S5

First Holder Second Holder Third Holder

Page | 3
 DETAILS COMMON FOR BOTH DEMAT & TRADING ACCOUNTS
1. DECLARATION FOR NAME MISMATCH
This is to bring into your kind notice that my name is spelt differently in my Identity Proof, Address Proof & Bank Proof. Kindly find the
names mentioned below as spelt in different proofs:
Name as per PAN
Name as per Address Proof
Name as per Bank Proof
I hereby confirm that all the said names belong to me & whatever information is stated above is true and correct. I agree to
indemnify and keep you indemnified at all times from and against all costs, charges, penalties (including reasonable attorney fees) suffered
and/or incurred by you for any act done or omitted to be done on the above declaration.
S6
Date Place [Signature of the Applicant]
2. BANK ACCOUNT DETAILS
Bank A/C Number Type of A/C SAVINGS CURRENT Bank Name: J&K Bank
Branch Address MICR IFSC
City State/UT Country: INDIA PIN

TRADING ACCOUNT RELATED DETAILS

1. DEPOSITORY ACCOUNT DETAILS
Depository Name √ NSDL CDSL Name of Depository Participant: JKB FINANCIAL SERVICES LIMITED
Beneficiary Name DP ID: IN302349
BO-ID (To be allotted by DP)
2. TRADING PREFERENCES [Please tick the box where you wish to trade. The segment not opted should be struck off by the client]
NSE CASH NSE F&O BSE CASH

[Signature of the Applicant] S7 [Signature of the Applicant] S8 [Signature of the Applicant] S9

3. OTHER DETAILS
Net Worth [not older than 1 year]. Amount Rs. As on date
Income Range per annum [Please tick any one]
Below 1 Lac 1 – 5 Lacs 5 – 10 Lacs
10 – 25 Lacs More than 25 Lacs
Investment/Trading Experience (in years)
4. PAST ACTION 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: No Yes (Please specify______________________________ )
5. ADDITIONAL DETAILS
a) Mode of receiving Contract Note Electronic Physical
b) Wish to avail Internet /Wireless Technology Based Trading Facility YES NO
c) Do you wish to avail Margin Trading Facility (MTF) YES NO
[I confirm that I/We have received, read and understood, acknowledged and agreed to the rights and obligations of MTF as provided at the website www.jkbfsl.com]

FOR OFFICE USE ONLY

UCC Code allotted to Client
Documents Verified with originals by Client Interviewed by IPV Done by

Name of Employee
Employee Code
Designation
Date

[Signature] [Signature] [Signature]

I/We undertake that I/We have made the client aware of “Policies and Procedures”, Tariff Sheets 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 “Policies and Procedures”, Tariff Sheets and all the Non-Mandatory Documents would be duly intimated to the clients. I/We undertake that any
change in the “Rights and Obligations” document(s), RDD and Guidance Note would be made available on our website:
www.jkbfsl.com for the information of the clients.

Branch Name Date [Signature of Authorised Person

Seal/Stamp of Branch]

Page | 4
 TERMS & CONDITIONS [VOLUNTARY DOCUMENT]
1. The Client shall maintain such Margin as may be stipulated by JKBFSL from time to time. In case the Client does not provide the required
Margin within the time frame stipulated by JKBFSL, then JKBFSL shall take such other action as it may think fit and proper. JKBFSL may
require the Client to pay additional Margin immediately in case of high volatility. 2. The Client undertakes to monitor the adequacy of the
collateral and the market value of such collateral on a continuous basis. 3. JKBFSL as risk containment measure shall have the discretion
to square off/sell all or some of the client positions/collaterals/securities, without any notice to the client. 4. The Client is responsible for
all orders, including any orders that may be executed without the required Margin in the Client’s account. 5. JKBFSL shall have the
discretion to allow or disallow trading by the client in certain scrips / contracts / products / services. 6. No transaction request shall be
assumed to be executed / modified until a confirmation from JKBFSL is received by the Client. 7. The client authorizes JKBFSL to close out
the transactions in case the Client fails to make full payment to JKBFSL or if there is debit in client’s account with JKBFSL. Also, JKBFSL
may square off open client’s margin/leveraged positions in case the scrip price is nearing its daily price band or due to any adverse
development concerning the client’s position or scrip. 8. The client agrees that JKBFSL shall not be liable for non-execution or delay in the
execution of any order due to system/network issue or due to any reason beyond the control of JKBFSL. 9. The client shall pay to JKBFSL
outstanding debit balance if any in his/her account from time to time without any delay. In case of delay, interest on delayed payment @ 18
% per annum shall be charged on outstanding amount including on interest amount already charged.10. The losses incurred on client’s
account will be to the account of the client only. Neither JKBFSL nor any of its employees/agents shall in any circumstances be liable for
any loss, lost profits, cost, liability, expense or damage occurred to the client. 11. The client authorizes JKBFSL to obtain details in relation
to the transactions and balances in respect of the securities held in his/her demat account for the purpose of collating and displaying details
in the personalized portfolio watch page. The client acknowledges that the services under ‘Portfolio Watch’ being provided are as an add
on facility and for client convenience only and JKBFSL shall not be liable for any inaccurate display of data due to any unintended error etc.
12. The client authorizes JKBFSL to deposit from time to time client’s collateral and deposits with the Exchanges/Clearing Corporation for
meeting client’s margin requirements and other obligations.13. The client authorizes JKBFSL to provide the communications through SMS
and/or telephone calls on the registered mobile number(s), even if the clients contact number is registered with the National Do Not Call
Registry etc. The client confirms that he/she shall not make any complaint to the TRAI/Service provider in relation to any
call/communications received from JKBFSL and shall not hold JKBFSL liable. 14. The client authorizes JKBFSL to place Mutual Fund
transactions as per the instructions provided. 15. The client authorize JKBFSL to set off outstanding in any of the account of the client
against credits available or arising in any other accounts/segments/exchanges maintained with JKBFSL. 16. The client authorizes JKBFSL
to use the client account details/KYC details/Bank Debit card details/registered telephone numbers/TPIN etc. as method of verification of
the client’s identity as the caller and then take orders, instructions from the caller over the phone. All such orders, instructions etc. shall be
deemed to have been placed by the client and biding on the client. 17. The Client acknowledges that he/it is fully aware of and understands
the risks associated with availing of the services for routing orders over the telephone including the risk of misuse and unauthorized use of
his/its details and/or username and/or TPIN and/or Bank Debit card details by a third party. The Client agrees that he/it shall be fully liable
and responsible for any and all unauthorized transactions and unauthorized use of the above. 18. The client shall not have recourse to
dispute redressal mechanism/arbitration mechanism/investor protection schemes of the Stock Exchanges/SEBI, in case the client avails
services under any schemes/leagues/competitions etc. offered by any third party/group company/associate of JKBFSL, and concerning
such services.19. The client agrees that non-receipt of bounced mail notification by JKBFSL shall amount to delivery of the contract note
at the email ID of the client. 20. The Trading Member may keep the unutilized margin deposits of the client in bank deposits. However, no
interest shall be passed on to the client earned for such deposits. 21. I have opted to receive Part B comprising of Rights & Obligations
(Trading and Demat separately), Uniform Risk Disclosure document and Guidance Note etc. in the form of Physical Electronic
(If the applicant does not select the check box, default option is physical for forms received in Physical and Electronic for others).
22. I hereby expressly consent to and authorize JKBFSL (whether acting by itself or whether in an automated manner or otherwise), to
share my personal information and sensitive personal information including demat account balance details in relation of the securities held
in my name in my demat account with JKBFSL for the purposes of displaying such details on JKBFSL mobile app/website and for the sake
of my convenience and better viewing experience of my account balances on one platform.

BSE StAR MUTUAL FUND FACILITY

I am interested in availing the StAR Mutual Fund facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes
permitted to be dealt with on the StAR platform of the Exchange. For the purpose of availing the StAR Mutual Fund facility, I state that
“Know Your Client” details as submitted by me for the opening of Trading Account may be considered for the purpose of StAR and I/we
further confirm that the details contained in same remain unchanged as on date. I am willing to abide by the terms and conditions as has
been specified and as may be specified by the Exchange from time to time in this regard. I shall ensure also compliance with the
requirements as may be specified from time to time by Securities and Exchange Board of India and Association of Mutual Funds of India
(AMFI). I shall read and understand the contents of the Scheme Information Document and Key Information Memorandum, addenda issued
regarding each Mutual Fund Schemes with respect to which I choose to subscribe/redeem. I further agree to abide by the terms and
conditions, rules and regulations of the respective Mutual Fund Schemes subscribed by me.

RUNNING ACCOUNT AUTHORIZATION

I/We hereby authorize JKBFSL as follows, in respect of my/our trading account with JKBFSL:
To maintain my account, on a running account basis, i.e. instead of paying to me/us any amounts or funds representing payouts,
settlement dues, marked to market profits on the settlement date, to retain, withhold, set-off and / or appropriate for such purposes and
in such manner as per, including towards settling outstanding obligations on a settlement date. I/We understand and agree that no interest
will be payable to me/us on the deposits or amounts or securities lying to my/our credit with JKBFSL. This authorization may be revoked
by me/us at any time by giving JKBFSL written intimation. I/We request you to settle my/our account on a Monthly Quarterly
basis. (If the client does not select the checkbox, default option is Quarterly).

S10
[Signature of the Applicant]

Page | 5
 DEMAT TARIFF CHART

S. NO SERVICE NORMAL BSDA CORPORATE

1 A/C Opening NIL NIL NIL
Advance/Deposit [For Non JK Bank Clients] ₹2500 NIL ₹5000
2 Subject to Value of Holding
Up to ₹50,000 NIL ₹2,500 P.A
A/C Maintenance Charges ₹600 P.A
₹50,001 to ₹2,00,000 ₹100 P.A
Above ₹2,00,001 ₹600 P.A
3 A/C Modification ₹50 per modification in Client Master
4 Market/OFF Market Transaction
Buy NIL
0.04% of Market Value (Min ₹100 per
Sell 0.05% of Market Value (Min ₹100 per instruction-Debit)
instruction-Debit)
5 Pledge Creation / Creation Confirmation 0.02% of Market Value (Min ₹25 and Max ₹500 per instruction)
Closure / Closure Confirmation / Invocation
6 Dematerialisation 0.75% of market value of shares (Min ₹300 & Max. ₹250000 per certificate) plus courier charges as per
actuals.
7 Rematerialisation ₹100 up to first hundred securities and after first hundred, ₹50 for every hundred securities or part there of
or a flat fee of ₹25 per certificate whichever is higher plus courier charges.
8 Demat Rejection Charges/Failed No charges shall be levied.
9 Non Periodic A/C Statement Charges ₹15 plus postage.
Belated Instruction/SPEEDe Charges ₹50 per Transaction / 0.02% per Transaction (Min ₹19 and Max ₹50)
Demat Mail Charges/Remat Mail Charges ₹90 / ₹25
Redemption Charges ₹100 per Transaction plus ₹90 courier charges
Account Statement Charges ₹25
10 Book Issuance Charges ₹100 per book plus courier charges ₹150 per book plus courier charges
Charges for Non Payment of Dues
Penalty and Interest Charges A penalty of 2% Per Month shall be levied on the outstanding amount after one month from the due date
The Depository Servicers shall be withdrawn (temporarily) from the payment due date.
Non Payment of Bill after 30 days
The charge for resuming the services shall be ₹100 per account.
Notes: 1) GST as applicable. 2) The DP Service Charges are payable upfront. 3) Bills can be deposited either in Cash/Cheque (payable anywhere) or through NEFT. 4) Charges are
subject to revision of DP’s sole discretion by giving 30 days’ notice prior to the date of applicability. 5) Staff Accounts shall be charged A/C maintenance @ ₹300 P.A plus taxes
applicable.
In case the value of holding exceeds ₹2,00,000, the BSDA will automatically get converted into normal Demat Account and normal charges as per the prevailing scheme
shall apply.

TRADING TARIFF CHART

SEGMENT TRANSACTION TYPE TURNOVER BROKERAGE APPLICABLE
Equity Delivery (Each Leg) RI’s: 0.50% NRI’s: 0.75%
(Cash Market)
Up to ₹25 Lacs | ₹25 Lacs to ₹50 Lacs 0.10% | 0.07%
Intraday (Each Leg)
₹50 Lacs to ₹1 Crore | Above ₹1 Crore 0.05% | 0.03%
Futures Carry Forward/ Intraday 0.10% | 0.05% of trade value or ₹25 (Whichever is higher)
Settlement Expiry NIL
Options Carry Forward/Intraday/Settlement Expiry ₹60 Per Lot [Each Leg]
VARIABLE MULTI TIER BROKERAGE PLAN [F&O (OPTION CONTRACT)]
SEGMENT TURNOVER/DAY (NO. OF LOTS) INTRADAY TARIFF CARRY FORWARD TARIFF
F&O (NSE)
Above 1000 lots/day | 500-900 lots/day ₹20/Lot/Leg | ₹30/Lot/Leg ₹40/Lot | ₹50/Lot
Option
(Call/Put) 100-499 lots/day | Below 99 lots/day ₹40/Lot/Leg | ₹50/Lot/Leg ₹60/Lot | ₹60/Lot

TERMS APPLICABLE TO BROKERAGE PLANS

Statutory charges shall be levied separately e.g. GST, STT, Stamp Duty, Exchange Transaction Charges, SEBI Turnover Charges etc. as per the rates
applicable from time to time. Cash/Delivery transactions squared off on the same day will be charged brokerage at rates applicable for Intra-Day trades.
Brokerage in equity segment is computed on per share basis and is rounded off to the nearest paisa, subject to a minimum brokerage of 5 paisa per share.
Option Expiry Charges: Option Final Expiry Charges (comprising of stamp duty, STT etc.) are levied on the settlement value of the option. Exchange
Transaction Charges on Options trades will be computed on the premium amount.

OTHER TERMS AND CONDITIONS

1) System abuse charges, if any, as levied by Exchange(s) will be recovered from the respective clients. 2) All Intra-day transactions that are converted to
delivery will be charged brokerages as applicable to Cash/Delivery trades. 3) The rates provided in this schedule are subject to change with 30 (Thirty) days
prior intimation. 4) In case of non-receipt of full payment against Margin/Settlement obligation, an interest will be charged @ 18% P.A on daily outstanding
balance till the date of actual realisation of the outstanding amount. 5) Any penalty levied by Exchange(s) on the client’s positions shall be recovered from
the client’s account. 6) JKB Financial Services is also authorised to debit the charges related to my DP Account to my Trading Account. 7) I/We hereby
authorize you to use my/our bank account details (already provided) for dividend purpose, recovery of demat related charges. 8) Any other charges/penalties
paid on behalf of the client shall be recovered from the clients trading A/C on actual basis. 9) The minimum brokerage amount per executed order of ₹25
(subject to ceiling of 2.5% of the traded value) will be charged for transactions in Equities and Futures segment.

S11
[Signature of the Applicant]

Page | 6
 Registered / Corporate Office: Main Road, Jawahar Nagar
Srinagar, JK-190008
T: +91 194 231 1512 E: [email protected]
W: www.jkbfsl.com

FATCA & CRS DECLARATION | Individuals

[MANDATORY DOCUMENT]

PAN Trading ID Client ID DP ID: IN302349

Name
Place of Birth Country of Birth
Nationality: INDIAN OTHERS [Please specify] __________________________________________________.
ANNUAL INCOME [Please tick any one]
Below 1 Lac 1 – 5 Lacs 5 – 10 Lacs
10 – 25 Lacs 25 Lacs – 1 Crore >1 Crore
NET WORTH [not older than 1 year].

Amount ₹. As on date

OCCUPATIONAL DETAILS
Government Service Private Sector Business Agriculturist Retired
Public Sector Professional Housewife Student Forex Dealer
Others [Please specify] __________________________________________________.
PLEASE TICK IF APPLICABLE Politically Exposed Person (PEP) Related to Politically Exposed Person (PEP)

Are you a tax resident of any country other than India: Yes No
If yes, please indicate all the countries in which you are a resident for tax purpose and the associated Tax ID number below.

S.No Country Tax Identification Number Identification Type

[TIN or Others (Please Specify)]

DECLARATION
I have read and understood the information requirements and the Terms & Conditions mentioned in this Form (read along with FATCA & CRS instructions)
and hereby confirm that the information provided by me on this Form is true, correct and complete. I hereby agree and confirm to inform JKB Financial
Services Limited for any modification to this information promptly. I further agree to abide by the provisions of the scheme related documents inter alia
provisions of FATCA & CRS on Automatic Exchange of Information (AEOI).

DATE PLACE
S12
[Signature of the Applicant]

For Investor convenience, JKB Financial Services Limited is collecting this mandatory information for updating across all Group Companies of JKB
Financial Services Limited whether you are already an investor or would become an investor in future. Please submit the form fully filled, signed, for all
the holders, separately, and submit at your nearest JKB Financial Services Limited branch or you can dispatch the hard copy to-
JKB Financial Services Limited
Main Road, Jawahar Nagar, Srinagar (JK)-190008
For detailed Terms & Conditions please visit www.jkbfsl.com

ACKNOWLEDGEMENT
Date

Received the Application from Mr. / Mrs. / M/S _____________________________________________________________ as the Sole/First Holder along with

____________________________________________ & __________________________________________ as Second & Third Holders respectively for opening of

Demat & Trading Account. Please quote that the Client ID & UCC will be communicated to you for all future correspondence.

Authorized Signatory

Page | 7
 Registered / Corporate Office: Main Road, Jawahar Nagar
Srinagar, JK-190008
T: +91 194 231 1512 E: [email protected]
W: www.jkbfsl.com

NOMINATION OPTION
[MANDATORY DOCUMENT]

Date DP ID IN302349
Client ID

FIRST HOLDER
SECOND HOLDER
THIRD HOLDER

NOMINATION OPTION:
I wish to make a nomination. YES [Fill form 10] NO [Give Declaration]

DECLARATION FOR OPTING OUT OF NOMINATION

I / We hereby confirm that I / We do not wish to appoint any nominee(s) in my / our Trading / Demat account and understand the issues involved
in non-appointment of nominee(s) and further are aware that in case of death of all the account holder(s), my / our legal heirs would need to submit all the
requisite documents / information for claiming of assets held in my / our Trading / Demat account, which may also include documents issued by Court or
other such competent authority, based on the value of assets held in the Trading / Demat account.
[Signature of witness along with name & address are required if the account holder affixes Thumb Impression instead of signature]

Name of Witness
Address Signature of Witness

S13
Sole/ First Holder Second Holder Third Holder

Page | 8
 Registered / Corporate Office: Main Road, Jawahar Nagar
Srinagar, JK-190008
T: +91 194 231 1512 E: [email protected]
FORM 10 W: www.jkbfsl.com
FORM FOR NOMINATION / CANCELLATION OF NOMINATION
(To be filled in by individual applying singly or jointly) [MANDATORY DOCUMENT]

Date DP ID IN302349
I/We wish to make a nomination. [As per details given below] Client ID
I/We wish to cancel the nomination made by me/us earlier and consequently all rights and liabilities in respect of beneficiary ownership in the
securities held by me/us in the said account shall vest in me/us. [Strike off the nomination details below.]

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

Nominee Details Nominee 1 Nominee 2 Nominee 3

NAME

Equal
Share of % % %
each (If not equally,
please specify
Nominee Any odd lot after division shall be transferred to the first nominee mentioned in the form.
%age)

Relationship with Applicant

Address
PIN PIN PIN

Mobile/Telephone Number

Email ID

Nominee Identification
Details [Please tick anyone and
provide the details of same]

Photo & Sign PAN

Aadhaar SB A/C No
PoI Demat ID

Details mentioned below are to be filled only if nominee(s) is a minor

Date Of Birth

Guardian Name

Guardian Address
PIN PIN PIN

Guardian Phone Number

Guardian Email ID
Guardian Relationship with
Nominee
Guardian Identification
Details [Please tick anyone and
provide the details of same]

Photo & Sign PAN

Aadhaar SB A/C No
PoI Demat ID

First Holder Second Holder Third Holder Witness

Name
Witness Address

S14
Sole / First Holder Second Holder Third Holder Signature of Witness

Page | 9
 Registered / Corporate Office: Main Road, Jawahar Nagar
Srinagar, JK-190008
T: +91 194 231 1512 E: [email protected]
BMLI & DDPI [VOLUNTARY DOCUMENT] W: www.jkbfsl.com

[This document is voluntary. However, the same is required to be executed by the customers in order to avail the seamless trading platform with integrated bank account, demat account
and broking account. If you do not wish to use the services of JKBFSL, you need not to execute such documents.]

MASTER MANDATE LETTER

I / We refer to the Mandatory Rights and Obligations prescribed by SEBI Non-Mandatory Additional Rights and Obligations Confirmation dated
_______________, 20___________ (“Additional Rights and Obligations Confirmation”) by the Client (as described below) (“Client”) in favour of JKBFSL
(“JKBFSL”). The Client is desirous of investing and/ or trading in securities, making investments and entering into various transactions (hereinafter, for the
sake of convenience, collectively referred to as “Securities”) with or through JKBFSL and for this purpose the Client has signed the account opening form
together with the Mandatory Rights and Obligations prescribed by SEBI and Additional Rights and Obligations Confirmation by the Client in favour of
JKBFSL (hereinafter collectively referred to as the “Account Opening Documentation”). Under the terms of the Account Opening Documentation and SEBI
regulations and circulars, the Client and the other account holders (described below) (hereinafter collectively referred to as the “Joint Account Holders”)
have agreed to execute this Master Mandate Letter, supplemented by:
(i) Demat Debit and Pledge Instruction in favour of [JKBFSL] and
(ii) Mandate letter and instructions to JKBFSL in respect of the Customer Accounts of which they are the holders.
It is understood and acknowledged by the Client and other account holders that this Master Mandate Letter is the principal letter of authority and instrument
and the Demat Debit and Pledge Instruction and Mandate Letter are instructions for facilitating and completing transactions contemplated in the Account
Opening Documentation. I/We have perused the Account Opening Documentation and consent to the provisions thereof. The aforesaid mandate has been
granted, the instructions herein have been given and the agreements herein contained have been agreed to by me/us in consideration of the Account
Opening Documentation and the mutual rights, covenants and obligations thereunder. This mandate may be revoked by the Client at any time, however,
such revocation shall not affect the obligations of the Client outstanding at the time such revocation and the mandate and instructions granted hereunder
shall continue until all transactions and instructions already executed or issued in pursuance of this mandate and all outstanding’s towards JKBFSL have
been settled. This master mandate letter shall come into force upon its acceptance by JKBFSL. I/We the Client and the other account holders have hereby
executed this master mandate letter at ________________________ on the ______ day of _________________ 20 ______.

Signature and Name of Holders

S15
Sole/First Holder Second Holder Third Holder

Accepted
For JKB Financial Services Ltd
DATE PLACE
Authorized Signatory
[This document is voluntary. However, the same is required to be executed by the customers in order to avail the seamless trading platform with integrated bank account, demat
account and broking account. This mandate letter and instructions are being issued by the client in furtherance of and pursuant to the Account Opening Documentation and forms an
integral part of and supplements the Master Mandate Letter. If you do not wish to use the services of JKBFSL, you need not to execute such documents.]

BMLI - BANK MANDATE LETTER AND INSTRUCTIONS

I/We, the Client / Joint Account Holders, mandate and instruct JKBFSL/J&K Bank, acting through any of its officers or employees:
a. To block, hold and/or create/mark a lien, charge or hypothecation on one or more of the customer Bank Accounts or all or any of the money therein
including in the internal systems of JKBFSL, as JKBFSL may deem fit and thereafter without any further instructions (this writing constituting my/our
instructions to do so) to transfer all the said money to JKBFSL or any account(s) of JKBFSL specified in the schedule hereto or to such other accounts as
may be specified on the website of JKBFSL and by electronic mail otherwise or in accordance with the instructions of JKBFSL.
b. To transfer any money from any Customer Bank Account(s) to JKBFSL or any account(s) of JKBFSL specified in the schedule hereto or to such other
accounts as may be specified on the website of JKBFSL and by electronic mail or otherwise for the following purposes:(i) towards stock exchange related
margin/delivery and/or settlement obligations arising out of trades executed by me/us on the stock exchange through JKBFSL;(ii) for recovering any
outstanding amount due from me/us arising out of my/our trading activities on the stock exchanges through JKBFSL;(iii) for meeting obligations arising
out of my / our subscription to, units of Unit Trust of India or other mutual funds, government securities, negotiable instruments, certificates of deposits,
participation certificates, commercial paper, bank deposits, fixed deposits, money market instruments, collective investment schemes or any other
security or financial instrument, derivatives, including but not limited to equity derivatives, currency derivatives, interest rate derivatives, forwards,
futures, swaps and options, and public provident fund, national savings schemes, new pension system / scheme and other savings schemes of Government
of India or other undertakings, life insurance, general insurance or such other products / facilities / services offered and/or distributed by JKBFSL, from
time to time or in connection with any transaction effected or entered into or proposed to be effected or entered into by JKBFSL pursuant to the said
Account Opening Documentation;(iv) towards monies/ fees/ charges, or the like due to JKBFSL payable by virtue of my/ us using/ subscribing to any of
the facilities/ services availed by me/ us. Provided further, that any funds that have been erroneously transferred to JKBFSL or that JKBFSL was not
entitled to receive, shall be re-transferred / returned to the customer account from which they were transferred.
c. To sign, deliver and/or acknowledge all instructions, forms, instruments, cheques, drafts, slips, receipts and other instruments and writings which are
necessary or advisable for performing all or any of the mandate and instructions hereby conferred.
d. To apply for, purchase, redeem and/or sell in any other manner acquire or dispose of units of Unit Trust of India or other mutual funds, government
securities, negotiable instruments, certificates of deposits, participation certificates, commercial paper, bank deposits, fixed deposits, money market
instruments or other instruments of like nature, collective investment scheme or any other security or financial instrument, , currency derivatives, interest
rate derivatives, and public provident fund, national savings schemes, new pension system / scheme and other savings schemes of Government of India or
other undertakings, life insurance, general insurance or such other products/facilities/services, offered and/or distributed by JKBFSL.

Page | 10
e. To receive and hold certificates, title documents, deposit receipts, account statements and other documents and writings pertaining to mentioned above
and/or any amount invested, advanced or expended by me/us or on my/our behalf and to acknowledge receipt of the same
f. To sign and endorse all such application forms, transfer deeds, deposit receipts, redemption requests, negotiable and other instruments, contracts and
other writings and do all such acts as may be required for all or any of the above purposes or otherwise in connection with any transaction effected or entered
into or proposed to be effected or entered into by JKBFSL pursuant to the said Account Opening Documentation. For this purpose, J & K Bank may act on
the basis of any certificate or writing by JKBFSL that any transaction is effected or entered into or proposed to be effected or entered into by JKBFSL
pursuant to the said Account Opening Documentation and the same will be binding on the Joint Account Holder(s) and any other person relying on this
mandate and instructions.
g. To send a consolidated summary of my/our scrip-wise buy and sell positions taken with average rates by short message service or through email on a
daily basis. Provided that J & K Bank shall exercise the mandate conferred only pursuant to instructions in that behalf given by the Client, which instructions
may be given orally, over the telephone, through the internet, through a kiosk, electronically or in any other manner acceptable to Bank and such instructions
given to Bank or JKBFSL shall be admissible in evidence and shall not be questioned by me/us and shall be conclusive and binding against me/us. AND
PROVIDED FURTHER THAT the aforesaid mandate and instructions may (at JKBFSL’ option) be exercised by J & K Bank on behalf of the Client alone or all
or any of the Joint Account Holders, and any such exercise shall be binding upon all the Joint Account Holders. AND I/We the Joint Account Holders do
mandate and instruct J & K Bank to, from time to time and without requiring my/our further instructions or consent (this writing constituting my/our
consent).
h. To initiate pledging of funded securities purchased by the client under Margin Trading Funding as per the SEBI MTF regulations.

S16
Signature of Sole/First Holder
For the purpose of the above mandate and instructions, the Joint Account Holders are instructing JKBFSL : (i) The Joint Account Holders of any Customer
Bank Account(s)shall at all times make available sufficient funds in the Customer Bank Account(s) for the purpose of the transactions to be carried out
pursuant to the Account Opening Documentation and shall not, without JKBFSL prior written consent, close an Customer Bank Account and/ or Customer
Demat Account or directly or indirectly operate or give instructions in respect of any Customer Account which may prejudice JKBFSL rights under the
Account Opening Documentation or the transactions undertaken thereunder or mandate exercisable by J & K Bank hereunder or which would be contrary
to the provisions of the Account Opening Documentation or any acts by J & K Bank pursuant to the above. (ii) The Joint Account Holders of any Customer
Bank Account(s) agree that (a) instructions given by the Client to J & K Bank to block funds in or to transfer funds from an Customer Bank Account in
connection with any transaction entered into and/or to be entered into by the Client with or through JKBFSL will be given first priority over any other
instructions or cheques (whether prior or subsequent) given or issued by any Joint Account Holder by itself or through any other attorney,(b) funds once
blocked on the instructions of the Client in connection with any transaction entered into and/or to be entered into by the Client with or through JKBFSL can
be released only with the express written consent of JKBFSL to J & K Bank; and(c) if the Client has given any blocking, holding, debit or other instructions in
respect of any money in any Customer Bank Account, in connection with any transaction entered into and/or to be entered into by the Client with or through
JKBFSL, and JKBFSL receives transfer, debit or other instructions in respect of such money from any Joint Account Holder or any other person, then Bank
shall first give effect to the first mentioned instructions and shall also transfer the concerned money to JKBFSL account;
In case of death, disability, winding up or liquidation of any Joint Account Holder, Bank shall be entitled to immediately freeze the Customer Bank Accounts,
and the mandate, shall be revoked as regards such Joint Account Holder upon the intimation in writing to Bank and JKBFSL of such death, disablement,
dissolution, winding up or liquidation by the surviving Joint Account Holder/s and the instructions and agreements contained herein shall be revoked within
two days of such intimation. Due to any systems used for executing instructions there could be consequent delay of one business day (in the normal course)
or other number of days (for reason not in control of Bank) from the date of receipt of the instructions to the actual execution of the instructions in the
systems and hence instructions will be provided well in advance in order to enable timely delivery. Further all instructions, whether for a hold or transfer or
otherwise would be in respect of the balances in the Customer Bank Accounts on the previous day and Bank would not permit blocking/transfer of any other
action in respect of funds which have come to the credit of the Customer Bank Accounts on the current day. This mandate may be revoked by the Client at
any time, however, such revocation shall not affect the obligations of the Client outstanding at the time such revocation and the mandate and instructions
granted hereunder shall continue until all transactions and instructions already executed or issued in pursuance of this mandate and all outstanding’s
towards JKBFSL have been settled. I/We the Client and the other account holders have hereby executed this mandate and instruction at
____________________ on the ______ day of _________________ 20_______.
LIST OF JKBFSL BANK ACCOUNTS WHERE FUNDS CAN BE MOVED
Name of the Bank Name of A/c Account Number

HDFC Bank Limited NSE CM CLEINT A/C 04150340000123

HDFC Bank Limited NSE F&O Client A/C 04150340000106

HDFC Bank Limited BSE CM Client A/C 04150340000140

HDFC Bank Limited BSE F&O Client A/C 04150340000133

J&K Bank Limited JKBFSL Client A/C 1111010100000102

CUSTOMER BANK ACCOUNT DETAILS:

Bank A/C Number Account Type: SAVINGS CURRENT Bank Name: J&K Bank
Customer / UCC Branch

Name
Address

S17
Sole/ First Holder Second Holder Third Holder

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[This document is voluntary. However, the same is required to be executed by the customers in order to avail the seamless trading platform with integrated bank account, demat account
and broking account. This Demat Debit and Pledge Instruction is being issued by the client in furtherance of and pursuant to the Account Opening Form and forms an integral part of and
supplements the Master Mandate Letter. If you do not wish to use the services of JKBFSL, you need not to execute such documents.]
To JKB Financial Services Limited
Main Road, Jawahar Nagar
Srinagar J&K-190008
DDPI - DEMAT DEBIT AND PLEDGE INSTRUCTION
S. No Purpose
Transfer of securities held in the Demat Accounts of the Joint Account Holder(s) towards Stock Exchange related deliveries /settlement
obligations arising out of trades executed by Joint Account Holder(s) on the Stock Exchange through JKBFSL.
Signature and Name of Holders
1

S18
Sole/ First Holder Second Holder Third Holder
Pledging / re-pledging of securities in favour of JKBFSL and / or the clearing member for the purpose of meeting margin requirements of the
Joint Account Holder(s) in connection with the trades executed by the Joint Account Holder(s) on the Stock Exchange.
Signature and Name of Holders
2

S19
Sole/ First Holder Second Holder Third Holder

Mutual Fund transactions being executed on Stock Exchange order entry platforms

Signature and Name of Holders

3

S20
Sole/ First Holder Second Holder Third Holder

Tendering shares in open offers through Stock Exchange platforms

Signature and Name of Holders

4

S21
Sole/ First Holder Second Holder Third Holder

I/We the Client and the other account holders have hereby executed this Demat Debit and Pledge Instruction at ____________________________________
on the _______ day of _________________20_________.

DEMAT ACCOUNT DETAILS

DP ID: IN302349 Demat ID UCC Depository: National Securities Depository Limited.
Name
Address

S22
Sole/ First Holder Second Holder Third Holder

LIST OF JKBFSL DEMAT ACCOUNTS WHERE SECURITIES CAN BE MOVED

Name of the Depository Participant JKB Financial Services Ltd (JKBFSL)
A/C Category Depository ID DP-ID Client ID
NSE CM CDSL CMID M51835 13028000 00010388
BSE CM Principal CDSL CMID 6460 13028000 00010392
BSE CM Pool CDSL CMID 6460 13028000 00010409
NSE CM NSDL CC CM ID M51835 CM BP ID IN518354 IN302349 10353176
BSE CM NSDL CC CM ID 6460 CM BP ID IN664608 IN302349 10353615
MARGIN/BENEFICIARY ACCOUNT DETAILS
Account Type DP-ID DP Name Account No
TM/CM Client Securities Margin Pledge A/C IN-302349 JKB FINANCIAL SERVICES LIMITED 10433369
TM/CM Client Securities Margin Pledge A/C - For MTF IN-302349 JKB FINANCIAL SERVICES LIMITED 10439044

ACCEPTED BY JKBFSL
Name of Official
Employee Code
Authorised Signatory

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