INDEX OF DOCUMENTS

Sr. No. Contents Brief Description Page nos.

1. Checklist and Guidelines for documents A brief checklist on acceptable documents as proofs 2
to be submitted and conditions thereto and guidelines for filling the
Account opening form.
2. Know Your Client Form For capturing client details necessary for opening 3
Demat Account of the client
3. Nomination form For appointing a nominee to the client's account. 10
4. DP - Client Agreement Prescribed by Depository; Provides basic rights and 12
obligations of client and Depository Participant.
Required if Demat account is being opened with IIFL.
5. Authorisation for receiving transaction Required for issuance of Monthly/ quarterly demat 15
statement through Internet account statement at the client's registered e-mail id.
6. NOC from Coparceners (HUF Account) Prescribed by Regulator. Required if HUF is granting 16
a POA in favour of IIFL.
7. Terms and Conditions cum Registration Prescribed by Depository. Required to receive SMS 17
form for receiving SMS Alerts from NSDL alerts for the transactions executed in the demat
account directly from the Depository
8. Availing of VAS SMS Alert facility Subscription by client for value added services including 19
receipt of updates on stock prices & margin/ ledger
balance of client on their registered mobile number
9. Authorisation for receipt of Documents Required for issuance of Contract Notes, Statement 20
in Digital Mode of Account and other documents on the client's
registered e-mail id.
10. Mutual Fund Service System facility & Required if the client wants to avail Mutual Fund 21
BSE StAR Mutual Fund Service System facility & BSE StAR MUTUAL FUND
provided by NSE & BSE respectively
11. SCHEDULE OF CHARGES Details of fees/ brokerage and other charges 26
applicable to your demat account

1
 CHECKLIST AND GUIDELINES FOR DOCUMENTS TO BE SUBMITTED
(INDIVIDUAL/ NRI/ SOLE PROPRIETORSHIP FIRM/ HUF/ FOREIGN NATIONAL/ UNREGISTERED TRUST/FIRM/ AOP)
VALIDATION IDENTITY PROOF ADDRESS PROOF BANK PROOF
PROOFS NAME SIGN PHOTO CORRESPON- PERMANENT BANK BANK BANK
DENCE ADDRESS NAME A/C.NO MICR
ADDRESS CODE
PAN CARD (MANDATORY)
PASSPORT **
DRIVING LICENSE **
ELECTION VOTER ID
RATION CARD
TELEPHONE BILL @
ELECTRICITY BILL @
BANK PASSBOOK *
BANK STATEMENT #
CANCELLED CHEQUE ^^
BANK VERIFICATION LETTER
in original (SCB only) %
LEAVE & LICENSE AGREEMENT** (Registered)
CONDITIONS
** The proofs obtained should be valid for atleast 2 months from the date of this application.
@ The proofs should not be older than 2 months as on date of this application.
* Bank passbook should have Bank Manager’s Stamp & Signature if it is hand written.
# Bank Statement should be in original and of latest quarter. If not original then it should have Bank manager’s stamp & signature.
^^Cancelled Cheque should have name of the account holder and account number printed on the same.
% Bank Verification letter should be as in prescribed format on the letter head of the Bank duly signed and authorised
by the Bank official mentioning his/her Name, Designation, Signature & Employee Code.
NOTES
1 JOINT HOLDERS: Proof of Identity and Address of all Holders to be submitted
2 NRI: Proof of both Indian and Foreign Address to be submitted; NRE status - Repatriable Bank A/c NRO status - Non-
Repatriable Bank A/c; Permission of Dealing from Autorised Dealer/RBI
3 Sole Proprietorship Firm: Demat A/c has to be in name of Proprietorship Firm and Demat A/c in name of Individual
only; Declaration in the prescribed format to be signed by the Sole Proprietor
4 Partnership Firm/ AOP: Proof of Identity and Addess of all Partners to be obtained; Proof of address and Bank
A/c should be in name of Partnership Firm; Declaration in the prescribed format to be signed by all Partners
5 HUF: PAN of HUF and Karta both to be obtained; Address and Bank proof to be in name of HUF; Declaration to be
signed by Karta and all co-parceners
6 Trust (Unregistered): Proof of Identity and Addess of all Trustees to be obtained; Proof of address and Bank A/c
should be in name of Trust; Declaration in the prescribed format to be signed by Trustees; Unregistered Trust - Demat
a/c in name of Trustees
7 Minor: Demat A/c cannot be opened in name of Minor; Demat A/c - Joint a/cs not permitted with minor; PAN and
Proof of Address of both Minor and Guardian to be submitted
8 Demat A/c cannot be opened in joint names.
9 All corrections on the form should be countersigned with full signature. White ink is not allowed either in form or agreement
10 Signatures can be in English, Hindi or any other languages contained in 8th Schedule of the Constitution of India.
Thumb impressions and the signatures other than in above mentioned languages must be attested by a magistrate
or a Notrary Public or a Special Executive Magistrate underhis/her official seal

Please note that the mode of payment should be only by way of account payee crossed cheques/Demand draft in favour of "India Infoline Ltd - (Client's
Login id)". No cash receipts payments will be entertained for any transactions made by the client. IIFL will not be responsible for any kind of claims raised by the clients
regarding payment made in cash. Mobile number is compulsory for opening of Demat account with IIFL. In case of change in Mobile number anytime after opening
of this account, for Postpaid connection it is mandatory to submit the photocopy of a latest/ last two months Mobile bill and for Prepaid connection Client must
personally visit the Branch/FANs along with their ID proofs (E.g.: Pan Card or Driving License) and get the same verified.
2
 INDIA INFOLINE LTD. NSDL SEBI Registration No: IN DP NSDL 185 2000 (DP ID: IN302269)
Address: IIFL House, Sun Infotech Park, Road No. 16V, Plot No. CDSL SEBI Registration No: IN DP CDSL 352 2006 (DP ID: 12044700)
B-23, MIDC, Thane Industrial Area, Wagle Estate,
Thane - 400 604
Tel.: 022 - 2580 6650 Fax: 022 - 2580 6654
Email: info @5pmail.com

(This information is the sole property of the depository participant and would not be disclosed to anyone unless required by
law or except with the express permission of clients)

ACCOUNT DETAILS (FOR OFFICE USE ONLY)

DP ID I N 3 0 2 2 6 9 Client ID

Date :
Marketing Executive Code Branch Name
Relationship Manager Code Branch/FAN Code
HUB Audited by

I/ We wish to open a Demat Account with India Infoline Ltd. in my/ our name and in this regard the following information
is furnished:

PERSONAL DETAILS (Please fill details in BLOCK letters)

TYPE OF ACCOUNT Please tick () whichever is applicable)

STATUS SUB – STATUS

Individual Individual Resident Individual Director Individual Director’s Relative

Individual/ HUF/ AOP/ LLP/ Firm Individual Promoter
Minor Others (specify)

NRI NRI Repatriable NRI Non repatriable NRI – Depository Receipts Minor
NRI Repatriable Promoter NRI Non repatriable Promoter Others (specify)

Foreign National Foreign National Foreign National – Depository Receipts Minor Others (specify)

INDIVIDUAL (SOLE/ FIRST HOLDER)

Name First Middle Last

First Middle Last
Father/Husband’s Name
Title: Mr. Mrs. Ms. Other Suffix

SOLE PROPRIETORSHIP/ HUF/ FIRM/ TRUST/ AOP

Name of HUF/ Firm/ Trust/ AOP

First Middle Last
Name of Proprietor/ Karta

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 NRIS ONLY
Please tick () if you are a: NRO NRE NRI (Repatriable)/Non-repatriable
(A) RBI Ref No.: (B) RBI Approval Date D D M M Y Y Y Y
Foreign Address
City
State Country Pin Code
Tel. Mobile C O M P U L S O R Y Fax
Name of Beneficial Owner First Middle Last

Address

I/ WE DECLARE THAT I/ WE HAVE COMPLIED AND WILL CONTINUE TO COMPLY WITH FEMA REGULATIONS
FROM TIME TO TIME.
I agree to receive important information, correspondence, etc. through SMS/ Email given below.
Mobile No.: C O M P U L S O R Y Email ID:

SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER

1
SIGNATURE OF CLIENT(S) 22

ADDRESS AND OTHER DETAILS

Residence/ Permanent Address

City State Country

PIN Code Tel. Fax
Correspondence Address (If different from Permanent Address)

City State Country

PIN Code Tel. Fax
Mobile C O M P U L S O R Y 2
22

E-mail ID C O M P U L S O R Y 3
22

Date of Birth D D M M Y Y Y Y Sex: Male Female Marital Status: Single Married

PAN C O M P U L S O R Y IT Circle / Ward / District:
Residential Status: Resident Non-resident Others
Nationality: Indian Others (specify)
Address for communication/ Local/ Permanent Address Correspondence Address/ Foreign Address
Corporate Benefits: (Default option is Correspondence Address)

SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER

Client(s) Signature 4
22

4
 CUSTOMER PROFILE
1) FINANCIAL DETAILS:
a) Income Range per Annum: Below Rs. 1,00,000 Rs. 1,00,001 to Rs.2,00,000 Rs. 2,00,001 to Rs. 5,00,000
Rs. 5,00,001 to Rs. 10,00,000 Rs. 10,00,001 to Rs. 25,00,000 More than Rs. 25,00,001

2) OCCUPATION DETAILS:
a. If employed: Service: Central Govt. State Govt. Public/Private Sector NGO Statutory Body
Professional Business Student Retired Housewife Others (pls specify)
If in Goverment Service, please specify: Civil Police/Enforcement Defence Services PSU
If employed, Name of the Employer
Address of the Employer

Tel. No.: Fax No.:

b. If Self-employed: Business Profession Other
Nature of Business - (Products/ Services provided):
Name & Address:

Tel. No.: Fax No.:

BANK ACCOUNT DETAILS

Bank Name and Branch

Branch Address

City State

Country PIN Code Tel.

Bank A/c No. MICR No.

A/c Type: Savings Current Others (specify) IFSC Code

(Copy of a cancelled cheque leaf/pass book/bank statement containing name of the account holder should be submitted)

STANDING INSTRUCTIONS
I/We authorise you to receive each & every credits in my/our account without any instruction from
me/us. (Automatic Credit) Yes No
Account Statement Requirement: Daily Weekly Fortnightly Monthly (Default option is monthly)*
Do you wish to receive dividend/interest directly to your bank account given herein through ECS? Yes No
Account to be operated through Power of Attorney (PoA) Yes No
*If Accounts statement require at shorter period (other than monthly), Beneficial Owner has to pay extra charges.

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 JOINT HOLDER’S DETAILS (If any)
(Please provide PAN Card copy and Address Proof for all the joint holders)

SECOND HOLDER NAME First Middle Last Suffix

Name of Father/Husband First Middle Last

Title: Mr. Mrs. Ms. Other Suffix

Residence/ Permanent Address
City PIN Code
State Country Tel.
Mobile C O M P U L S O R Y Fax Date of Birth D D M M Y Y Y Y
E-mail ID C O M P U L S O R Y Nationality Indian Others (specify)
PAN C O M P U L S O R Y IT Circle/ Ward/ District No:
SEX: Male Female
OCCUPATION SERVICE: Central Govt. State Govt. Public/Private Sector NGO Statutory Body
Professional Business Student Retired Housewife Others (pls specify)
Nature of business: (Products/ services provided)
THIRD HOLDER NAME First Middle Last Suffix
Name of Father/Husband First Middle Last

Title: Mr. Mrs. Ms. Other Suffix

Residence/ Permanent Address
City PIN Code
State Country Tel.
Mobile C O M P U L S O R Y Fax Date of Birth D D M M Y Y Y Y
E-mail ID C O M P U L S O R Y Nationality Indian Others (specify)
PAN C O M P U L S O R Y IT Circle/ Ward/ District No:
SEX: Male Female
OCCUPATION SERVICE: Central Govt. State Govt. Public/Private Sector NGO Statutory Body
Professional Business Student Retired Housewife Others (pls specify)
Nature of business: (Products/ services provided)

GUARDIAN’S DETAILS (IN CASE THE SOLE HOLDER IS A MINOR)

Name First Middle Last
Father/Husband’s Name First Middle Last
Correspondence Address
City State Country PIN Code
Tel. Fax Mobile C O M P U L S O R Y
E-mail ID C O M P U L S O R Y
PAN C O M P U L S O R Y IT Circle / Ward / District No:
Relationship with the applicant (if any) Date of Birth of Minor D D M M Y Y Y Y

ADDITIONAL DETAILS (for Demat A/c)

SMS ALERT FACILITY Yes Mobile No. +91 ______________________________ No
Refer to Terms & Conditions given as ANNEXURE

6
 APPLICATION FOR OPENING DEMAT ACCOUNT IN THE NAME OF PARTNER(S)/ TRUSTEE(S)
For Partnership Firm/ Unregistered Trust, Demat account will be opened in the name of Partner(s) or Trustee(s)

SOLE/ FIRST HOLDER’S DETAILS:

Name (Mr./ Ms.) First Middle Last
Name of Father/ Husband First Middle Last
Local/ Permanent Address
City State Country PIN Code
Correspondence Address
PIN Code
City State Country
Occupation Fax Tel.
Mobile C O M P U L S O R Y E-mail ID C O M P U L S O R Y
PAN C O M P U L S O R Y IT Circle / Ward / District No:
SECOND HOLDER NAME First Middle Last
Name of Father/ Husband First Middle Last
Local/ Permanent Address
City State Country PIN Code
Correspondence Address
PIN Code
City State Country
Occupation Fax Tel.
Mobile C O M P U L S O R Y E-mail ID C O M P U L S O R Y
PAN C O M P U L S O R Y IT Circle / Ward / District No:
THIRD HOLDER NAME First Middle Last
Name of Father/ Husband First Middle Last
Local/ Permanent Address
City State Country PIN Code
Correspondence Address
PIN Code
City State Country
Occupation Fax Tel.
Mobile C O M P U L S O R Y E-mail ID C O M P U L S O R Y
PAN C O M P U L S O R Y IT Circle / Ward / District No:
Address for communication/corporate Benefits Local/Permanent Address Correspondence Address/Foreign Address
(Default option is Local Address)

GUARDIAN DETAILS: (IF ANY OF THE PARTNER IS MINOR)

Name: Mr./ Ms. First Middle Last

Correspondence Address
City State Country PIN Code
Relationship (if any) Date of Brith of Minor D D M M Y Y Y Y
PAN C O M P U L S O R Y IT Circle / Ward / District No:
Sole/ First Holder Second Holder Third Holder
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 INTRODUCER’S DETAILS (COMPULSORY)
EXISTING ACCOUNT HOLDER / BANK OFFICIAL / IIFL EMPLOYEE / ANY OTHER PERSON
Introducer’s Name:
Address:

Occupation: Tel.no.:
DP ID: For existing client only Client ID: For existing client only Login ID: For existing client only
PAN C O M P U L S O R Y Designation If bank employee
Bank & Branch Name If bank employee
Employee Code: If bank employee
Email Id:

Signature of the Introducer/ Verified: Signature of the DP Official

Signature and Seal in case of Bank

IN PERSON VERIFICATION DETAILS

INDIA INFOLINE LIMITED - NSDL DP ID: IN302269
This is to certify that I have carried out in person verification in respect of client(s) mentioned in the KYC form submitted
for opening of demat account. (Only the employee of the company should do “in-person” verification & no other
person should sign the same)
Name of the Employee Employee Code
Branch/Authorised Service Centre
Signature of Employee : 1 Stamp of DP:
3

Date Place
SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER
5
Signature of Client’s 22

8
 DECLARATION
The Terms and Conditions pertaining to the India Infoline Beneficiary Account which are in force now, have been read by
me/us. I/ We understood the same and I/ We agree to abide by and to be bound by the rules as are in force from time to
time for such accounts. I/ We hereby declare that the details furnished above are true and correct to the best of my/ our
knowledge and belief and I undertake to inform you of any changes there in immediately.
I/ We have read and understood Schedule of Charges and agree that my/ our opening of the India Infoline Beneficiary
Account is subject to the payment of these charges. I/ We agree that the charges as stated herein may be modified/
revised and I/ We agree to pay the charges including any modification/revision thereto from time to time.
I/ We hereby agree to provide details to the Depository Participant from time to time to comply with the guidelines of
Prevention of Money Laundering Act. I/ We hereby confirm that I/ We am/ are the beneficial owner of the Demat account
opened with India Infoline Ltd.
I/ We have read the terms & conditions of DP-BO agreement and agree to abide by & be bound by the same and by the Bye
Laws as are in force from time to time. The rules and regulations of the Depository and Depository Participants pertaining
to an account which are in force now have been read by me/ us and I/ We have understood the same and
I/ We agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/ We also declare
that the particulars given by me/ us are true to the best of my/ our knowledge as on the date of making such application.
I/ We further agree that any false/ misleading/ untrue information given by me or suppression of any material fact will
render my account liable for termination and further action.
I/ We have not withheld any information. I/ We confirm that I/ We have had no insolvency initiated against me/us nor have
I/ We ever been adjudicated insolvent. I/ We have read the application form and brochures and am/ are aware of all the
terms and conditions of availing the said services from India Infoline Ltd. I/ We authorise India Infoline Ltd., any other
Group Company or their agents to make reference and enquiries relating to the information in this application which may
be considered necessary by them. I/ We undertake to inform immediately India Infoline Ltd., any other Group Company
and their agents regarding changes in my/ our residence/employment and to provide any such further information as they
may be required. I/ We agree that my/ our execution of any instruction shall be governed by and be subject to the terms
provided in this Agreement and the Terms and Conditions as may directed from time to time. India Infoline Ltd. reserves
the right to reject any instructions/ declaration without providing reason for it whatsoever.

NAME SIGNATURE

SOLE/FIRST HOLDER 6
22

SECOND HOLDER

THIRD HOLDER

GUARDIAN
(in case of Minor)

SOLE/ FIRST HOLDER/ *MINOR SECOND HOLDER THIRD HOLDER GUARDIAN

Please sign across Please sign across Please sign across Please sign across
the Photograph the Photograph the Photograph the Photograph

7
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*Account opened in the name (In case BO Account

of minor should not have joint holder(s) and it Holder is Minor)
should be operated by a natural guardian.
Minor need not sign across the photograph.
9
 NOMINATION FORM
To,
India Infoline Ltd.
Dear Sir/Madam,
I/We do not wish to make a nomination for this demat account
I/We nominate the following person who is entitled to receive security balances lying in my/ our account particulars
whereof are given below, in the event of death of Sole holder or death of all joint holders.
DP ID I N 3 0 2 2 6 9 Client ID
NOMINEE DETAILS:
Name of Nominee First Middle Last
Address

City PIN Code

State Country Occupation
Tel. Mobile Fax
E-mail ID
Relationship with BO (If any)
Date of Birth (If nominee is a minor): D D M M Y Y Y Y Age:
AS THE NOMINEE IS A MINOR AS ON DATE, I/WE APPOINT FOLLOWING PERSON TO ACT AS GUARDIAN: (to receive
the securities in this account on behalf of the nominee in the event of the death of the sole holder/ all joint holders.)
Name of Guardian First Middle Last
Address

City PIN Code

State Country Occupation Age years
Tel. Mobile Fax
This nomination is in accordance with the Section 109 A of the Companies Act, 1956, and shall supersede any prior
nomination made by me/us and also any testamentary document executed by me/us.
Place: Date: D D M M Y Y Y Y
Nomination Form is accepted & registered wide Nomination Registration No.
dated
PHOTOGRAPH OF NOMINEE PHOTOGRAPH OF GUARDIAN (In case of Minor nominee)

SIGNATURE OF NOMINEE SIGNATURE OF GUARDIAN

Please sign across Please sign across
the Photograph the Photograph

SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER

Name
8
Specimen Signature 22

NOTE: Two witnesses shall attest Signature(s)/Thumb Impression(s).

10
DETAILS OF THE WITNESS
Witness 1 Witness 2
Name Name
Address Address

Signature Signature

NOMINATION FORM
I. The nomination can be made only by individuals holding beneficiary owner accounts on their own behalf singly
or jointly. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided
Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the
nomination form.
II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be
provided by the beneficial owner.
III. The Nominee shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or
a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force,
from time to time.
IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner
account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.
V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository against the legal heir.
VI. The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own
behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society,
trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot
cancel the nomination. If the beneficiary owner account is held jointly, all joint holders will sign the cancellation
form.
VII. On cancellation of the nomination, the nomination shall stand rescinded and the depository/ participant shall not
be under any obligation to transfer the securities in favour of the Nominee.

11
 To be stamped with Rs.20/- Stamp Paper

Prescribed by Depository; Provides basic rights and obligations of client and Depository Participant.
Required if Demat account is being opened with IIFL.

Client ID: I N 3 0 2 2 6 9

DP - CLIENT AGREEMENT BETWEEN A PARTICIPANT AND A PERSON SEEKING TO OPEN

A BENEFICIAL OWNER'S ACCOUNT

This agreement made and executed into at on this day of , 20 between

1) situated at
9
22
2) situated at

3) situated at

(hereinafter called "the Client") and INDIA INFOLINE LTD. situated at IIFL House, Sun Infotech Park, Road No. 16V, Plot No.
B-23, Thane Industrial Area, Wagle Estate, Thane - 400 604 and Processing Office at India Infoline Towers, No.143, M.G.R.
Road, 3rd Floor, Central Processing Unit (CPU), Perungudi, Near Life Line Hospital, Chennai - 600 096. (hereinafter called "the
Depository Participant"). WITNESSETH
WHEREAS the Client has furnished to the Depository in the form and manner laid down under the Bye Laws
Participant the duly filled in application form requesting and Business Rules. The Depository Participant further
therein to open an account with the Depository Participant. undertakes that it shall not create or permit to subsist
NOW THEREFORE in consideration of the Depository any mortgage, charge or other encumbrance over all
Participant having agreed to open an account for the Client, or any of such securities submitted for dematerialisation
both the parties to the agreement hereby covenant and agree except on the instructions of the Client.
as follows : 3. The Depository Participant hereby undertakes that it shall
1. The Client shall pay such charges to the Depository maintain a separate account of its own securities held
Participant for the purpose of opening and maintaining in dematerialised form with the Depository and shall
his account, for carrying out the instructions of the Client not commingle the same with the securities held in
and for rendering such other services as may be agreed dematerialised form on behalf of the Client.
to from time to time between the Depository Participant 4. The Depository Participant undertakes that a transfer
and the Client as set out in Schedule of Charges. The to and from the accounts of the Client shall be made
Depository Participant shall reserve the right to revise only on the basis of an order, instruction, direction or
the charges by giving not less than thirty days notice in mandate duly authorised by the Client and that the
writing to the Client. Depository Participant shall maintain adequate audit
2. The Client shall have the right to get the securities which trail of such authorization.
have been admitted on the Depository dematerialised 5. The Depository Participant agrees that the Client may
Continued in page 13
12
 give standing instructions with regard to the crediting case the Client has failed to make the payment of any
of securities in his account and the Depository of the amounts as provided in Clause (1) of this
Participant shall act according to such instructions. agreement, the Depository Participant shall have the
6. The Depository Participant undertakes to provide a right to discontinue the Depository services till such time
transaction statement including statement of accounts, he makes the payment along with interest, if any, after
if any, to the Client at monthly intervals unless the giving two days notice to the Client.
Depository Participant and the Client have agreed for 10. The Depository Participant shall have a right to provide
provision of such statements at shorter intervals. such information related to the Client’s account as may
However, if there is no transaction in the account, then be requested by the National Securities Depository
the Depository Participant shall provide such statement Limited from time to time.
to the Client atleast once a quarter. 11. The Client shall have the right to create a pledge of the
7. The Depository Participant shall have the right to securities held in the dematerialised form with the
terminate this agreement, for any reasons whatsoever, Depository Participant only in accordance with the
provided the Depository Participant has given a notice procedure and subject to the restrictions laid down
in writing of not less than thirty days to the Client as under the Bye Laws and Business Rules.
well as to the Depository. Similarly, the Client shall have 12. The Depository shall not be liable to the Client in any
the right to terminate this agreement and close his manner towards losses, liabilities and expenses arising
account held with the Depository Participant, provided from the claims of third parties and from taxes, and
no charges are payable by him to the Depository other governmental charges in respect of securities
Participant. In such an event, the Client shall specify credited to the Clients account.
whether the balances in its account should be
13. The Client may exercise the right to freeze his account
transferred to another account of the Client held with
maintained with the Depository Participant so as to lock
another Depository Participant or to rematerialise the
the securities held with the Depository Participant in
security balances held. Based on the instructions of the
accordance with the procedures prescribed in the Bye
Client, the Depository Participant shall initiate the
Laws and Business Rules.
procedure for transferring such security balances or
rematerialise such security balances within a period of 14. The Client may exercise the right to defreeze his account
thirty days, as per the procedure laid down in the Bye maintained with the Depository Participant in
Laws and Business Rules. Provided further, termination accordance with the procedure and subject to the
of this agreement shall not affect the rights, liabilities restrictions laid down under the Bye Laws and Business
and obligations of either party and shall continue to Rules.
bind the parties to their satisfactory completion. 15. The Client shall notify the Depository Participant, within
8. On the failure of the Client to pay the charges as laid seven days, of any change in the details set out in the
out in Clause (1) of this agreement within a period of application form submitted to the Depository Participant
thirty days from the date of demand Depository at the time of opening the account or furnished to the
Participant shall terminate this agreement and close the Depository Participant from time to time.
account of the Client by requiring it to specify whether 16. The Depository Participant undertakes to resolve all
the balances in its account be transferred to the account legitimate grievances of the Client against the
of the Client held with another Depository Participant Depository Participant within a period of thirty days.
or be rematerialised in the manner specified in the Bye 17. The Depository Participant and the Client shall abide by
Laws and Business Rules. the arbitration and conciliation procedure prescribed
9. The Client further agrees that in the event of the Client under the Bye Laws of National Securities Depository
committing a default in the payment of any of the Limited and that such procedure shall be applicable to
amounts provided in Clause (1) within a period of thirty any disputes between the Depository Participant and
days from the date of demand, without prejudice to the Client.
the right of the Depository Participant to close the 18. The Depository Participant and the Client further agree
account of the Client, the Depository Participant may that all claims, differences and disputes, arising out of
charge interest @ not more than 24% p.a. or such other or in relation to dealings on the Depository including
rate as may be specified by the Executive Committee any transactions made subject to the Bye Laws or
from time to time for the period of such default. In Business Rules of the Depository or with reference to
Continued in page 14
13
 anything incidental thereto or in pursuance thereof or whether such dealings, transactions have been entered
relating to their validity, construction, interpretation, into or not, shall be subject to the exclusive jurisdiction
fulfillment or the rights, obligations and liabilities of of the courts at Mumbai only.
the parties thereto and including any question of

IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/ seals to this Agreement
in duplicate on the day, month, year and place first hereinabove mentioned.
Signed and delivered by:
10
22
SOLE/ FIRST HOLDER SECOND HOLDER THIRD HOLDER
(for and on behalf of the Client)

2
Signed and delivered by INDIA INFOLINE LIMITED 3
(for and on behalf of the Depository Participant)
Stamp of Depository Participant:

DETAILS OF THE WITNESS

Witness 1 on behalf of IIFL Witness 1 on behalf of Client

Name Name
Address Address

Signature Signature

Witness 2 on behalf of IIFL Witness 2 on behalf of Client

Name Name
Address Address

Signature Signature

14
 AUTHORISATION LETTER FOR RECEIVING TRANSACTION STATEMENT THROUGH INTERNET
THIS AUTHORIZATION FORMS PART OF DP-CLIENT AGREEMENT
1) situated at
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2) situated at

3) situated at

(hereinafter called "the Client") and INDIA INFOLINE LTD. situated at IIFL House, Sun Infotech Park, Road No. 16V, Plot No.B-23, Thane
Industrial Area, Wagle Estate, Thane - 400 604 and Processing Office at India Infoline Towers, No.143, M.G.R. Road, 3rd Floor, Central
Processing Unit (CPU), Perungudi, Near Life Line Hospital, Chennai - 600 096 (hereinafter called "the Depository Participant"). WITNESSETH
WHEREAS the Client has permitted the Depository Participant change in E-mail address, if any. The Participant shall verify
to provide the transaction statement through internet. and confirm with the Client about the change. Further,
NOW THEREFORE in consideration of the Depository Participant the Participant shall confirm with the Client about validity
having agreed to provide the transaction statement through of the E-mail address atleast once in a year.
internet, both the parties to the agreement hereby covenant vii. The Client agrees not to receive Transaction Statement in
and agree as follows: paper form from the Participant. Provided however that, in
i. The Depository Participant shall install adequate systems case when the Participant is not able to provide Transaction
to restrict the access of the transaction statement only Statement to its Client’s through Internet (web-based/
to the Client. E-mail) due to any unforeseen problems, the Participant
should ensure that the Transaction Statement reaches to
ii. The Client shall take all the necessary steps to ensure the Client in physical form as per the time schedule stipulated
confidentiality and secrecy of the log-in name and password. in the Bye Laws & Business Rules of NSDL.
iii. The Client is aware that the transaction statement may viii. The client further undertakes to indemnify the DP wholly
be accessed by other entities in case the confidentiality/ against any loss, injury, claim or damages that may be
secrecy of the login name and password is compromised. suffered by it due to or consequence upon such disclosure
iv. The Depository Participant and the Client shall have of information without notice to the client.
the right to terminate this agreement after giving a ix. The above terms and conditions are in addition to and
notice of atleast 10 days to the other party. not in violation of the terms and conditions forming a
v. The client agrees that the DP is authorised by him to part of the “AGREEMENT BETWEEN THE DEPOSITORY
disclose any information pertaining to the client’s a/c PARTICIPANT AND THE PERSON SEEKING TO OPEN AN
and the balances in the said a/c to the DP and the ACCOUNT WITH THE DEPOSITORY PARTICIPANT”
owner of the website 5paisa.com (India Infoline Ltd.) signed by the Client at the time of opening the account
to any Regulator or any other government official, with the Depository.
without notice to the client. IN WITNESS WHEREOF the Depository Participant and the
vi. In case the Client opts for transaction statement through Client has caused these presents to be executed as of the
change in E-mail address, if any. The Participant about day and year first above written.
SIGNED AND DELIVERED BY (INDIA INFOLINE LIMITED)

(for and on behalf of the Depository Participant)

SIGNED AND DELIVERED BY
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SOLE/FIRST HOLDER SECOND HOLDER THIRD HOLDER
(for and on behalf of the Client)
DETAILS OF THE CLIENT’S WITNESS
Witness 1 Witness 2
Name Name
Address Address

Signature Signature
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 (This document is Mandatory in case of HUF account executing Power of Attorney)

NO OBJECTION CERTIFICATE/POWER OF ATTORNEY

[HUF DEMAT ACCOUNT]

TO,
INDIA INFOLINE LTD.
Mumbai

Dear Sir/ Madam,

Sub: Declaration of Coparcener(s)
I/We hereby declare that I/we are coparcenars of the HUF with as “Karta”.
I/We have opened Demat account with you under HUF category.I/We hereby declare that I/We am/are authorizing the
said Karta to execute the transactions and to do all such needful acts/deeds in our Demat account. I/We further authorize
the Karta to appoint any other attorney and authorize him/her/it to act on behalf of the HUF and Coparcener(s) with
regard to the operations of the said Demat account. The details of our account are given below:
BO ACCOUNT DETAILS:
DP ID: IN302269 Client ID: Login ID:
Name of the Karta

Signature & Stamp of Karta alongwith stamp of HUF:

LIST OF CO-PARCENERS:

Sr. No. Name Sex [M/F] Date of Birth Relationship Signature

with Karta

1.

2.

3.

4.

5.

6.

I/We hereby state that the details mentioned as above are true and any change in them would be intimated to you in writing.

Place :
Date :

16
 TERMS AND CONDITIONS-CUM-REGISTRATION/ MODIFICATION FORM FOR
RECEIVING SMS ALERTS FROM NSDL

(* Registration for receiving SMS alerts from NSDL is mandatory for the client who are executing the POA in favour of
stock broker.)

ANNEXURE within the range of the service provider’s service area or

DEFINITIONS: within the range forming part of the roaming network of
the service provider.
In these Terms and Conditions the terms shall have following
meaning unless indicated otherwise: 4. In case of joint accounts and non-individual accounts the
service will be available, only to one mobile number i.e.
1. “Depository” means National Security Depository Limited
to the mobile number as submitted at the time of
a company incorporated in India under the Companies
registration/ modification.
Act 1956 and having its registered office at 4th Floor, ‘A’
Wing, Trade World, Kamala Mill Compound, Senapati 5. The BO is responsible for promptly intimating to the
Bapat Marg, Mumbai 400 013 and all its branch offices depository in the prescribed manner any change in mobile
and includes its successors and assigns. number, or loss of handset, on which the BO wants to
receive the alerts from the depository. In case of change
2. ‘DP’ means Depository Participant of NSDL. The term
in mobile number not intimated to the depository, the
covers all types of DPs who are allowed to open demat
SMS alerts will continue to be sent to the last registered
accounts for investors.
mobile phone number. The BO agrees to indemnify the
3. ‘BO’ means an entity that has opened a demat account
depository for any loss or damage suffered by it on
with the depository. The term covers all types of demat
account of SMS alerts sent on such mobile number.
accounts, which can be opened with a depository as
specified by the depository from time to time. RECEIVING ALERTS:
4. SMS means “Short Messaging Service” 1. The depository shall send the alerts to the mobile phone
number provided by the BO while registering for the
5. “Alerts” means a customized SMS sent to the BO over
service or to any such number replaced and informed by
the said mobile phone number.
the BO from time to time. Upon such registration / change,
6. “Service Provider” means a cellular service provider(s) with
the depository shall make every effort to update the
whom the depository has entered/ will be entering into
change in mobile number within a reasonable period of
an arrangement for providing the SMS alerts to the BO.
time. The depository shall not be responsible for any event
7. “Service” means the service of providing SMS alerts to of delay or loss of message in this regard.
the BO on best effort basis as per these terms and
2. The BO acknowledges that the alerts will be received only
conditions.
if the mobile phone is in ‘ON’ and in a mode to receive
AVAILABILITY: the SMS. If the mobile phone is in ‘Off’’ mode i.e. unable
1. The service will be provided to the BO at his/ her request to receive the alerts then the BO may not get/ get after
and at the discretion of the depository. The service will delay any alerts sent during such period.
be available to those accountholders who have provided 3. The BO also acknowledges that the readability, accuracy
their mobile numbers to the depository through their DP. and timeliness of providing the service depend on many
The services may be discontinued for a specific period / factors including the infrastructure, connectivity of the
indefinite period, with or without issuing any prior notice service provider. The depository shall not be responsible
for the purpose of security reasons or system maintenance for any non-delivery, delayed delivery or distortion of the
or for such other reasons as may be warranted. The alert in any way whatsoever.
depository may also discontinue the service at any time
4. The BO further acknowledges that the service provided
without giving prior notice for any reason whatsoever.
to him is an additional facility provided for his
2. The service is currently available to the BOs who are convenience and is susceptible to error, omission and/
residing in India. or inaccuracy. In case the BO observes any error in the
3. The alerts will be provided to the BOs only if they remain information provided in the alert, the BO shall inform the
17
 depository and/ or the DP immediately in writing and the DISCLAIMER:
depository will make best possible efforts to rectify the The depository shall make reasonable efforts to ensure that the
error as early as possible. The BO shall not hold the BO’s personal information is kept confidential. The depository
depository liable for any loss, damages, etc. that may be does not warranty the confidentiality or security of the SMS
incurred/ suffered by the BO on account of opting to alerts transmitted through a service provider. Further, the
avail SMS alerts facility. depository makes no warranty or representation of any kind in
5. The BO authorizes the depository to send any message relation to the system and the network or their function or
such as promotional, greeting or any other message that their performance or for any loss or damage whenever and
the depository may consider appropriate, to the BO. The howsoever suffered or incurred by the BO or by any person
BO agrees to an ongoing confirmation for use of name, resulting from or in connection with availing of SMS alerts facility.
email address and mobile number for marketing offers The Depository gives no warranty with respect to the quality of
between NSDLand any other entity. the service provided by the service provider. The Depository will
6. The BO agrees to inform the depository and DP in writing not be liable for any unauthorized use or access to the
of any unauthorized debit to his BO account/ unauthorized information and/ or SMS alert sent on the mobile phone number
transfer of securities from his BO account, immediately, of the BO or for fraudulent, duplicate or erroneous use/ misuse
which may come to his knowledge on receiving SMS alerts. of such information by any third person.
The BO may send an E-mail to NSDL at [email protected]. LIABILITY AND INDEMNITY:
The BO is advisednot to inform the service provider about The Depository shall not be liable for any breach of
any such unauthorized debit to/ transfer of securities from confidentiality by the service provider or by any third person
his BO account by sending a SMS back to the service due to unauthorized access to the information meant for
provider as there is no reverse communication between the BO. In consideration of the depository providing the
the service provider and the depository. service, the BO agrees to indemnify and keep safe, harmless
7. The information sent as an alert on the mobile phone and indemnified the depository and its officials from any
number shall be deemed to have been received by the damages, claims, demands, proceedings, loss, cost, charges
BO and the depository shall not be under any obligation and expenses whatsoever which a depository may at any
to confirm the authenticity of the person(s) receiving the time incur, sustain, suffer or be put to as a consequence of
alert. or arising out of interference with or misuse, improper or
8. The depository will make best efforts to provide the fraudulent use of the service by the BO.
service. The BO cannot hold the depository liable for non- AMENDMENTS:
availability of the service in any manner whatsoever. The depository may amend the terms and conditions at any
9. If the BO finds that the information such as mobile time with or without giving any prior notice to the BOs. Any
number etc., has been changed with out proper such amendments shall be binding on the BOs who are
authorization, the BO should immediately inform the DP already registered as user of this service.
in writing. GOVERNING LAW AND JURISDICTION:
FEES: Providing the Service as outlined above shall be governed by
Depository reserves the right to charge such fees from time the laws of India and will be subject to the exclusive
to time as it deems fit for providing this service to the BO. jurisdiction of the courts in Mumbai.

I/ We wish to avail the SMS Alerts facility provided by the depository on my/ our mobile number provided in the registration
form subject to the terms and conditions mentioned below. I/ We consent to NSDL providing to the service provider
such information pertaining to account/ transactions in my/ our account as is necessary for the purposes of generating
SMS Alerts by service provider, to be sent to the said mobile number.
I/ We have read and understood the terms and conditions mentioned above and agree to abide by them and any
amendments thereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be
levied by the depository from time to time.
I/ We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits
take place, the BOs would be required to take up the matter with their DP.

18
 I/ We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been
accepted by the depository for providing the service.
I/ We provide the following information for the purpose of REGISTRATION/ MODIFICATION (Please cancel out what is
not applicable).

DP ID Client ID
(Please write your 8 digit) (Please write your 8 digit)

Sole/ First Holder's Name First Middle Last

Second Holder's Name First Middle Last

Third Holder's Name First Middle Last

Mobile Number on which messages are to be sent + 9 1 -

(Please write only the mobile number without prefixing country code or zero)
The mobile number is registered in the name of First Middle Last
Email ID
(Please write only ONE valid E-mail ID on which communication; if any, is to be sent)

SOLE/ FIRST HOLDER SECOND HOLDER THIRD HOLDER

13
SIGNATURES 22

Place Date

AVAILING OF VAS SMS FACILITY*

Subscription by client for value added services including receipt of updates on stock prices & margin/
ledger balance of client on their registered mobile number
Name Whenever I want to discontinue the said facilities, I
shall inform to IIFL on the contact number and/ or
Login ID
send mail as mentioned above.
Dear Sir/Madam, I declare that the above is my personal mobile number
I want to avail the below mentioned facilities through and is always in my safe custody. I will be solely responsible
SMS over my for the security of the information provided on my
Mobile aforesaid mobile number. I shall keep IIFL informed of any
0 change in my mobile number. Further, I agree and
No.
undertake to indemnify IIFL and its group companies, that
Subscribe through SMS (Send SUB <your Client id> to
they will not be held liable/responsible for any losses,
567675555 and get VAS SMS & make an informed
claims, damages, cost and liabilities etc. caused to me
decision by availing the following facilities:
due to misuse of this information or pursuant to any
• Stock ideas by research team
litigations, non-litigation cases, complaints, actions, etc.
• Net position of your top five stocks that may arise in future on account of my above
• Updates on your stock prices during market hours authorization request.
• Updates on Ledger Balance on daily basis
For any queries & suggestions call on (022) 3054 2995 / Yours faithfully,
97 or mail us on [email protected] I hereby agree
to pay such fees as may be prescribed by IIFL from Client Signature 14
22
time to time for availing the above facilities.
19
 AUTHORISATION FOR RECEIPT OF DOCUMENTS
IN DIGITAL MODE
Required for issuance of Statement of Account and other documents on the
client's registered e-mail id.

To, (vi) IIFL may at its discretion discontinue to send me/us

India Infoline Ltd. the Statements in physical form.

Mumbai (vii) IIFL shall not be liable or responsible for any

Statement received from frauds or impostors or any
Sir,
consequences thereof.
I/We hereby consent to receive from India Infoline Limited
(viii) IIFL shall not be liable for any problem, which arises
the bills, ledgers, transaction statements, demat statement
at my/our computer network because of my/our
of accounts/ holding statement(s)/ bills/ other statements,
receiving any Statement from IIFL.
notices, circulars, amendments and such other
correspondence documents, records by whatever name (ix) I/We shall inform IIFL by way of a letter in writing
called in electronic form duly authenticated by means of a duly signed by me or inform through internet
digital signature as specified in the Information Technology platform if there is any change in the E-mail given
Act 2000 and the rules made thereunder to my below above.
mentioned email id (said email id). (x) I/We undertake to check the Statement and bring
E-mail Id the discrepancies to your notice within the time
period as specified under the relevant agreements
I/We further hereby agree that the India Infoline Ltd. shall
entered into with IIFL. My/Our non-verification or
fulfill the legal obligation, if the above documents are
not accessing the Statement on regular basis shall
sent electronically to the said e-mail id. In this regard,
not be a reason for disputing the same at any time.
I/we further confirm and agree that:
Whenever I/We want to discontinue the said facilities,
(i) The above is my/ our personal E-mail id. I/ We shall
I/We shall inform to IIFL immediately in writing in
take all necessary steps to ensure confidentiality
prescribed format.
and the secrecy of the login and password of the
abovementioned e-mail account. IIFL shall not be I/We further agree that IIFL will not be responsible for
liable to or responsible for any breach of secrecy. nonreceipt of documents sent via electronic delivery due
I/We will be solely responsible for the security of to change in/incorrect e-mail address/ correspondence
the information provided on my/ our aforesaid address as mentioned or any other reason which inter
e-mail id. alia include technical reasons or malfunction of my/our
computer system/server/internet connection etc. Further
(ii) E-mails sent to any of the above mentioned e-mail
I/We agree and undertake to indemnify IIFL and its group
account, which have not bounced back, shall be
companies, that they will not be held liable/ responsible
deemed to be duly delivered to the me/us.
for any losses, claims damages, cost and liabilities etc.
(iii) In the event any e-mail sent by IIFL bounces back caused to me/us due to misuse of this information or
due to insufficient space in my/our inbox or in the pursuant to any litigation cases, complaints, actions, etc
event any network problem occurs, IIFL shall in no that may arise in future on account of my/ our above
way be responsible for the same. authorization request.
(iv) IIFL shall not take cognizance of out-of -office/ out I/We further agree that IIFL may at its sole discretion also
ofstation auto replies and I/We shall be deemed to provide such Statements in physical form.
have received such electronic mails. Yours faithfully,
(v) Such Statements shall be deemed to have been 15
delivered on the day when the e-mail is sent by IIFL. 22

FIRST HOLDER’s SIGNATURE

20
 MUTUAL FUND SERVICE SYSTEM FACILITY AND BSE StAR MUTUAL FUND
Required if the client wants to avail Mutual Fund Service System facility & BSE StAR Mutual Fund
provided by NSE & BSE respectively

To, Date:
India Infoline Limited
IIFL House, Sun Infotech Park,
Road No. 16V, Plot No.B-23,
Thane Industrial Area, Wagle Estate, Thane - 400 604

Sir,

Sub: Mutual Fund Service System (MFSS) facility / BSE StAR MUTUAL FUND (hereinafter jointly referred to
"Mutual Fund Transaction Facilities")

I/ We (name of the client/ first holder) am/ are registered as your

client with Client Code No. and have executed the Trading Member and Client Agreement
for the purpose of trading in the Capital Market segment and F&O/ Derivatives segment of National Stock Exchange of
India Ltd. (NSE) and Bombay Stock Exchange Limited (BSE) (hereinafter jointly referred to as "Exchanges").
I/ We am/ are interested in availing the trading facility of the Exchanges for the purpose of transacting in the units of
Mutual Funds Schemes permitted to be dealt with on the MFSS and BSE StAR MUTUAL FUND of NSE and BSE respectively.
For the purpose of availing these facilities, I/ We state that Know Your Client details as submitted by me/ us for the stock
broking may be considered for the purpose of Mutual fund transaction facilities and I/ We further confirm that the details
contained in same remain unchanged as on date.
I/ We are willing to abide by the terms and conditions as mentioned in the NSE Circular dated 24/11/09, BSE Circular dated
02/12/2009 and further circulars as may be specified by the Exchanges from time to time in this regard.
I/ We shall also ensure 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/ We 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/ We choose to subscribe/redeem. I/ We
further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/ We therefore request you to register me/us as your client for participating in the Mutual fund transaction facilities (MFSS
and BSE StAR MUTUAL FUND).

Thanking you,

Yours faithfully,
16
22
First Holder Second Holder Third Holder

My our Demat Account No.

21
 Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUAL FUND
offered by NSE and BSE respectively
1. Definition: 3.4 The client has read and understood the risks involved
In these terms and conditions, the terms shall have in investing in Mutual Fund Schemes.
following meaning unless stated otherwise: 3.5 The client shall be wholly responsible for all his
1. "BSE" shall mean Bombay Stock Exchange Limited investment decisions and instruction.
2. "Exchanges" shall mean NSE and BSE jointly 3.6 The client shall ensure continuous compliance with
3. "Investor/ Client" shall mean client of the Participant the requirements of the NSE, BSE, SEBI and AMFI.
who have requested for registration for Mutual Fund 3.7 The Client shall pay to the Participant fees and statutory
Trading facilities. levies as are prevailing from time to time and as they
4. "Participant" shall mean India Infoline Limited apply to the Client's account, transactions and to the
5. "Mutual Fund Transaction Facilities" shall mean services that Participant renders to the Client.
MFSS and BSE StAR MUTUAL FUND jointly 3.8 The client will furnish information to the Participant in
6. "NSE" shall mean National Stock Exchange of India Ltd. writing, if any winding up petition or insolvency
petition has been filed or any winding up or insolvency
2. Pre-requisities:
order or decree or award is passed against him or if
Pre-requisites for becoming Investor/ Client for the any litigation which may have material bearing on his
Mutual Fund Transaction facilities capacity has been filed against him.
2.1 The Client is desirous of investing in units of mutual fund 3.9 In the event of non-performance of the obligation by
schemes through Mutual Fund Transaction facilities. the Participant, the client is not entitled to claim any
2.2 The Client intends to execute his/her instruction for compensation either from the Investor Protection Fund
the subscription/redemption of units of Mutual Fund or from any fund of NSE or NSCCL or BSE.
Schemes through the Participant of the Mutual Fund 3.10 In case of any dispute between the Participants and
Transaction facilities. the investors arising out of the Mutual Fund
2.3 The client has satisfied itself of the capacity of the Transaction facilities, NSE and/ or NSCCL and BSE
Participant to deal in Mutual Fund units and wishes to agrees to extend the necessary support for the speedy
execute its instruction through the Participant and the redressal of the disputes.
client shall from time to time continue to satisfy itself 4. Additional Terms and conditions:
of such capability of the Participant before executing
4.1 The client understands and agrees that India Infoline
transacting through the Participant.
Limited shall make available the Mutual Fund
2.4 The Client has approached to the Participant with the Transaction Facilities for the schemes of Mutual Funds
application for availing the Mutual Fund Transaction which have entered into an agreement with India
facilities. Infoline Limited ("eligible schemes").
2.5 The client has submitted relevant KYC (Know Your Client) 4.2 Mutual fund Transaction Facilities provided by India
details to the Participants. Infoline Limited shall be available for the units of the
3. Terms and Conditions: eligible schemes which are in dematerialized form. The
3.1 The client shall be bound by circulars issued by said facility shall not be provided for the units of the
Exchanges, Rules, Regulations and circulars issued there schemes which are not available in dematerialized form.
under by SEBI and relevant notifications of Government 4.3 Client agrees to provide the correct information with
authorities as may be in force from time to time. respect to its account including information with
3.2 The client shall notify the Participant in writing if there regard to Bank and Demat account of the client. Any
is any change in the information in the 'client loss/ damages caused due to wrong information being
registration form' provided by the client to the submitted by the client shall be sole responsibility of
Participant at the time registering as a client for the client and the client shall keep the Participant
participating in the Mutual fund transaction facilities indemnified for the same.
or at any time thereafter. 4.4 Fees: Participant reserves the right to charge such fees
3.3 The client shall submit to the Participant a completed from time to time as it deems fit for providing the
application form in the manner prescribed format for services to the Client and the Client agrees and
the purpose of placing a subscription order with the 17
22
Participant.
Client Signature
22
62
 undertakes to pay fees / brokerage and statutory levies/ other reason as it may deem fit, from time to time,
charges as may be levied by the Participant from time without any obligation of prior intimation to client
to time. and the client agrees to abide by the same.
4.5 The Client agrees and understands that the Participant 4.12 In case of units wrongly / erroneously subscribed and
is only a facilitator for the client for applying in the delivered in my account, the Participant is authorised
Mutual Fund units. Allotment of units shall be at the to automatically transfer the units in its pool /
sole discretion of the respective Asset Management beneficiary or other account without client's consent.
Company ("AMC") and the Participant shall not be held 4.13 The Client agrees and understands that the terms and
liable or responsible for any act/ deed / non-action of conditions as mentioned in the Member - Client
the AMC. agreement and Annexure thereto, clauses pertaining
4.6 The client agrees not to hold the Participant responsible to Internet Trading and DP - Client agreement entered
for any transactions rejected by the Exchanges/ AMC into with the Participant in its capacity as Stock Broker
due to any reasons. and Depository Participant continues to remain
4.7 The Client agrees and undertakes to provide funds to applicable for transacting in Mutual Fund units.
the Participant equivalent to the subscription amount 4.14 The client agrees to receive all trade confirmations,
and applicable brokerage/ fees/ charges before applying statements including statement of account, etc in
for mutual fund units through the Participant. The client electronic form at the e-mail id provided by the client
further agrees and authorizes the Participant to utilize in the KYC form or as would be changed and intimated
the surplus funds in the client's Broking account held to the Participant from time to time.
with the Participant in its capacity as a Stock Broker 4.15 The client agrees to indemnify and keep safe, harmless
and transfer funds to the extent of subscription amount and indemnified the Participant and its officials from
and / or applicable brokerage, fees and charges (in case any damages, claims, demands, proceedings, loss, cost,
of both subscription and redemption) to meet the debit charges, penalties and expenses whatsoever which a
in the client's Mutual fund transaction account. Participant may at anytime incur, sustain, suffer or be
4.8 The Client agrees and understands that in absence of put to as a consequence of or arising out of interference
sufficient funds in the client's account, the Participant with or misuse, improper or fraudulent use of the mutual
may not execute the client's instruction for applying fund transaction facilities by the Client.
in any Mutual fund scheme. 4.16 The Client and the Participant agrees to refer any claims
4.9 The client agrees and understands that in case physical and/ or disputes to the Arbitration under the Indian
documents are being submitted for any transaction, Arbitration and Conciliation Act, 1996.
the Client shall be solely responsible for the timely 4.17 The Participant may amend the terms and conditions
submission of the same. Participant shall not be with a notice to the Client.
responsible for any lost profits or charges levied by 4.18 Instructions issued by Authorised representatives, if
Exchanges/ AMC, etc due to non-submission of any of the client shall be binding on the client in
documents within the prescribed time limits. accordance with the letter authorizing the said
4.10 The client agrees that before giving any instruction representative to deal on behalf of the said client.
for sale / redemption order of Mutual fund units, the 4.19 The Service as outlined above shall be governed by
client shall ensure that the required Mutual Fund units the laws of India and will be subject to the exclusive
are transferred from the client's demat account to such jurisdiction of the courts in Mumbai
account as may be prescribed by the Participant. The 4.20 The Client have read and understood the terms and
Client agrees and understands that the Participant shall conditions mentioned above and agree to abide by
check the availability of units prior to execution of sale/ them and any amendments thereto made by the
redemption order and in case of non-availability of Participant from time to time.
the same the Participant shall have a right to reject /
4.21 The Client is aware that mere acceptance of the
refuse the order. The Participant shall not be held
registration form does not imply in any way that the
responsible for non execution of any order in case the
request has been accepted by the Participant for
units are not available in the account as prescribed by
providing the mutual fund transaction facilities.
the Participant.
4.11 The Client agrees that the Participant may refuse to 18
22
execute any buy / sell order or allow any trade or reject
Client Signature
any trade as per its Risk Management Policy or for any
23
 AUTHORIZATION LETTER

To,
India Infoline Limited
IIFL House, Sun Infotech Park,
Road No. 16V, Plot No.B-23,
Thane Industrial Area, Wagle Estate, Thane - 400 604

Sub.: Mutual Fund Service System (MFSS) facility and BSE StAR MUTUAL FUND (hereinafter jointly referred
to as "Mutual Fund Transaction Facilities") offered by NSE and BSE

Sir,

With reference to my application for registering as a client for Mutual Fund Transaction facilities offered by NSE and BSE,
I/ We hereby undertake to provide funds to the Participant equivalent to the subscription amount and applicable brokerage/
fees/ charges before applying for mutual fund units through the Participant.
For this purpose, I/ We hereby authorize India Infoline Limited to utilize the surplus funds in my/ our Broking account held
with India Infoline Limited in its capacity as a Stock Broker and transfer funds to the extent of subscription amount and/
or applicable brokerage, fees, charges and other statutory levies (in case of both subscription and redemption) and/ or any
other obligation to meet the debit in my/ our Mutual fund transaction account.
In case of subscription request, I/ We hereby understand and agree that based on my instruction, the amount will be
debited in my Mutual fund transaction account and surplus funds shall be transferred from my Broking account to my
mutual fund transaction account as per this authority letter. I/ We further agree and understand that such funds will be
used by the Participant for applying for mutual fund units after deducting the applicable brokerage, fees, charges and
other statutory levies.
In case of a redemption request, I/ We agree and authorise India Infoline Limited to debit my mutual fund transaction
account to the extent of applicable brokerage, fees, charges and other statutory levies and further authorize to utilize
the surplus funds in my/ our Broking account held with India Infoline Limited in its capacity as a Stock Broker and transfer
funds to the extent of applicable brokerage, fees, charges and other statutory levies (in case of both subscription and
redemption) and/ or any other obligation to meet the debit in my/ our Mutual fund transaction account.
My/ our exposure limits in my trading account shall be reduced to the extent of the amount utilized for transacting in the
mutual fund units as per my instruction.
I/ We agree and undertake to make good such shortfall immediately as may be informed by India Infoline Limited from
time to time.

Name of the Client:

Client Code (Login ID):
19
22
Signature of the Client

24
 SCHEDULE OF CHARGES

Mutual Fund Services Schedule of Charges

LOGIN ID -
DP ID -

Service Charges for Mutual Fund Transaction

Depository Services Charges As applicable to the

DP account of the client

Notes:

1. Customers will get Digital confirmation notes on their email ID mentioned in the account opening form.
Physical print copy of digital confirmation note can be availed from the branches. Physical confirmation notes
provided only on request, which would entail a nominal charge of Rs. 25/- for document handling. The same
may be waived as per management’s discretion.
2. In case any charges are waived by the Exchange/ Depository, India Infoline Ltd may pass the benefit to the clients
as per its sole discretion.
3. The above charges are exclusive of the service tax, securities transaction tax, regulatory charges & stamp duties.
4. Charges/ Service standards are subject to revision at the sole discretion of India Infoline Ltd. and as informed by
communication sent by ordinary post/ Email.
5. Value of transactions will be in accordance with NAV of the scheme as provided by respective AMCs.
6. Charges quoted above are for services listed. Any service not quoted above would be charged separately.
7. Customer is required to maintain a minimum balance of Rs 1000/- in his/ her Ledger account.

I/ We have understood and accepted the schedule of charges as stated here in above.

Sole/ First Holder 20 Second Holder Third Holder

22

25
 Depository Charges
DP Annual Maintenance Charges Rs. 25** per month + Service Tax
Credit Charges NIL
Debit Charges 0.05% (Minimum Rs 15/- - Maximum Rs 100) per debit transaction
**These charges are billed every month and will be debited to the ledger.
Other Charges
Standard charges Special Annual Scheme
Pledge creation Rs. 50 Rs. 50
Pledge closure -- --
DEMAT
Per certificate Rs. 15 Rs. 15
Postal charges per request Rs. 40 Rs. 40
REMAT
Per certificate Rs. 15 Rs. 15
Postal charges per request Rs. 40 Rs. 40
Rejection/Failure per entry Rs. 50 Rs. 50

VAS SMS Facility

Rs 249 per month

Remark :
NOTES:
1. Customers will get Statement of Transaction on their E-mail ID mentioned 5. Charges/ service standards are subject to revision at sole discretion of India
in the account opening form. Physical print copy of Statement of Transaction Infoline Ltd. and as informed by communication sent by ordinary post/ E-mail.
can be availed from the branches. 6. Value of the transaction will be in accordance with rates provided by
2. In case of Customer opting for Physical Documents options for receiving Depository.
any Documents, Document handling charge of Rs.25/- per dispatch will be 7. Transaction charges will be payable on a monthly basis.
levied. This charge may be partly/ fully waived off for high networth/large 8. Charges quoted above are for the services listed. Any service not quoted
Customer at the discretion of IIFL. above will be charged separately.
3. The above charges are exclusive of Service tax, Securities Transaction Tax, 9. No refund of account opening charges would be given if the account could
regulatory charges and stamp duty. The same shall be charged to the not be opened due to non submission of complete documents by the
Client's account on actual basis. client or due to lack of desired co-operation from the client.
4. Inter/ settlement/ Beneficiary to pool transfer would be charged @ Rs.15/- per 10. Management reserves the right to freeze, discontinue or suspend any
scrip plus service tax. account if required.

I/ We have understood and accepted the Schedule of Charges as stated here in above.
21
Sole/ First Holder 22 Second Holder Third Holder

Branch Manager Name: Branch Manager Signature:


TEAR HERE

26
 OTHER INFORMATION ABOUT IIFL
LIST OF DESIGNATED BANKS DISCLOSURE OF PROPRIETARY TRADING BY BROKER
1. HDFC BANK 2. ICICI BANK 3. AXIS BANK TO CLIENT:
4. CITIBANK N.A 5. BANK OF BARODA 6. YES BANK We refer to circular no. SEBI/MRD/SE/Cir.42/2003 dated
LIST OF DESIGNATED DEPOSITORY PARTICIPANTS 19/11/2003 issued by Securities and Exchange Board of
India in connection with the above and in terms of the
1. INDIA INFOLINE LTD.
said circular we disclose that we have undertaken
NOTE: IIFL reserves the right to make any modifications proprietary trading, arbitrage as well as investment business
in the above lists. on our account in addition to Client based business.

AUTHORISATION
IIFL will also make available the copy of these documents on IIFL Internet Platform. I also hereby authorise India Infoline
Limited to send the copy of executed document on my e-mail id furnished by me while opening of this account.
CLIENT SIGNATURE 22
22

FOR OFFICE USE ONLY

Form No.:

1. Complete Documentation Received Yes No 2. If No, give details

3. “Verified with Original” stamp affixed on proofs Yes No
4. “PAN verified” stamp with Employee name & signature affixed on proof Yes No
5. Margin Money collected Yes No
6. If yes, Amount in Rs. Amount in words
7. Unique Client Code Original documents verfied by:
Authorised by: 8. Chq./ CMS No: 9. Chq./ CMS. Date:
10. Bank:


TEAR HERE ACKNOWLEDGEMENT RECEIPT FOR CLIENT
India Infoline Limited DP ID: IN302269
Received the application from Mr/ Ms as the sole/first holder
alongwith and as the
second and third holders respectively for opening of a depository account. Your Client ID will be intimated to you shortly.
Please quote the DP ID & CLIENT ID allotted to you in all your future correspondence.
Nomination Details:
Date : Participant Stamp & Signature
27
 FORMAT OF DECLARATION TO BE GIVEN BY PARTNERS ON LETTERHEAD OF THE FIRM
Date: D D M M Y Y Y Y
To, made by you to the beneficiary account as complete discharge of
INDIA INFOLINE LTD. obligations by you in respect of trades executed in the above trading

T
Mumbai. account of the firm.
Dear Sir, We hereby authorize , partner in the
We refer to the trading account being opened/ opened with you in firm to execute/sign and submit such documents, agreements, deeds
the name of and declare etc. as any be necessary to enter into the agreement and engage in
and authorize you as under. business with India Infoline Ltd. and to place order for buying and
We recognize that a beneficiary account cannot be opened with a selling of securities, sell, purchase, transfer, endorse, negotiate and

A
depository participant in the name of a partnership firm as per do other things that may be necessary to engage in business on
Regulations. To facilitate the operation of the above trading account behalf of the partnership firm and to sign any authority letter
with you and for the purpose of completing the securities transfer including adjustment of balances.
obligations pursuant to the trading operations, we authorize you Further, we acknowledge that we ,
to recognize the beneficiary account No. and
with depository opened as a joint being partners of the above mentioned firm are responsible for the
account in the names of the partner of the firm. liabilities thereof. We shall advise you in writing for any change
We agree that the obligations for shares purchased and/ or sold by that takes place in the constitution of the firm at any time in the
the firm will be handled and completed through transfer to/form future.

M
the above-mentioned account. We recognize and accept transfers

NAME OF PARTNERS (IN BLOCK LETTERS) SIGNATURES

R
*(to be signed by all the partners of the firm under stamp of the firm)

O
FORMAT FOR BANK VERIFICATION LETTER

To, Date: D D M M Y Y Y Y
INDIA INFOLINE LTD.

F
Mumbai.

Dear Sir,

This is to certify that (name of the client) resident of

(full address), is holding a savings/ current bank account no.
with our branch since . The signature
and photograph of the account holder as per the specimen recorded with us is being attested below.

Signature of Client

Signed in my presence and attested

(Name of Branch Manager) Put Bank stamp
across photograph
Signature of Branch Manager
(Sign under bank stamp)

MICR code of Branch

28
FORMAT OF DECLARATION TO BE SIGNED BY THE PROPRIETOR OF SOLE PROPRIETORSHIP FIRM

Date:

To,

T
India Infoline Ltd.
Mumbai.

Dear Sir/Madam,

I/We refer to the trading account opened with you in the name of and

A
declare and authorize you as under:
I recognize that a beneficiary account cannot be opened with a depository participant in the name of a sole proprietorship
firm as per regulations. To facilitate the operation of the above trading account with you and for the purpose of
completing the share transfer obligations pursuant to thetrading operations, I authorize you to recognize the beneficiary account no.
with Depository (DP ID ) opened in the
name of the undersigned who is the sole proprietor of the firm for settlement of obligations in relation to securities for trade done on
the Exchange.
I agree that the obligation for shares purchased and/or sold by the firm will be handled and completed through transfers to/from the above-

M
mentioned account. I recognize and accept transfer made by you to the beneficiary account as completion of obligation by you in respect
of trades executed in the above trading account of the firm.
Further I, the undersigned, am the sole propritor of the firm and am solely responsible for the liabilities thereof. I shall advise you in writing
of any change that takes place in the constitution of the firm and I will be personally liable to you for the entire obligation which may be
standing in the firm's name in your books on the date of receipt of such notice and until all such obligations have been liquidated.

R
The cheque/ DDs (electronic/ physical) may be issued by me from my individual account or my joint account with some
one else. This said amounts so given shall be solely/ exclusively for credit to the account of my sole propritership firm
M/s with IIFL. I shall not lay any claim whatsoever in future
against IIFL for affording credit of such cheque/ DDs Issued from any individual/ joint account credit of which has provided by IIFL to the
account of my proprietorship firm M/s

O
Yours faithfully

CLIENT'S SIGNATURE

F
Client's Name

29
 (FOR OFFICE USE ONLY)
LETTER OF UNDERTAKING OF IIFL REPRESENTATIVE
I (Emp. ID ) hereby undertake that the
details of the client given in the form Login ID are complete in all respect. I hereby undertake that, I have checked the
following details in the form and will be responsible for any incomplete/inappropriate details of client.
Sr. PARTICULARS (STRIKE OUT WHICHEVER IS NOT APPLICABLE) TICK ()
No. COMPLIED
1. Address proof, PAN Proof, Bank proof & ID Proof has been collected from the client as prescribed
by CDSL/NSDL. (In case of NRI Clients - Foreign Address Proof is obtained). In case of HUF accounts,
NOC is obtained duly filled and signed by all coparceners)
2. Personal Details of Client i.e Name, Address, PAN, Email, Mobile is correctly filled up and correct
STATUS is ticked. Check the e-mail address by sending test E-mail.
3. Proofs as per KYC is taken and is matching with Personal Details as filled up in the form.
4. Account Details is completely filled up.
5. Signature of the client has been taken on all designated places in the form.
6. 2 Witnesses of Clients & 2 Witness of IIFL are not same and their complete details is mentioned.
7. IIFL undersigned official (only with "C" Code) signature is required in Agreements, Proofs and
wherever DP official Signature is required.
8. All supporting document has been verified with original and found valid in all respect.
Relevant Rubber stamp is affixed on all proofs. In-person verification is done by IIFL employee only.
9. Bank Account Details is filled up the form with MICR code. In case of NSDL form MICR number
does not starts with "Zero".
10. Organisation Details/ Joint Holder's Details is filled up in the form.
11. Guardian's Details (in case of Minor) is filled up in the form.
12. Nomination Details is filled up in the form. If there is no nomination, relevant option is selected.
13. Standing instructions is filled up in the form.
14. Declaration is filled up. Photographs is pasted (not stapled) and signature across the photograph is taken.
15. In Person Verification details are filled up in the form with signature and Rubber stamp of DP is affixed.
16. DP Agreements is filled up in the form.
17. Authorization letter for receiving Transaction statement through Internet is filled up in the form.
18. Receipt of documents in Digital Mode is filled up.
19. Schedule of Charges has been ticked.
20. Branch Manager/ Relationship Manager has signed the Schedule of Charges Section.
21. Complete Details of each Promoters, Directors, Key Personnel is obtained & filled up.
22. In case of Partnership Firm, Required Declaration has been obtained on Letter Head of firm.
23. Signature of the Client is taken on the Acknowledgement slip after giving Client Copy of AOF
to the Customer.
I have read and understood that if any of the requirements is not fulfilled then a penalty
of Rs.500/- would be charged to me or any other action may be taken as deemed fit by
the Management for non compliance from my end. 3
3
Name SIGNATURE

30