Account Opening Form

Fourdegreewater Services Private Ltd.

Individual / Non Individual

DEMAT & TRADING REGISTRATION

Signed by: Ravinder Kumar

eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 Index of Documents

S.No. Name of the Brief description of the document Page

Document

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

1 Instructions Instruction / Checklist for filling KYC 2

2 KYC Form and A. KYC Form - Document captures the basic information about 7
Account Opening the client and an instruction / checklist for account opening.
Form
B. Details capturing the additional information about the client 16
relevant to Trading/Depository Participant (DP) account and an
instruction/checklist.

3 Tariff Sheet Document detailing the rate/amount of brokerage & charges 27

levied on the client for trading on Stock Exchange(s) & DP
Service charges & other charges.

4 Rights and Rights & Obligations of Stock Brokers, Sub-Brokers, Authorised 29

Obligations Person & Clients as prescribed by SEBI & Stock Exchanges

Rights and Obligations of Beneficial Owner & Depository 34

Participant as prescribed by SEBI & Stock Exchanges.

5 Guidance note Do’s and Don’t for Trading on the Exchanges for Investors - A 38
Guidance Note

6 Policies and Document describing significant policies and procedures of Wint 40

Procedures Wealth.

7 Investor Charter Includes the vision and mission statement, rights and 43
responsibilities of investors, investor grievance redressal
mechanism and Do's and Don'ts for investing in securities market.

8 Voluntary Terms Additional authorisations and terms & conditions specific to 44

& Conditions clients for the purpose of operational efficiency.

9 MITC It includes the Most Important Terms and Conditions 48

The client acknowledges that there are more documents in this account opening form - both mandatory and
voluntary, other than ones mentioned above and has read, acknowledged and accepted all the terms and
conditions mentioned here.

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 INSTRUCTIONS / CHECKLIST FOR FILLING KYC FORM

IMPORTANT POINTS

1. 6 KYC attributes viz Name, Complete address (including PIN code No. in case of address of India), PAN,
valid Mobile number, Valid email-id, Income details/range and details of custodians for the custodian settled
clients has been made mandatory for Investors to register as client and trade in capital market.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by
originals for verification, if not already a KRA verified client. In case the original of any document is not
produced for verification, then the copies should be properly attested by entities authorized for attesting the
documents, as per the below mentioned list. 3. If any proof of identity or address is in a foreign language,
then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof
submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge
Certificate) is to be submitted.

8. For opening an account with a Depository participant or Mutual Fund, for a minor, photocopy of the
School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth
Certificate must be provided.

9. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with
prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians,
senior Government/judicial/military officers, senior executives of state-owned corporations, important
political party officials, etc.

10.It is also required to have client KYC be verified/updated with any SEBI registered KRA.

PROOF OF IDENTITY (POI): List of documents admissible as Proof of Identity

1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are
specifically exempt from obtaining PAN (listed in Section D).

2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license.

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government
and its Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial
Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI,
ICWAI, ICSI, Bar Council etc., to their members; and Credit cards/Debit cards issued by Bank.

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eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
PROOF OF ADDRESS (POA): List of documents admissible as Proof of Address (*Documents having
an expiry date should be Valid on the date of submission.)

1.Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving

License/Flat Maintenance bill/Insurance Copy.

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3 months old.

3. Bank Account Statement/Passbook – Not more than 3 months old.

4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own
accounts.

5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial
Banks/Scheduled Co- Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected
representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory
Authority.

6. Identity card/document with address, issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks,
Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI,
ICWAI, ICSI, Bar Council c to their members.

7. For FII/sub account, Power of Attorney given by FM/sub-account to the Custodians (which are duly
notarized and/or apostilled or consularized) that gives the registered address should be taken.

8. The proof of address in the name of the spouse may be accepted.

EXEMPTIONS/CLARIFICATIONS TO PAN

(*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by
officials appointed by Courts e.g., Official liquidator, Court receiver etc. 2. Investors residing in the state of
Sikkim.

3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

4. SIP of Mutual Funds up to Rs 50,000/- p.a.

5. In case of institutional clients, namely, Flls, MFs, VCFs, FVCIs, Scheduled Commercial Banks,
Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations,
Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of
the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and
provide duly certified copies of such verified PAN details to the intermediary.

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
LIST OF PEOPLE AUTHORIZED TO ATTEST THE DOCUMENTS:

Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational

Foreign Banks (Name, Designation & Seal should be affixed

INSTRUCTIONS TO THE APPLICANTS (Bos) FOR ACCOUNT OPENING

● Signatures can be in English or Hindi or any of the other languages contained in the 8 th Schedule of
the Constitution of India. Thumb impressions and signatures other than the above-mentioned
languages must be attested by a Magistrate or a Notary
● Public or a Special Executive Magistrate/ Special Executive Officer under his/her officials
● Signatures should be preferably in black ink.
● Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public /
Special Executive Magistrate / Special Executive Officer are to be provided in case of attestation
done by them.
● In case of additional signatures (for accounts other than individuals), separate annexures should be
attached to the account opening form.
● In the case of applications containing a Power of Attorney, the relevant Power of Attorney or the
self-certified copy thereof, must be lodged along with the application.
● All correspondence / queries shall be addressed to the first/ sole applicant.
● Strike off whichever option, in the account opening form, is not

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eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 Wint Wealth Account Opening Form
Membership Details

Name of Trading Member Fourdegreewater Services Private Ltd.

hereinafter referred to as Wint Wealth

Stock Broker (INZ000313632)

SEBI Registration Number Depository Participant (INDP7592023)

NSE: 90328
Exchanges and Segments Memberships
NSDL: INDP7592023

The Pavilion, #175, Dollars Colony,Near Rainbow

Registered Office Address Hospital, Bannerghatta Main Road Bannerghatta
Road, Bangalore, Bangalore South, Karnataka,
India, 560076

3rd Floor, 91 Springboard, The Pavilion, 175,

Correspondence Address Bannerghatta Rd, Dollar Layout, Phase 4, J. P.
Nagar, Bengaluru, Karnataka 560076

Phone: +91-8861212363

Ms. Vallari Dubey

Compliance Officer Phone: +91-8861212363
Email Id: [email protected]

1. Anshul Gupta: Director

KMP Details Email: [email protected]

2. Samarth Tandon: CEO,

Email: [email protected]

Mr. Apoorv Anand

Customer Experience Contact: +91-7904710557
Email Id: [email protected]

www.wintwealth.com
Website

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 Please contact us at the above address or mail us at [email protected] for trading related queries /
NSDL for depository related queries.
If not satisfied with our response, you may contact the concerned exchange(s) / Depositories(s)

Name Telephone Number E-mail ID

National Stock Exchange of +91-22-2659 8190 [email protected]

India Limited

National Securities 022-48867000 / 022-24997000 [email protected]

Depository Limited.

Securities Exchange Board Tollfree Investor Helpline 1800 266 https://scores.gov.in/

of India (SEBI) 7575 or 1800 22 7575

Disclosure: Wint Wealth caters to retail clients through membership of NSE. Wint Wealth, besides doing
client based business, also does its own investments and/or trading in the form of proprietary trades in the
debt segment at NSE.

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 Know Your Client (KYC) / Account Opening Form (For Individuals
Only) (Mandatory)
This Account Opening Form (AOF) for Wint Wealth is designed based on the guidelines, circulars and
regulations drafted by SEBI, Exchanges, Depository, and other Government & Statutory authorities.

Please fill in ENGLISH and in BLOCK LETTERS (*Mandatory fields)

A. Identity Details of Applicant

Application Type: New Update

Account Type: Normal Minor

Aadhaar OTP based E-KYC (in non-face to face mode)

B. Proof of Identity
1. Name of Applicant RAVINDER KUMAR

2. a. Mother’s Name Brahami Devi Photo

b. Father’s Name Japha Ram

3. a. Gender ✔ Male
Female
Others Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST

Signature
b. Marital Status Single
✔ Married

C. Date of Birth 1978-01-21

4. Nationality Indian
Signed by: Ravinder Kumar
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Date: 2025-02-17 11:57:09 IST

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5. Residential Status
Resident Individual

Non Resident Indian

Foreign National

Person of Indian Origin

6. Citizenship Indian 7.Country Code: IN

8. Occupation ✔
Private sector
Professional
Government Service
Retired
Public sector
Business
Agriculturist
Homemaker
Student
Others

Check if only Applicable

Residence for tax purposes in jurisdiction(s) outside India

Not Applicable

Country Code of Birth:________________

Country Code of Jurisdiction or residence:_____________

Place of Birth:___________________

Tax Identification Number of Equivalent:_________________________________

(Certified copy of any one of the following Proof of Identity (PoI) needs to be submitted.)

Passport Number Voter ID Card

Driving Licence Aadhar Card xxxxxxxx4568

PAN Card AKBPK8775D

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 C. Proof of Address

1. CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS*

(Certified copy of any one of the following Proof of Address (PoA) needs to be submitted)

Address Type*: Residential Business

Residential / Business Registered Office Unspecified

Proof of Address*: Aadhar Card - Passport

Driving Licence Voter ID Card Utility Bill (3 months)

Address
S/O: Japha Ram,House No. 806,Sector 33 B,Chandigarh,Chandigarh,Sector
Line 1
30,Chandigarh,Chandigarh,160030

Sector 30
Line 2

City / Village / Town Chandigarh

State Chandigarh Country INDIA

Pin Code 160030 State / U.T. Code 004

2. CORRESPONDENCE / LOCAL ADDRESS DETAILS

Same as Current / Permanent / Overseas Address details

S/O: Japha Ram,House No. 806,Sector 33 B,Chandigarh,Chandigarh,Sector
Line 1 30,Chandigarh,Chandigarh,160030

Sector 30
Line 2

City / Village / Town Chandigarh

State Chandigarh Country INDIA

Pin Code 160030 State / U.T. Code 004

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 3. ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT
OUTSIDE INDIA FOR TAX PURPOSES*
Not Applicable

Same as Current / Permanent / Overseas Address details Same as Current / Permanent / Overseas
Address details Same as Correspondence / Local Address details

Line 1*

Line 2

City / Village / Town*

State* Country

Pin Code* State / U.T. Code*

D. Contact Details
(All communications will be sent on provided Mobile no. / Email-ID)

Telephone (Office): Telephone (Residence):

Mobile No: 9779911224 Fax:

Email Address: [email protected]

Details of Related Persons

Not Applicable

Addition of Related Person KYC Number of Related Person:

Deletion of Related Person

Related Person Type Guardian of Minor

Assignee
Authorised Representative

Name:

(If KYC number and name are provided, below details are optional)

PAN Card Driving Licence

Voter ID Passport

UID (Aadhaar)

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
 E. Remarks, if any

F. Applicant Declaration

1. I/We hereby declare that all details furnished by me are true and correct to the best of
my/our knowledge and belief and I/we undertake to inform you of any changes therein,
immediately. In case any of the above information is found to be false or untrue or
misleading or misrepresenting, I am/We are aware that I/We may be held liable for it.
2. I/We hereby consent to receiving information from Fourdegreewater Services Private
Limited through SMS/Email on the above registered number/Email address.
3. I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be
validated against Aadhaar details. I/We hereby consent to sharing my/our masked Aadhaar
card with readable QR code or my Aadhaar XML/Digilocker XML file, along with
passcode and as applicable, with Fourdegreewater Services Private Limited and other
Intermediaries with whom I have a business relationship for KYC purposes only.
4. I/We wish to receive Receipts (as defined hereunder) cum Tax Invoice on my email id
registered with Wint Wealth.
5. I/We wish to avail the facility of mobile/digital/web/internet based trading technology
offered by Wint Wealth.
6. I/We hereby authorize you to use the above furnished details for registration KRA,
CERSAI, exchanges and other parties involved for the purpose of KYC registration and
creation/operation of Trading/Demat account.
7. I/We hereby authorize you to receive credits automatically into my/our Depository
participant account maintained with Wint Wealth.
8. I/We hereby authorize Wint Wealth to debit my depository participant account based on
2-factor authentication or electronic consent or authorization given by me.
9. I/We hereby authorize you to credit interest/dividend, directly to my bank account details
provided above through ECS.
10. I/We authorize Wint Wealth to debit all charges pertaining to my/our depository participant
to my/our registered bank account and vice versa. All such transfers will be at the discretion
of Wint Wealth and I/we hereby agree to abide by the same and make Payment promptly.
11. I/We would like to share my/our email-id with RTA. I wish to receive the reports mandated
by SEBI via email on my registered email address.

Signature

_____________________

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
For Office Purpose

Originals verified and certified copies received

Organisation Name: Fourdegreewater Services Private Limited

Documents Verified and In-Person Verification done by:

(Details of the Employee / Stock Broker / Authorised Person)

Name Adithya G

Employee Code 1166 Stamp and Seal

Designation Assistant Manager - DP Operations

Date 2025-02-17

Place Bangalore

Signature

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Signed by: Ravinder Kumar
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Date: 2025-02-17 11:57:09 IST
Proof of Identity (PAN - fetched from Digilocker)

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Signed by: Ravinder Kumar
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Proof of Address (Aadhaar - fetched from Digilocker)

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Signed by: Ravinder Kumar
eSigned using Aadhaar (digio.in)
Date: 2025-02-17 11:57:09 IST
Wet Signature:

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Signed by: Ravinder Kumar
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 Demat and Trading Account Related Details (Mandatory)
To be filled by Fourdegreewater Services Private Limited
Unique Client DP Internal Reference No.
Code

Account Type Normal Sub Status:

Resident

Application Date:
No 2025-02-17

DP ID IN304633 Client ID

I/We request you to open a Demat Account/Trading Account in my/ our name as per following details:

Sole / First Holder’s Name RAVINDER KUMAR

PAN Number AKBPK8775D

Bank Account Details (This Bank will be used for payout of funds)

Bank Name: State Bank of India

Bank Account Number: 00000037796259590

IFSC Code: MICR:

SBIN0010607 160002043

Account Type: SAVINGS

Branch Name GOVT. MEDICAL COLLEGE HOSPITAL

Depository Participant Account Details

DP Name: Fourdegreewater Services Private Limited

Depository Name NSDL

Beneficiary Name RAVINDER KUMAR

DP ID IN304633 Client ID

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Other Details
Gross Annual Income Details Income per annum:
< ₹1 Lac
✔ ₹1-5 Lac
₹5-10 Lac
₹10-25 Lac
> ₹ 25 Lac

Net worth NET WORTH AS ON DATE (NOT OLDER THAN 1

YEAR) VALUE IN Rs. ___________________________
DATE: ________________________

Number of years of Investment / NIL

Capital Market Experience: ✔ < 1 Year
1-5 Years
5 Years

OTHER
Mode in which you wish to receive the RDD, Rights & Obligations, Guidance Note:
Physical Electronic

Please tick, if applicable:

I/We declare that I/we am/are not Politically Exposed Person (PEP) or related to a PEP
Yes I am a Politically Exposed Person (PEP) / Related to PEP

Past Regulatory Actions

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other
authority against the applicant/constituent or its partners, promoters/whole time directors/authorised
persons in charge of dealing in securities during the last 3 years.

No such past actions

Yes, details as _________________________________________

Trading Preferences:
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by
the client. If, in future, the client wants to trade on any new segment / new exchange, separate authorization /
letter should be taken from the client by the stockbroker.
Exchange Cash Segment Debt Segment

NSE NA

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Receipt Declaration

Whether you wish to receive Physical Receipt Electronic Receipt

If Electronic Receipt, your email address [email protected]

Guardian Details: Not Applicable

INTRODUCER DETAILS (Optional)

Not Applicable
Name of Introducer: Phone Number of Introducer

Address of Introducer Signature (Optional)

Status of Introducer Sub Broker Authorised Person

Remisier Existing Client

FATCA/ CRS Declaration / Self Certification for Individual

Client Name RAVINDER KUMAR

Declaration Questions First Second Third

Holder Holder Holder

1. Are you a tax resident of only India? (Refer Risk Yes

Disclosure Document)

2. Specify country of residence for tax purpose(if above NA

clause is no)

3. Specify Tax Identification No. / Others NA

4. Do you have any assets outside India? NA

In case of NRIs/ Foreign Nationals Not Applicable

RBI Approval Ref No. RBI Approval Date

__________________

Signature of the Client

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What is FATCA / CRS?

The U.S. government introduced the Foreign Account Tax Compliance Act, 2010 (FATCA) for obtaining
information on accounts held by U.S. taxpayers in other countries. Further, the Organization for Economic
Co-operation & Development (OECD) and G20 countries agreed for automatic exchange of information
through Common Reporting Standards (CRS). The Government of India has signed an Inter-Government
Agreement (IGA) with the US and has also joined the Multilateral Competent Authority agreement (MCAA)
for automatic sharing of information with member countries of OECD and G20. By virtue of India signing
an IGA with US and joining MCAA, Indian financial institutions will have to provide the required financial
information to Indian tax authorities which in turn would forward reportable information to US IRS and
member countries of OECD and G20 countries.

US Person means: In case of individuals, U.S. person means a citizen or resident of the United States.
Persons who would qualify as U.S. persons could be born in the United States, born outside the United
States of a US parent, Naturalized citizens, Green Card Holders, tax residents.

Who is a Reportable Person (Non-US) under Common Reportable Standards (CRS)?

Under Common Reportable Standards (CRS), reportable person means Tax residents of a reportable foreign
jurisdiction other than U.S. (Please note the above information is provided only for quick reference to
customers. You are requested to consult a legal/ tax advisor if in doubt.)
Documents to be collected if the Customer’s Country of birth is U.S. but declare that he/ she are not a U.S.
person.
1. Certificate of relinquishment of citizenship (Loss of nationality certificate); OR
2. Self-certification for stating reasons for not having such a certificate despite relinquishment U.S.
citizenship; OR
3. Self-certification for stating reasons for not obtaining U.S. citizenship at birth.

Service Request

Account to be operated through Power of Yes No

Attorney (POA)

First Holder
SMS Alert Facility Second Holder
Third Holder

Standing Instruction Yes, to receive credit automatically into my A/C

No

Pledge Instruction Yes to accept all pledge instructions in my/our A/C

No

One Time Self Declaration Yes, I / we declare that all transfer instructions (i.e.
G-Sec / SGB) submitted by me / us for execution are
bonafide and arising out of genuine trade or transfer
transaction

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Signed by: Ravinder Kumar
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Date: 2025-02-17 11:57:09 IST
For Office Purpose

Originals verified and certified copies received

Organisation Name: Fourdegreewater Services Private Limited

Documents Verified and In-Person Verification done by:

(Details of the Employee / Stock Broker / Authorised Person)

Name Adithya G

Employee Code 1166 Stamp and Seal

Designation Assistant Manager - DP Operations

Date 2025-02-17

Place Bangalore

Signature

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Date: 2025-02-17 11:57:09 IST
 Nomination Form

Fourdegreewater Services Pvt Ltd FORM FOR NOMINATION

3rd Floor, 91 Springboard, The
(To be filled in by individual applying singly or jointly)
Pavilion, #175, Bannerghatta Rd,
Dollar Layout, Near Rainbow Hospital,
Phase 4, J. P. Nagar, Bengaluru,
Karnataka 560076
IN304633
Date 2025-02-17 UCC/ DP ID Client
ID
Name of the First Account Holder:
RAVINDER KUMAR
I/We wish to make a nomination. [As per details given below]

I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all the assets held in my / our account in the event of my /
our death.

Nomination can be made upto Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
three nominees in the account.
Rita Rani
1 Name of the nominee(s)

2 Share of each Nominee: 100.0

Equally[If not equally, please
specify percentage]
Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship With the

Applicant ( If Any) SPOUSE

S/O: Japha Ram,House No. 806,Sector 33

4 Address of Nominee(s) B,Chandigarh,Chandigarh,Sector
30,Chandigarh,Chandigarh,160030 Sector 30 Chandigarh
Chandigarh India
City / Place,
State &
Country:

160030
PIN Code
5 Mobile / Telephone No. of 9779911224
nominee(s) #

6 Email ID of the nominee(s) # [email protected]

7 Nominee Identification
details

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

8 Date of Birth {in case of the

minor nominee(s)}

9 Name of Guardian
(Mr./Ms.) {in case of the
minor nominee(s) }

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10. Address of
Guardian(s)
City / Place:
State & Country:

PIN Code

11 Mobile / Telephone no. of

Guardian #

12 Email ID of Guardian #

13 Relationship of Guardian with

nominee

14 Guardian Identification details #

Name(s) of Signature(s) of holder*

holder(s)

Sole / First Holder (Mr./Ms.)

RAVINDER KUMAR

Second Holder (Mr./Ms.)

Third Holder (Mr./Ms.)

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Date: 2025-02-17 11:57:09 IST
 DECLARATION FORM FOR OPTING OUT OF NOMINATION

To
Fourdegreewater Services Private Ltd
The Pavilion, #175, Dollars Colony,Near Rainbow Hospital, Bannerghatta Main Road Bannerghatta
Road, Bangalore, Bangalore South, Karnataka, India, 560076

DP ID IN304633

Client ID (only for Demat account)

Sole/First Holder Name

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 awarethat 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 the Client Date

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Date: 2025-02-17 11:57:09 IST
 Authorization for SMS / Email Alerts (Voluntary)

I/We request you to enroll me for SMS and Email facility, offered by the Exchanges, pursuant to the
mentioned SEBI Circular. (CIR/MIRSD/15/2011, dated 02.08.2011). I hereby declare that following
are my mobile number and email address. Further, I authorise Wint Wealth that the same may be used
for giving me any information / alerts / SMS via my mobile and/or email address.

Name: RAVINDER KUMAR

Mobile Number: 9779911224 Email Address: [email protected]

I further declare that the above mentioned information is provided by me and is true and correct.

________________

Signature of the Client

Client Defaulter Declaration (Voluntary)

I/We undersigned hereby declare that I/We have not been involved in any unlawful activities and I
have not been declared a defaulter or my name is not appearing in the defaulter database as per SEBI/
Various Exchange/ Regulatory bodies, etc.

I further declare that the above mentioned information is provided by me and is true and correct.
Signature of the Client.

Declaration for Confirmation of Signature (Voluntary)

Fourdegreewater Services Private Limited

The Pavilion, #175, Dollars Colony,Near Rainbow Hospital, Bannerghatta Main Road Bannerghatta
Road, Bangalore, Bangalore South, Karnataka, India, 560076

Subject: Declaration for Confirmation of Signature Dear Sir/Madam,

This letter is to confirm that all signatures placed on the account opening forms, and all such other
documents towards Wint Wealth / Fourdegreewater Services Private Limited or any of its group
entities, are done solely by me with complete knowledge of all such terms and clauses contained
therein.

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I/We, the undersigned, would like to request Wint Wealth /Fourdegreewater Services Private Limited
or any of its group entities to accept the signed account opening forms and documents, even in case
there may be slight variations on a few pages/areas of the document.

____________________________

Signature of the Client

I/We, the undersigned, further would like to represent and warrant that in case of any
misrepresentation with respect to the signatures placed on the account opening forms or all such
documents towards Wint Wealth / Private Limited or any of its group entities by me/us, I/We will
indemnify Wint Wealth/ Fourdegreewater Services Private Limited and its directors/
employees/agents for all such actions.

Yours faithfully,

________________

Signature of the Client

Non-Issuance of DIS (Delivery Instruction Slip) (Voluntary)

I/We do not wish to receive Delivery Instruction Slip (DIS) since I/we have agreed to authorise Wint
Wealth to debit my/our depository participant based on electronic instruction given by me/us.
However, Wint Wealth may have to mandatorily issue me a DIS booklet on my request at any time in
future.

I/We also understand that in case I/We am/are in need of a DIS, I/We can request the same through
Wint Wealth. On receipt of this request, Wint Wealth will dispatch the same to our registered address
within a reasonable time frame.

__________________

Signature of the Client

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 Authorisation to maintain Non-Basic Service Depository Participant Account (BSDA)
(Voluntary)

I would like to avail normal depository participant facility offered byWint Wealth. I have also noted
that being a normal depository participant account (Non-BSDA), normal annual subscription charges
as per the Wint Wealth’s tariff would be applicable. I am aware that the tariff for normal depository
participant is already provided and agreed under the tariff sheet in this Account Opening Form.

1. I/We do not wish to avail the BSDA facility for said demat account, even if I/we am/are eligible for
the same.

2. I/We hereby confirm that I understand the salient features of a BSDA account and that as a normal
depository participant (non BSDA), all fees and charges would be applicable to me, as outlined in the
Tariff Sheet.

3. Further, I/we confirm that until I/we opt for BSDA, by specific communication to Wint Wealth,
I/We shall remain as a normal Depository Participant (Non BSDA).

___________________

Signature of the Client

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 Tariff Sheet (Mandatory)
Brokerage, Charges, Fees applicable for your Investment, Trading and Demat account with Wint Wealth

Charges Applicable

Description of Charges Amount

KYC & Account Opening Fees Zero

Zero
KYC & Account Opening Fees

Annual Maintenance Charges Zero

Zero
Annual Maintenance Charges

IPO Bid or Allotment Zero

Zero
IPO Bid or Allotment

Dematerialisation Request ₹500/- per certificate + NSDL Charges + Courier charges

Dematerialisation Request 500/- per certificate + NSDL Charges + Courier charges

Rematerialisation Request ₹500/- per certificate + NSDL Charges + Courier charges

Rematerialisation Request 500/- per certificate + NSDL Charges + Courier charges

Courier charges ₹300/- per courier

Courier charges 300/- per courier

Issuance of digital DIS Booklet Zero

Zero
Issuance of digital DIS Booklet

Physical DIS Book ₹300/ + Courier charges

Physical DIS Book 300/ + Courier charges

Bond Trades - Buy (Credit) Nil 0.5%

Upto
Brokerage - Any transactions

Bond Trades - Sell (Debit) ₹10/- per transaction per ISIN per day
Bond Trades - Sell (Debit) 10/- per transaction per ISIN per day
(DP Charges)
(DP Charges)

Failed Transaction Charges Nil

Failed Transaction Charges Zero

Investment via UPI Nil

Zero
Investment via UPI

Investment via Netbanking Upto ₹12/- per transfer

Investment via Netbanking Upto 12/- per transfer

Transaction charges (Upto 50 ₹5 per transaction

Transaction Charges
lacs face
(Upto value
50 lacs value)
face value value)
Upto 5 per transaction

Transaction charges (Above 50 ₹5 per crore with minimum of ₹25/- and maximum of
Transaction Charges
lacs face value value) 5₹500/-
per crore with minimum of 25/-
(Above 50 lacs face value value) and maximum of 500/-

Account De-Freeze / Reactivate ₹25/- per request

Account De-Freeze /
Dormant Dormant
Reactivate
Upto 25/- per request

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 Account Statement - Email Nil
Zero
Account Statement -
(Periodic)
Email (Periodic)

Account Statement - Physical ₹500/- per request for 10 pages + ₹50/- every additional
Account Statement - 500/- per request for 10 pages +
(Periodic)
Physical (Periodic) page + Courier
50/- every charges
additional page + Courier charges

*Above charges do not include taxes. GST at applicable rates shall be applied separately.
**NSDL charges, if any, are included in the amounts listed above.
Brokerage will not exceed the rates specified by SEBI and the Exchanges. All Statutory and
Regulatory charges, taxes will be levied at actuals. In addition to the brokerage, the above charges
will also be levied.

For all purposes, the bill date shall be construed as the demand date and the bills will be considered
as the bill cum notice for payment and Wint Wealth reserves the right to freeze trading / depository /
user account for debit transactions in case of non payment of charges after two days from the bill
date.

I agree to pay the charges and terms and conditions mentioned above with respect to my account
(investment / trading / demat / user) on Wint Wealth along with the transaction charges as included
in this Account Opening Form. I understand that the tariff is subject to change and I shall keep
myself updated with the same from the pricing section on Wint Wealth website.

All charges are non refundable. Taxes, Statutory and Regulatory charges are as applicable. Express
Courier Charges as applicable.

Note: The charges quoted above are for the services listed. Apart from these, Wint Wealth may also
offer additional paid services. Wint Wealth will be informing the customers with regards to such
services and charges associated with the same will be billed separately by intimating on an upfront
basis.

Signature of the Client

_________________

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 Rights & Obligations of Stock Brokers (Mandatory)

Rights & Obligations of Stock Brokers, Sub-Brokers, Authorised Person & Clients as prescribed by
SEBI & Stock Exchanges

1. The client shall invest / trade in those securities / contracts / other instruments admitted to dealings
on the Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/Securities and
Exchange Board of India (SEBI) and circulars/notices issued thereunder from time to time.

2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws and
Regulations of the Exchange and circulars/notices issued thereunder and Rules and Regulations of
SEBI and relevant notifications of Government authorities as may be in force from time to time.

3. The client shall satisfy itself of the capacity of the stock broker to deal in eligible securities and
wishes to execute its orders through the stock broker and the client shall from time to time continue to
satisfy itself of such capability of the stock broker before executing orders through the stock broker.

4. The stock broker shall continuously satisfy itself about the genuineness and financial soundness of
the client and investment objectives relevant to the services to be provided.

5. The stock broker shall take steps to make the client aware of the precise nature of the Stock
broker’s liability for business to be conducted, including any limitations, the liability and the capacity
in which the stock broker acts.

6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all its
dealings with the client(s).

A. CLIENT INFORMATION

7. The client shall furnish all such details in full as are required by the stock broker in "Account
Opening Form” with supporting details, made mandatory by stock exchanges/SEBI from time to time.

8. The client shall familiarise him/herself with all the mandatory provisions in the Account Opening
documents. Other additional clauses or documents specified by the stock broker shall be
non-mandatory, as per terms and conditions accepted by the client.

9. The client shall immediately notify the stock broker in writing if there is any change in the
information in the ‘Account Opening Form’ as provided at the time of account opening and thereafter;
including the information on winding up petition/insolvency petition or any litigation which may have
material bearing on his capacity. The client shall provide/update the financial information to the stock
broker on a periodic basis.

10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in the
account opening form or any other information pertaining to the client, confidentially and that they
shall not disclose the same to any person/authority except as required under any law/regulatory
requirements. Provided however that the stock broker may so disclose information about his client to
any person or authority with the express permission of the client.

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B. TRANSACTIONS AND SETTLEMENTS

11. The client shall give any order for buy or sell of an eligible security in writing or in such form or
manner, as may be mutually agreed between the client and the stock broker. The stock broker shall
ensure to place orders and execute the trades of the client, only in the Unique Client Code (UCC)
assigned to that client.

12. The stock broker shall inform the client and keep him apprised about trading / settlement cycles,
delivery /payment schedules, any changes therein from time to time, and it shall be the responsibility
in turn of the client to comply with such schedules/ procedures of the relevant stock exchange where
the trade is executed.

13.In case of the debt segment broker for the Request for Quote (RFQ) platform, the money /
securities shall be deposited directly to the clearing corporations which shall then finalise and execute
the trade.

14. Where the Exchange(s) cancels trade(s) suo moto all such trades including the trade/s done on
behalf of the client shall ipso facto stand cancelled, stock broker shall be entitled to cancel the
respective contract(s) with client(s).

15. The transactions executed on the Exchange are subject to Rules, Bye laws and Regulations and
circulars / notices issued thereunder of the Exchanges where the trade is executed and all parties to
such trade shall have submitted to the jurisdiction of such court as may be specified by the Bye Laws
and Regulations of the Exchanges where the trade is executed for the purpose of giving effect to the
provisions of the Rules, Bye Laws and Regulations of the Exchanges and the circulars/notices issued
thereunder.

C. BROKERAGE

16. The Client shall pay to the stock broker brokerage and statutory levies as are prevailing from time
to time and as they apply to the Client’s account, transactions and to the services that stock broker
renders to the Client. The stock broker shall not charge brokerage more than the maximum brokerage
permissible as per the rules, regulations and bye-laws of the relevant stock exchanges and/or rules and
regulations of SEBI.

D. DISPUTE RESOLUTION

17. The stock broker shall provide the client with the relevant contact details of the concerned
Exchanges and SEBI.

18. The stock broker shall cooperate in redressing grievances of the client in respect of all transactions
routed through it and in removing objections for bad delivery of securities, rectification of bad
delivery, etc.

19. The client and the stock broker shall refer any claims and / or disputes with respect to deposits,
margin money, etc., to arbitration as per the Rules, Byelaws and Regulations of the Exchanges where
the trade is executed and circulars/notices issued thereunder as may be in force from time to time.

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20. The stock broker shall ensure faster settlement of any arbitration proceedings arising out of the
transactions entered into between him vis-a-vis the client and he shall be liable to implement the
arbitration awards made in such proceedings. The client/stockbroker understands that the instructions
issued by an authorised representative for dispute resolution, if any, of the client / stock broker shall
be binding on the client / stock broker in accordance with the letter authorising the said representative
to deal on behalf of the said client / stock broker.

E.TERMINATION OF RELATIONSHIP

21. This relationship between the stock broker and the client shall be terminated; if the stock broker
for any reason ceases to be a member of the stock exchange including cessation of membership by
reason of the stock broker's default, death, resignation or expulsion or if the certificate is cancelled by
the Board.

22. The stock broker, sub-broker and the client shall be entitled to terminate the relationship between
them without giving any reasons to the other party, after giving notice in writing of not less than one
month to the other parties. Notwithstanding any such termination, all rights, liabilities and obligations
of the parties arising out of or in respect of transactions entered into prior to the termination of this
relationship shall continue to subsist and vest in/be binding on the respective parties or his/its
respective heirs, executors, administrators, legal representatives or successors, as the case may be.

23. In the event of demise / insolvency of the sub-broker or the cancellation of his / its registration
with the Board or / withdrawal of recognition of the sub-broker by the stock exchange and/or
termination of the agreement with the sub broker by the stockbroker, for any reason whatsoever, the
client shall be informed of such termination and the client shall be deemed to be the direct client of
the stock broker and all clauses in the ‘Rights and Obligations’ document(s) governing the stock
broker, sub-broker and client shall continue to be in force as it is, unless the client intimates to the
stock broker his/its intention to terminate their relationship by giving a notice in writing of not less
than one month.

F. ADDITIONAL RIGHTS AND OBLIGATIONS

24. The stock broker shall ensure due protection to the client in respect of transactions routed through
it and it shall not do anything which is likely to harm the interest of the client with whom and for
whom they may have had transactions in securities.

25. The stock broker shall issue a relevant electronic notes (order receipts etc) as may be required by
applicable law to its constituents for trades executed in such format as may be prescribed by the
Exchange from time to time containing records of all transactions including details of as defined
under the relevant regulations by SEBI and the Exchanges. and with all other relevant details as
required therein to be filled in and issued in such manner and within such time as prescribed by the
Exchange. The stock broker shall send contract notes to the investors within one working day of the
execution of the trades in hard copy and/or in electronic form using digital signature.

26. The Client shall ensure that it has the required legal capacity to, and is authorised to, enter into the
relationship with the stock broker and is capable of performing his obligations and undertakings
hereunder. All actions required to be taken to ensure compliance of all the transactions, which the
Client may enter into shall be completed by the Client prior to such transaction being entered into.

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G. ELECTRONIC CONTRACT NOTES (ECN) / ELECTRONIC ORDER RECEIPTS (EOR)
(“Receipts”)

27. In case, the client opts to receive the contract note/ order receipt or any other transaction statement
in electronic form, he shall provide an appropriate email id to the stock broker. The client shall
communicate to the stock broker of any change in the email-id either through physical mode or
through electronic mail. If the client has opted for internet trading, the request for change of email id
may be made through the secured access by way of client specific user id and password.

28. The stock broker shall ensure that all Receipts sent through the e-mail shall be digitally signed,
encrypted, be non-tamperable and in compliance with the provisions of the IT Act, 2000. In case,
ECN is sent through e-mail as an attachment, the attached file shall also be secured with the digital
signature, encrypted and non-tamperable, if applicable.

29. The client shall note that non-receipt of bounced mail notification by the stock broker shall
amount to delivery of the contract note at the e-mail ID of the client.

30. The stock broker shall retain Receipts and acknowledgement of the e-mail in a soft and
non-tamperable form in the manner prescribed by the exchange in compliance with the provisions of
the IT Act, 2000 and as per the extant rules/regulations/circulars/ guidelines issued by SEBI/Stock
Exchanges from time to time. The proof of delivery i.e. log report generated by the system at the time
of sending the Receipts shall be maintained by the stock broker for the specified period under the
extant regulations of SEBI/Stock Exchanges. The log report shall provide the details of the contract
notes that are not delivered to the client/emails rejected or bounced back. The stock broker shall take
all possible steps to ensure receipt of notification of bounced mails by him at all times within the
stipulated time period under the extant regulations of SEBI/Stock Exchanges.

31. The stock broker shall send Receipts only in the electronic mode. Wherever the Receipts have not
been delivered to the client or has been rejected (bouncing of mails) by the e-mail ID of the client, the
stock broker shall approach the client for updation of email.

H. LAW AND JURISDICTION

32. In addition to the specific rights set out in this document, the stock broker, sub-broker and the
client shall be entitled to exercise any other rights which the stock broker or the client may have under
the Rules, Bye-Laws and Regulations of the Exchanges in which the client chooses to trade and
circulars/notices issued thereunder or Rules and Regulations of SEBI.

33. The provisions of this document shall always be subject to Government notifications, any rules,
regulations, guidelines and circulars / notices issued by SEBI and Rules, Regulations and Bye laws of
the relevant stock exchanges, where the trade is executed, that may be in force from time to time.

34. The stock broker and the client shall abide by any award passed by the Arbitrator(s) under the
Arbitration and Conciliation Act, 1996. However, there is also a provision of appeal within the stock
exchanges, if either party is not satisfied with the arbitration award.

35. Words and expressions which are used in this document but which are not defined herein shall,
unless the context otherwise requires, have the same meaning as assigned thereto in the Rules,
Byelaws and Regulations and circulars/notices issued thereunder of the Exchanges/SEBI.

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36. All additional voluntary clauses/documents added by the stock broker should not be in
contravention with rules/regulations/notices/circulars of Exchanges/SEBI. Any changes in such
voluntary clauses/documents need to be preceded by a notice of 15 days. Any changes in the rights
and obligations which are specified by Exchanges/SEBI shall also be brought to the notice of the
clients.

37. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and
regulations of SEBI or Bye-laws, Rules and Regulations of the relevant stock Exchanges where the
trade is executed, such changes shall be deemed to have been incorporated herein in modification of
the rights and obligations of the parties mentioned in this document.

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Rights and Obligations of Beneficial Owner & Depository Participant as prescribed by SEBI &
Stock Exchanges (Mandatory)

A. GENERAL CLAUSE

1. The Beneficial Owner and the Depository participant (“DP”) shall be bound by the provisions of
the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 2018, Rules and
Regulations of Securities and Exchange Board of India (SEBI), Circulars / Notifications / Guidelines
issued there under, Bye Laws and Business Rules/Operating Instructions issued by the Depositories
and relevant notifications of Government Authorities as may be in force from time to time.

2. The DP shall open/activate depository participant of a Beneficial Owner in the depository system
only after receipt of complete Account opening form, KYC and supporting documents as specified by
SEBI from time to time.

B. BENEFICIAL OWNER INFORMATION

3. The DP shall maintain all the details of the Beneficial Owner(s) as mentioned in the account
opening form, supporting documents submitted by them and/or any other information pertaining to the
Beneficial Owner confidentially and shall not disclose the same to any person except as required by
any statutory, legal or regulatory authority in this regard.

4. The Beneficial Owner shall immediately notify the DP in writing, if there is any change in details
provided in the account opening form as submitted to the DP at the time of opening the depository
participant or furnished to the DP from time to time.

C. FEES/CHARGES/TARIFF

5. The Beneficial Owner shall pay such charges to the DP for the purpose of holding and transfer of
securities in dematerialized form and for availing depository services as may be agreed to from time
to time between the DP and the Beneficial Owner as set out in the Tariff Sheet provided by the DP. It
may be informed to the Beneficial Owner that "no charges are payable for opening of depository
participants."

6. In case of Basic Services Depository participants, the DP shall adhere to the charge structure as laid
down under the relevant SEBI and/or Depository circulars / directions / notifications issued from time
to time.

7. The DP shall not increase any charges/tariff agreed upon unless it has given a notice in writing of
not less than thirty days to the Beneficial Owner regarding the same.

D. SEPARATE ACCOUNTS

8. The DP shall open separate accounts in the name of each of the Beneficial Owners and securities of
each Beneficial Owner shall be segregated and shall not be mixed up with the securities of other
Beneficial Owners and/or DP’s own securities held in dematerialized form.

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9. The DP shall not facilitate the Beneficial Owner to create or permit any pledge and / or
hypothecation or any other interest or encumbrance over all or any of such securities submitted for
dematerialization and/or held in depository participant except in the form and manner prescribed in
the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 2018 and
Bye-Laws/Operating Instructions/ Business Rules of the Depositories.

E. TRANSFER OF SECURITIES

10. The DP shall effect transfer to and from the depository participants of the Beneficial Owner only
on the basis of an order, instruction, direction or mandate duly authorised by the Beneficial Owner
and the DP shall maintain the original documents and the audit trail of such authorisations.

11. The Beneficial Owner reserves the right to give standing instructions with regard to the crediting
of securities in his depository participant and the DP shall act according to such instructions.

F. STATEMENT OF ACCOUNT

12. The DP shall make available statements of accounts to the Beneficial Owner in such form and
manner and at such time as agreed with the Beneficial Owner and as specified by SEBI / depository in
this regard.

13. However, if there is no transaction in the depository participant, or if the balance has become Nil
during the year, the DP shall send one statement of holding annually to such Beneficial Owners and
shall resume sending the transaction statement as and when there is a transaction in the account.

14. The DP may provide the services of issuing the statement of depository participants in an
electronic mode if the Beneficial Owner so desires. The DP will furnish to the Beneficial Owner the
statement of depository participants under its digital signature, as governed under the Information
Technology Act, 2000. However if the DP does not have the facility of providing the statement of
depository participant in the electronic mode, then the Participant shall be obliged to forward the
statement of depository participants in physical form.

15. In case of Basic Services Depository participants, the DP shall send the transaction statements as
mandated by SEBI and / or Depository from time to time.

G. MANNER OF CLOSURE OF DEPOSITORY PARTICIPANT

16. The DP shall have the right to close the depository participant of the Beneficial Owner, for any
reasons whatsoever, provided the DP has given a notice in writing of not less than thirty days to the
Beneficial Owner as well as to the Depository. Similarly, the Beneficial Owner shall have the right to
close his/her depository participant held with the DP provided no charges are payable by him/her to
the DP. In such an event, the Beneficial Owner shall specify whether the balances in their depository
participant should be transferred to another depository participant of the Beneficial Owner held with
another DP or to rematerialize the security balances held.

17. Based on the instructions of the Beneficial Owner, the DP shall initiate the procedure for
transferring such security balances or rematerialize such security balances within a period of thirty
days as per procedure specified from time to time by the depository. Provided further, closure of
depository participant shall not affect the rights, liabilities and obligations of either the Beneficial
Owner or the DP and shall continue to bind the parties to their satisfactory completion.

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H. DEFAULT IN PAYMENT OF CHARGES

18. In event of Beneficial Owner committing a default in the payment of any amount provided in
Clause 5 & 6 within a period of thirty days from the date of demand, without prejudice to the right of
the DP to close the depository participant of the Beneficial Owner, the DP may charge interest at a
rate as specified by the Depository from time to time for the period of such default.

19. In case the Beneficial Owner has failed to make the payment of any of the amounts as provided in
Clause 5 & 6 specified above, the DP after giving two days' notice to the Beneficial Owner shall have
the right to stop processing of instructions of the Beneficial Owner till such time he makes the
payment along with interest, if any.

I. LIABILITY OF THE DEPOSITORY

20. As per Section 16 of Depositories Act, 1996,

a. Without prejudice to the provisions of any other law for the time being in force, any loss caused to
the Beneficial Owner due to the negligence of the depository or the participant, the depository shall
indemnify such Beneficial Owner.

b. Where the loss due to the negligence of the participant under the aforementioned Clause, is
indemnified by the depository, the depository shall have the right to recover the same from such
participant.

J. FREEZING/ DEFREEZING OF ACCOUNTS

21. The Beneficial Owner may exercise the right to freeze / defreeze his / her depository participant
maintained with the DP in accordance with the procedure and subject to the restrictions laid down
under the Bye Laws and Business Rules/Operating Instructions.

22. The DP or the Depository shall have the right to freeze / defreeze the accounts of the Beneficial
Owners on receipt of instructions received from any regulator or court or any statutory authority.

K. REDRESSAL OF INVESTOR GRIEVANCE

23. The DP shall redress all grievances of the Beneficial Owner against the DP within a period of
thirty days from the date of receipt of the complaint.

L. AUTHORISED REPRESENTATIVE

24. If the Beneficial Owner is a body corporate or a legal entity, it shall, along with the account
opening form, furnish to the DP, a list of officials authorised by it, who shall represent and interact on
its behalf with the Participant. Any change in such list including additions, deletions or alterations
thereto shall be forthwith communicated to the Participant.

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M. LAW AND JURISDICTION

25. In addition to the specific rights set out in this document, the DP and the Beneficial owner shall be
entitled to exercise any other rights which the DP or the Beneficial Owner may under the Rules, Bye
Laws and Regulations of the respective Depository in which the depository participant is opened and
circulars/notices issued thereunder or Rules and Regulations of SEBI.

26. The provisions of this document shall always be subject to Government notification, any rules,
regulations, guidelines and circulars / notices issued by SEBI and Rules, Regulations and Bye-laws of
the relevant Depository, where the Beneficial Owner maintains his/ her account, that may be in force
from time to time.

27. The Beneficial Owner and the DP shall abide by the arbitration and conciliation procedure
prescribed under the Bye-laws of the depository and that such procedure shall be applicable to any
disputes between the DP and the Beneficial Owner.

28. Words and expressions which are used in this document but which are not defined herein shall
unless the context otherwise requires, have the same meanings as assigned thereto in the Rules,
Bye-laws and Regulations and circulars/notices issued thereunder by the depository and /or SEBI.

29. Any changes in the rights and obligations which are specified by SEBI / Depositories shall also be
brought to the notice of the clients at once.

30. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and
regulations of SEBI or Bye-laws, Rules and Regulations of the relevant Depository, where the
Beneficial Owner maintains his/her account, such changes shall be deemed to have been incorporated
herein in modification of the rights and obligations of the parties mentioned in this document.

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Do’s and Don’t for Trading on the Exchanges for Investors - A Guidance Note (Mandatory)

BEFORE YOU BEGIN TO TRADE

1. Ensure that you deal with and through only SEBI registered intermediaries. You may check their
SEBI registration certificate number from the list available on the Stock exchanges
www.exchange.com and SEBI website www.sebi.gov.in.

2. Ensure that you fill the KYC form completely and strike off the blank fields in the KYC form.

3. Ensure that you have read all the mandatory documents viz. Rights and Obligations, Risk
Disclosure Document, Policy and Procedure document of the stock broker.

4. Ensure to read, understand and then sign the voluntary clauses, if any, agreed between you and the
stock broker. Note that the clauses as agreed between you and the stock broker cannot be changed
without your consent.

5. Get a clear idea about all brokerage, commissions, fees and other charges levied by the broker on
you for trading and the relevant provisions/ guidelines specified by SEBI/ Stock exchanges.

6. Obtain a digital copy of all the documents executed by you from the stock broker free of charge.

7. In case you wish to execute Power of Attorney (POA) in favour of the Stock broker, authorising it
to operate your bank and depository participant, please refer to the guidelines issued by
SEBI/Exchanges in this regard.

TRANSACTIONS AND SETTLEMENTS

1. The stock broker may issue Reeipts if specifically authorised by you in writing. You should provide
your email-id to the stock broker for the same. Don’t opt for Receipts if you are not familiar with
computers.

2. Don’t share your internet trading account’s password with anyone.

3. Don’t make any payment in cash to the stock broker.

4. Make the payments by account payee cheque in favour of the stock broker, where required. Don’t
issue cheques in the name of a sub broker. Ensure that you have documentary proof of your
payment/deposit of securities with the stock broker, stating date, scrip, quantity, towards which bank/
depository participant such money or securities deposited and from which bank/ depository
participant.

5. Please register your mobile number and email id with the stock broker, to receive trade
confirmation alerts/ details of the transactions through SMS or email, by the end of the trading day,
from the stock exchanges.

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IN CASE OF TERMINATION OF TRADING MEMBERSHIP

1. In case, a stock broker surrenders his membership, is expelled from membership or declared a
defaulter; Stock exchanges give a public notice inviting claims relating to only the “transactions
executed on the trading system” of Stock exchange, from the investors. Ensure that you lodge a claim
with the relevant Stock exchanges within the stipulated period and with the supporting documents.

2. Familiarise yourself with the protection accorded to the money and/or securities you may deposit
with your stock broker, particularly in the event of a default or the stock broker’s insolvency or
bankruptcy and the extent to which you may recover such money and/or securities may be governed
by the Bye-laws and Regulations of the relevant Stock exchange where the trade was executed and the
scheme of the Investors’ Protection Fund in force from time to time.

DISPUTES/COMPLAINTS

1. Please note that the details of the arbitration proceedings, penal action against the brokers and
investor complaints against the stock brokers are displayed on the website of the relevant Stock
exchange.

2. In case your issue / problem / grievance is not being sorted out by the concerned stock broker /
sub-broker then you may take up the matter with the concerned Stock exchange. If you are not
satisfied with the resolution of your complaint then you can escalate the matter to SEBI.

3. Note that all the stock broker / sub-brokers have been mandated by SEBI to designate an email
address of the grievance redressal division / compliance officer exclusively for the purpose of
registering complaints.

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 General Policies and Procedures applicable to your Investment Account on Wint Wealth
(Mandatory)

DIGITAL TECHNOLOGY PLATFORM FOR INVESTING & TRADING

1. Wint Wealth is a digital technology platform for investing and trading that is owned, operated and
managed by Fourdegreewater Services Private Limited. As a user of the platform, you understand that
Wint Wealth will be subject to operate as per the guidelines, procedures, processes and regulations set
by the SEBI, exchanges, depository and other regulatory, government and statutory organisations and
bodies that enable us to operate.

2. Wint Wealth also depends on a lot of third party service providers and organisations that enables us
to provide you the products & services - this includes connectivity, infrastructure, data, payment
gateways, software and service providers, etc including partnerships that may directly or indirectly
provide you or us their products and services.

3. As a user of the platform, you understand that Wint Wealth acts as a platform and will do its best to
provide its product & services on the best effort basis.

BROKERAGE RATES, TRANSACTION FEES & CHARGES

1. The schedule of Brokerage and other fees/charges applied by Wint Wealth on the clients/users are
provided under the heading ‘Tariff Sheet’ in the client account opening form. The current charges
applicable will also be displayed on the pricing section of Wint Wealth website.

2. Within the mentioned scale, the brokerage and other charges as agreed by the client is indicated and
duly signed by the client in that section.

3. If there is any upward revision of brokerage, the same will be informed to the clients with 15 days
prior notice. However, all the brokerage and other charges are subject to the maximum limits as
prescribed by SEBI/Exchanges/Government and other Regulatory authorities from time to time.

4. Clients are advised to keep a track of the latest brokerage rates, fees and charges on Wint Wealth
website i.e., www.wintwealth.com.

PAYMENT TOWARDS TRADES, SETTLEMENT, FEES, OBLIGATIONS & MORE

Time of Payment

1. A prospective client will not be registered as a client of Wint Wealth, till the time due diligence
prescribed by regulators for KYC are complied with by the client.

2. The client shall make all remittances to Stock Broker (i.e. payment for all purchase transactions
plus taxes, brokerage, handling charges and depository related fees and transaction fees of Stock
Broker) by the value date for each transaction. The value date for all purchases will be the pay-in day
less two days, where the pay-in day is specified by the Exchange Clearing House for the relevant
settlement period.

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3. In the event of the client having made both sales and purchases during a Settlement Cycle on the
same Stock Exchange, the amount due from and to the client shall be netted off and only the
difference shall be payable by or to the client. A notional debit or credit as the case may be, may be
made to the Limit at the end of day until the actual payment is made.

Mode of Payment

1. No cash payment will be received from/ made to the client as per the extract
SEBI/Exchange/Income Tax/PMLA Regulation, Guidelines, Circulars, etc. accordingly Wint Wealth
will not be responsible for any claim of receipt/payment in cash by client from/to Wint Wealth.

2. In the case of a purchase transaction, the client shall remit funds within the time period provided to
Wint Wealth in any of the following ways:

2.1 Authorised electronic transfer (UPI, Netbanking, etc.) of funds from Client’s Bank Account to
Stock Broker’s bank account in the Designated Bank

2.2 Credit will be given to the client immediately on authentication of payment authorization,
however the client has to intimate the Stock Broker immediately after making payment through option
as mentioned.

2.3 Payment referred shall be accepted only from the client's registered bank account.

2.4 Payment shall be made by the Client only as referred.

2.5 Stock Broker shall not accept/ acknowledge/ give credit for any payment made in cash.

3. Wint Wealth will not be responsible for any kind of claims raised by the clients regarding payment
made in cash.

4. Mobile number is compulsory for opening a Demat/Trading account with Wint Wealth and
Interface with a payment gateway will be offered to the client at the website/app itself.

5. Wint Wealth shall have the prerogative to refuse payments received from any bank account where
the client is not the first holder or which is not mentioned in the KYC or which the client has not got
updated subsequently by submitting a written request along with adequate proof thereof as per
proforma prescribed by Wint Wealth.

6. Wint Wealth shall not be responsible for any loss or damage arising out of such refusal of
acceptance of payments in the situations mentioned above. However, due to oversight, if any such
third-party payment has been accepted by Wint Wealth, it shall have the right to immediately reverse
such credit entries on noticing or becoming aware of the same.

7. Specifically where Wint Wealth is operating the Online Bond Platform as under extant SEBI
regulations, payment and transfer of securities from buyer and seller, as the case may be, shall occur
directly through the exchanges and clearing corporations and Wint Wealth shall at no time have
possession of any monetary payments, nor any securities (unless Wint Wealth itself is the seller).

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TEMPORARILY SUSPENDING OR CLOSING OF CLIENT ACCOUNT AT THE CLIENT
REQUEST

1. Wint Wealth may suspend or close the trading account of the client pursuant to SEBI or any other
regulatory directive for such period as may be prescribed by the respective regulator or government
authority.

2. Wint Wealth may further at its sole discretion and with/without information to the client, prohibit or
restrict or block the client’s access to the use of the web site or related services and the client’s ability
to trade due to market conditions and other internal policies including policy with respect to
prevention of money laundering.

3. Client can initiate temporary suspension/closure of its account at any time by giving a request to
Wint Wealth. However, such suspension/closure will be effected subject to clearance of all dues and
settlement obligations by the client and subject to approval of Wint Wealth.

4. Trades in the account of the client during the period of such temporary suspension shall not be
permitted. Notwithstanding any such suspension/ closure, all rights, liabilities and obligations of the
parties arising out of or in respect of transactions entered into prior to such closure/ suspension shall
continue to subsist and binding on the client. In case the account has been temporarily suspended at
the request of the client, the account shall be reactivated only on submission of a written request for
reactivation by the client.

SUSPENSION/CLOSURE OF CLIENT ACCOUNT

1. Wint Wealth may suspend/close the client if the client breaches the terms and conditions of the
member-client agreement or provides any false information or declarations.The client will be provided
with adequate notice.

2. Wint Wealth may suspend/close the client account if there is any instruction from competent
authorities like regulators, statutory bodies or law enforcement agencies or if the client is suspected to
be involved in any activities in violation of applicable Rules and Regulations. Any liabilities arising
out of this action will be the sole responsibility of the client.

TREATMENT OF INACTIVE ACCOUNTS

1. In case the Trading and/or Depository Participant of the client is not operated by the client for a
continuous period of twelve months the same will be considered to be ‘Inactive Account’.

2. Such Inactive Account will be blocked for further transactions by the client. The client will have to
submit following documents/ confirmation, for re-activation of such blocked account:

a. Call the Customer Care centre identifying himself/herself (through validation questions) and
requesting for activation of account for placing request for re-activation of account; or

b. By placing a request for re-activation of account through the website/mobile app.

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Investor Charter Document Links - Wint Wealth

Investment Charter for Depository Participant and NSDL Depository

Investment Charter- Stock Broker as prescribed by SEBI

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 Authorisation By Client Towards Wint Wealth (Voluntary)

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our
knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case
any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we
are aware that I/we may be held liable for it.

2. I/We confirm having read/been explained and understood the contents of the document on policy
and procedures of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the 'Rights and Obligations'
document(s). I/We do hereby agree to be bound by such provisions as outlined in these documents.
I/We have also been informed that the standard set of documents has been displayed for information
on stock broker's designated website, if any.

4. I/We have received and read the Rights and Obligations document and terms & conditions and
agree to abide by and be bound by the same and the bye laws as are in force from time to time. I/We
declare that the particulars given by me above to the best of my knowledge are true as on the date of
making this application. I/We agree and undertake to intimate the DP any change(s) in the details /
particulars mentioned by me in this form. I/We further agree that any false / misleading information
given by me or suppression of any material information will render my account liable for termination
and suitable action.

5. The rules and regulations of the Depository and Depository Participants pertaining to an account
which are in force now have been read by me and I/We have understood the same and I/We agree to
abide by and be bound by the rules as are in force from time to time for such accounts.

_____________________ 2025-02-17
_____________

Signature of the Client Date

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VOLUNTARY UNDERTAKING / AUTHORISATION

With respect to Member-Constituent Relationship and Mandatory and Voluntary (optional)

Documents executed between us, I hereby authorize to do the following:

1. ERRORS AND OMISSIONS

I understand and agree that inadvertent errors may occur, while executing orders placed by me. In
such circumstances Wint Wealth shall make all reasonable efforts to rectify the same and ensure that I
am not put to any monetary loss. I understand and agree that I shall not hold Wint Wealth responsible
beyond this and claim additional damages/loss.I understand and agree that my request to modify or
cancel the order shall not be deemed to have been executed unless and until the same is confirmed by
Wint Wealth.

2. ORDER PLACEMENT INSTRUCTIONS

I understand that you require written instructions from me for placing/modifying/cancelling orders.
However, I realise that it may not be practical for me to give written instructions for
placing/modifying/cancelling orders. Even if I have the facility to trade online through Internet and
wireless technology, I may have to place orders by physically visiting/calling/emailing the call
centre/branch specified for the said purpose by Wint Wealth in case of breakdown of internet
connectivity or other similar reasons. I hereby request you to kindly accept my verbal
orders/instructions, in person or over phone and execute the same. I understand the risk associated
with placement of verbal orders and accept the same. I shall not disown orders under the plea that the
same were not placed by me provided I am sent Receipts or trade confirmations through SMS and
other approved modes. I/we also agree that non-receipt of bounced mail notification by you shall
amount to delivery of contract note at my/our email ID. I indemnify Wint Wealth and its employees
against all trade related losses, damages, actions which you may suffer or face, as a consequence
carrying out my instructions for orders placed verbally.

3. SUSPICIOUS TRADING AND NO MARKET MANIPULATION

I undertake not to execute transactions, either singly or in concert with other clients/Market
Participants, which may be viewed as manipulative trades (viz. artificially raising, depressing or
maintaining the price, creation of artificial volume, synchronised trades, cross trades, self trades, etc
or which could be termed as manipulative or fraudulent trades) as defined by SEBI/Exchanges. In
case I am found to be indulging in such activities, Wint Wealth has every right to inform the
Exchange/SEBI/other regulatory authority of the same and suspend/close my trading account.

4. NOT DEBARRED BY ANY REGULATOR OR BY ANY REGULATORY ACTION

I hereby confirm that I have not been prohibited from participating in the securities market directly or
indirectly by SEBI/Exchanges or any other regulator or Statutory authority. I agree to inform Wint
Wealth in writing, of any regulatory action taken by any Exchange or Regulatory/ Statutory authority
on me in future. I also acknowledge that, in any such event in the future or Wint Wealth comes to
know of any such prevailing action, Wint Wealth has the right to suspend/close the trading account
maintained by me at Wint Wealth with immediate effect. Wint Wealth can at its sole discretion, close
all the open positions and liquidate collaterals to the extent of debit balances, without any notice to
me.

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5. PMLA DECLARATION

I declare that I have read and understood the contents and provisions of the Prevention of Money
Laundering Act, 2002, (“PMLA”) which were also explained to me by Wint Wealth officials. I further
declare that I shall adhere to all the provisions of the PMLA. I further undertake and confirm that:

a. I do not have any links with any known criminals.

b. I am a genuine person and not involved or indulge knowingly or assisted, directly or
indirectly, in any process or activity connected with the proceeds of crime nor am I party to it.
The investment money is derived from proper means and does not involve any black or
Hawala money in any manner.

6. DECLARATION OF RESIDENCY STATUS / NRI STATUS

I understand that if the sole/first applicant has or attains NRI Status, investments can be made only
upon providing Foreign Inward Remittance Certificate (FIRC) to Wint Wealth every time the
investment is made. I hereby agree to intimate any changes in my/our residency status and will abide
by all prevailing rules mandated for NRI Investments.

7. INDEMNIFICATION

I hereby indemnify and hold Wint Wealth, its Directors, employees, officials and any representatives
acting on behalf of Wint Wealth harmless from and against all claims, demands, actions, proceedings,
losses, damages, liabilities, charges and/or expenses that are occasioned or may be occasioned to the
Wint Wealth directly or indirectly, relating to bad delivery of securities and/or third party delivery,
whether authorised or unauthorised and fake/forged/stolen securities/transfer documents introduced or
that may be introduced by or through me during the course of my dealings/operations on the
Exchange(s) and/or proof of address, identity and other supporting documents provided by me at the
time of registration and/or subsequently. Further, in case of joint holdings, I hereby agree to indemnify
and hold Wint Wealth harmless from any trade related claims, demands, actions, proceedings, losses,
damages, liabilities, charges and/or expenses arising from transactions in securities held jointly by me
with any other person or persons, if any.

8. NO DEALINGS IN CASH

I agree that Wint Wealth as a policy neither accepts any funds for pay-in/margin in cash nor makes
any payment or allows withdrawal of funds in cash. No claim will be entertained where/if I state to
have made any cash payment or deposited cash with any
Branch/Sub-Broker/Remisier/Employee/Authorised Person of Wint Wealth.

9. DISCLOSURE OF PROPRIETARY TRADING

Wint Wealth has disclosed its policies on proprietary trades. I am aware that Wint Wealth does
proprietary trades in the debt segments at NSE.

10. DELIVERY OF SECURITIES

I agree and shall ensure that the securities are properly transferred to the designated demat accounts,
for effecting transactions in accordance with SEBI regulations. Such transfers shall be entered by me
within the time specified by SEBI/Exchanges/Wint Wealth. In case I fail to transfer the securities,

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where applicable, on time for any transaction, Wint Wealth shall not be responsible for any
loss/damages arising out of such delayed transfers.

11. NO THIRD-PARTY PAYMENTS ACCEPTED

Wint Wealth shall have the prerogative to refuse payments received from any bank account where I
am not the first holder or which is not mentioned in the KYC or which I have not got updated
su`quently by submitting a written request along with adequate proof thereof as per proforma
prescribed by Wint Wealth. Wint Wealth shall not be responsible for any loss or damage arising out of
such refusal of acceptance of payments in the situations mentioned above. However, due to oversight,
if any such third-party payment has been accepted by Wint Wealth and the credit for the same has
been given in my ledger, Wint Wealth shall have the right to immediately reverse such credit entries
on noticing or becoming aware of the same. In such a case, Wint Wealth reserves the right to liquidate
any of the open positions and/or any of the collaterals received/ held on my behalf. Wint Wealth, its
Directors, its officials and its employees shall not be responsible for any consequential damages or
losses.

12. NOT TO ACT AS UNREGISTERED SUB BROKER. I undertake not to act as unregistered
Sub-broker and deal only for myself and not on behalf of other clients In case I wish to deal for other
clients also, I shall apply to SEBI and obtain relevant registrations.

I agree that I shall settle the transactions, within the Exchange specified settlement time, by making
the requisite payment of funds and/or delivery of the shares. In case I fail to settle the transactions
within the settlement date, then Wint Wealth has the right to square off the open and/or unpaid
positions, at an appropriate time, as it deems fit, without any notice to me. I shall not have any right or
say to decide on the timing of closure of the open positions that need to be closed. Wint Wealth, its
Directors, its Employees and its Officials shall not be responsible for any trade related loss or
damages arising out of such square offs. All such square off transactions shall have implied consent
and authorization of mine in favour of Wint Wealth. After such a square off of open positions by Wint
Wealth, as mentioned in above clauses, if there is a debit balance, I shall pay the same immediately.
However, if I do not clear off the debit balance, Wint Wealth shall have the right to liquidate my
shares and other securities (kept as collateral/margin) to the extent of the debit balance, without any
intimation to me. I shall not have the right to decide on the timing of liquidation of shares and
securities held in collateral/margin and the shares and securities that need to be sold or liquidated.
Wint Wealth, its Directors, its officials and its employees shall not be responsible for any trade related
loss or damages arising out of such selling.

INDEMNITY OF JOINT HOLDINGS

I hereby agree to indemnify and hold Wint Wealth harmless from any trade related claims, demands,
actions, proceedings, losses, damages, liabilities, charges and/or expenses arising from transactions in
securities held jointly by me with any other person or persons, if any.

__________________

Signature of the Client

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 Most Important Terms and Conditions (MITC)

(For non-custodial settled trading accounts)

1. Your trading account has a “Unique Client Code” (UCC), different from your demat account
number. Do not allow anyone (including your own stock broker, their representatives and dealers) to
trade in your trading account on their own without taking specific instruction from you for your
trades. Do not share your internet/ mobile trading login credentials with anyone else.

2. You are required to place collaterals as margins with the stock broker before you trade. The
collateral can either be in the form of funds transfer into specified stock broker bank accounts or
margin pledge of securities from your demat account. The bank accounts are listed on the stock broker
website. Please do not transfer funds into any other account. The stock broker is not permitted to
accept any cash from you.

3. The stock broker’s Risk Management Policy provides details about how the trading limits will be
given to you, and the tariff sheet provides the charges that the stock broker will levy on you.

4. All securities purchased by you will be transferred to your demat account within one working day
of the payout. In case of securities purchased but not fully paid by you, the transfer of the same may
be subject to limited period pledge i.e. seven trading days after the pay-out (CUSPA pledge) created in
favor of the stock broker. You can view your demat account balances directly at the website of the
Depositories after creating a login.

5. The stock broker is obligated to deposit all funds received from you with any of the Clearing
Corporations duly allocated in your name. The stock broker is further mandated to return excess funds
as per applicable norms to you at the time of quarterly/ monthly settlement. You can view the amounts
allocated to you directly at the website of the Clearing Corporation(s).

6. You will get a contract note from the stock broker within 24 hours of the trade.

7. You may give a one-time Demat Debit and Pledge Instruction (DDPI) authority to your stock
broker for limited access to your demat account, including transferring securities, which are sold in
your account for pay-in.

8. The stock broker is expected to know your financial status and monitor your accounts accordingly.
Do share all financial information (e.g. income, networth, etc.) with the stock broker as and when
requested for. Kindly also keep your email Id and mobile phone details with the stock broker always
updated.

9. In case of disputes with the stock broker, you can raise a grievance on the dedicated investor
grievance ID of the stock broker. You can also approach the stock exchanges and/or SEBI directly.

10. Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature are
prohibited by law. You will not have any protection/recourse from SEBI/stock exchanges for
participation in such schemes.

__________________

Signature of the Client

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