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5paisa Capital Limited: Account Opening Form
5paisa Capital Limited: Account Opening Form
Application No. 5*
INDEX OF DOCUMENTS
CHECKLIST OF DOCUMENTS
Application No.(Signed on both sides) Cheque Leaf (Cancelled original)
Bank Mandate (Signed) Address Proof (Signed photocopy)
PAN Card Copy (Signed photocopy) Income Proof
Version: 1.1
1
Application No. 5*
IDENTITY DETAILS
Name of Applicant MR MANISH RAVI SHANKAR
Maiden Name
Proof of Address provided Validity/Expiry Date Proof of Address provided Validity/Expiry Date
DRIVING LICENSE
91 6364166395 [email protected]
I 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 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.
Place : ARSIKERE
Date : 2020-01-19
(Originals Verified) Self Certified Seal/Stamp of the Intermediary should contain Seal/Stamp of the Intermediary should contain
Document copies received Staff Name: Suraj Suresh Solkar Staff Name: Suraj Suresh Solkar
Designation: Operations Executive Designation: Operations Executive
(Attested) True copies of documents Name of the Organization: 5Paisa Capital Ltd. Name of the Organization: 5Paisa Capital Ltd.
received Main Intermediary Signature: Signature:
Date: 2020-01-19 Date: 2020-01-19
Client interviewed by Suraj Suresh Employee Code C149780 Designation Operations Executive
Solkar
Version : 1 2
Application No. 5*
ACCOUNT OPENING FORM
Please fill in ENGLISH and in BLOCK LETTERS
CLIENT DETAILS
Client Name PAN Occupation
MR MANISH RAVI SHANKAR KXHPS0395N BUSINESS
Annual Income 0-1Lac Trading Experience 1Year Income Proof
I wish to trade in NSE CASH NSE FO NSE CD MF
DEPOSITORY ACCOUNT DETAILS (For Trading & DP) Account Type : Resident Individual
Client Name PAN Occupation
FIRST HOLDER MR MANISH RAVI SHANKAR KXHPS0395N BUSINESS
SECOND HOLDER
THIRD HOLDER
I wish to open Depository Account with CDSL.
Signature
PAST REGULATORY ACTIONS (Last 3 years)(To be hand filled)
Particulars Name of Authority MM/YYYY
Signature
Version : 1 3
Application No. 5*
TARIFF SHEET
Trading Account Processing Charges Other Charges
FREE Non Refundable (Inclusive of GST) Standard charges
No charges are payable for opening of demat accounts. Pledge creation Rs. 50
• Document handling charges amounting to Rs 100/- shall be • Payment gateway charges on actual basis per transaction as
leviable for customers who intend to receive documents like charged by the payment gateway vendor to 5paisa Capital
contract notes and other related documents additionally in Limited shall be payable by the customer.
Physical mode. • Charges levied by the regulatory authorities for availing of E-
• Inter-settlement/Beneficiary to pool transfer would be Sign facilities shall be paid by the customer on actual basis.
charged@ 0.025% or Rs 25/- (excluding GST and applicable • Demat charges shall be applicable for MF transactions.
taxes) whichever is higher. Processing of Direct Mutual fund transactions will be charged
• No Annual maintenance charges shall be payable for the at Rs. 20 exclusive of GST.
demat account where no trades have been executed by the • Charges quoted above are for the services listed and any
customer in his account under any segment opted by him. services availed other than the ones listed above will be
• Demat Maintenance charges amounting to Rs 45/- shall be charged separately.
charged only for the month where the customer has placed • The above charges are exclusive of GST, Securities
atleast one trade in his account in any segment. The charges Transaction Tax, other charges and stamp duty, if applicable
for the said month shall be debited immediately on execution and the same shall be charged to the Client’s account on
of the first trade during the month. actual basis.
• For customers availing our Call Center services which are • Customer is required to maintain a minimum balance of Rs
equipped with modern technology, there will be a nominal 450/- in his/her ledger account.
charge of Rs 100/ call (exclusive of GST and other taxes, if • *Charges/Service standards are subject to revision at sole
applicable). discretion of 5paisa Capital Ltd after due intimation to the
• Value of the transaction will be in accordance with rates customer over E-mail / SMS / such other notification as may
provided by Depository. be. Management also reserves the discretion to partly/fully
• Statutory and other levies being charges related to the waive any charges and the right to freeze, discontinue or
execution and/or settlement of transactions shall be separately suspend any account, if required.
chargeable as in force from time to time.
• Brokerage is also applicable in case of expiry of futures and
exercise and assignment of option contracts.
I/ We have understood and accepted the Schedule of Charges as stated here in above.
SOLE / FIRST HOLDER SECOND HOLDER THIRD HOLDER
SIGNATURE
Version : 1 4
Application No. 5*
AUTHORIZATION LETTER
Running Account Authorisation to 5paisa Capital Limited
a) I would like to keep securities purchased by me with you as collateral for giving me exposure limits in my trading account/margin obligation. I authorize you not
to transfer shares/securities purchased by me to my demat beneficiary account and keep them with yourselves. I also authorise you to pledge these shares/
securities with the Clearing Member/ Exchange/Custodian, at your discretion. In case any of the shares/securities are sold in subsequent settlements, you may
take this as a standing instruction to adjust against my previous purchase positions in any of Exchanges.
b) Whenever I require delivery of any shares/securities, I shall send you a request. I understand that such payout of securities will be made subject to your risk
management policies.
c) In case there is a debit balance in my account, you are authorized to sell at any point of time the shares/ securities held by me/ held on my behalf, at your sole
discretion. Any profit or loss made on such transactions will be to my account as it would have occurred on normal purchase/sale made by me.
d) I also agree to pay the balance amount, if any after deducting credit of sale of shares.I also request you not to issue cheques /make payments settlement wise
unless specifically demanded by me, as payin and payout are very close and therefore exchange of cheque becomes unnecessary paper work.
e) I/We understand and agree that no interest will be payable to me/us on the amounts or securities so retained with you.
f) I further authorise you to set off/ adjust any of my debits/dues in any segment of any Exchange with credits of any other segment(s) of any Exchange(s) in my
account within the period of settlement of my account (Securities and Funds) as opted by me.
g) The Securities lying in client beneficiary account on my/our behalf and/or credit balances lying in my/our ledger account of any segments of any Exchanges can
be considered as margin for the any segments of any Exchanges.
h) I/We understand that this authorization shall remain valid until revoked by me/us. I/we undertake to clear all my dues arising during the validity of this
authorization else the member shall recover all my/our dues in my/our ledger till date. I also undertake to clear all my dues to you before serving revocation of
this authorisation else the member will recover all my dues in my ledger till date and then effect the revocation.
i) I /We further wish to have settlement of my account (funds and securities):- (Tick any one option) : [l] Once in Quarter [ ] Once in Month
I /We understand that settlement amount shall be subject to retention of requisite securities/ funds towards outstanding obligations and margins in my account
calculated in the manner specified by SEBI/ Exchange and details mentioned in the “Statement of Account” at the time of settlement. I /We authorise you to
send the statement of account on funds and securities as on the date of settlement to my internet trading account or e-mail id registered with you. I /We
understand that I /We can obtain a copy of the same from any of your Branch offices.
I /We understand and authorize that you will not release the payout in case the balance after necessary retention is up to Rs.10000/- or any other sum as
specified by Exchanges from time to time in any of the quarters, till my revocation in writing as I /We will be doing regularly trading with you. I/We also
undertake to bring any dispute arising from Statement of Accounts or settlement so made to your notice within seven working days from the date of receipt of
funds/securities or Statements as the case may be. So kindly maintain my/our account as a running account basis for funds and securities.
AUTHORISATION FOR RECEIPT OF CONTRACT NOTES AND OTHER DOCUMENTS IN DIGITAL MODE
I/We hereby consent to receive from 5paisa Capital Limited the digital contract notes, bills, ledgers, transaction statements, demat statement of accounts/ holding statement
(s)/bills/other statements, notices, circulars, amendments and such other correspondence documents, records by whatever name called in electronic form duly authenticated
by means of a digital signature as specified in the Information Technology Act 2000 and the rules made thereunder to my below mentioned email id (said email id). E-mail Id:
[email protected] I/We further hereby agree that the 5paisa Capital Limited. shall fulfill the legal obligation, if the above
documents are sent electronically to the said e-mail id and I/We am/are aware that I/we will not receive the statements / documents in paper form. In this regard, I/we
further confirm and agree that:
(i) The above is my/ our personal E-mail id. The same has been created by me/us and not by someone else. I/We shall take all necessary steps to ensure
confidentiality and the secrecy of the login and password of the abovementioned e-mail account. 5paisa Capital Limited shall not be liable to or responsible for
any breach of secrecy. I/We am/are aware that the statements/ documents may be accessed by other entities in case the confidentiality/secrecy of the login
name and password is compromised. I/We will be solely responsible for the security of the information provided on my/ our aforesaid e-mail id.
(ii) E-mails sent to any of the above mentioned e-mail accounts, which have not bounced back, shall be deemed to be duly delivered to me/Us. I am aware that
non-receipt of bounced email notification by the member shall amount to delivery of the Contract Note and other documents to the above mentioned email ID
(s).
(iii) 5paisa Capital Limited shall not take cognizance of out-of -office/ out of station auto replies and I/We shall be deemed to have received such electronic mails.
(iv) Such Statements shall be deemed to have been delivered on the day when the e-mail is sent by 5paisa Capital Limited.
(v) 5paisa Capital Limited shall not be liable or responsible for any Statement received from frauds or impostors or any consequences thereof.
(vi) 5paisa Capital Limited shall not be liable for any problem, which arises at my/our computer network because of my/our receiving any Statement from5paisa
Capital Limited.
(vii) I/We shall inform 5paisa Capital Limited by way of a letter in writing duly signed by me or inform through internet platform if there is any change in the Email
given above.
(viii) I/We undertake to check the Statement and bring the discrepancies to your notice within the time period as specified under the relevant agreements entered
into with 5paisa Capital Limited. My/Our non-verification or not accessing the Statement on regular basis shall not be a reason for disputing the same at any
time.
I/We shall immediately inform 5PAISA CAPITAL LIMITED about change in email address, if any. I/We further agree that5PAISA CAPITAL LIMITED will not be
responsible for non receipt of documents sent via electronic delivery due to change in/incorrect email address/correspondence address as mentioned or any
other reason which inter alia include technical reasons or malfunction of my/our computer system/server/internet connection etc. Further I/We agree and
undertake to indemnify 5PAISA CAPITAL LIMITED and its group companies, that they will not be held liable/ responsible for any losses, claims damages, cost and
liabilities etc. caused to me/us due to misuse of this information or pursuant to any litigation cases, complaints, actions, etc that may arise in future on account
of my/ our above authorization request.
Declaration
I/We confirm having received a hard copy of the following documents and further confirm having read and understood the contents of these documents.
SMS Alerts Facility by depository : I/ We consent to CDSL 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.
Terms &Conditions For Distribution of Securities.
Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUALFUND offered by NSE and BSE respectively.
Terms and Condition for availing systematic investment in Mutual fund/Securities
The above declaration has been read and understood by me/us. I/We am/are aware of the risk involved in dispensing with the physical contract note and do
hereby take full responsibility for the same.
SOLE / FIRST HOLDER SECOND HOLDER THIRD HOLDER
Signature
Version : 1 5
Application No. 5*
DP ID:
Mumbai:
CDSP – DP ID Client ID 5 6 5 4 7 2 7 0
Keeping in view my past and proposed transaction and holding, I would like to continue / avail normal demat account.
I have also noted that being a normal demat account (Non BSDA), normal AMC as per the company’s demat tariff would
be applicable. The tariff for normal demat account (NON BSDA) are already provided and agreed under tariff sheet in KYC
Form and changed through intimation by the company from time to time.
1. I/we hereby confirm and understand that by providing this authorization we specifically waive of the right to assess
my demat account as BSDA account even if applicable by eligibility.
2. Salient Features of BSDA are kept on www.5paisa.com. Click here for salient features of BSDA account. I/we
hereby confirm to have read and understood the salient features of BSDA account.
3. I/ we confirm and understand that my demat account would be charged and treated as normal demat account (NON
BSDA) until opted otherwise by a written communication to 5Paisa.
Signature
Place: ARSIKERE
Version : 1 14
Application No. 5*
Consent/ Authorization to avail Margin Trading with 5paisa Capital Limited
Date: _________
To 5paisa Capital Limited,
1st Floor, IIFL House, Sun Infotech Park
Road No 16V, Plot No. B-23,
Thane Industrial Area, Wagle Estate,
Thane – 400 604
n I/we am / are interested in activating my/our account for avail margin trading funding with5paisa Capital Limited. I/we hereby
authorize you to activate my/our account for the above mentioned funding as per my consent.
n
I/we agree and understand to the terms and conditions of Margin Trading Funding provided by 5paisa Capital Limited. I/we do
hereby agree to be bind by such provisions as outlined in these documents and act in accordance with the same while availing
the margin trading funding. I/we hereby undertake to refer to the updated policies and procedure as posted on5paisa website
and abide by the same.
n I/we confirm and agree to receive all the communication such as confirmation of orders/trades, margin calls, decisions/calls to
liquidate the collateral/ positions / security on my registered email address or registered mobile number provided with 5paisa
Capital Limited send electronically by 5paisa Capital Limited.
n
I/we hereby agree to that the margin funding shall carry interest at 18 % per annum payable weekly.
n
I/we understand that by availing the funding to trade under Margin Trading, i/we authorize 5paisa Capital Limited to treat
all my/our trade in group I securities, which are not covered by 100 % margin (i.e Cash in ledger) as trades under Margin
Trading Funding and accordingly i/we authorize 5paisa capital limited to report all such trades to the exchange(s) on next
n day as Margin Trading Trades.
I/we understand and acknowledge that 5paisa Capital Limited would consider entire clear ledger credit balance in normal
trading ledger for adjustment against the margin trading funding trades (Ledger) and would levy the interest on the net
debit balance in the MTF Ledger.
n
Commodities Segment
I/We the undersigned have taken cognizance of circulars issued by SEBI / Commodity Exchanges from time to time on the
guidelines for calculation of net open positions permitted in any commodity and I/We hereby undertake to comply with
the same. I/We hereby declare and undertake that I/we will not exceed the position limits prescribed from time to time by
Commodity Exchanges or SEBI and such position limits will be calculated in accordance with the circulars on position limits
as modified from time to time. I/We undertake to inform you and keep you informed if I / any of our partners / directors /
karta / trustee or any of the partnership firms/companies / HUFs / Trusts in which I or any of above such person is a partner
/ director / karta / trustee, takes or holds any position in any commodity forward contract / commodity derivative on
Exchanges through you or through any other member(s) or Exchanges, to enable you to restrict our position limit as
prescribed by the above referred circular of Exchanges as modified from time to time. I/We confirm that you have agreed to
enter order in commodity forward contracts / commodity derivatives for me / us as your clients on Commodity Exchanges
only on the basis of our above assurances and undertaking. I/We further undertake to bear any liable/penalty/charges
levied by Commodity Exchanges / SEBI.
Signature
Version : 1 15
C149780
Suraj Suresh Solkar
2020-01-19
C149780
Suraj Suresh Solkar
Operations Executive
2020-01-19
C149780
3) I/We have agreed with tariff sheet and terms and conditions contained therein.
5) I/We have agreed to provide authorization for receipt of contract notes and other documents in digital mode.
6) I/We have agreed to provide Consent / authorization to avail Margin Trading with5paisa Capital Limited.
Signature
Version : 1