NWIL-Booklet-A4-Commodity-Individual - (New KRA) - V02Aug2023

NWIL
Nuvama Wealth and Investment Limited
Simplified Investments
Form No.
Client Name
Type of Account TRADING CODE DEMAT ID
Equity, Commodity and Demat
Section to be updated by BRANCH / FRONTEND team
TRADING Branch Name DEMAT Branch Name
TRADING Branch Code DEMAT Branch Code
TEAM (please tick correct option below)
PWA HNI GWM Others
For DIRECT CLIENT Accounts ARM SRM Dealer CSO
Employee Code
Employee Name
For AP / INDIRECT CLIENT Accounts AP NAME AP CODE

AP details to be updated
Branch operations Employee Code Employee Name Date of Maker entry
BRANCH
Section to be updated by OPERATIONS / ACCOUNT OPENING
Branch operations Employee Code Employee Name Date of Maker entry
Acop Team MAKER entry
Acop Team CHECKER entry
Post Account Opening Processes Date Name Emp Code
Concurrent Audit
Scanning
KRA
Nuvama Wealth and Investment Limited (formerly known as Edelweiss Broking Limited)
Broking and Depository services offered by Nuvama Wealth and Investment Limited
SEBI Registration No.: INZ000005231 (Trading Member of NSE, BSE, MSEI, MCX and NCDEX)
Depository participant with CDSL and NSDL having SEBI Registration No. : IN-DP-656-2021
Corporate Identity Number : U65100GJ2008PLC077462
Registered Office : 2nd Floor, Office No. 201 to 203, Zodiac Plaza, Xavier College Road, Off C G Road, Ahmedabad-380009 Contact : 079 4001 9900
Corporate Office : 801 - 804, Wing A, Building No. 3, Inspire BKC, G Block, BandraKurla Complex, Bandra East, Mumbai – 400 051 Contact at +91-22-66203030
Website : www.nuvamawealth.com and Customer Care : 1800-102-3335
Name of the Compliance Officer : Mr. Srijith Menon. Tel. (040) 4115 1621
Email ID : [email protected]/[email protected]
For any grievance please contact us at Investor Grievance No: 040-4115 1621.
or you may write into us at [email protected] for tradingrelated queries and [email protected] for Demat related queries.
In case not satisfied with the response, please contact Depository or Exchanges on below numbers.
CDSL - email to [email protected] or call on 1800-22-5533

NSDL - email to [email protected] and call on (022) 4886 7000
NSE BSE MSE MCX NCDEX

Email ID [email protected] [email protected] [email protected] [email protected] [email protected]
Phone No 1800-266-0050 (select option 5) +91 22 2272 8517 +91 22 61129000 , Ext. 9028 022-6631 8888 1800-266-2339
If not satisfied with response or your grievance is still unresolved you may register complaint to SEBI on the SCORES website (link: https://scores.gov.in/scores/Welcome.html)
ICONS FOR ILLUSTRATION
S T
Signature of Client Second Holder Third Holder
G W AS
Guardian Witness Authorised Signatory
V02/Aug/2023
Message from Team Nuvama
Dear Customer,
We are happy that you have chosen us as your investment partner.
We at Nuvama aim at enhancing experience and simplifying processes for our customers. This Account Opening Form
is another step towards the very aim - making the process of entering a new financial relationship easier.
We take pleasure and pride in introducing this Account Opening form as one of the shortest and simplest in the
industry.
Now, opening a trading account with us takes a few minutes only, leaving you more time to interact with our
representative and clarify any doubts or queries that you may have.
We also request you to go through the Terms and Conditions booklet which will be appended with your KYC. This
booklet covers the details of your relationship with us and helps you become an informed investor.
With this, we also urge you to write to us on - [email protected] for trading and on
[email protected] for demat account issues, queries or feedback. We will be glad to hear from you.
Your trusted advisor always.
Warm Regards,
Team Nuvama
V02/Aug/2023
INDEX
FOR NWIL TRADING AND CDSL DEMAT ACCOUNT
Sr. No. Name of the Document Brief Significance of the Document Page No.
MANDATORY SECTION IN KYC AS PRESCRIBED BY SEBI, DEPOSITORIES AND EXCHANGE
CKYC Form - Document captures the basic information about the constituent 1-6
1. Additional KYC Form - Document captures the additional information about the 7-14
Account Opening Form - Trading &
Demat Account related details constituent relevant to Trading and Demat account
Declaration for opening Trading and Demat Account along with acceptance of KYC 15
Document Booklet
2. Tariff Sheet – Demat Document detailing the Demat tariff/charges 16
3. Tariff Sheet – Equity Document detailing the rate/amount of brokerage and other charges levied on the client 17
for trading on the stock exchange(s)
4. Tariff Sheet – Commodity Trading Brokerage Sheet for Commodity derivatives 18
5. Financial Status and other details Financial Status and Other Details as per Prevention of Money Laundering Act, 2002 19
(PMLA)
VOLUNTARY SECTION IN KYC
6. Demat Debit and Pledge Instruction Demat Debit and Pledge Instruction for Operating Trading and Demat Account 20-21
a. Authorisation by Client
b. For Running Account maintenance
7. Voluntary Authorizations c. For receiving ECN and any documents / communications in electronic form from Stock
Broker and Depository Participant 22-25
d. For debiting various Depository charges
e. For sharing of Data and Information
8. NERL / CCRL Account NERL / CCRL Account Details 26
9. SMS and E-mail alerts Request for SMS and E-mail alerts from Stock Exchange/s and Stock Brokers 27
10. Trading Authorization Form Authorisation to Trade on behalf of client 28-29
11. Fatca Declaration FATCA Annexure for Individual Accounts 30

12. SEBI MTF Consent SEBI Margin Trading Facility for Clients 31-36
13. MFSS Consent Consent letter for dealing in Mutual Funds ( BSE Star MF / MFSS) 37
14. Mandate Instruction Form Mandate Instruction Form 38
Cont. on next page...
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FOR EQUITY TRADING AND CDSL DEMAT ACCOUNT (PROVIDED THROUGH SEPARATE HANDBOOK)
Sr. No. Name of the Document Brief Significance of the Document Page No.
1. Instructions Checklist Instructions and Checklist for filling the KYC form 1-4
2. Instructions for CKYC / KRA Instructions for filling CKYC / KRA form 5-11
3. Instructions for FATCA Instructions for filling FATCA form 12-13
4. Anti-Money Laundering (AML) Understanding for clients about Anti Money Laundering (AML) 14-15
provisions
5. Rights and Obligations – Stock Broker Document stating the Rights & Obligations of Stock Broker / trading member, Sub-Broker 16-24
and client for trading on exchanges (including additional rights & obligations in case of
internet / wireless technology based trading)
6. Risk Disclosure Documents (RDD) Document detailing risk associated with dealing in the securities market 25-30
7. Guidance Note Document detailing do’s and don’ts for trading on exchange, for the education of the 31-32
investors
Provided Through Seperate Handbook

8. Policies and Procedures Document describing significant policies and procedures of the Stock Broker 33-39
9. Rights & Obligations – Demat Rights & Obligations of Beneficial Owner & Depository Participant as prescribed by SEBI 40-43
& Depositories
10. Terms and Conditions (Voluntary) General Terms & Conditions w.r.t. Trading 44-69
11. Terms and Conditions for SMS and General Terms & Conditions w.r.t. SMS and E-mail alerts from Stock Exchanges and 70-74
E-mail alerts Stock Brokers
12. Terms and Conditions for SMS Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts 75-77
alerts from CDSL from CDSL [SMS Alerts will be sent by CDSL to BOs for all debits]
13. Terms and Conditions for Terms And Conditions for availing Transaction Using Secured Texting (TRUST) 78-80
TRUST service Service offered by CDSL
14. General Information General Information about Depository Participant - Demat 81
MANDATORY SECTION - FOR COMMODITY DERIVATIVES
15. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the commodities market 82-87
16. Rights and Obligations of Members , Document stating the Rights and Obligation of Member, Authorised person and 88-104
Authorised Persons and Clients Client for Trading on the Exchanges (including additional right and Obligation
in case of Internet/ wireless technology based Trading)
17. Guidance Note Document detailing Do’s and Don’ts for trading on Exchanges, 105-107
for the education of the investors
18. Policies and Procedures Document describing significant policies and Procedures of the Commodity Broker 108-114
NON-MANDATORY SECTION
19. Terms and Conditions General Terms and Conditions w.r.t. trading in Commodities 115-138
V02/Aug/2023
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CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
Important Instructions: F) Please read section wise detailed guidelines / instructions
A) Fields marked with ‘*’ are mandatory fields. at the end.
B) Tick (3) wherever applicable. G) List if State / U.T. code as per Indian Motor Vehicle Act. 1988 is
C) Please fill the form in English and in BLOCK Letters. available at the end.
D) Please fill the dates in DD-MM-YYYY format. H) List of two character ISO 3166 country codes is available at the end.
E) For particular section update, please tick (3) in the box available I) KYC number of applicant is mandatory for update application.
before the section number and strike off the sections not required J) The ‘OTP based E-KYC’ check box is to be checked for accounts
to be updated. opened using OTP based E-KYC in non-face to face mode.
For office use only (To be filled by financial institution)

Application Type* New Update/Modification KYC Number (Mandatory for KYC update request)
Account Type* Normal Minor Aadhaar/EKYC OTP based (in non-face to face mode)
EKYC Biometric Online KYC Offline EKYC Digilocker
KRA Identifier: UCC Code allotted to the Client: DP Internal Reference No.
DP Name NSDL/CDSL Beneficiary Name DP ID BO ID
1. PERSONAL DETAILS* (Please refer instruction A at the end)

Prefix First Name Middle Name Last Name
Name* (Same as ID proof)
Maiden Name
Father / Spouse Name*
Mother Name*
Date of Birth* PAN No.* Form 60 furnished
Gender* M- Male F- Female T-Transgender
Marital Status * Single Married Current Nationality * Indian Other
Residential Status* Resident Individual Non Resident Indian Foreign National Person of Indian Origin
Occupation Type* S-Service ( Private Sector Public Sector Government Sector ) O-Others ( Professional
Self Employed Retired Housewife Students ) B-Business X- Not Categorised
2. PROOF OF IDENTITY AND ADDRESS* (Please refer instruction B at the end)

I Certified copy of OVD or equivalent e-document of OVD or OVD obtained through digital
KYC process needs to be submitted (any one of the following OVDs)
A - Passport Number
B - Voter ID Card
C - Driving Licence
D - NREGA Job Card Signature /
E - National Population Register Letter Thumb Impression
F - Proof of Possession of Aadhar XXXXXXXX
1
Z - Others _____________ (any document notified by Central Government)
Identification Number __________________________ Signature of Client
II G - KYC Authentication XXXXXXXX
III Other verification of Aadhar XXXXXXXX
E-sign of the Client
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Address
Line 1*
Line 2
Line 3 City / Town / Village*
District* State* Country*
Pin / Post Code* State / U.T. Code* ISO 3166 Country Code*
Address Type* Residential/Business Residential Business Registered Office Unspecified
3. CURRENT ADDRESS DETAILS (Please refer instruction B at the end)

Same as above mentioned address (in such cases address details as below need not be privided)
I Certified copy of OVD equivalent e-document of OVD or OVD obtained through digital KYC process needs to be submitted (any one of the following OVDs
A - Passport Number B - Voter ID Card
C - Driving Licence
D - NREGA Job Card
E - National Population Register Letter
XXXXXXXX
F - Proof of Possession of Aadhar II G - KYC Authentication XXXXXXXX
Z - Others _____________ (any document notified by Central Government) Identification Number __________________________
III Other verification of Aadhar XXXXXXXX IV Deemed Proof of Address - Document Type code
Address
Line 1*
Line 2
Line 3 City / Town / Village*
District* State* Country*
Pin / Post Code* State / U.T. Code* ISO 3166 Country Code*
Address Type* Residential/Business Residential Business Registered Office Unspecified
4. CONTACT DETAILS (IN CAPITAL) (All communications will be sent on provided Mobile number / Email-ID provided) (Please refer instruction C at the end)
Tel. (Off) Tel. (Res.) Mobile*

Email ID*
5. REMARKS (if any)
6. APPLICANT DECLARATION
• I hereby declare that the details fumished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes
therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held
liable for it.
• I hereby consent to receiving information from Central KYC Registry and / or KRA through SMS/Email on the above registered number / email address.
• I am also aware that for Aadhaar OVD based KYC, my KYC request shall be validated against Aadhaar details. I hereby consent to sharing my masked
Aadhaar card with readable QR code or my Aadhaar XML/Digilocker XML file, along with passcode and as applicable, with KRA and other Intermediaries
with whom I have a business relationship for KYC purposes only.
Date : 2
Place : Signature of Client / Thumb Impression of Applicant

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7. ATTESTATION / FOR OFFICE USE ONLY

Documents Received Certified Copies INSTITUTION DETAILS
E-KYC code received from UIDAI Name NUVAMA WEALTH AND INVESTMENT LIMITED
Code I N 1 2 5 6
Date received from Offline verification
Digital KYC Process
(Institution Stamp)
Equivalent e-document
Originals verified and Self attested / certified Document copies received

KYC Verification & Documents verified with
Details original carried out by Client Interviewed By In person Verification done by
Name of the Employee
Employee Code
Designation of the Employee
Date
Signature
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CENTRAL KYC REGISTRY | Instructions / Check list / Guidelines for filling Individual KYC Application Form
A Clarification / Guidelines on filling ‘Personal Details’ section

1 Name: The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected.
2 One the following is mandatory: Mother’s name, Spouse’s name, Father’s name.
B Clarification / Guidelines on filling ‘Current Address Details’ section
1 In case of deemed PoA such as utility bill, the document need not be uploaded on CKYCR.
2 PoA to be submitted only if the submitted PoI does not have current address or address as per PoI is invalid or not force.
3 State / U.T. Code and Pin / Post Code will not be mandatory for Overseas addresses.
4 In Section 2, one of I, II and III is to be selected, In case of online E-KYC authentication, II is to be selected.
5 In Section 3, one of I, II, III and IV is to be selected. In case of online E-KYC authentication, II is to be selected.
6 List of documents for‘Deemed Proof of Address’.
Document Code Description
01 Utility bill which is not more than two months old or any service provider (electricity, telephone, post-paid mobile phone, piped gas,
water bill).
02 Property or Municipal tax receipt.
03 Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector
Undertakings,if they contain the address.
04 Letter of allotment of accommodation from employer issued by State Government or Central Government Departments, statutory or
regulatory bodies, public sector undertakings, scheduled commercial banks, financial institutions and listed companies and leave
and licence agreements with employers allotting official accommodation.
7 Regulated Entity (RE) shall redact (first 8 digits) or the Aadhaar number from Aadhaar related data and documents such as proof of possession of
Aadhaar, while uploading on CKYCR.
8 “Equivalent e-document”means an electronic equivalent of a document, issued by the issuing authority of such document with its valid digital signature
including documents issued to the digital locker account of the client as per rule 9 of the information Technology (Preservation and Retention of
information by intermediaries Providing Digital Locker Facilities) Rules, 2016.
9 ‘Digital KYC process’has to be carried out as stipulated in the PML Rules, 2005.
10 REs may use the Self Declaration check box where Aadhaar authentication has been carried out successfully for a client wants to provide a current address
different from the address as per the identity information available in the Central Identities Data Repository.
C Clarification / Guidelines on filling ‘Contact details’ section
1 Please mention two digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999).
2 Do not add ‘0' in the beginning of Mobile number.
D Clarification / Guidelines on filling ‘Related Person details’ section
1 Provided KYC number of related person, if available.
E Clarification on Minor
1 Guardian details are optional for minors above 10 years of age for opening of bank account only.
2 However, in case guardian details are available for minor above 10 years of age, the same (CKYCR number of guardian) is to be uploaded.
4 V02/Aug/2023
Instructions/Guidelines for filling Individual KYC Application Form
A. General Instructions:
1. Self-attestation of documents is mandatory.
2. Copies of all documents that are submitted need to be compulsorily self-attested by the applicant and accompanied by originals for verification. In case
the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the
documents, as per below list 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 addresses are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIOCard/OCI Card and overseas address
proof is mandatory.
8. For foreign entities, CIN is optional; and in absence of DIN no. for the directors, their passport copy should be given.
9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.
10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certifi-cate/Mark sheet issued by
Higher Secondary Board/ Passport of Minor/Birth Certificate must be provided.
11. Politically exposed persons (PEP) are defined as individuals who are or have been entrusted with prominent public func-tions in a foreign country e.g.,
Head of State or of Government, senior politician, senior government/judiciary/military officer, senior executive of state owned corporation, important
political party official, etc.
B. Proof of Identity (POI):
1. PAN card with photograph is mandatory for all applicants except those who are specifically exempt from obtaining PAN (listed in Section D).
2. Original Verified Documents (OVD) are acceptable: Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving License / Letter
issued by NPR / NREGA job card
3. If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.
4. Mention identification / reference number if ‘Z – Others (any document notified by the central government)’is ticked.
5. Others – Identity card with applicant’s photograph issued by any of the following: Central/ State Government Depart-ments, Statutory/Regulatory
Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Insti-tutions, Colleges affiliated to Universities, Professional
Bodies such as ICAI, ICWAI, ICSI, Bar Council, etc., to their Members; and Credit cards/Debit cards issued by Banks.
C. Proof of Address (POA):
1. PoA to be submitted only if the submitted PoI does not have an address or address as per PoI is invalid or not in force.
2. Others includes – Utility bill which is not more than 3 months old of any service provider (electricity, landline telephone, piped gas, water bill); Bank
account or Post Office savings bank account statement; Documents issued by Government de-partments of foreign jurisdictions and letter issued by
Foreign Embassy or Mission in India
3. Identity card/document with address issued by any of the following: Central/ State Government 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.
4. Self declaration of High courts/Supreme court judges, giving the new address in respect of their own accounts.
5. For FII/Sub account, Power of attorney given by FII/Sub account to the custodians (which are duly notarized and/or apos-tilled or consularized) that gives
registered address should be taken.
6. Proof of address in name of spouse may be accepted.
7. Registered lease or Sale agreement/ Flat maintenance bill / Insurance copy / Ration card / Latest Property tax
8. Original Verified Documents (OVD) are acceptable: Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving License / Letter
issued by NPR / NREGA job card
5 V02/Aug/2023
D. Exemptions/Clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected)

1. Investments (including SIPs), in Mutual Fund schemes up to INR 50,000/- per investor per year per Mutual Fund.
2. Transactions undertaken on behalf of Central/State Government, by officials appointed by Courts, e.g., Official liquidator, Court receiver, etc.
3. Investors residing in the state of Sikkim.
4. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
5. In case of institutional clients, namely FIIs, MFs, VCFs, FVCIs, Scheduled commercial bank, Multilateral and Bilateral devel-opment financial institutions,
State Industrial development corporations, insurance companies registered with IRDA and public financial institutions as defined under section 4A of the
Company Act 1956, custodians shall verify the PAN card de-tails with the original PANs and provide duly certified copies of such verified PAN details to the
intermediary.
E. List of people authorized to attest the documents:
1. Authorized officials of Asset Management Companies (AMCs).
2. Authorized officials of Registrar & Transfer Agent (RTA) acting on behalf of the AMC.
3. KYC compliant mutual fund distributors affiliated to Association of Mutual Funds (AMFI) and have undergone the process of ‘Know Your Distributor (KYD)’.
4. Notary Public, Gazette Officer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal
should be affixed on the copy).
5. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge,
Indian Embassy/ Consulate General in the country where the client resides are permitted to attest the documents.
F. Online Mode Processing of KYC:
1. EKYC BIOMETRIC
• Applicant may directly upload their documents (OVD) as scanned images on intermediary’s portal.
• The documents should be e-signed.
• Applicant details are verified using UIDAI Biometric details.
• Original Seen Verification (OSV) of documents as well as IPV / VIPV is exempted.
• Intermediary attestation on documents is exempted.
2. EKYC OTP
• Applicant details are verified using UIDAI details using OTP.
3. ONLINE KYC
• Virtual In Person Verification (VIPV) is mandatory as per SEBI guidelines.
• Intermediary attestation on documents (OSV) is exempted.
4. OFFLINE EKYC
• Applicant may directly upload their document (PAN copy) as scanned images on intermediary’s portal.
• Digital KYC performed through Offline Aadhaar e-KYC. OVD sourced from Offline Aadhaar e-KYC.
5. DIGILOCKER
• Digital KYC performed through the documents (OVD) sourced from Digilocker.
6 V02/Aug/2023
Type of Account - Sub Status

Individual Resident Individual-Director Individual Director’s Relative Individual HUF / AOP Individual Promoter Minor
Individual Margin Trading A/C (MANTRA) Others (specify)
Education Qualification : q Under Graduate q Graduate q Post Graduate q Professional
Other Details
Gross annual income range p.a. Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac Rs. 10-25 Lac
OR
Rs. 25 Lac -1 Crore 1 Crore-5 Crore > 5 Crore
Net-worth in Rs
(Net worth should not be older than 1 year) as on D D M M Y Y Y Y
Occupation Private Sector Service Public Sector Government Service Business
Agriculturist Retired Housewife Student
Professional Farmer Others (Please specify)
Please tick if applicable Politically Exposed Person (PEP) Related to a Politically Exposed Person (RPEP)
Not Politically Exposed Person (PEP) Not Related to a Politically Exposed Person (RPEP) None
Client Category (Only for Commodities Farmers/FPOs, Value Chain Participants (VCPs)
Derivative Market) Proprietary traders, Domestic Financial Institutional Investors
Foreign Participants Others
Whether registered under MSMED Act, 2006 Yes No (If Yes, please provide the MSME registration certificate)
Any other other information
• I wish to receive the standard account opening documents i.e :- Rights & Obligations (Stock Broker and Depository Participant) , Uniform Risk Disclosure
Documents and guidance note detailing Do’s and Dont’s in the below mentioned mode :-
Electronic Physical
Additional Details
Whether you wish to receive physical contract note or Electronic Contract Note (ECN)/Statement of A/c please specify : Physical Electronic
Specify your Email Id, if applicable : Number of years of Investment / Trading experience : (strike off, if not applicable)
Whether you wish to avail of the facility of Internet Trading/Wireless Technology (please specify) : Yes No (strike off, if not applicable)
Any other information :
DP Account(s) Details In case, client does not have a DP Account, this column may not be filled in.
Depository Name: NSDL CDSL DP ID Depository Participant Name

Beneficiary Name Beneficiary ID (BO ID)
Past Actions
Details of any action taken / proceedings initiated / pending including but not limited to debarment / blacklisting / de-registering / name strike off from ROC
records / declaring defaulter / monetary penalty / adverse arbitration award by SEBI / Stock exchange / Government Authority / Statutory Authority / MCA or
any other authority against the applicant / constituent or its Partners / promoters / whole time directors / authorized persons in charge of dealing in
securities:
Yes No If yes, provide details:
7 V02/Aug/2023
Dealings Through Authorized Persons And Other Members

If the client is dealing through any other Member / Authorized Person (AP), provide the following details (incase dealing with multiple Members/APs, provide details
of all in a separate sheet containing all the information as mentioned below) :
Member’s / AP’s Name:
Exchange:
Exchange’s Registration number:
Concerned Member’s Name with whom the AP is registered:
Registered office address:
Pin Code:
Phone : Fax :
Email ID:________________________________________________ Website:_______________________________________
Client Code :
Details of disputes/dues pending from/to such Member/AP:______________________________________
Trading Preferences
Please select the segments in which you wish to trade and sign in the relevant boxes. Please strike off the segment not chosen by you.
All Segments
Commodities
CM Segment F & O Segment CD Segment Debt Segment Mutual Fund [CM-NSE & BSE; FO-NSE; CD-NSE;
Segment Segment
[NSE & BSE] [NSE] [NSE] [NSE & BSE] [NSE & BSE] Debt-NSE & BSE; CO-MCX & NCDEX;
[MCX & NCDEX]
MFSS-NSE & BSE]
Signatures
3
“In future, if you wish to trade on any new segment or opt out of an existing segment/s, please submit a duly signed authorisation / letter to us.”
Purpose of Trading
q Hedging q Investment q Others (Specify) ______________________
GST Details
GST Registration No. : ___________________________________ GST Location : _______________________________________
Introducer Details
Name of the Introducer :

(Surname) (Name) (Middle Name)
Status of the Introducer: Authorized Person Existing Client Others, please specify :______________________________
Address of the Introducer :
PAN No. Client Code
Tel. No.
I
Signature of the Introducer : ______________________________
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Client Categorisation
Pls select (3) on the below appropriate category depending upon your proposed nature of your activity against each product type
Client Categorisation
Commercial Non Commercial
Product Type
Bullion Bullion
Base Metals Base Metals
Energy Energy
Agri-Commodities Agri-Commodities
Not Applicable Not Applicable
Note :- With a view to understand the extent of involvement of the physical market participants and to identify the nature of participants in the Commodities
Derivative Market, Members of the Exchange are required to Categorize the identified Clients under one of the following category:
1. COM: Commercial Client includes Value Chain/ Physical market participant/ exporter/ importer/ having direct/ indirect Exposure to the underlying Commodity
2. NON-COM: Non Commercial Client includes Trader/ Arbitrageur
3. N.A.: Not Applicable (Client not dealing in the product)
HIGH Value Transactions :-
I/We may undertake high value transaction of Rs.5 lakhs or more in a day depending on market volatility in any of the Exchange/s, where I/We am/are registered as
client with Nuvama. Purposes of doing transaction are: (Please tick the option whichever is applicable.)
Trading / Speculation Arbitrage Hedging All of above
Dealing / Trading in Commodities

I/We wish to trade in the following commodities with the Exchanges**.
(tick (3) whichever is applicable)
** In future, if you wish to trade on any new commodity(ies) please submit a duly signed consent letter to us.
MCX Tick if NCDEX Tick if
Name of the Commodity Applicable Name of the Commodity Applicable
NCDEX FUTURE INDEX GOLD
BARLEY SILVER
CASTORSEEDNEW ALUMINIUM
CHANA BRASS
COTTONSEED OIL CAKE AKOLA COPPER
COTTON29MM LEAD
CRUDE_PALM_OIL NICKEL
CORIANDER ZINC
GUARGUM_5MT CRUDEOIL
GUAR_SEED10 NATURALGAS
JEERA CARDAMOM
KAPASNEW CASTORSEED
MAIZEKHARIF COTTON
MAIZERABI MENTHAOIL
MOONG PEPPER
PADDY_BASMATI RBDPMOLEIN
RAPE_MUSTARD_SEEDS CPO
SUGARM RUBBER
SOYABEAN
SOY_OIL
TURMERIC
WHEATKOTA
9 V02/Aug/2023
For New Demat Account With Nuvama Wealth and Investment Limited
I request you to open a Demat Account in my name as per following details :
Sole / First Holders Name :
Pan No. : UID No. :
Details of Guardian (In case the account holder is minor)
Guardians Name
Relationship with Applicant
PAN
Bank Account(s) Details

Account Type Saving Current
Bank Name (throuh whish
transactions will be routed
Bank Account No.
Branch Address
Pin
IFSC Code: MICR No.: NEFT Code:
Bank Account(s) Details Optional

Account Type Saving Current
Bank Name (throuh whish
transactions will be routed
Bank Account No.
Branch Address
Pin
IFSC Code: MICR No.: NEFT Code:
Standing Instructions NWIL
I/We instruct the DP to receive each and every credit in my / our account (Automatic Credit)
(If not marked, the default option would be 'Yes') Yes No
Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly
I/We request you to send Electronic Transaction-cum-Holding Statement at the email ID____________________ Yes No
I/ We would like to share the email ID with the RTA Yes No
I / We would like to receive the Annual Report (Tick the applicable box. Physical Electronic
If not marked the default option would be in ‘Physical’) Both Physical & Electronic
I / We would like to instruct the DP to accept all the pledge instructions in my /our account without Yes No
any other further instruction from my/our end ( If not marked, the default option would be ‘No’)
I/We wish to receive dividend / interest directly in to my bank account as given in SARAL AOF through ECS. (If not marked, Yes No
the default option would be 'Yes') [ECS is mandatory for locations notified by SEBI from time to time’.]
For Joint accounts, communication to be sent to
(Note: In case if 'first holder' is selected, the communication will be sent as per the preference mentioned.
First Holder
In case 'All joint account holders' is opted, communication to first holder will be sent as per the preference
mentioned and communication to other holders will be in electronic mode. All Joint Account Holders
The default option will be communication to 'first holder', if no option selected)
10 V02/Aug/2023
Mode of Operations for Joint Accounts

(Note: If Mode of Operation for Joint Account is chosen as anyone of the holder or survivor(s),
Jointly
only specified operations such as transfer of securities including Inter-Depository Transfer,
pledge / hypothecation / margin pledge / margin re-pledge (creation, closure and invocation Anyone of the Holder or Survivor(s)
and confirmation thereof as applicable) of securities
I/We wish to opt for BSDA

Basic Services Demat Account (BSDA) Confirmation I/We do not wish to opt for BSDA till
further instructions from my side.
Clearing Member Details (To be filled by CMs only)

Name of Stock Exchange Name of CC / CH
Clearing Member Id Trading member ID
Whether DP a/c is to be opened with the same intermediary Yes No
SMS Alert & Trust Facility
SMS Alert Faciliy MOBILE NO. +91______________________________ Yes

Refer to Terms & Conditions (Mandatory, if you are giving Power of Attorney (POA)/DDPI (if POA/DDPI is not granted
given as annexure - 2.4 & you do not wish to avail of this facility, cancel this option. No
I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Yes
Facility. I have read and understood the Terms and Conditions prescribed by CDSL
for the same No
Transactions Using Secured I/We wish to register the following clearing member IDs under my/our below
Texting Facility (TRUST). mentioned BO ID registered for TRUST
Refer to Terms and Stock Exchange Name/ID
Conditions as Annexure - 2.6
Clearing Member Name
Clearing Member ID (Optional)
To register for Easi, please visit our website www.cdslindia.com Easi allows a BO to Yes
Easi
view his ISIN balances, transactions and value of the portfolio online No
Option for Issue of Delivery Instruction Booklet (DIS Booklet) Mandatory to select any one option
Kindly confirm the manner of receiving DIS booklet

(To be filled by person seeking to open a Depository account where Demat Debit and Pledge Instructions has been granted to operate the
depository account)
I require you to issue Delivery Instruction Slip (DIS) booklet to I do not require the Delivery Instruction Slip (DIS) for the time being,
me immediately on opening my CDSL account though I have since I have issued a DDPI in favour of Nuvama Wealth and Investment
issued a Demat Debit and Pledge Instruction (DDPI) executed Limited (NWIL) for executing delivery instructions for setting stock
in favour of Nuvama Wealth and Investment Limited with for exchange trades [settlement related transactions] effected through
executing delivery instructions for setting stock exchange NWIL. However, the Delivery Instruction Slip (DIS) booklet should be
trades [settlement related transactions] effected through issued to me immediately on my request at any later date.
NWIL.
Signature of Client 4
11 V02/Aug/2023
NOMINATION FORM
Date D D M M Y Y Y Y
UCC DP ID Client ID
First Holder Name
Second Holder Name
Third Holder Name
I undersigned, wish to opt for the below one option provided by Nuvama Wealth and Investment Limited
I / We hereby confirm that I / We do not wish to appoint any nominee(s) in my / our trading / demat account and understand the
issues involved in non-appointment of nominee(s) and further are aware that in case of death of all the account holder(s), my / our
legal heirs would need to submit all the requisite documents / information for claiming of assets held in my / our trading / demat [ ]
account, which may also include documents issued by Court or other such competent authority, based on the value of assets held in
the trading / demat account.
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 three nominees Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
in the account.
1 Name of the nominee(s) (Mr./Ms.)
Share of Equally % % %
2 each [If not equally,
nominee 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)
Address of Nominee(s)
4 City / Place:
State & Country:
PIN Code
5 Mobile/Telephone No. (Optional)
6 Email ID (Optional)
Nominee Identification details Photograph & Signature Photograph & Signature Photograph & Signature
(Optional) – PAN PAN PAN
[Please tick any one of following and Aadhaar Aadhaar Aadhaar
provide details of same] Saving Bank account no. Saving Bank account no. Saving Bank account no.
Proof of Identity Proof of Identity Proof of Identity
Demat Account ID Demat Account ID Demat Account ID
7
12 V02/Aug/2023
8 Date of Birth {in case of minor nominee(s)}
Name of Guardian (Mr./Ms.)

9
{in case of minor nominee(s) }
Address of Guardian(s)
10 City / Place:
State & Country:
PIN Code
11 Mobile/Telephone no. of Guardian (Optional)
12 Email ID of Guardian (Optional)
13 Relationship of Guardian with nominee
Guardian Identification details Photograph & Signature Photograph & Signature Photograph & Signature
(Optional) – PAN PAN PAN
[Please tick any one of following and Aadhaar Aadhaar Aadhaar
provide details of same] Saving Bank account no. Saving Bank account no. Saving Bank account no.
Proof of Identity Proof of Identity Proof of Identity
Demat Account ID Demat Account ID Demat Account ID
14
15 Signature of the Holder 5 S T
* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of signature
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13 V02/Aug/2023
Client Declaration
1. I hereby declare that the details furnished above are true and correct to the best of my 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 are aware that I/we may be held
liable for it.
2. I confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non mandatory documents.
3. I further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document and Do’s and Dont’s. I do hereby
agree to be bound by such provisions as outlined in these documents. I have also been informed that the standard set of documents has been displayed for
Information on Member’s designated website, if any.
4. I am hereby submitting self-certified Aadhar copy with my due consent for opening the above said account associated to my investment with Nuvama .
Place ______________________
Date
Office Use Only
I/We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. I/We have also made the client aware of Rights
and Obligations document (s), RDD, Do’s and Dont’s and Guidance Note. I/We have given/sent him a copy of all the KYC documents.
I/We undertake that any change in the tariff sheet and all the voluntary/non-mandatory documents would be duly intimated to the clients. I/We also undertake that
any change in the Rights and Obligations and RDD would be made available on my/our website, if any, for the information of the clients.
For Nuvama Wealth and Investment Limited
Authorised Signatory
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14 V02/Aug/2023
Declaration for Opening Trading and Depository Account Alongwith Acceptance of KYC Document Booklet.
By signing this document you confirm that you have read and understood the T&C, Rights and Obligations, Risk Disclosure, Policy and
General Information mentioned in the additional booklet. You also confirm that all information furnished by you in this form is true.
Declaration for Opening Trading (for Equity and / or Commodity) and Depository Account Alongwith Acceptance of KYC Document Booklet.
1. I am desirous of opening the trading(for Equity and / or Commodity) and /or depository account with Nuvama Wealth and Investment Limited and I am in
the process of executing client registration documents relating to the opening of trading and demat account.
2. I have furnished all the details required in the KYC form as per SEBI/Exchange / Depository requirements. I confirm having read/been explained and understood
the contents of the KYC documents which are provided to me in separate booklet. The KYC document booklet includes the following :-
a) Instructions and Checklist for filling the KYC, Ckyc form and FATCA Declaration
b) Information on Anti money Laundering
c) Rights and Obligations of the parties relating to Trading account (Including internetand wireless technology based trading) prescribed by SEBI and Stock
Exchangesand Rights and Obligations between Beneficiary Owner and Depository Participant
d) Uniform Risk Disclosure Document (RDD) prescribed by SEBI and Stock Exchanges, including guidance note and Do’s and Don’ts for clients
e) Policies and Procedures (under paragraph 8 of SEBI Circular No : MIRSD/SECIR-19/2009 dated December 3, 2009)
f) Additional terms and conditions (for Equity and / or Commodity) - (Voluntary Document)
g) Terms And Conditions- for receiving SMS Alerts from CDSL (Annexure 2.4) and Transaction Using Secured Texting (TRUST) (Annexure 2.6)
h) General Information for both Trading and Demat account
3. I understand that the KYC document booklet is in accordance of the exchanges and/or SEBI/DP requirements applicable for opening trading/DP account. I
understand and agree that any amendment/modifications as required by the exchanges/DP and/or regulators will be applicable to me at all point of time and
changes if any in future will be intimated to me.
4. I understand that as additional control have registered the KYC documents related to opening of trading and depository account, respectively are registered
with the Sub-Registrar of Assurances, Mumbai bearing registration number BBI1/4615/2014 and BBI2/4617/2014 respectively dated May 30, 2014 and
sameis available with the registrar for records and reference purpose. This is not mandated by SEBI.
5. I have received the booklet with above mentioned contents. I also confirm having read/been explained and understood the contents of the documents on
policy and procedures of the stock broker and their Terms & Conditions in the booklet.
Client Name :________________________________ 7
Date :_________________________ Signature of Client
15 V02/Aug/2023
NUVAMA WEALTH AND INVESTMENT LIMITED (NWIL) DP ID – 12032300
DEPOSITORY CHARGES - SCHEDULE. ‘A’
Star Scheme Regular Scheme Regular Scheme

Particulars
(DDPI) (DDPI) (Non DDPI)
1. Maintenance Charges Rs.1500/- one time No annual Free for 1st year. From 2nd year Free for 1st year. From 2nd year
maintenance charges. Additional onwards Rs.500/p.a. Additional onwards Rs.500/p.a. Additional
Rs. 500 will be charged annually Rs. 500 will be charged annually Rs. 500 will be charged annually
for Corporate accounts (Refer note for Corporate accounts (Refer note for Corporate accounts (Refer note
below). below). below).
2. Market/Off Market Transfers/Inter Depository
a) Purchase (Credit in) Nil Nil Nil
b) Market Sell Within Nuvama 0.02% of the transaction value or 0.02% of the transaction value or 0.02% of the transaction value or
Rs.20/- per transaction, Rs.20/- per transaction, Rs.25/- per transaction,
whichever is higher whichever is higher whichever is higher
c) Off Market Transaction 0.03% of the transaction value or 0.03% of the transaction value or 0.03% of the transaction value or
d) Sell (Debit from) target other than 2 b) 0.03% of the transaction value or 0.03% of the transaction value or 0.03% of the transaction value or
and c above Rs.40/- per transaction, Rs.40/- per transaction, Rs.40/- per transaction,
3. Pledge / Hypothecation
a) Creation / Acceptance / Closure 0.02% of the transaction value or 0.02% of the transaction value or 0.02% of the transaction value or
b) Invocation 0.02% of the transaction value or 0.02% of the transaction value or 0.02% of the transaction value or
4. Demat Charges Rs. 2.00 Per Certificate + Rs.30/- Rs. 2.00 Per Certificate + Rs.30/- Rs. 2.00 Per Certificate + Rs.30/-
for Postage for Postage for Postage
5. Remat Charges Rs.10/- per 100 securities or part Rs.10/- per 100 securities or part Rs.10/- per 100 securities or part
thereof (Subject to minimum Rs thereof (Subject to minimum Rs thereof (Subject to minimum Rs
10/-per request)+ Rs. 30/- for 10/-per request)+ Rs. 30/- for 10/-per request)+ Rs. 30/- for
Postage Postage Postage
6. Account Closing Nil Nil Nil
8 S T
(Signature of First Holder) (Signature of Second Holder) (Signature of Third Holder)
16 V02/Aug/2023
Know Your Tariff Plan - Equity / Derivatives Trading
Standard Brokerage Plan:

Delivery Futures* and Options Premium Currency Future Currency Options
Plan
Rate Intraday Cash Rate Rate Premium
Silver 0.50% 0.05%** 2.50% or Rs. 300/- 0.03% Rs. 15/- per lot
per lot
* Futures include: Stock Futures, Index Futures as well as Currency Futures, ** On each Leg.
â Brokerage rate of 0.5% for all clients on acceptance of shares that are tendered in any buyback offer
â Minimum brokerage per order of Rs 25 (subject to maximum of 2.5%)or maximum slab as per the regulatory guidelines will be levied.
â In case Physical delivery is taken in derivatives segment above Delivery rate will be applicable.
Terms & Conditions for NWIL DP Charges :
â Nuvama Wealth and Investment Limited reserves its right to revise its Charges/Billing structure at its absolute discretion, by giving one month’s notice to
clients.
â Cheques /Pay orders/ D.D., should be drawn in favor of Nuvama Wealth and Investment Limited All the other charges will be collected over-the-counter and
receipts of the same should be collected immediately.
â Statement of Transaction will be sent to you by courier/post/electronically as per guidelines issued by CDSL / SEBI from time to time.
â Goods & Service Tax will be applicable on the above charges and is subject to change.
â Please note that, in terms of SEBI Circular No. CIR/MRD/DP/20/2010 dated July 1, 2010, in the event of closing of your demat account or shifting of the demat
account from us to another DP we shall refund you the Account Maintenance Charges for the unrealized quarter/balance of quarters.
â Additional Annual Maintenance charge of Rs. 500 will be charged for all types of corporate accounts as per CDSL guidelines. This will be charged on pro-rata
basis. Type of accounts under this category will be – Body Corporate / FI / FII / Mutual Fund / Trust / Bank / QFI. Inclusion or exclusion in these client types will be
subject to change as per guidelines received from CDSL.
â Incidental charges - tele / fax / courier / etc., if any, will be charged at actual for Demat Rejection.
â Periodic Transaction / Holding Statements will be sent on Correspondence address. While any Non-periodic Statements asked for, will be charged Rs. 5/- per
page.
â The Client authorizes Nuvama Wealth and Investment Limited (NWIL), to recover the DP charges on various transactions from time to time from the regular
shares dealing /deposit account / any other account with Nuvama Wealth and Investment Limited
9 S T
(Signature of First Holder) (Signature of Second Holder) (Signature of Third Holder)
17 V02/Aug/2023
Tariff / Brokerage Sheet (Commodity)

NUVAMA WEALTH AND INVESTMENT LIMITED
COMMODITY FUTURES
TRADING 1ST LEG 2ND LEG
TYPE PERCENTAGE MINIMUM PERCENTAGE MINIMUM
INTRADAY % (Ps.) % (Ps.)
SETTLEMENT % (Ps.)
DELIVERY % (Ps.)
COMMODITY OPTIONS
TRADING 1ST LEG 2ND LEG
TYPE PERCENTAGE MINIMUM PERCENTAGE MINIMUM
INTRADAY % (Ps.) % (Ps.)
SETTLEMENT % (Ps.)
DELIVERY % (Ps.)
Terms & Conditions:

a) In addition to the above mentioned brokerage all statutory/regulatory levies and other charges including but not limited to Exchange Transaction
charges, Commodity Transaction Tax, Warehouse charges, VAT, Stamp Duty (as applicable state wise), Service Tax, GST and any other charges which
may be levied by Exchange or any regulatory/ government authorities shall be charged/recovered from you separately over and above the brokerage
rate as per current applicable rate and if there is any revision in the rates, the same will be applicable. Any change in the statutory levies, if any, shall be
reflected in the respective contract note.
b) Delayed payment charges not exceeding 2.5% p.m. on the debit balances if any, in client’s ledger account and not settled by the client within the
stipulated time frame.
c) Auction charges, penalties, fines levied by Exchange/s or any other regulatory authority for client limit violation/ short margin/client code
modification/delivery default or for any other violation/default as the case may be, will be charged on actual basis.
d) In the event of cheque bounce Rs 250/- per instance, will be debited.
I/We have understood and agreed the above terms & conditions related to the charges listed above being charged to me/us, as applicable and agree to abide
by the same.
10
Client Signature : _________________________
Client Name : _________________________
Place : _________________________
Date : _________________________
(The authorization shall be signed by the client only and not by any person authorized on his behalf)
Nuvama does not accept any fees / payments / charges in cash.
Please do not make any payment in cash
Nuvama Wealth and Investment Limited - 801 - 804, Wing A, Building No. 3, Inspire BKC, G Block,
BandraKurla Complex, Bandra East, Mumbai – 400 051.
18 V02/Aug/2023
Financial Status and Other Details under PMLA
The information is sought under the Prevention of Money Laundering Act, 2002, the rules
and SEBI and Exchange Guidelines issued on Anti Money Laundering
Gross Annual Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac
Year 1
Income Details Rs. 10-25 Lac Rs. 25 Lac -1 Crore 1 Crore-5 Crore < 5 Crore
Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac
Year 2
Rs. 10-25 Lac Rs. 25 Lac -1 Crore 1 Crore-5 Crore < 5 Crore
(for previous 3 yrs)
Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac
Year 3
Rs. 10-25 Lac Rs. 25 Lac -1 Crore 1 Crore-5 Crore < 5 Crore
Networth Details Below Rs. 1 Lac Rs. 1-5 Lac Rs. 5-10 Lac
(as on account opening date) Rs. 10-25 Lac Rs. 25 Lac -1 Crore 1 Crore-5 Crore < 5 Crore
Please tick mark the additional applicable category to you

Non resident client
High net-worth client (having annual income + networth of more than INR 5 crore)
Civil Servant or family member or close relative of civil servant
Bureaucrat or family member or close relative of bureaucrat
Current or Former MP or MLA or MLC or their family member or close relative
Politician or their family member or close relative
Current or Former Head of State or of Governments or their family member or close relative
Senior government/judicial/military officers or their family member or close relative
Senior executives of state-owned corporations or their family member or close relative
Companies offering foreign exchange offerings
None of the above
Self Declaration of Income and Networth
I,________________________________ having PAN no._________________________ resident of _______________________

___________________________________________________________ (full address) do hereby solemnly affirm and declare as under :-
a) My annual income is Rs. ________________ (Source of Income ____________________)

b) My DP holding as on date is attached herewith. The total valuation as on___________________ is Rs.________________
c) My Networth as on_________________ is Rs.________________
We hereby further confirm/undertake that the investments/trading done in securities market are from our own/borrowed sources of funds and we confirm that the
funds utilized for trading activity by us is in compliance with the rules, regulations and guidelines stipulated under PMLA.
I certify that the above information given by me is true.
Client Name 11
(Signature of Client)
19 V02/Aug/2023
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DEMAT DEBIT AND PLEDGE INSTRUCTION
Details of Client / Principals
Name of Client/First Holder
Address of Client
Trading Account No.
Depository Participant Name Nuvama Wealth and Investment Limited)
DP ID CDSL 12032300 (Please select whichever applicable)
DP ID NSDL IN303719 / IN302201 (Please select whichever applicable)
Demat Account No.
Dear Sir/Madam,
I/We executing the Demat Debit and Pledge instruction in favour of Nuvama Wealth and Investment Limited, authorising them to operate aforesaid beneficiary
account for the below mentioned specific purpose.
Signature of First / Sole Signature of Second Signature of Third

Sr. No. Purpose
Holder* Holder* Holder*
1 Transfer of securities held in the beneficial
owner accounts of the client towards Stock
Exchange related deliveries / settlement
12 S T
obligations arising out of trades executed by
clients on the Stock Exchange through the
same stock broker.
2 Pledging / re-pledging of securities in favour

of trading member (TM) / clearing
member(CM) for the purpose of meeting
13 S T
margin requirements of the clients in
connection with the trades executed by the
clients on the Stock Exchange.
3 Mutual Fund transactions being executed on

14 S T
stock exchange order entry platforms.
4 Tendering shares in open offers through

15 S T
Stock Exchange platforms
* the same may be signed physically against each purpose of DDPI.
20 V02/Aug/2023
Details of Stock Broker’s Demat Account
Name of DP / CC DP ID Account Type Account No CM BP ID

Nuvama Wealth and Investment Limited In303719 NSE POOL A/C NSDL 10246227 In565785
Nuvama Wealth and Investment Limited IN303719 BSE POOL A/C NSDL 10246235 IN655816
Nuvama Wealth and Investment Limited 12032300 NSE POOL A/C CDSL 00158395 -
Nuvama Wealth and Investment Limited 12032300 BSE POOL A/C CDSL 00158420 -
Nuvama Wealth and Investment Limited 12032300 BSE PRINCIPAL 00158416 -
NSCCL NSE MUTUAL FUND - IN565576
ICCL BSE STAR MF - IN620031
Nuvama Wealth and Investment Limited IN303719 CLIENT SECURITIES MARGIN PLEDGE ACCOUNT 11079884 -
Nuvama Wealth and Investment Limited 12032300 CLIENT SECURITIES MARGIN PLEDGE ACCOUNT 05041035 -
Nuvama Wealth and Investment Limited IN303719 CLIENT SECURITIES - MARGIN FUNDING ACCOUNT 11079905 -
Nuvama Wealth and Investment Limited 12032300 CLIENT SECURITIES - MARGIN FUNDING ACCOUNT 05041069 -
Nuvama Wealth and Investment Limited 12032300 MSE CLEARING MEMBER ACCOUNT 00358456
Nuvama Wealth and Investment Limited 12032300 NSE Pool A/c SLBM 00248658
Nuvama Wealth and Investment Limited 12032300 CLIENT SECURITIES MARGIN PLEDGE ACCOUNT-COMMODITY 05041054 -
Nuvama Wealth and Investment Limited IN300719 CLIENT SECURITIES MARGIN PLEDGE ACCOUNT-COMMODITY 11079892 -
Nuvama Wealth and Investment Limited 11000010 BSE EARLY PAY-IN ACCOUNT 00020685 -
Nuvama Wealth and Investment Limited 11000011 NSE EARLY PAY-IN ACCOUNT 00017404 -
Nuvama Wealth and Investment Limited 11000023 NSE SLBS EARLY PAY-IN ACCOUNT 00001420 -
Nuvama Clearing Services Limited IN300719 NSE DERIVATIVES PHYSICAL DELIVERY ACCOUNT 10511403 IN517886
Nuvama Clearing Services Limited 12032300 NSE POOL ACCOUNT - CDSL 14421661 -
Nuvama Clearing Services Limited 11000011 NSE EARLY PAYIN ACCOUNT CDSL 00022110 -
Nuvama Wealth & Investment Ltd IN303719 NSE TM POOL ACCOUNT FOR FO 11140113 -
Note :- This authorization will continue to remain valid until revoked in writing by you (pursuant to SEBI Circular no.
SEBI / HO / MIRSD / DoP / P / CIR / 2022 / 44 dated April 04, 2022)
Date____________________ Place____________________
Acceptance of DDPI
I,_____________________________________________________________________________________________
___________________________________________(Name, Address, Designation) on behalf of Nuvama Wealth and Investment Limited
accept appointment as an agent under this DDPI and undertake the powers conferred hereunder shall be exercised by me and/or by any other person
authorized by Nuvama Wealth and Investment Limited honestly, in accordance with the conditions and directions set out above.
(Date & Signature of Agent)
21 V02/Aug/2023
Voluntary Authorisation Letter
From :
Date : Client Code:
DP Client Code:
Nuvama Wealth and Investment Limited (NWIL)
801 - 804, Wing A, Building No. 3, Inspire BKC, G Block, By ticking on YES you authorize NWIL to maintain the Trading Account
BandraKurla Complex, Bandra East, Mumbai – 400 051. as Running Account thereby adjusting any obligations and receivables.
Dear Sir,
Subject : Voluntary Authorisation letter
1. Authorisation for Periodic Settlement of Funds and Securities Yes No
a. To maintain my/our account on a running account basis and adjust any amounts receivable from me against any credits standing into my account or from my
forthcoming payouts payable by me/ us to Nuvama Wealth and Investment Limited, where I am / we are registered with you as a Client.
b. I/We request you to keep my/our funds with you to meet my/our pay in obligations in the succeeding settlements in the same segment as well as other
segments of BSE and/or NSE and/or MSEI and/or MCX and /or NCDEX where I/We am/are registered with you as a Client.
c. Further it is observed that many times the date on which payment is due to me/us from you and the date which I am/ we are required to make payment to
you are very close and therefore exchange of cheques become unnecessary paper work. Hence, I/We request you to maintain the running account facility
with you.I/We agree that you shall not be required to pay any interest/ charges/ cost in respect of funds on a running account basis.
d. I/We hereby give my/our consent for periodic settlement of my /our funds.
e. I am /We areaware that in terms of SEBI circular CIR/HO/MIRSD/DOP/CIR/P/2019/75 dated June 20, 2019 any excess securities available in your Client
Collateral / Collateral account will be released to me/us along with funds settlement after making necessary retention as may be permitted by regulators.
However my/our preference for periodic settlement of funds and securities is as follows:-
a. Monthly b. Quarterly c) Daily
f. I/We declare that this authorisation is revocable by me/us at any time without giving any prior notice of such revocation to Nuvama Wealth and Investment
Limited
g. I/We agree that for any pay outs from my trading account, I/We specifically shall intimate about the same and Nuvama Wealth and Investment Limited shall
upon due scrutinyof my account and upon adherence to its policy/procedure, shall release eligible amount to me/us. I/We agree that this authorisation shall
have an equalbinding effect to the successors, executors and assigns of Nuvama Wealth and Investment Limited.
h. I/We hereby authorise you to transfer/adjust all the additional funds lying in my/our ledger account after meeting my obligations/dues, to the
collateralaccount to avail exposure or keep all funds in your margin account with you to meet my margin obligations or keep the same with any exchange
and/or withclearing member in the form of fixed deposit or any other form to avail exposure/meet margin requirements. This arrangement would be
without anyconsideration or the funds so moved will not bear any interest/commission payable to me/is in the event of above arrangement.
2. Authorization for receiving ECN's and any documents/communications in electronic form by E-mail from the Stock Broker (for Equity and
Commodity Derivatives) and Depository Participant Yes No
By ticking on YES you authorize NWIL to send all important
I am registered as a Client and having the captioned trading account and communication like notices, contract notes etc. from NWIL by mail or SMS.
Depository account hereby authorize NWIL for the following: or SMS.
a) I/we authorize NWIL to issue me/us electronic contract notes (ECN’s), bills, trade confirmations, ledgers, daily margin statements, statement of accounts for
periodical settlement of funds and securities, any notices, circulars, amendments and such other correspondence or communication related to my/our
trading account (hereinafter referred to as “Documents”) and wherever required duly authenticated by means of a digital signature as specified in the
information technology Act, 2000 and the rules made there under to the E-mail ID as mentioned hereunder:
b) I/We understand that the documents received on e-mail/displayed on website are for my/our convenience. I/we will take all the necessary steps to ensure
confidentiality and secrecy of the login name & password of the internet/email account. I / we are aware that the documents as may be accessed by other
entities in case the confidentiality/ secrecy of the login name and password is compromised.
c) I/We shall verify the authenticity of the e-mails which I/we shall receive. NWIL shall not be responsible, if I/we do not receive the documents due to incorrect
email ID and/or technical reasons.
To be continued....
22 V02/Aug/2023
continued from previous page.

d) I authorize NWIL to issue me bills, ledgers, monthly/quarterly/yearly demat transaction cum holding statements, any notices, circulars, amendments and
such other correspondence or communication related to my demat account (hereinafter referred to as “Documents”) and wherever required duly
authenticated by means of a digital signature as specified in the information technology Act, 2000 .
e) I understand that wherever the e-mails have not been delivered to me or has been rejected (bouncing of mails) from the e-mail ID of mine, NWIL would
send physical document to me. I further hereby agree that NWIL have fulfilled the legal obligation, if the above documents are sent electronically to the
above-mentioned e-mail ID. I agree that NWIL will not be responsible for non receipt of documents sent via electronic delivery due to change in email
address or for any other reason which inter alia include my email/inbox running out of capacity, malfunction of my computer system/server/internet
connection, mails received by frauds/imposters etc. I also agree that NWIL shall not take cognizance of out-of office/ out-of-station auto replies and I shall
be deemed to have received such electronic mails.
I shall inform NWIL in writing if there is any change in my registered e-mail ID. ______________________________________________
3. Authorisation for debiting various depository charges:- Yes No By ticking on YES you authorize NWIL to deduct all DP charges from your account.
a) I hereby give my consent/authority to debit/recover all types of depository charges viz annual maintenance charges, inter settlement charges, any type of
transaction charges as is levied on me for the transactions carried out in my demat account including any statutory levies, services tax or any other
tax/charges/fees in/from my trading ledger having the captioned client code as maintained with NWIL. I understand and agree that such depository charges
will be debited in my trading ledger maintained with NWIL irrespective of the ledger balance on periodically and/or as per the details provided by NWIL.
b) I instruct NWIL to provide the requisite information periodically and/or on occasion basis of such charges levied on me to NWIL with whom I have opened
the trading account. I understand and consent that NWIL shall have the right to recover the depository charges like any other trade dues payable by me from
my trading ledger. I hereby further authorize NWIL to set off a part or whole of the collateral/ledger balances/securities in my demat account i.e. by way of
appropriation of the relevant amount of cash or by way of sell or transfer or liquidation/close out positions of all or some of the securities placed as collateral
or lying in my demat account as stated above for the purpose of clearing any outstanding amount related to the aforesaid demat account maintained with
NWIL. Any and all losses and financial charges on account of such liquidation/close-out shall be borne by me.
By ticking on YES you express your approval and interest in receiving information on
4. Sharing of Data & Information:- Yes No various other financial products/services that NWIL has to offer.
You also allow NWIL to share your preferences with other allied businesses.
a) I have opened a trading account with NWIL having the captioned client code and demat account with NWIL-DP having the captioned client code and am
interested in knowing about various financial products /facilities offered by your associate/group companies. I am aware that associate/group companies are
required to obtain information about me and my transactions for providing various financial products/facilities.
b) I authorize you, your group companies and associates to keep me informed with any financial product which Nuvama, its group companies and associates
presently issue, deal in, or distribute or may, from time to time, launch, issue, deal in or distribute through e-mail, SMS, telephone, print media or otherwise
as may be allowed .
c) I hereby voluntarily accept and expressly authorize NWIL to get the information from NWIL-DP or from any other Depository Participant of its
group/associate companies with whom I have the Demat account and share/disclose or use in any manner, the information/documents/data about me and
our transactions, with group of associates companies which is offering the products / facilities. Information provided by me in the Trading and Demat
Account Opening Kit. Transaction cum holding statement with NWIL-DP and Any other related information. My holdings in stocks/securities. Ledger
balances in my Trading/Demat Account across all Exchanges/Depositories.
d) I authorize you To the extent appropriate for our relationship with you, personal information may be shared for the following purposes : -
I. to comply with applicable laws, rules and regulations, including anti-terrorism, KYC, anti-money laundering and tax reporting rules and regulations
II. to comply with legal process, to respond to requests from public, regulatory or government authorities (including authorities outside your country of
residency), and to allow us to pursue remedies and limit damage
III. to any of our associate / affiliate / group entities including our service providers performing delegated outsourced function to enable them to perform
internal business processes (which facilitate transactions) such as risk management purposes, data analysis, audits, developing and improving new
products and services, etc
IV. to any of our associate / affiliate / group entities to enable them to provide you with appropriate products and services
e) I have no objection to NWIL sharing the above information or any such other information, about me/us with its group/associate companies or affiliates. This
is without legal obligation on you, your group companies and associates to so inform and you or they may, in their discretion, discontinue sending such
information.
Name : Place :
To be continued....
23 V02/Aug/2023
5. Request for trading in commodity forward contracts/commodity derivatives on MCX and NCDEX - Yes No
I/We, the undersigned, have taken cognizance of circular no. MCX/338/2006 date August 21, 2006, MCX/541/2006 dated December 7, 2006 and
MCX/T&S/014/2012 dated January 12, 2012 issued by Multi Commodity Exchange of India Ltd (MCX) and I/We, the undersigned, have taken cognizance of
circular no. NCDEX/TRADING-114/2006/247 date September 28, 2006, NCDEX/TRADING-070/2007/188 dated August 01, 2007 and NCDEX/TRADING-
003/2012/010 dated January 10, 2012 on the guidelines for calculation of net open positions permitted in any commodity.
I/We hereby undertake to comply with the same. I/We hereby declare and undertake that we will not exceed the position limits prescribed form time to time by
MCX/NCDEX NCDEX or SEBI and such position limits will be calculated in accordance with the contents of above stated circular of NCDEX and MCX as notified 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 MCX/NCDEX through you or through any other member , to enable you to restrict our position limit as prescribed by the above referred circulars as modified
from time to time.
I/We confirm that you have agreed to enter orders in commodity forward contracts/commodity derivatives for me/us as your clients on MCX / NCDEX only on
the basis of our above assurances and undertaking.
6. Acceptance of securities as collateral for any or all segment(s) Yes No
I/ We, _______________________________________________ (PAN - ________________________ ) having my/our Trading

Account with do hereby provide my / our consent/ authorisation to further pledge /deposit my/our securities lying with you or in my/our Beneficial account
(Demat Account No) with the clearing member / clearing corporation for additional exposure availed by me / us during the period of my relationship with you.
I/ We hereby declares and assure that
(i) the said Securities are owned by me/us,
(ii) the Said Securities are in existence and are free from any charge, lien or encumbrance, whether prior or otherwise,
(iii) the Said Securities will be subject to the creation of pledge in favour of or for the benefit of Clearing corporation and further that the Securities over
which pledge may be created in future would be in existence and owned by me/us at the time of creation of such pledge and that the Said
Securities to be given in future as security to clearing corporation would likewise be unencumbered, absolute and disposable property of the clients
(iv) Nuvama Wealth and Investment Limited or its Clearing Member is authorized to do all such acts and things, sign such documents and pay and incur
any such costs, debts and expenses as may be necessary and the same shall be subject to terms and conditions as contained herein
(v) the Securities are subject to the first priority and lien in favour of Clearing corporation to secure, my/our obligations and that my/our rights or
interests with respect to the Said Securities shall be subject and subordinate to the rights, claims and interests of Clearing corporation in respect of
the Said Securities
(vi) Clearing corporation may invoke the pledge without my reference or permission and upon receipt of the Said Securities, Clearing corporation may
utilize the proceeds in meeting my/our obligations in such manner as it may deem fit and that such invocation of pledge will be final and
irrevocable against the Clearing Member and me / us
(vii) I/We shall not make any claims or demands for refund or any reimbursement in relation to the Said Securities.
(viii) I/we hereby confirm that I/we read the terms and conditions to this effect and fully aware of the consequences of the same.
7. Further Representations and Declarations cum Undertaking Yes No

I / We represent, declare and undertake as under:
I. I / We maintain a trading account and also maintain Comtrack account with Nuvama Wealth and Investment Limited(Comtrack Participant) collectively
herein referred to as 'Nuvama'.
II. I/ We intend to execute delivery based buy and/or sell transactions in such of the commodities allowed by MCX / NCDEX / other Commodity Exchanges and
/ or by Nuvama through my/our trading and/or Çomtrack account maintained with Nuvama and for the purpose have read and understood the
Rules/Regulations / Terms and Conditions for delivery based trading stipulated by concerned Regulating Authority and/or Authorities and / or Nuvama
anddeclare and undertake to always comply / abide such rules/regulations/terms and conditions as may be applicable from time to time.
III. I/ We hereby declare that, I/we would undertake such delivery based commodity trading only upon knowing full consequences in respect of the
losseswhich may arise on any count including but not limited to the Fire, Flood, Earthquake, Burglary, and Spontaneous Combustion of Agro Goods kept in
To be continued....
24 V02/Aug/2023
the Commodity Exchange/s accredited or non-accredited warehouses in physical/electronic Form, liquidation of such commodity trades on expiry dates or
otherwise.
IV. I/ We also undertake to bear all the losses arising on account of the seizure which may arise due to the stock holding limits which may be imposed by the
different states from time to time under the Essential Commodities Act,1955 and/or any other applicable regulations;
V. I/ We also undertake to accept the perils attached with Local Sales Tax Laws, and under applicable rules/laws including but not limited to the Agricultural
Produce Marketing Committee (APMC) or any other statutory bodys rules and the amendments thereto which may have the effect to change the entire
value of the underlying commodities traded and/or held by me/us, at relevant times.
VI. With regard to Voluntary document tilted “Terms and Conditions” executed and submitted by me/us with Nuvama for the purpose of opening trading
account and/or comtrack account with Nuvama herein referred to and more particularly clauses relating to “Trade obligations” and“Conditions” of the useof
the services referred to therein, I/We herein further declare, undertake and irrevocably authorize Nuvama that:-
a) In case there were to be any default committed by me/us towards margin and/or other payments during the course of trading and more particularly
commitment or continuation of any default by me/us on the Expiry date (Date) or the Final Expiry Date(FED) (Date) or under any other situationwarranting
such liquidation (Date) in respect of the commodity traded by me/us where such Date may be stipulated by the ConcernedRegulator/Commodity Exchange
or Nuvama or accredited or non-accredited warehouse of the Exchange or its assayer where the commodityiskept by me/us, then in such a situation, I/we
hereby specifically and severally authorize Nuvama to liquidate such commodity either in part or in full forand on my/our behalf and upon my/our cost
upon such terms and conditions and in such manner as NWIL may be deem it fit and proper.
b) For the purpose of enabling Nuvama initiating actions contained herein above at clause I/We hereby further severally authorize Nuvama from timeto time
to take all requisite actions as may be deemed fit and proper including but not limited to appoint / engage C&F Agents and/or third parties for my / our
behalf and at my/our cost, provide requisite instructions/writings to C&F Agents and / or third parties for and on my/our behalf for such liquidation trades
/ transactions, not allowing any further trade until settlement of dues is completed for such trades/transactions by me/us and to transfer such commodity
to its pool account for and on my/our behalf for liquidation purposes so as to effectively carry out my/our instructions/authorizations herein contained and
herein provided in favour of Nuvama
c) I/We hereby further agree undertake and indemnify to fully reimburse and pay to Nuvama against all costs, charges, fees and/orexpenses which Nuvama
may have to incur while carrying-out the actions referred to herein this
d) I/We hereby further declare and agree that this declaration cum undertaking forms part and parcel of KYC documents submitted by me/us to Nuvama and
be always read and interpreted in conjunction therewith. Further, I/We hereby agree that in pursuance of this declaration cum undertaking, I/We hereby
ratify all actions which may have been initiated by Nuvama relating to any of my /our trades and transactions; and
I / We also further declare and undertake that I/We shall always indemnify and/or keep Comtrack Participant (Nuvama Wealth and Investment Limited) and / or
to any of the associate / group companies of Nuvama with which I/We shall have dealings of whatever nature and any / all of its / their respective
Directors/officials/employees and each of them always indemnified against all costs/charges and/or losses as may arise on account of each of them severally
acting in pursuance of this declaration-cum-undertaking-cum-authorization and indemnification and further declare and undertake that under no
circumstances it/they shall be severally held liable and/ or responsible for any cost/charges/loss incurred by me/us on account on any trades/transactions for any
of the above mentioned events herein contained.
Trading Code: _________________________________________
Comtrack Account ID: ____________________________________
Name _____________________________________________
16
Signature___________________________________________
Place:_______________________ Date: ___________________
25 V02/Aug/2023
NERL / CCRL ACCOUNT Details
To be filled and submitted by clients holding NERL / CCRL account
1. Name of Client :
2. Client Address :
3. PAN No.:
4. Bank Details(other than as mentioned in Annexure 1 Part II):
Branch Bank Account Type: MICR

Bank Name IFSC code
Address Account No. Saving/Current/Others Number
5. Name of Trading Member : NUVAMA WEALTH AND INVESTMENT LIMITED
6. Trading Member ID : MCX – 56520 and NCDEX – 1279
7. NERL/CCRL Details of client :
NERL/CCRL NERL/CCRL Account No.

Sr. No. Repository Participant Name
Participant ID of Beneficiary
DECLARATION
I/We hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I/We undertake to inform you of any change
therein, immediately. In case any of the above information isfound to be false or untrue or misleading or misrepresenting. I am/we are aware that I/We may be held
liable for it.
17
Signature of Client :
Place :
Date :
Note:
1. Please provide a certified copy of NERL/CCRL master or a recent NERL/CCRL holding statement issued by a Repository Participant bearing name of Client.
2. In case the client has multiple NERL/CCRL account, Please provide proof and details of the same.
3. In case of PAN provide certified copy of PAN.
4. In case of Bank account provide copy of cancelled cheque as proof for all the bank account details provided.
26 V02/Aug/2023
Request for SMS and E-mail Alerts from Stock Exchange/s & Stock Brokers
(Reference to SEBI circular Ref. No. CIR/MIRSD/15/2011 dated August 02, 2011)
To,
This document and the details that you furnish will allow us and the
Nuvama Wealth and Investment Limited exchanges to send you all relevant information of your account and
801 - 804, Wing A, Building No. 3, Inspire BKC, G Block, transactions by SMS and e-mail.
Dear Sir,
Sub: SMS and E-mail alerts from Stock Exchange/s & Stock Brokers, Depository Participant for my Trading Account No.__________________
and Demat account __________________ with you
I/We request you to activate the facility of SMS and Email alerts from Stock Exchanges/Stock Brokers for transactions in the above mentioned trading account.
YES I/ We wish to receive alerts by SMS/EMAIL
By SMS By EMAIL By SMS & EMAIL*
* If opted for both SMS and Email facility, it is mandatory to give both the Mobile number and Email ID.
If you wish to receive alerts by SMS/E-mail, the following options are available (Tick any one and give the details accordingly)
A) I/We wish to receive alerts from the Stock Exchanges/Stock Brokers. Kindly note that if the mobile no/email ID mentioned here is different from the one
provided in my KYC, then this mobile no/Email ID shall prevail and I/We give my consent to details being send to this mobile number/email ID. Kindly
update your records accordingly.
- My Mobile no. is registered in the name of
- My Email Id is
(Please write only ONE valid email ID on which communication, if any, is to be sent)
B) I/We desire to give mobile number/email id of family member. I/We give my consent to make available my/our trade information to my Family Member
and the mobile number/email Id of my family member is as under. ('Family' would mean self, spouse, dependent children and dependent parents.
Provided such Family Member is also a client of the said broker)
Type of service Mobile No. of Email ID of

Name of Family Relationship (SMS/Email/Both Client
Member with client Family Member Family Member Code
SMS & Email)*
Client Name 198
Signature of Client
27 V02/Aug/2023
Trading Authorization Form – Voluntary
Date:
801 - 804, Wing A, Building No. 3, Inspire BKC, G Block,
Sub: Trading Authorization Form
Ref: Trading Account: _____________________
1. This is reference to my aforementioned Trading Account with Nuvama Wealth and Investment Limited (hereinafter called NWIL) opened by executing various
KYC documents to trade on various exchanges
2. Due to nature of my work and my other pre-occupations, I am unable to personally trade / invest / give orders/ convey investment decisions effected through
the aforementioned trading account.
3. Mr./Ms. ___________________________ (Family Representative – FR) S/o, D/o, W/o. Mr./Ms._____________________________,
Email Id of FR__________________________________ aged about __________ years, residing at _______________________
_____________________________________________________________________________________________,
is my ___________________________ (relationship) who has good knowledge of securities market and has got prior experience with respect to
investment in securities market and I have full faith and confidence in him. As such I hereby appoint and authorize Mr._______________________
as my FR in relation to taking investments decisions, investing / trading in securities through the trading account being opened by me with NWIL.
4. Any instructions given to or received from Mr. / Ms. ___________________________________ (Name of the person to be Authorized) in
connection with the said trading account will be treated as instructions given to or received from me.
5. I, further, hereby undertake to honour all obligations arising out of the orders placed by Mr. / Ms.____________________________________
(Name of the person to be Authorized) by virtue of this authority letter and I indemnify and shall keep Nuvama Wealth and Investment Limited indemnified
from any and all losses arising out of such orders.
PLEASE READ CAREFULLY
NOW THROUGH THIS AUTHORIZATION LETTER I do hereby nominate, appoint and constitute Mr. /Mrs. _____________________________________
as my true and lawful FR to do the following acts, deeds and things on my behalf:
1. To buy, sell or in any manner trade in or deal with (including but not limited to setting off, alteration or closing out of transactions and freezing of the account)
securities (as defined in Section 2h of the Securities Contracts Regulation Act, 1956 which includes equity, currency and commodity derivatives) on the NSE,
BSE, MSEI, MCX , NCDEX and / or any other stock exchange (s)(including facilities/mechanism offered by Exchange/s like Margin Trading, Securities Lending
and Borrowing, etc.) my FR thinks fit through my aforementioned trading account.
2. To the extent permitted by NWIL, place orders with NWIL for the aforesaid purposes and to the extent permitted by NWIL to cancel revoke or alter such orders,
to acknowledge contract notes and any other documents as may be required by NWIL.
3. To receive and give / effect trade confirmations, SMS confirmations, email confirmations, letters / notices payment/receipt instruction and any other
communications including margin shortfall and squaring up of open position due to margin shortfall from and to NWIL (in addition to the documents /
confirmations received and executed / effected by me) and to sign all documents in relation to investing / trading in securities.
4. I assume full and complete responsibility for all the investment decision (s) / transaction (s) effected by the FR and that I am not entitled to hold NWIL,
its officers, directors, employees, agents and affiliates for any loss / liability arising out of the investment decision (s) and / or transaction (s) effected by
the FR on my behalf. I confirm that I will receive all trade details / obligation details etc. pertaining to my trading account, from my FR as and when
trades / transactions were affected in my account and undertake to confirm trades / statement of accounts as and when called upon to do so.
5. I hereby agree that I shall not alter or revoke this Trading Authorization without 30 days prior written notice to my FR as well as to NWIL and that the revocation
or alteration shall not affect acts deeds or things done by my FR in relation to NWIL or in relation to the securities transactions prior to such revocation or
alteration being communicated to NWIL.
199
Signature of Client
28 V02/Aug/2023
AND I hereby agree to ratify and confirm all and whatsoever my FR shall lawfully do purport to do or cause to be done by virtue of this Letter of Authorization.
Important Information
'Family Representative ' would mean self, spouse, dependent children and dependent parents.
I agree and confirm I accept, agree & confirm
Signature of Client 20 Signature of FR
Mobile number of Client Mobile number of FR
Landline number of Client Landline number of FR
E-mail ID of Client E-mail ID of FR
'Family Representative' would mean self, spouse, dependent children and dependent parents.
Name of Branch Manager/Authorised Person ___________________

Signature of Branch Manager/Authorised Person ________________
Passport photograph of
FR to be affixed with
sign across the
photograph
Note : Family Representative PAN Proof required with signature & Branch/AP’s IPV
29 V02/Aug/2023
FATCA-CRS Annexure for Individual Accounts (including Sole Proprietor)

Details under FATCA and CRS (Please refer to instructions in small Booklet)
(Please consult your professional tax advisor for further guidance on your tax residency, if required)
Name of the accountholder: PAN No:
Fathers Name: Spouse’s name
Aadhaar number (Optional) Nationality
City of birth Country of birth
Residence address for tax purposes (include City, State, Country & Pin code)
Address Type:
(a) Residential or Business (b) Residential (c) Business (d) Registered Office
( Note : Permissible documents are: Passport ,Election ID Card, PAN Card , ID Card , Driving License , UIDAI Card , NREGA Job Card and Others)
1. Tax residence declaration – tick any one, as applicable to you:
I am a tax resident of India and not resident of any other country

Or
I am a tax resident of the country/ies mentioned in the table below
Please indicate ALL the countries in which you are a resident for tax purposes and the associated Tax ID Number below:
#
Country Tax Identification Number
%
Identification Type (TIN or Other%, please specify)
#
To also include USA, where the individual is a citizen/ green card holder of USA
% $
In case Tax Identification Number is not available, kindly provide functional equivalent
Certification
I/We have understood the information requirements of this Form (read along with the FATCA/CRS Instructions) and hereby confirm that the information
provided by me/us on this Form is true, correct, and complete. I/We also confirm that I/We have read and understood the FATCA CRS Terms and Conditions below
and hereby accept the same.
Name:
Date:______/______/__________ Place:
30 V02/Aug/2023
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SEBI MARGIN TRADING FACILITY (MTF Facility)

TERMS AND CONDITIONS
The terms and conditions governing MTF Facility provided by Nuvama Wealth and Investment Limited (NWIL) set out below (T&C) and forming part of the account
opening form must be read in conjunction with the rights and obligations prescribed by the Securities and Exchange Board of India (SEBI) under SEBI circular no. CIR/
MRD/ DP/54/ 2017 dated June 13, 2017 and the Rules, Regulations, Bye laws, Rights and Obligation, Guidelines and circulars issued by SEBI and the stock exchanges
from time to time (hereinafter collectively referred to as Regulatory Requirements).
A. For the Client (means and includes an individual, company, partnership firm, trust, Hindu undivided family, association of persons, body of
individuals etc.) The Client agrees to and confirms, undertakes and authorizes that:
I. General:
1. Avail the MTF Facility offered by NWIL in accordance with the T&C.
2. Consent to the T&C through email /SMS from his/its email id / mobile number registered with NWIL or by online mode by logging-in on the website of NWIL
or by calling the relationship manager or the call centre through the registered mobile number or by physical mode.
3. The dues of the Client, wherever mentioned in the T&C, include but are not limited to the outstanding balances, interest, statutory dues, taxes, duties,
charges, penalties etc. in respect of the MTF Facility availed by the Client.
4. The T&C applicable to the grant of the MTF Facility and the obligations of the Client as amended from time to time is irrevocable and shall not be revoked by
the death/dissolution/ winding up of the Client.
5. NWIL in its sole and exclusive discretion may or may not grant the MTF Facility to the Client. NWIL shall not be required to provide any reasons for either
granting or refusal thereof nor shall NWIL be liable for any damages (whether direct or consequential or whether financial or non-financial) to the Client by
reason of it refusing to grant the MTF Facility to the Client.
6. To communicate / indicate that the transaction is under the MTF Facility before placing the order with NWIL. If the transaction is entered under the MTF
Facility, there will not be any further confirmation that it is a margin trading transaction other than the contract note issued on conclusion of the
transaction.
7. Transaction/s to be considered for exposure to the MTF Facility shall be informed to NWIL in writing or in any other irrefutable mode of communication,
including call to the relationship manager or call centre on a recorded land line on T day before close of the trading hours. In the absence of any such express
communication, the transaction shall be considered under the normal trading facility. NWIL in its discretion may identify the eligible/excess securities
available with the Client and mark the same as collateral towards the MTF Facility. All credit arising to the Client’s account out of a sale transaction under the
MTF Facility shall be first adjusted towards the debit under the MTF Facility, if any and subject to adequate margin being maintained for the outstanding
debit under the MTF Facility.
8. Pay an interest equal to the Delayed Payment Interest charged into the Client’s normal account or upto 30% p.a. interest or at the rate agreed from time to
time.
9. NWIL at all times shall have the liberty to exercise its rights in its sole discretion to determine the extent to which the MTF Facility will be available to the
Client.
II. Requirement to Maintain Margin:
10. Ensure required margin is maintained for the MTF Facility at all points of time as per the Regulatory Requirements and as specified by NWIL from time to
time.
11. NWIL shall retain and/or pledge the securities of the Client, which are utilised for availing the MTF Facility, and /or retain its corporate benefits, if any, till the
amounts due in respect of the transactions including the dues to NWIL are paid in full by the Client.
12. NWIL shall hold and / or appropriate the credit lying in the Client’s account and/or any unutilized/ unpledged shares/ securities lying in the Client’s demat
account along with all other demat accounts / Mutual Funds / IPO account of the Client towards the repayment of the outstanding dues thereof under the
MTF Facility.
13. All funds received by NWIL shall be credited firstly to the Client’s Futures and Options margin account, secondly to the MTF Facility and thereafter to other
accounts,if any. The movement of funds, for the purpose of maintenance of margin for various accounts, shall take place on the basis of requirement and
availability of funds.
31 V02/Aug/2023
To be cont. ....
14. NWIL shall treat the securities available in demat account/s linked to the trading account of the Client as margin towards the MTF Facility availed by the
Client.
15. Subject to Regulatory Requirements, NWIL at its sole and absolute discretion may increase / revise the limit of initial margin and maintenance margin,
minimum transaction amount from time to time. The Client shall abide by such revision, and where there is an upward revision of such margin amount, the
Client agrees to make up the revised margin immediately. The Client shall make up the revised margin not later than 5 working days from the day of margin
call, failing which NWIL in its discretion may exercise its right to liquidate the security / collateral and / or close out the position immediately.
16. Make good the deficient margin / margin call by placing further margin immediately, failing which, depending upon the market conditions and / or the
volatility, NWIL in its discretion may exercise its right to liquidate the security / collateral and / or close out the position immediately. The MTF Facility shall
be provided only in respect of shares as permitted by Regulatory Requirements and/or NWIL from time to time.
III. Closing out of position:
17. Notwithstanding anything contained in clauses 15 and 16 above, NWIL may, in its sole discretion, determine the time to sell the securities to be liquidated,
and / or which contract(s) is / are to be closed.
18. All losses and financial charges on account of such liquidation/closing out shall be charged to and borne by the Client.
19. On the happening of any of the following events, NWIL may, immediately and without any notice, liquidate the security / collateral and or close out the
position of the Client:
i. if any instrument for payment of Margin Money / Monies is / are dishonoured;
ii. if the Client provides any incorrect or misleading information or violates or is in breach of any provision of the T&C; if there is a change in the
constitution of the Client whether on account of admission of a new partner or retirement/death/insolvency of any partner or otherwise or if the
Client has voluntarily or compulsorily become the subject of any proceedings under any bankruptcy/ insolvency law or winding up / liquidation
proceedings or a receiver or liquidator has been appointed in respect of the Client’s assets or makes an application or refers itself to any authority for
being declared as a "sick company", relief undertaking, bankrupt or insolvent or seeking financial reconstruction or any other like scheme (by
whatever name called) or is dissolved; the death, lunacy or any other disability of the Client;
iii. if the Client has admitted its inability to pay his/its dues when they become payable or there is reasonable apprehension that the Client is unable to
pay its outstanding dues;
iv. if any order is passed by any regulatory authority, courts, etc. requiring NWIL to liquidate the security / collateral and/or close out the position of the
Client or if the Client is convicted under any law in force;
v. if any asset or any security is seized or made subject to any distress, execution, attachment, injunction or other process order or proceeding or is
detained or taken into custody for any reason;
vi. if Client defaults under any facility or arrangement with any stock broker. vii. there exists any other circumstance, which in the sole opinion of NWIL, is
prejudicial to the interests of NWIL.
IV. Communication:
20. a Based on Client’s preference, the Client accepts all types of communications to Client’s email/message to registered mobile number of the Client/logging
in on NWIL website or by physical mode relating to and including order / trade confirmation, revision in margin/ margin calls, decision to liquidate the
position / security / collateral, margin statements, margin policies on haircuts / VAR margin, risk management policies, rights & obligations, etc.
V. Miscellaneous:
21. The MTF Facility may be withdrawn by NWIL, in the event of the Client committing any breach of any of the T&C or at any time after due intimation to the
Client allowing such time to liquidate the MTF position as agreed herein, without assigning any reason.
22. In the event of termination of this arrangement, the Client shall forthwith settle the dues of NWIL. NWIL shall be entitled to immediately adjust the margin
amount against the dues of the Client, and the Client hereby authorizes NWIL to make such adjustment. If any further amount is due from the Client to
NWIL, after such adjustment, then the Client shall forthwith settle the same. NWIL shall release the balance amount to the Client upon full settlement of all
the dues of the Client to NWIL.
To be cont. .... 32 V02/Aug/2023

23. NWIL may release/ unpledge / transfer the securities utilized for the MTF Facility within 5 working days of the Client clearing the dues to NWIL.
24. A protest /disagreement with any transaction, document, statements, contract notes or any communication under the MTF Facility shall be lodged by the
Client within 24 hours from the date of receipt of the same.
25. Subject to clearing NWIL’s dues, the Client can close/terminate the MTF Facility at any time.
26. Any dispute in connection with the MTF Facility arising between the Client and NWIL shall be referred to the investor grievance redressal mechanism,
arbitration mechanism of the relevant stock exchange.
27. The Client must before deposit and/or purchase of any securities belonging to the promoters/promoter group; intimate the nature of the same to NWIL
before deposit and/or purchase of the securities for availing MTF Facility, failing which the same will be treated as non-promoter holding.
28. The terms and conditions and amendments made by NWIL from time to time, to the T&C, shall be communicated to the clients which shall inter alia include
making it available on NWIL’s website: www.nuvamawealth.com
B. For NWIL
NWIL agrees to and undertakes and confirms that:
I. Maintenance of Margin:
29. The Client can, at anytime, replace the securities provided towards collateral for the MTF Facility, as long as the said securities are approved for margin
trading.
30. The Client’s positions with regard to the MTF Facility will be monitored and reviewed on a continuous basis.
31. To the extent the Client is eligible and subject to the required margin being available, additional exposure over the debit balance may be granted NWIL
shall, in its sole discretion will identify the eligible/excess securities available with the Client and mark the same as collateral towards the MTF Facility. All
credit arising to the Client’s account out of a sale transaction under the MTF Facility shall be first adjusted towards the debit under the MTF Facility, if any and
subject to adequate margin being maintained for the outstanding debit under the MTF Facility.
32. NWIL shall clearly indicate the additional / deficient margin to be made good by the Client when it makes a 'margin call' to the Client.
33. If NWIL liquidates the Client’s securities, the contract note issued for such margin call related transaction shall carry an asterisk or identifier that the
transaction has arisen as a result of a margin call.
34. The daily margin statements sent by NWIL to the Client shall identify the margin/collateral for MTF Facility separately.
II. Closing/Termination of Account:
35. Upon receipt of a request from the Client to close/terminate the account of the Client, NWIL shall forthwith close/terminate the same subject to payment by
the Client of all its dues under the MTF Facility.
36. If for any reason whatsoever NWIL surrenders the MTF Facility or ceases to be a member of the stock exchange or the stock exchange withdraws the MTF
Facility provided to NWIL then the margin trading arrangement between NWIL and the Client shall be terminated.
37. Subject to clearing all dues payable to NWIL, the Client may opt to terminate the MTF Facility, in the event of NWIL committing any breach of any terms or
conditions herein or for any other reason.
38. Upon the Client opting to terminate the MTF Facility and on payment of all the dues payable by the Client to NWIL, NWIL shall return to the Client all the
collaterals provided and funded securities retained forthwith, but not later than 5 working days from the date of such payment.
III. Miscellaneous:
39. The Client shall, after paying all dues, be free to take the delivery of the securities at any time by repaying the amounts paid by NWIL to the exchanges
towards the securities.
40. NWIL shall issue appropriate records to communicate to the Client the change in status of a transaction from normal to MTF Facility, if the Client determines
to convert a normal trade into MTF after the issuance of a contract note, and shall include information like the original contract number and the margin
statement and the changed data.
To be cont. .... 33 V02/Aug/2023

41. If there is no transaction for 90 days in a Margin Trading Account and if there are any outstanding dues from client then the account shall be settled
immediately.
42. The stocks deposited as collateral with NWIL (Collaterals) for availing the MTF Facility and the stocks purchased under the MTF Facility (Funded stocks) shall
be separately identifiable and there shall not be any co-mingling for the purpose of computing funding amount.
43. The funds of one Client shall not be used to provide MTF Facility to another Client even if so authorised by the first Client.
44. Investor Protection Fund (IPF) will not be available for transactions done on the exchanges, through the MTF Facility, in case of any losses suffered in
connection with the MTF Facility availed by a Client.These T& C are supplemental to and do not supersede the terms and conditions contained in the
mandatory documents executed by the Client such as KYC forms, Rights & Obligations etc., as also the Rules, Regulations, Bye-laws, circulars of the
exchanges, directives and guidelines of regulatory authorities.
RIGHTS AND OBLIGATIONS RELATING TO MARGIN TRADING FACILITY PROVIDED BY STOCK BROKER/ TRADING MEMBER TO CLIENTS – BSE
1. Stock Broker/ Trading Member is eligible to provide Margin Trading Facility (MTF) in accordance with SEBI & Exchange Guidelines as specified from time to
time.
2. Stock Broker/ Trading Member desirous of extending MTF to their clients is required to obtain prior permission of BSE. Stock Broker/ Trading Member may
note that BSE has the right to withdraw the permission at anytime.
3. Stock Broker/ Trading Member shall extend the MTF to the client, on such terms and conditions as specified by the Stock Exchange / SEBI from time to time.
Stock Broker/ Trading Member and the client shall abide by the requirements of the margin trading framework, including rights and obligations, as
prescribed by Stock Exchange/ SEBI/ Stock Broker/ Trading Member.
4. Stock Broker/ Trading Member shall intimate all the terms and conditions, including maximum allowable exposure, specific stock exposures etc., as well as
the rights and obligations to the client desirous of availing MTF.
5. Stock Broker/ Trading Member may, at its sole and absolute discretion, increase the limit of initial and/or maintenance margin, from time to time. The Client
shall abide by such revision, and where there is an upward revision of such margin amount, he agrees to make up the shortfall within such time as the Stock
Broker/ Trading Member may permit. It may however, be noted that the initial/ maintenance margins shall never be lower than that prescribed by Stock
Exchange/ SEBI.
6. Stock Broker/ Trading Member shall provide MTF only in respect of such shares, as may be permitted by Stock Exchange/ SEBI.
7. Stock Broker/ Trading Member shall liquidate the securities and other collateral, if the client fails to meet the margin call to comply with the margin
requirement as specified by Stock Exchange/ SEBI/ Stock Broker/ Trading Member. In this regard, Stock Broker/ Trading Member shall also list down
situations/ conditions in the which the securities may be liquidated (Stock Broker/ Trading Member to list down situations/ conditions):
8. Stock Broker/ Trading Member shall not use the funds of one client to provide MTF to another client, even if the same is authorized by the first client.
9. The stocks deposited as collateral with the Stock Broker/ Trading Member for availing margin trading facility (Collaterals) and the stocks purchased under
the margin trading facility (Funded stocks) shall be identifiable separately and no comingling shall be permitted for the purpose of computing funding
amount
10. IPF shall not be available for transactions done on the Stock Exchange, through MTF, in case of any losses suffered in connection with the MTF availed by the
client.
The rights and obligations prescribed hereinabove shall be read in conjunction with the rights and obligations as prescribed under SEBI circular no. CIR/ MIRSD/ 16/
2011 dated August 22, 2011.
RIGHTS & OBLIGATIONS OF STOCK BROKERS & CLIENTS – NSE

FOR
MARGIN TRADING FACILITY (MTF)
CLIENT RIGHTS
1. Client shall receive all communications in a mode mutually agreed between the broker and the client regarding confirmation of orders/trades, margin
calls, decision to liquidate the position / security.
To be cont. .... 34 V02/Aug/2023

2. Client shall be free to take the delivery of the securities at any time by repaying the amounts that was paid by the Stock Broker to the Exchange towards
securities after paying all dues.
3. Client has a right to change the securities collateral offered for Margin Trading Facility at any time so long as the securities so offered are approved for
margin trading facility.
4. Client may close / terminate the Margin Trading Account at any time after paying the dues.
CLIENT OBLIGATIONS
1. Client shall, in writing in his own hand or in any irrefutable electronic method, agree to avail of Margin Trading Facility in accordance with the terms and
conditions of Margin Trading Facility offered by the broker, method of communication for confirmation of orders/trades, margin calls and calls for
liquidation of collateral/security/position.
2. Client shall inform the broker of its intent to shift the identified transaction under Margin Trading Facility within the time lines specified by the broker
failing which the transaction will be treated under the normal trading facility
3. Client shall place the margin amounts as the Stock Broker may specify to the client from time to time.
4. On receipt of ‘margin call’, the client shall make good such deficiency in the amount of margin placed with the Stock Broker within such time as the Stock
Broker may specify.
5. By agreeing to avail Margin Trading Facility with the broker, client is deemed to have authorized the broker to retain and/or pledge the securities provided
as collateral or purchased under the Margin Trading Facility till the amount due in respect of the said transaction including the dues to the broker is paid in
full by the client.
6. Client shall lodge protest or disagreement with any transaction done under the margin trading facility within the timelines as may be agreed between the
client and broker.
STOCK BROKER RIGHTS
1. Stock Broker and client may agree between themselves the terms and condition including commercial terms if any before commencement of MTF.
2. Stock broker may set up its own risk management policy that will be applicable to the transactions done under the Margin Trading Facility. Stock broker
may make amendments there to at any time but give effect to such policy after the amendments are duly communicated to the clients registered under the
Margin Trading Facility.
3. The broker has a right to retain and/or pledge the securities provided as collateral or the securities bought by the client under the Margin Trading Facility.
4. The broker may liquidate the securities if the client fails to meet the margin call made by the broker as mutually agreed of liquidation terms but not
exceeding 5 working days from the day of margin call.
STOCK BROKER OBLIGATIONS
1. Stock broker shall agree with the client the terms and condition before extending Margin Trading Facility to such client. However, for clients who already
have existing trading relationship and want to avail of Margin Trading Facility, stock broker may take consent in writing in his own hand or in any irrefutable
electronic method after stock broker has communicated the terms and conditions of Margin Trading Facility to such existing clients.
2. The terms and conditions of Margin Trading Facility shall be identified separately, in a distinct section if given as a part of account opening agreement.
3. The mode of communication of order confirmation, margin calls or liquidation of position/security shall be as agreed between the broker and the client and
shall be in writing in his own hand or in any irrefutable electronic method. Stock broker shall prescribe and communicate its margin policies on haircuts/
VAR margins subject to minimum requirements specified by SEBI and exchanges from time to time.
4. The Stock Broker shall monitor and review on a continuous basis the client’s positions with regard to MTF. It is desirable that appropriate alert mechanism is
set up through which clients are alerted on possible breach of margin requirements.
5. Any transaction to be considered for exposure to MTF shall be determined as per the policy of the broker provided that such determination shall happen not
later than T + 1 day.
To be cont. .... 35 V02/Aug/2023

6. If the transaction is entered under margin trading account, there will not be any further confirmation that it is margin trading transaction other than
contract note.
7. In case the determination happens after the issuance of contract, the broker shall issue appropriate records to communicate to Client the change in status
of transaction from Normal to Margin trading and should include information like the original contract number and the margin statement and the changed
data.
8. The Stock Broker shall make a ‘margin call’ requiring the client to place such margin; any such call shall clearly indicate the additional/deficient margin to be
made good.
9. Time period for liquidation of position/security shall be in accordance declared policy of the broker as applicable to all MTF clients consistently. However,
the same should not be later than 5 working (trading) days from the day of ‘margin call’. If securities are liquidated, the contract note issued for such margin
call related transactions shall carry an asterisk or identifier that the transaction has arisen out of margin call.
10. The daily margin statements sent by broker to the client shall identify the margin/collateral for Margin Trading separately.
11. Margin Trading Accounts where there was no transactions for 90 days shall be settled immediately.
12. The stocks deposited as collateral with the stock broker for availing margin trading facility (Collaterals) and the stocks purchased under the margin trading
facility (Funded stocks) shall be identifiable separately and there shall not be any comingling for the purpose of computing funding amount;
13. Stock Broker shall close/terminate the account of the client forthwith upon receipt of such request from the client subject to the condition that the client
has paid dues under Margin Trading Facility.
TERMINATION OF RELATIONSHIP
1. The margin trading arrangement between the stock broker and the client shall be terminated; if the Stock Exchange, for any reason, withdraws the margin
trading facility provided to the Stock Broker or the Stock Broker surrenders the facility or the Stock Broker ceases to be a member of the stock exchange.
2. The MTF facility may be withdrawn by the broker, in the event of client committing any breach of any terms or conditions therein or at anytime after due
intimation to client allowing such time to liquidate the MTF position as per the agreed liquidation terms without assigning any reason. Similarly, client may
opt to terminate the margin trading facility in the event of broker committing any breach of any terms or conditions therein or for any other reason.
3. In the event of termination of this arrangement, the client shall forthwith settle the dues of the Stock Broker. The Stock Broker shall be entitled to
immediately adjust the Margin Amount against the dues of the client, and the client hereby authorizes the Stock Broker to make such adjustment.
4. After such adjustment, if any further amount is due from the client to the Stock Broker, the client shall settle the same forthwith. Upon full settlement of all
the dues of the client to the Stock Broker, the Stock Broker shall release the balance amount to the client.
5. If the client opts to terminate the margin trading facility, broker shall forthwith return to the client all the collaterals provided and funded securities
retained on payment of all the dues by clients.
6. I confirm to Pledge the shares, in favour of Nuvama Wealth and Investment Limited (NWIL), which are bought under Margin Trading Facility (MTF). I hereby
authorise NWIL to initiate pledge instructions for these shares and I will ensure to validate such Pledge through OTP on the link received in a SMS or E-Mail
from the Depository (NSDL/CDSL) on my mobile number and e-mail id registered in my Demat account.
In case, execution of pledge request is not confirmed to NWIL by Depository, then I authorize NWIL to square off my position at their discretion.
I hereby agree to the above-mentioned terms & conditions and provide my consent for availing Margin Trading facility with Nuvama Wealth and Investment
Name:
Date:______/______/__________ Place:
36 V02/Aug/2023
Mutual Fund confirmations
To Date: ________________
Nuvama Wealth and Investment Limited (NWIL)
801 - 804, Wing A, Building No. 3, Inspire BKC, G Block,
Dear Sir,
Subject: BSE Star MF / MFSS
I/We ______________________________________________ am/are registered as your client with Client Code No. _____________ and
have entered into relationship with the Trading Member for the purpose of trading in the Capital Market Segment of Bombay Stock Exchange Ltd. (Exchange)
and National Stock Exchange Ltd. (Exchange).
I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of Mutual Funds Schemes permitted to be dealt
with on the BSE STAR MF and MFSS on the Exchange.
I/we am/are provides my consent for mutual fund trading against collateral lying my account. Also, aware that in event of non clearance of debit in my/our
trading accounts; there is risk of stock collateral or MF collateral getting liquidated to extent of my/our ledger debit for recovery of trading debit.
For the purpose of availing this BSE STAR MF & MFSS facility, I/We state that Know Your Client details as submitted by me/us for the stock broking may be
considered for the purpose of BSE STAR MF & MFSS and I/We further confirm that the details contained in same remain unchanged as on date.
I/We am/are willing to abide by the terms and conditions as mention in the circular dated December 2,2009 and such other Notices/Circulars as may be specified
by the Exchange/ICCL from time to time in this regards, for BSE STAR MF and Terms & Conditions mentioned in circular No. NSE/MFSS/003/2001 download Ref.
No. NSE (MIC/13533) dated November 24, 2009.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and Exchange Board of India and Association of
Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the Scheme Information Document and Key Information Memorandum, addenda issued regarding each Mutual
Fund Schemes with respect to which I/We choose to subscribe/redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the
Mutual Fund Schemes.
I/We therefore request you to register me/us as your client for participating in BSE STAR MF and MFSS.
Thanking you,
23
Yours faithfully,
Signature of Client / Authorised Signatories
Client Name (Please sign in blue ink only)
Demat A/c No. Date
1st Holder Place
2nd Holder
3rd Holder
37 V02/Aug/2023
a n k
p t bl
ly ke
a l
n t ion
inte
e i s
a g
sp
Thi
NACH / ECS / AUTO DEBIT UMRN Date D D M M Y Y Y Y
MANDATE INSTRUCTION FORM
Ticket (ü) Sponsor Bank Code Utility Code
CREATE
I/We hereby authorize BSE Limited to debit (tick ü) SB / CA / CC / SB-NRE / SB-NRO / Other
MODIFY
CANCEL Bank a/c number
with Bank IFSC or MICR
an amount of rupees
FREQUENCY Monthly Quarterly Half Yearly Yearly ü As & when presented DEBIT TYPE Fixed Amount ü Maximum Amount
Reference 1 (Mandate Reference No.) Phone no.
Reference 2 (Unique Client Code-UCC) Email ID

I agree for the debit of mandate processing charges by the bank whom I am authorizing to debit my account as per latest schedule of charges of the bank.
PERIOD
From D D M M Y Y Y Y
To D D M M Y Y Y Y
Or ü Untilled Cancelled
1. 2. 3.
- This is to confirm that the declaration has been carefully read, understood & made by me/us. I am authorizing the user entity/ Corporate to debit my account, based on the
instructions as agreed and signed by me.
- I have understood that I amauthorised to cancel/amend this mandate by appropriately communicating the cancellation / amendment request to the User entity / Corporate
or the bank where I have authorized the debit.
------------------------------------------------------------------------------------ (Please Tear Here ) ------------------------------------------------------------------------------------

Acknowledgment Receipt
Application No. Date :
We hereby acknowledge the receipt of the Account Opening Application Form:
Name of the Sole / First Holder
Name of Second Holder
Name of Third Holder
Depository Participant Seal and Signature
38 V02/Aug/2023
-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
NWIL Registered Address: 2nd Floor, Office No. 201 to 203, Zodiac Plaza, Xavier College Road, Off C G Road, Ahmedabad - 380 009
Customer Care : 1800-102-3335
Correspondence Address:
801 - 804, Wing A, Building No. 3, Inspire BKC, G Block, BandraKurla Complex, Bandra East, Mumbai – 400 051.

NWIL-Booklet-A4-Commodity-Individual - (New KRA) - V02Aug2023

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NWIL

Nuvama Wealth and Investment Limited

Type of Account TRADING CODE DEMAT ID

Equity, Commodity and Demat

Section to be updated by BRANCH / FRONTEND team

TRADING Branch Name DEMAT Branch Name

TRADING Branch Code DEMAT Branch Code

TEAM (please tick correct option below)

PWA HNI GWM Others

For DIRECT CLIENT Accounts ARM SRM Dealer CSO

For AP / INDIRECT CLIENT Accounts AP NAME AP CODE

Branch operations Employee Code Employee Name Date of Maker entry

Section to be updated by OPERATIONS / ACCOUNT OPENING

Branch operations Employee Code Employee Name Date of Maker entry

Acop Team MAKER entry

Acop Team CHECKER entry

Post Account Opening Processes Date Name Emp Code

Corporate Identity Number : U65100GJ2008PLC077462

Website : www.nuvamawealth.com and Customer Care : 1800-102-3335

CDSL - email to [email protected] or call on 1800-22-5533

NSE BSE MSE MCX NCDEX

ICONS FOR ILLUSTRATION

Signature of Client Second Holder Third Holder

Guardian Witness Authorised Signatory

Message from Team Nuvama

We are happy that you have chosen us as your investment partner.

Your trusted advisor always.

10. Trading Authorization Form Authorisation to Trade on behalf of client 28-29

11. Fatca Declaration FATCA Annexure for Individual Accounts 30

14. Mandate Instruction Form Mandate Instruction Form 38

Cont. on next page...

3. Instructions for FATCA Instructions for filling FATCA form 12-13

Provided Through Seperate Handbook

14. General Information General Information about Depository Participant - Demat 81

MANDATORY SECTION - FOR COMMODITY DERIVATIVES

For office use only (To be filled by financial institution)

1. PERSONAL DETAILS* (Please refer instruction A at the end)

2. PROOF OF IDENTITY AND ADDRESS* (Please refer instruction B at the end)

3. CURRENT ADDRESS DETAILS (Please refer instruction B at the end)

Tel. (Off) Tel. (Res.) Mobile*

Place : Signature of Client / Thumb Impression of Applicant

7. ATTESTATION / FOR OFFICE USE ONLY

Originals verified and Self attested / certified Document copies received

Name of the Employee

Designation of the Employee

E-sign of the Client

A Clarification / Guidelines on filling ‘Personal Details’ section

Instructions/Guidelines for filling Individual KYC Application Form

D. Exemptions/Clarifications to PAN (*Sufficient documentary evidence in support of such claims to be collected)

Type of Account - Sub Status

Education Qualification : q Under Graduate q Graduate q Post Graduate q Professional

Depository Name: NSDL CDSL DP ID Depository Participant Name

Dealings Through Authorized Persons And Other Members

Name of the Introducer :

PAN No. Client Code

Dealing / Trading in Commodities

Details of Guardian (In case the account holder is minor)

Bank Account(s) Details

Bank Account(s) Details Optional

Standing Instructions NWIL

Mode of Operations for Joint Accounts

I/We wish to opt for BSDA

Clearing Member Details (To be filled by CMs only)

I,____________________ having PAN no._ resident of ___________

a) My annual income is Rs. (Source of Income ____)

I/ We, _______________________ (PAN - ) having my/our Trading

Place:_____ Date: _