Open Your Trading Account in Just Few Simple Steps

Client Name
Client Code
Branch Code
Client ID
NSE
BSE
MSEI
CDSL
REGISTRATION KIT
INDIVIDUAL
INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

Empower Your Money
A.
1.
IMPORTANT POINTS:
Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors
and persons authorized to deal in securities on behalf of company/firm/others.
2. Copies of all the documents submitted by the applicant should be self-attested 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 the below mentioned list.
3. If any proof of identity or address is in a foreign language, then translation into English is required.
4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
5. If correspondence & permanent address are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7.
For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card
and overseas address proof is mandatory.
8. For foreign entities, CIN is optional; and in the 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 Certificate/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 functions in a
foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior
executives of state owned corporations, important political party officials, etc.
B. Proof of Identity (POI) : - List of documents admissible as Proof of Identity:
1.
Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
2. PAN card with photograph.
3. Identity card/ document with applicant's Photo, issued by any of the following: Central/State Government and its Departments,
Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,
Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit
cards/Debit cards issued by Banks.
C. Proof of Address (POA): - List of documents admissible as Proof of Address:
(*Documents having an expiry date should be valid on the date of submission.)
1.
Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance
bill/ Insurance Copy.
2. Utility bills like Telephone Bill (only land line), Electricity bill - Not more than 2 months old.
3. Bank Account Statement/Passbook -- Not more than 2 months old.
4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative
Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative
Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments,
Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,
Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
7.
For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or
consularised) that gives the registered address should be taken.
8. The proof of address in the name of the spouse may be accepted.
D. Proof of Bank : (One of the following)
1.
Copy of Bank Statement/Passbook (with entries not older than 3 months)
2. A cancelled cheque leaf (Client name should be print on cheque)
3. Bank Passbook/Statement copy with latest transaction statement (Client name & details should be print clear on submit proof)
Additional documents in case of trading in derivatives segments - illustrative list :

Copy of ITR Acknowledgement
In case of salary income - Salary Slip, Copy of Form 16
Copy of Demat Account Holding Statement
Any other relevant documents substantiating ownership of assets
1.
2.
3.
Copy of Annual Accounts

Net Worth Certificate
Bank Account Statement for last 6 months
Self declaration with relevant supporting documents.
Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Code or/and IFSC Code of the
bank should be submitted.
Demat master or recent holding statement issued by DP bearing name of the client.
a. Stock broker has an option of doing 'in-person' verification through web camera at the branch office of the stock broker/subbroker's office.
b. In case of non-resident clients, employees at the stock broker's local office, overseas can do in-person' verification. Further,
considering the infeasibility of carrying out 'In-person' verification of the non-resident clients by the stock broker's staff,
attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in
the country where the client resides may be permitted.
ANNEXURE - 1
ACCOUNT OPENING KIT
Empower Your Money
Mandatory
INDEX OF DOCUMENTS
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
S.No.
1.
Name of the Document

Account Opening Form
Brief Significance of the Document
Page No.
A. KYC Form - Document captures the basic information

about the constituent and an instruction / check list.
B. Document captures the additional information about the constituent
relevant to trading account and an instruction / check list.
Document detailing the rate / amount of brokerage and other
charges levied on the client for trading on the stock exchange(s)
2-5
7-8
2.
Tariff Sheet
3.
Rights & Obligations of BO and DP
Rights and Obligations of Beneficial Owner and Depository Participant as

prescribed by SEBI & Depositories
4.
Power of Attorney
Power of Attorney
5.
Annexure - 2.4
Terms & Conditions-cum-Registration / Modification Form

for receiving SMS Alerts from CDSL
10
6.
Policies and Procedures
Document describing significant policies and procedure of the stock broker.
7.
Internet & Wireless Techology based

Trading Facility
Additional Document in case of Internet / Wireless Technology based Trading
11-13
14
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

S.No.
Name of the Document
Brief Significance of the Document
Page No.
15
Letter of Authorization
Document stating that the maintain Running Account Authority

to stock broker
Document for giving authorization to stock broker/trading member
3.
Lien & Set-off
Document of right of exercise set-off/lien and sharing of information
17
4.
Adjustment of Balance in Demat Account
Document for adjustment of balance in demat account
17
5.
Verbal Order Acceptance Authorisation
Verbal Order Acceptance Authorisation
18
6.
Option Form for Issue of DIS Booklet
Option Form for Issue of DIS Booklet
18
7.
Consent for Mobile and E-mail Registration
Declaration and permission to send information/alerts/SMS/call on the

mobile number & declaration for being not involved in any Terrorist activity
and not declared as Defaulter by SEBI/Exchanges/etc.
19
8.
Client Defaulter Declaration
Declaration for being not involved in any Terrorist activity and not declared as
defaulter by SEBI/Exchanges/etc.
19
9.
BSDA Declaration
BSDA Declaration
20
10.
Consent for Authentication
Consent for Authentication
20
11.
Acknowledgement
Acknowledgement
20
1.
Running Account Authorization
2.
Name of stock broker/trading

member/clearing member
16
R.K. STOCKHOLDING (P) LTD.
BSE - INB011231033 - 12-Aug-2005 NSE - INB231231037- 15-Feb-2006 MSEI - INE261231037 - 10-May -2010
SEBI Registration No. and date BSE - INF011167139 - 12-Aug-2005 NSE - INF231231037 - 15-Feb-2006
BSE - INE011167139 - 12-Aug-2005 NSE - INE231231037 - 15-Feb-2006
CDSL: IN-DP-CDSL-326-2006 - 17-Jan-2006
Registered Office Address
R.K. House, Neelkanth Marg, Civil Lines, MORADABAD-244001

Ph.: 0591-2415222, 2417222, Fax : 0591-2412282
Corporate Office Address
A-7, Block B-1, Mohan Co-operative Ind. Estate, Mathura Road, NEW DELHI-110044
Ph.: 011-48564444, Fax : 011-48564444 E-mail : enquity@rkfml.com Web : www.rkfml.com
Name of Compliance Officer

For NSE & MSEI
Mr. Manoj Joshi, Ph: 09810699831, Email Id : manoj.joshi@rkfml.com
Name of Compliance Officer

For BSE
Mr. Alok Kumar Jamuar, Ph: 09015666153, Email Id : alok.jamuar@rkfml.com
Name of CEO
Mr. R. K. Gupta, Ph: 011-48564444, Email Id : rk@rkfml.com
For any grievance/dispute please contact R.K. Stockholding Pvt. Ltd. at the above address or email id- compliance@rkfml.com and Phone
No. +91-11-48564444. In case not satisfied with the response, please contact BSE at is@bseindia.com and Phone No. +91-22-22728097 and
NSE at ignse@nse.co.in and Phone No. +91-22-26598190 and MSEI at investorcomplaints@msei.in and Phone No. +91-22-67318933/90

Corp. Office : A-7, Block B-1, Mohan Co-Op. Ind. Estate, Mathura Road, NEW DELHI-110044
Empower Your Money
(3.5 cm X 3.5cm)
(1)
MANDATORY
MANDATORY
Empower Your Money
OTHER DETAILS
Below 1 Lac
1-5 Lac
Gross Annual Income Details (Please tick ( ) :
Or
(*Net worth should not be older than 1 year)
Net-worth in`.
Occupation
(Please tick ( ) any one and give brief details) :
Please tick, if applicable
5-10 Lac
10-25 Lac
as on (date)
>25 Lac
D D M M Y Y Y Y
Private Sector Service
Public Sector
Government Service
Business
Professional
Agriculturist
Housewife
Student
Forex Dealer
Others (Please specify)_______
Politically Exposed Person
Retired
Related to a Politically Exposed Person
Any Other Information
BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER

Bank Name
Branch Name
Branch Address
Bank A/c No.
A/c Type
Savings
Current
NRI/NRE/NRO
MICR Number
Others
IFSC Code
Internet Banking status
Enabled
Not Enabled
Currency: Rs.
(Mandatory for E-Broking)
Proof of Bank submitted
Bank Statement#
Cancelled Cheque (with client name and A/c no. printed)
P. N.: In case of NRI's, Bank Account should be Repatrible Bank Account for NRE or Non Repatrible Bank Account for NRO.
DEPOSITORY ACCOUNT(S) DETAILS ( if existing )
Depository Participant
Name
Depository Name
NSDL
CDSL
Second Holders Name

Third Holders Name
Proof of DP submitted
DP Statement
Client Master Report (CMR)
1) Clients name & DP A/c No. on the proof of DP submitted should match with that mentioned in the account opening form.
2) DP statement should clearly show DP ID & Client ID.
3) In case of NRI's, proof of Demat Account should be only with NRI status.
TRADING PREFERENCE
Please sign in the relevant boxes where you wish to trade. Please strike off the segment not chosen by you.
Exchanges
Segments
Cash
Currency
F&O
NSE+BSE+
MSEI
(2)
Mutual Fund
Debt
MANDATORY
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ADDITIONAL DETAILS
Facilities For Trading
Whether you wish to avail the facility of
Contract Note
Investment/Trading Experience
Primary purpose of dealing
Stock Portfolio
Internet trading
Wireless technology (Mobile Trading)
Whether you wish
Electronic Contract Note (ECN) Email Id same as mentioned on KRA Page
to receive
Physical Contract Note
Years in Stocks
Years in Derivatives
No Prior Experience
In Equities:
Intraday
Positional
Investment
In Derivatives:
Trading
Hedging
< 5 Lacs
5-20 Lacs
NIL
20-50 Lacs
> 50 Lacs
Any other information

PAST ACTIONS
Details of any action/proceedings initiated/pending/taken by SEBI/Stock exchange/any other authority against the applicant/constituent
or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:
INFORMATION IN RELATION TO THE PREVENTION OF MONEY LAUNDERING ACT, 2002

Funds Detail
Do you intend to invest in the stock market with :
Own Funds
Borrowed Funds
Details of the relatives, having account with RKSHPL

Name
Relationship
UCC
Name
Relationship
UCC
Nature of Business
Entity Type
DEALINGS THROUGH ANY OTHER STOCK BROKERS
If you are dealing with any other stock broker / Sub broker / Authorised Person, provide the following details:
(in case dealing with multiple stock brokers/Sub broker / Authorised Person, provide details of all)
Name of stock broker
Client Code
Name of Sub broker /

Authorised Person
Exchange
Details of disputes/dues pending from/to such stock broker/Sub broker / Authorised Person
DEALINGS THROUGH REGISTERED SUB BROKER / AUTHORISED PERSON
SEBI / Exchange Registration No.
Sub-Brokers / AP Name
Address
Contact Details : Website
Phone No.
Fax No.
INTRODUCER DETAILS (optional)

Name of the Introducer
M I D D L E
F I R S T
L A S T
Address & Phone No.

Status of the Introducer
Sub-broker
Remisier
Signature of the Introducer
(3)
Authorised Person
Existing Client
Others
MANDATORY
Empower Your Money
(Depository Participant CDSL) DP ID 12041800

SEBI Regn. No. IN-DP-CDSL-326-2006, Dated 17.01.2006
ONLY FOR NEW DEMAT ACCOUNT (All Holders should be major i.e. more than 18 years of age)
I/We request you to open a demat account in my/ our name as per following details:Holders Details
PAN
Sole / First Holder's Name
(Optional)
UID
PAN
Second Holder's Name
(Optional)
UID
PAN
Third Holder's Name
(Optional)
UID
Type of account in DP (Please whichever is applicable)
Status
Sub-Status
Individual
Individual Resident
Individual Director
Individual Margin Trading A/c
Individual Promoter
Individual Directors Relative
Other (specify) ____________________________
DP FACILITIES
A/c Statement Requirement
As per SEBI Regulation
Daily
Weekly
Fortnightly
Monthly
I / We instruct the DP to receive each and every credit in my / our account

(If not marked, the default option would be `Yes')
To Register for easi , please visit website www.cdslindia.com
Yes
No
Yes
No
SMS Alert Facility (Refer

Terms and conditions
Annexure- 2.4
Mobile No. same as mentioned on KRA Page

(Mandatory, if you are giving Power Of Attorney (POA)
(If POA is not granted & you do not wish to avail of this facility, cancel this option )
Transactions Using
Secured Texting Facility
(TRUST).
Refer to Terms and
Conditions Annexure
2.6
I wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read
and understood the Terms and Conditions prescribed by CDSL for the same.
Yes
No
Easi
I/We wish to register the following clearing member IDs under my/our below mentioned BO ID
registered for TRUST
Stock Exchange Name
Clearing Member Name
Bombay Stock Exchange (BSE)
R.K. Stockholding Pvt. Ltd.
National Stock Exchange of

India Limited (NSE)
Metropolitan Stock Exchange of

India Ltd (MSEI)
Clearing Member ID (Optional)
To register for easi, please visit our website www.cdslindia.com. Easi allows a BO to view his ISIN
balances, transactions and value of the portfolio online.
I/We request you to send Electronic Transaction cum holding Statement at the Email ID
Yes
No
I/We wish to receive dividend / interest directly in to my bank account given below through ECS?
Yes
No
I/ We would like to instruct DP to accept all the pledge instructions in my/our account without any other further
instruction from my/ our end.
(If not marked, the default option would be No)
I/ We would like to share the email id with the RTA.
Yes
No
Yes
No
I/ We would like to receive the Annual Report :

Physical
Electronic
Both physical and Electronic
You will be receiving Consolidated Account Statement (CAS) in Electronic form, if you wish to receive CAS in Physical form or do not
wish to receive the same, kindly contact your DP
(Tick the applicable box, if not marked the default option would be in physical)
(4)
MANDATORY
MANDATORY
Empower Your Money
NOMINEE FORM
Declaration
I/We the sole holder / Joint holders / Guardian (in case of minor) hereby declare that:
I/We do not wish to nominate any one for this Trading & Demat account.
I/We wish to nominate the following person (who is entitled to receive funds/security balances lying in
my/our account, particulars whereof are given below, in the event of the death of the Sole holder or the
death of all the joint holders)
NOMINEE DETAILS
Name of Nominee
M I D D L E
F I R S T
Relationship with Client (BO)
L A S T
PAN of Nominee
Aadhar Number
Relationship with Nominee
Date of Birth
Address
City/town/village
Pin Code
State
Country
E-mail Id
Phone No.
As the nominee is a minor as on date, to receive the funds / securities in this account on behalf of the nominee in the event of the death of the Sole
holder / all Joint holders, I/We appoint following person to act as Guardian. This nomination shall supersede any prior nomination made by me / us and
also any testamentary document executed by me / us.
Name of Guardian
M I D D L E
F I R S T
L A S T
Address
City/town/village
Pin Code
State
Country
Age
years
Relationship of Guardian with Nominee
E-mail Id
Phone No.
Details of the Witnesses

Name
Address
Signature
W1
Signature
W2
Name
Address
DECLARATION
inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or
misrepresenting, I am/we are aware that I/we may be held liable for it.
tariff sheet.
I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of
documents has been displayed for Information on stock broker's designated website, if any.
Sign to be use
for cropping
and by the bye laws as are in force from time to time. I /We declare that the particulars given by me/us above are true and to the best of my/our
knowledge as on the date of making this application. I/We agree and undertake to intimate the DP any change(s) in the details / particulars
mentioned by me / us in this form. I/We further agree that any false / misleading information given by me / us or suppression of any material
information will render my account liable for termination and suitable action.
Client Signature 2
Client Name
.
st
nd
1 holder
2 holder
(5)
rd
3 holder
MANDATORY
MANDATORY
Empower Your Money
Charge Head
Equity Intraday
Equity Delivery
Futures
Options
Currency Futures
Currency Options
Call & Trade Service
TARIFF SHEET
Brokerage / Charges
Rs. 20/- per executed order or 0.01% of Turnover whichever is lower
Rs. 20/- per executed order
Rs. 20/- per executed order
Rs. 20/- per order places through a Dealer at RKFS
Disclaimer : For Delivery based trades, a minimum of Rs. 0.01 will be charged per contract note Clients who opt to receive physical contract notes
will be charged Rs. 20 per contract note plus courier charges In addition to the brokerage charge the following charges will also be levied
Schedule of Charges:
1. Turnover Charges
2. Securities Transaction Tax
3. Service Tax
4. Stamp Duty: State-wise stamp duty as applicable will be levied
5. Education and Higher Education Cess
6. SEBI Turnover Fees
7. Taxes and other government levies extra as applicable from time to time.
Note: Brokerage will not exceed the rates specified by SEBI and the Exchanges All Statutory and Regulatory charges will be levied at actuals
Brokerage is also charged on expired, exercised, and assigned Options contracts.
TARIFF SHEET - DEMAT

1.
ACCOUNT OPENING CHARGES
: Nil
2.
ACCOUNT MAINTENANCE CHARGES
: *Rs. 240/- for 1st quarter & subsequent three

quarter are free (Paid in Advance)
(FOR INDIVIDUALS)
: *Rs. 1000/- Lifetime (Paid in Advance)
3.
DEMATERIALISATION CHARGES
: Rs. 30/- + Rs. 2/- per Certificate
4.
REMATERIALISATION / REPURCHASE CHARGES
: Rs. 50/- per Request
5.
MKT./OFF MKT./INTERDEPOSITORY - DELIVERY
: RS. 15/- per Instruction
6.
PLEDGE
Creation
Invocation / Closure
: Rs. 25/: Rs. 25/-
MODIFICATION CHARGES
: Rs. 50/- per request
7.
In addition to the above the following out of pocket expenses shall also be charged.
1.
Instruction Book
: Rs. 2/- per leaf.
2.
Failed Instruction Intimation
: Rs. 20/- per intimation.
3.
Additional Statement of Holding/Transaction
: Rs. 2/- per Page + Postage.
4.
Non periodic statement & other communications shall be charged @ Rs. 20/- per mail.
5.
Charges are subject to revision at Depository Participants sole discretion by giving 30 days notice
and shall be informed by circulars sent by ordinary post/press advertisement/website/e-mail.
In case of demat rejection postage shall be charged @ Rs. 30/- for dispatch to the client for removal of objection.
6.
Any other services not specified above shall be charged extra.
7.
Taxes and other government levies extra as applicable from time to time.
8.
You may avail of hasslefree, paperless "Automated pay-in" facility by executing one time "POA" on
9.
stamp paper of Rs. 100/10. A Scheme can be upgraded at any time upon written request, which shall be effective from subsequent bills.
*Service Tax applicable
IN CASE OF JOINT HOLDING, ALL JOINT HOLDERS MUST SIGN.
1st Holder
2nd Holder
(6)
3rd Holder
Empower Your Money
RIGHTS AND OBLIGATIONS OF BENEFICIAL OWNER AND DEPOSITORY PARTICIPANT

AS PRESCRIBED BY SEBI & DEPOSITORIES
General Clause
1.
The Beneficial Owner and the Depository participant (DP)
shall be bound by the provisions of the Depositories Act,
1996, SEBI (Depositories and Participants) Regulations,
1996, Rules and Regulations of Securities and Exchange
Board of India (SEBI), Circulars/Notifications/Guidelines
issued there under, Bye Laws and Business
Rules/Operating Instructions issued by the Depositories
and relevant notifications of Government Authorities as
may be in force from time to time.
2. The DP shall open/activate demat account of a beneficial
owner in the depository system only after receipt of
complete Account opening form, KYC and supporting
documents as specified by SEBI from time to time.
Beneficial Owner information
3. The DP shall maintain all the details of the beneficial
owner(s) as mentioned in the account opening form,
supporting documents submitted by them and/or any
other information pertaining to the beneficial owner
confidentially and shall not disclose the same to any
person except as required by any statutory, legal or
regulatory authority in this regard.
4. The Beneficial Owner shall immediately notify the DP in
writing, if there is any change in details provided in the
account opening form as submitted to the DP at the time of
opening the demat account or furnished to the DP from
time to time.
Fees/Charges/Tariff
5. The Beneficial Owner shall pay such charges to the DP for
the purpose of holding and transfer of securities in
dematerialized form and for availing depository services as
may be agreed to from time to time between the DP and the
Beneficial Owner as set out in the Tariff Sheet provided by
the DP. It may be informed to the Beneficial Owner that "no
charges are payable for opening of demat accounts
6. In case of Basic Services Demat Accounts, the DP shall
adhere to the charge structure as laid down under the
relevant SEBI and/or Depository circulars/directions/
notifications issued from time to time.
7.
The DP shall not increase any charges/tariff agreed upon
unless it has given a notice in writing of not less than thirty
days to the Beneficial Owner regarding the same.
Dematerialization
8. The Beneficial Owner shall have the right to get the
securities, which have been admitted on the Depositories,
dematerialized in the form and manner laid down under the
Bye Laws, Business Rules and Operating Instructions of
the depositories.
Separate Accounts
9. The DP shall open separate accounts in the name of each
of the beneficial owners and securities of each beneficial
owner shall be segregated and shall not be mixed up with
the securities of other beneficial owners and/or DP's own
securities held in dematerialized form.
(7)
10.
The DP shall not facilitate the Beneficial Owner to create

or permit any pledge and /or hypothecation or any other
interest or encumbrance over all or any of such securities
submitted for dematerialization and/or held in demat
account except in the form and manner prescribed in the
Depositories Act, 1996, SEBI (Depositories and
Participants) Regulations, 1996 and Bye-Laws/Operating
Instructions/Business Rules of the Depositories.
Transfer of Securities
11. The DP shall effect transfer to and from the demat
accounts of the Beneficial Owner only on the basis of an
order, instruction, direction or mandate duly authorized by
the Beneficial Owner and the DP shall maintain the
original documents and the audit trail of such
authorizations.
12. The Beneficial Owner reserves the right to give standing
instructions with regard to the crediting of securities in his
demat account and the DP shall act according to such
instructions.
Statement of account
13. The DP shall provide statements of accounts to the
beneficial owner in such form and manner and at such
time as agreed with the Beneficial Owner and as specified
by SEBI/depository in this regard.
14. However, if there is no transaction in the demat account, or
if the balance has become Nil during the year, the DP shall
send one physical statement of holding annually to such
BOs and shall resume sending the transaction statement
as and when there is a transaction in the account.
15. The DP may provide the services of issuing the statement
of demat accounts in an electronic mode if the Beneficial
Owner so desires. The DP will furnish to the Beneficial
Owner the statement of demat accounts under its digital
signature, as governed under the Information Technology
Act, 2000. However if the DP does not have the facility of
providing the statement of demat account in the electronic
mode, then the Participant shall be obliged to forward the
statement of demat accounts in physical form.
16. In case of Basic Services Demat Accounts, the DP shall
send the transaction statements as mandated by SEBI
and/or Depository from time to time.
Manner of Closure of Demat account
17.
The DP shall have the right to close the demat account of
the Beneficial Owner, for any reasons whatsoever,
provided the DP has given a notice in writing of not less
than thirty days to the Beneficial Owner as well as to the
Depository. Similarly, the Beneficial Owner shall have the
right to close his/her demat account held with the DP
provided no charges are payable by him/her to the DP. In
such an event, the Beneficial Owner shall specify
whether the balances in their demat account should be
transferred to another demat account of the Beneficial
Owner held with another DP or to rematerialize the
security balances held.
Empower Your Money
18.
Based on the instructions of the Beneficial Owner, the DP

shall initiate the procedure for transferring such security
balances or rematerialize such security balances within a
period of thirty days as per procedure specified from time
to time by the depository. Provided further, closure of
demat account shall not affect the rights, liabilities and
obligations of either the Beneficial Owner or the DP and
shall continue to bind the parties to their satisfactory
completion.
Default in payment of charges
19. In event of Beneficial Owner committing a default in the
payment of any amount provided in Clause 5 & 6 within a
period of thirty days from the date of demand, without
prejudice to the right of the DP to close the demat
account of the Beneficial Owner, the DP may charge
interest at a rate as specified by the Depository from time
to time for the period of such default.
20. In case the Beneficial Owner has failed to make the
payment of any of the amounts as provided in Clause 5&6
specified above, the DP after giving two days notice to
the Beneficial Owner shall have the right to stop
processing of instructions of the Beneficial Owner till
such time he makes the payment along with interest, if
any.
Liability of the Depository
21. As per Section 16 of Depositories Act, 1996,
1. Without prejudice to the provisions of any other law
for the time being in force, any loss caused to the
beneficial owner due to the negligence of the
depository or the participant, the depository shall
indemnify such beneficial owner.
2. Where the loss due to the negligence of the
participant under Clause (1) above, is indemnified by
the depository, the depository shall have the right to
recover the same from such participant.
Freezing/ Defreezing of accounts
22. The Beneficial Owner may exercise the right to
freeze/defreeze his/her demat account maintained with
the DP in accordance with the procedure and subject to
the restrictions laid down under the Bye Laws and
Business Rules/Operating Instructions.
23. The DP or the Depository shall have the right to
freeze/defreeze the accounts of the Beneficial Owners
on receipt of instructions received from any regulator or
court or any statutory authority.
Redressal of Investor grievance

24. The DP shall redress all grievances of the Beneficial
Owner against the DP within a period of thirty days from
the date of receipt of the complaint.
Authorized representative
25. If the Beneficial Owner is a body corporate or a legal
entity, it shall, along with the account opening form,
furnish to the DP, a list of officials authorized by it, who
shall represent and interact on its behalf with the
Participant. Any change in such list including additions,
deletions or alterations thereto shall be forthwith
communicated to the Participant.
Law and Jurisdiction
26. In addition to the specific rights set out in this document,
the DP and the Beneficial owner shall be entitled to
exercise any other rights which the DP or the Beneficial
Owner may have under the Rules, Bye Laws and
Regulations of the respective Depository in which the
demat account is opened and circulars/notices issued
there under or Rules and Regulations of SEBI.
27. The provisions of this document shall always be subject
to Government notification, any rules, regulations,
guidelines and circulars/ notices issued by SEBI and
Rules, Regulations and Bye-laws of the relevant
Depository, where the Beneficial Owner maintains his/
her account, that may be in force from time to time.
28. The Beneficial Owner and the DP shall abide by the
arbitration and conciliation procedure prescribed under
the Bye-laws of the depository and that such procedure
shall be applicable to any disputes between the DP and
the Beneficial Owner.
29. Words and expressions which are used in this document
but which are not defined herein shall unless the context
otherwise requires, have the same meanings as assigned
thereto in the Rules, Bye-laws and Regulations and
circulars/notices issued there under by the depository
and /or SEBI
30. Any changes in the rights and obligations which are
specified by SEBI/Depositories shall also be brought to
the notice of the clients at once.
31. If the rights and obligations of the parties hereto are
altered by virtue of change in Rules and regulations of
SEBI or Bye-laws, Rules and Regulations of the relevant
Depository, where the Beneficial Owner maintains
his/her account, such changes shall be deemed to have
been incorporated herein in modification of the rights and
obligations of the parties mentioned in this document.
Signature(s)
1st Holder
2nd Holder
IN CASE OF JOINT HOLDING, ALL JOINT HOLDERS MUST SIGN.
(8)
3rd Holder
Empower Your Money
POA ID.........................................
POWER
OFOFATTORNEY
POWER
ATTORNEY
POA
FOR
PAY-IN
OF
SECURITIES
FOR
THE
PURPOSE
OF
SETTLEMENT
IN FAVOUR OF BROKER FOR OPERATIONAL REQUIREMENTS AS PER CLIENT
INSTRUCTION
TO ALL TO WHOM THESE PRESENTS SHALL COME I/WE.................................................................................,

R/o.............................................................................................................................................................India, Indian
inhabitant SEND GREETINGs.
Whereas I/ We am a/ are investor(s) engaged in buying and selling of securities through R. K. stockholding (P) Ltd. (a
member of BSE, bearing SEBI registration no. INB 011231033, member NSE bearing SEBI registration no. INB
231231037 & member MSEI bearing SEBI registration no. INB 261231037) hereinafter referred as RK STOCK.
Whereas I/ We am / are HOLDING a Beneficiary account no. 12041800................................................ through R. K.
stockholding (P) Ltd. and due exigency & paucity of time I/We wish to appoint an agent/attorney to operate the aforesaid
beneficiary account.
NOW KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I THE ABOVENAMED DO HEREBY NOMINATE,
CONSTITUTE/AND APPOINT RKSTOCK as my true and lawful attorney (hereinafter referred to as the attorney) for
me and on my behalf and in my name and at my/our cost and expense to do the following acts, deeds or things:
1. To do instruct the aforesaid depository Participant to debit securities and/or to transfer securities from the aforesaid
beneficiary account for the purpose of meeting margin/ delivery obligations of the recognized stock exchange
towards any segment arising out of the trades executed by me/us through them.
2. To instruct DP to transfer the share to RKSTOCK Margin account number 1204180000015360 and/ or
1204180000019941 and/ or 1204180000000020 for pledge/ unpledged the same with NSE/BSE/MSEI or clearing
member as margin deposit in connection with the trades executed by me/us through RKSTOCK.
3. To instruct the DP to debit securities to the said BO account and/ or transfer securities from the said account to
RKSTOCK NSE CM account no. DP ID IN513262 10489215, 1204180000001915, 1100001100016225 and/ or
BSE CM account no. DP ID IN630529 10434604, 1204180000000356, 1100001000015303 and/ or MSEIL CM
account no. DP ID IN472469, 1204180000096409, 1100002800001893 to the extent share sold by me/ us for payin obligations towards any stock exchange.
4. Unless specifically instructed by me/us within the reasonable time, to apply for various products like shares &
securities, Public Issue (shares as well as debenture), subscription to rights, offers of shares, tendering shares in
open offers, mutual fund, etc.
5. To transfer charges levied in my BO account to my trading ledger account of NSE/BSE/MSEI.
6. To do all such things and give all such instructions as mentioned above concerning the said account as I/we myself/
ourselves could give if I/we was/ were personally present.
That the RKSTOCK would liable to return back all the securities that may have been transferred erroneously.
This authority is restricted to the margin/ delivery obligations arising out of the transactions of trades executed by me/us
through RKSTOCK and I/We ratify the instructions given by aforesaid Clearing Member to the Depository Participant
named hereinabove in the manner specified herein.
That powers and authorities conferred by this Power of Attorney can be revoked at any point of time, without any notice.
Witness whereof I/we have executed this Power of Attorney on this day of, 20.
SIGNED AND DELIVERED BY :
Sole/First Holder
Second Holder
Name of A/c Holder
Sign of A/c Holder
In the presence of (name & address of witness)

Name of witness:
Address of witness:
..
Date: .. Place: .
I/ We Accept
R. K. Stockholding (P) Ltd

A-7 Block-B1, MCIE, Mathura Road, New Delhi-110044
(9)
Third Holder
MANDATORY
ANNEXURE - 2.4
Empower Your Money
Terms & Conditions-Cum-Registration / Modification Form

for receiving SMS Alerts from CDSL
Definitions :
In these Terms and Conditions the terms shall have following meaning
unless indicated otherwise.
Fees, Charges and deposits
1.
"Depository" means Central Depository Services (India) Limited a
company incorporated in India under the Companies Act 1956 and
having its registered office at 17th Floor, P.J. Tower, Dalal Street, Fort,
Mumbai-400001 and all its branch offices and includes its successors
and assigns.
2.
'DP' means Depository Participant of CDSL. The term covers all types
of DPs who are allowed to open demat accounts for investors.
3.
'BO' means an entity that has opened a demat account with the
depository. The term covers all types of demat accounts, which can be
opened with a depository as specified by the depository from time to
time.
4.
SMS means "Short Messaging Service"
5.
'Alerts' means a customized SMS sent to the BO over the said mobile
phone number.
6.
'Service Provider' means a cellular service provider(s) with whom the
depository has entered/will be entering into an arrangement for
providing the SMS alerts to the BO.
7.
'Service' means the service of providing SMS alerts to the BO on best
effort basis as per these terms and conditions.
Availability :
1.
The service will be provided to the BO at his/her request and at the
discretion of the depository. The service will be available to those
account holders who have provided their mobile numbers to the
depository through their DP. The service may be discontinued for a
specific period/indefinite period with or without issuing any prior notice
for the purpose of security reasons or system maintenance or for such
other reasons as may be warranted. The depository may also
discontinue the service at any time without giving prior notice for any
reason whatsoever.
2.
The service is currently available to the BOs who are residing in India.
3.
The alerts will be provided to the BOs only if they remain within the
range of the service provider's service area or within the range forming
part of the roaming network of the service provider.
4.
In case of joint accounts and non-individual accounts the service will
be available, only to one mobile number i.e. to the mobile number as
submitted at the time of registration / modification.
5.
The BO is responsible for promptly intimating to the depository in the
prescribed manner any change in mobile number, or loss of handset,
on which the BO wants to receive the alerts from the depository.
In case of change in mobile number not intimated to the depository, the
SMS alerts will continue to be sent to the last registered mobile phone
number. The BO agrees to indemnify the depository for any loss or
damage suffered by it on account of SMS alerts sent on such mobile
number.
Receiving Alerts :
1.
The depository shall send the alerts to the mobile phone number
provided by the BO while registering for service or to any such number
replaced and informed by the BO from time to time. Upon such
registration / change, the depository shall make every effort to update
the change in mobile number within a reasonable period of time. The
depository shall not be responsible for any event of delay or loss of
message in this regard.
2.
The BO acknowledges that the alerts will be received only if the mobile
phone is in 'ON' and in a mode to receive the SMS. If the mobile phone
is in 'Off' mode i.e. unable to receive the alerts then the BO may not get
/ get after delay any alerts sent during such period.
3.
The BO also acknowledges that the readability, accuracy and
timeliness of providing the services depend on many factors including
the infrastructure, connectivity of the service provider. The depository
shall not be responsible for any non-delivery, delayed delivery or
distortion of the alert in any way whatsoever.
4.
The BO further acknowledge that the service provided to him is an

additional facility provided for his convenience and is susceptible to
error, omission and/or in accuracy. In case of BO observes any error in
the information provided in the alert, t h e B O s h a l l i n f o r m t h e
depository and/or the DP immediately in writing and the depository
will make best possible efforts to rectify the errors as early as possible.
The BO shall not hold the depository liable for any loss, damages, etc.
that may be incurred/suffered by the BO an account to avail SMS
alerts facility.
5.
The BO authorized the depository to send any message such as
promotional, greeting or any other message that the depository may
consider appropriate, to the BO. The BO agrees to an ongoing
confirmation for use of name, email address and mobile number for
marketing offers between CDSL and any other entity.
6.
The BO agrees to inform the depository and DP in writing of any
unauthorized debit to his BO account/unauthorized transfer of
securities from his BO account, immediately, which may come to his
knowledge on receiving SMS alerts. The BO may send an email to
CDSL at complaints@cdslindia.com The BO is advised not to inform
the service provider about any such unauthorized debit to/transfer of
securities from his BO account by sending a SMS back to the service
provider as there is no reverse communication between the service
provider and the depository.
7.
The information sent as an alert on the mobile phone number shall be
deemed to have been received by the BO and the depository shall not
be under any obligation to confirm the authenticity of the person(s)
receiving the alert.
8.
The depository will make best efforts to provide the service. The BO
cannot hold the depository liable for non-availability of the service in
any manner whatsoever.
9.
If the BO finds that the information such as mobile number etc., has
been changed without proper authorization, the BO should
immediately inform the DP in writing.
Fees :
Depository reserves the right to change such fees from time to time as it
deems fit for providing this service to the BO.
Disclaimer :
The depository shall made reasonable efforts to ensure that the BO's
personal information is kept confidential. The depository does not warranty
the confidentiality or security of the SMS alerts transmitted through a
service provider. Further, the depository makes no warranty or
representation of any kind in relation to the system and the network or their
function or their performance or for any loss or damage whenever and
howsoever suffered or incurred by the BO or by any person resulting from or
in connection with availing of SMS alerts facility. The Depository will not be
liable for any unauthorized use or access to the information and/or SMS
alert sent on the mobile phone number of the BO or for fraudulent, duplicate
or erroneous use/ misuse of such information by an third person.
Liability and Indemnity :
The Depository shall not be liable for any breach of confidentiality by the
service provider or by any third person due to unauthorized access to the
information meant for the BO. In consideration of the depository providing
the service, the BO agrees to indemnify and keep safe, harmless and
indemnified the depository and its officials from any damages, claims,
demands, proceedings, loss, cost, changes and expenses whatsoever
which a depository may at any time incur, sustain, suffer or be put to as a
consequence of or arising out or interference with or misuse, improper or
fraudulent use of the service by the BO.
Amendments :
The depository may amend the terms and conditions at any time with or
without giving any prior notice to the BOs. Any such amendments shall be
binding on the BOs who are already registered as user of this service.
Governing Law and Jurisdiction :
Providing the Service as outlined above shall be governed by the laws of
India and will be subject to the exclusive jurisdiction of the courts in Mumbai.
I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the terms and
conditions mentioned below. I/We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our
account as is necessary for the purpose of generating SMS Alerts by service provider, to be sent to the said mobile number.
I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the
depository from time to time. I/we further undertake to pay fee/charges as may be levied by the depository from time to time.
I/We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be
required to take up the matter with their DP.
I/We am/are aware that more acceptance of the registration form does not imply in any way that the request has been accepted by the depository for
providing the service.
6
Sole/First Holder
Second Holder
Third Holder
Date :___________________
Place :__________________
(10)
Mandatory document dealing with Policies and Procedures pursuant to

SEBIs Circular No. MIRSD/SE/Cir-19/2009 dated December 3, 2009
Empower Your Money
1.
2.
Refusal of order for Penny stocks :

R.K. STOCKHOLDING (P) LTD. shall have the
absolute discretion to accept, refuse or partially accept
any buy or sell order for execution from a client in
respect of penny stocks, illiquid stocks, stocks having
3.
low liquidity, illiquid options, far month options,
writing of options, stocks in S, Z and B2 category and
any other contracts which as per the perception of R.K.
STOCKHOLDING (P) LTD. are extremely volatile or
subject to Market manipulation.
R.K. STOCKHOLDING (P) LTD. may permit restrictive
acceptance of orders in such scrips/contracts in
controlled environments like orders received from
clients being forwarded by branches to a centralized
desk at HO instead of allowing trading in such
scrips/Contracts at branch level or through Online
trading platform. R.K. STOCKHOLDING (P) LTD. shall
not be responsible for delay in execution of such orders
and consequential opportunity loss or financial loss to
the client.
R.K. STOCKHOLDING (P) LTD. may cancel orders in
such scrips received from clients before execution or
after partial execution without assigning any reasons
thereof. R.K. STOCKHOLDING (P) LTD. may take
appropriate declarations from the clients before
accepting such orders.
prerogative to place such restrictions, notwithstanding
the fact that the client has adequate credit balance or
margin available in his account and/or the client had
previously purchased or sold such securities / contracts
through R.K. STOCKHOLDING (P) LTD. itself.
Setting up clients Exposure limits :
Purchase Limit : R.K. STOCKHOLDING (P) LTD. may
provide a exposure limit for intraday and delivery based
purchases by a client which would be a multiple (varying
between one to four times) of the clear ledger balance in
the account of the client plus value of paid up collaterals
computed after appropriate haircut. The value of the
multiple and the haircut shall be decided by R.K.
STOCKHOLDING (P) LTD. based on Market Volatility
4.
and quality of collaterals.
Sell Limit : R.K. STOCKHOLDING (P) LTD. may
provide a sell limit to the client equivalent to the value of
securities held by the client in his POA enabled Demat
account plus the collateral held by R.K.
STOCKHOLDING (P) LTD. on behalf of the client in its
Beneficiary and Margin Pool account after making
appropriate adjustments for the unsettled delivery
positions of the client.
Exposure for F&O : R.K. STOCKHOLDING (P) LTD.
may provide exposure for F&O based on availability of
initial margin (SPAN + Exposure) in the form of cash and
approved securities (with appropriate hair cut).
(11)
MANDATORY
Client-wise differential Limits : R.K. STOCKHOLDING

(P) LTD. shall have the prerogative to allow differential
purchase limits and sell limits varying from client to
client, depending upon credit worthiness, integrity and
past conduct of each client.
Applicable Brokerage Rates
Brokerage shall be applied as per the rates agreed upon
with the client in the KYC at the time of registration of the
client and/or subsequently through a written agreement
between the client and R.K. STOCKHOLDING (P) LTD.
The rate of Brokerage shall not exceed the maximum
brokerage permissible under Exchange bye-laws.
The slab rates of brokerage fixed by R.K.
STOCKHOLDING (P) LTD. are function of the quality
and cost of services provided to the client and the
volume and revenue expected from an account. It shall
be reviewed by the R.K. STOCKHOLDING (P) LTD.
from time to time and may be increased with prospective
effect at a notice of 15 days sent to the E-mail address or
postal address of the client registered with R.K.
STOCKHOLDING (P) LTD.
The brokerage shall however be exclusive of the
following :
DP Annual maintenance charges
DP transaction charges / Pledge / Re-pledge /
Demat / Remat charges
DP Inter settlement charges
Account Opening charges
Delayed Payment charges
Penalties levied by Exchange
Research advisory charges
Courier charges
Bank charges towards the cheques received
unpaid,
DP, Bank and other processing charges towards
periodic settlement of Funds/ Securities on periodic
basis
Statutory charges payable to Exchange/
SEBI/Govt. Authorities etc.,
SEBI/Exchange/Clearing Member Turnover
charges
Other out of pocket and service related charges
Imposition of Penalty / delayed payment charges by
either party, specifying the rate and the period.
Delayed payment charges / Charges on Exposure
against collaterals :
As a matter of policy Share India does not provide
funding facility(ies) to any of it's client.
Pursuant to Exchange Bye-laws, the Member broker is
currently required to make pay-in of funds to the
Exchange by T+2 morning and arrange delivery of
securities to the Exchange latest by T+2 morning.
Further Member broker is also required to maintain
adequate upfront margins with the Exchange to avail
7
Empower Your Money
5.
a.
exposure for trading. The Exchanges have also defined

the ratios in which the cash and collaterals are to be
deposited and maintained by the Member broker. In
addition, the Exchange requires the member broker to
deposit some of the margins like MTM, in Cash only.
In order to manage its working capital, R.K.
STOCKHOLDING (P) LTD. requires fullest cooperation
of the clients in meeting their respective obligation
towards payin and margins.
R.K. STOCKHOLDING (P) LTD. shall therefore charge
a delayed payment penalty, not exceeding 2% per b.
month, on account of delays/failure by the client in
meeting the pay-in obligations on the scheduled date
and also where the clients take exposure in F&O
segment by depositing collaterals in a ratio which is
disproportionate to the Cash versus collaterals ratios
prescribed by the Exchanges. While levying delayed
payment charges or interest on the debit balance in the
running account of a client, R.K. STOCKHOLDING (P)
LTD. may not consider any credit balance in the other
family or group account of the client.
Penalties levied by Exchanges :
Further Exchanges levy various penalties on the
member brokers on auction resulting from short
deliveries, non adherence to client-wise exposure limits,
client-wise shortfall in F&O Margin and for other reasons
which may be defined by the Exchange from time to
time. R.K. STOCKHOLDING (P) LTD. shall therefore
c.
passed on any such penalty levied on it to the respective
client's account.
Interest Free Deposits :
R.K. STOCKHOLDING (P) LTD. provides exposure
against the upfront margin received in the form of cash / d.
collateral from the client. The client may at anytime
demand withdrawal of cash and collaterals at his
discretion. Therefore R.K. STOCKHOLDING (P) LTD.
shall not pay any interest or other benefit to the client for
maintaining cash balances or depositing collateral
margins with R.K. STOCKHOLDING (P) LTD.
The right to sell clients securities or close clients
positions, without giving notice to the client, on
account of non-payment of clients dues
R.K. STOCKHOLDING (P) LTD. shall have right to sell
clients securities, both unpaid securities as well as
collaterals deposited towards margins, or close out
clients open positions, without giving notice to the client
where there is a delay/ failure of the client to meet the
pay-in obligations and / or there is a failure of the client to
bring additional margins to cover the increase in risk in
the dynamic market conditions.
Unpaid Securities in Capital Market :
i. In case of unpaid obligation on T+3, R.K.
STOCKHOLDING (P) LTD. may sell the
unpaid/ partially paid securities. In addition R.K.
STOCKHOLDING (P) LTD. may sell the collaterals
deposited by the client towards margins and/ or

paid securities purchased by the client in earlier
settlements where the sale of proceeds of unpaid
securities are inadequate to cover the pay-in
obligations and/ where the unpaid securities appear
to be comparatively illiquid and cannot be sold at
reasonable rates to the extent required.
ii. R.K. STOCKHOLDING (P) LTD. may follow the
LIFO method for liquidation of securities but it shall
not be binding on it to follow this method in all cases.
The margin shortfall in F&O:
i. Positions of the client may be closed out to the
extent of margin shortfall on the T+1 basis.
ii. While computing margin shortfall, value of
unapproved securities shall not be considered.
iii. As per the current Exchange requirements, the
Member Broker is required to maintain a 50:50 ratio
between cash and collaterals margin deposited
with the Exchange. R.K. STOCKHOLDING (P)
LTD. shall therefore have the prerogative to insist
for at least 50% of margin in cash and may not
consider the value of securities over and above the
cash component for the purpose of calculating
margins shortfall and close out the F&O position
wherever it finds the deviation. However, sales
made in capital market segment shall not be
considered while closing F&O positions on T+1
basis due to margin shortfall.
Intra-day Positions :
R.K. STOCKHOLDING (P) LTD. shall have right to
close out any intra-day positions taken by the client after
a defined Cut-off time (Presently 20 minutes before
close of market).
General :
i. While selling the securities/ closing the clients
positions, R.K. STOCKHOLDING (P) LTD. may
take into account the sales made by the client,
positions closed by the client or collections received
from the client till a cut-off time (presently 12.45pm).
ii. While selling the securities/ closing the clients
positions, R.K. STOCKHOLDING (P) LTD. may not
take into consideration Cheques/Bank drafts/Pay
orders deposited by the client with R.K.
STOCKHOLDING (P) LTD. until clear proceeds of
such instruments are received by R.K.
STOCKHOLDING (P) LTD. in its bank account.
iii. R.K. STOCKHOLDING (P) LTD. shall have the
right to sell clients securities or close out clients
open positions but it shall not be under any
obligations to undertake this exercise compulsorily.
R.K. STOCKHOLDING (P) LTD. shall therefore not
be under any obligation to compensate/ or provide
reasons of any delay or omission on its part to sell
clients securities or close open positions of the
client.
8
(12)
Empower Your Money
6.
7.
a.
b.
c.
d.
8.
Shortages in obligations arising out of internal

netting of trades
R.K. STOCKHOLDING (P) LTD. shall have the right to
adopt a policy of its choice for internal auctions arising
out of internal netting of trades and charge to defaulter
seller and compensate the impacted purchaser as per
the policy. The current procedure for internal auction is
displayed on the website, which may be amended from
time to time with prospective effect after publishing the
same on the website www.shareindia.com.
Conditions under which a client may not be allowed
to take further position or the broker may close the
existing position of a client
All Markets :
Where client is not having adequate margins as per
conditions defined in Risk Management policy under
Section 2.
Capital Market:
i. Where the client has not been able to meet his payin obligation in cash by the schedule date of pay-in
irrespective of the value of collaterals available with
ii. Clear proceeds of the cheque deposited by the
client to meet the pay-in obligations has not yet
been received by R.K. STOCKHOLDING (P) LTD.
iii. Client is trading in illiquid scrips and volumes in his
account exceed internal cut off limit fixed by R.K.
STOCKHOLDING (P) LTD.
iv. R.K. STOCKHOLDING (P) LTD. exposure at
house level in a specific scrip / contract exceeds
the internal limits fixed by R.K. STOCKHOLDING
(P) LTD.
F&O:
9.
i. Where the client has not met Market to Market loss
in cash
ii. Where the open positions in a contract exceed or
are close to market wide cut-off limits
iii. Where the clients position is close to client-wise
permissible open positions.
INTRA-DAY :
Clients will not be able to place intra-day orders after a
cut-off time fixed by R.K. STOCKHOLDING (P) LTD.
(Presently 20 minutes prior to close of market)
Event Based: Where based on happening of an event,
R.K. STOCKHOLDING (P) LTD. has the risk perception
that further trading in the securities/ contracts may not
be interest of its clients and/or the market.
Temporarily suspending or closing a clients
account at the clients request
R.K. STOCKHOLDING (P) LTD. may carry a periodic
review of the client accounts and may suspend the
accounts from Trading in the following circumstances :
(13)
Where the client is inactive for more than 6 months

Where the client has not cleared the naked or
uncovered debits which are more than 7 days old.
Where the account is under investigation by any
regulatory body .
Based on the recommendations made by the
Branch Manager due to excessive speculations,
un-cleared balances etc.
Physical contract notes are received back
undelivered due to reasons like no such person,
addressee left, refusal to accept mails, PODs
signed by the third persons, signature mismatch on
PODs or other reasons which may create
suspicion.
Close out of the open positions.
ECN failed (Bounced email) on more than 3
instances until client submits and registers new
email id.
Non delivery of the Statement of Account sent on
periodic basis.
Non updation of communications details viz., email
id, Mobile no, Land line details or it is found to be
belonging to a third person.
Client lodges a compliant either directly with R.K.
STOCKHOLDING (P) LTD. or through Exchange
alleging unauthorized trades being executed in his
account.
On notices received from statutory, Government or
Local authorities and/or Income Tax, Service Tax,
Judicial or Quasi Judicial authority, etc.
Where a client is reported to or known to have
expired.
R.K. STOCKHOLDING (P) LTD. may also suspend
the account based on the written request received
from the client.
Deregistering a client
R.K. STOCKHOLDING (P) LTD. may de-register
the client account based on action taken by
SEBI/NSE/BSE/MCX-SX/USE or being part of list
of debarred entities published by SEBI.
R.K. STOCKHOLDING (P) LTD. may also initiate
action for deregistering a client on basis of the
information found in sites of CIBIL, Watch out
investors, world check or client having suspicious
back ground, link with suspicious organization, etc.,
R.K. STOCKHOLDING (P) LTD. shall have right to
close out the existing positions, sell the collaterals
to recover its dues, if any, before de-registering the
client.
R.K. STOCKHOLDING (P) LTD. may freeze the
assets of the client where it deems prudent, at time
of deregistering a client.
right to deregister a client after serving a 15 days
written notice without assigning any reason thereof.
9
MANDATORY
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY
PROVIDED BY STOCK BROKERS TO CLIENT
(All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable.
Additionally, the clauses mentioned herein shall also be applicable.)
Empower Your Money
1.
2.
Stock broker is eligible for providing Internet based 6.

trading (IBT) and securities trading through the use of
wireless technology that shall include the use of devices
such as mobile phone, laptop with data card, etc. which
use Internet Protocol (IP). The stock broker shall comply
with all requirements applicable to internet based
trading/securities trading using wireless technology as
may be specified by SEBI & the Exchanges from time to
time.
7.
The client is desirous of investing/trading in securities
and for this purpose, the client is desirous of using either
the internet based trading facility or the facility for
securities trading through use of wireless technology.
The Stock broker shall provide the Stock broker's IBT
Service to the Client, and the Client shall avail of the
Stock broker's IBT Service, on and subject to 8.
SEBI/Exchanges Provisions and the terms and
conditions specified on the Stock broker's IBT Web Site
provided that they are in line with the norms prescribed
by Exchanges/SEBI.
The Client shall immediately notify the Stock broker in

writing if he forgets his password, discovers security flaw
in Stock Broker's IBT System, discovers/suspects
discrepancies/ unauthorized access through his
username /password/ account with full details of such
unauthorized use, the date, the manner and the
transactions effected pursuant to such unauthorized
use, etc.
The Client is fully aware of and understands the risks
associated with availing of a service for routing orders
over the internet/securities trading through wireless
technology and Client shall be fully liable and
responsible for any and all acts done in the Client's
Username/ password in any manner whatsoever.
The stock broker shall send the order/trade confirmation
through email to the client at his request. The client is
aware that the order/ trade confirmation is also provided
on the web portal. In case client is trading using wireless
technology, the stock broker shall send the order/trade
confirmation on the device of the client.
3.
The stock broker shall bring to the notice of client the

features, risks, responsibilities, obligations and liabilities 9.
associated with securities trading through wireless
technology/internet /smart order routing or any other
technology should be brought to the notice of the client
by the stock broker.
4.
The stock broker shall make the client aware that the
Stock Broker's IBT system itself generates the initial
password and its password policy as stipulated in line
10. The Client shall not have any claim against the Exchange
with norms prescribed by Exchanges/SEBI.
or the Stock broker on account of any suspension,
interruption,
non-availability or malfunctioning of the
The Client shall be responsible for keeping the
Stock broker's IBT System or Service or the Exchange's
Username and Password confidential and secure and
shall be solely responsible for all orders entered and
service or systems or non-execution of his orders due to
transactions done by any person whosoever through the
any link/system failure at the Client/Stock brokers/
Stock broker's IBT System using the Client's Username
Exchange end for any reason beyond the control of the
and/or Password whether or not such person was
stock broker/Exchanges.
authorized to do so. Also the client is aware that
authentication technologies and strict security measures
10
are required for the internet trading/ securities trading
......................
through wireless technology through order routed
(Signature of Client)
system and undertakes to ensure that the password of
the client and/or his authorized representative are not
revealed to any third party including employees and
dealers of the stock broker.
5.
(14)
The client is aware that trading over the internet involves

many uncertain factors and complex hardware,
software, systems, communication lines, peripherals,
etc. are susceptible to interruptions and dislocations.
The Stock broker and the Exchange do not make any
representation or warranty that the Stock broker's IBT
Service will be available to the Client at all times without
any interruption.
RUNNING ACCOUNT AUTHORISATION
NON-MANDATORY
Empower Your Money
Financial Year : .................

From : ..............
...................
................
Date : ..
R.K. Stockholding (P) Ltd.

Regd. Office: R.K. House, Neelkanth Marg, Civil Lines,Moradabad-244001
Corporate Office: A-7 Block B1, Mohan Co-op. Ind. Estate, Mathura Road, New Delhi-110044
I/we are dealing through you as a client in Capital Market and/or Future & Option segment and/or Currency segment and/or Interest
Rate future Segment & in order to facilitate ease of operations and upfront requirement of margin for trade. I/we authorize you as
under:
1. I/we request you to maintain running balance in my account & retain the credit balance in any of my/our account and to
use the unused funds towards my/our margin/pay-in/other future obligation(s) at any segment(s) of any or all the
Exchange(s)/Clearing corporation unless I/we instruct you otherwise.
2. I/We request you to retain securities with you for my/our margin/pay-in/other future obligation(s) at any segment(s) of any
or all the Exchange(s)/Clearing Corporation unless I/we instruct you to transfer the same to my/our account.
3. I/We request you to settle my fund and securities account
Once in every calendar Quarter or
Once in a calendar
Month or such other higher period as allowed by SEBI/Stock Exchange time to time except the fund given towards
collaterals/margin in form of Bank Guarantee and/or Fixed Deposit Receipt.
4. In case I/we have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towards
such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days,
calculated in the manner specified by the exchanges.
5. I/We confirm you that I will bring to your notice any dispute arising from the statement of account or settlement so made in
writing within 30 working days from the date of receipt of fund/securities or statement of account or statement related to
it, as the case may be at your registered office.
6. I/We hereby further direct and authorise you to retain net amount upto Rs. 10,000/- (net amount across segment and
across stock exchanges) as prescribed by the exchange while settling the account on monthly/quarterly (as the case may
be) basis in additions to funds being withheld as permitted by SEBI Circular MIRSD/SE/Cir-19/2009 in case I/We have
traded even once during the last one month/quarter as the case may be. While settling the account please send a
'Statement of Accounts' containing an extract from ledger for funds and an extract from the register of securities displaying
all receipts/deliveries of funds/securities. Please explain in the statement(s) being sent the retention of funds/securities
and the details of the pledge, if any. I/we agree that I/We shall bring any discrepancy arising from the statement of a/c on
settlement preferably within 7 working days from the date of receipt of funds/securities or statement as the case may be to
the notice of Trading Member so as to allow the Trading Member to take remedial steps, if any are warranted.
7. I/We confirm you that I/we can revoke the authorization at any time.
Thanking you,
Yours faithfully,
11
......................
Client Name : ......
Client Code : .......
(15)
LETTER OF AUTHORITY
NON-MANDATORY
Empower Your Money
Date.....................................
Client Name.............................................................................................................Client Code...................................................

Member-NSE (Capital Market, F&O Segment & Currency Derivatives Segment), BSE (Cash, F&O & Currency Derivative Segment)
MSEI (Currency Derivatives Segment)
SEBI Reg. No (Clearing & Trading Membership)
NSE-CM: INB 231231037, NSE-F&O: INF 231231037, NSE-Currency Derivatives: INE 231231037
BSE-CM: INB 011231033, INF 011167139, INE 011167139
MSEI : Currency Derivatives - INE 261231037
Sub: Letter of Authority NSE, BSE and MSEI

I/We am/are dealing in securities with you at NSE, BSE and MSEI and in order to facilitate ease of operations. I/We authorize you as
under:
1.
I/We authorize you to set- off outstanding in any of my/our accounts against credits available or arising in any other accounts
maintained with you irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of
the Exchange and/or against the value of cash margin or collateral shares provided to you by me/us.
2.
I/We hereby authorize you not to provide me/us Order Confirmation/Modification/Cancellation Slips and Trade Confirmation
slips to avoid unnecessary paper work. I/We shall get the required details from contract note issued by me/us.
3.
I/We hereby authorize you to keep all the securities which I/we give you in margin including the payout of securities received
to use the securities for meeting margin/other obligation in stock exchange in whatever manner which may include pledging
of shares in favour of bank and/or taking loan against the same of meeting margin/pay-in obligation on my/our behalf or for
giving the same as margin to the Stock Exchange or otherwise.
4.
I/We request you to maintain a running account for funds and securities on my/ our behalf without setting the account on
settlement of each transaction on my/our behalf and to retain credit balance in any of our account and to use the idle funds
towards our margin /future obligations at both the Exchange unless I/we instruct you otherwise. I/We further authorize you to
demand additional margin future obligation at both the Exchange unless I/we instruct you otherwise. I/We further authorize
you to demand additional margin funds as and when required to meet my/our commitment.
5.
I/We request you to retain Securities in your Demat Account for my/our margin/future obligations at all the Exchanges, unless
I/we instruct you to transfer the same to my/our account. Further I/We hereby authorize you to keep all the securities which
we give you in margin including the pay-out of securities received, to use the securities for meeting margin/other obligation in
stock exchange in whatever manner which may include pledging of shares in favour of bank/financial institutions and/or
taking loan against the same for meeting/margin/pay-in obligation on our behalf on for giving the same as margin to the Stock
Exchange or otherwise.
6.
I/We request you to consider our telephonic instructions for order placing /order modification/order cancellation as a written
instruction and give me/us all the confirmation on telephone unless instructed otherwise in writing. I/We am/are getting
required details from contracts issued by you.
7.
I/We will completely rely on the log reports of your dispatching software as a conclusive proof of dispatch of e-mail to my/our
and will not dispute the same.
8.
I/We will inform you the change in my/our e-mail, if any , in future either by regd. Post or through a digitally signed email.
9.
Trading of NSE, BSE and MSEI in Electronics Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of
technologies and computer systems to place and route order. I/We understand that there exists a possibility of
communication failure or system problems or slow delayed response from system or trading halt, of any such other
problem/glitch whereby not being able to establish access to trading system/network, which may be beyond the control of
you and may result in delay in processing or note processing buy or sell orders either in part or in full.
I/We agree that I/we shall be fully liable and responsible for any such problems/glitch.
10. I/We confirm that I/we will not sublet the trading terminal on any term of connectivity from my/our place without your prior
approval.
Thanking you,
Yours faithfully,
12
Constituent Signature..............................................................................
(16)
LIEN & SET - OFF
NON-MANDATORY
Empower Your Money
To,

Dear Sir,
Sub. : Right to exercise Set-Off / Lien and sharing of information.
I/We_______________________________________________________________an individual/ a sole proprietory
concern / a partnership firm / a body corporate / Trust registered / incorporated, under the provision of the India Partnership Act,
1932 / the Companies Act/ 1955 or any relevant Act, having my / our residence / registered office at
____________________________________________________________________________(hereinafter
referred to as the "Client").
That I/We, am/are a Client of R.K. Stockholding Pvt. Ltd. and have executed a Member - Client Agreement with the aforestated
company for investing / trading in securities / permitted for dealing on the respective Exchanges and also for investing/trading in
those contracts admitted/ permitted for dealing on the Derivatives Market segment of the respective Exchanges.
That in respect to the aforestated agreements, I/We hereby authorise R.K. Stockholding Pvt. Ltd. to exercise the right to set off the
balances in my/our accounts with R.K. Stockholding Pvt. Ltd. in any segment/ exchange with respect to monies and commodities,
securities or other property, which R.K. Stockholding Pvt. Ltd. may hold on my/our account, shall be held subject to a general lien for
the discharge of my/our obligation to R.K. Stockholding Pvt. Ltd. under these agreements. The right of lien and set-off conferred to
R.K. Stockholding Pvt. Ltd. by me/us are as follows:
1.
All securities in the demat account opened (if any) with the depository Participant (namely RKSHPL), and in benefidary A/c,
shall be subject to lien for the discharge of any or all payment due to R.K. Stockholding Pvt. Ltd. form me/us or any other
obligations to R.K. Stockholding Pvt. Ltd. and may be held by R.K.Stockholding Pvt. Ltd. as a security against default by me/us
in respect of the services already availed of by me/us from R.K. Stockholding Pvt. Ltd.
2. The enforcement of the lien aforementioned shall be at the sole and complete discretion of R.K. Stockholding Pvt. Ltd.
3. I/We agree that R.K. Stockholding Pvt. Ltd. shall have the right of set-off amongst all trading account/(s) maintained by me/us
with R.K. Stockholding Pvt. Ltd..
4. The right of set-off as aforesaid shall extend to my/our trading accounts with respect to all broking transactions with
associated concerns, affilates or sister concerns of R.K. Stockholding Pvt. Ltd. as though such accounts are maintained with
5. I/We agree that R.K. Stockholding Pvt. Ltd. may share the information provided by me/us pertaining to my trading and demat
account to it's sister concerns/ group concerns/associates as and when required.
Furthermore, the aforestated lien/ set-off conferred on R.K. Stock holding Pvt. Ltd. shall subsist even after the termination of the
aforestated Member-Client Agreements with R.K. Stockholding Pvt. Ltd. until all obligations under the said agreements are satisfied
fully by me/us.
Thanking your,
Your faithfully,
13
Signature of Client _______________________________
Name of the Client _______________________________
ADJUSTMENT OF BALANCE IN DEMAT ACCOUNT
To,
Date....................................

Sir,
Reg.: Adjustment of Balances
Ref : Demat Account No............................................................Trading Account No...................................................................
I/We am/ are maintaining Trading and Demat account with you, as referred to above, for smoothness of operations and minimizing
unnecessary defaults, I/We hereby confer upon you full and unconditional authority to adjust credit balance in any of my/our above
referred accounts for meeting any debit balance in the other account.
Thanks
Name of Client............
Signature of Client
14
10
(17)
NON-MANDATORY
VERBAL ORDER ACCEPTANCE AUTHORISATION
Empower Your Money
To,

Dear Sir,
I/we am dealing with you as client at NSE/BSE/MSEI in cash, Derivative & Currency Derivative Segment. As my/our broker i.e. agent I/We
direct and authorize you to carry out trading/ dealing on my/our behalf as per instruction given below.
I/We agree and acknowledge that it is advised by you that I/We should give instruction for order placement/ modification and cancellation
in writing and to avoid disputes, I/We must give instruction in exactly the format given below in duplicate (carbon copy/ photocopy only)
and take signatures of at least two authorized officers at the branch along with company stamp on the carbon copy/ photocopy of the
instructions in acknowledgment of receipt of my our instructions.
However as I/We shall be dealing by ordering over phone and even if we visit the branch, the fluctuations in market are so rapid the it is not
practical to give written instructions for order placement/modification and cancellation, I/We hereby authorize you to accept my/our
authorized representative's verbal instructions for order placement/modification and cancellation in person or over phone (fixed
line/mobile phone) and execute the same. I/ We understand the risk associated with verbal orders and accept the same, and agree that
I/We shall not be entitled to disown orders and consequent trades (if any) by shifting the burden of proof by asking you to prove the
placement/modification and cancellation of orders through telephone recording or otherwise.
I/We shall be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying out my/our
directions given above.
Thanking You
Yours Faithfully,
15
Name of the Client : ___________________________________
OPTION FORM FOR ISSUE OF DIS BOOKLET

To,

Dear Sir / Madam,
I / We hereby state that :
[Select one of the options given below]
OPTION 1 :
I / We require you to issue Delivery Instruction Slip (DIS) booklet to me / us on opening my / our CDSL account through I / We have issued
a Power of Attorney (POA) / executed PMS agreement in favour of / with R.K. STOCKHOLDING (P) LTD. (name of attorney /
Clearing Member / PMS manager) for executing delivery instructions for setting stock exchange trades [settlement related transactions]
effected through such Clearing Member / by PMS manager.
OR
OPTION 2 :
I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a Power of Attorney (POA) / executed PMS
agreement in favour of / with R.K. STOCKHOLDING (P) LTD. (name of attorney / Clearing Member / PMS manager)
for executing delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member / by
PMS manager. However, the Delivery Instruction Slip (DIS) booklet should be issued to me / us immediately on my / our request at any later day.
Yours faithfully
First / Sole Holder
Second Joint Holder
Name
Signatures
16
(18)
Third Joint Holder
CONSENT FOR MOBILE AND E-MAIL REGISTRATION
NON-MANDATORY
Empower Your Money
To,
Date :___________________

Sub : Consent for Mobile and Email Registration

Dear Sir,
I/We hereby request/authorized you to send all your communications pertaining to my/our Trade Confirmations, Contract Notes,
MTM Obligation, Margin Calls or any other communication (which is necessary from your Compliance point of view) including the
verification call from RK etc. on the below mentioned Mobile number/Email id
Contact
Mode
Mobile / E-mail is registered in the

Name (Please tick the correct box)
Dependent
Self
Spouse Dependent
Child
Parent
Mention Mobile / E-mail
E-mail
Mobile No.
I/we confirm that:
The said Mobile is registered in the name of_______________________________________________________and the
Email is/is also registered in the name of_____________________________________________________________
I/We am/are also aware that the stock Exchanges have been pursuing a process of confirming the trade details directly to the Clients
via SMS and Email alerts which they have carried out through their respective Stock Broker. Accordingly, I/We record my/our consent
to receive those SMS as well as Emails alerts directly from the Exchanges on the above stated contact details by authorizing you for
sharing the said details same with Exchanges.
Yours faithfully,
17
Client Code : ________________________________________
CLIENT DEFAULTER DECLARATION
NON-MANDATORY
To,

I__________________________________________________________ having PAN ___________________________ do
hereby declare that I have not been involved in any terrorist activities and I have not been declared a defaulter or my name is not
appearing in defaulter database as per SEBI/Various Exchange/Regulatory bodies, etc.
I further declare that above mentioned declaration/statement is true and correct.
18
(19)
BSDA DECLARATION
Dated :...................................
I/ We hereby declare that I/ We do not want to open my/our demat account under Basic Service Demat Account (BSDA).
I/ We confirm that I/ We have understood contents of BSDA Policy and procedures laid down by SEBI.
I/ We authorized R. K. Stockholding (P) Ltd. to open my/ our demat account under Normal Category and we further acknowledge that I/
We do not want to open a BSDA account
19
Client BOID : ________________________________________
CONSENT FOR AUTHENTICATION

I the holder of Aadhaar Number...................., here by give my consent to R.K. Stockholding (P) Ltd to
obtain Aadhaar Number, Name and Fingerprint/Iris for authentication with UIDAI. R.K. Stockholding (P) Ltd has informed me that my
identity information would only be used for e-KYC purpose required for opening of Trading account and also informed that our bio-metrics
will not be stored /shared and will be submitted to CIDR only for the purpose of authentication.
20
Signature of Aadhaar Number Holder / I AGREE
ACKNOWLEDGEMENT
To,
Client Code :...........................................

Corporate Office: A-7 Block B1, Mohan Co-op. Ind. Estate,
Mathura Road, New Delhi-110044
Dated :...................................
TRADING ACCOUNT
I/We hereby acknowledge the receipt of a copy of executed Client Registration Form including KYC details, Tariffsheet, Rights & Obligation
Document, Risk Disclosure Document etc.
Client Signatures
21
Client Name
DEMAT ACCOUNT
I/We hereby acknowledge the receipt of a copy of executed Client Registration Form including KYC details, Tariffsheet, Rights & Obligation
Document.
Signed for and

on behalf of
Signatures
First / Sole Holder
Second Joint Holder
22
Name
(20)
Third Joint Holder
GROUP MEMBERSHIPS
NSE, BSE, MSEI, CM, F&O and CURRENCY DERIVATIVES
DEPOSITORY PARTICIPANT-CDSL
R. K. Stockholding Pvt. Ltd.

A-7, Block B-1, Mohan Co-operative Industrial Estate, Mathura Road,
New Delhi-110 044. Phone : 011-48564444 Fax No.: 011-48564444
E-mail : enquiry@rkfml.com
Website : www.rkfml.com
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual
Important Instructions:
A) Fields marked with * are mandatory fields.
E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.
B) Please fill the form in English and in BLOCK letters.
F) List of two character ISO 3166 country codes is available at the end.
C) Please fill the date in DD-MM-YYYY format.
G) KYC number of applicant is mandatory for update application.
D) Please read section wise detailed guidelines / instructions
H) For particular section update, please tick ( ) in the box available before the
section number and strike off the sections not required to be updated.
at the end.
Application Type*
For office use only
New
Update
Normal
Simplified (for low risk customers)
(To be filled by financial institution) KYC Number
(Mandatory for KYC update request)
Account Type*
Small
1. PERSONAL DETAILS (Please refer instruction A at the end)

Prefix
Middle Name
First Name
Last Name
Name* (Same as ID proof)

Maiden Name (If any*)
Father / Spouse Name*
Mother Name*
Date of Birth*
M M
Gender*
M- Male
F- Female
T-Transgender
Marital Status*
Married
Unmarried
Others
Citizenship*
IN- Indian
Others (ISO 3166 Country Code
Residential Status*
Resident Individual
Foreign National
Non Resident Indian

Person of Indian Origin
Occupation Type*
Private Sector
S-Service (
O-Others (
Professional
B-Business
X- Not Categorised
Public Sector
Self Employed
2. TICK IF APPLICABLE
PHOTO
Government Sector )
Retired
Housewife
Student)
Signature / Thumb
Impression
RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA (Please refer instruction B at the end)
ADDITIONAL DETAILS REQUIRED* (Mandatory only if section 2 is ticked)

ISO 3166 Country Code of Jurisdiction of Residence*
Tax Identification Number or equivalent (If issued by jurisdiction)*
Place / City of Birth*
ISO 3166 Country Code of Birth*
3. PROOF OF IDENTITY (PoI)* (Please refer instruction C at the end)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)
A- Passport Number
Passport Expiry Date
M M
Driving Licence Expiry Date
M M
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
Z- Others (any document notified by the central government)
Identification Number
S- Simplified Measures Account - Document Type code
4. PROOF OF ADDRESS (PoA)*

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Please see instruction D at the end)
(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)
Address Type*
Residential / Business
Proof of Address*
Driving Licence
Passport
NREGA Job Card
Voter Identity Card
Simplified Measures Account - Document Type code
Address
Residential
Business
Registered Office
UID (Aadhaar)
Others
Unspecified
please specify
Line 1*
Line 2
City / Town / Village*
Line 3
District*
Pin / Post Code*
State / U.T Code*
ISO 3166 Country Code*
4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)
Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill Annexure A1)
Line 1*
Line 2
Line 3
District*
State / U.T Code*
Pin / Post Code*
4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)
Same as Current / Permanent / Overseas Address details
Same as Correspondence / Local Address details
Line 1*
Line 2
Line 3
ZIP / Post Code*
State*
5. CONTACT DETAILS (All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)
Tel. (Off)
Tel. (Res)
FAX
Email ID
Mobile
6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill Annexure B1 ) (please refer instruction G at the end)
Addition of Related Person
Deletion of Related Person
Guardian of Minor
Related Person Type*
KYC Number of Related Person (if available*)
Assignee
Prefix
Authorized Representative
Middle Name
First Name
Last Name
Name*
(If KYC number and name are provided, below details of section 6 are optional)
PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)
A- Passport Number
M M
M M
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
7. REMARKS (If any)
8. APPLICANT DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes
therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable
for it.
[Signature / Thumb Impression]
I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.
Date :
M M
Signature / Thumb Impression of Applicant
Place :
9. ATTESTATION / FOR OFFICE USE ONLY

Certified Copies
Documents Received
KYC VERIFICATION CARRIED OUT BY
Date
M M
Emp. Name
INSTITUTION DETAILS
Name
Code
Emp. Code
Emp. Designation
Emp. Branch
[Institution Stamp]
[Employee Signature]
CENTRAL KYC REGISTRY | Instructions / Check list / Guidelines for filling Individual KYC Application Form
General Instructions:
1
Fields marked with * are mandatory fields.
2
Tick wherever applicable.
3
Self-Certification of documents is mandatory.
4
Please fill the form in English and in BLOCK Letters.
5
Please fill all dates in DD-MM-YYYY format.
6
Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code
respectively list of which is available at the end.
7
KYC number of applicant is mandatory for updation of KYC details.
8
For particular section update, please tick () in the box available before the section number and strike off the sections not required to be updated.
9
In case of Small Account type only personal details at section number 1 and 2, photograph, signature and self-certification required.
A
Clarification / Guidelines on filling Personal Details section

Name: Please state the name with Prefix (Mr/Mrs/Ms/Dr/etc.). The name should match the name as mentioned in the Proof of Identity submitted failing which the
1
application is liable to be rejected.
Either fathers name or spouses name is to be mandatorily furnished. In case PAN is not available fathers name is mandatory.
2
Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India
Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the said jurisdiction has issued a high integrity
1
number with an equivalent level of identification (a Functional equivalent), the same may be reported. Examples of that type of number for individual include, a social
security/insurance number, citizen/personal identification/services code/number, and resident registration number)
Clarification / Guidelines on filling Proof of Identity [PoI] section

If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.
1
Mention identification / reference number if Z- Others (any document notified by the central government) is ticked.
2
In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents can also be submitted and undernoted relevant
3
code may be mentioned in point 3 (S).
Document Code
Description
01
Identity card with applicants photograph issued by Central/ State Government Departments, Statutory/ Regulatory Authorities, Public Sector
Undertakings, Scheduled Commercial Banks, and Public Financial Institutions.
02
Letter issued by a gazetted officer, with a duly attested photograph of the person.
Clarification / Guidelines on filling Proof of Address [PoA] - Current / Permanent / Overseas Address details section
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
State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses.
In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents can also be submitted and undernoted relevant
3
code may be mentioned in point 4.1.
Document Code
Description
01
Utility bill which is not more than two months old of any service provider (electricity, telephone, post-paid mobile phone, piped gas, water
bill).
02
Property or Municipal Tax receipt.
03
Bank account or Post Office savings bank account statement.
04
Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector Undertakings, if
they contain the address.
05
Letter of allotment of accommodation from employer issued by State or Central Government departments, statutory or regulatory bodies,
public sector undertakings, scheduled commercial banks, financial institutions and listed companies. Similarly, leave and license agreements
with such employers allotting official accommodation.
06
Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.
Clarification / Guidelines on filling Proof of Address [PoA] - Correspondence / Local Address details section
1
To be filled only in case the PoA is not the local address or address where the customer is currently residing. No separate PoA is required to be submitted.
2
In case of multiple correspondence / local addresses, Please fill Annexure A1
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.
Clarification / Guidelines on filling Related Person details section

1
Provide KYC number of related person if available.
Clarification / Guidelines on filling Related Person details Proof of Identity [PoI] of Related Person section
1
Mention identification / reference number if Z- Others (any document notified by the central government) is ticked.
List of two digit state / U.T codes as per Indian Motor Vehicle Act, 1988
State / U.T
Andaman & Nicobar
Andhra Pradesh
Arunachal Pradesh
Assam
Bihar
Chandigarh
Chattisgarh
Dadra and Nagar Haveli
Daman & Diu
Delhi
Goa
Gujarat
Haryana
Code
AN
AP
AR
AS
BR
CH
CG
DN
DD
DL
GA
GJ
HR
State / U.T
Himachal Pradesh
Jammu & Kashmir
Jharkhand
Karnataka
Kerala
Lakshadweep
Madhya Pradesh
Maharashtra
Manipur
Meghalaya
Mizoram
Nagaland
Orissa
Code
HP
JK
JH
KA
KL
LD
MP
MH
MN
ML
MZ
NL
OR
State / U.T
Pondicherry
Punjab
Rajasthan
Sikkim
Tamil Nadu
Telangana
Tripura
Uttar Pradesh
Uttarakhand
West Bengal
Other
Code
PY
PB
RJ
SK
TN
TS
TR
UP
UA
WB
XX
List of ISO 3166 two- digit Country Code

Country
Afghanistan
Aland Islands
Albania
Algeria
American Samoa
Andorra
Country
Code
AF
AX
AL
DZ
AS
AD
Country
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea
Country
Code
DO
EC
EG
SV
GQ
ER
Country
Angola
Anguilla
Antarctica
Antigua and Barbuda
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
Bahamas
Bahrain
AO
AI
AQ
AG
AR
AM
AW
AU
AT
AZ
BS
BH
Estonia
Ethiopia
Falkland Islands (Malvinas)
Faroe Islands
Fiji
Finland
France
French Guiana
French Polynesia
French Southern Territories
Gabon
Gambia
EE
ET
FK
FO
FJ
FI
FR
GF
PF
TF
GA
GM
Libya
Liechtenstein
Lithuania
Luxembourg
Macao
Macedonia, the former Yugoslav Republic
of
Madagascar
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Martinique
Mauritania
Mauritius
Mayotte
Mexico
Bangladesh
Barbados
Belarus
Belgium
Belize
Benin
Bermuda
Bhutan
Bolivia, Plurinational State of
Bonaire, Sint Eustatius and Saba
Bosnia and Herzegovina
Botswana
Bouvet Island
Brazil
British Indian Ocean Territory
Brunei Darussalam
Bulgaria
Burkina Faso
Burundi
Cabo Verde
Cambodia
Cameroon
Canada
Cayman Islands
Central African Republic
Chad
Chile
China
Christmas Island
Cocos (Keeling) Islands
Colombia
Comoros
Congo
Congo, the Democratic Republic of
the
Cook Islands
Costa Rica
Cote d'Ivoire !Cte d'Ivoire
BD
BB
BY
BE
BZ
BJ
BM
BT
BO
BQ
BA
BW
BV
BR
IO
BN
BG
BF
BI
CV
KH
CM
CA
KY
CF
TD
CL
CN
CX
CC
CO
KM
CG
CD
Georgia
Germany
Ghana
Gibraltar
Greece
Greenland
Grenada
Guadeloupe
Guam
Guatemala
Guernsey
Guinea
Guinea-Bissau
Guyana
Haiti
Heard Island and McDonald Islands
Holy See (Vatican City State)
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Iran, Islamic Republic of
Iraq
Ireland
Isle of Man
Israel
Italy
Jamaica
Japan
Jersey
Jordan
Kazakhstan
GE
DE
GH
GI
GR
GL
GD
GP
GU
GT
GG
GN
GW
GY
HT
HM
VA
HN
HK
HU
IS
IN
ID
IR
IQ
IE
IM
IL
IT
JM
JP
JE
JO
KZ
Micronesia, Federated States of

Moldova, Republic of
Monaco
Mongolia
Montenegro
Montserrat
Morocco
Mozambique
Myanmar
Namibia
Nauru
Nepal
Netherlands
New Caledonia
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norfolk Island
Northern Mariana Islands
Norway
Oman
Pakistan
Palau
Palestine, State of
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Pitcairn
Poland
Portugal
CK
CR
CI
KE
KI
KP
Croatia
Cuba
Curacao !Curaao
Cyprus
Czech Republic
HR
CU
CW
CY
CZ
Kenya
Kiribati
Korea, Democratic People's Republic
of
Korea, Republic of
Kuwait
Kyrgyzstan
Lao People's Democratic Republic
Latvia
KR
KW
KG
LA
LV
Denmark
Djibouti
Dominica
DK
DJ
DM
Lebanon
Lesotho
Liberia
LB
LS
LR
Country
Code
LY
LI
LT
LU
MO
MK
MG
MW
MY
MV
ML
MT
MH
MQ
MR
MU
YT
MX
Country
Saint Pierre and Miquelon
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Country
Code
PM
VC
WS
SM
ST
SA
FM
MD
MC
MN
ME
MS
MA
MZ
MM
NA
NR
NP
NL
NC
NZ
NI
NE
NG
NU
NF
MP
NO
OM
PK
PW
PS
PA
PG
PY
PE
PH
PN
PL
PT
Senegal
Serbia
Seychelles
Sierra Leone
Singapore
Sint Maarten (Dutch part)
Slovakia
Slovenia
Solomon Islands
Somalia
South Africa
South Georgia and the South Sandwich
Islands
South Sudan
Spain
Sri Lanka
Sudan
Suriname
Svalbard and Jan Mayen
Swaziland
Sweden
Switzerland
Syrian Arab Republic
Taiwan, Province of China
Tajikistan
Tanzania, United Republic of
Thailand
Timor-Leste
Togo
Tokelau
Tonga
Trinidad and Tobago
Tunisia
Turkey
Turkmenistan
Turks and Caicos Islands
Tuvalu
Uganda
Ukraine
United Arab Emirates
United Kingdom
United States
United States Minor Outlying Islands
Uruguay
Uzbekistan
Vanuatu
Venezuela, Bolivarian Republic of
SS
ES
LK
SD
SR
SJ
SZ
SE
CH
SY
TW
TJ
TZ
TH
TL
TG
TK
TO
TT
TN
TR
TM
TC
TV
UG
UA
AE
GB
US
UM
UY
UZ
VU
VE
Puerto Rico
Qatar
Reunion !Runion
PR
QA
RE
Viet Nam
Virgin Islands, British
Virgin Islands, U.S.
VN
VG
VI
Romania
Russian Federation
Rwanda
Saint Barthelemy !Saint Barthlemy
Saint Helena, Ascension and Tristan da
Cunha
Saint Kitts and Nevis
Saint Lucia
Saint Martin (French part)
RO
RU
RW
BL
SH
Wallis and Futuna

Western Sahara
Yemen
Zambia
Zimbabwe
WF
EH
YE
ZM
ZW
KN
LC
MF
SN
RS
SC
SL
SG
SX
SK
SI
SB
SO
ZA
GS
Annexure A1
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual | Correspondence / Local Address
section number and strike off the sections not required to be updated.
at the end.
Application Type*
For office use only
New
Update
1. CORRESPONDENCE / LOCAL ADDRESS DETAILS
(Please see instruction E at the end)
Same as Current / Permanent / Overseas Address details
Line 1*
Line 2
Line 3
District*
Pin / Post Code*
State / U.T Code*
2. CONTACT DETAILS (All communications will be sent on provided Mobile no./ Email-ID) (Please refer instruction F at the end)
Tel. (Off)
Tel. (Res)
FAX
Email ID
Mobile
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.
Date :
M M
Place :
Annexure B1
CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual | Related Person
section number and strike of the sections not required to be updated.
.at the end.
Application Type*
For office use only
New
Update
1. DETAILS OF RELATED PERSON

Addition of Related Person
(Please refer instruction G at the end)
Deletion of Related Person
Guardian of Minor
Related Person Type*
KYC Number of Related Person (if available*)
Assignee
Prefix
Authorized Representative
Middle Name
First Name
Last Name
Name*
(If KYC number and name are provided, below details of section 1 are optional)
PROOF OF IDENTITY (PoI) OF RELATED PERSON* (Please see instruction (H) at the end)
A- Passport Number
M M
M M
B- Voter ID Card
C- PAN Card
D- Driving Licence
E- UID (Aadhaar)
F- NREGA Job Card
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.
Date :
M M
Place :
3. ATTESTATION / FOR OFFICE USE ONLY

Certified Copies
Documents Received
KYC VERIFICATION CARRIED OUT BY
Date
M M
Emp. Name
INSTITUTION DETAILS
Name
Code
Emp. Code
Emp. Designation
Emp. Branch
[Institution Stamp]
[Employee Signature]

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INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

Additional documents in case of trading in derivatives segments - illustrative list :

Copy of Annual Accounts

ACCOUNT OPENING KIT

Empower Your Money

Name of the Document

Brief Significance of the Document

A. KYC Form - Document captures the basic information

Rights & Obligations of BO and DP

Rights and Obligations of Beneficial Owner and Depository Participant as

Terms & Conditions-cum-Registration / Modification Form

Policies and Procedures

Document describing significant policies and procedure of the stock broker.

Internet & Wireless Techology based

Additional Document in case of Internet / Wireless Technology based Trading

VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

Name of the Document

Brief Significance of the Document

Document stating that the maintain Running Account Authority

Lien & Set-off

Document of right of exercise set-off/lien and sharing of information

Adjustment of Balance in Demat Account

Document for adjustment of balance in demat account

Verbal Order Acceptance Authorisation

Verbal Order Acceptance Authorisation

Option Form for Issue of DIS Booklet

Option Form for Issue of DIS Booklet

Consent for Mobile and E-mail Registration

Declaration and permission to send information/alerts/SMS/call on the

Client Defaulter Declaration

Consent for Authentication

Consent for Authentication

Running Account Authorization

Name of stock broker/trading

R.K. STOCKHOLDING (P) LTD.

Registered Office Address

R.K. House, Neelkanth Marg, Civil Lines, MORADABAD-244001

Corporate Office Address

Name of Compliance Officer

Mr. Manoj Joshi, Ph: 09810699831, Email Id : manoj.joshi@rkfml.com

Name of Compliance Officer

Mr. Alok Kumar Jamuar, Ph: 09015666153, Email Id : alok.jamuar@rkfml.com

Mr. R. K. Gupta, Ph: 011-48564444, Email Id : rk@rkfml.com

R.K. STOCKHOLDING (P) LTD.

(Please tick ( ) any one and give brief details) :

Please tick, if applicable

Private Sector Service

Others (Please specify)_______

Politically Exposed Person

Related to a Politically Exposed Person

Any Other Information

BANK ACCOUNT(S) DETAILS OF SOLE / FIRST HOLDER

Internet Banking status

(Mandatory for E-Broking)

Proof of Bank submitted

Cancelled Cheque (with client name and A/c no. printed)

Second Holders Name

Client Master Report (CMR)

Whether you wish to avail the facility of

Wireless technology (Mobile Trading)

Whether you wish

Electronic Contract Note (ECN) Email Id same as mentioned on KRA Page

Physical Contract Note