CIN NUMBER : U99999MH2005PTC157942

Account Opening KIT - Trading and Demat

 NSE  BSE  CDSL

NSE - CAPITAL MARKET, F&O, CURRENCY DERIVATIVES

BSE - CAPITAL MARKET , F&O, CDSL - DEPOSITORY

( FOR INDIVIDUALS / HUF / NRI / CORPORATE )

Branch Name
Name of Client
Client Code
BO ID 1 2 0 5 9 1 0 0
Account opening Date
 CIN NUMBER : U99999MH2005PTC157942

National Stock Exchange of India Ltd . (NSE)

Unit No. 401, 4th Floor, Marathon Member
Nextgen Campus, Ganpatrao Kadam Bombay Stock Exchange Ltd. (BSE)
Registered Marg, Opposite Peninsula Corporate
Office Park, Lower Parel, Mumbai - 400 013 Depository
Central Depository Services India Ltd. (CDSL)
Phone : 022 43431818 Participant
Website : www.lakshmishree.com
Exchange Segment SEBI Registration No
NSE – CM INB – 231281735
2nd Floor, 57 Gandhi Nagar, Sigra, NSE - F&O INF – 231281735
Correspondence Varanasi - 221 010 NSE – CD INE – 231281735
Office Phone : +91 9044039901-10 BSE – CM INB – 011281731
Website : www.lakshmishree.com
BSE - F&O INF – 011281731
BSE – CD INE – 011281731
Trading Shobha Sharma
Compliance Depository SEBI Registration No.
Phone: +91 9235395868
Officer DP CDSL IN-DP-CDSL-490-2008
compliance@lakshmishree.com

Mr. Salil Kumar Shah

CEO Details Phone : +91 9044039910
salil@lakshmishree.com

For any grievance/dispute please contact Lakshmishree Investment & Securities Pvt. Ltd.(LISPL) at the above address or
mail at:- query@lakshmishree.com and call us at our phone no. +91 9044039907/08/09 & +91 9235395868
In case you are not satisfied with the response, please contact the concerned Exchange(s)/Depository(ies):
National Stock Exchange of India Limited, Phone : 022-26598190 • Email : ignse@nse.co.in
Exchange /
Bombay Stock Exchange Limited, Phone : 022-22728097 • Email : is@bseindia.com
Depository
Central Depository Services India Limited, Toll Free no. : 1800-200-5533 •
Contacts
Email : complaints@cdslindia.com
You may also lodge your grievances with SEBI at http://scores.gov.in. For any queries, feedback or assistance,
please contact SEBI Office on Toll Free Helpline at 1800 22 7575/18002667575

Client Name / Sole Holder

FOR OFFICE USE ONLY

Second Holder Name ( for DP

Account)
Third Holder Name (for DP
Account)

Client Trading Code / DP Code

Introducer Name & Code

Documents Verified by
Name Signature
 ACCOUNT OPENING KIT – INDEX
This KIT is valid for opening Trading Account and Demat Account with Lakshmishree Investment & Securities Pvt Ltd.
Clients desirous of opening both or any can utilise the relevant segments of this KIT.
The Trading Code for same desired Segments of the respective Exchanges and Demat account number will be provided on successful generation of the same.

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Sl. Name of the Document Brief Significance of the Document Pg No.
1 Document Checklist It contains detailed Checklist for Documents required 3
2 Instruction / Checklist This section gives an illustrative list of instructions / Check list for filling 4
KYC Form
3 Know Your Client Form (Individual) KYC Form captures the basic information about the Client (Trading & 5-7
Demat)
4 Know Your Client Form (Non- KYC Form captures the basic information about the Client (Trading & 8-9
Individual) Demat)
5 Additional KYC Form Additional KYC related details for Trading & Demat Account (Both 10-14
Individual & Non Individual) / Nomination Form
6 Policies & Procedures Document describing significant policies and procedures of member 15-18
with respect to dealing with clients
7 Disclosure of proprietory trading / Disclosure of proprietory trading by broker to client / 19
Acknowledgement to LISPL from Acknowledgement to LISPL from Client.
Client.
8 Tariff Sheet (Trading & Demat) Document detailing the rate / amount of brokerage & other charges 20
9 Rights & Obligations of Members, Document stating the Rights & Obligations of Member, Authorised
Authorised Persons and Clients Person and Client for trading on exchanges (including additional rights
& obligations in case of internet/wireless technology based trading)

10 Risk Disclosure Document (RDD)
11 Do's and Don’t for the investors.
12 Rights & Obligation of Beneficial
Owner & Depository Participant
13 Other Disclosure
Client Copy
Document detailing risks associated with dealing in the Equity market.
Document detailing do's and don’t for trading on Equity exchange, for
the education of the investors.
Document detailing rights and obligations of beneficial owner and
depository participant
Terms and Conditions for availing Transaction Using Secured Texting
(TRUST) Service offered by CDSL.

Voluntary Documents as provided by Lakshmishree Investment & Securities Pvt. Ltd..

14 Limited Power of Attorney Authority to operate Demat Account & other powers given for 21
smooth operation
15 ECN Mandate It contains authority given to the member towards providing various 22
statements in electronic
16 FATCA / CRS-Individual Declaration pertaining to foreign tax liability 23-24
17 Common Mobile & Email ID / Declartion of common Email ID / Mobile Number by Client. / 25
MANDATE FOR AUTHORIZED MANDATE FOR AUTHORIZED REPRESENTATIVE
REPRESENTATIVE
18 Authority Letter for Running Account It contains the authorisation by the client to the member to maintain 26
running account of funds/ securities.
19 Undertaking for Securities Collateral Undertaking for Securities Collateral 27
20 Letter of Authority & Declaration / Document describing significant Policies and procedures of the stock 28-31
Margin Trading Facility broker. / Consent to avail Margin Trading Facility
21 Terms & Conditions (SMS Alerts Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts 32-33
CDSL to BO) from CDSL [SMS Alerts will be sent by CDSL to BOs for all debits]
22 Other Disclosure Option Form for Issue of DIS Booklet 34
23 NMF II Investor Form for Mutual Fund 35-36
 DOCUMENTS CHECKLIST

INDIVIDUALS 3. PAN
1. Photograph a. of Company
2. PAN b. Whole time directors/two directors in charge of day
3. UID / Aadhaar to day operations
4. Proof of Permanent &Correspondence Address c. Individual promoters holding control either directly
5. Bank Proof with MICR Code (cancelled Cheque) or indirectly
6. Income Proof (for trading in derivatives segments) 4. UID/ Aadhaar
7. Cheque for DP AMC (as per the scheme opted) a. Whole time directors/two directors in charge of day
8. FATCA declaration to day operations
9. ECN (as per client) b. Individual promoters holding control either directly
10. Running Account Mandate ( as per client) or indirectly
HUF 5. DIN Number
1. Photograph of Karta a. Whole time directors/two directors in charge of day
2. PAN to day operations
a. HUF b. Karta 6. Bank Proof with MICR Code (cancelled Cheque)
3. UID / Aadhaar 7. Demat Proof (required if opening only a trading account)
a. Karta 8. Income Proof (for trading in derivatives segments)
3. Proof of Address 9. Balance Sheet and Profit & Loss account with net - worth
a. HUF b. Karta information for last two years or for applicable period.
4. Deed of Declaration of HUF/List of coparceners 10. Share Holding Pattern (as of last quarter or more recent)
5. Bank Proof with MICR Code of the HUF 11. Memorandum and Articles of Association and certificate
(cancelled Cheque) of Incorporation
6. Demat Proof (required if opening only a trading account) 12. Board Resolution
7. Income Proof (for trading in derivative segments) 13. Form 18 with Challan / Form INC-22
8. Cheque for DP AMC (as per the scheme opted) 14. Form 32 with Challan / Form DIR-12
9. FATCA Declaration 10. UBO Declaration 15. List of Directors
11. ECN as per client 16. Authorized signatories List
12. Running Account Mandate (as per client) 17. UBO Declaration
NRI 18. Cheque for DP AMC (as per the scheme opted)
1. Photograph 19. FATCA declaration
2. PAN 20. ECN ( as per client)
3. Proof of Foreign Address 21. Running Account Mandate (as per client)
4. Proof of Local Address
5. Additional Documents PARTNERSHIP FIRM / LIMITED LIABILITY
a. Passport with visa copy/PIO Card/OCI Card PARTNERSHIP (LLP)
b. PIS Declaration Copy / PIS Letter from Bank 1. Photograph of all the Partners
c. In case of Merchant Navy NRIs, Mariner's declaration 2. PAN -
or certified copy of CDC (Continuous Discharge a. Partnership Firm / LLP
Certificate) b. All the Partners
6. Bank Proof with MICR Code (Cancelled Cheque) 3. UID / Aadhaar
7. Demat Proof (required if opening only a trading account) a. All the Partners
8. Income Proof (for trading in derivatives segments) 4. Proof of Address -
9. Cheque for DP AMC (as per the scheme opted) a. Partnership Firm / LLP
10. FATCA Declaration b. All the Partners
11. ECN ( as per client) 5. Balance Sheet and Profit & Loss account for last two
12. Bank Verification Letter Photo & Signature attested years or for applicable period.
by bank Manager. 6. Copy of Partnership Deed
13. In Person Verification 7. Certificate of Registration (for registered Partnership
CORPORATE Firms / LLP only)
1. Photograph 8. Authorized Signatories list with specimen signatures
a. Whole time directors/two directors in charge of day 9. Bank Proof with MICR Code (cancelled Cheque)
to day operations 10 Demat Proof (required if opening only a trading account)
b. Individual promoters holding control-either directly 11. Income Proof (for trading in derivatives segments)
or indirectly 12. UBO Declaration
2. Proof of Address 13. Cheque for DP AMC (as per the scheme opted)
a. Whole time directors / two directors in charge of day 14. FATCA Declaration
to operations. 15. ECN ( as per client)
b. Individual promoters holding control either directly 16. Running Account Mandate (as per client)
or indirectly
 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM
A. IMPORTANT POINTS:
1. 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 in 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:
F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below:
CORPORATE
 Copy of the balance sheets for the last 2 financial years or for the
relevant applicable period (to be submitted every year).
 Copy of latest share holding pattern including list of all those holding
control, ether directly or indirectly, in the company in terms of SEBI
takeover Regulations, duly certified by the company secretary/Whole
time director/MD (to be submitted every year).
 Photograph, POI, POA, PAN and DIN numbers of whole time
directors/two directors in charge of day to day operations.
 Photograph, POI, POA, PAN of individual promoters holding control -
either directly or indirectly.
 Copies of the Memorandum and Articles of Association and certificate
of incorporation.
 Copy of the Board Resolution for investment in securities market.
PARTNERSHIP FIRM
 Copy of the balance sheets for the last 2 financial years or as applicable
(to be submitted every year).
 Certificate of registration (for registered partnership firms only).
 Copy of partnership deed.
 Authorised signatories list with specimen signatures.
 Photograph, POI, POA, PAN of Partners.
TRUST
 Copy of the balance sheets for the last 2 financial years or as applicable
(to be submitted every year).
 Certificate of registration (for registered trust only).
 Copy of Trust deed.
 List of trustees certified by managing trustees/CA.
 Photograph, POI, POA, PAN of Trustees.
(*Documents having an expiry date should be valid on the date of
submission.)
1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale
Agreement of Residence/ Driving License/ Flat Maintenance bill / Insurance
Copy.
2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more
than 3 months old.
3. Bank Account Statement/Passbook -- Not more than 3 months old.
4. Self-declaration by High Court and Supreme Court judges, giving the new address in
respect of their own accounts.
5. Proof of address issued by any of the following: Bank Managers of Scheduled
Commercial Banks/Scheduled Co-Operative Bank / Multinational Foreign Banks /
Gazetted Officer / Notary public/Elected representatives to the Legislative Assembly /
Parliament / Documents issued by any Govt. or Statutory Authority.
6. Identity card/document with address, issued by any of the following: Central/State
Government and its Departments, Statutory/Regulatory Authorities, Public Sector
Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges
affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council
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 a postiled 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. Exemptions/clarifications to PAN (*Sufficient documentary
evidence in support of such claims to be collected.)
1. In case of transactions undertaken on behalf of Central Government and/or State
Government and by officials appointed by Courts e.g. Official liquidator, Court receiver
etc.
2. Investors residing in the state of Sikkim.
3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
4. SIP of Mutual Funds up to Rs 50, 000/- p.a.
5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled
Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State
Industrial Development Corporations, Insurance Companies registered with IRDA and
Public Financial Institution as defined under section 4A of the Companies Act, 1956,
Custodians shall verify the PAN card details with the original PAN card and provide duly
certified copies of such verified PAN details to the intermediary.
E. List of persons authorized to attest the documents:
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-
operative Bank or Multinational Foreign Banks (Name, Designation & Seal should
be affixed on the copy).
2. In case of NRIs, authorized officials of overseas branches of Scheduled
Commercial Banks registered in India, Notary Public, Court Magistrate, Judge,
Indian Embassy /Consulate General in the country where the client resides are
permitted to attest the documents.
HUF
 PAN of HUF.
 Deed of declaration of HUF/ List of coparceners.
 Bank pass-book/bank statement in the name of HUF.
 Photograph, POI, POA, PAN of Karta.
UNINCORPORATED ASSOCIATION OR A BODY OF
INDIVIDUAL
 Proof of Existence / Constitution document
 Resolution of the managing body & Power of Attorney granted to transact business
on its behalf.
 Authorised signatories list with specimen signatures .
BANK / INSTITUTIONAL INVESTORS
 Copy of the constitution / registration or annual report / Balance
sheet for last 2 Financial years
 Authorised signatories list specimen signatures
FOREIGN INSTITUTIONAL INVESTORS (FII)
 Copy of SEBI registration certificate
 Authorised signatories list with specimen signatures
ARMY/GOVERNMENT BODIES
 Self-certification on letterhead.
 Authorized signatories list with specimen signatures.
REGISTERED SOCIETY
 Copy of Registration Certificate under Societies Registration Act.
 List of Managing Committee members.
 Committee resolution for persons authorised to act as authorised
 signatories with specimen signatures.
 True copy of Society Rules and Bye Laws certified by the Chairman /
Secretary.
 KYC APPLICATION FORM FOR TRADING AND DEMAT A/C - INDIVIDUAL

Affix recent
Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)
passport size
A. IDENTITY DETAILS Photograph
1 Name of the Applicant and Sign
2 Name of Father/Spouse across it
3 Name of Mother ( 1)
a.Gender b. Marital Status c. Date of Birth
4
Male Female Transgender Single Married Other D D M M Y Y Y Y
5 a. Nationality
b. Status Resident Individual Non Resident Foreign National
Indian Other ___________
6 a. PAN, copy attached b. UID/Aadhaar
7 Specify Identity proof submitted Id Proof for PAN exempt Cases (DP A/c only)
B. ADDRESS DETAILS
1
Correspondence Address
City/Town/Village PIN Code
State Country
2 Specify proof of correspondence address submitted
Telephone (office) Telephone (Res)
3 Contact Details Fax No. Mobile No.
Email ID
Permanent Address (if different
from above. Mandatory for
4 Non- Resident Applicant to City/Town/Village PIN Code
specify overseas address) State Country
5 Specify the Proof of Permanent address submitted
C. 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 and the same will render my account
liable for termination and suitable action.

( 2)
Place Signature of 1st / Sole Applicant Date D D M M Y Y Y Y

(Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received
Documents verified with Originals by Client interviewed by In-Person Verification done by
Staff Name

Code & Designation

Signature
Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y
 KYC APPLICATION FORM FOR DEMAT A/C - INDIVIDUAL (For Joint A/c)

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)
A. IDENTITY DETAILS Affix recent
1 Name of the Applicant passport size
2 Name of Father/Spouse Photograph and
Sign across it
3 Name of Mother
a.Gender b. Marital Status c. Date of Birth
4
Male Female Transgender Single Married Other D D M M Y Y Y Y
( 1)
5 a. Nationality
b. Status Resident Individual Non Resident Foreign National
Indian Other ____________
6 a. PAN, copy attached b. UID/Aadhaar
7 Specify Identity proof submitted Id Proof for PAN exempt Cases (DP A/c only)
B. ADDRESS DETAILS
1
Correspondence Address
City/Town/Village PIN Code
State Country
2 Specify proof of correspondence address submitted
Telephone (office) Telephone (Res)
3 Contact Details Fax No. Mobile No.
Email ID
Permanent Address (if different
from above. Mandatory for
4 Non- Resident Applicant to
City/Town/Village PIN Code
specify overseas address) State Country
5 Specify the Proof of Permanent address submitted
C. 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 and the same will render my account
liable for termination and suitable action.

( 2)
Place Signature of 2nd Holder Date D D M M Y Y Y Y

(Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received
Documents verified with Originals by Client interviewed by In-Person Verification done by
Staff Name

Code & Designation

Signature
Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y
 KYC APPLICATION FORM FOR DEMAT A/C - INDIVIDUAL (For Joint A/c)

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)
A. IDENTITY DETAILS Affix recent
passport size
1 Name of the Applicant
Photograph and
2 Name of Father/Spouse Sign across it
3 Name of Mother
a.Gender b. Marital Status c. Date of Birth ( 1)
4
Male Female Transgender Single Married Other D D M M Y Y Y Y
5 a. Nationality
b. Status Resident Individual Non Resident Foreign National
Indian Other ____________
6 a. PAN, copy attached b. UID/Aadhaar
7 Specify Identity proof submitted Id Proof for PAN exempt Cases (DP A/c only)
B. ADDRESS DETAILS
1
Correspondence Address
City/Town/Village PIN Code
State Country
2 Specify proof of correspondence address submitted
Telephone (office) Telephone (Res)
3 Contact Details Fax No. Mobile No.
Email ID
Permanent Address (if different
from above. Mandatory for
4 Non- Resident Applicant to
City/Town/Village PIN Code
specify overseas address) State Country
5 Specify the Proof of Permanent address submitted
C. 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 and the same will render my account
liable for termination and suitable action.

( 2)
Place Signature of 3rd Holder Date D D M M Y Y Y Y

(Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received
Documents verified with Originals by Client interviewed by In-Person Verification done by
Staff Name

Code & Designation

Signature
Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y
 KYC APPLICATION FORM FOR TRADING AND DEMAT A/C - NON-INDIVIDUAL

Please fill this form in ENGLISH and in BLOCK LETTERS. (Use black ink)
A. IDENTITY DETAILS
1 Name of the Applicant
2 Date of incorporation D D M M Y Y Y Y Place of incorporation
3 a. Business Commencement date b. Regn. No. (eg. CIN)
4 PAN, copy attached
Pvt. Ltd. Co. Public Ltd. co. Body Corporate Partnership Charities
Status Others
Bank Society Trust Defense Establishment
5 (Please tick
any one)
FII HUF AOP Non Govt. Organisation
BOI LLP FI Government Body (Please specify)_
A. ADDRESS DETAILS
1
Correspondence Address
City/Town/Village PIN Code
State Country
2 Specify proof of correspondence address submitted
Telephone (office) Telephone (Res)
3 Contact Details Fax No. Mobile No.
Email ID

Registered Address
4 (if different from above.) City/Town/Village PIN Code
State Country
5 Specify proof of Registered address submitted
C. DECLARATION
We hereby declare that the details furnished above are true and correct to the best of our knowledge and belief
and we undertake to inform you of any changes therein, immediately. In case any of the above information is found
to be false or untrue or misleading or misrepresenting, we are aware that we may be held liable for it and the
same will render our account liable for termination and suitable action.

( 3)
Place Signature of Applicant Date D D M M Y Y Y Y

(Original verified) Self Certified Documents copies received (Self Attested) True copies of documents received
Documents verified with Originals by Client interviewed by In-Person Verification done by
Staff Name

Code & Designation

Signature
Date D D M M Y Y Y Y D D M M Y Y Y Y D D M M Y Y Y Y
 DETAILS OF PROMOTERS / PARTNER / KARTA / TRUSTEES AND WHOLETIME DIRECTORS FORMING A PART OF
KNOW YOUR CLIENT (KYC)
Form should be filled in English and in Block Letter
Name of Application PAN
S.N. Particulars Photograph Signature with Stamp
Name
Residential Address Affix recent
passport size
1 Photograph and
Designation Sign across it
PAN DOB
DIN/UID Contact No
Aadhaar No. PEP Yes No
Name
Residential Address
Affix recent
passport size
2 Photograph and
Designation Sign across it
PAN DOB
DIN/UID Contact No
Aadhaar No. PEP Yes No
Name
Residential Address
Affix recent
passport size
3 Photograph and
Designation
Sign across it
PAN DOB
DIN/UID Contact No
Aadhaar No. PEP Yes No
Name
Residential Address
Affix recent
passport size
4 Photograph and
Designation
PAN DOB Sign across it
DIN/UID Contact No
Aadhaar No. PEP Yes No
Name
Residential Address
Affix recent
passport size
5 Photograph and
Designation
Sign across it
PAN DOB
DIN/UID Contact No
Aadhaar No. PEP Yes No




( 4)First Signatory ( 4)Second Signatory ( 4)Third Signatory
Place Name and signature with Stamp of Authorised Signatory(ies) Date
 ADDITONAL KYC RELATED DETAILS FOR TRADING & DEMAT A/C
For both Individual & Non-Individual
DETAILS REQUIRED FOR DEMAT ACCOUNT
For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., although the DEMAT account is opened in the name of the natural
persons, the name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc. should be mentioned below :
a. Name b. PAN
Type of DEMAT Account (Please tick in reievant boxes)
For Individual Accounts For Non-Individual Accounts For NRI / FOREIGN NATIONAL Accounts
Resident Director Body Corporate Banks Repatriable
Minor Director’s Relative Trust Mutual Fund Non-Repatriable
HUF / AOP Margin Trading (MANTRA) OCB FII Repatriable Promoter
Promoter CM FI Non-Repatriable Promoter
Others (specify) _______________________ Clearing House Depository Receipts
Other (Specify)_________________ Foreign National
F. N.Depository Receipts
Others (specify)___________________
In case of NRI / Foreign Nationals / FII / Other (as may be application)
RBI Registration No. ________________________________ RBI Approval date D D M M Y Y Y Y
SEBI Registration No.___________________________________
Standing Instructions
1 I / We authorise you to receive credits automatically into my / our demat account Yes No
2 Account to be operated through Power of Attorney Yes No
3 SMS Alert Facility (Mandatory , if you are giving Power of Attorney ( POA). (Ensure that the mobile number is provided in the KYC Application
From also.) _____________________________________________ Yes No
4 Mobile No. belongs to Self Family Member
5 Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly
6 I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID_________________________________ Yes No
7 Email ID belongs to Self Family Member
8 I/We wish to receive dividend / interest directly in to my bank account as given below through ECS (If not marked, the Yes No
default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time]
9 Pledge Processing Flag Yes No 10 Basic Service Demat A/c Yes No 11 Email Download by RTAS Yes No
12 Rajiv Gandhi Equity Saving Scheme Yes No 13 Annual Reports From RTAS Physical Electronic Both
Clearing Member Details (to be filled up by Clearing Member only) – Non-Individual DEMAT Account
1. Name of Stock Exchange 2. Name of CC / CH
3 Clearing Member ID 4 SEBI Regn. No.
5 Trade Name
6 CM-BP ID (to be filled up by DP) 7 TM ID (to be filled up by DP)

GUARDIAN’S DETAILS (same in line with KYC Form – must be filled up where Sole Holder is MINOR)
1 Guardian Name
2 Guardian Address Affix recent
City/Toun/Village PIN Code passport size
State Country Photograph
3 Relationship with Minor 4 Guardian’s PAN and Sign
5 Contact Details of Telephone (Office) Telephone (Res.) across it
Guardian Fax No Mobile No.
Email ID
6A Gross Annual Income Income Range per Annum (Plz Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore
tick) > 1 Crore
6B Net-worth in ₹ (*Net worth should not be older than 1 year) ________________ As on (Date)
7 a. Gender b.Marital Status C. Date of Birth d. Nationality
Male Female other Single Married Indian Other please specify (if other)---
Ind. Resident Private Sector Service Business Professional
e. Non Resident f. Public Sector Government Service Agriculturist
Status Foreign National Occupation Retired Housewife Forex Dealer
Student Others (Please specify)_________________________
8 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person
 OTHER DETAILS
Gross Annual Income Details (Please Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore
1nd Holder tick ( ) > 1 Crore
1
OR
Net-worth (Not older then 1 year) Amount _______________ As on (Date)
Occupation Private Sector Service Business Professional Public Sector Government Service Agriculturist
2 Retired Housewife Forex Dealer Student Others (Please specify)_________________________
3 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

Gross Annual Income Details (Please Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore
tick ( ) > 1 Crore
2nd Holder

1
OR
Net-worth (Not older then 1 year) Amount _______________ As on (Date)
Occupation Private Sector Service Business Professional Public Sector Government Service Agriculturist
2 Retired Housewife Forex Dealer Student Others (Please specify)_________________________
3 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

Gross Annual Income Details (Please Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac > 25 Lacs – 1 Crore
tick ( ) > 1 Crore
3rd Holder

1
OR
Net-worth (Not older then 1 year) Amount _______________ As on (Date)
Occupation Private Sector Service Business Professional Public Sector Government Service Agriculturist
2 Retired Housewife Forex Dealer Student Others (Please specify)_________________________
3 Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

BANK DETAILS (Mandatory)

Primary Secondary, if any
Bank Account Type Saving Current Other (specify) Saving Current Other (specify)
Bank A/c No.
Bank Name
Branch Address / City

MICR Code
IFSC Code
PAST ACTION
Details of any action /proceedings initiated/pending/taken by SEBI/Stock Exchange/any other authority against the applicant/ constituent
or its Partners / Promotar’s / Wholetime Director / Authorised Persons in-charge of dealing in securities during the last 3 years
(In case of any details, Please provide a separate sheet)
TRADING PREFERENCE
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off
NSE BSE

1. Cash Market
( 5) ( 6)

2. Futures & Options

( 7) ( 8)

3 Currency Derivatives
( 9) ( 10)

4 Mutual Fund
( 11) ( 12)
DP DETAILS
Sr.# Particulars Primary DP Details Secondary DP Details
1 DP NSDL CDSL
2 DP Name Lakshmishree Investment & Securities Pvt Ltd.
3 DP ID 1 2 0 5 9 1 0 0 Provide Proof Provide Proof
4 Beneficary Name
5 BO/Client ID
 DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
If Client is dealing through the Sub-broker, provide the following details:
Sub-broker’s Name: SEBI Registration number
Registered office address
Mobile No. Email ID
Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers, provide details of all)
Name of stock broker: Name of Sub-Broker, if any
Client Code Exchange
Details of disputes/dues pending from/to such stock broker/sub- broker
ADDITIONAL DETAILS
Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify): Physical Electonic
Specify your Email id, if applicable:
Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Yes No
Number of years of Investment/Trading Experience
In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in
securities on behalf of company/firm/others:____________________________________________________________________________

INTRODUCER DETAILS (Mandatory in case of Sub-broker or Authorised Person)

Introducer’s Name First Name Middle Name Surname
Introducer’s Address
Introducer’s Status Sub-broker Remisier Authorised Person Existing Client Other___________
Phone No.
Signature
DECLARATION
For both Demat and Trading Account
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any
changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that
I/we may be held liable for it.

2. The Rules and Regulations of the Depository and Depository Participant pertaining to an account which are in force now have been read by me/us and I/we
have understood the same and I/we agree to abide by and to be bound by the rules as are in force form time to time for such account. I/we further agree that
any false/misleading information given by me/us or suppression of any material fact will render my/our account liable for termination and further action.

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

4. I/We further confirm having received, read and understood the contents of the ‘Rights and Obligations’ and ‘Risk Disclosure Document’. 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.

Name(s) of Applicant(s) Signature(s) of Holder(s) / Signatory(ies)

Sole Applicant / First Signatory / Guardian (in case sole
holder is a Minor)

( 13)
Second Applicant / Signatory

( 13)
Third Applicant / Signatory

( 13)
Place Date D D M M Y Y Y Y
I / We undertake that I / we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I / We have also
made the client aware of ‘Right and Obligations’ document(s) RDD and Guidance Note. I/We have given/sent him a copy of all the KYC document.
I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and all the non-namdatory documents would by duly intimated to the
clients. I/We also undertake that any change in ‘Right and Obligations’ and RDD would by made available on my / our website, if any. For the
information of the clients.

Singature of Authorised Signatory Seal /stamp of Lakshmishree Investment & Securities Pvt. Ltd.
 Nomination Form (FOR INDIVIDUAL ONLY)

To,

M/s Lakshmishree Investment & Securities Pvt. Ltd.

2nd Floor, 57 Gandhi Nagar
Sigra, Varanasi – 221 010

Dear Sir/ Madam,

I/We the trading client / sole holder / Joint holders / Guardian (in case of minor) hereby declare that:

I/We do not wish to nominate any one for this demat account.
[Strike out what is not applicable.] [Signatures of all holders should be obtained on this from].

I/We nominate the following person/s who is entitled to receive 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.

BO Account Details
DP ID 1 2 0 5 9 1 0 0 Client ID
Trading Code
Name of the Sole / First Holder Name of Second Holder Name of Third Holder

Nomination Details
Nominee Name : Nominee 1 Nominee 2 Nominee 3

Please provide recent colour

photograph

*First Name:
Middle Name:
*Last Name
*Address:

*City:
*State:
*Pin:
*Country:
Telephone No:
Fax No:
PAN No:
UID :
Email ID:
*Relationship with the BO
Date of birth (mandatory if
Nominee is a minor):
Name of the Guardian of Nominee (if the nominee is minor):
*First Name:
*Middle Name:
*Last Name:
*Address of the Guardian of
nominee:
 Nomination Details
*City:
*State:
*Country:
*Pin:
Age
Telephone:
Fax No:
Email ID:
 Relationship of the
Guardian with the
Nominee:
 Percentage of
allocation of
securities:
 Residual Securities
[please tick any one
nominee. If tick not marked
default will be first nominee]:

Note : Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities remaining after
distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first nominee will be marked as nominee entitled
for residual shares, if any.
* Marked is Mandatory field

This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.

Note: One witness shall attest signature(s) / thumb impression(s)

Details of the Witness:-

First Witness
Names of Witness

Address of witness

Signature of Witness

First/Sole Holder Second Holder Third Holder

Name

Specimen Signature

( 14) ( 14) ( 14)

(to be filled by DP)

Nomination form accepted and registered wide Registration No. _____________________ Date _______________

For Lakshmishree Investment & Securities Pvt LTd.


POLICIES AND PROCEDURE
A. Refusal of orders/restrictions on trading in penny
stocks and illiquid stocks:
We define Penny stocks as those stocks where the market price is
below or close to par, with the company financials being weak
with indicators such as loss, accumulated losses, low sales
revenue, low or negative net-worth, signs of inactivity in the
company, which are having very less value. Lakshmishree
Investment & Securities Pvt. Ltd. (LISPL) may from time
to time identify such stocks and put trading restriction on the
trades in such penny stocks. In addition to these stocks LISPL
may also include other stocks in the list of restricted stocks
such as stocks in Z category, Trade to Trade Settlement or TS
category, the scrips which are included in the list of illiquid
scrips by the exchange/s or any other scrip which LISPL deem
fit for the purpose putting trading restriction. The restriction on
above stocks may be as to the price, quantity or mode of
placement of orders. Accordingly LISPL reserves the right to
disable certain scrips for trading on online trading facility/sub
broker/branch trading terminals or put quantity or price
restrictions while putting trade orders.In such case, client may be
allowed to place the trades subject to certain restrictions, through
LISPL's centralized dealing desk after enhanced due diligence of
the orders. In case of clients using internet trading facility, they
may not find the scrip name or may not be able to place any order
in the scrip, if such scrip is one of the restricted scrips. A client
can enquire with LISPL's dealer or customer service executive
about any trading restriction on any scrip. The above referred
restrictions are placed on the trading activities of the client as
these stocks are exposed to price rigging and other market
manipulative activities. Further, LISPL as a member of the stock
exchanges is expected to have proper surveillance and monitoring
mechanism on the trading activities of their clients,
particularly on penny and illiquid scrips. Clients may note that
LISPL shall have right to reject
the orders placed by the Client and/or put circuit breakers to
discourage trades getting executed at unrealistic prices from the
current market price of the security or prohibit the Client from
trading in illiquid securities which creates artificial liquidity or
manipulates prices or to discourage Client from cross/
synchronized trading and LISPL shall not be liable for any loss
arising out of non acceptance or rejection of the Client orders for
any such reason if the Client fails to give sufficient reason for
placing such orders.
B. Client dealing:
SMS for stocks ideas based on strong research, daily trade
confirmation is sent to the clients. SMS charges will be levied Rs.
99/- (Applicable GST) monthly for stocks ideas. Any relevant
information or updation is informed to the clients through emails
or SMS facilities.
Margin trading facility is provided in NSE cash segment. The
margin facility will be carried on the basis of interest payable
every month.
C. Setting up client's exposure limits:-
The stock broker may from time to time impose and vary limits on
the orders that the client can place through the stock broker's
trading system (including exposure limits, turnover limits, limits
as to the number, value and/or kind of securities in respect of
which orders can be placed etc.). The client is aware and agrees
that the stock broker may need to vary or reduce the limits or
impose new limits urgently on the basis of the stock broker's risk
MANDATORY
perception and other factors considered relevant by the stock
broker including but not limited to limits on account of
exchange/SEBI directions/limits (such as broker level/market
level limits in security specific/volume specific exposures
etc.), and the stock broker may be unable to inform the client
of such variation, reduction or imposition in advance. The
client agrees that the stock broker shall not be responsible for
such variation, reduction or imposition or the client's inability
to route any order through the stock broker's trading system
on account of any such variation, reduction or imposition of
limits. The client further agrees that the stock broker may at
any time, at its sole discretion and without prior notice,
prohibit or restrict the client's ability to place orders or trade in
securities through the stock broker, or it may subject to any
order placed by the client to a review before its entry into the
trading systems and may refuse to execute/allow execution of
orders due to but not limited to the reason of lack of
margin/securities or the order being outside the limits set by
stock broker/exchange/SEBI and any other reasons which the
stock broker may deem appropriate in the circumstances. The
client agrees that the losses, if any on account of such refusal
or due to delay caused by such review, shall be borne
exclusively by the client alone. We have margin based RMS
system. Total deposits of the clients are uploaded in the
system and client may take exposure on the basis of margin
applicable for respective security as per VAR based margining
system of the stock exchange and/or margin defined by RMS
based on their risk perception. Client may take benefit of
“credit for sale” i.e. benefit of share held as margin by selling
the same by selecting Delivery option through order entry
window on the trading platform, the value of share sold will
be added with the value of deposit and on the basis of that
client may take fresh exposure. Realization of the funds from
the said bank instrument etc, at in case of exposure taken on
the basis of shares margin the payment is required to be made
before the exchange pay in date otherwise it will be liable to
square off after the pay in time or any time due to shortage of
margin.
D. Applicable brokerage rate: -
Brokerage will be charged within the limits prescribed by
SEBI/Exchange. Brokerage will be charged to the client based
on the brokerage rates specified in the account opening
form or as per the product/scheme opted by the client from
time to time. However, any increase in brokerage rate either
be done with the consent of the client in writing or at the
discretion of LISPL by giving 15 days advance notice to
the client. The brokerage rate shall be within the
permissible limit set by SEBI/Exchanges.
E. E. Delayed Payment Charges:
In order to comply with the above requirement, the following
policies and procedures are prescribed by Lakshmishree
Investment & Securities Pvt Ltd ( herein referred as LISPL or
the company) and shall be subject to any charge from time to
time in future and would be applicable to sub-broker,
authorized persons and all clients of the company. Imposition
of penalty/delayed payment charges by either party,
specifying the rate and the period (this must not result in
funding by the broker in contravention of the applicable laws).
Delayed payment charges / charges on Exposure against
collaterals: 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
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
required the member broker to deposit some of the margins like
MTM, in Cash only. In order to manage its working capital,
LISPL requires fullest cooperation of the clients in meeting their
respective obligation towards pay-in and margins. LISPL may
therefore charge a delayed payment penalty, on monthly basis 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 on the debit balance in the running account of a client,
LISPL, may not consider any credit balance in the other family or
group account of the client. If the client fails to make payment of
the amount due within the time frame specified by LISPL, it shall
be entitled to levy such charges by way of penalty payment
charges 24% (Applicable GST) per annum on account due. This
levy is only penal measure in case client defaults in meeting
settlement and margin obligations and should not be construed as
funding arrangement by the client and further the client cannot
demand continuation of service on a permanent basis by citing this
levy of delayed payment charges.
F. The right to sell client's securities or close clients'
positions, without giving notice to the client, on account
of non-payment of client's dues:
Without prejudice to the stock brokers other right (Including the
right to refer the matter to arbitration), the stock broker shall be
entitled to liquidate/close out all or any of the clients position
without giving notice to the client for non payment of margins or
other amounts including the pay in obligation, outstanding debts
etc and adjust the proceeds of such liquidation/close out, if any,
against the clients liabilities/obligations. The client shall ensure
timely availability of funds/securities in form and manner at
designated time and in designated bank and depository
account(s), for meeting his/her/its pay in obligation of funds and
securities. Any and all losses and financial charges on account of
such liquidations/ closing out shall be charged to & born by the
client. In cases of securities lying in margin account/client
beneficiary account and having corporate actions like Bonus,
Stock split, Right issue etc, for margin or other purpose the benefit
of shares due to received under Bonus, Stock split, Right issue etc
will be given when the shares is actually received in the stock
broker’s designated demat account.
In case the payment of the margin / security is made by the client
through a bank instrument, the stock broker shall be at liberty to
give the benefit / credit for the same only on the absolute
discretion of the stock broker. Where the margin / security is made
available by way of securities or any other property, the stock
broker is empowered to decline its acceptance as margin / security
&/ or to accept it at such reduced value as the stock broker may
deem fit by applying haircuts or by valuing it by marking it to
market or by any other method as the stock broker may deem fit in
its absolute discretion. Company on best effort basis will try
and inform the client and give him reasonable time for
payment. However it will be the r e s p o n s ib i lit y of c lie n t to
track his margins/obligations by going through margin
statements sent to the client on daily basis. The stock
broker has the right but not the obligation, to cancel all
pending orders and to sell/close/liquidate all open
positions/securities/shares at the pre-defined square off time
or when Mark to Market (M-T-M) percentage reaches or
crosses stipulated margin percentage, whichever is earlier.
The stock broker will have sole discretion to decide referred
stipulated margin percentage depending upon the market
condition. In the event of such square off, the client agrees to
bear all the losses based on actual executed prices, the client
shall also be solely liable for all and any penalties and charges
levied by the exchange(s).
G. Shortage in obligations arising out of internal
netting of trades:-
Stock broker shall not be obliged to deliver any security or
pay any money to the client unless and until the same has been
received by the stock broker from the exchange, the clearing
corporation / clearing house or other company or entity liable
to make the payment and the client has fulfilled his/her/its
obligations first The policy and procedure for settlement of
shortage in obligations arising out of internal netting of trades
is as under.
1. The Short delivering client is debited by an amount
equivalent to 20% above of closing rate of day prior to
Paying/Payout Day. The securities delivered short are
purchased from market on T+2 day and the purchase
consideration (inclusive of all statutory taxes & levies) is
debited to the short delivering seller client along with
reversal entry of provisionally amount debited earlier.
2. If securities cannot be purchased from market due to any
force majeure condition, the short delivering seller is
debited at the closing rate on T+2 day or Auction day on
Exchange +10% where the delivery is matched partially
or fully at the Exchange Clearing, the delivery and
debits/credits shall be as per Exchange Debits and Credits.
3. In cases of securities having corporate actions all cases of
short delivery of cum transactions which cannot be
auctioned on cum basis or where the cum basis auction
payout is after the book closure/record date, would be
compulsory closed out at higher Of 10% above the
official closing price on the auction day or the highest
traded price from first trading day of the settlement till
the auction day.
H. Conditions under which a client may not be allowed
to take further position or the broker may close the
existing position of a client.:-
Under following circumstance a client may not be allowed
to take further position and if required the existing position
in his account may also be closed ;
1. If there is a continuous debit balance in client
account
2. If there is insufficient margin in client’s account
requires to maintain his open position
3. If the client is not responding satisfactorily to the
company/ regulatory enquiry on trades undertaken
by him explaining the rationale for transaction or
fails to provide documents to prove beneficial
ownership of shares, submit proof of income/ net
worth etc.
 4. If there is an order by SEBI or any other appropriate
authority debarring the client account.
5. In case the scrip or member limits ar breached or
likely to be breached in the derivatives market
segment
6. In Case of dormant / inactive account and
7. At the discretion of the company by giving written
notice to the client
I. KYC & DP related
1. Client code activation duly filled and with proper document
is within 96 hrs of the application received
2. Client can be deactivated from trading on written request,
provided the client account is settled. If the clients want to
reopen the account he has to complete the KYC
requirement again.
J. J. Temporarily suspending or closing a client’s account at
the client’s request:
A client can request for temporary suspending or for
permanently closing his account. For permanent closure, client
has to give a notice of one month and clear the dues, if any, in
his account.
Client account may be suspended by the company at any time:
1. On Directions received from any regulatory
authorities.
2. If client is not responding to the queries raised by
the company related to his trade activities.
3. If there is not a single active demat account linked
to trading account.
4. Due to any other non compliance observed in the
account.
K. K. Deregistering a client :-
Notwithstanding anything to the contrary stated in the
agreement, the stock broker shall be entitled to terminate the
agreement with immediate effect in any of the following
circumstances:
I. If the actions of the client are prima facie illegal /
improper or such as to manipulate the price of any
securities or disturb the normal/proper functioning of
securities or disturb the normal/proper functioning of the
market, either alone or in conjunction with others.
II. If there is any commencement of a legal process against
the client under any law in force;
III. On the death/lunacy or other disability of the Client.
IV. If the client being a partnership firm, has any steps taken
by the Client and/or its partners for dissolution of the
partnership.
V. If the Client suffers any adverse material change in
his/her/its financial position or defaults in any other
agreement with the Stock broker;
VI. If there is reasonable apprehension that the Client is
unable to pay its debts or the Client has admitted its
inability to pay its debts, as they become payable;
VII. If the Client is in breach of any term, condition or
covenant of this Agreement;
VIII. If the Client has made any material misrepresentation of
facts, including (without limitation) in relation to the
Security;
IX. If a receiver, administrator or liquidator has been
appointed or allowed to be appointed of all or any
part of the undertaking of the Client;
X. If the Client has taken or suffered to be taken any
action for its reorganization, liquidation or
dissolution;
XI. If the Client has voluntarily or compulsorily become
the subject of proceedings under any bankruptcy or
insolvency law or being a company, goes into
liquidation or has a receiver
XII. If any covenant or warranty of the Client is incorrect
or untrue in any material respect;
XIII. On the order from the Appropriate authority.
XIV. In accordance with the provision of arrangement
entered into with the client
L. Inactive Client account: -
Client account will be considered as inactive if the client
does not trade for period OF SIX MONTHS. Calculation
will be done at the beginning of every month and those
clients who have not traded even a single time will be
considered as inactive, the shares/ credit ledger balance if
any will be transferred to the client within one week of the
identifying the client as inactive. The client has to make
written request for reactivation of their account With
updated documents.
M. No Interest on Security / Fund Deposit:-
Securities deposited with our organization will always be
interest free and same will be adjusted from any
outstanding dues in client account.
N. Obligation from Connection failure
Trading in Exchange is in Electronic Mode, based on
VSAT, leased line, ISDN, Modem and VPN,
combination of technologies and computer systems to place
and route orders. There exists a possibility of
communication failure or system problems or slow or
delayed response from system or trading halt or any break
down in our back office/ front end system, or any such
other problems/glitch whereby not being able to establish
access to the trading system/network, which may be
beyond our control and may result in delay in processing or
not processing buy or sell Orders either in part or in full.
We shall not be responsible for any such failure or in
squaring off the trades 15 minutes before the market closes
client shall be ready for delivery and fund obligations.
Future notifications and ruling of exchange and SEBI will
be intimated and incorporated in this document from the
date of implementations.
O. Actual settlement of funds and securities:-
As per SEBI circular MIRSD/ SE /Cir-19/2009 dated Dec 03,
2009, Exchange Circular NSE/INSP/13606 dated Dec 03,
2009, clarification circulars NSE/INSP/14048 dated Feb 03,
2010 and NSE/INSP/21651 dated Sep 07, 2012, the settlement
of funds and / or securities shall be done within 1 working day
of the payout, unless client specifically authorizes the trading
member in writing to maintain a running account to be Settled
quarterly/monthly as per preference of the client. We will
retain an amount of Rs 10000 of all active client only after
taking the written consent of the client. We will
retain additional margin requirement of maximum up to 125%
of margin requirement on the day of settlement to take care
any margin obligation arising in next 5 days in Derivative
segment. In equity segment, we will retain maximum 200%
of the aroused obligation on the day of settlement. For Debit Wherever, client gives POA on demat account to LISPL,
Clients, we will retain Stock to the maximum of 200% of Debit LISPL treats the securities lying in the accounts as
Amount without Haircut. Payment mode form any other account securities margin. Therefore, client needs to ensure that
will be treated as “Third party”. In this circumstance, third party only securities belonging to the client are retained in the
funds and securities will be accepted towards settlement and/or accounts and appropriate proof regarding purchase/gift etc.
margin obiligation. needs to be provided to LISPL. In absence of the same,
P. Penal Charges that may debited to the client’s account: LISPL reserves right to transfer the securities to source
LISPL reserve the right to debit client’s ledger for any penal account from where securities were transferred to POA
chargers that may be charged by the Exchanges/ depositories demat account. In case client transfers securities to POA
on LISPL on the client level for any default/ violation of account from third party account and sell the securities,
exchange guidelines/ requirement soccuring due to omission or LISPL reserves the right withhold the payout till client
commission of any act on the part of the client . obtains NOC from the account hold from whose account
This may include penalty for: shares were transferred for sale.
 Shortly delivery of securities R. Additional Risk/Obligation/ Liability Statement in
 Violation of client level position limit the case of trading through Wireless Technology.
These terms contained in the present are in additional to
 Shortfall in Margin Payment
and concurrent with term of right and obligation prescribe
 Client Code modification the SEBI wide its circular no. MIRSD/16/2011 dated
LISPL shall have the right to recover such charges like any august 22, 2011 as amended from time to time. Following
other trade dues payable by the client recover the same by are the additional feature, risk responsibilities, obligation
selling his securities and liabilities associated with the securities trading using
Q. Third Party funds and securities: wireless technology to CLIENT who wish to avail any such
Lakshmishree Investment & Securities Pvt Ltd. requires all its facilities from the Stock Broker/ MEMBER.
clients to make payout of funds & securities from the account Securities Trading using Wireless Technologies
held in their name towards their settlement and margin (STWT)
obligation. Similarly, payout of funds will be made in client 1. The CLIENT agrees that the MEMBER shall not be
name and securities will transfer only to demat account held in liable or responsible for non-execution of the order of
client name &registration with LISPL. Proof regarding account the CLIENT due to any link/system failure at the
being held in client’s name i.e. copy of cheque book/bank CLIENT/MEMBER/EXCHANGE end.
statement in case of funds and copy of DP master in case of 2. The stock exchange may cancel a trade sub-moto
securities needs to be provided by the client. Receipt of without giving any reason thereof. In the event of such
funds/securities will be accepted only from these accounts. cancellation, MEMBER shall be entitled to cancel
Payment made from any other accountwill be treated as “third relative contact(s) with CLIENT.
party”In no circumstance,third funds and securities will be 3. The Information Regarding order and trade
accepted toward settlement and/or margin obligation. In case if confirmation shall be provided on the device of the
LISPL observes that payment of funds and securities toward client in case of securities trading through the use of
payin/margin obligation has been met from third party account, wireless technology.
LISPL reserves right not to give credit of fund/ securities to 4. 4. The Client is aware that as it may not be possible to
client given and return the same to the source account from give detailed information on a hand held device e.g
where funds/securities were received. Client will be solely mobile phones etc. minimum information would be
liable on account of any shortfalls on meeting payin/margin given with the address of the internet website/ webpage
obligation in this regard. where detailed information would be available.
Client Acceptance of Policies and Procedures stated here in above:
I/We have fully understood the same and do hereby sign the same and agree not to call into question the validity, enforceability
and applicability of any provision/clauses of this document in any circumstances what so ever. These Policies and Procedures
may be amended / changed unilaterally by the broker, provided the change is informed to me / us with through any one or more
means or methods. I/we agree never to challenge the same on any grounds including delayed receipt / non receipt or any other
reasons
Whatsoever These Policies and Procedures shall always be read along with the agreement and shall be compulsorily referred to
while deciding any dispute / difference or claim between me / us and stock broker before any court of law / judicial /
adjudicating authority including arbitrator / mediator etc.
Client Signature (1st Holder) Client Signature (2nd Holder) Client Signature (3rd Holder)

( 15) ( 15) ( 15)

To,

M/s Lakshmishree Investment & Securities Pvt. Ltd.

401, Marathon Icon, Marathon nextgen, Ganpatrao Kadam Marg,
Peninsula Business Park, Lower Parel,
Mumbai – 400013

Dear Client
Sub : Disclosure of proprietory trading by broker to client

With reference to the SEBI Circular No. SEBI/MRD/SE/Cir-42/2003 dated Nov. 19, 2003 intended to increase the
transparency in the dealing between the trading member and their clients, all trading members are required to disclose
to its/their clients whether they do client based business or proprietary trading as well.

Pursuant to the above, we wish to inform you that Lakshmishree Investment & Securities Pvt. Ltd. at present does
trade on proprietary account in the cash, Derivatives and Currency segment at NSE/BSE/MSEI

I/We __________________________________________________________________________________________
having client code _________________________________ with M/s Lakshmishree Investment & Securities Pvt. Ltd.
acknowledge receipt and Understanding of the above.

Signature ( 16)_________________________
Name
Client Code ___________

ACKNOWLEDGEMENT TO LAKSHMISHREE INVESTMENT & SECURITIES PVT. LTD. FROM CLIENT

To,
Lakshmishree Investment & Securities Pvt Ltd.
2nd Floor, 57 Gandhi Nagar, Sigra,
Varanasi – 221 010

I / We hereby confirm that I / We have gone through all the relevant clauses at the time of excution of KYC and has sought
the relevant clarification wherever required from the officials of LISPL.

Moreover please arrange to provide the following documents in Electronic via E-mail Physical
Sl. No. Brief Description of the Document
1. Right and Obligations of Stock Brokers, Sub-Brokers, Authorised Person and Clients
2. Right and Obligations of Beneficiary Owner and Depository Participant as prescribed by SEBI &
Depository.
3. Internet and Wireless technology based trading facility provided by Stock Broker to Client. Client Copy
4. Risk and Disclosure document.
5. Guidance note – Do’s and Don’t for trading on Exchange(s) for Investors.
6. Terms and Conditions for avaiting Transaction Using Secured Texting (TRUST) Service offered by
CDSL.
7. Executed Copy of KYC

For __________________________________________

Client Code : __________________________________ BO ID : 12059100___________________

Client’s Signature ( 17)______________________________

(should be signed with Rubber Stam, if applicable)

Note: The standard documents (Client Copy) are also available in vernacular language on our Website:
www.lakshmishree.com and can be downloaded at any point of time for reference.
 Tariff Sheet (For Trading )
A. BROKERAGE NSE BSE
% Min. Paisa % Min. Paisa
1. Capital Market Segment
Square up Brokerage
(Chargeable for each leg of transcation)
Delivery Brokerage

2. 2. Future & Options Segment

Brokerage in Futures

Brokerage in Options (per lot)

3. 3. Currency Derivative Segment

Brokerage in Futures

Brokerage in Options (per lot)

LIST OF CHARGES ON ACTUAL BASIS

B. OTHER CHARGES
1. Transaction Charges 2. GST on Brokerage / Trading charges / Transaction Charges
3. Stamp Duty 4. SEBI Turnover Charges
5. Securities Transaction Charges 6. Investor Protection Fund (CDS only)
7. Other Charges (If any)
Date : _____________________ Signature of Client: ( 18)_________________________

SCHEDULE OF DEMAT CHARGES (Effective from 01/07/2017)

Sr. No. Activity Fees
1 Account Opening NIL
2 Annual Maintenance Charges For Individual Rs. 350/- + (GST)
For Corporate Rs. 750/- + (GST)
3 Transaction Fee ** A) Buy NIL
B) Sell [Rs. 15/- (Minimum) - 25/- (Maximum) + (GST)
4 Dematerialization ** Rs. 3/- per certificate (Minimum Rs. 15) + (GST)
5 Rematerialization ** Rs. 20/- per certificate + (GST)
6 Creation of Pledge ** Rs. 0.02% of Value Mim 50/- Per Trn. + (GST)
7 Close of Pledge ** Rs. 0.02% of Value Mim 50/- Per Trn. + (GST)
8 Invocation on Pledge ** Rs. 0.02% of Value Mim 25/- Per Trn. + (GST)

 Rs. 600/- ( LIFE TIME AMC **) For Individual only. For Corporate A/c Annual Charges as Prescribed by CDSL.
 Out of Pocket Expenses
 Dematerialization of share mailing charges Rs. 75/- per Dispatch
 Rematerialization of share mailing charges Rs. 75/- per Dispatch
 Delivery instruction through fax will be charges Rs. 5/- per instruction extra
 Rejection charges on failure of delivery Rs. 50/- per instruction.
 Modification of client Master Rs. 100/- per instance. Rs. 25/- for additional Client Master.
 Delivery instruction accepted within 24 hours of execution date will be at client’s sole risks.
 For weekly and fortnight statement charge extra Rs. 5/- per page Postage / Courier Charges will be extra.
 Taxes and other govt. levies will be charged extra as applicable from time to time.
Note:- ** Non refundable and transaction charges as per Schedule.
Client Signature (1st Holder) Client Signature (2nd Holder) Client Signature (3rd Holder)

( 19) ( 19)
( 19)
 POA FOR PAY-IN OF SECURITIES FOR THE PURPOSE OF SETTLEMENT
TO ALL TO WHOM THESE PRESENTS SHALL COME I/WE
_____________________________________________(Name of the BO),
India, Indian Inhabitant SEND GREETING.
Whereas I hold a Beneficiary Account No. 12059100___________________
(BO-ID) with Central Depositary Services (India) Limited, through
Lakshmishree Investment & Securities Pvt Ltd bearing DP-ID 12059100 (DP
SEBI Registration No. IN-DP-CDSL-490-2008) ( 20)
And Whereas I am / We are engaged in buying and selling of securities through Lakshmishree Investment & Securities Pvt
Ltd. A member of NSE, BSE and bearing SEBI registration no. (NSE: INB/INF/INE-231281735) (BSE: INB/INF/011281731)
And Whereas due to exigency and paucity of time, I am / We are desirous of appointing an agent/attorney to operate the
aforesaid beneficiary account of my behalf for a Limited purpose in the hereinafter appearing.
WE KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I /WE THE ABOVE NAMED DO HEREBY NOMINATE
CONSTITUTE/AND APPOINT Lakshmishree Investment & Securities Pvt Ltd. As my / our true and lawful attorney
(hereinafter referred to as the attorney) for me/our and on my/our behalf and in my/our name to do instruct the aforesaid ( 20)
purpose of Depository Participant to debit securities and /or to transfer securities from the aforesaid account for the
purpose of the delivering the same to the clearing house of the recognize stock exchange toward any segment in respect of
securities sold by me through them.
This authority is restricted to the settlement obligation/Margin Obligation arising out of the transaction effected by me/our
through Lakshmishree Investment & Securities Pvt Ltd. And I / We ratify the instructions given by the aforesaid Clearing
Member to the of Depository Participant to transfer securities held in my /our aforementioned beneficial owner account (s) ( 20)
or any other account informed by me / us in writing to the stock broker from time to time to the following demat account
No’s-
Sr. DP ID Client ID Type of Signature
No. Account Fist Holder Second Holder Third Holder
1 12059100 00002790 NSE Pool A/c
( 21)_______________ ( 21)_______________ ( 21)_______________
2 12059100 00017558 BSE Pool A/c
( 21)_______________ ( 21)_______________ ( 21)_______________
3 12059100 00000128 Margin A/c
( 21)_______________ ( 21)_______________ ( 21)_______________
4 12059100 00139638 Margin A/c
( 21)_______________ ( 21)_______________ ( 21)_______________
NSE Early Paying
5 11000011 00017252
A/c ( 21)_______________ ( 21)_______________ ( 21)_______________
BSE Early Paying
6 11000010 00023249
A/c ( 21)_______________ ( 21)_______________ ( 21)_______________
On the stock broker maintained for the purpose of settlement of trades and margin obligation arising out of trades executed by me/us on any
recognized stock exchange through the stock broker. However the said power will be restricted to only transfer of securities to the Clearing
member ID allotted to the stock broker by any existing or future exchange that the stock broker has joined /will join as a member or to the margin
account or any demat account linked to the said Clearing Member ID provided that I/We have executed a Client Member Agreement with the
stock broker for such exchanges.
It is agreed that Stock Broker would return to the client(s), the securities that may have been received by it erroneously or those securities that it
was not entitled to receive from the client(s).
It is authorized to the Depository Participant to send consolidated summary of Client's scrip-wise buy and sell positions taken with average rates
to the client by way of SMS / email on a daily basis, notwithstanding any other document to be disseminated as specified by SEBI from time to
time.
I / We further agree and confirm that the powers and authorities conferred by this Power of Attorney is binding me / us until. I / we intimate you
(Lakshmishree Investment & Securities Pvt. Ltd.) to withdraw this authority.
Signed and Delivered by
Client-Name and Signature Lakshmishree Investment & Securities Pvt. Ltd.
Name ___________________ _______________ _________________ Name _______________
Signature ( 22)_ ____________ ( 22)_______________ ( 22)_______________ Signature________________
(All Joint Holder must be signed)
Please go through the terms and conditions of agreement and risk disclosure documents carefully before signing
Witness-Name and Signature Witness- Name and Signature
Name _______________________________________ Name _______________________________________
Address_______________________________________ Address_______________________________________
Signature______________________________________ Signature______________________________________
Place ________________________ Date ___/____/__________ Attestation by Notary Public:
The foregoing instrument was executed before me on the ________________ day of _______________20____________ by____________
 VOLUNTARY
ECN MANDATE
MANDATE TO ISSUE CONTRACT NOTES, DAILY MARGIN STATEMENT, QUARTERLY STATEMENT AND DEMAT
HOLDING & TRANSACTION STATEMENT, BILL Etc. IN ELECTRONIC FORMAT

Date:___________________

To,

M/s Lakshmishree Investment & Securities Pvt Ltd

401, Marathon Icon, Marathon nextgen, Ganpatrao Kadam Marg,
Peninsula Business Park, Lower Parel,
Mumbai – 400013
Dear Sir,

I/ We request you to send me/us contract notes/ demat statement/transaction statement and other document
through Email on my/our designated email address _______________________________________________

I / We will completely rely on the log reports of your software as a conclusive proof and will inform you if any change
in my/our email Id in future through written consent.

I / We hereby also accept the stated statement Non receipt of bounced mail shall amount to delivery of contract note at
the email

Thank you

Signature:- ( 23)_______________________________________

Client Name:_______________________________ Client Code:_____________

BOID :12059100____________

Mobile number___________________________________

Terms and conditions :

Terms and conditions for availing the facility of the electronic Contract Notes, Daily statement pertaining to settlement & Quarterly statement
digitally signed and Demat holding and transaction statement are as follows.
1. The client will ensure availability of the above mentioned e-mail Id at all times.
2. Non-receip of bounced e-mail notification by LISPL can be safely taken of having been received.
3. The client shall update for any change in e-mail ID through a duly executed physical letter.
4. Electronic Contract Notes, Daily marging statement , Quarterly statement and Demat holding and transaction statements will also be
available on URL http://backoffice.lakshmishree.com/shrdbms/userlogin.ss
5. Client can view the electronic conract Notes, Daily marging statement , Quarterly statement and Demat holding and transaction statements
on URL by using the username & password.
6. Electronic Contract Notes will be archived at an interval of 15 days, if the client intends to view the electronic contract Notes for a period
prior to 15 days, client may request for the same in writing.
7. In case of any failure in system or errors the same will be issued in physical form, which shall be binding on the client.
8. Mandate can be revoked at any time with the issuance of physical letter.
 FATCA / CRS DECLARATION FOR INDIVIDUAL ACCOUNTS
NON-MANDATORY

Note – The information in this section is being collected because of enhancements to Lakshmishree Investment & Securities Pvt.
Ltd. new account on-boarding procedures in order to fully comply with Foreign Account Tax Compliance Act (FATCA)
requirements and the Common Reporting Standards (CRS) requirements pursuant to amendments made to Income-tax Act,1961 read
with Income-tax Rules, 1962.
For more information refer:
http://www.incometaxindia.gov.in/dtaa/other%20agreements/india_iga_final-_india_english.pdf
http://www.oecd.org/ctp/exchange-of-tax-information/automatic-exchange-financial-account-information-common-reporting-standard.pdf

(We are unable to provide advice about your tax residency. If you have any questions about your tax residency, please contact your tax advisor)
Section I Part A (All fields are mandatory)
Details of Account Holder
1 Trading code:

Client ID (To be provided if demat account is with LISPL): 1 2 0 5 9 1 0 0

Name of Account Holder
2
Address for Tax Residence (include City, State,
3 Country and Pin code)
Address Type(Tick whichever applicable)
4 Residential Business Registered Office
5
Do you satisfy any of the criteria mentioned below?
a. Citizen of any country other than India (dual /multiple) [including Green card] NO YES
b. Country of birth is any country other than India NO YES
c. Tax resident of ANY country / ies other than India NO YES
d. POA or a mandate holder who has an address outside India NO YES
e. Address or telephone number outside India NO YES
If your answer to any of the above questions is a ‘YES’, please fill Section II of the form, else go to declaration & acknowledgment
Section II - Other information (Please fill in BLOCK LETTERS)
Father’s name________________________________ (If PAN not available, then mandatory)
Country of Birth’ ________________________ Place of birth ____________________
‘(If US , however nationality and/or country of tax residency is not US , please provide documentary evidence as mentioned in
Instruction 1)
Source of Wealth ____________________ Nationality________________

Please list below the details, confirming ALL countries of tax residency/ permanent residency/ citizenship and ALL Tax
Identification Numbers

Country of Tax residency Tax identification no $ Tax identification document (TIN or

functional equivalent)

$ It is mandatory to supply a TIN or functional equivalent (in case TIN not available) if the country in which you are tax resident
issues such identifiers. If no TIN /functional equivalent is yet available or has not yet been issued, please provide an explanation
below.
_______________________________________________________________________________________________
 Declaration & Acknowledgement I _________________________________________________ being the beneficial owner of
the account opened / to be opened with Lakshmishree Investment & Securities Pvt.
Ltd.(LISPL) and the income credited therein, declare that the above information and
information in the submitted documents to be true, correct and updated, and the submitted
documents are genuine and duly executed.
I acknowledge that towards compliance with tax information sharing laws, such as FATCA /
CRS, LISPL may be required to seek additional personal, tax and beneficial owner
information and certain certifications and documentation from the account holder. Such
information may be sought either at the time of account opening or any time subsequently. In
certain circumstances (including if LISPL does not receive a valid self-certification from me)
LISPL may be obliged to share information on my account with relevant tax authorities. If
there be any change in any information provided by me I ensure that I will Inform
LISPL promptly, i.e., within 30 days.
Towards compliance with such laws, LISPL may also be required to provide information to
any institutions such as withholding agents for the purpose of ensuring appropriate
withholding from the account or any proceeds in relation thereto. As may be required by
domestic or overseas regulators/ tax authorities, LISPL may also be constrained to withhold
and pay out any sums from my account or close or suspend my account(s).
I also undertake that the account will be reported if any one of the aforesaid FATCA / CRS
criteria for any of the account holders i.e. primary or joint (in case of demat account) are met

Customer Signature
( 24)_______________________________________
Date
Office Use Section:
Signature Verified
Name of the Employee
Employee Code
Designation of the employee
Date
Place of Verification
Instructions to the Form
In case customer has the following Indicia pertaining to a foreign country and yet declares self to be non-tax resident in the respective
country, customer to provide relevant Curing Documents as mentioned below:
S. No. FATCA/ CRS Indicia observed (ticked) Documentation required for Cure of FATCA/ CRS indicia
1 U.S. place of birth 1. Self-certification that the account holder is neither a citizen of United States of
America nor a resident for tax purposes;
2. Non-US passport or any non-US government issued document evidencing
nationality or citizenship (refer list below); AND
3. Any one of the following documents:
a.- Certified Copy of “Certificate of Loss of Nationality or
b.- Reasonable explanation of why the customer does not have such a certificate despite
renouncing US citizenship; or
c. - Reason the customer did not obtain U.S. citizenship at birth
2 Residence/mailing address in a country other than Residence/mailing address in a country other than India
India or
or Telephone number in a country other than India
Telephone number in a country other than India
3 Standing instructions to transfer funds to an 1.Self-certification that the account holder is neither a citizen of United States of
account maintained in a country other than America nor a tax resident of any country other than India; and Documentary evidence
India (other than depository accounts) (refer list below)
4 POA granted to a person with an address in a 1.Self-certification that the account holder is neither a citizen of United States of
country outside India America nor a tax resident for tax purposes of any country other than India; OR
2.Documentary evidence (refer list below)
List of acceptable documentary evidence needed to establish the residence(s) for tax purposes:
1.Certificate of residence issued by an authorized government body*
2.Valid identification issued by an authorized government body* (e.g. Passport, National Identity card, etc.)
*Government or agency thereof or a municipality of the country or territory in which the payee claims to be a resident.
 DECLARATION FOR MOBILE NUMBER AND EMAIL ID VOLUNTARY
(Mandatory if E-mail ID or Mobile No. is already registered with us)
Date:- _____________________

To,
M/s Lakshmishree Investment & Securities Pvt. Ltd.
401, Marathon Icon, Marathon nextgen, Ganpatrao Kadam Marg,
Peninsula Business Park, Lower Parel,
Mumbai – 400013

Subject : Common Mobile number / Email ID for Trading account and Demat accounts.

Dear sir,

I , Mr/Mrs/M/s ___________________________________________________ would like to confirm that the mobile number

__________________ and Email ID ____________________________________________________ is registered in my name.
I am your registered client having trading code as ______________ and demat account number as 12059100______________.
Upon understanding from you that my/our mobile number/email id is registered with some of the clients who have trading and
/ or demat accounts with you. I have to state that this in my full knowledge and I have consented to the below clients who are
my relative/s to state my Mobile Number/Email ID is their KYCs to which I have no objection. All the transactions in their
accounts are not only done as per their respective instructions but they are well conveyed by us of all the SMS/Email belonging
to them which are sent by you to us on our above mobile number/email id.
All these below clients also do not have any objection to the same, in consent they have also signed:
Sr. No. Client Name Trading Code Demat A/c Relation
1.
2.
3.
4.
5.
However, in case of any further regulatory requirements, I/we undertake to abide upon hearing form you.

Thanking you.
Name : __________________________ Note : the close relatives ONLY to be
Address : __________________________ included are – Spouse, Dependent
__________________________
Children and Dependent Parents.
Client Signature : ( 25)___________________

MANDATE FOR AUTHORIZED REPRESENTATIVE

VOLUNTARY
I / We __________________________________________ having account bearing No. ______________ with M/s Lakshmishree
Investment & Securities Pvt. Ltd. hereby authorize ________________________Son/ Wife/ daughter of
_________________________________________ here in after referred to as either mandate holder or authorized representative whose
signature is given below, to trade on my/ our behalf and I/We further accept that all obligations arising out of trade executed by such
persons will be met by me/us. Further, I/We authorize you to accept all instructions, from such person pertaining to settlement of
transaction in my/our account.
I/We also undertake to identify M/s Lakshmishree Investment & Securities Pvt. Ltd. for all dues, penalties and incidental expenses
relating to, and arising out of and in connection with M/s Lakshmishree Investment & Securities Pvt. Ltd. transactions pertaining to
trading account No. _________ With M/s Lakshmishree Investment & Securities Pvt. Ltd. And operated by my/our mandate holder or
authorized representative.
Place: ________________________________ (Signature of mandate Holder) ____________________
Date:_________________________________
Witness Signature: ______________________ (Signature of Client) ( 26)________________________
Note: In case the client does not sign the mandate, order, instructions and payment/transfer advises shall not be accepted in the client account from
person(s) other than the client. It is adviced that the client thereby authorizes persons to avoid transaction/settlement issues in his/her absence.
 RUNNING ACCOUNT AUTHORISATION VOLUNTARY

Date…………………………

M/s Lakshmishree Investment & Securities Pvt. Ltd.

401, Marathon Icon, Marathon nextgen, Ganpatrao Kadam Marg,
Peninsula Business Park, Lower Parel,
Mumbai – 400013

I /We are dealing through you as a client in capital market and/or future & option segment and/or currency 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
Amounting to Rs. __________ (≤ Rs 10000/-) and to use the unused funds towards my 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 account.

3) I / We request you to settle my / our fund and securities account. Once in every calendar Quarterly 
Monthly  (Tick whichever is preferred) or such other higher period as allowed by SEBI/Stock Exchange time
to time, as specified by me in your Back office System, except the funds 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 obligation 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 agree not to claim any interest from you on such securities/funds so retained by you.

6) 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 30 working days from the date of receipt of funds/securities or statement related to it.

7) I /We confirm you that I can revoke the above mentioned authority at any time.

Client Name___________________________________ Signature( 27)________________________

Client Code___________________________________ PAN No. ______________________________

Witness(1) Name___________________________ Signature___________________________

(2) Name______________________________ Signature______________________________

 UNDERTAKING FOR SECURITIES COLLATERAL
VOLUNTARY
I/We do hereby solemnly affirm and declare as under:
1. That during the course of my / our trading investing through M/s. Lakshmishree Investment & Securities Pvt. Ltd.
(LISPL) on the National Stock Exchange of India ltd ( NSE) / Bombay stock Exchange (BSE), securities shall be
provided by me /us and be accepted at its terms as collateral for maintenance of margins / providing trading limits on
any or the exchange segment.

2. The securities transferred by me / us to LISPL. shall be from beneficial account held in my name /joint name and any
transfer of securities from any other beneficial owner account (referred as third party henceforth) shall not be
acceptable.

3. That I/We undertake to provide/ facilitate necessary written authorization from the third party for effecting account
with LISPL.

4. That I / We hereby authorize LISPL to utilize any such securities retained in my account with LISPL in any exchange
with you in any in any exchange/segment toward collateral.

5. That I / We hereby authorize LISPL to deposit/pledge these securities with a clearing house/clearing
member/custodian/bank or other such entity that shall be accepting these securities to provide or adjust for case limit /
margin.

6. That these securities shall be valued at current market prices and credit (referred as collateral amount) shall be assigned
only after applying the due hair-cut percentage which shall vary from security.

7. That I / We undertake to replenish any shortfall in the value of securities in the form of additional securities and/or
cash, as is acceptable to LISPL by the start of the next trading session from the time of LISPL intimating me / us on
such shortfall either verbally or / our in writing.

8. That I / We hereby authorize LISPL to dispose/liquidate my securities to meet any shortfall in margin and /or adjust
any outstanding dues in my / our account with LISPL.

9. That I / We have given the above authority to LISPL with free consent and without any pressure, threat or coercion
from any corner whatsoever.

10. That I / We shall intimate LISPL at least 5 working days in advance for any release of securities from its custody
/from such entity with which those securities may have been deposited / pledged. I/We accept that LISPL shall not be
releasing the securities pending any outstanding positions and dues in my / our account with LISPL.

11. That I / We shall intimate LISPL at least 2 days in advance, but under no circumstance later than “ T ”day ( ‘T ‘
refers to a sale transaction date) to adjust my / our securities with you against my / our sale obligation in the same
securities in any exchange – segment. I / We here by undertake to fulfill any shortfall in the collateral amounts
arising out of such adjusting of securities before the scheduled securities pay –in- date at the exchange, failing which
LISPL will abide by the auction rules of the exchanges.
12. That in future I / We shall not make any claim from LISPL in any manner whatsoever for any losses and costs arising
of shortage in securities pay-in mentioned in point 10 & 11 and delay in releasing my / our securities due to reasons
associated with depository participant/clearing house/custodian clearing member/ bank of any such entity as referred
in point 5 above
13. That this is my / our true irrevocable statement and shall communicate to apply until my / our trading rights with
LISPL is terminated and /or until all my obligations and dues are completely fulfilled and settled to the satisfaction of
LISPL.

( 28)________________________
Name & Signature of the Client
 LETTER OF AUTHORITY & DECLERATION VOLUNTARY

I/We are dealing in securities with M/s Lakshmishree Investment & Securities Pvt. Ltd. (LISPL) at NSE/BSE/MCX-SX in Cash,
Derivative & Currency Segment and in order to facilitate ease of operations, I/We authorize LISPL as under :

1. I/We authorize LISPL to set off outstanding in any of our accounts against credits available or arising in any other accounts
maintained with LISPL irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of
the Exchange or in any other exchanges and/or against the value of cash margin or collateral shares provided to LISPL by us.

2. I/We hereby authorize LISPL 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 notes issued by LISPL.
If it is required additionally, I/We confirm that levy of charges as per broker policy on the physical issuance of the contract
note and other documents.

3. I/We hereby authorize LISPL to keep all the securities which we give you in margin including the payout of securities received
by us 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 our behalf or for giving the same
as margin to the Stock Exchange or otherwise.

4. I/We request you to retain credit balance in any of my/our account and to use the idle funds towards our margin/future
obligations at any or both the Exchanges unless I/We instruct you otherwise. I/We also authorize LISPL to debit the necessary
demat charged from time to time, for keeping the shares in your client demat beneficiary account on my/our behalf.

5. I/ We request LISPL to retain Securities in your Demat account for my/ our margin/future obligations at all Exchanges,
unless I/We instruct LISPL to transfer the same to my/our account. I/We request LISPL to consider my/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 LISPL.

6. I/We shall not hold LISPL or any of its employee/official/agent/affiliate responsible or liable for any information,
recommendation or advice with respect to any investment/trading decision or transaction, and if so acted upon by me/us, the
same shall be at my/our sole risk and cost.

7. LISPL may restrict my/our trading as per their risk management and/or due diligence policies or any other reason inspite of
my/our having paid full margin. I/We will comply to their requirements then which may include submission of updated
documents, undertaking, financial etc.

8. LISPL and its directors, officers, employees, and agents shall not be responsible or liable for any losses suffered or which may
be suffered by me/ us, arising from any delay or failure in the transmission, receipt, execution or confirmation of orders due to
any breakdown, interruption or failure of transmission of the Internet, computer network, software, hardware, other computer
devices, Internet system and any problem arising from my/our side.

9. LISPL and/or its agents will not be liable for losses caused directly or indirectly by government restriction, Exchange or
market rulings, suspension of trading, computer, communication, telephone or system failure, war, earthquakes, flood, accident,
power failure, equipment or software malfunction, strikes or any other conditions beyond its control.

10. I/We do hereby confirm that I/we shall not deposit any third party cheque towards meeting my/our obligation for the trades
executed by me/us and hence shall not hold LISPL against any such credit.

11. It shall be my/our responsibility to check the data provided through SMS Alert Service or Email services with the actual
Contract Notes/Financial Ledgers given by LISPL. The messages flashed shall be merely reminders for my/our convenience
that I/we shall take all my/our actions based on the normal confirmation received by me/us. I/we agree to inform LISPL
of any changes in the mobile number on which the updates are required.

12. I/We undertake that I/we shall not hold LISPL, its Directors or Officers liable towards my/our acceptance of any lucrative
offer of fixed return on investment without the knowledge of the Company and the onus to bring the same to the notice of
the Company lies with me/us.

13. I/We undertake that if any claim or dispute arises between us in respect of any transactions, contracts, etc. entered into on
my/our account, I/We shall be bound to refer it to Arbitration as per the Rules, Bye-Laws and Regulations and conventions
of the SEBI and/or exchange(s) which are applicable to me/us.
14. I/We agree to abide by client level position limit and authorize LISPL not to increase my/our open position beyond the
stipulated limit, and if inadvertently exceeded, to actually reduce and bring it within acceptable limits. I/We further authorize
LISPL to debit my/our ledger for any penalty imposed on you for my/our violation towards position limit.

15. I/ We will not plant any false or misleading news which may induce sale or purchase of Shares/Securities.

16. I / We will not sell, deal or pledge any of the stolen or counterfeit security whether in physical or dematerialized form. I/We will
not act in such a manner amounting to manipulation of the price of a security.

17. I/ We will not advance or agree to advance any money to any person thereby inducing any other person to offer to buy any
security.

18. I / We will not introduce any kind of money acquired illegally in the financial system. I / We will submit the necessary
documents / information required under the PMLA and/ or any other statute.

19. I / We will not carry out any unfair trade practices such as Synchronized deals, Structured deals, Circular Trading.

20. I/We request that LISPL may send/dispatch me/us contract notes other documents through E-mail : on my/our Designated e-mail
address of ____________________________________________________.
I / We will completely rely on the log reports of your dispatching software as a conclusive proof of dispatch of e-mail to me/us and
will not dispute the same.

21. I/We will inform LISPL the change my/ our my e-mail, if any, in future either by regd. post or through a digitally Signed e-mail.

22. Trading of all Exchanges is in Electronic Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of
technologies and computer systems to place and route orders. I / We understand that there exists a possibility of communication
failure or system problems or slow or delayed response from system or trading halt, of any such other problem/glitch whereby not
being able to establish access to the trading system/ network, which may be beyond your control and may result in delay in
processing or note processing buy or sell Orders either in part or in full. I/ We agree thet I/ We shall be fully liable and responsible
for any such problems / fault.

23. I/We confirm that I/we will never sublet the trading terminal on any term of connectivity, from my/our place to any other place
without your prior approval.

24. I/We agree for inter-settlement transfer of securities towards settlements.

25. I/We agree for & authorize LISPL to with hold funds pay-out towards all the applicable margins and debits.

26. All fine / penalties and charges levied upon LISPL due to my acts/deeds or transactions may be recovered by LISPL from my
account.

27. I/We have a Trading as well as depository relationship with... ......................................................................... . Please debit the
charges relevant with depository services from my/our trading account on monthly basis. I/We also agree to maintain the adequate
balance in my / our trading account / pay adequate advance fee for the said reasons.

28. I / We can revoke the above mentioned authority at any time.

Yours faithfully,

Client Code……………………………. Client Signature ( 29)……………………………………

 Consent to avail Margin Trading Facility
To,
LAKSHMISHREE INVESTMENT AND SECURITIES PVT LTD (LISPL), 401 MARATHAN ICON, G. K. MARG LOWER PAREL, MUMBAI-
400013

Dear Sir,

I/We am/are registered client with you and having Trading code ………………………….. & DEMAT A/c
No…………………………………………..willing to avail margin Trading Facility (MTF) offered by you.
I/We hereby confirm that I /we had read and understood & agree with the right and obligation as prescribed by NSE & BSE. Also I/We had received hard
copy of Right & Obligation as prescribed by NSE & BSE separately from you. The same is also available on the company website www.lakshmishree.com
from where we can see and download the same in future if any change done.

Signature 30)……………………………….…… 30)……………………………………… 30)……………………………………..

Further, I/We undertake, authorize, confirm and agree the term & Condition prescribed by LISPL for Margin Trading Facility as given below…………….

1. The initial margin payable by the client to LISPL shall be in the form of cash, cash equivalent or Group 1 equity shares, with appropriate hair cut as
specified in SEBI master Circular No. SEBI/HO /MRD/DP/CIR/P/2016/135 dated December 16, 2016. Such margin can be changed from time to time
or may be decided by the management of LISPL. Such margin prescribed by LISPL may be higher than the quantum prescribed by regulatory
provisions. The client shall pay applicable initial margin or such other margins as are considered necessary by the stock broker or as may be directed
by SEBI / exchange(s) from time to time as applicable to margin trading segment in which the client trades.
2. As per SEBI circular No. CIR/MRD/DP/54/2017 dated June 13, 2017, Equity Shares that are classified as “Group I Security” by SEBI only shall be
eligible for MTF. LISPL, at its discretion, may not provide funding under MTF to certain equity shares though classified to be “Group I Security” by
SEBI. Equity shares shortlisted by SEBI/EXCHANGE for funding (Approved List) shall be as displayed on LISPL website
WWW.LAKSHMISHREE.COM from time to time. In order to avail of margin facility, the minimum initial margin required to be provided by the
Clients, as prescribed by SEBI/Stock Exchanges, is as under: VaR + 3 times of applicable ELM in case of F & O Stocks (i.e., stocks available for
trading in the F&O Segment. VaR + 5 times of applicable ELM in case of stocks other than F & O Stocks. VaR and ELM shall mean VaR and ELM
as applicable to respective stocks in the cash segment.
3. Leverage & exposure: LISPL shall provide exposure to client based on exposure limit as prescribed by SEBI/exchange(s) from time to time. However
based on market conditions and the risk perception about the market, LISPL may set the exposure limit on the basis of available collaterals which may
comprise of ledger balance and stocks (after suitable margin haircut). In case overall position in particular scrip or across all scrip has reached the
particular limit, then client may not be allowed to take further position. Collateral provided by client towards margin shall be free from any lien and be
totally unencumbered.
4. Initial margin, increased margin, margin shortage, margin calls, maximum allowable exposure, maximum stock specific exposure, trade confirmation,
square off intimation and such other information in relation to MTF shall be communicated electronically through one or many or all of the following
modes, viz email, SMS & telephone calls.
5. The margin requirement of client may be changed due to but not limited to, the following Factors -, market volatility, risk management policy of
LISPL. LISPL will communicate / advice the parameters for the calculation of the margin / collateral requirement as rate(s)/Percentage(s) of the
haircut and/or as VAR / ELM requirement through any one or more means or methods such as by messaging on the computer screen of the client’s
computer by informing the client through employees / agents of LISPL, by publishing /displaying it on the website of LISPL/ making it available as a
download from the website of LISPL; or any other suitable or applicable mode or manner. The client shall monitor his /her / its position (including
valuation of collaterals) on his / her / its own and provide the require / deficit margin / collateral as required from time to time whether or not any
margin call or such other separate communication to that effect is sent by LISPL To the client and / or whether or not such communication is received
by the client to avoid any liquidation.
6. The client agrees that LISPL shall not be responsible for variation, reduction or imposition or the client’s inability to create any position through
LISPL‘s trading system on account of any such variation, reduction or imposition of limits. The client further agrees that LISPL may at anytime, at its
sole discretion and without prior notice prohibit or restrict the client’s ability to create position in securities through LISPL or it may liquidate the
position/sell shares or subject any position by the client to a review before its creation and may refuse to create position due to the reason of lack of
margin/collateral market perception and any other such reasons which LISPL may deem appropriate in the circumstances. The client agrees that the
financial charges and losses, if any on account of such refusal, liquidation or due to delay caused by such review under MTF or otherwise, shall be
borne exclusively by the client alone.
7. In addition to powers granted by way of power of attorney of executed at the time of account opening, the client hereby authorize LISPL to transfer or
pledge the stock held in the demat account with LISPL. LISPL has a right to lien and / or pledge the securities / collaterals and its corporate benefits, if
any, lying in demat account of client, or the securities bought by the client under the margin trading facility and shall continue to hold / pledge till the
amount due in respect of the said transaction including the dues to LISPL is paid in full by the client.
8. Margin requirement on shares purchased under MTF shall be computed by grossing applicable margin i.e., minimum initial margin plus increased
margin, if any, on each stock and shortage computed accordingly by deducting available margin from gross margin. Collateral shares and shares
purchased under MTF (Funded Shares) shall be marked to market daily for the purpose of computing the margin/shortage of margin.
9. Applicable minimum initial margin and increased margin, if any, shall be kept supplied at all times by the clients in respect of the stocks purchased
under the MTF. Client shall pay any shortage in the required margin immediately on receiving demand (margin call) and in any
 case not later than 09.30 A.M on the trade day following the day of making the margin call (prescribed time) failing which LISPL shall be at liberty to
liquidate the funded shares and/or collateral shares to recover the dues outstanding in the account of the clients. In case of extreme volatility in the
market, LISPL may demand payment of margin forthwith and prescribed time for making margin payment shall be construed accordingly. Decision of
LISPL in relation to market volatility shall be final and binding without LISPL having to provide any reason for the decision to the Client.

10. If required margin is not provided within the prescribed time, client shall be treated as Client in margin default. LISPL shall not be obliged to notify the
Client in margin default of the liquidation of shares, ahead of liquidation. LISPL shall be obliged to liquidate shares proportionate to the shortage in
margin.
11. Client in margin default shall continue to be in margin default, until the required margin is furnished in full to eliminate the shortage. Partial payment
of margin or a change in the required margin shall not extend the time stipulated for making margin payment which will run from the time of making
margin call to the Client.
12. In case margin is reduced by an amount equal to applicable ELM component of the total margin due to market volatility within a trading day (i.e.
available margin becomes equal to or less than applicable VAR margin), LISPL reserves the right to liquidate the collaterals and/or funded shares
forthwith without prior notice to the Client.
13. MTF Clients purchasing shares not specified in LISPL Approved List of Group 1 securities shall be required to 100% margin upfront for such
purchases.
14. If any shares are delisted from Group 1 Approved List, Client shall be required to make payment of full purchase consideration against such shares on
receiving margin call within the prescribed time, failing which LISPL shall be at liberty sell such shares without further notice to the Client.
15. If a Client is debarred by orders of lawful authority from trading in the securities market, LISPL shall liquidate collateral and funded shares of the
Client to recover its dues to the full extent forthwith.
16. In case of death of a Client, LISPL shall be entitled to liquidate the collateral and funded shares under MTF and recover the unpaid outstanding due.
17. Any loss arising from liquidation of the shares shall be charged to the account of Client. Client shall forthwith pay LISPL any unpaid dues outstanding
in the account after liquidation of the shares.
18. LISPL reserves the right to withdraw MTF with respect to any Client without assigning any reason after giving a reasonable notice to the Client in
which case dues if any outstanding in the account of the Client shall become payable immediately. Failure to make payment of the outstanding dues
shall result in liquidation of collateral and/or funded shares held in Client’s account.
19. Client may terminate the MTF account after paying all dues in the MTF account.
20. The stocks deposited as margin collateral and funded stock shall be identifiable separately and no compiling shall be permitted for the purpose of
computing funding amount.
21. LISPL may at its option allow Client to buy further shares under MTF on the basis of increase in the value of collateral shares, subject to applicable
hair cut. Further purchase shall not be permitted on the basis of increase in the market value of funded shares.
22. IPF shall not be available for transactions done on the Stock Exchange, through MTF, in case of any losses suffered in connection with the MTF
availed by the client.
23. LISPL shall restrict the maximum gross exposure as well as individual stock-wise exposure of a client under the MTF at any point in time according to
its internal policies and market views without assigning any reasons to the client. Furnishing applicable margin shall not by itself entitle the Client to
seek exposure beyond the limit restricted by LISPL.
24. Admitting Clients for MTF shall be at the discretion of the Stock Broker/Trading Member. Clients request for admission to MTF may be disallowed
without assigning any reason.
25. By agreeing to avail of MTF, the Client shall be deemed to have authorized LISPL to retain and/or pledge the shares purchased under MTF (funded
shares) and collateral shares provided as margin till the amount due in respect of the purchase and all other dues are paid in full by the Client.
26. LISPL shall maintain separate ledgers for funds and securities of the client availing of MTF.
27. Client agree to pay interest at the rate of 24 % p.a (plus taxes, if any applicable) on debit arising out the exposure availed by the client (i.e the amount
finance by LISPL),compounded monthly any charges as mutually agreed from time to time.
28. Until full payment of the outstanding dues in the MTF A/c is made by the client, collateral shares and funded shares, as far as may be required, shall be
retained in the DEMAT A/c of LISPL, separately identified as collateral shares and funded shares.
29. Daily margin statement sent to the MTF Clients shall identify margin/collateral for MTF transaction separately.
30. Margin Trading Account where there is no transaction for 90 days and no dues outstanding from the client shall be settled immediately.
31. In case Client does not opt for MTF, all dues on account of purchase of shares, accrued /accruing, shall be payable immediately/on or after T+7 failing
which LISPL shall sell the shares to liquidate /reduce the dues and remaining unpaid dues, if any, shall become payable forthwith.
32. Any disputes arising between the client and LISPL in connection with the margin trading facility or anything incidental or ancillary therewith, the
client shall raise/report the same to LISPL not later than within 24 hours of receipt of contract note for the disputed transaction, shall have the same
treatment as normal trades and will be covered under the investor grievance redressal, mechanism, arbitration mechanism of the stock exchange.

Signature 31)……………………………….…… 31)……………………………………… 31)…………………………………….

 Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL
[SMS Alerts will be sent by CDSL to BOs for all debits]
Definitions:
In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:
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. Towers, 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
accountholders who have provided their mobile numbers to the depository through their DP. The services 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 the 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 service 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 acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptible to
error, omission and/ or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the
depository and/ or the DP immediately in writing and the depository will make best possible efforts to rectify the error 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 on account of opting to
avail SMS alerts facility.
5. The BO authorizes 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 with out proper authorization, the BO should
immediately inform the DP in writing.
Fees:
Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.
Disclaimer:
The depository shall make 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 gives no warranty with respect to the quality of the service provided by the service provider. 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 any 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, charges and
expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of
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 purposes of generating SMS Alerts by service provider, to be sent to the said mobile number.
I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto
made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to
time.
I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the
BOs would be required to take up the matter with their DP.
I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the
depository for providing the service.
I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).

DP ID 1 2 0 5 9 1 0 0 BO ID
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)
Sole / First Holder’s Name : _________________________________________________________________
Second Holder’s Name : ____________________________________________________________________
Third Holder’s Name : ______________________________________________________________________

Mobile Number on which

messages are to be sent +91

(Please write only the mobile number without prefixing country code or zero)

The mobile number is registered in the name of: _________________________________________________

Email ID: ________________________________________________________________________________

(Please write only ONE valid email ID on which communication; if any, is to be sent)
Client Signature (1st Holder) Client Signature (2nd Holder) Client Signature (3rd Holder)

( 32) ( 32) ( 32)

Place:_____________________ Date:__________________
 OPTION FORM FOR ISSUE OF DIS BOOKLET
DATE
DP ID 1 2 0 5 9 1 0 0 CLIENT ID
First Holder Name
Second Holder Name
Third Holder Name

TO,
LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD.
2ND FLOOR, 57 GANDHI NAGAR, SIGRA,
VARANASI – 221 010

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 immediately on opening my / our CDSL account though I / we
have issued a Power of Attorney (POA) in favour of LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD for executing delivery
instructions for setting stock exchange trades [settlement related transactions] effected through such Clearing Member.

Yours faithfully
First/Sole Holder Second Joint Holder Third Joint Holder
NAME

SIGNATURES
( 33)__________________________ ( 33)__________________________ ( 33)_________________________

OR
OPTION 2:
I / We do not require the Delivery Instruction Slip (DIS) for the time being, since I / We have issued a POA agreement in favour of / with
LAKSHMISHREE INVESTMENT & SECURITIES PVT LTD. for executing delivery instructions for setting stock exchange trades [settlement
related transactions] effected through such Clearing Member. However, the Delivery Instruction Slip (DIS) booklet should be issued to me
/ us immediately on my / our request at any later date.

Yours faithfully
First/Sole Holder Second Joint Holder Third Joint Holder
NAME

SIGNATURES
( 33)__________________________ ( 33)__________________________ ( 33)________________________
NMF II Platform IIN No. Investor Form
Advisory / Distributor : ARN77739 / Lakshmishree Investment & Securities Pvt Ltd.
Unit Holder Information
Name of the First Applicant :
PAN/Exempt No.: Date of Birth : Tax Status* : cKYC Ref No. :
Father Name : Mother Name :
Name of Guardian : Date of Birth : PAN/Exempt No. : cKYC Ref No. :
Contact Address :
City : Pincode : State : Country :
Tel.(Off) : Tel.(Res) : Email :
Fax.(Off) : Fax.(Res) : Mobile:
Mode of Holding : DP ID : Occupation :
Name of Second Applicant : PAN/Exempt No. :
Second Applicant Email: Second Applicant Mobile :
Second Applicant Date of Birth : Second Applicant cKYC Ref No. :
Name of Third Applicant : PAN/Exempt No.:
Third Applicant Email : Third Applicant Mobile :
Third Applicant Date of Birth : Third Applicant cKYC Ref No. :
Other Details
Overseas Address (If investor is NRI) :
City : Pincode : Country :
Bank Mandate Details
Name of Bank : Branch :
A/c No. : A/c Type : IFSC Code :
Bank Address :
City : Pincode : Country :
Nomination Details
Nominee Name 1 : Date of Birth: Relationship : Percentage :
Guardian Name(If nominee 1 is minor) : Guardian PAN
Nominee Address :
City : Pincode : State :
Nominee Name 2 : Da*te of Birth: Relationship : Percentage :
Guardian Name(If nominee 1 is minor) : Guardian PAN
Nominee Name 3 : Date of Birth: Relationship : Percentage :
Guardian Name(If nominee 1 is minor) : Guardian PAN
Declaration and Signature
I/We confirm that the information provided by me/us is true and correct. I/We acknowledge that the responsibility of the information provided in the registration form solely rests with
me/us and that NSE / NSCCL will not be responsible or liable for any loss, claim, liability that may arise on account of any incorrect and/or erroneous data/information provided by
me/us. I/We hereby confirm that I/we will comply with the terms and conditions for Know Your Customer (KYC).
I am aware that system generated User ID and password will be s ent on the registered mail id. All correspondence/communication in respect of the transactions
including the payment link for online fund transfer will be sent to the registered email address and SMS alerts will be sent to the reg istered mobile number provided at
the time of registration on NMF II. I/we also hereby confirm that the email id and the mobile no. provided at the time of registration by the distributor in the NMF II is
pertaining to me/us and all communication/correspondence/transactions related alerts shall be sent to same email id/mobile no
I/We confirm that for existing investments, I/we had gone through, understood the contents of the Scheme Information Document and Key Information Memorandum, addenda issued
from time to time regarding each Mutual Fund Scheme, in which I/We had choosen to subscribe / redeem. I/We will also ensure that I/we shall go through, understand the contents of
the Scheme Information Document and Key Information Memorandum, issued from time to time regarding each Mutual Fund Scheme, in which I/We will choose to subscribe to /
redeem.
I/We hereby authorize NSE to collect the following data/ information pertaining to my / our mutual fund investments from all Asset Management Companies (AMCs)
and their respective Registrar and Transfer Agents with whom I/We transact: -
1. Distributor wise transaction data for historical, present and future transactions carried out through various transaction platforms including transaction request
submitted at any point of acceptance of the AMCs subject to the condition that the Distributor is registered with NSE NMF II platform.
2. Scheme wise consolidated unit balance available in my account(s) as and when required.
I/We hereby authorize the Distributor, NSE & AMC (including its Registra rs) to utilize my/our KYC information, such as identity, address and signature for the purpose of
validation and to comply with the legal and regulatory requirements. I/We accept that for any transaction submitted offline i .e. with wet signatures, the signature
available in my KYC records would be used for signature verification and in the event of such signature not being available or legible, the AMC would be within its
rights to carry out further checks to validate the authenticity of the request or reject any such offline request.
Date: Place:
Signature 1st Application Signature 2nd Application Signature 3rd Application
*Document Required:

Trust : Trust Deed and Authorised Signatory List

Partnership Firm : Partnership Deed and Authorised Signatory List.
Societies : Bye-Laws and Authorised Signatory List
FII & LLP : Overseas Auditors Certificate,Authorised Signatory List ,Board Resolution/Authorisation to Invest
Corporate : Board Resolution and Authorised signatory List
Minor : Proof of Date of Birth

For all investors, a Cancelled cheque should also be mandatorily submitted as proof of bank account.
Individual Investor – Additional KYC and FATCA compliance mandatory for IIN activation.
Corporate / HUF Investor – Additional KYC, FATCA and UBO compliance mandatory for IIN activation.
Note: For Corporate and HUF investors all forms have to be submitted in physical post making necessary submissions on NMF II platform. Once the submissions are made on the
platform printed version of forms will be generated from NMF platform.
This Investor Form was generated through NMF II platform.
October, 2017