ANNEXURE – 1 - INDEX OF DOCUMENTS

A. MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

S.N. Name of the Document Brief Significance of the Document Pg. No
1. Account Opening Form A. KYC form - Document captures the basic information about
the constituent and an instruction/check list. 2-10
B. Document captures the additional information about the constitu- 11-12
ent relevant to trading account and an instruction/check list.
2. Rights and Obligations Document stating the Rights & Obligations of stock broker/ 13-17
trading member, sub-broker and client for trading on exchanges
(including additional rights & obligations in case of internet/
wireless technology based trading).
3. Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the 18-21
securities market.
4. Guidance Note Document detailing do’s and don’ts for trading on exchange, 22-23
for the education of the investors.
5. Policies and Procedures Document describing significant policies and procedures of 24-26
the stock broker.
6. Tariff sheet Document detailing the rate/amount of brokerage and other 27
charges levied on the client for trading on the stock exchange(s).
B. VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER
1. Running Account Authorisation This letter is authorisation to maintain fund, securities on 28
running account basis & for authorisation to receive contract
as well other relevant documents.
2. ECN Letter This mandate is to authorisitation to issue contract notes in 29
digital mode. It provides terms and conditions for the issuance
of digital contract note.
3. Debit authorisation letter & This letter authorises DP to debit charges of demat account 30
Declaration for NRI/FN to trading account & Declaration under FEMA (if applicable)
4. Letter for Operations of Account This letter is for smooth functioning of account 31
5. Authorisation for SMS/ E mail alert Authorization to receive SMS & Email alerts from stock exchanges. 32
6. Declaration by partnership firm/ To be provided on letterhead of firm (if applicable) 33-35
Format of Resolution

7. Letter for dealing in Mutual Fund This letter is for dealing in units of Mutual Fund. 36
Schemes-BSE Star MF
8. Letter for dealing in Mutual Fund This letter is for dealing in units of Mutual Fund. 37-38
Schemes - NSE Star MF
9. Risk Assessment Letter Risk Assessment of Client in terms of PMLA 2002 39
10. Link Aadhaar Number As per format 40
C. DP SECTION:
1. Checklist & DP FORM Document captures checklist & additional information about 41-45
the constituent relevant to DP account opening form along
with Rights & Obligations.
2. SMS Alert This contains term & conditions regarding SMS alert facility 46-47
3. Option Form for DIS DIS booklet for PMS client. 48
4. e-Statement of account To receive statement of a/c. like holding/transaction/ledger/ 49
bills/debit notes/credit note in electronic mode.
5. DDPI Authorisation for Payouts directly from DP account. 50-51
6. Modification Form Account addition/modification/deletion details to be filled in 53
7. Schedule of Charges (CDSL) Document detailing the charges levied on the client of various categories. 54
8. FATCA As per format 55-57
DISCLOSURE IN TERMS OF SEBI CIRCULAR NO.: SEBI/MRD/SE/CIR-42/2003 DATED NOVEMBER 19, 2003
Dalal & Broacha Stock Broking Pvt. Ltd. caters to Institutional, Corporate, High net-worth and other retail clients through
membership of various exchanges. Dalal & Broacha Stock Broking Pvt. Ltd. besides doing client based business also does its
own investment and/or trading. “Proprietary Trading Disclosure noted”
For Dalal & Broacha Stock Broking Pvt. Ltd.
Director/Authorised Signatory Client’s Signature
 First Director/Partner/Trustee
 To be filled for entity MANDATORY
Know Your Client (KYC)
Application Form (For Non-Individuals Only)
DALAL & BROACHA
Please fill this form in English & in BLOCK letters
STOCK BROKING PVT. LTD.
Fields marked * are mandatory
Fields marked + are pertaining to CKYC and
mandatory only if processing CKYC also Application Number: _________________________
KYC Mode*: Please Tick by Click on Box CKYC Number: _________________________

Application Type*  NEW KYC  Modification KYC

1. ENTITY DETAILS (Please refer guidelines)

PAN* _____________________________ Please enclose a duly attested copy of your PAN Card
Name* (same as ID proof)
_____________________________________________________________________
Date of Incorporation* _____ _____ ____________ Place of Incorporation* ___________________
Date of Commencement* _____ ___________________ Registration Number* ___________________
Entity Type*  Private Ltd. Co.  Public Ltd. Co.  Body Corporate  Partnership
Please tick ()  Trust/Charity/NGO  HUF  FPI Category I  FPI Category II
 AOP  Bank  Government Body  Defence Establishment
 Body of Individuals  Society  LLP
 Non-Government Organization
 Others _____________________
2. Proof of Identity* (Please refer the guidelines)
 Officially Valid Document(s) in respect of person authorised to transact
 Certificate of Incorporation/Formation ____________________  Registration Certificate _____________
 Memorandum of Articles and Association  Partnership Deed  Trust Deed
 Board Resolution  Power of attorney granted to its manager, office, employees to transact on its behalf
 Activity Proof-1* (For Sole Proprietorship Only)  Activity Proof-2* (For Sole Proprietorship Only)

3. Address Details* (Please refer guidelines)

A. Registered Address*
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
B. Correspondence/Local Address in India (if different from above)*
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Applicant Digital Signature (DSC)

o t App licable
N
Proof of Address* (attested copy of any one POA to be submitted-#Not more than 3 months old)
 Certificate of Incorporation/Formation  Registration Certificate  Other document ______________
 Latest Tel. Bill* (Landline only)  Latest Electricity Bill*  Latest Bank Account Statement
 Registered Lease/Sale Agreement of O ce Premises Validity/Expiry Date of POA (Expiry Date) __ ___ ____
 Any other proof of address document (as listed overleaf) ___________________________________________

4. Contact Details* (in CAPITAL)

Email ID* _______________________________________ Mobile No. ________________________________
Email ID* _______________________________________ Mobile No. ________________________________
Tel. (Off.) _______________________________________ Fax ________________________________

5. Annexures Submitted
Number of Related Persons
6. Remarks/Additional Information

7. Applicant Declaration
• I/We hereby declare that the KYC details furnished by me are true Applicant e-SIGN Applicant Wet-signature
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
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misleading or misrepresenting, I am/we aware that I/we may be held

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liable for it.

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• I/We hereby consent to receiving information from CVL KRA through

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SMS/Email on the above registered number/email address.

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No

Date: ___________________ (DD-MM-YYYY)


Place: ___________________
First Director/Trustee/Partner

8. For Office Use Only

KYC carried out by*  Self Certified document copies received (OVD)
 True Copies of documents received (Attested)
KYC Date ____ ____ __________
AMC/Intermediary Name or Code:
Emp. Name: ______________________________________
Pos Code: 1200000162
Emp. Code: ______________________________________ DALAL & BROACHA STOCK BROKING PVT. LTD.
CODE: IN0246
Emp. Designation: _________________________________

Employee Signature and Stamp IPV Stamp & Signature Required

STOCK B
HA
RO
& BROAC

KING PVT

NARIMAN
POINT
MUMBAI
AL

L LT
DA D.
 First Director/Trustee/Partner MANDATORY
Know Your Client (KYC)
Annexure (For Non-Individuals Only) DALAL & BROACHA
STOCK BROKING PVT. LTD.
Please fill this form in English & in BLOCK letters
Fields marked * are mandatory Application Number: _________________________
Fields marked + are pertaining to CKYC and
mandatory only if processing CKYC also CKYC Number: _________________________
Please tick by click of a BOX
Application Type*  NEW KYC  Modification KYC
1. IDENTITY DETAILS of Related Person (Please refer guidelines overleaf)

PAN* _____________________________ Please enclose a duly attested copy of your PAN Card
Name* (same as ID proof) _____ ___________________ ___________________ ___________________
Maiden Name* (if any) _____ ___________________ ___________________ ___________________
Father/Spouse’s Name* _____ ___________________ ___________________ ___________________
Date of Birth* __________________________
Gender*  M- Male  F- Female  T-Transgender
Nationality*  Indian  Other ____________________
Applicant Photo
Related Person Type*
 Director  Promoter  Karta  Trustee  Partner  Court Appointed Official Proprietor
 Beneficiary  Authorised Signatory  Beneficial Owner  Beneficial Owner 
 Others ________________________ (please specify) DIN: ___________________(mandatory if the related person is Director)
Proof of Identity (POI) submitted for PAN exempted cases (please tick)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________

2. Address Details* (Please refer guidelines overleaf)

A. Correspondence/Local Address*
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Applicant e-SIGN

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No
B. Permanent residence address of applicant, if different from above A/Overseas Address* (Mandatory for NRI applicant)
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Proof of Address* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________
3. Contact Details* (in CAPITAL)
Email ID* _______________________________________________________________________
Mobile Number* _____________________________
Tel. (Off.) ______________________________ Tel. (Res.) ________________________________
4. Applicant Declaration
• I/We hereby declare that the KYC details furnished by me are true Applicant e-SIGN Applicant Wet-signature
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
le

misleading or misrepresenting, I am/we aware that I/we may be held

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liable for it.

ica

• I/We hereby consent to receiving information from CVL KRA through

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SMS/Email on the above registered number/email address.

tA
No

Date: ___________________ (DD-MM-YYYY) 

Place: ___________________ First Director/Trustee/Partner

5. For Office Use Only

KYC carried out by* Intermediary Details*

KYC Date ____ ____ __________  Self Certified document copies received (OVD)
 True Copies of documents received (Attested)
Emp. Name: ______________________________________
Pos Code: 1200000162
Emp. Code: ______________________________________ DALAL & BROACHA STOCK BROKING PVT. LTD.
Emp. Designation: _________________________________ CODE: IN0246

STOCK B
HA
RO
& BROAC

KING PVT

NARIMAN
POINT
MUMBAI
AL

L LT
DA D.

Employee Signature and Stamp Institution Name & Stamp

 Second Director/Trustee/Partner MANDATORY
Know Your Client (KYC)
Annexure (For Non-Individuals Only) DALAL & BROACHA
STOCK BROKING PVT. LTD.
Please fill this form in English & in BLOCK letters
Fields marked * are mandatory Application Number: _________________________
Fields marked + are pertaining to CKYC and
mandatory only if processing CKYC also CKYC Number: _________________________
Please tick by click of a BOX
Application Type*  NEW KYC  Modification KYC
1. IDENTITY DETAILS of Related Person (Please refer guidelines overleaf)

PAN* _____________________________ Please enclose a duly attested copy of your PAN Card
Name* (same as ID proof) _____ ___________________ ___________________ ___________________
Maiden Name* (if any) _____ ___________________ ___________________ ___________________
Father/Spouse’s Name* _____ ___________________ ___________________ ___________________
Date of Birth* __________________________
Gender*  M- Male  F- Female  T-Transgender
Nationality*  Indian  Other ____________________
Applicant Photo
Related Person Type*
 Director  Promoter  Karta  Trustee  Partner  Court Appointed Official Proprietor
 Beneficiary  Authorised Signatory  Beneficial Owner  Beneficial Owner 
 Others ________________________ (please specify) DIN: ___________________(mandatory if the related person is Director)
Proof of Identity (POI) submitted for PAN exempted cases (please tick)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________

2. Address Details* (Please refer guidelines overleaf)

A. Correspondence/Local Address*
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Applicant e-SIGN

t App licable
No
B. Permanent residence address of applicant, if different from above A/Overseas Address* (Mandatory for NRI applicant)
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Proof of Address* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________
3. Contact Details* (in CAPITAL)
Email ID* _______________________________________________________________________
Mobile Number* _____________________________
Tel. (Off.) ______________________________ Tel. (Res.) ________________________________
4. Applicant Declaration
• I/We hereby declare that the KYC details furnished by me are true Applicant e-SIGN Applicant Wet-signature
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
le

misleading or misrepresenting, I am/we aware that I/we may be held

b

liable for it.

ica

• I/We hereby consent to receiving information from CVL KRA through

l
pp

SMS/Email on the above registered number/email address.

tA
No

Date: ___________________ (DD-MM-YYYY) 

Place: ___________________ Second Director/Trustee/Partner

5. For Office Use Only

KYC carried out by* Intermediary Details*

KYC Date ____ ____ __________  Self Certified document copies received (OVD)
 True Copies of documents received (Attested)
Emp. Name: ______________________________________
Pos Code: 1200000162
Emp. Code: ______________________________________ DALAL & BROACHA STOCK BROKING PVT. LTD.
Emp. Designation: _________________________________ CODE: IN0246

STOCK B
HA
RO
& BROAC

KING PVT

NARIMAN
POINT
MUMBAI
AL

L LT
DA D.

Employee Signature and Stamp Institution Name & Stamp

 Third Director/Trustee/Partner MANDATORY
Know Your Client (KYC)
Annexure (For Non-Individuals Only) DALAL & BROACHA
STOCK BROKING PVT. LTD.
Please fill this form in English & in BLOCK letters
Fields marked * are mandatory Application Number: _________________________
Fields marked + are pertaining to CKYC and
mandatory only if processing CKYC also CKYC Number: _________________________
Please tick by click of a BOX
Application Type*  NEW KYC  Modification KYC
1. IDENTITY DETAILS of Related Person (Please refer guidelines overleaf)

PAN* _____________________________ Please enclose a duly attested copy of your PAN Card
Name* (same as ID proof) _____ ___________________ ___________________ ___________________
Maiden Name* (if any) _____ ___________________ ___________________ ___________________
Father/Spouse’s Name* _____ ___________________ ___________________ ___________________
Date of Birth* __________________________
Gender*  M- Male  F- Female  T-Transgender
Nationality*  Indian  Other ____________________
Applicant Photo
Related Person Type*
 Director  Promoter  Karta  Trustee  Partner  Court Appointed Official Proprietor
 Beneficiary  Authorised Signatory  Beneficial Owner  Beneficial Owner 
 Others ________________________ (please specify) DIN: ___________________(mandatory if the related person is Director)
Proof of Identity (POI) submitted for PAN exempted cases (please tick)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________

2. Address Details* (Please refer guidelines overleaf)

A. Correspondence/Local Address*
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Applicant e-SIGN

t App licable
No
B. Permanent residence address of applicant, if different from above A/Overseas Address* (Mandatory for NRI applicant)
Line 1* ____________________________________________________________________________________
Line 2 ____________________________________________________________________________________
Line 3 ____________________________________________________________________________________
City/Town/Village* _____________________ District* ____________________ Pin Code* ____________________
State* ____________________________ Country* _________________________
Address Type*  Residential/Business  Residential  Business  Registered Office  Unspecified
Proof of Address* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)
 A - Aadhaar Card XXXX XXXX ________
 B - Passport Number _________________________ (Expiry Date) _______________
 C - Voter ID Card _________________________
 D - Driving Licence _________________________ (Expiry Date) _______________
 E - NREGA Job Card _________________________
 F - National Population Register Letter _________________________
 Z - Others _________________________ (any document notified by Central Government)
Identification Number _________________________
3. Contact Details* (in CAPITAL)
Email ID* _______________________________________________________________________
Mobile Number* _____________________________
Tel. (Off.) ______________________________ Tel. (Res.) ________________________________
4. Applicant Declaration
• I/We hereby declare that the KYC details furnished by me are true Applicant e-SIGN Applicant Wet-signature
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
le

misleading or misrepresenting, I am/we aware that I/we may be held

b

liable for it.

ica

• I/We hereby consent to receiving information from CVL KRA through

l
pp

SMS/Email on the above registered number/email address.

tA
No

Date: ___________________ (DD-MM-YYYY) 

Place: ___________________ Third Director/Trustee/Partner

5. For Office Use Only

KYC carried out by* Intermediary Details*

KYC Date ____ ____ __________  Self Certified document copies received (OVD)
 True Copies of documents received (Attested)
Emp. Name: ______________________________________
Pos Code: 1200000162
Emp. Code: ______________________________________ DALAL & BROACHA STOCK BROKING PVT. LTD.
Emp. Designation: _________________________________ CODE: IN0246

STOCK B
HA
RO
& BROAC

KING PVT

NARIMAN
POINT
MUMBAI
AL

L LT
DA D.

Employee Signature and Stamp Institution Name & Stamp

 INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM
A. IMPORTANT POINTS: landline telephone, piped gas, water bill); Bank account or Post Office savings bank account
1. Self-attestation of documents is mandatory. statement; Documents issued by Government departments of foreign jurisdicons and leer issued
2. Copies of all documents that are submied need to be compulsorily self-aested by the applicant by Foreign Embassy or Mission in India
and accompanied by originals for verificaon. In case the original of any document is not produced 3. Identy card with applicant’s photograph and address issued by any of the following: Central/ State
for verificaon, then the copies should be properly aested by enes authorized for aesng the documents, Government Departments, Statutory/Regulatory Authories, Public Sector Undertakings, Scheduled
as per below list menoned list. Commercial Banks, Public Financial Ins-Instuons, Colleges affliated to Universies, Professional
3. If any proof of identy or address is in a foreign language, then translaon into English is required. Bodies such as ICAI, ICWAI, ICSI, Bar Council, etc., to their Members
4. Name & address of the applicant menoned on the KYC form, should match with the documentary 4. Self declaration of High courts/Supreme court judges, giving the new address in respect of their
proof submied. own accounts.
5. If correspondence & permanent addresses are different, then proofs for both have to be submied. 5. For FII/Sub account, Power of attorney given by FII/Sub account to the custodians (which are duly
6. Sole proprietor must make the applicaon in his individual name & capacity. notarized and/or apos-tilled or consularized) that gives registered address should be taken.
7. For non-residents and foreign naonals, (allowed to trade subject to RBI and FEMA guidelines), copy 6. Proof of address in name of spouse may be accepted.
of passport/PIOCard/OCI Card and overseas address proof is mandatory. 7. Registered lease or Sale agreement/Flat maintenance bill/Insurance copy/Ration card/Latest Property
8. For foreign enes, CIN is oponal; and in absence of DIN no. for the directors, their passport copy tax
should be given. 8. Original Verified Documents (OVD) are acceptable: Unique Idenficaon Number (UID) (Aadhaar)/
9. In case of Merchant Navy NRI’s, Mariner’s declaraon or cerfied copy of CDC (Connuous Discharge Passport/Voter ID card/Driving License/Letter issued by NPR/NREGA job card
Cerficate) is to be submied. D. Exemptions/clarifications to PAN
10. For opening an account with Depository parcipant or Mutual Fund, for a minor, photocopy of the (*Sufficient documentary evidence in support of such claims to be collected.)
School Leaving Cerficate/Mark sheet issued by Higher Secondary Board/ Passport of Minor/Birth 1. Investments (including SIPs), in Mutual Fund schemes up to INR 50,000/- per investor per year
Cerficate must be provided. per Mutual Fund.
11. Polically exposed persons (PEP) are defined as individuals who are or have been entrusted with 2. Transacons undertaken on behalf of Central/State Government, by Officials appointed by Courts,
prominent public functions in a foreign country e.g., Head of State or of Government, senior e .g. Official liquidator, Court receiver, etc.
polician, senior government/judiciary/military officer, senior executive of state owned corporation, 3. Investors residing in the state of Sikkim.
important political party official etc. 4. UN enes/mullateral agencies exempt from paying taxes/filing tax returns in India.
B. Proof of Identity (POI): - List of documents admissible as Proof of Identity: 5. In case of instuonal clients, namely FIIs, MFs, VCFs, FVCIs, Scheduled commercial bank, Mullateral
1. PAN card with photograph is mandatory for all applicants except those who are specifically exempt and Bilateral development financial instuons, State Industrial development corporaons, insurance
from obtaining PAN (listed in Secon D). companies registered with IRDA and public financial instuons as defined under secon 4A of the
2. Original Verified Documents (OVD) are acceptable: Unique Idenficaon Number (UID) (Aadhaar)/ Company Act 1956, custodians shall verify the PAN card details with the original PANs and provide
Passport/Voter ID card/Driving License/Letter issued by NPR/NREGA job card. duly cerfied copies of such verified PAN details to the intermediary.
3. If driving license number or passport is provided as proof of identy then expiry date is to be E. List of people authorized to attest the documents:
mandatorily furnished. 1. Authorized Official of Asset Management Companies (AMCs).
4. Mention idenfication/reference number if ‘Z – Others (any document nofied by the central 2. Authorized Official of Registrar & Transfer Agent (RTA) acting on behalf of the AMC.
government)’ is ticked. 3. KYC compliant mutual fund distributors affiliated to Associaon of Mutual Funds (AMFI) and have
5. Others – Identy card with applicant’s photograph issued by any of the following: Central/State undergone the process of ‘Know Your Distributor (KYD) ’.
Government Departments, Statutory/Regulatory Authories, Public Sector Undertakings, Scheduled 4. Notary Public, Gazette Officer, Manager of a Scheduled Commercial/Co-operative Bank or
Commercial Banks, Public Financial Institutions, Colleges affiliated to Universies, Professional Multinational Foreign Banks (Name, Designaon & Seal should be affixed on the copy).
Bodies such as ICAI, ICWAI, ICSI, Bar Council, etc., to their Members and Credit cards/Debit cards 5. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered
issued by Banks. in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country
C. Proof of Address (POA): - List of documents admissible as Proof of Address: where the client resides are permied to attest the documents.
(*Documents having an expiry date should be valid on the date of submission.) F. Online Mode Processing of KYC:
1. PoA to be submied only if the submied PoI does not have an address or address as per PoI is invalid ONLINE KYC
or not in force. • Applicant may directly upload their documents (OVD) as scanned images on intermediary’s portal.
2. Others includes – Ulity bill which is not more than 3 months old of any service provider (electricity, • The documents should be digitally signed using DSC.
• Intermediary attestation on documents (OSV) is exempted.
Types of entity Additional Documents Required over & above PAN, POI & POA
Corporate • Copy of Balance Sheet for the last to financial years (to be submied every year).
• Copy of latest share-holding pattern including the list of all those holding control, either directly or indirectly, in the company in terms of
SEBI takeover regulaons, duly cerfied by the company secretary/whole time director/MD (to be submitted every year).
• Photograph, POI, POA, PAN and DIN number of the whole time Director/ 2 directors in charge of day to day operations.
• Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.
• Copy of Memorandum and Articles of Association and Certificate of Incorporation.
• Copy of Board Resolution for Investment in security markets. • Authorized signatories list with specimen signatures.
• Shareholding pattern.
Partnership firm • Copy of Balance Sheet for the last to financial years (to be submitted every year).
• Cerficate of Registration (for registered partnership firms only). • Copy of Partnership Deed.
• Authorized signatories list with specimen signatures. • Photograph, POI, POA, PAN of Partners. • Shareholding pattern.
Trust • Copy of Balance Sheet for the last to financial years (to be submied every year).
• Cerficate of Registration (for registered Trusts only). • Copy of Trust Deed.
• List of Trustees cerfied by Managing Trustees/CA • Photograph, POI, POA, PAN of Trustees.
HUF • PAN of HUF. • Deed of declaration of HUF or List of Co-parceners.
• Bank Pass-book/bank statement in the name of HUF. • Photograph, POI, POA, PAN of Karta.
Unincorporated • Proof of Existence/Constitution document.
Association or a • Resolution of the managing body & Power of Attorney granted to transact business on its behalf.
body of individuals • Authorized signatories list with specimen signatures.
Banks/Institutional Investors • Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years.
• Authorized signatories list with specimen signatures.
Army/ Government • Self-certification on letterhead.
Bodies • 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.
FPI Category I • FPI Cerficate • Constitution Documents
• Copy of Board Resolution (optional) • Shareholding pattern and Ultimate Beneficiary Owners List (UBO)
• Authorized signatories list with specimen signatures.
FPI Category II • FPI Cerficate • Constitution Documents
• Copy of Board Resolution • Shareholding pattern and Ultimate Beneficiary Owners List (UBO) with UBO proof of identity
• Authorized signatories list with specimen signatures.
For Non-Individuals ANNEXURE – 3 MANDATORY
TRADING ACCOUNT RELATED DETAILS
BANK ACCOUNT(S) DETAILS
No. MICR No. Bank Name, Branch Add. A/c Type Account No. IFSC Code
1
2
Please provide Cancelled Cheque leaf for MICR & IFSC Code
DEPOSITORY ACCOUNT(S) DETAILS
Sr. No. Depository Participant Name DP ID No. BO ID Depository Name
1* Dalal & Broacha Stock Broking Pvt. Ltd. 1 2 0 1 1 7 0 0 CDSL
1* NSDL/CDSL
2 NSDL/CDSL
*Shares bought by you will be transferred to your DP A/c stated by you at Sr. No. 1
TRADING PREFERENCES
*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.
Ex. Segment Cash Derivatives Other Segments
BSE  First Director/Partner/Trustee  First Director/Partner/Trustee
NSE  First Director/Partner/Trustee  First Director/Partner/Trustee
# If, in future, the client wants to trade on any new segment / new exchange, separate authorization / letter should be taken from the client by the stock broker.
OTHER DETAILS
1. Gross Annual Income details (please specify) : Income Range per annum
 Upto Rs. 1,00,000/-  Rs. 1,00,001/- to Rs. 5,00,000/-   Rs. 5,00,001/- to Rs. 10,00,000/-
 Rs. 10,00,001/- to Rs. 25,00,000/-  Above Rs. 25,00,001/-
Net worth as on Date : ______________ OR Rs. _____________________ (Net worth should not be older than 1 year)
2. Occupation (please tick  Private Sector  Public Sector Government Service  Business  Student
any one and give brief  Professional  Agriculturist  Retired  Housewife Others
details) __________________________________________________________________
3. Please tick, if applicable  Politically Exposed Person (PEP)  Related to a Politically Exposed Person (PEP)
4. Any other information
PAST ACTIONS
Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any
other authority against the applicant/constituent or its Partners/promoters/whole time
directors/authorized persons in charge of dealing in securities during the last 3 years:
DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS
If client is dealing through the sub-broker, provide the following details:
Name BSE SEBI Reg. No.
Regd. Off. NSE SEBI Reg. No.
Address Remisier/AP (BSE)
Remisier/AP (NSE)
Signature Tel. No. Remisier/AP
Rem/ Fax No. Remisier/AP
Sub Brk. Website Remisier/AP
Whether dealing with any other stock broker/sub-broker (if in case dealing with multiple stock brokers/sub-brokers, provide details of all)
Name of Name of Sub- Client Exchange
Stock Broker Broker, if any Code
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):  YES  NO
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 authorised to deal in securities on behalf of company/firm/others:
Any other information
 INTRODUCER DETAILS (Optional)
Name Signature
Add. / Tel. X
Status of the Introducer: Sub Broker / Remisier / Authorized Person / Existing Client / Others, please specify___________

DECLARATION
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our nowledge and
belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information
is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable
for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures
of the stock broker and the tariff sheet.
3. I/We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) 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, if any.

Client Name
Auth. Person Signature
Place Date  First Director/Partner/Trustee
FOR OFFICE USE ONLY
UCC Code allotted to the Client:
Documents verified with Originals Client Interviewed / Approved by In person Verification done by
Name
Signature
Designation
Employee Code
Date
I/We undertake that 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 'Rights and Obligations' document (s), RDD and Guidance Note. I/We
have given/sent him a copy of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures',
tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake
that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for
the information of the clients. HA
STOCK B
RO

For Dalal & Broacha Stock Broking Pvt. Ltd.

& BROAC

KING PVT

NARIMAN
POINT
MUMBAI
AL

L LT
DA D.

Date:_____________ Signature of the Authorised Signatory Seal/Stamp of the stock broker

 ANNEXURE – 4 MANDATORY
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS, AUTHORISED PERSONS AND CLIENTS
AS PRESCRIBED BY SEBI AND STOCK EXCHANGES
1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on the
Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities and Exchange Board
of India (SEBI) and circulars/notices issued there under from time to time.
2. The stock broker, sub-broker and the client shall be bound by all the Rules, Byelaws and Regulations of
the Exchange and circulars/notices issued there under and Rules and Regulations of SEBI and relevant
notifications of Government authorities as may be in force from time to time.
3. The client shall satisfy itself of the capacity of the stock broker to deal in securities and/or deal in derivatives
contracts and wishes to execute its orders through the stock broker and the client shall from time to time
continue to satisfy itself of such capability of the stock broker before executing orders through the stock
broker.
4. The stock broker shall continuously satisfy itself about the genuineness and financial soundness of the client
and investment objectives relevant to the services to be provided.
5. The stock broker shall take steps to make the client aware of the precise nature of the Stock broker’s liability
for business to be conducted, including any limitations, the liability and the capacity in which the stock broker
acts.
6. The sub-broker shall provide necessary assistance and co-operate with the stock broker in all its dealings
with the client(s).
CLIENT INFORMATION
7. The client shall furnish all such details in full as are required by the stock broker in "Account Opening Form”
with supporting details, made mandatory by stock exchanges/SEBI from time to time.
8. The client shall familiarize himself with all the mandatory provisions in the Account Opening documents.
Any additional clauses or documents specified by the stock broker shall be non-mandatory, as per terms
& conditions accepted by the client.
9. The client shall immediately notify the stock broker in writing if there is any change in the information in
the ‘account opening form’ as provided at the time of account opening and thereafter; including the
information on winding up petition/insolvency petition or any litigation which may have material bearing
on his capacity. The client shall provide/update the financial information to the stock broker on a periodic
basis.
10. The stock broker and sub-broker shall maintain all the details of the client as mentioned in the account
opening form or any other information pertaining to the client, confidentially and that they shall not disclose
the same to any person/authority except as required under any law/regulatory requirements. Provided
however that the stock broker may so disclose information about his client to any person or authority with
the express permission of the client.
MARGINS
11. The client shall pay applicable initial margins, withholding margins, special margins or such other margins
as are considered necessary by the stock broker or the Exchange or as may be directed by SEBI from time
to time as applicable to the segment(s) in which the client trades. The stock broker is permitted in its sole
and absolute discretion to collect additional margins (even though not required by the Exchange, Clearing
House/Clearing Corporation or SEBI) and the client shall be obliged to pay such margins within the stipulated
time.
12. The client understands that payment of margins by the client does not necessarily imply complete satisfaction
of all dues. In spite of consistently having paid margins, the client may, on the settlement of its trade, be
obliged to pay (or entitled to receive) such further sums as the contract may dictate/require.
TRANSACTIONS AND SETTLEMENTS
13. The client shall give any order for buy or sell of a security/derivatives contract in writing or in such form
or manner, as may be mutually agreed between the client and the stock broker. The stock broker shall ensure
to place orders and execute the trades of the client, only in the Unique Client Code assigned to that client.
14. The stock broker shall inform the client and keep him apprised about trading/settlement cycles, delivery/
payment schedules, any changes therein from time to time, and it shall be the responsibility in turn of the
 client to comply with such schedules/procedures of the relevant stock exchange where the trade is executed.
15. The stock broker shall ensure that the money/securities deposited by the client shall be kept in a separate
account, distinct from his/its own account or account of any other client and shall not be used by the stock
broker for himself/itself or for any other client or for any purpose other than the purposes mentioned in
Rules, Regulations, circulars, notices, guidelines of SEBI and/or Rules, Regulations, Bye-laws, circulars and
notices of Exchange.
16. Where the Exchange(s) cancels trade(s) suo moto all such trades including the trade/s done on behalf of
the client shall ipso facto stand cancelled, stock broker shall be entitled to cancel the respective contract(s)
with client(s).
17. The transactions executed on the Exchange are subject to Rules, Byelaws and Regulations and circulars/
notices issued thereunder of the Exchanges where the trade is executed and all parties to such trade shall
have submitted to the jurisdiction of such court as may be specified by the Byelaws and Regulations of the
Exchanges where the trade is executed for the purpose of giving effect to the provisions of the Rules, Byelaws
and Regulations of the Exchanges and the circulars/notices issued thereunder.
BROKERAGE
18. The Client shall pay to the stock broker brokerage and statutory levies as are prevailing from time to time
and as they apply to the Client’s account, transactions and to the services that stock broker renders to the
Client. The stock broker shall not charge brokerage more than the maximum brokerage permissible as per
the rules, regulations and bye-laws of the relevant stock exchanges and/or rules and regulations of SEBI.
LIQUIDATION AND CLOSE OUT OF POSITION
19. Without prejudice to the stock broker's other rights (including the right to refer a matter to arbitration),
the client understands that the stock broker shall be entitled to liquidate/close out all or any of the client's
positions for non-payment of margins or other amounts, outstanding debts, etc. and adjust the proceeds
of such liquidation/close out, if any, against the client's liabilities/obligations. Any and all losses and financial
charges on account of such liquidation/closing-out shall be charged to and borne by the client.
20. In the event of death or insolvency of the client or his/its otherwise becoming incapable of receiving and
paying for or delivering or transferring securities which the client has ordered to be bought or sold, stock
broker may close out the transaction of the client and claim losses, if any, against the estate of the client.
The client or his nominees, successors, heirs and assignee shall be entitled to any surplus which may result
there from. The client shall note that transfer of funds/securities in favor of a Nominee shall be valid discharge
by the stock broker against the legal heir.
21. The stock broker shall bring to the notice of the relevant Exchange the information about default in payment/
delivery and related aspects by a client. In case where defaulting client is a corporate entity/partnership/
proprietary firm or any other artificial legal entity, then the name(s) of Director(s)/Promoter(s)/Partner(s)/
Proprietor as the case may be, shall also be communicated by the stock broker to the relevant Exchange(s).
DISPUTE RESOLUTION
22. The stock broker shall provide the client with the relevant contact details of the concerned Exchanges and
SEBI.
23. The stock broker shall co-operate in redressing grievances of the client in respect of all transactions routed
through it and in removing objections for bad delivery of shares, rectification of bad delivery, etc.
24. The client and the stock broker shall refer any claims and/or disputes with respect to deposits, margin money,
etc., to arbitration as per the Rules, Byelaws and Regulations of the Exchanges where the trade is executed
and circulars/notices issued thereunder as may be in force from time to time.
25. The stock broker shall ensure faster settlement of any arbitration proceedings arising out of the transactions
entered into between him vis-à-vis the client and he shall be liable to implement the arbitration awards
made in such proceedings.
26. The client/stock-broker understands that the instructions issued by an authorized representative for dispute
resolution, if any, of the client/stock-broker shall be binding on the client/stock-broker in accordance with
the letter authorizing the said representative to deal on behalf of the said client/stock-broker.
TERMINATION OF RELATIONSHIP
27. This relationship between the stock broker and the client shall be terminated; if the stock broker for any
reason ceases to be a member of the stock exchange including cessation of membership by reason of the
 stock broker's default, death, resignation or expulsion or if the certificate is cancelled by the Board.
28. The stock broker, sub-broker and the client shall be entitled to terminate the relationship between them
without giving any reasons to the other party, after giving notice in writing of not less than one month to
the other parties. Notwithstanding any such termination, all rights, liabilities and obligations of the parties
arising out of or in respect of transactions entered into prior to the termination of this relationship shall
continue to subsist and vest in/be binding on the respective parties or his/its respective heirs, executors,
administrators, legal representatives or successors, as the case may be.
29. In the event of demise/insolvency of the sub-broker or the cancellation of his/its registration with the Board
or/withdrawal of recognition of the sub-broker by the stock exchange and/or termination of the agreement
with the sub broker by the stock broker, for any reason whatsoever, the client shall be informed of such
termination and the client shall be deemed to be the direct client of the stock broker and all clauses in
the ‘Rights and Obligations’ document(s) governing the stock broker, sub-broker and client shall continue
to be in force as it is, unless the client intimates to the stock broker his/its intention to terminate their
relationship by giving a notice in writing of not less than one month.
ADDITIONAL RIGHTS AND OBLIGATIONS
30. The stock broker shall ensure due protection to the client regarding client’s rights to dividends, rights or
bonus shares, etc. in respect of transactions routed through it and it shall not do anything which is likely
to harm the interest of the client with whom and for whom they may have had transactions in securities.
31. The stock broker and client shall reconcile and settle their accounts from time to time as per the Rules,
Regulations, Bye Laws, Circulars, Notices and Guidelines issued by SEBI and the relevant Exchanges where
the trade is executed.
32. The stock broker shall issue a contract note to his constituents for trades executed in such format as may
be prescribed by the Exchange from time to time containing records of all transactions including details
of order number, trade number, trade time, trade price, trade quantity, details of the derivatives contract,
client code, brokerage, all charges levied etc. and with all other relevant details as required therein to be
filled in and issued in such manner and within such time as prescribed by the Exchange. The stock broker
shall send contract notes to the investors within one working day of the execution of the trades in hard
copy and/or in electronic form using digital signature.
33. The stock broker shall make pay out of funds or delivery of securities, as the case may be, to the Client
within one working day of receipt of the payout from the relevant Exchange where the trade is executed
unless otherwise specified by the client and subject to such terms and conditions as may be prescribed by
the relevant Exchange from time to time where the trade is executed.
34. The stock broker shall send a complete `Statement of Accounts’ for both funds and securities in respect
of each of its clients in such periodicity and format within such time, as may be prescribed by the relevant
Exchange, from time to time, where the trade is executed. The Statement shall also state that the client
shall report errors, if any, in the Statement within such time as may be prescribed by the relevant Exchange
from time to time where the trade was executed, from the receipt thereof to the Stock broker.
35. The stock broker shall send daily margin statements to the clients. Daily Margin statement should include,
inter-alia, details of collateral deposited, collateral utilized and collateral status (available balance/due from
client) with break up in terms of cash, Fixed Deposit Receipts (FDRs), Bank Guarantee and securities.
36. The Client shall ensure that it has the required legal capacity to, and is authorized to, enter into the relationship
with stock broker and is capable of performing his obligations and undertakings hereunder. All actions required
to be taken to ensure compliance of all the transactions, which the Client may enter into shall be completed
by the Client prior to such transaction being entered into.
36A. Pursuant to SEBI circular SEBI/HO/MIRSD/DOP/P/CIR/2022/44 Dated April 04, 2022 - The stock broker/stock
broker and depository participant shall not directly/indirectly compel the clients to execute Power of Attorney
(POA) or Demat Debit and Pledge Instruction (DDPI) or deny services to the client if the client refuses to
execute POA or DDPI.
ELECTRONIC CONTRACT NOTES (ECN)
37. In case, client opts to receive the contract note in electronic form, he shall provide an appropriate e-mail
id to the stock broker. The client shall communicate to the stock broker any change in the email-id through
a physical letter. If the client has opted for internet trading, the request for change of email id may be made
through the secured access by way of client specific user id and password.
38. The stock broker shall ensure that all ECNs sent through the e-mail shall be digitally signed, encrypted, non-
tamper able and in compliance with the provisions of the IT Act, 2000. In case, ECN is sent through e-mail
as an attachment, the attached file shall also be secured with the digital signature, encrypted and non-
tamperable.
39. The client shall note that non-receipt of bounced mail notification by the stock broker shall amount to delivery
of the contract note at the e-mail ID of the client.
40. The stock broker shall retain ECN and acknowledgement of the e-mail in a soft and non-tamperable form
in the manner prescribed by the exchange in compliance with the provisions of the IT Act, 2000 and as
per the extant rules/regulations/circulars/guidelines issued by SEBI/Stock Exchanges from time to time. The
proof of delivery i.e., log report generated by the system at the time of sending the contract notes shall
be maintained by the stock broker for the specified period under the extant regulations of SEBI/stock
exchanges. The log report shall provide the details of the contract notes that are not delivered to the client/
e-mails rejected or bounced back. The stock broker shall take all possible steps to ensure receipt of notification
of bounced mails by him at all times within the stipulated time period under the extant regulations of SEBI/
stock exchanges.
41. The stock broker shall continue to send contract notes in the physical mode to such clients who do not
opt to receive the contract notes in the electronic form. Wherever the ECNs have not been delivered to
the client or has been rejected (bouncing of mails) by the e-mail ID of the client, the stock broker shall
send a physical contract note to the client within the stipulated time under the extant regulations of SEBI/
stock exchanges and maintain the proof of delivery of such physical contract notes.
42. In addition to the e-mail communication of the ECNs to the client, the stock broker shall simultaneously
publish the ECN on his designated web-site, if any, in a secured way and enable relevant access to the clients
and for this purpose, shall allot a unique user name and password to the client, with an option to the client
to save the contract note electronically and/or take a print out of the same.

LAW AND JURISDICTION

43. In addition to the specific rights set out in this document, the stock broker, sub-broker and the client shall
be entitled to exercise any other rights which the stock broker or the client may have under the Rules, Bye-
laws and Regulations of the Exchanges in which the client chooses to trade and circulars/notices issued
thereunder or Rules and Regulations of SEBI.
44. The provisions of this document shall always be subject to Government notifications, any rules, regulations,
guidelines and circulars/notices issued by SEBI and Rules, Regulations and Bye laws of the relevant stock
exchanges, where the trade is executed, that may be in force from time to time.
45. The stock broker and the client shall abide by any award passed by the Arbitrator(s) under the Arbitration
and Conciliation Act, 1996. However, there is also a provision of appeal within the stock exchanges, if either
party is not satisfied with the arbitration award.
46. Words and expressions which are used in this document but which are not defined herein shall, unless the
context otherwise requires, have the same meaning as assigned thereto in the Rules, Byelaws and Regulations
and circulars/notices issued thereunder of the Exchanges/SEBI.
47. All additional voluntary clauses/document added by the stock broker should not be in contravention with
rules/regulations/notices/circulars of Exchanges/SEBI. Any changes in such voluntary clauses/document(s)
need to be preceded by a notice of 15 days. Any changes in the rights and obligations which are specified
by Exchanges/SEBI shall also be brought to the notice of the clients.
48. If the rights and obligations of the parties hereto are altered by virtue of change in Rules and regulations
of SEBI or Bye-laws, Rules and Regulations of the relevant stock Exchanges where the trade is executed,
such changes shall be deemed to have been incorporated herein in modification of the rights and obligations
of the parties mentioned in this document.
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT
(All the clauses mentioned in the ‘Rights and Obligations’ document(s) shall be applicable. Additionally, the
clauses mentioned herein shall also be applicable.)
1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use of
wireless technology that shall include the use of devices such as mobile phone, laptop with data card, etc.
which use Internet Protocol (IP). The stock broker shall comply with all requirements applicable to internet
based trading/securities trading using wireless technology as may be specified by SEBI & the Exchanges from
time to time.
2. The client is desirous of investing/trading in securities and for this purpose, the client is desirous of using
either the internet based trading facility or the facility for securities trading through use of wireless technology.
The Stock broker shall provide the Stock broker’s IBT Service to the Client, and the Client shall avail of the
Stock broker’s IBT Service, on and subject to SEBI/Exchanges Provisions and the terms and conditions specified
on the Stock broker’s IBT Web Site provided that they are in line with the norms prescribed by Exchanges/
SEBI.
3. The stock broker shall bring to the notice of client the features, risks, responsibilities, obligations and liabilities
associated with securities trading through wireless technology/internet/smart order routing or any other
technology should be brought to the notice of the client by the stock broker.
4. The stock broker shall make the client aware that the Stock Broker’s IBT system itself generates the initial
password and its password policy as stipulated in line with norms prescribed by Exchanges/SEBI.
5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall
be solely responsible for all orders entered and transactions done by any person whosoever through the
Stock broker’s IBT System using the Client’s Username and/or Password whether or not such person was
authorized to do so. Also the client is aware that authentication technologies and strict security measures
are required for the internet trading/securities trading through wireless technology through order routed
system and undertakes to ensure that the password of the client and/or his authorized representative are
not revealed to any third party including employees and dealers of the stock broker
6. The Client shall immediately notify the Stock broker in writing if he forgets his password, discovers security
flaw in Stock Broker’s IBT System, discovers/suspects discrepancies/ unauthorized access through his username/
password/account with full details of such unauthorized use, the date, the manner and the transactions
effected pursuant to such unauthorized use, etc.
7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders
over the internet/securities trading through wireless technology and Client shall be fully liable and responsible
for any and all acts done in the Client’s Username/password in any manner whatsoever.
8. The stock broker shall send the order/trade confirmation through email to the client at his request. The
client is aware that the order/ trade confirmation is also provided on the web portal. In case client is trading
using wireless technology, the stock broker shall send the order/trade confirmation on the device of the
client.
9. The client is aware that trading over the internet involves many uncertain factors and complex hardware,
software, systems, communication lines, peripherals, etc. are susceptible to interruptions and dislocations.
The Stock broker and the Exchange do not make any representation or warranty that the Stock broker’s
IBT Service will be available to the Client at all times without any interruption.
10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension,
interruption, non-availability or malfunctioning of the Stock broker’s IBT System or Service or the Exchange’s
service or systems or non-execution of his orders due to any link/system failure at the Client/Stock brokers/
Exchange end for any reason beyond the control of the stock broker/Exchanges.
 ANNEXURE – 5 MANDATORY
RISK DISCLOSURE DOCUMENT FOR CAPITAL MARKET AND DERIVATIVES SEGMENTS
This document contains important information on trading in Equities/Derivatives Segments of the stock exchanges.
All prospective constituents should read this document before trading in Equities/Derivatives Segments of the
Exchanges.
Stock exchanges/SEBI does neither singly or jointly and expressly nor impliedly guarantee nor make any representation
concerning the completeness, the adequacy or accuracy of this disclosure document nor have Stock exchanges
/SEBI endorsed or passed any merits of participating in the trading segments. This brief statement does not disclose
all the risks and other significant aspects of trading.
In the light of the risks involved, you should undertake transactions only if you understand the nature of the
relationship into which you are entering and the extent of your exposure to risk.
You must know and appreciate that trading in Equity shares, derivatives contracts or other instruments traded
on the Stock Exchange, which have varying element of risk, is generally not an appropriate avenue for someone
of limited resources/limited investment and/or trading experience and low risk tolerance. You should therefore
carefully consider whether such trading is suitable for you in the light of your financial condition. In case you
trade on Stock exchanges and suffer adverse consequences or loss, you shall be solely responsible for the same
and Stock exchanges/its Clearing Corporation and/or SEBI shall not be responsible, in any manner whatsoever,
for the same and it will not be open for you to take a plea that no adequate disclosure regarding the risks involved
was made or that you were not explained the full risk involved by the concerned stock broker. The constituent
shall be solely responsible for the consequences and no contract can be rescinded on that account. You must
acknowledge and accept that there can be no guarantee of profits or no exception from losses while executing
orders for purchase and/or sale of a derivative contract being traded on Stock exchanges.
It must be clearly understood by you that your dealings on Stock exchanges through a stock broker shall be subject
to your fulfilling certain formalities set out by the stock broker, which may inter alia include your filling the know
your client form, reading the rights and obligations, do’s and don’ts, etc., and are subject to the Rules, Byelaws
and Regulations of relevant Stock exchanges, its Clearing Corporation, guidelines prescribed by SEBI and in force
from time to time and Circulars as may be issued by Stock exchanges or its Clearing Corporation and in force
from time to time.
Stock exchanges does not provide or purport to provide any advice and shall not be liable to any person who
enters into any business relationship with any stock broker of Stock exchanges and/or any third party based
on any information contained in this document. Any information contained in this document must not be construed
as business advice. No consideration to trade should be made without thoroughly understanding and reviewing
the risks involved in such trading. If you are unsure, you must seek professional advice on the same.
In considering whether to trade or authorize someone to trade for you, you should be aware of or must get
acquainted with the following:-
1. BASIC RISKS:
1.1 Risk of Higher Volatility:
Volatility refers to the dynamic changes in price that a security/derivatives contract undergoes when trading
activity continues on the Stock Exchanges. Generally, higher the volatility of a security/derivatives contract,
greater is its price swings. There may be normally greater volatility in thinly traded securities / derivatives
contracts than in active securities /derivatives contracts. As a result of volatility, your order may only be
partially executed or not executed at all, or the price at which your order got executed may be substantially
different from the last traded price or change substantially thereafter, resulting in notional or real losses.
1.2 Risk of Lower Liquidity:
Liquidity refers to the ability of market participants to buy and/or sell securities / derivatives contracts
expeditiously at a competitive price and with minimal price difference. Generally, it is assumed that more
the numbers of orders available in a market, greater is the liquidity. Liquidity is important because with
greater liquidity, it is easier for investors to buy and/or sell securities / derivatives contracts swiftly and
with minimal price difference, and as a result, investors are more likely to pay or receive a competitive
price for securities / derivatives contracts purchased or sold. There may be a risk of lower liquidity in some
 securities / derivatives contracts as compared to active securities / derivatives contracts. As a result, your
order may only be partially executed, or may be executed with relatively greater price difference or may
not be executed at all.
1.2.1 Buying or selling securities / derivatives contracts as part of a day trading strategy may also result into
losses, because in such a situation, securities / derivatives contracts may have to be sold / purchased at
low / high prices, compared to the expected price levels, so as not to have any open position or obligation
to deliver or receive a security / derivatives contract.
1.3 Risk of Wider Spreads:
Spread refers to the difference in best buy price and best sell price. It represents the differential between
the price of buying a security / derivatives contract and immediately selling it or vice versa. Lower liquidity
and higher volatility may result in wider than normal spreads for less liquid or illiquid securities / derivatives
contracts. This in turn will hamper better price formation.
1.4 Risk-reducing orders:
The placing of orders (e.g., "stop loss” orders, or "limit" orders) which are intended to limit losses to certain
amounts may not be effective many a time because rapid movement in market conditions may make
it impossible to execute such orders.
1.4.1 A "market" order will be executed promptly, subject to availability of orders on opposite side, without
regard to price and that, while the customer may receive a prompt execution of a "market" order, the
execution may be at available prices of outstanding orders, which satisfy the order quantity, on price time
priority. It may be understood that these prices may be significantly different from the last traded price
or the best price in that security / derivatives contract.
1.4.2 A "limit" order will be executed only at the "limit" price specified for the order or a better price. However,
while the customer receives price protection, there is a possibility that the order may not be executed
at all.
1.4.3 A stop loss order is generally placed "away" from the current price of a stock / derivatives contract, and
such order gets activated if and when the security / derivatives contract reaches, or trades through, the
stop price. Sell stop orders are entered ordinarily below the current price, and buy stop orders are entered
ordinarily above the current price. When the security / derivatives contract reaches the pre -determined
price, or trades through such price, the stop loss order converts to a market/limit order and is executed
at the limit or better. There is no assurance therefore that the limit order will be executable since a security
/ derivatives contract might penetrate the pre-determined price, in which case, the risk of such order
not getting executed arises, just as with a regular limit order.
1.5 Risk of News Announcements:
News announcements that may impact the price of stock / derivatives contract may occur during trading,
and when combined with lower liquidity and higher volatility, may suddenly cause an unexpected positive
or negative movement in the price of the security / contract.
1.6 Risk of Rumors:
Rumors about companies / currencies at times float in the market through word of mouth, newspapers,
websites or news agencies, etc. The investors should be wary of and should desist from acting on rumors.
1.7 System Risk:
High volume trading will frequently occur at the market opening and before market close. Such high volumes
may also occur at any point in the day. These may cause delays in order execution or confirmation.
1.7.1 During periods of volatility, on account of market participants continuously modifying their order quantity
or prices or placing fresh orders, there may be delays in order execution and its confirmations.
1.7.2 Under certain market conditions, it may be difficult or impossible to liquidate a position in the market
at a reasonable price or at all, when there are no outstanding orders either on the buy side or the sell
side, or if trading is halted in a security / derivatives contract due to any action on account of unusual
trading activity or security / derivatives contract hitting circuit filters or for any other reason.
1.8 System/Network Congestion:
Trading on exchanges is in electronic mode, based on satellite/leased line based communications, combination
 of technologies and computer systems to place and route orders. Thus, there exists a possibility of
communication failure or system problems or slow or delayed response from system or trading halt, or
any such other problem/glitch whereby not being able to establish access to the trading system/network,
which may be beyond control and may result in delay in processing or not processing buy or sell orders
either in part or in full. You are cautioned to note that although these problems may be temporary in
nature, but when you have outstanding open positions or unexecuted orders, these represent a risk because
of your obligations to settle all executed transactions.
2. As far as Derivatives segments are concerned, please note and get yourself acquainted with the following
additional features:-
2.1 Effect of "Leverage" or "Gearing":
In the derivatives market, the amount of margin is small relative to the value of the derivatives contract
so the transactions are 'leveraged' or 'geared'. Derivatives trading, which is conducted with a relatively
small amount of margin, provides the possibility of great profit or loss in comparison with the margin
amount. But transactions in derivatives carry a high degree of risk.
You should therefore completely understand the following statements before actually trading in derivatives
and also trade with caution while taking into account one's circumstances, financial resources, etc. If the
prices move against you, you may lose a part of or whole margin amount in a relatively short period of
time. Moreover, the loss may exceed the original margin amount.
A. Futures trading involve daily settlement of all positions. Every day the open positions are marked
to market based on the closing level of the index / derivatives contract. If the contract has moved
against you, you will be required to deposit the amount of loss (notional) resulting from such
movement. This amount will have to be paid within a stipulated time frame, generally before
commencement of trading on next day.
B. If you fail to deposit the additional amount by the deadline or if an outstanding debt occurs in
your account, the stock broker may liquidate a part of or the whole position or substitute securities.
In this case, you will be liable for any losses incurred due to such close-outs.
C. Under certain market conditions, an investor may find it difficult or impossible to execute transactions.
For example, this situation can occur due to factors such as illiquidity i.e. when there are insufficient
bids or offers or suspension of trading due to price limit or circuit breakers etc.
D. In order to maintain market stability, the following steps may be adopted: changes in the margin
rate, increases in the cash margin rate or others. These new measures may also be applied to the
existing open interests. In such conditions, you will be required to put up additional margins or reduce
your positions.
E. You must ask your broker to provide the full details of derivatives contracts you plan to trade i.e.
the contract specifications and the associated obligations.
2.2 Currency specific risks:
1. The profit or loss in transactions in foreign currency-denominated contracts, whether they are traded
in your own or another jurisdiction, will be affected by fluctuations in currency rates where there
is a need to convert from the currency denomination of the contract to another currency.
2. Under certain market conditions, you may find it difficult or impossible to liquidate a position. This
can occur, for example when a currency is deregulated or fixed trading bands are widened.
3. Currency prices are highly volatile. Price movements for currencies are influenced by, among other
things: changing supply-demand relationships; trade, fiscal, monetary, exchange control programs
and policies of governments; foreign political and economic events and policies; changes in national
and international interest rates and inflation; currency devaluation; and sentiment of the market
place. None of these factors can be controlled by any individual advisor and no assurance can be
given that an advisor's advice will result in profitable trades for a participating customer or that a
customer will not incur losses from such events.
2.3 Risk of Option holders:
1. An option holder runs the risk of losing the entire amount paid for the option in a relatively short
 period of time. This risk reflects the nature of an option as a wasting asset which becomes worthless
when it expires. An option holder who neither sells his option in the secondary market nor exercises
it prior to its expiration will necessarily lose his entire investment in the option. If the price of the
underlying does not change in the anticipated direction before the option expires, to an extent
sufficient to cover the cost of the option, the investor may lose all or a significant part of his investment
in the option.
2. The Exchanges may impose exercise restrictions and have absolute authority to restrict the exercise
of options at certain times in specified circumstances.
2.4 Risks of Option Writers:
1. If the price movement of the underlying is not in the anticipated direction, the option writer runs
the risks of losing substantial amount.
2. The risk of being an option writer may be reduced by the purchase of other options on the same
underlying interest and thereby assuming a spread position or by acquiring other types of hedging
positions in the options markets or other markets. However, even where the writer has assumed
a spread or other hedging position, the risks may still be significant. A spread position is not necessarily
less risky than a simple 'long' or 'short' position.
3. Transactions that involve buying and writing multiple options in combination, or buying or writing
options in combination with buying or selling short the underlying interests, present additional risks
to investors. Combination transactions, such as option spreads, are more complex than buying or
writing a single option. And it should be further noted that, as in any area of investing, a complexity
not well understood is, in itself, a risk factor. While this is not to suggest that combination strategies
should not be considered, it is advisable, as is the case with all investments in options, to consult
with someone who is experienced and knowledgeable with respect to the risks and potential rewards
of combination transactions under various market circumstances.
3. TRADING THROUGH WIRELESS TECHNOLOGY/ SMART ORDER ROUTING OR ANY OTHER TECHNOLOGY:
Any additional provisions defining the features, risks, responsibilities, obligations and liabilities associated
with securities trading through wireless technology/ smart order routing or any other technology should
be brought to the notice of the client by the stock broker.
4. GENERAL
4.1 The term ‘constituent’ shall mean and include a client, a customer or an investor, who deals with a stock
broker for the purpose of acquiring and/or selling of securities / derivatives contracts through the
mechanism provided by the Exchanges.
4.2 The term ‘stock broker’ shall mean and include a stock broker, a broker or a stock broker, who has been
admitted as such by the Exchanges and who holds a registration certificate from SEBI.
 ANNEXURE-6 MANDATORY
GUIDANCE NOTE - DO’S AND DON’TS FOR TRADING ON THE EXCHANGE(S) FOR INVESTORS
BEFORE YOU BEGIN TO TRADE
1. Ensure that you deal with and through only SEBI registered intermediaries. You may check their SEBI
registration certificate number from the list available on the Stock exchanges www.bseindia.com/
www.nseindia.com/www.cdslindia.com and SEBI website www.sebi.gov.in.
2. Ensure that you fill the KYC form completely and strike off the blank fields in the KYC form.
3. Ensure that you have read all the mandatory documents viz. Rights and Obligations, Risk Disclosure
Document, Policy and Procedure document of the stock broker.
4. Ensure to read, understand and then sign the voluntary clauses, if any, agreed between you and the stock
broker. Note that the clauses as agreed between you and the stock broker cannot be changed without
your consent.
5. Get a clear idea about all brokerage, commissions, fees and other charges levied by the broker on you
for trading and the relevant provisions/ guidelines specified by SEBI/Stock exchanges.
6. Obtain a copy of all the documents executed by you from the stock broker free of charge.
7. In case you wish to execute Power of Attorney (POA) in favour of the Stock broker, authorizing it to operate
your bank and demat account, please refer to the guidelines issued by SEBI/Exchanges in this regard.

TRANSACTIONS AND SETTLEMENTS

8. The stock broker may issue electronic contract notes (ECN) if specifically authorized by you in writing. You
should provide your email id to the stock broker for the same. Don’t opt for ECN if you are not familiar
with computers.
9. Don’t share your internet trading account’s password with anyone.
10. Don’t make any payment in cash to the stock broker.
11. Make the payments by account payee cheque in favour of the stock broker. Don’t issue cheques in the
name of sub-broker. Ensure that you have a documentary proof of your payment/deposit of securities with
the stock broker, stating date, scrip, quantity, towards which bank/ demat account such money or securities
deposited and from which bank/ demat account.
12. Note that facility of Trade Verification is available on stock exchanges’ websites, where details of trade
as mentioned in the contract note may be verified. Where trade details on the website do not tally with
the details mentioned in the contract note, immediately get in touch with the Investors Grievance Cell of
the relevant Stock exchange.
13. In case you have given specific authorization for maintaining running account, payout of funds or delivery
of securities (as the case may be), may not be made to you within one working day from the receipt of
payout from the Exchange. Thus, the stock broker shall maintain running account for you subject to the
following conditions:
a) Such authorization from you shall be dated, signed by you only and contains the clause that you may
revoke the same at any time.
b) The actual settlement of funds and securities shall be done by the stock broker, at least once in a calendar
quarter or month, depending on your preference. While settling the account, the stock broker shall
send to you a ‘statement of accounts’ containing an extract from the client ledger for funds and an
extract from the register of securities displaying all the receipts/deliveries of funds and securities. The
statement shall also explain the retention of funds and securities and the details of the pledged shares,
if any.
c) On the date of settlement, the stock broker may retain the requisite securities/funds towards outstanding
obligations and may also retain the funds expected to be required to meet derivatives margin obligations
for next 5 trading days, calculated in the manner specified by the exchanges. In respect of cash market
 transactions, the stock broker may retain entire pay-in obligation of funds and securities due from clients
as on date of settlement and for next day’s business, he may retain funds/securities/margin to the
extent of value of transactions executed on the day of such settlement in the cash market.
d) You need to bring any dispute arising from the statement of account or settlement so made to the
notice of the stock broker in writing preferably within 7 (seven) working days from the date of receipt
of funds/securities or statement, as the case may be. In case of dispute, refer the matter in writing
to the Investors Grievance Cell of the relevant Stock exchanges without delay.
14. In case you have not opted for maintaining running account and pay-out of funds/securities is not received
on the next working day of the receipt of payout from the exchanges, please refer the matter to the stock
broker. In case there is dispute, ensure that you lodge a complaint in writing immediately with the Investors
Grievance Cell of the relevant Stock exchange.
15. Please register your mobile number and email id with the stock broker, to receive trade confirmation alerts/
details of the transactions through SMS or email, by the end of the trading day, from the stock exchanges.

IN CASE OF TERMINATION OF TRADING MEMBERSHIP

16. In case, a stock broker surrenders his membership, is expelled from membership or declared a defaulter;
Stock exchanges gives a public notice inviting claims relating to only the "transactions executed on the trading
system" of Stock exchange, from the investors. Ensure that you lodge a claim with the relevant Stock
exchanges within the stipulated period and with the supporting documents.
17. Familiarize yourself with the protection accorded to the money and/or securities you may deposit with
your stock broker, particularly in the event of a default or the stock broker’s insolvency or bankruptcy and
the extent to which you may recover such money and/or securities may be governed by the Bye-laws and
Regulations of the relevant Stock exchange where the trade was executed and the scheme of the Investors’
Protection Fund in force from time to time.

DISPUTES/ COMPLAINTS
18. Please note that the details of the arbitration proceedings, penal action against the brokers and investor
complaints against the stock brokers are displayed on the website of the relevant Stock exchange.
19. In case your issue/problem/grievance is not being sorted out by concerned stock broker/sub-broker then
you may take up the matter with the concerned Stock exchange. If you are not satisfied with the resolution
of your complaint then you can escalate the matter to SEBI.
20. Note that all the stock broker/sub-brokers have been mandated by SEBI to designate an e-mail ID of the
grievance redressal division/compliance officer exclusively for the purpose of registering complaints.
 POLICIES AND PROCEDURES OF DALAL & BROACHA STOCK BROKING PVT. LTD. MANDATORY
(REF. PARA 8 OF SEBI CIR. NO. MIRSD/SE/CIR-19/2009 DATED DECEMBER 03, 2009)
a. Refusal of orders for penny stocks:
Although, the term 'Penny Stock' has not been defined by BSE/ NSE or any stock exchanges, SEBI a penny stock generally refers to a
stock which has following mentioned characteristics:
• Has small market capitalization;
• Trades at a price less than its face value;
• Has unsound fundamentals;
• Is illiquid (A list if illiquid securities is jointly released by NSE & BSE from time to time.)
Dalal & Broacha Stock Broking Pvt. Ltd. recognizes that it is client's privilege to choose shares in which he/she would like to trade.
However, Dalal & Broacha Stock Broking Pvt. Ltd. like to have special attention to dealing in "Penny stocks". To this end,
• Dalal & Broacha Stock Broking Pvt. Ltd. may refuse to execute any clients orders in penny stocks without assigning any reason for
the same.
• Any large order for purchase or sale of a "Penny stocks" should be referred to Head - Dealing, such orders can be put in the market
for execution.
• Clients must ensure that trading in "Penny stock" doesn't result in creation of artificial volume or false or misleading appearance
of trading. Further, clients should ensure that trading in "Penny stock" doesn't operate as a device to inflate or depress or cause
fluctuations in the price of such stock.
• Clients are expected not to place orders in penny stocks at prices which are substantially different from the prevailing market
prices. Any such order is liable to be rejected at the sole discretion of Dalal & Broacha Stock Broking Pvt. Ltd.
• In case of sale of penny stocks, client should ensure delivery of shares to Dalal & Broacha Stock Broking Pvt. Ltd. before the pay-
in date.
• Dalal & Broacha Stock Broking Pvt. Ltd. reserves the right to refuse or restrict the execution of any transaction requests of the
Client on certain stocks depending on various conditions like volume, value, illiquidity, even though a client may have credit
balance or sufficient margin in the trading account or restrictions in Z group/T group or restrictions on ASM/GSM securities
appearing in SMS list.
b. Setting up client's exposure limit:
• Exposure limit for each client is determined by the Risk management Department based on Net-worth information, client's financial
capacity, prevailing market conditions and Margin deposited by client in the form of funds/securities with the Dalal & Broacha
Stock Broking Pvt. Ltd. These limits may be set exchange-wise, segment-wise, & scrip-wise.
• Dalal & Broacha Stock Broking Pvt. Ltd. retains the discretion to set and modify from time to time any clients exposure limit
decided as above.
• The limits are determined by Risk Management Department based on the above criteria and payment history of the client in
consultation with Sales/Sales trader.
• Whenever, any client has taken over or wants to take exposure in any security, Dalal & Broacha Stock Broking Pvt. Ltd. may call for
appropriate margins in the form of early pay-in of shares or funds before or after execution of trades in the Cash segment. In case
of any margin shortfall, the clients are told to reduce the position immediately or requested to deposit extra margin to meet the
shortfall. Otherwise, Dalal & Broacha Stock Broking Pvt. Ltd. may refuse to trade on behalf of such client in its own discretion.
c. Applicable brokerage rate:
• The applicable brokerage rate is mentioned in this document and any future change in the brokerage rate will communicated to
the client.
• The maximum brokerage charge in writing will not exceed the limit as prescribed by SEBI and exchanges.
d. Imposition of penalty / delayed payment charges by either party, Specifying the rate and the period:
• Penalty and other charges levied by Exchanges pertaining to trading of the client shall be recovered from the respective client.
• If there is delay on part of client in satisfying his/her margin obligation or settlement obligations, then, Dalal & Broacha Stock
Broking Pvt. Ltd. shall levy interest at the rate of 12% p.a. on such shortage amount for the delayed period on such client. Dalal &
Broacha Stock Broking Pvt. Ltd. shall recover such delayed payment charges from the client by debiting the client's account.
• No interest or charges will be paid by Dalal & Broacha Stock Broking Pvt. Ltd. to any client in respect of retention of funds or
securities towards meeting future settlement obligations and in respect of running account authorizations.
e. Right to sell clients' securities or close clients' positions, without giving notice to the client, on account of non payment of client's
Dues:
We refer to the SEBI circular No. CIR/HO/MIRSD/DOP/CIR/P/2019/75 on "Handling of Clients" Securities by trading Members/ Clearing
Members" dated June 20, 2019 read in line with the updated FAQ's dated 27th Sep 2019, which will be in effect from 1st October
2019. To view this circular SEBI Circular it has necessitated a change in policy and procedures with respect to retention/ handling of
securities and square off policy. We hereby communicate the modification in our existing policies and procedures.
Securities handling/ retention policy:
1) Entire Securities received in settlement payout will be transferred to the client beneficiary owner account(BO), if the total
amount outstanding from the client is realized in full by way of receipt of clear funds, considering the future obligation of
unsettled transaction and margin payable on the same.
2) In case of partial payment, all the securities shall be retained, however, based on client instruction subject to retention of
securities as a collateral for the amount outstanding, excess securities will be transferred to client BO account after applying
prevailing hair cut as per scrip category as determined by Dalal & Broacha Stock Broking Pvt. Ltd.
3) (a) Clients securities may be transferred to the CLIENT BENEFICIERY a/c via direct payout or transferred to the " Client Unpaid
Securities Account" (CUSA) depending on the discretion of the stock broker. No securities shall be kept in the CUSA beyond 5
days from the date of payout.
(b) We may, however, at our discretion, transfer the unpaid securities to Client BO account in case the client is having BO account
with Dalal & Broacha Stock Broking Pvt. Ltd. and has executed POA of the demat account for transferring securities against
obligation, in favour of Dalal & Broacha Stock Broking Pvt. Ltd.
 4) In the event of non-payment, within 5 trading days from the date of pay-out, in proportion to the amount not received and after
taking into account any amount lying to the credit of the client, it will be the Broker's discretion to either DISPOSE - OFF/SELL the
securities. The balance shall be transferred to the Client Beneficiary Account.
5) As the SEBI Circular No.CIR/HO/MIRSD/DOP/CIR/P/2019/75 dated June 20th 2019 read in line with the updated FAQ's dated
27th Sep 2019 mandates liquidation of securities in case of non-payment within 5 working days from the pay-out date, NO PRE-
ORDER TRADE CONFIRMATION is required for the same. The Shares lying in the CUSA shall be sold based on RMS policy of
Company.
6) The client may want to sell some other securities lying in their respective demat account within the 5 days from the payout
instead of the securities lying in the CUSA. In this case the client shall do an EARLYPAYIN of these securities to the "Pool Account"
of the Broker and give a written consent duly signed by the Trading Account holder for the same. Only after these securities are
disposed-off and the formalities are completed to the satisfaction of Dalal & Broacha Stock Broking Pvt. Ltd., the securities in the
CUSA shall be transferred to the "Client Beneficiary Account".
7) It shall be noted that Dalal & Broacha Stock Broking Pvt. Ltd. shall not allow the client to initiate a buy trade as further exposure
shall not be allowed if the old debit is not realized in full by way of receipt of clear funds in the bank account of Dalal & Broacha
Stock Broking Pvt. Ltd. or by way of realized payout as a result of liquidation by the Trading Member read in line with the para
2(d) of the SEBI Circular ref No.CIR/HO/MIRSD/DOP/CIR/P/2019/75 dated June 20th 2019 and the FAQ dated 27/09/2019 pt 19
page 7.
8) "Client Securities Margin Pledge Account" shall be used for the purpose of holding clients securities for margin purposes. Excess
securities (in the form of margin pledge) or any cash equivalent collateral deposited with CC on behalf of client, after adjustment
of the 225% of margin liability, need not be unpledged while settling the account.
9) In case there is a shortfall after the selling of securities from the CUSA the client shall be liable to pay the balance.
10) In exceptional scenario, where inter-depository transfer is not available i.e. SGB, G-sec,… the client will have to open an account
in the relevant Depository.
11) Securities offered as margin/collateral will remain in the account of the client and can be pledged to Dalal & Broacha Stock
Broking Pvt. Ltd. by way of ‘margin pledge’, created in the Depository system.
f. Shortages in obligations arising out of internal netting of trades:
BSE has a window wherein internal short deliveries can get auctioned as per the normal auction process. Internal short deliveries are
not covered by the Auction conducted on the NSE. It is due to this limitation on the NSE we follow the procedure as mentioned below:
• The client may not receive shares on T + 2 in case there is an internal shortage situation within Dalal & Broacha Stock Broking Pvt.
Ltd., i.e. the buyer and seller are both Dalal & Broacha Stock Broking Pvt. Ltd.'s clients and seller defaults in delivery due to which
the buyer may not receive the shares.
• In case there is an internal shortage in BSE, the exchange conducts an auction through which the shares would be purchased and
delivered to the buyer. The seller would be debited at the rate at which the exchange would have purchased these shares.
Additionally, brokerage statutory costs and other incidental charges including penalty for non-delivery may be debited to the
client. In case, the exchange is unable to purchase these shares, the exchange will inform Dalal & Broacha Stock Broking Pvt. Ltd.
of a close out rate, at which the buyer would be allowed credit and the seller would be debited for the same amount. In case of
any corporate action for internal shortages, if original trade was executed at cum rate, then Dalal & Broacha Stock Broking Pvt.
Ltd. will repurchase the shares at ex-rate in its internal shortage a/c. The amount/quantity of corporate action as applicable will
be debited to seller's account and will be credited to buyer's account. In case of security being delisted from trading/unable to
buy on account of corporate account, Dalal & Broacha Stock Broking Pvt. Ltd. will close out internal shortage at last traded price/
last traded cum rate price + 10% (credit to buyer and debit to seller)
• In case there is an internal shortage in NSE, Dalal & Broacha Stock Broking Pvt. Ltd. purchases the shares from the normal market
and provides the shares to the buyer on receipt of delivery. The defaulting seller would be debited with the rate at which these
shares were purchased, including the brokerage statutory charges and other incidental charges including penalty if any. In case of
non receipt of delivery to purchase the shares, the buyer would be offered credit at a close out rate applicable on T+4 day + 3% or
and the new seller would be debited at the same rate. In case where Dalal & Broacha Stock Broking Pvt. Ltd. is unable to purchase
the shares on account of the scrip being in buying circuit, the position would then be closed out on the closing price of the
exchange on T+2 at the circuit percentage of 2 days (Maximum up to 20% .) In case of any corporate action for internal shortage
if original trade was executed at cum -rate then Dalal & Broacha Stock Broking Pvt. Ltd. will repurchase the share at ex rate in its
internal shortage account. The amount/quantity of corporate action, as application will be debited to the seller's a/c and will be
credited to the Buyers's account. In case of securities being delisted from trading/unable to buy on account of corporate action,
Dalal & Broacha Stock Broking Pvt. Ltd. will close out internal shortage at last traded price/last traded cum rate price + 10% (Credit
to buyer & Debit to seller)
• Dalal & Broacha Stock Broking Pvt. Ltd. may also levy charges on the defaulting seller for non-delivery of stocks within the stipulated
time.
g. Conditions under which a client may not be allowed to take further position or the broker may close the existing position of the
client
Dalal & Broacha Stock Broking Pvt. Ltd. shall have absolute discretion and authority to limit client's volume of business or to close any
existing position of a client without giving any prior notice to the client under following mentioned conditions:
• Extreme volatility in the market or in particular scrip or in the F&O/CD/CMD segment.
• There is shortfall in the margin deposited by client with Dalal & Broacha Stock Broking Pvt. Ltd.
• There is insider trading restrictions on the client.
• There are any unforeseen adverse market conditions or any natural calamity affecting the operation of the market.
• There are any restrictions imposed by Exchange or Regulator on the volume of trading outstanding positions of contracts.
• The client is undertaking any illegal trading practice or the client is suspected to be indulging in money laundering activities.
• Dalal & Broacha Stock Broking Pvt. Ltd. has reached its limit in that scrip.
• The client has breached the client-wise limit.
• The client has taken or intends to take new position in a security which is in the banned period.
 • Due to abnormal shortfall in the market, if market are closed.
h. Temporarily suspending or closing a client's account based at the Client's request:
• Any client desirous of temporarily suspending his or her trading account has to give such request in writing to the management.
After management's approval, further dealing in such client's account will be blocked. Whenever trade has to be resumed in
any suspended client account, a request in writing should be made by the client to the management and the management
may ask for updated financial information and other details for reactivating such account. After receiving necessary documents,
details, etc. and approval from the management, the client account will be reactivated and transaction will be carried out.
• Similarly, any client desirous of closing his/her account permanently is required to inform in writing and the decision in this
regard will be taken by the management. After necessary approval from the management, the client code will be deactivated.
Only after scrutinizing the compliance requirements and a "no pending queries" confirmation is taken, securities and funds
accounts will be settled.
i. Deregistering a Client
Dalal & Broacha Stock Broking Pvt. Ltd. may, in its absolute discretion, decide to deregister a particular client. The illustrative
circumstances under which Dalal & Broacha Stock Broking Pvt. Ltd. may deregister a client are given below:
• SEBI or any other regulatory body has passed an order against such client, prohibiting or suspending such client from
participating in the securities market.
• Such client has been indicated by a regulatory body or any government enforcement agency in case of market manipulation
or insider trading or any other case involving violation of any law, rule, regulation, guideline or circular governing securities
market.
• Such client is suspected of indulging in illegal or criminal activities including fraud or money laundering.
• Such client's name appears in the UN list of prohibiting entities or SEBI debarred list.
• Such client's account has been lying dormant for a long time or client is not traceable.
• Such client has declared insolvent or any legal proceedings to declare him/her as such have been intended.
• Such client has been irregular in fulfilling obligations towards margin or settlement dues.
• Such client has a tainted reputation and any business relationship with such clients is likely to tarnish the reputation of Dalal
& Broacha Stock Broking Pvt. Ltd. or may act as detriment to Dalal & Broacha Stock Broking Pvt. Ltd.'s prospects.
J. Inactive Client Account:
As per the BSE & NSE circular on “Treatment of Inactive Trading account” dated February 10, 2020, the term “Inactive” refers to
such account wherein no trades have been carried out since last 12 (Twelve) months across all Exchanges. Any further trading by
“Inactive” client will be allowed only after undertaking sufficient due diligence (including In-person verification) and obtaining
updated information related to KYC.
For such accounts marked as inactive, on submission of the necessary information to the KYC department and updation of the
same in the Exchange systems and approval by the Exchange, the blocked trading accounts shall be unblocked by the Exchange on
T+1 trading day.
Return of client assets:
Dalal & Broacha Stock Broking Pvt. Ltd. shall settled all client’s account on monthly or quarterly basis (as per the client preferences)
in the manner prescribed from time to time. In case Dalal & Broacha Stock Broking Pvt. Ltd. is unable to settle the client account
due to non-availability of client’s bank account and demat account details and non-traceability of client, Dalal & Broacha Stock
Broking Pvt. Ltd. will make all efforts to trace the client to settle their funds and securities lying with Dalal & Broacha Stock
Broking Pvt. Ltd..
Further in cases where Dalal & Broacha Stock Broking Pvt. Ltd. is unable to trace such clients in spite of all efforts taken, Dalal &
Broacha Stock Broking Pvt. Ltd. will open one separate Client Bank/Client collateral Demat account and immediately set aside the
funds and securities of these clients in such account.
In case of receipt of any claims from such clients, Dalal & Broacha Stock Broking Pvt. Ltd. shall settle the accounts after necessary
due diligence.
K. KYC complaince by Stock Exchange(s) and Depositorie(s)
• It is informed that 6 KYC attributes i.e. Name, PAN, Address, Mobile Number, Email id and Income Range have been made
mandatory. Investors availing custodian services will be additionally required to update the custodian details.
• Thereafter non-compliant trading accounts will be blocked for trading by the Exchange.
• The non-compliant demat accounts will be frozen for debits by Depository Participant or Depository.
• On submission of the necessary information to the stockbroker and updation of the same by the stockbroker in the Exchange
systems and approval by the Exchange, the blocked trading accounts shall be unblocked by the Exchange on T+1 trading day.
• The demat account shall be unfreezed once the investor submits the deficient KYC details and the same is captured by the
depository participant in the depository system.
• To ensure smooth settlement of trades, the investors are requested to ensure that both the trading and demat accounts are
compliant with respect to the KYC requirement.
• The investors are hereby requested to comply with the regulatory guidelines issued by Exchanges and Depositories from time to
time with regard to KYC compliance and related requirements.
I agree to comply with the regulatory guidelines issued by exchange(s) and depositorie(s).
I/We have fully understood the above and do hereby sign the same. These policies and procedures may be amended unilaterally by
the broker, provided the amendment is informed to me/us as per applicable laws, rules & regulations of Exchange/SEBI. These
policies and procedures shall always be read and shall be compulsorily referred to while deciding any dispute or claim between me/
us and broker before any regulator or arbitrator or court of law.


________________________________________
(Signature of First Director/Partner/Trustee)
BROKERAGE AND STATUTORY CHARGES
Further, I agree to the following terms of doing business
Segment Sq. off % Sq. off Min (ps) Settlement % Settlement Delivery % Delivery
Min (ps) Min (ps)
Buy Sell Buy Sell Buy Sell
BSE Cash
BSE F&O N. A. N. A. N. A. N. A. N. A. N. A. N. A. N. A. N. A.
NSE Cash
NSE F&O N. A. N. A. N. A. N. A. N. A. N. A. N. A. N. A. N. A.
The above given brokerage will be inclusive/exclusive of the following charges.
BSE BSE NSE NSE
Cash F&o Cash F&o
Transaction charges N. A. N. A.
Sq. up Stamp Duty N. A. N. A.
Del. Stamp Duty N. A. N. A.
STT N. A. N. A.
GST N. A. N. A.
Note: 1. The above charges are subject to change by the regulatory authorities or Government agencies.
2. KRA-KYC Charges @Rs. 50/- will be debited to constituent account.
3. With effect from 1st April, 2020 revised rate of stamp duty for all transactions which are reported on
exchange platform.

 First Holder’s Signature

Signature of the Client _________________________

FOR OFFICE USE ONLY

UNIQUE CONSTITUENT CODE: (To be inserted by the
Brokerage Firm)
NAME SIGNATURE AND DATE
Authorised by Kishore Patel
Entered by Pranali P. Agharkar
Scan by: ______________________________ File No.: _____________________________
Scan Date: ____________________________ Location: ____________________________
Date Particulars Name Signature
Form Received Pranali P. Agharkar
Date of A/c opened Pranali P. Agharkar
Date of BSE UCC a/c Pranali P. Agharkar
Date of NSE UCC a/c Prashant S. Agharkar
Date of BSE UCC F&O a/c Prashant S. Agharkar
Date of NSE UCC F&O a/c Prashant S. Agharkar
MF option BSE Pranali P. Agharkar
MF option NSE Pranali P. Agharkar
Brokerage Slab Kishore Patel
KRA done through Nitesh Sawant
CVL/NDML/NSE/
 RUNNING ACCOUNT AUTHORISATION
Date: _____/______/______ Client Code: ____________________
Name: ________________________________________________________________________________________
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Dear Sir,
1. I/We hereby state that, I/we are aware of the norms relating to Pay-in & Pay-out of Funds and Securities. Inorder to
facilitate operations and banking convenience, I/We hereby authorize you to maintain my/our fund account with
you on a running account basis instead of daily settlement of funds due to me/us. Further, the Pay-out of Funds may
be retained by you for the purpose of margins/exposures/collateral/any other obligations due to you. I/We also
understand and agree that any credit amount lying with you will not attract any interest. I/We further understand
that in case of non-payment of dues by me/us upto T + 2 day, the securities received towards payout may be retained
by you in the Client Unpaid Securities Accounts (CUSA) as per the applicable guidelines.
2. On my/our specific request, you may release the Funds due to me/us. While doing the settlement, you may retain
Entire pay-in obligation of funds outstanding at the end of the day on settlement of running account, of T day & T - 1
day, Margin liability as on the date of settlement of running account in all segments and additional margins (maximum
upto 125% of total margin liability on the day of settlement). The margin liability shall include the end of the day
margin requirement excluding the MTM and pay-in obligation. Hence you may retain 225% of the total margin liability
in all the segments across exchanges.
3. If no transaction is done in the 30 calendar days since the last transaction, the credit balance of my/our account shall
be returned within next three working days irrespective of the date when the running account was previously settled.
4. I/We hereby agree that you will settle my/our account of funds at least once in a quarter/month after considering
the end of the day (EOD) obligation of funds as on date of settlement across all the exchanges. While settling the
account you will send; in physical or electronic form; the “Statement of Running Accounts (SOA)” including the
Retention Statement. I/we agree to bring to your notice any dispute arising from the SOA or settlement within 30
(Thirty) working days from the date of statement, failing which it is agreed by me/us that the Statement of Accounts
as issued by you is proper and correct. As such the quarterly settlement will be done on first Friday of April, July,
October & January and monthly settlement of T month will be done on first Friday of T+1 month. In case of trading
holiday on such first Friday, the settlement shall be done on previous trading day. Considering this;
My/Our preference for settlement of Running Account is at least once on first Friday of end of;
 Quarter  Month
5. I/We hereby agree that above stated periodic settlement of running account is not required in case I/we avail margin
trading facility or for funds given by me/us towards collaterals/margin in the form of Bank guarantee (BG)/Fixed
Deposit Receipts (FDR) directly in favor of CC/exchange. Margin trading account with no transaction, for preferred
retention period, shall be settled as per the rules.
6. I/We understand and agree that excess securities (in the form of margin pledge) or any cash equivalent collateral
deposited with CC on behalf of me, after adjustment of the 225% of margin liability, need not be unpledged.
7. I/We understand that this authorization may be revoked at any point of time, by giving prior written communication
at your registered office.


Signature of Client/Authorized Signatory (in case of Nonindividual client)
LETTER FOR AUTHORISED SIGNATORIES - ALL EXCHANGES
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Dear Sir,
Re: Letter for authorized signatories
Kindly find below a list of authorized signatories to represent us, their authority including but restricted to
1. Placing/ modifying/ cancelling orders on our behalf
2. Acknowledging contract notes issued by you to us for our trades
3. All other communications from us to you
Name of the signatories Signature Relation, if any
1. ________________________________
2. ________________________________
3. ________________________________

Client Signature
 ECN AUTHORISATION

From: _________________________
______________________________
______________________________
Date: _________________________
To,
Dear Sirs,
Sub: Mandate to issue contract notes in digital format & other communications (such as Daily Margin Statement,
Statement of Funds & Securities, Account Confirmations, bills, Notices etc.) through an E-Mail
I / We hereby agree and consent to accept the contract notes for transactions carried on by us/me on BSE/NSE with
you, in terms of the agreement entered into between us/me, in digital form. Digital contracts issued by you as per the
terms and conditions specified herein shall be binding on me/us. The mandate is subject to terms and conditions
mentioned herein below.
Terms and conditions for issuance of contract notes in digital form between us :-
1. Digital Contract Notes in the format as may be prescribed by the Exchange from time to time will be mailed to
me/us on the E-mail address provided to you.
You can also send me/us my/our margin statement in digital form with contract notes.
2. I / we undertake to check the contract notes and bring the discrepancies to your notice. My /our non-verification
or not accessing the contract notes on regular basis shall not be a reason for disputing the contract note at any
time.
3. In case of any failure in system or errors in digital contract notes, contract notes will be issued in physical form,
which shall be binding on the client.
4. Discrepancies, if any, should be sent on E-mail: compliance.officer@dalal-broacha.com
5. Clients can view the digital contract notes using the username & password through the web-site apart from the
contract notes sent to the client through mail.
6. The Digital contract notes will be archived at an quarterly interval. If the client intends to view the digital contract
notes for a period prior to 90 days client may request for the same in writing.
7. The contract notes will be issued in digital form in compliance with the guidelines issued by SEBI / Exchanges from
time to time.
8. It will be client's responsibility to regularly check the mailbox and keeping the storage space for new email messages.
9. Any changes in the terms and conditions shall be intimated from time to time.
10. Digital Contract Notes will also be available at our Web-site www.dalal-broacha.com
11. Any change in the E-mail ID shall be communicated by us / me through a physical letter.
12. Non receipt of bounced mail notification will amount to delivery of contract note.
Other Communications (such as Daily Margin Statement, Statement of Funds & Securities, Account Confirmations,
bills, Notices etc.)
You can send me various documents like Daily margin statement, Statement of funds & securities, Account confirmations,
bills, notices etc. through an E-mail ID mentioned in this letter.
This instruction to issue digital contract notes & other communications are applicable with immediate effect. This
instruction is several to all parties mentioned above.
My/Our E-mail ID ___________________________________________
My/Our Alternative E-mail ID __________________________________
Yours faithfully,


(Signature of First Director/Partner/Trustee)
Client Code : (customer ID)
 AUTHORITY TO DEBIT THE DEMAT ACCOUNT OPERATING CHARGES

To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point,
Mumbai - 400 021.
Dear Sirs,
This is to inform that
a. I/We have a beneficiary account with DALAL & BROACHA STOCK BROKING PVT. LTD. (DP) & with client id
12011700-00 ________________.
b. Further I/We have a trading account with DALAL & BROACHA STOCK BROKING PVT. LTD. (trading code as
mentioned below) for investment and trading purpose.
c. I/We find it extremely inconvenient to give cheques against your depository bills.
With respect to the above mentioned subject and consideration, I hereby authorize you to debit the trading account
maintained with DALAL & BROACHA STOCK BROKING PVT. LTD. for the debit charges payable to DALAL & BROACHA
STOCK BROKING PVT. LTD.
As Depository Participant for providing depository services. Any such sum debited to my/our account shall be
binding on me/us.

Yours faithfully,

Signature of First Director/Partner/Trustee _________________________________

Name of the Client ____________________________________________________

Client Code: __________________________

FOR NRI / FN

Name:_________________________________________________________________________________________

Address:_________________________________________________________________________________________

______________________________________________________________________________________________________________________________

TO WHOMSOEVER IT MAY CONCERN

I/We agree to abide by all necessary rules and regulations introduced or amended from time to time by all statutory
government bodies in India, and guidelines as prescribed by the Reserve Bank of India under the Foreign Exchange
Management Act, 1999 (FEMA).
Further, in the process of opening my/our accounts with the Indian Bank/s, members of Indian Stock Exchange/s,
and Depository Participants, I/We have complied with the current laws and will continue to do so as required for
the proper maintenance of the aforesaid accounts.
In case there is any change in my/our status from Resident to Non-resident or vice versa, I/We shall inform all
concerned agencies of the same and will abide by the procedures and requirement for the transition.

Signature of First Director/Partner/Trustee 

Name:____________________________________
 LETTER FOR OPERATIONS OF ACCOUNT
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point,
Mumbai - 400 021.
Tel. No. 2282 2992, 2287 6173
Fax No. 2287 0092
Dear Sir,
Sub : Our dealings on the Capital Market Segment/Futures & Options Segment of the BSE/NSE.
With reference to the captioned subject I/We request you to kindly note the following points for smooth conduct
of business operations:
1. I hereby authorise you to accept verbal instructions for placement / modification / cancellation of orders
and I expressly agree that once the trade confirmation is sent by you and / or contract note is accepted
by me.
2. You are free to adjust debits/credits in between of my accounts, viz. (a) BSE Capital Market (CM) and F&O
(Futures and Options), (b) NSE CM and F&O (c) Depository Account maintained by me.
These adjustments mentioned in the accounts (a) to (c) above may be done by passing a Journal Entry, Bank
Entry.
3. I/We authorise you to issue me/us bill for transactions in F&O segment of BSE/NSE.
4. I/We am/are aware and have noted that you trade on your PRO/OWN account
5. I/We shall not indulge in any sub-broking activities nor issue bills/contracts/confirmation notes / to anyone
else for the trades done on the BSE/NSE.
6. All fines/penalties and charges levied on you due to my transactions/deeds/actions may be recovered by
you from my accounts.
7. Initial Margin is to be paid upfront. Dalal & Broacha Stock Broking Pvt. Ltd. can transfer balances between
initial margin & mark to market margin.
8. a) I/We hereby agree that all the financial transactions between me/us and you shall be through account
payee cheque/demand draft/pay order and no cash transactions are permitted on either side. I/We hereby
further agree that any claim of cash transaction by either party shall not be entertained by the other party.
b) I/We hereby agree not to issue third party cheques/demand drafts/pay order for my/our transactions
with you.
9. I/We hereby agree to give/take delivery of securities in demat mode from/to my/our own beneficiary account
only. Further I/We agree not to deposit blank or unfilled delivery instructions with any of your offices.
10. I/We hereby accord my/our consent to you to do transactions in my/our account based on oral instructions
over phone as otherwise it is a time consuming affair and may lead to loss due to non-execution of the
orders in time due to the formalities involved.
11. I/We hereby agree not to enter into any securities transactions/financial transactions/private deals with co-
investors and your employees/franchisees/associates and I/We am/are confined only to getting my/our orders
executed on the trading terminals of the stock exchanges and settling those transactions as per the settlement
schedules of the exchange.
12. I/We hereby agree to indemnify you fully for any losses arising out of the delivery transactions in the securities
held by me/us or jointly with any other person/s.
13. I/We agree to provide you our updated financial details on a yearly basis.
14. I/We agree to provide additional information, details, documents etc. pertaining to me/us required by NSE/
BSE, SEBI or any other statutory bodies from time to time.
Thanking you.
Yours faithfully,

Signature of First Director/Partner/Trustee : _____________________________ Date : _________________

Name of Client : _____________________________ Place : _________________

 SMS AND E-MAIL ALERTS TO INVESTORS BY STOCK EXCHANGES VOLUNTARY
(Ref: SEBI circular No. CIR/MIRSD/15/2011dated August 02, 2011)
I request you to enroll me for the following facility offered by the Stock Exchanges pursuant to above
referred SEBI circular
 SMS Facility on Mobile No provided in my KYC
1. Mobile No Belongs to  Self  Family Member
2. In case of family member please specify the relationship:
 Dependent Child  Dependent Parent  Spouse
3. PAN No. of the family Member whose Mobile No is provided above:
 Email Facility on email Id provided in my KYC
1. Email ID Belongs to  Self  Family Member
2. In case of family member please specify the relationship:
 Dependent Child o Dependent Parent  Spouse
3. PAN No. of the family Member whose Email ID is provided above:
Note:
1. Individual Client is invariably required to provide his own Mobile No. except in case of family members where
the following relationship exist Dependent Child OR Dependent Parent OR Spouse
2. Non Individual client shall provide the Mobile/ Email details of the person authorized to receive such
communication and as provided in the KYC.
3. Client may please note that Mobile No. of Trading Member (TM)/ employees of TM/ Sub broker/authorised
person are not permitted for receiving the SMS/ Email communication from exchanges
4. Client may note that the circular is available for download on the exchange’s website.


Signature of First Director/Partner/Trustee: _________________________________
 Declaration to be given by partnership on Letter head of the firm
FORMAT
Date:
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Dear Sir,
We refer to the trading account being opened/opened with you in the name _______________________________
and declare and authorize you as under.
We recognize that a beneficiary account cannot be opened with a depository participant in the name of a partner-
ship firm as per Regulations. To facilitate the operation of the above trading account with you and for the purpose
of completing the securities transfer obligations pursuant to the trading operations, we authorize you to recognize
the beneficiary account No. ____________________ with depository ______________________ opened as a joint
account in the names of the partner of the firm.
We agree that the obligations for shares purchased and /or sold by the firm will be handled and completed through
transfer to/form the above-mentioned account. We recognize and accept transfers made by you to the beneficiary
account as complete discharge of obligations by you in respect of trades executed in the above trading account of
the firm.
We hereby authorize __________________________, partner in the firm to execute / sign and submit such docu-
ments, agreements, deeds etc. as any be necessary to enter into the agreement and engage in business with
DALAL & BROACHA STOCK BROKING PVT. LTD. and to place order for buying and selling of securities, sell, pur-
chase, transfer, endorse, negotiate and do other things that may be necessary to engage in business on behalf of
the partnership and to sign the authority letter for adjustment of balances in family accounts.

Name of Partners (In Block Letters) Signatures

 ON LETTERHEAD OF COMPANY
FORMAT

CERTIFIED TRUE COPY OF THE RESOLUTION PASSED AT THE MEETING OF THE BOARD OF DIRECTORS OF
_______________________________ AT THEIR MEETING HELD ON ___________________________ .
RESOLVED THAT the Company do place orders with/give instructions to Dalal & Broacha Stock Broking Pvt. Ltd. for
investment in securities market/dealing in Equities/Derivatives & other products in Derivatives & cash segment of BSE
Limited (BSE) & National Stock Exchange of India Limited (NSE) & Central Depository Services (India) Limited (CDSL).
RESOLVED FURTHER THAT any one of the following Directors/Executives/Officers of the Company, whose specimen
signatures are appended here under.
No. Name of Authorised person Designation Specimen Signature

Be and are hereby authorized severally to

1. Sign, execute and deliver orders, instructions letters, notes, contracts, share transfer forms and such other documents
as may deemed necessary from time to time for the aforesaid purpose, and
2. Take all such actions and do all such things, as may be deemed prudent, necessary and expedient for giving effects
to the above resolution from time to time.
RESOLVED THAT Mr/Ms. ___________________ and / or _____________________ . Authorised Signatory of
________________________ (the Company) whose specimen signatures are attested below be and are hereby
authorised to sign, execute and submit applications, undertakings, agreements and other requisite documents as may
deemed necessary for KYC applications with CVLKRA & Hold & Operate the Demat Account.
RESOLVED FURTHER THAT the above resolution shall remain effective and in force till such time as a fresh resolution
canceling or amending the same is passed by the Board of Directors of the Company is furnished to Dalal & Broacha
Stock Broking Pvt. Ltd.
RESOLVED FURTHER THAT a copy of the above resolution duly certified as true by any one of the Directors of the
Company be furnished to Dalal & Broacha Stock Broking Pvt. Ltd. and such other parties as may be required from
time to time.
 ON THE LETTER HEAD OF COMPANY: FORMAT
(For Corporates)

Certificate dated_________________

submitted by ___________________________________________ to

SHARE HOLDING PATTERN of __________________________________ as on ________________

EQUITY / PREFERENCE (Please indicate and use separate sheets for equity / preference shares)

Sr. No. Name $ Number of Face value Amt Paid up % of total

shares held per share (Rs. In lakh)
1

Others

TOTAL 100 %
$ All initials to be expanded
NOTES :
Persons holding 5% or more of the paid up capital should be shown seperately and not clubbed in Others.

Date :
Place : Authorised Signatory/Director (s)

CERTIFICATE

This is to certify that the shareholding in ____________________________________ as given above, based on

my/our scrutiny of the books of accounts, records and documents it true and correct to the best of my/our knowledge
and as per information provided to my/our satisfaction.

Place:
For (Name of Accounting Firm)
Date:

Name of Partner/Proprietor
Chartered Accountant
Membership Number
 BSE STAR MF
(Letter to be provided by the Investor to the MFI)

Date:___________________
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V,
221, Nariman Point,
Mumbai - 400 021.
Tel. No. 2282 2992, 2287 6173
Fax No. 2287 0092

Sub: BSE STAR MF

I/We______________________________________________am/are registered as your client with Client Code

No.___________________and have executed the Trading Member and Client Agreement for the purpose of trading
in the Capital Market segment of Bombay Stock Exchange Ltd. (Exchange).
I/We am/are interested in availing the trading facility of the Exchange for the purpose of dealing in the units of
Mutual Funds Schemes permitted to be dealt with on the BSE Star MF.
For the purpose of availing this facility, I/we state that Know Your Client details as submitted by me/us for the stock
broking may be considered for the purpose of BSE Star MF and I/we further confirm that the details contained in
same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the Circular dated December 2, 2009 and as
may be specified by the Exchange from time to time in this regard.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and
Exchange Board of India and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the Scheme Information Document and Key Information
Memorandum, agenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/
redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/we therefore request you to register me/us as your client for participating in BSE StAR MF.

Thanking you,

Yours faithfully


(Signature of First Director/Partner/Trustee)
 NSE - MFSS Facility
(Letter to be provided by the Investor to the Participant)

Date:___________________
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V,
221, Nariman Point,
Mumbai - 400 021.
Sub: Mutual Fund Service System (MFSS) facility

I/We______________________________________________am/are registered as your client with Client Code

No.___________________and have executed the Trading Member and Client Agreement for the purpose of trading
in the Capital Market segment of National Stock Exchange of India Ltd. (Exchange).
I/We am/are interested in availing the MFSS facility of the Exchange for the purpose of dealing in the units of
Mutual Funds Schemes permitted to be dealt with on the MFSS of the Exchange.
For the purpose of availing the MFSS facility, I/we state that Know Your Client details as submitted by me/us for the
stock broking may be considered for the purpose of MFSS and I/we further confirm that the details contained in
same remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the Circular dated 24 November 2009 and as
may be specified by the Exchange from time to time in this regard.
I/We shall ensure also compliance with the requirements as may be specified from time to time by Securities and
Exchange Board of India and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the Scheme Information Document and Key Information
Memorandum, agenda issued regarding each Mutual Fund Schemes with respect to which I/we choose to subscribe/
redeem. I/We further agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes.
I/we therefore request you to register me/us as your client for participating in the MFSS.
Thanking you,
Yours faithfully

(Signature of First Director/Partner/Trustee)

Details of terms & conditions for the Investor / Client for using New MFSS facility
1. Pre-requisites for becoming Investor / Client for the New MFFS facility
1.1. The client who is desirous of investing in units of mutual fund schemes through the New MFSS.
1.2. The Client intends to execute his instruction for the subscription/redemption of units of Mutual Fund
Schemes through the Participant of the New MFSS.
1.3. The client has satisfied itself of the capacity of the Participant to deal in Mutual Fund units and wishes
to execute its instruction through the Participant and the client shall from time to time continue to
satisfy itself of such capability of the Participant before executing transacting through the Participant.
1.4. The Client has approached to the Participation with the application for availing the New MFSS facility.
1.5. The client has submitted relevant KYC (Know Your Client) details to the Participants
2. Terms and Conditions
2.1. The client shall be bound by circulars issued by NSEIL, Rules, Regulations and circulars issued there
under by SEBI and relevant notifications of Government authorities as may be in force from time to
time.
2.2. The client shall notify the Participant in writing if there is any change in the information in the ‘client
registration form’ provided by the client to the Participant at the time registering as a client for partici-
pating in the New MFSS or at any time thereafter.
2.3. The client shall submit to the Participant a completed application form in the manner prescribed for-
mat for the purpose of placing a subscription order with the Participant.
2.4. The client has read and understood the risks involved in investing in Mutual Fund Schemes.
2.5. The client shall be wholly responsible for all his investment decisions and instruction.
2.6. The client shall ensure continuous compliance with the requirements of the NSEIL, SEBI and AMFI.
2.7. The Client shall pay to the Participant fees and statutory levies as are prevailing from time to time and
as they apply to the Client’s account, transactions and to the services that Participant renders to the
Client.
2.8. The client will furnish information to the Participant in writing, if any winding up petition or insolvency
petition has been filed or any winding up or insolvency order or decree or award is passed against him
or if any litigation which may have material bearing on his capacity has been filed against him.
2.9. In the event of nonperformance of the obligation by the Participants, the client is not entitled to claim
any compensation either from the Investor Protection Fund or from any fund of NSEIL or NSCCL.
2.10. In case of any dispute between the Participants and the investors arising out of the MFSS facility, NSEIL
and / or NSCCL agrees to extend the necessary support for the speedy redressal of the disputes.
 Risk Assessment of Client in terms of PMLA 2002
CSC PEP
Type of Client High Risk Low Risk Medium Risk (Client Special (Politically
Category) Exposed Person)
at the time of account opening

Categorisation of client would be changed only if there is change based on risk assessment of the client during his
dealings with Dalal & Broacha Stock Broking Pvt. Ltd.

For Dalal & Broacha Stock Broking Pvt. Ltd.

Director/Authorised Signatory

Confirmation of Receipt of executed documents

Client Code: ____________________

Dear Sir,

I/We hereby acknowledge the receipt of duly executed copy of Account Opening Form (Trading & DP), Rights and
Obligations (Trading & DP), RDD, Guidance Note (Do’s & Dont’s), Policies and Procedures, Tariff Sheet (Trading),
Schedule of Charges (DP), SMS Alert, Power of Attorney and all other documents as executed by me/us.


Signature of First Director/Partner/Trustee: ______________________________________________________________
Version: 1.1
Date: _______________________ 1000.03.04.2014

MODE OF OPERATION FOR EXECUTION OF TRANSACTIONS (Transfer, Pledge & Freeze)

 Sole Holder  Jointly  Anyone or Survivor

(Peforated Card)

DP ID 1 2 0 1 1 7 0 0 Client ID 0 0

First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee

Name
Specimen
Signatures   
 REQUEST FOR UPDATION OF AADHAAR NUMBER IN TRADING/DEMAT/MF LINKED ACCOUNTS

Date:___________________
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V,
221, Nariman Point, Mumbai - 400 021.
Sub: Updation of Aadhaar Number in TRADING/DEMAT/MF linked accounts
Dear Sir / Madam,
Please update my/ our below mentioned Aadhaar Number to my/ our below mentioned accounts.
Client Name (1st holder): _________________________________________________________________
Aadhaar Number 1st holder
Client Name (joint holder 1): _________________________________________________________________
Aadhaar Number joint holder 1
Client Name (joint holder 2): _________________________________________________________________
Aadhaar Number joint holder 2
Please update Aadhaar number to below accounts as required:
DP ID:
Client ID:
UCC Code
I submit my above Aadhaar number and voluntarily give my consent to:
• Update my/our Aadhaar/UID number issued by UIDAI, Govt. of India in my/our name with my/our aforesaid accounts.
• Use my/our Aadhaar details to authenticate me/us from UIDAI
• Use my/our mobile number mentioned in my/our account for sending SMS alerts to me/us
• Consent for Authentication: I/We, the holder of the above stated Aadhaar number, hereby give my/our consent to Dalal &
Broacha Stock Broking Pvt Ltd , to obtain my/our Aadhaar number, Name and Fingerprint/Iris for authentication with
UIDAI. Further, i/we am/are aware that my/our identity information would only be used for demographic authentication /
validation / e-KYC purpose and also informed that my/our biometrics will not be stored / shared and will be submitted to
CIDR only for the purpose of authentication.
• I/We hereby submit my/our Aadhaar number as issued by Government of India, to Dalal & Broacha Stock Broking Pvt. Ltd.
and voluntarily give my/our consent to link them to all my/our accounts / relationships (existing and new) maintained with
Dalal & Broacha Stock Broking Pvt. Ltd. in my/our individual capacity and / or as an authorized signatory in non- individual
accounts. I/We, holder of the above stated Aadhaar number, hereby voluntarily give my/our consent to Dalal & Broacha
Stock Broking Pvt. Ltd. to obtain and use my/our Aadhaar number, Name and Fingerprint/Iris and my/our Aadhaar details
to authenticate me/us with UIDAI as per Aadhaar Act, 2016 and all other applicable laws. Dalal & Broacha Stock Broking
Pvt. Ltd. has informed me/us that my/our Aadhaar details and identity information would only be used for demographic
authentication, validation, e-KYC purpose, OTP authentication including; for availing trading/demat/mf services, operation
of my/our accounts / relationships and for delivery of subsidies, benefits and services and / or any other facility relating to
trading/demat/mf operations. Dalal & Broacha Stock Broking Pvt.Ltd. has informed that my/our biometrics will not be
stored / shared and; will be submitted to Central Identities Data Repository (CIDR) only for the purpose of authentication.
I/We have been given to understand that my/our information submitted to the Dalal & Broacha Stock Broking Pvt.Ltd.
herewith shall not be used for any purpose other than mentioned above. I/We also authorize Dalal & Broacha Stock
Broking Pvt. Ltd. to link and authenticate my/our Aadhaar number to all my/our accounts / relationships with the Dalal &
Broacha Stock Broking Pvt.Ltd. as may be opened in future in addition to those mentioned below. I/We will not hold Dalal
& Broacha Stock Broking Pvt. Ltd. or any of its officials responsible in case of any incorrect information provided by me/us.
I/We have been given to understand that my/our information submitted herewith shall not be used for any purpose other than
mentioned above, or as per requirements of law.
Signatures

  
First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee
 DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.

(For entities other than Individuals)

Application No. Date
DP Internal Reference No.
DP ID 1 2 0 1 1 7 0 0 Client ID 0 0 0
(To be filled by the applicant in BLOCK LETTERS in English)
I / We request you to open a demat account in my / our name as per the following details: -
Holders Details
Sole / First Holder’s Name
Search Name PAN
Exchange Name & ID UCC
Second Holder’s Name PAN
UID X X X X X X X X
Third Holder’s Name PAN
UID X X X X X X X X

Name*
* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the
natural persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.
Type of Account (Please tick whichever is applicable)
Status Sub – Status
 Body Corporate  Banks  Trust  Mutual Fund  OCB  FII To be filled by the DP
 CM  FI  Clearing House  Other (Specify)

SEBI Registration No. SEBI Registration Date

(If Applicable)
RBI Registration No.
(If Applicable)
Nationality  Indian  Others (specify)______________________________

I / We instruct the DP to receive each and every credit in my / our account [Automatic Credit]  Yes  No
(If not marked, the default option would be `Yes’)
I / We would like to instruct the DP to accept all the pledge instructions in my /our account without any other
 Yes  No
further instruction from my/our end (If not marked, the default option would be ‘No’)

Account Statement Requirement  As per SEBI Regulation  Daily  Weekly  Fortnightly  Monthly
I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID____________________  Yes  No

I/ We would like to share the email ID with the RTA  Yes  No

I / We would like to receive the Annual Report  Physical /  Electronic /  Both Physical and Electronic
(Tick the applicable box. If not marked the default option would be in Physical)
Clearing Member Details (To be filled by CMs only)
Name of Stock Exchange
Name of CC / CH
Clearing Member Id Trading member ID

I / We wish to receive dividend / interest directly in to my bank account as given below through ECS
(If not marked, the default option would be `Yes’) [ECS is mandatory for locations notified by SEBI from time to time ]  Yes  No
 Bank Details (Dividend Bank Details)
Bank Code (9 digit MICR code)
IFS Code (11 character)
Account number
Account type  Saving  Current  Cash Credit  Others (specify)
Bank Name
Branch Name
Bank Branch Address

City State Country PIN

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque book is issued, (or)
(ii) Photocopy of the Bank Statement having name and address of the BO
(iii) Photocopy of the Passbook having name and address of the BO, (or)
(iv) Letter from the Bank.
• In case of options (ii), (iii) and (iv) above, MICR code of the branch should be present / mentioned on the document and it shall be self-certified by the BO.
MICR code starting with 000 will not be eligible for ECS.
OTHER DETAILS
Gross Annual Income details (please specify): Income Range per annum
 Upto Rs. 1,00,000/-  Rs. 1,00,001/- to Rs. 5,00,000/-  Rs. 5,00,001/- to Rs. 10,00,000/-
 Rs. 10,00,001/- to Rs. 25,00,000/-  Rs. 25,00,001/- to Rs. 100,00,000/-  More Than Rs. 100,00,000/-
Net worth as on Date : ______________ Rs. _____________________ (Net worth should not be older than 1 year)
Please tick If any of the authorized signatories / Promoters / Partners / Karta / Trustees / Whole Time Directors is either Politically
Exposed Person (PEP) or Related to Politically Exposed Person (RPEP)  Please provide details as per Annexure 2.2 A.
Any other information

SMS Alert Facility  Yes MOBILE NO. +91_________________________________________________________________________  No

Refer to Terms & Conditions [(Mandatory , if you are giving Power of Attorney ( POA)]
given as Annexure-2.4 (if POA is not granted & you do not wish to avail of this facility, cancel this option).
easi  Yes. To register for easi, please visit our website www.cdslindia.com.  No
Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

Consent for Communication to be received by first account holder/ all Account holder: (Tick the applicable box. If
not marked the default option would be first holder.
 First Holder  All Holder Email id
 Second Holder
 Third Holder
I/We have received and read the document of ‘Rights and Obligation of BO-DP’ (DP-CM agreement for BSE Clearing
Member Accounts) including the schedules thereto and the terms & conditions and agree to abide by and be bound
by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me/us
above are true and to the best of my/our knowledge as on the date of making this application. I/We further agree that
any false / misleading information given by me / us or suppression of any material information will render my account
liable for termination and suitable action.
First Director/Partner/Trustee Second Director/Partner/ Third Director/Partner/
Trustee Trustee
Name
Designation
Signature   
(Signatures should be preferably in black ink). (In case of more authorised signatories, please add annexure)
Reference No.: ___________________ CDSL ANNEXURE 2.4
Your Depository
Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL
Definitions:
In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:
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 discon-
tinue 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 deposi-
tory 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.

__________________________  _____________________________  ___________________________

First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee
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 war-
ranty 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 Deposi-
tory 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).
BOID
1 2 0 1 1 7 0 0 0 0

(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)

 ___________________________
 ______________________________  ____________________________
Signatures First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee
Place: _______________ Date: _______________
 OPTION FORM FOR ISSUE OF DIS BOOKLET
Date: _______________________
DP ID 1 2 0 1 1 7 0 0 Client ID 0 0
Sole/First Holder
Second Holder
Third Holder
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point,
Mumbai - 400 021.
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 of my/our CDSL
account though I/we have issued a Power of Attorney (POA)/registered for eDis/executed PMS agreement in favour
of/with _______________________________(name of the attorney/Clearing Member/PMS manager) for executing
delivery instructions for setting stock exchange trades [settlement related transactions] effected through such Power
of Attorney holder - Clearing Member /by PMS manager/for executing delivery instructions through eDIS.
Yours faithfully,
First/Sole Holder Second Joint Holder Third Joint Holder

Name

Signatures   

 OPTION 2:
I/We do not require the Delivery Instruction Slip (DIS) booklet for the time being, since I/We have issued a POA/
registered for eDis/executed PMS agreement in favour of/with _______________________________________ (name
of the attorney/Clearing Member/ PMS manager) for executing delivery instructions for setting stock exchange trades
[settlement related transactions] effected through such Power of Attorney Holder - Clearing Member/by PMS manager
or for executing delivery instructions through eDIS. However, the Delivery Instruction Slip (DIS) booklet should be
issued to me/us immediately on my/our request at any later date.
First/Sole Holder Second Joint Holder Third Joint Holder

Name

Signatures   
( Please Tear here )

Received OPTION FORM FOR ISSUE / NON ISSUE OF DIS BOOKLET from:
DP ID 1 2 0 1 1 7 0 0 Client ID 0 0 0
Name of Sole/First Holder
Name of Second Joint Holder
Name of Third Joint Holder

Date: For DALAL & BROACHA STOCK BROKING PVT. LTD.

(Authorised Signatory)
 E-STATEMENT OF ACCOUNT
Date:____________________
To,
DALAL & BROACHA STOCK BROKING PVT. LTD.
506, Maker Chamber V, 221, Nariman Point,
Mumbai - 400 021.
Dear Sirs,
Re: Beneficial Owner (BO) Account No.________________________________
I/We________________________________________________________________________________________
[name(s) of the BO(s) ] had entered into agreement dated _____________________ with you at the time of opening
of the aforesaid BO account.
Pursuant to the amendment in Clause 3 of the agreement (Annexure C to the Bye Laws of CDSL.) I/We confirm
having opted to receive the statement of accounts pertaining account in electronic mode in lieu of physical copy of
the statement of account.
I/We confirm that the dispatch of statement of account to me/us at the following email address shall constitute
full and absolute discharge of your obligation under the above agreement to provide me/us with statement of my/
our BO account. But, I/We reserve my/our right to receive the physical copy of statement of accounts despite
receiving the same in electronic mode, if such a demand is made in writing on you.
[Email address:_______________________________________________________________________________]
I/We confirm that any change in the aforesaid email address or any other instructions with regard to dispatch /
service of my/our statement of account on me/us shall not be binding upon you unless you are intimated in writing
by me/us acknowledge delivery.
Yours faithfully,

  
First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee
 DEMAT DEBIT AND PLEDGE INSTRUCTIONS (DDPI) VOLUNTARY
DALAL & BROACHA
STOCK BROKING PVT. LTD.
SEBI Regn. No.: INZ 000210337 • CDSL IN-DP-421-2019
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Tel. No.: 91-22-6714 1400/01 • E-mail: info@dalal-broacha.com
BO Name
BO ID 12011700
Client (UCC) Code
Dear Sir/Madam,
I/We, the undersigned Beneficial Owner(s), do hereby appoint Dalal & Broacha Stock Broking Pvt. Ltd. (DBSBPL)
to exercise the following powers and authorises on my behalf.
Sr. Purpose Signature of First/ Signature of Signature of
No. Sole Holder Second Holder Third Holder
1. Transfer of securities held in the ben-
eficial owner accounts of the client
  
towards Stock Exchange related de-
liveries/settlement obligations arising
out of trades executed by clients on
the Stock Exchange through the same
stock broker.
2. Pledging/re-pledging of securities in
favour of trading member (TM) /
  
clearing member (CM) for the
purpose of meeting margin
requirements of the clients in
connection with the trades executed
by the clients on the Stock Exchange.
3. Mutual Fund transactions being
executed on Stock Exchange order
  
entry platforms

4. Tendering shares in open offers

through Stock Exchange platforms
  

In connection with the instructions, DBSBL, may debit or transfer securities for the purpose of delivering
the same to the Clearing House of the respective Stock Exchange(s) directly or through DBSBPL’s (Trading
Member) Pool Account towards any segment in respect of securities sold by me/us through DBSPL. DBSPL
may from time to time open such other demat accounts; in addition to the account numbers mentioned
below; for the above purpose from time to time. In case of any change in the below account numbers,
DBSBPL is authorised to transfer the securities to the new account number(s) with prior intimation to me/
us. This authorization will continue to remain valid untill revoked in writing by me.
 HUF DECLARATION
Date: ________________________
I hereby request you to open our Demat account with you, for our HUF.
Being Karta of my family, I hereby declare that following is the list of family members in our HUF, as on date of
Application, i.e. _______________________
Sr
Name of Family Members Relation Male/Female Date of Birth
No

I hereby also declare that the particulars given by me as above are true to the best of my knowledge as on date
for making this Application to open new demat Account.
I agree that any false/misleading information given by me or suppression of any material information will render
my said account liable for termination and further action. Further, I agree that i will immediately intimate any death/
s or birth/s in the family as it changes the constitution of the HUF.
Thanking you,
Yours truly,
X
Karta
(Affix stamp of HUF)
CONFIRMATION FOR HUF
I/We the co-parceners of __________________________________________________________________ H.U.F., do
hereby confirm that we have no objection to _______________________________________________ who is the
Karta of the aforesaid H.U.F. to issue standing instructions by means of either a Power of Attorney/Authorization
letter to M/s. Dalal & Broacha Stock Broking Pvt. Ltd.
We understand that this Power of Attorney/Authorisation letter issued to M/s. Dalal & Broacha Stock Broking Pvt.
Ltd., is for the explicit purpose of delivery of shares sold by the Karta on behalf of the H.U.F.
Beneficiary Account No.: 1201170000 ____________________
Name of Co-parceners
1. ______________________________________
 Co-parceners Signature
________________________________________

2 ______________________________________
 Co-parceners Signature
________________________________________

3. ______________________________________  Co-parceners Signature

________________________________________

4. ______________________________________  Co-parceners Signature

________________________________________

5. ______________________________________  Co-parceners Signature

________________________________________

6. ______________________________________ 
________________________________________
 POA Registration No. _______________________
DALAL & BROACHA STOCK BROKING PVT. LTD. CDSL
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021. Your Depository

D D M M Y Y Y Y

DP ID 1 2 0 1 1 7 0 0 Client ID 0 0

Name of the Sole / First Holder

Name of Second Holder

Name of Third Holder

  

DALAL & BROACHA STOCK

BROKING PVT. LTD.

For DALAL & BROACHA STOCK BROKING PVT. LTD.

Director/Authorised Signatory
 S Dalal & Broacha Stock Broking Pvt. Ltd.
CD 506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
DP ID - 11700 SEBI Reg. No. : IN-DP-421-2019
TARIFF FOR “BENEFICIARY ACCOUNT” OPENED ON CDSL W.E.F. 1ST JUNE, 2022
Sr.
No. ITEM TRADERS INVESTOR BSDA
TRANSACTION TRANSACTION TRANSACTION TRANSACTION
DONE WITH D&B DONE WITH ANY OTHER CM DONE WITH D&B OR OTHER CM DONE WITH D&B OR OTHER CM
1 ACCOUNT OPENING FREE FREE FREE FREE
2 MONTHLY SERVICE CHARGES Rs. 100/- Rs. 167/- Rs. 62/- 
3 STATUTORY CHARGES (POA) Rs. 510/- Rs. 510/- Rs. 510/- Rs. 510/-
4 ADVANCE DEPOSIT Rs. 1000 Rs. 1000 Rs. 1000/- Rs. 1000/-
5 ON MKT. SELL TRANSACTIONS Rs.30/- per TXN 0.05% - Min of Rs. 30/- per TXN 0.05% - Min of Rs. 30/- per TXN 0.05% - Min of Rs. 50/- per TXN
6 OFF MKT. BUY TRANSACTIONS FREE FREE FREE FREE
7 OFF MKT. SELL TRANSACTIONS 0.05% Min of Rs. 30/- per TXN-Eq 0.05% Min of Rs. 30/- per TXN-Eq 0.05% Min of Rs. 30/- per TXN-Eq 0.05% Min of Rs. 50/- per TXN-Eq
Debt 0.02% Min Rs. 100/- Debt 0.02% Min Rs. 100/- Debt 0.02% Min Rs. 100/- Debt 0.02% Min Rs. 100/-
Max Rs. 500/- per TXN Max Rs. 500/- per TXN Max Rs. 500/- per TXN Max Rs. 500/- per TXN
8 CUSTODY CHARGES FREE FREE FREE FREE
9 DEMATERIALISATION Rs.10/- Per Cert Rs.10/- Per Cert Rs.10/- Per Cert Rs.10/- Per Cert
10 REMATERIALISATION For Every 100 securities Rs.40/- OR Flat Fee Rs.40/- per certificate, whichever is higher
11 COURIER CHARGES Actual Min Rs. 250/- Actual Min Rs. 250/- Actual Min Rs. 250/- Actual Min Rs. 250/-
12 MARGIN PLEDGE / UNPLEDGE 0.02% Min of Rs. 25/- per TXN 0.02% Min of Rs. 25/- per TXN 0.02% Min of Rs. 25/- per TXN 0.02% Min of Rs. 25/- per TXN
13 INVOCATION OF PLEDGE 0.01% Min of Rs. 25/- per TXN 0.01% Min of Rs. 25/- per TXN 0.02% Min of Rs. 25/- per TXN 0.02% Min of Rs. 25/- per TXN
14 EXTRA STATEMENT CHARGES Rs. 25/- Rs. 25/- Rs. 25/- Rs. 25/-
15 LATE TRANSACTION CHARGES Rs. 50/- per INST. Rs. 50/- per INST. Rs. 50/- per INST. Rs. 50/- per INST.
Notes: Signature of the Holders
1. Transaction charges as mentioned above in % are applicable on the value of transactions as Computed by CDSL and are subject to change based on revision in charges by
CDSL.
2. Daily statements are available at Rs. 3000/- per annum in advance. 
3. Additional Account Maintenance Charge of Rs. 1500/- for other BO’s (Corporates, Financial Institutions, Mutual Funds, etc.) are charged extra as levied by CDSL. 1._________________________________
4. Advance deposit of Rs. 2500/- will be adjusted against monthly billing and should be replenished in multiplies of Rs. 2500/- when the credit balance falls below Rs. 2000/-
5. Payment in advance for Account Opening and Account maintenance. Transaction charges will be billed monthly. Clients who join CDSL in any month will be billed for Account 
maintenance Charges on pro-rata basis in relation to the financial year. 2._________________________________
6. GST as applicable would be levied.
7. Any other service not quoted above will be charged separately. 
8. Dalal & Broacha Stock Broking Pvt. Ltd. reserves the right to revise its service charges at its absolute discretion. 3._________________________________
9. Rejected DRF charges Rs. 50/- along with Rs. 250/- courier charges per ISIN. P. T. O.
10. Additional Delivery Instruction book (5 DIS.) Rs. 50/- along with Rs. 50/- courier charges.
11. AS per SEBI Circular No. CIR/MRD/DP/22/2012 dated 27th August 2012, all clients who are willing to hold only one demat account as first holder and whose DP holding valuation
will be maintained below Rs. 2 lacs is eligible to opt for BSDA (Basic Services Demat Account) subject to terms and conditions mentioned by SEBI. To opt for BSDA scheme please
sign a separate scheme sheet which can be obtained from our office/s.
12. * AMC is NIL Upto Rs. 50,000/- and Rs. 100/- per anum from Rs. 50,001/ upto Rs. 2 Lakhs value of holding. If the value of holdings exceeds Rs.2 Lakhs, normal Tariff as per
Investor Scheme will be charged and prorata AMC charges of Rs. 50/- per month for the balance period in the financial year will be charged.
SCHEME : TRADER INVESTOR
NOTE: In case you would like to change your scheme for the next year, you are requested to select your scheme and submit the revised tariff schedule duly signed by all the A/c. Holders by March
31, of the Current Financial Year. If your signed Tariff Schedule with the selected scheme is not received by this date we will continue with your existing scheme as ammended by the change
in tariff and your acceptance thereof. 54
 Details of ultimate beneficial owner including
additional FATCA & CRS information

*Name of the entity

Type of address given at KYC KRA Residential & Business Residential Business Regd. Off.
Address of tax residence would be taken as available in KRA database. In case of any change, please approach KRA & notify the changes
Customer ID/Folio Number
PAN Date of Incorporation D D / M M / Y Y Y Y

City of incorporation

Country of incorporation

Entity Constitution Type  Parnership Firm  HUF  Private Limited Company  Public Limited Company
Please tick as appropriate  Society  Aop/BoiSociety  Trust H Liquidator  Limited Liability Partnership
 Aritificial Judicial Person  Others specify _________________________________

Please tick the applicable tax resident declaration Yes No

1. Is Entity* a tax resident of any country other India. Yes No
(If yes, please provide country/ies in which the entity is a resident for tax purposes and the associated Tax ID number below.)
Country Tax identification Number# Identification Type
(TIN or Other, please specify)

# In case Tax identification Number is not available, kindly provide its functional equivalent $
In case TIN or its functional equivalent is not available, please provide Company Identification number or
Global Entity Identification Number or GIIN, etc.

In case the Entity’s Country of Incorporation/Tax residence is U.S. but entity is not a Specified U.S. Person,
mention Entity’s exemption code here

FATCA & CRS Declaration

(Please consult your professional tax advisor for further guidance on FATCA & CRS classification)

PART A (to be filled by Financial Institutions or Direct Reporting NFEs)

1. We are a, GIIN
Financial institution 
or Note: If you do not have a GIIN but you are sponsored by another entity,
Direct reporting NFE  please provide your sponsor’s GIIN above and indicate your sponsor’s name
(please tick as appropriate) below
Name of sponsoring entity

GIIN not available (Please tick as applicabe)  Applied for

If the entity is a financial institution,  Not required to apply for-please specify 2 digits sub-category

 Not obtained-Non participating FI

 PART B (please fill any one as appropriate “to be filled by NFEs other than Direct Reporting NFEs”)
1. Is the Entity a publicly traded company’ (that Yes  (If yes, please specify any one stock exchange on which the stock is
is, a company whose shares are regurlarly regularly traded)

traded on a established securities market) Name of stock exchange ___________________________

2. Is the Entity a related entity of a publicly Yes  (If yes, please specify name of the listed company any one stock
traded company (a company whose shares exchange on which the stock is regularly traded)

are regurlarly traded on an established Name of listed company ___________________________

securities market) Name of relation:  Subsidiary of the listed Company or
 Controlled by a listed Company
Name of stock exchange ___________________________

3. Is the Entity an active NFE Yes  (If yes, please fill UBO declaration in the next section)
Nature of Business ________________________________
Please specify the sub-category of Active NFE
4. Is the Entity an passive NFE Yes  (If yes, please fill UBO declaration in the next section)
Nature of Business ________________________________

UBO Declaration
Category (Please tick applicable category)  Unlisted Company  Parnership Firm
 Limited Liability Parnership Company  Unincorporated association/body of individauls
 Public Charitable Trust  Religious Trust  Private Trust
 Others (please specify) _____________________________________
Please list below the details of controlling person(s), confirming ALL countries of tax residency/permanent
residency/citizenship and ALL Tax identification Numbers for EACH controlling person(s).
Owner-documented FFI’s should provide FFI Owner Reporting Statement and Auditor’s Letter with required details
as mentioned in Form W8 BEN E
Name - Beneficial owner / Controlling person Tax ID Type - TIN or other, please specify. Tax ID Type - TIN or other, please specify
Country - Tax Residency Beneficial Interest - in persentage Beneficial Interest - in persentage
Tax ID No. - or functional equivalent for each country” Type Code - of countrolling person” Type Code - of countrolling person”

1. Name Tax ID Type Address

Country Type Code
Tax ID No. Address Type  Residence  Business
 Registered Office ZIP State: Country:
2. Name Tax ID Type Address
Country Type Code
Tax ID No. Address Type  Residence  Business
 Registered Office ZIP State: Country:
3. Name Tax ID Type Address
Country Type Code
Tax ID No. Address Type  Residence  Business
 Registered Office ZIP State: Country:
# If passive NFE, please provide below additional details.
 PAN/Any other Identification Number Occupation Type - Service, Business, Others
(PAN, Aadhar, Passport, Election ID, Govt. ID, Driving Licence NREGA Job Card, Others) Nationality DOB - Date of Birth
City of Birth - Country of Birth Father’s Name - Mandatory if PAN is not available Gender - Male, Female, Others

1. PAN Occupation Type DOB D D / M M / Y Y Y Y

City of Birth Nationality Gender Male  Female 
Country of Birth Father’s Name Others 
2. PAN Occupation Type DOB D D / M M / Y Y Y Y
City of Birth Nationality Gender Male  Female 
Country of Birth Father’s Name Others 
3. PAN Occupation Type DOB D D / M M / Y Y Y Y
City of Birth Nationality Gender Male  Female 
Country of Birth Father’s Name Others 
# Additional details to be filled by controlling persons with tax residency/permanent residency/citizenship/Green Card in any country other than India.
* To include US, where controlling person is a US citizen or green card holder
“ In case Tax Identification Number is not available, kindly provide functional equivalent.
FATCA & CRS Terms and Conditions
The Central Board of Direct Taxes has notified Rulers 114F to 114H, as part of the Income-Tax Rules, 1962, which
Rules require Indian financial institutions such as the Bank to seek additional personal, tax and beneficial owner
information and certain certifications and documentation from all our account holders. In relevant cases,
information will have to be reported to tax authorities/appointed agencies. Towards compliance, we may also be
required to provide information to any institutions such as withholding agents for the propose of ensuring
appropriate withholding from the account or any proceeds in relation thereto.
Should there be any change in any information provided by you. Please ensure you advise us promptly, i.e. within
30 days.
Please note that you may receive more than one request for information. If you have multiple relationships with
(Insert FI’s name) or its group entities. Therefore, it is important that you respond to our request, even if you believe
you have already supplied any previously requested information.
If you have any questions about your tax residency, please contact your tax advisor. If any controlling person of the
entity is a US citizen or resident or greencard holder, please include United States in the foreign country information
field along with your US Tax Identification Number.
It is mandatory to supply a TIN or functional equivalent if the country in which you are tax resident issues such
identifiers. If no TIN is yet available or has not yet been issued, please provide an explationation and attach this to
the form.

Certification
I/We have understood the information requirements of this Form (read along with the FATCA & CRS Instructions)
and hereby confirm that the information provided by me/us on this Form is true, correct and complete. I/We also
confirm that I/We have read and understood the FATCA & CRS Terms and Conditions below and hereby accept the
same.

Name

Designation

Place: __________
  Date: __________ 
First Director/Partner/Trustee Second Director/Partner/Trustee Third Director/Partner/Trustee
 DALAL & BROACHA STOCK BROKING PVT. LTD.
A/C. OPENING DAILY PROCESS FOR MISSION 24 HOUR
Name of the Client _____________________________________ UCC Code _____________
Particulars Name of Employee Done Tick
1. Form Received & Check Date ______________________________________
2. UCC Code Alloted ______________________________________
3. CDSL A/c. Opening ______________________________________
4. UCC Code A/c Opened ______________________________________
5. Welcome letter & Email send ______________________________________
6. CKYC ______________________________________
7. KYC ______________________________________
8. Form Filled up ______________________________________
9. For Authorised & Compliance Signature
10. Auditor Checking ______________________________________
11. Scanning ______________________________________

Dos and Don’ts and best practices to be followed for CDSL demat account holders
In CDSL’s endeavor towards making Indian Securities Market - Transparent, Efficient, & Investor friendly by
providing safe, reliable, transparent and trusted record keeping platform for investors to hold and transfer
securities in dematerialized form, following are the simple Dos and Don’ts and best practices to be followed by
the investors to protect themselves from fraudulent practices.
• To register for CDSL's internet based facility 'easi' to monitor your demat account yourself:
Login to https://web.cdslindia.com/myeasinew/Registration/EasiRegistration
• Register for CDSL's SMS Alert facility - SMART and obtain alerts for any debits in your demat account.
• CDSL sends alerts to investors on their registered mobile number through SMS and e- mail for any modification
done in their master details, debit in demat account, pledge creation, change in nominee etc.
• Pay attention to SMS¡¦s and emails regularly sent by CDSL. If you receive an SMS for a transaction not
executed by you, inform your DP/CDSL immediately.
• Inform your DP of any change in your Personal Information (for example address or Bank Account details,
email ID, Mobile number) linked to your demat account in the prescribed format and obtain confirmation of
updation in system.
• Protect your login details and do not share login credentials with anyone. Password should be unique. Keep
strong and complex passwords and change the password at regular intervals.
• Do not share One Time Password (OTP) received from your DP/ CDSL. These are meant to be used by you
only.
• Do not share login credentials of e-facilities provided by CDSL such as e-DIS, easiest etc. with anyone else.
• Do not download any unknown application on your phone / device. The application may access your
confidential data secretly.
• Exercise the option to freeze the Demat account if not being used for long duration.
• Before granting Power of Attorney (PoA) to anyone, to operate your demat account, carefully examine the
scope & implications of powers being granted.
• Ensure that, your holding and transaction statements are received periodically as instructed to your DP. You
are entitled to receive a transaction statement every month if you have any transactions.
• Check your demat account statement on receipt. In case you notice any unauthorized debits or credits,
contact us for clarification. If not resolved, you may lodge your complaint by visiting www.cdslindia.com >
Post Your Grievances (https://www.cdslindia.com/Footer/grievances.aspx).
 COMBINED KYC FORM - TRADING + DP
SERIAL NO.: CLIENT CODE

NON-INDIVIDUAL

DALAL & BROACHA STOCK BROKING PVT. LTD.

MEMBER :
BOMBAY STOCK EXCHANGE LIMITED (CASH & F&O)
NATIONAL STOCK EXCHANGE OF INDIA LTD. (CASH & F&O)
COMBINED KYC FORM - TRADING + DP

CLIENT REGISTRATION FORM

NAME :
UID/PAN :

REF./INTRODUCED BY :
Name of stock broker/
trading member/clearing member DALAL & BROACHA STOCK BROKING PVT. LTD.
SEBI Registration Details INZ 000210337 & Dated: 28-11-2018 (NSE Cash & F&O, BSE CASH & F&O)
NSE Member Code No.: 09806 • BSE Member Clearing No.: 162
PMS INP 000001975 Dated: 16-03-2007
CDSL IN-DP-421-2019 Dated: 22.7.2019 • DP ID: 12011700
GST: 27AAACD5662J1ZI
CIN: U67120MH1997PTC111186
Designated Clearing Corporation: NSE CLEARING LTD. (NCL)
Registered office & 506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Correspondence Tel. No.: 91-22-2282 2992, 2287 6173, 6714 1414
office address: Fax No.: 91-22 2287 0092 • E-mail: db@dalal-broacha.com
Website: www.dalal-broacha.com
Compliance officer name: Praful Nathuram Trivedi
phone no. & email id: Tel. No.: 91-22-6714 1414 Extn.: 168
Shivram Masaye
Tel. No.: 91-22-6714 1414 Extn.: 123
Email: compliance.officer@dalal-broacha.com
CEO name: Nailesh P. Dalal
phone no. & email id: Tel. No.: 91-22-6714 1414 Extn.: 110 • nailesh.dalal@dalal-broacha.com
For any grievance/dispute please contact DALAL & BROACHA STOCK BROKING PVT. LTD. at the above
address or email id: compliance.officer@dalal-broacha.com and Phone no. 91-022-6714 1414. In case
not satisfied with the response, please contact the concerned exchange(s) at on BSE Tel: 022 2272
8097 E-mail Id: is@bseindia.com, on NSE Tel: 1800 22 0058 • E-mail Id: ignse@nse.co.in, on CDSL
Tel: 1800 22 5533 • E-mail Id: complaints@cdslindia.com and on SEBI for filing complaints on SCORES
Tel.: 1800 266 7575 or 1800 22 7575 • www.scores.gov.in

REGISTERED OFFICE :
506, Maker Chamber V, 221, Nariman Point, Mumbai - 400 021.
Tel No.: 2282 2992, 2287 6173 • Fax No.: 2287 0092 • E-mail: db@dalal-broacha.com
E-mail ID for customer grievances : compliance.officer@dalal-broacha.com