BOB Capital Markets Limited

Account Opening Kit Combined 2-in-1 Demat &

ACCOUNT OPENING
Trading Account KIT
Form

INDEX OF DOCUMENTS
Mandatory Documents as prescribed by SEBI & Exchanges
Sr.No Name of the Document Brief Significance of the Document Page Nos

Account Opening Form KYC form - Document captures the basic information about the
1 3
constituent and an instruction/check list
Additional
Demat information
& Additional relevant
information to trading
relevant to trading Account,
Account,Supporting 7
documents documents
Supporting and instruction/check list.
and instruction/check list.

2 Guidance Note Document detailing Do’s and Don’ts for trading on exchange for the
15
education of investors

3 Rights & Obligations Document station the rights & Obligation of stock broker/trading
member and client for trading on exchanges (including additional 17
rights & obligations in case of internet/wireless technology-based
trading).

4 Risk Disclosure Document (RDD) To make investor / client aware of the risk involved in dealing in the
secondary market. 23

5 Policies & Procedures Document describing significant policies and procedure of the broker 27
member.
6 FATCA Declaration Document captures the undertaking taken from the client with 29
respect to compliance with the provisions of the FATCA Act
7 Nomination form and Opting Details of nominees specified by the client for both depository and
out of nomination 30
trading account

68 Schedule of Charges & Brokerage Schedule of Charges for Demat and Brokerage for Trading 36
from BOBCAPS for all segments

Voluntary Documents as provided by the Stock Broker

1 Standing Instructions Letter Letter from the client giving authority to BOB Capital Markets Ltd to 39
have Running Account for funds and waiving certain requirements
2 Consent letter for ECN Consent letter by the client to receive daily contract notes as well as
41
periodic other statutory documents in electronic medium (email)
3 Consent letter by the client to receive daily contract notes as well as
Consent for common email ID for family periodic other statutory documents in electronic medium (email) for 42
members trading Accounts family members trading accounts.
4 Terms & Conditions for Call-n-Trade
and Internet Based Trading Internet trading T&C, terms for Call-n-trade and decleration 43

45 Voluntary and Limited purpose Bank Mandate and DDPI in favour of

Bank Mandate & DDPI Broker for operational requirements as per client authorization / 46 to 49
instruction

6 Policy on GTT Policy on GTT 60 to 61

Page 1
 Application Date: 18-03-2025 Application No.:

Name of trading member/clearing member: BOB Capital Markets Ltd.

Stock Broker SEBI Registration No: INZ000159332
Registered office address: 1704 B Wing , Parinee Crescenzo, G Block, Bandra Kurla Complex, Bandra East,
Mumbai – 400051.
Ph: 9122 – 6138 9300 Fax: 9122- 6671 8538 Website: www.bobcaps.in www.barodaetrade.com
Correspondence office address: 1704 B Wing, Parinee Crescenzo, G Block, Bandra Kurla Complex, Bandra
East, Mumbai – 400051.
Ph: 9122 – 6138 9300 / Website: www.bobcaps.in www.barodaetrade.com

Compliance officer name, phone no. & email id: Mr. Sameer Khobrekar / 9122 -6138 9358 /
compliance@bobcaps.in

CEO name, phone no. & email id: Mr. Sanjeev Dobhal MD & CEO / 9122 – 6138 9308 / md.ceo@bobcaps.in
For any grievance/dispute please contact stock broker (name) at the above address or email id-
investorgrievance@bobcaps.in and Phone no. 91-22-61389300.

in case not satisfied with the response, please contact the concerned exchange(s) :-

NSE Investors Grievance Cell BSE Investors Services

Email ID - ignse@nse.co.in Email ID - is@bseindia.com

Tel No. - (022) 26598190 Investor Services Telephone No. : 022 - 2272 8097

mrck?h—〔ㅤ’“‖‘’?f‘‥ㅤ〔 — ㅤ?bㅤ〃〃 CDSL Investors Services

Email ID - relations@nsdl.com Email ID - complaints@cdslindia.com

sㅤ〃?m‖M?L?OQQLSWWUVOOO Telephone No: 1800-22-5533

SEBI Score Detail

https://scores.sebi.gov.in/
Tollfree Investor Helpline 1800 266 7575 or 1800 22 7575

Page 2
 Application Date: _____________
18-03-2025 Application No.: _____________

Central KYC Registry: KYC Application Form - Individual

Important Instructions
A) Fields marked with ‘*’ are mandatory fields.
F) Please read section wise detailed guidelines at the end
B) Tick ‘√’ wherever applicable
G) List of state/ U.T. code as per Indian Motor Vehicle Act 1988 is available at the end.
C) Please fill the form in English and in BLOCK letters.
H) List of two characters ISO 3166 country codes is available at the end.
D) Please fill the date in DD-MM-YYYY format
I) KYC number of applicant is mandatory for update application
E) For particular section update, please tick (√) in the box
J) The OTP based ‘E-KYC’ check box is to be checked for accounts opened using
section number and strike off sections are not required to
OTP based E-KYC in non-face to face mode.
be updated.
For office use only Application Type New Update ✔ Demat & Trading Account Trading only Demat Only
(to be filed by financial institution)
KYC Number (Mandatory for KYC update request)

Account Type Normal Minor ✔ Aadhaar OTP based E-KYC (in non-face to face mode)

1. Personal Details* (Please refer to instruction A at the end)

Prefix First Name Middle Name Last Name
Name* (Same as ID proof) MR GOPAL KUMAR JHA
Maiden Name
Father / Spouse name MR BABU NARAYAN JHA
Mother name MRS SUDHA DEVI
Date of Birth* -
08-04-1998 -
Gender ✔ M-Male F-Female T-Transgender
PAN* BUJPJ1640P
Marital status UN-MARRIED Residential Status Resident Individual
Nationality Indian Occupation Type private sector service

2. Proof of Identity & Address* (Please refer to instruction B at the end)

I. Certified copy of OVD or equivalent e-Document of OVD or OVD obtained through digital KYC process needs to be submitted (any one of the following OVDs)
PHOTO*
A-Passport Number
B-Voter Id Card
C-Driving Licence
D-NREGA Card
E-National Population Register
F-Proof of possession of Aadhaar
II ✔ E-KYC Authentication XXXXXXXX5440
III Offline Verification of Aadhaar

Address
Line 1 C/O BABU NARAYAN JHA,HOUSE NO-G-242
Line 2 SHAKURPUR J J COLONY,
Line 3 SARASWATI VIHAR,NORTH WEST DELHI,SARASWATI VIHAR City Town Village* NORTH WEST DELHI
District NORTH WEST DELHI Pin/Postal code* 110034 State/UT code* DL ISO 3166 Country code* IN

✔ 3. Current Address Details (Please refer to instruction B at the end

✔ Same as above mentioned address (in such cases address details as below need not be provided
II. Certified copy of OVD or equivalent e-Document of OVD or OVD obtained through digital KYC process needs to be submitted (any one of the following OVDs)
A-Passport Number
B-Voter Id Card
C-Driving Licence
D-NREGA Card
E-National Population Register
F-Proof of possession of Aadhaar
II ✔ E-KYC Authentication XXXXXXXX5440
III Offline Verification of Aadhaar

Address
Line 1 C/O BABU NARAYAN JHA,HOUSE NO-G-242
Line 2 SHAKURPUR J J COLONY,
Line 3 SARASWATI VIHAR,NORTH WEST DELHI,SARASWATI VIHAR City Town Village* NORTH WEST DELHI
District NORTH WEST DELHI Pin/Postal code* 110034 State/UT code* DL ISO 3166 Country code* IN

GOPAL KUMAR JHA Page 2 of 15

Applicant Name Applicant Signature Page 3
 Application Date: _____________
18-03-2025 Application No.: _____________

Central KYC Registry: KYC Application Form - Individual

4. Contact details (all communications will be sent to mobile number/ Email-ID provided) (please refer instruction C at the end)
Mobile No. 7634952348 Tel. (off.) Tel. (Res.)
Email ID Jhagopalkumar880@gmail.com
Office Tel. No. Extn. No. FAX No.

5. Remark (if any)

6. Applicant Declaration
- I hereby declare that the details furnished above are true and correct to the best of my
knowledge and belief and I undertake to inform you of any changes therein, immediately. In
case any above information is found to be false or untrue or misleading or misrepresenting, I
am aware that I may be held liable for it.
- I hereby consent to receiving information from Central KYC Registry through SMS/Email on
the above registered number/ email address.
Date 18-03-2025 Place North West Delhi Signature / thumb Impression of Applicant

5.7. Attestation / Office use only

Document Received Certified Copies ✔ E-KYC data received from UIDAI Data received from offline verification
Digital KYC Process Equivalent e-Document Documents verified with originals Video KYC

InKYC
person verification
Verification done
carried outby
by Institution Details
Date 18-03-2025 Name BOB Capital Markets LTD
Emp. Name Documents fetched from Digi Locker Code IN0155
Emp. Code
Emp. Designation
Emp. Branch

Employee Signature Institution stamp

I GOPAL KUMAR JHA S/O MR BABU NARAYAN JHA give my consent to download my KYC Records from the Central KYC
Registry (CKYCR), only for the purpose of verification of my identity and address from the database of CKYCR Registry.

I understand that my KYC Record include my KYC Record/Personal information such as my name, address, Date of birth, PAN number etc

GOPAL KUMAR JHA

Applicant Name Applicant Signature

Page 3 of 15
Page 4
 Application Date: Application No.:

GOPAL KUMAR JHA

Applicant Name Applicant Signature

Page 5
 Application Date: 18-03-2025 Application No.:

GOPAL KUMAR JHA

Applicant Name Applicant Signature

Page 6
 Application Date: _____________
18-03-2025 Application No.: _____________

Demat Only Trading Only ✔ Demat And Trading Account Opening Form – Individual

Name UCC :
Address

1. Account holder details

Prefix First Name Middle Name Last Name

Name MR GOPAL KUMAR JHA
PAN BUJPJ1640P Gross Annual Income (As on Date) 1-5 LAC(18-03-2025)
Occupation private sector service Networth (in Rs.) (As on Date)

Brief details
Politically Exposed Person (PEP) Related to Politically Exposed Person (PEP) ✔ Not a Politically exposed person (PEP)

2. Primary Bank details

Account Type SAVINGS Account Number 32853270945
Bank Name STATE BANK OF INDIA IFSC SBIN0000624
Branch Address MOTI BAGH CIVIL LINES, BULANDSHAHAR

MICR 203002002
3. Primary Demat Account details

DP Name BOBCAPS Markets Ltd DP ID 13018700

Depository NSDL ✔ CDSL Client ID 1301870003538485

N/A N/A N/A

Member ID : NSE – 13045 BSE - 3258

5. Other details
Whether there is 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?:-
Yes ✔ No
Trading Experience(in Years) 0 years
Dealing through Authorised Partner and Other Stock Broker Yes ✔ No
Whether Client is introduce by anyone Yes ✔ No
Electronic contract notes ✔ Yes No
Online Trading facility ✔ Yes No [Trading through internet/wireless technology]
SMS Alert ✔ Yes No Email Alert ✔ Yes No
Mode of receiving Rights & Obligations Physical ✔ Electronic
Mode of receiving Risk Disclosure Document Physical ✔ Electronic
Mode of receiving Policy & Procedure Physical ✔ Electronic
Mode of receiving Guidance Note Physical ✔ Electronic
Running Account Authorisation [as per terms & conditions mentioned herein] ✔ Quarterly Monthly

GOPAL KUMAR JHA

Page 8 of 17
Applicant Name Applicant Signature Page 7
 Application Date: _____________
18-03-2025 Application No.: _____________

Demat & Trading Account Opening Form – Individual

Declaration
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we
undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue
or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.
2. 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 GOPAL KUMAR JHA

Place North West Delhi
Date 18-03-2025 Client Signature

For office use only

Client UCC Code As mentioned in back office Employee Code & Maker-checker in back office
Designation system
Verification of document Maker-checker in back office system Client Interview Not Applicable
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.

Signature of the authorised signatory Date Seal /Stamp of the intermediary

Maker-checker in back office system Date as captured in back office system Electronic Application

Type your text

A ) I/We instruct the DP to receive each and every credit in my/Our account (if not marked, the default option would be Yes) ✔ Yes No NA

B) I/We wish to receive dividend/interest directly in to my/our Bank account as given above through ECS (If not marked, ✔ Yes No NA
the default option would be ‘Yes) [ECS is mandatory for locations notified by SEBI from time to time]
C) I/We would like to instruct the DP to accept all the pledge instructions In my/our account without any other further ✔ Yes No NA
instruction from My/our end (if not marked, the default option would be ‘Yes’)
✔ Yes No NA
D) I/We would like to share the email ID with the RTA Jhagopalkumar880@gmail.com

E) Mode of receiving Demat Account Statement and Annual Report - Electronic or Physical Electronic

F) I want to receive the Delivery Instruction Slip booklet (DIS) Yes ✔ No NA

GOPAL KUMAR JHA

Applicant Name Applicant Signature

Page 9 of 17
Page 8
 Application Date: _____________
18-03-2025 Application No.: _____________

Document Submitted by Client

PAN Photo

Latitude 28.5753669
Longitude 77.3216142

Signature

GOPAL KUMAR JHA

Applicant Name
Page 10 Page
of 179
 Application Date: _____________
18-03-2025 Application No.: _____________

Document Submitted by Client

Proof of Address

GOPAL KUMAR JHA

Applicant Name
Page 12 of 17
Page 10
 Application Date: _____________
18-03-2025 Application No.: _____________

Document Submitted by Client

Cancelled cheque - [Applicable only in case online verification of bank account is failed]

GOPAL KUMAR JHA

Applicant Name
Page 12Page
of 17
11
 Application Date: _____________
18-03-2025 Application No.: _____________

Declaration for Name Mismatch

This is to bring to your notice that my name is spelt differently in my Identity proof, Address proof and Bank proof & I
would like to use/consider NAME AS PER PAN/IT Records for this application. Please find below the names as spelt
in respective proofs:

Name as per Income Tax (PAN) GOPAL KUMAR JHA

Name as per KYC Document Gopal Kumar Jha

Name as per Bank Proof Mr. PAWAN KUMAR SEJWAL

I hereby confirm that all the said names belong to me. I hereby state and confirm that what is stated above is
✔ true and correct information. I agree to indemnify and keep you indemnified at all times from and against all
costs, charges, damages, penalties (including reasonable attorney fees) suffered and/or incurred by you for
any act done or omitted to be done on the above declaration.

Applicant Signature

Declaration - Mobile Number and Email ID

Mobile Number 7634952348

Email id Jhagopalkumar880@gmail.com

I hereby declare that the aforesaid mobile number belongs to SELF

I hereby declare that the aforesaid email id belongs to SELF

Name of applicant

GOPAL KUMAR JHA

Applicant Signature

GOPAL KUMAR JHA

Applicant Name
Page 14 of 17
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 Application Date: _____________
18-03-2025 Application No.: _____________

Consent for Aadhaar based KYC & eSign

I am desirous of having account-based relationship with _________________________________________

BOB CAPITAL MARKETS LTD.
(SEBI Registered Intermediary / MF Distributor) and I have approached them opening my Trading / Demat / MF
account and performing necessary KYC in this regard. I would like to perform Aadhaar based KYC and submit other
account opening details online as per regulatory approval in this regard. Accordingly, I provide my voluntary, well-
informed consent to ________________________________
BOB Capital Markets LTD and NDML (service provider) for facilitating me to use
my Aadhaar record to perform online KYC and using / storing / maintaining / sharing my Aadhaar record. I take note
of and agree to following:

I am aware that Aadhaar usage is completely voluntary and I have option not to use Aadhaar and use other alternate
KYC mechanisms such as submission of other Officially Valid Documents for completing KYC.
I voluntarily choose to use Aadhaar as preferred mechanism for performing KYC. I would submit my OTP / Biometric
details for authentication of my record.
I am aware that I have option to use Virtual Identification Number (VID) facility provided by UIDAI so that I do not
have to share my Aadhaar number at all.
I am aware that based on my consent, my Aadhaar details including Name, Date of Birth, Gender, Address, Photo and
Email ID / Mobile would be shared by UIDAI in encrypted form with NDML and BOB Capital Markets LTD
These details can be reviewed by me and if I find these details in order and confirm, these will be sued for processing
my application.
These
These details
details along-with
along-with various
various other
other details
details submitted
submitted by
by me
me will
will be
be stored
stored and
and processed
processed and
and shared
shared for
for
processing my
processing my application. General
application. These
These will
will also Terms
also be
be uploaded &
uploaded on Conditions
on KYC
KYC Registration for Demat
Registration Agency
Agency System.&
System. If Trading
If these detailsAccount
these details are not
are not
found to be in sync with other profile details submitted by me, NDML and BOB Capital Markets LTD can choose
to request KYC again or reject my application.

आधार सहमति: मैं ____________________________________ (SEBI पं जीकृि म्ቖस्थ / एमएफ तििरक) के साथ खािा-
आधाररि संबंध रखने के तिए इ्ስु क हं और मैंने उनसे अपना ट्र े त ं ग / ीमैट् / एमएफ खािा खोिने और इस संबंध में आि्ብक
केिाईसी करने के तिए संपकक तकया है । मैं आधार आधाररि केिाईसी करना चाहं गा और इस संबंध में तितनयामक अनुमोदन के
अनुसार अ्य खािा खोिने का तििरण ऑनिाइन जमा कर ं गा। िदनुसार, मैं अपने आधार ररकॉ क को ऑनिाइन केिाईसी का
उपयोग करने और अपने आधार ररकॉ क को रखने / बनाए रखने / बनाए रखने / साझा करने का उपयोग करने के तिए मुझे
______________________ और NDML (सेिा ्ቚदािा) के तिए अपनी ्ቭै ्छ्ስक, अ्ስी िरह से सूतचि सहमति ्ቚदान करिा हं ।
मैं ्ቖान दे िा हं और तन्ቖति्छखि के तिए सहमि हं :
1. मैं जानिा हं तक आधार का उपयोग पू री िरह से ्ቭै ्छ्ስक है और मेरे पास आधार का उपयोग न करने और अ्य िैक्छिक
केिाईसी िं्ቔ का उपयोग करने का तिकि है जैसे तक केिाईसी पू रा करने के तिए अ्य आतधकाररक रप से िैध द़्ािेज ्ቚ़्ु ि
करना।
2. मैं केिाईसी ्ቚदर्कन के तिए ्ቭै ्छ्ስक रप से आधार को पसंदीदा िं्ቔ के रप में उपयोग करना चाहिा हं । मैं अपने ररकॉ क के
्ቚमाणीकरण के तिए अपना ओट्ीपी / बायोमेतट्र क तििरण ्ቚ़्ु ि कर ं गा।
3. मुझे पिा है तक मेरे पास यू आई ीएआई ्ቛारा ्ቚदान की गई िचुकअि आइ ें तट्तफकेर्न नंबर (िीआई ी) सुतिधा का उपयोग
करने का तिकि है , िातक मुझे अपना आधार नंबर तब्ቇुि साझा न करना पडे ।
4. मुझे पिा है तक मेरी सहमति के आधार पर, मेरा आधार तििरण तजसमें नाम, ज्म तितथ, तिंग, पिा, फोट्ो और ईमेि आई ी /
मोबाइि र्ातमि हैं , यूआई ीएआई ्ቛारा एन ीएमएि और _______________________ के साथ ए्छरि्቉े रप में साझा तकए
जाएं गे । इन तििरणों की मेरे ्ቛारा समी्ቌा की जा सकिी है और यतद मुझे ये तििरण िम और पु ति में तमििे हैं , िो इन पर मेरे
आिेदन को संसातधि करने के तिए मुकदमा दायर तकया जाएगा।
5. ये तििरण मेरे ्ቛारा ्ቚ़्ु ि तकए गए तिति्ቐ अ्य तििरणों के साथ सं्ቇहीि और संसातधि तकए जाएं गे और मेरे आिेदन को
संसातधि करने के तिए साझा तकए जाएं गे । इ्ቡें केिाईसी पं जीकरण एजेंसी तस्िम पर िी अपिो तकया जाएगा।
6. यतद ये तििरण मेरे ्ቛारा ्ቚ़्ु ि अ्य ्ቚोफाइि तििरणों के अनुरप नहीं पाए जािे हैं , िो एन ीएमएि और
________________________________________ केिाईसी तफर से अनुरोध करने या मेरे आिेदन
को अ्ቭीकार करने का तिकि चुन सकिे हैं ।

GOPAL KUMAR JHA

Page 16 of 17
Applicant Name Page 13
 Application Date: _____________
18-03-2025 Application No.: _____________

Consent for Aadhaar based KYC & eSign

Consent for eSign

(Applicable for digital signing using esign)

I understand/agree to do eKYC using my Aadhaar details for issuing eSign for me through NSDL
eGovernance Infrastructure Limited.

GOPAL KUMAR JHA

Applicant Name
Page 17 of 17
Page 14
 Application Date: 18-03-2025 Application No.:

Annexure-6
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 and SEBI websites.
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/DDPI) in favour of the Stock broker, authorizing it to operate your
bank anddemat 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

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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.

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Annexure – 4
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS 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.

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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

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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.

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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.

37. The stock broker 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)
38. 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.

39. 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.

40. 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.

41. 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.

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42. 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.

43. 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

44. 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.

45. 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.

46. 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.

47. 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.

48. 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.

49. 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.

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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.

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Annexure – 5

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.

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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.

GOPAL KUMAR JHA

Applicant Name Page 24

 Application Date: 18-03-2025 Application No.:

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.

GOPAL KUMAR JHA

Applicant Name Page 25

 Application Date: 18-03-2025 Application No.:

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.

GOPAL KUMAR JHA

Applicant Name
Page 26
 Application Date: 18-03-2025 Application No.:

BOB Capital Markets Ltd

Policies & Procedure – Client Registration
In order to ensure proper compliance with various Notices/Circulars /Guidelines issued by SEBI/Exchanges and uniformity the
Company has prescribed the Policies & Procedure as under for guidance of all employees in HO/all Branches which is to be strictly
followed by all.
Risk Management Policy
[1] Refusal of orders for penny stocks
The Company may, at its discretion accept or reject the orders in illiquid securities, and in the Penny stocks category as per our internal
risk policy. “Penny stocks” for this purpose include the stocks appearing in the list of illiquid securities released by the exchanges from
time to time. BOB Capital shall not be held liable for restricting / prohibiting trade in penny stocks at any time. BOB Capital shall not be
held liable or responsible in any matter whatsoever for any refusal / cancellation of orders for trading in penny stocks/other securities
and the client shall indemnify BOB Capital in respect of any loss caused to BOB Capital by virtue of the Client trading in penny stocks.

[2] Setting up of Client’s Exposure limits

The Company will fix the limit in value for each and every Client for which Buy/Sell Order/s of any particular Client will be executed in
normal course based on “Income level” for the year confirmed by the Client and other considerations. The Company will not disclose
the rational / logic of their decision (about fixation of the monetary limit). However if requested by the Client for any specific
transaction/s to be carried out as a special case then it may be considered on merit.
[3] The right to sell client’s securities or close client’s position, without giving notice to the client, on account
of non-payment of client’s dues.
In case any particular Client has failed to make payment on due date then the Company will sell that particular client’s securities or
close that particular client’s position, without giving notice to the client on account of non-payment of dues.
[4] Conditions under which a client may not be allowed to take further position or broker may close the
existing position of a client.
It is to be noted that under following circumstances any Client will not be allowed to take further position or the Company may close
that particular Client’s position (i) If the particular Client is a Defaulter of amount due to the Company (ii) Value of the Collateral is not
sufficient to meet the Losses incurred by the Client (iii) If according to the Company Market Conditions has turned or likely to turn
unfavorable based on the information available or it is the view of the matter taken by the Company. (iv) that particular Client is barred
from Trading on the Exchange/s by SEBI/Exchange/s.
Business / Compliance Policy
[1] Applicable Brokerage Rate
At present SEBI permits maximum brokerage @ 2.5%.The Company charge brokerage to their Clients at the rate/s below this
maximum limit. Each client will be intimated the rate at which brokerage will be charged to him / her / it. This rate will be revised by
the Company based on volume of the Client’s business / market conditions / other relevant factors. Any change in the rate of brokerage
will be intimated to the Client in writing in advance.
[2] Imposition of penalty / delayed payment charges by either party –Rate/Period
All Clients who have agreed to have a “Running Account” with the member will have to make payments due to the member on due
date/s. In all cases if payment is not made to the member on due date penalty / delayed payment charges for delay in payment of
amount relating to settlement, margin or any other dues relating to securities transactions @ 18 % per annum. These charges shall be
levied from the date of debit balance till the credit of payment in your bank account.
[3] Shortages in obligations arising out of internal netting of trades
In case of BSE, shortages arising out of Internal Netting of trades are given for self auction to the exchange through exchange
mechanisms.

GOPAL KUMAR JHA

Applicant Name
Page 27
 Application Date: 18-03-2025 Application No.:

In case of NSE, shortages arising out of Internal Netting of trades, client shortages are closed out by company at 10% above the
closing rate of that particular scrip of auction date.
In case of shortages due to Internal Netting of trades if the Company is required to pay any penalty to the Exchange/s it will be charged
to the Client concerned.
[4] Temporarily suspending or closing a client’s account at the client’s request
It is to be noted that under following circumstances any particular Client’s Account may be Suspended / Closed (i) On receipt of Written
Instruction from that particular Client (ii) that particular Client is barred from Trading on the Exchange/s by SEBI/Exchange/s (iii) The
particular Client who has defaulted in making payment on due date to the Company (iv) on receipt of any adverse information by the
Company about the particular Client.
[5] Deregistering/Deactivating of a Client
It is to be noted that any particular Client/s who is/are covered under any of the following category will be deregistered
(i) that particular Client/s is/are barred from Trading on the Exchange/s by SEBI/Exchange/s (ii) The particular Client who has defaulted
in making payment on due date to the Company (iii) on receipt of any adverse information by the Company about the particular Client
(iv) The Client NOT trading through the Company continuously for more than 12 months

[6] Treatment of Inactive /Dormant Accounts:

Where no transaction has taken place in client's Trading Account during the last -24- months from the date of last transaction, then it will
be considered as DORMANT I INACTIVE Account across all exchanges.
If the account is tagged as a dormant/inactive then the surplus Funds or Securities lying with MACM shall be refunded /returned to clients
at his/her last known Bank account/DP account or at such other address as mentioned in the account opening form.
Reactivation: The client can request for reactivation of inactive trading account after giving updated information related to KYC including
IPV whenever required

I have read and understand the above policy for RMS and Controls of the Member and state that I will strictly abide by the conditions
laid in this policy.

GOPAL KUMAR JHA

Client Name:

GOPAL KUMAR JHA

Applicant Name

Page 28
 Section A – Mandatory
FATCA-CRS for Individual Accounts - including Sole Proprietor
To be obtained with Account Opening Form for Individuals
Separate declaration to be obtained for all joint holder in Demat Account.

Details under FATCA and CRS:

1. Tax residence declaration - tick any one as applicable to you: (if b. is applicable then please provide all other information.)
a. ✔ I am a tax resident of India and not resident of any other country.
b. I am a tax resident of country / ies mentioned in the table below.

Customer ID : ______________________________________

Prefix First Name Middle Name Last Name

JHA
Name* _____________________________________________________________________________________
MR GOPAL KUMAR

Maiden Name (If any*) _____________________________________________________________________________________

Father / Spouse Name* MR BABU NARAYAN JHA

_____________________________________________________________________________________

Mother Name* MRS SUDHA DEVI

_____________________________________________________________________________________

City of Birth ____________________________________________

NORTH WEST DELHI INDIA
Country of Birth ____________________________

Date of Birth* D D – M M – Y Y Y Y PAN Card* ___________________UID

08-04-1998
____________________ BUJPJ1640P XXXXXXXX5440
(Aadhaar)*______________________

Gender* ✔ M- Male F - Female T - Transgender

Nationality INDIA
_____________________________________ Identification Number ____________________________

Residential Status* ✔ Resident Individual Non Resident Indian Foreign National Person of Indian Origin

Residential Address NORTH WEST DELHI , DELHI , 110034

_____________________________________________________________________________________

Occupation Type* ✔ Private Sector Public Sector Government Sector Professional

Self Employed Retired Housewife Student B-Business X:-Not Categorised

Certification
I have understood the information requirements of this Form (read along with the FATCA-CRC instructions) and hereby confirm that the information
provided by me on this Form is true, correct and complete. I have read and understood the FATCA-CRS Terms and Conditions and here accept the same.

Name: GOPAL KUMAR JHA

 __________________________
Signature

Date: ______________
18-03-2025 Place: _________________
North West Delhi

FATCA-CRS Instructions

Details under FATCA-CRS/Foreign Tax Laws: Towards compliance with tax information sharing laws, such as FATCA and CRS. We would be required to
seek additional personal, tax and beneficial owner information and certain certifications and documentation from our account holders. Such information
may be sought either at the time of account opening or any time subsequently. In certain circumstances (including if we do not receive a valid self-
certification from you) we may be obliged to share information on your account with relevant tax authorities. If you have any questions about your tax
residency. Please contact your tax advisor. Should there be any change in any information provided by you. Please ensure you advise us PROMPTLY i.e.
within 30 days. Towards compliance with such laws, we may also be required to provide information to any institutions such as withholding agents for the
purpose of ensuring appropriate withholding from the account or any proceeds in relation thereto. As may be required by domestic or overseas
regulators/tax authorities, we may also be constrained to withhold and pay put sums from your account or close or suspend your account(s).

If you are a US citizen or resident or green card holder, please include United States in the foreign country information field along with your US Tax
identification Number. Foreign Account Tax Compliance provisions commonly known as FATCA are contained in the US Hire Ac2010.

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
nor yet been issued please provide an explanation and attach this to the form. Please note that you may receive more than one request or information if
you have multiple relationships with ABC or its group entries. Therefore, it is important that you respond to our request, even if you believe you have
already supplied any previously requested information.

Page 29
 NOT-APPLICABLE

Nomination Form ( Demat Only Trading Only ✔ Demat and Trading)

[Annexure A to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated
July 23, 2021 on Mandatory Nomination for Eligible Trading Accounts]

BOB Capital Markets Limited FORM FOR NOMINATION

1704 B Wing, Parinee Crescenzo,
17th Floor, G Block, Bandra Kurla (To be filled in by individual applying singly)
Complex, Bandra (East) – 400051.

D D M M Y Y Y Y UCC/
Date 18-03-2025 Demat No
I wish to make a nomination. [As per details given below]

Nomination Details

I wish to make a nomination and do hereby nominate the following person(s) who shall receive all the assets held in my / our account in the event of
my death.

Nomination can be made upto three Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
nominees in the account.

1 Name of the nominee(s) (Mr./Ms.)

2 Share of Equally % % %
each
[If not equally,
Nominee please specify
percentage] Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship With the Applicant

(If Any)

4 Address of Nominee(s)

City / Place:
State & Country:

PIN Code

5 Mobile / Telephone No. of

nominee(s) (Optional)

6 Email ID of nominee(s) (Optional)

7 Nominee Identification details –

[Please tick any one of following
and provide details of same]
(Optional)
฀ Photograph & Signature ฀ PAN
□ Aadhaar ฀ Saving Bank
account no. ฀ Proof of Identity ฀
Demat Account ID

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

8 Date of Birth {in case of minor

nominee(s)}

9 Name of Guardian (Mr./Ms.) {in

case of minor nominee(s) }

10 Address of Guardian(s)

Page 30
 NOT-APPLICABLE

City / Place:
State & Country:

PIN Code

11 Mobile / Telephone no. of

Guardian (Optional)

12 Email ID of Guardian (Optional)

13 Relationship of Guardian with

nominee

14 Guardian Identification details –

[Please tick any one of following
and provide details of same]
(Optional)
□ Photograph & Signature
□ PAN ฀ Aadhaar Saving Bank
account no. ฀ Proof of Identity
□ Demat Account ID

Name of holder Signature of holder*

Sole Account Holder (Mr./Ms.)

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of
signature
# Optional Fields (Information required at Serial nos. 5, 6, 7, 11, 12 & 14 is not mandatory)

Note:

This nomination shall supersede any prior nomination made by the account holder, if any.

The Trading Member shall provide acknowledgement of the nomination form to the account holder.

Name and Signature of Holder

GOPAL KUMAR JHA

1.

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of
signature

Page 31
 Application Date: _____________
18-03-2025 Application No.: _____________

Nomination form
NOT-APPLICABLE
Proof of Nominee1

Proof for Guardian of Nominee1( If nominee is minor)

GOPAL KUMAR JHA

Applicant Name
Page 32
 Application Date: _____________
18-03-2025 Application No.: _____________

NOT-APPLICABLE
Proof of Nominee 2

Proof for Guardian of Nominee 2( If nominee is minor)

GOPAL KUMAR JHA

Applicant Name
Page 33
 Application Date: _____________
18-03-2025 Application No.: _____________

NOT-APPLICABLE
Proof of Nominee 3

Proof for Guardian of Nominee 3( If nominee is minor)

GOPAL KUMAR JHA

Applicant Name
Page 34
 Application Date: 18-03-2025 Application No.:
Trading Only ✔ Demat & Trading

Declaration Form for Opting out of Nomination ( For Demat & Trading A/C only )
[Annexure B to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated
July 23, 2021 on Mandatory Nomination for Eligible Trading Accounts]

To Date D D
18-03-2025 M M Y Y Y Y
BOB Capital Markets Limited
1704 B Wing, Parinee Crescenzo, 17th Floor, G Block, Bandra Kurla Complex, Bandra (East) – 400051.

UCC Code (Trading Account No) / DP ID 13018700

Sole Account Holder Name GOPAL KUMAR JHA

I hereby confirm that I do not wish to appoint any nominee(s) in my trading account and understand
the issues involved in non-appointment of nominee(s) and further are aware that in case of death of the
account holder(s), my legal heirs would need to submit all the requisite documents / information for
claiming of assets held in my trading account, which may also include documents issued by Court or
other such competent authority, based on the value of assets held in the trading account.

Name and Signature of Holder

1._

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of
signature

GOPAL KUMAR JHA

Applicant Name

Page 35
 ACCOUNT OPENING & DEPOSITORY CHARGES

Sr. DP and Broking Service Charges w.e.f. 07.03.2025

No. Services
A/c Opening Charges Rs. 250+GST
1
General Customer:
For Individuals-
First year free for new account
Second year onwards Rs. 500/- p.a. plus GST
For Non-Individual – Rs. 700/- p.a. plus GST
For staff/Ex-staff –
Annual Maintenance 50% concession in AMC, provided first name of the a/c holder is of staff/Ex-staff member and
2 Charges (AMC) that also in one Demat a/c only.
BSDA customers:
For Individuals -
Holding up to Rs. 4,00,000/- during financial year. - Rs NIL
Holding Value Rs. 4,00,000/- to Rs 10,00,000/- Rs. 100/- plus GST only for the value.
Holding more than Rs. 10 lakhs Account will be treated as Non BSDA and Regular AMC
may be levied.

Dematerialisation of Rs. 5.00 per certificate with minimum of Rs. 50/- plus actual postage plus GST
3 shares
Rs. 20/- for every hundred securities or part there of subject to maximum fee of Rs. 5,00,000/-
Rematerialisation of or a flat fee of Rs. 30/- per certificate whichever is higher plus +GST+ actual postage
4
shares

For Debit transaction 0.04% of market value subject to minimum Rs. 20/- + GST. For Debt
instruments and commercial papers 0.03% of market value subject to minimum Rs. 20/-
plus per Transaction + GST.
Transaction Charges
Transaction charges at Rs. 15/- per debit transactions + GST for stock transfer to BOBCAPs
5 Pool A/c

KRA charges @ Rs. 40/- plus + GST + actual postage for new KYC data to be uploaded.
6
KYC registering
Agency Charges (KRA KRA charges @ Rs. 40/- plus + GST + per download will be applied.
charges) For modifications in KRA of the existing clients KRA charges @ Rs. 30/- plus GST plus actual
postage

7 Pledge Creation Rs. 100/-+GST Per Debit Transaction

8 Pledge Creation Rs. 100/-+GST Per Debit Transaction
confirmation
9 Pledge Closure NIL
10 Pledge Closure NIL
Confirmation
11 Pledge Rs. 100/-+GST Per Debit Transaction
Invocation
12 Non-Disposal 0.02% of market value subject to minimum Rs. 50/- + GST Per Transaction
Undertaking (NDU)
13 Failed instruction Nil
Charges
Additional A/c statement Rs. 20/- per request +GST.
Freeze / unfreeze Rs. 50/- plus per request + GST.
14 Other Charges First DIS booklet will be Free of Cost and subsequent DIS will be issued @ Rs. 50/-
Rs. 20/- + GST per booklet of 5 leaves for General Customer.

GOPAL KUMAR JHA

Page 36
 Change of Address/ECS Rs. 30/- +GST plus per request.

15 Overdue Charges Interest @13% p.a. will be payable for payment of service charges after due date

Consequent to closure of account, no charges to be levied, when Beneficiary Owner (BO)

16 Transfer of Securities transfers all the securities lying in this account to another Branch of the same DP or to DP of
consequent to account the same depository or another depository, provided the BO Accounts at transferee DP and at
closure transferor DP are one and the same i.e., Identical in all respects.

a. AMC will be recovered upfront on monthly prorate basis in new accounts and thereafter on
1st April every year.

b. Refund of AMC on closure of Demat account will be for unused quarterly basis (e.g., if
17 account is closed in the month of July, refund of AMC will be applicable for remaining two
quarters i.e., December & March of the financial year).
Other Terms &
Conditions
c. The services not listed above will be charged separately.

d. All the above charges are applicable uniformly to individuals and Non-individual except that
AMC are different for individuals and Non–Individuals.

e. The charges are subject to revision from time to time at DPs discretion.

Statutory Charges at
18 the time of Account
Opening Nil
19 Nil
Advance / Deposit

GOPAL KUMAR JHA

Page 37
 BOBCAPS Brokerage Plans and Platform Charges Plan Effective From 07.03.2025
Plan Selection ✔

Plans 500 Plan 1K Plan 5K Plan 10K Plan 15K Plan 25K Plan 100K Plan

Platform
Charges Plan (Rs). 500 1000 5,000 10,000 15,000 25,000 1,00,000

Plan Validity 1 Year 1 Year 1 Year 1 Year 1 Year 1 Year 3 Years

Equity Delivery 0.40% 0.30% 0.20% 0.15% 0.10% 0.05% 0.01%

Equity Intraday 0.04% 0.03% 0.02% 0.015% 0.01% 0.005% 0.001%

Equity Future 0.04% 0.03% 0.02% 0.015% 0.01% 0.005% 0.001%

Equity Options 40 30 20 15 10 0.1 0.05

Per lot (Rs)
*Platform Charges Plan to be referred to as PCP in the entire document.
Terms & Conditions:
of
1. The platform charges plan (PCP) is non-refundable under any circumstances. Pro-rata refund due to account closure or discontinuation
plan for any other reason will not be entertained.
2. This plan is subject to regulatory norms in force from time to time and may be discontinued on sole discretion of BOBCAPS with 30 days
prior communication by BOBCAPS via email to client.
3. The plan will be activated only after BOB Capital Markets Ltd (“BOBCAPS”) has successfully recovered the platform charges from the linked
bank account or via online transfer from client designated bank account.
4. The validity period of each plan will commence latest by T+ 1 day wherein ‘T’ Day is the date of realization of the Platform charges plus GST
in the bank account of BOBCAPS.
5. After the completion of Validity period/utilization of platform charges limits, plan will not be auto renewed unless the customer gives
authorization for auto renewal of plan before completion of validity of the platform charges else the standard plan rates shall be applied from
the next day of completion of validity.
6. All statutory /regulatory levies and other charges including but not limited to Securities Transaction Tax, SEBI Turnover Fees, Exchange
Transaction Charges, Stamp Duty, and GST etc. shall be charged separately over and above the brokerage rate. In case there are any bank
be
charges or any other charges levied by the Exchange or any other authority on account of any violation done by the client, the same shall
duly charged to the client.
7. # Scrip below Rs. 10/- per share in value to be charged brokerage of Rs. 0.03 per share
8. Demat related charges applied by the concerned Depository are separate and not included in the Standard Brokerage plan and Platform
charges Plan .
9. GST @ 18% or the applicable rate will be charged in addition to the plan value and collected upfront.
10. A client may subscribe to only one plan at any time. No other concessions or schemes may be clubbed with the selected plan.
11. BOBCAPS will not pay any interest on the Platform charges plan (PCP) subscribed by the client. The client understands and agrees that in
no circumstances whatsoever, client can claim any interest from BOBCAPS on the Platform charges plan. The platform charges paid cannot
be adjusted with any other trade related obligation which would be separate.
12. For any disputes related selected plan, the decision of BOBCAPS will be final and binding.
13. For further clarifications, contact us at 0-8652-270-270 or via email at customercare@bobcaps.in.
14. On completion of plan validity, the brokerage will be converted to the standard plan (from next trading day)
Standard brokerage plan charges are as given: Delivery 0.50%, Intraday (both side) 0.05%, Future0.05% , Options Rs. 50 ( Per Lot)
500
I / We, the undersigned, wish to avail the___________________________ offered by BOB Capital Markets Limited. I have fully understood and I
agree to all the above terms and conditions in the plan. I understand that this plan shall prevail and override any earlier agreed plan with BOB
Capital Markets Ltd.

BUJPJ1640P
Trading Account No/ UCC : Pan No:

Client Name: GOPAL KUMAR JHA

7634952348 Jhagopalkumar880@gmail.com
Mobile No: Email id:

Date:
18-03-2025
Client Signature:

Only for Official Use (Not to be filled out by the client)

BDM code:

SRM Emp No.:

Page 38
 Application Date: 18-03-2025 Application No.:

Voluntary
To,
BOB Capital Markets ltd.
1704, B Wing, 17th Floor, Parinee Crescenzo,
G Block, Bandra Kurla Complex, Bandra (East), Mumbai – 400051.

Dear Sir,

Sub: letter of Standing Instructions & Running Account Authorisation

I/We hereby will fully and unconditionally issue following standing instructions with reference to personal discussion
between us:

I / We authorise you to enter, modify, and delete orders into the Trading System of the Segments of the Exchanges on
my / our behalf for which instructions may be given to you through / Verbal / Oral / Written / Telephonic Communication.

I / We authorise you not to provide me / us the Order Confirmation / Modification / Cancellation Slips and Trade
Confirmation / Modification / Cancellation Slips generated by the Trading System of the Segments of the Exchanges
to avoid wastage of Time and unnecessary Paperwork as I am / we are getting necessary information from the Contract
Notes issued by you.

I/We will make payments to you for bills raised by you.

I am / We are agreeable for maintaining running account and instruct you that no Cheque/Shares be issued to me/us
towards credit balance in my/our account, unless specifically demanded by me/us and only to the extent of amount
demanded by me/us.

I am / we are agreeable that the credit balance of funds and shares be treated as margin for both cash and derivatives
segment.

I am / we are agreeable for transfer of credit balances in margin account / client account of cash segment towards
adjustment debit balance in margin account / client account of derivatives segment and vice versa.

I am / we are agreeable for inter-settlement transfer of securities towards pay-in/pay-out of securities for the future /
past settlements.

I am / we are agreeable for and authorise you to withhold funds pay-out towards all the applicable margin and debits.

I / We shall not indulge in any sub-broking activities nor issue bills/contracts/confirmation notes to any one else for
trades done in my client code. All fines / penalties and charges levied upon you due to my acts / deeds of transaction
may be recovered by you from my accounts.

I/We confirm my/our preference for actual settlement of funds and securities at least:
Once in a Calendar Quarter ✔ Once in a Calendar Month
(Tick one of these options)

except that you may not settle the funds given towards collaterals/margin in form of Bank Guarantee and /or Fixed
Deposit Receipt.

In case I / We have an outstanding obligation on the settlement date, you may retain the requisite securities/funds
towards such obligations and may also retain the funds expected to be required to meet the margin obligations for next
5 trading days, calculated in the manner specified by the exchanges.

GOPAL KUMAR JHA

Name of Applicant

Page 39
 Application Date: 18-03-2025 Application No.:

I / We confirm that I will bring to your notice any disputes arising from the statement of account or settlement so made
in writing preferably within 7 working days from the date of receipt of funds/securities or statement of account or
statement related to it, as the case may be at your registered office.

I/We confirm you that I can revoke the above-mentioned authority by giving a revocation letter in writing to you at any
time. I/We hereby authorise you to give instruction to BOB Capital Market Ltd (Capital Market and DP)/ Bank of Baroda
Bank Account for debiting / crediting my/our account/s with them.

The authorisation shall be signed by me/us only and not by any power of attorney holder or any authorised person.

I/We confirm that their vocation of standing instruction will be effective only from the date and time the notice is received
by BOB Capital Markets Ltd.

I/We also confirm that all transactions originated prior to this are valid. The standing instructions are valid from the date
the account is opened and will be valid until revoked.

Running account shall be settled on the first Friday of every month / Quarterly basis Settlement opted by client. If the first Friday
is a trading holiday, then such settlement shall happen on the previous trading day.

Thanking You,
Yours faithfully

Signature of the Client ☞_______________________

GOPAL KUMAR JHA

Name of the Client _______________________

Client Code _______________________

GOPAL KUMAR JHA

Name of Applicant

Page 40
 Application Date: Application No.:
18-03-2025

Voluntary
To,
BOB Capital Markets ltd.
1704, B Wing, 17th Floor, Parinee Crescenzo,
G Block, Bandra Kurla Complex, Bandra (East), Mumbai – 400051.

Dear Sir,

Sub: Consent to issue Contract Notes in Electronic Format (ECN), Ledger accounts & all other communications
in digital form.

l/We hereby consent to receive the contract note/trade confirmations of the trades executed by me / us, bills and
account statements thereof, notices, circulars, amendments and all other correspondence or documents in electronic
form duly authenticated by means of a digital signature as specified in the Information Technology Act 2000 and the
rules made there under, to any of my email ids mentioned in the KYC.

I/We confirm that the Physical Contract Notes may not be issued to me/us as I am/ we are willing to receive the same
in Electronic/Digital mode.

I/We hereby also consent to receive: -

[1] Security Transaction Tax (STT) Statement
[2] Statement of Securities/Statement of Funds.
[3] Financial Statement
[4] Daily Margin / Collateral Statement
and other statutory / non-statutory documents in electronic / digital mode as per BSE / NSE / SEBl guideline.
Depository Communications
[5] DP Bill Holding / Transaction

I/We further hereby agree that the member shall fulfil the legal obligation, if the above documents are sent electronically
to my one of the e-mail ids mentioned in the KYC.

I/We agree that the member will not be responsible for non-receipt of documents sent via electronic delivery due to
change in email address / correspondence address as mentioned aforesaid and the same being not informed to the
member.

I/We also agree that the member shall not take cognizance of out-of office / out-of station auto replies and I/We shall
be deemed to have received such electronic mails. The mandate is subject to terms and conditions mentioned herein
below:

Terms and conditions for issuance of contract notes in digital form:

1. Digital contract notes in the format as may be prescribed by the Exchange from time to time will be mailed to the
mail address provided to us.
2. Email id mentioned above has been created by me/us and not by someone else
3. Digital contact Notes will also be available at our website www.barodaetrade.com.
4. I/We understand to check the contract notes and bring the discrepancies to your notice within a reasonable time of
issuance of contract notes. 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.
5. Clients can view the Digital contract notes using the user name & password through the above website apart from
the contract notes sent to the client through mail.
Name of Applicant
GOPAL KUMAR JHA
Page 41
6. The digital contact notes will be archived at an interval of 1 year. If the client intends to view the digital contract note
for a period prior to 1 year client may request for the same in writing. We may charge certain amount for the same.
7. In case of any failure in system or errors in digital contract notes or bouncing of e-mails on a recurring basis, contract
notes will be issued in physical form, acceptance of which shall be binding on the client.
8. Discrepancies, if any, should be sent to customercare@bobcaps.in
9. I/We confirm that, “non-receipt” of bounced mail notification by the member shall amount to delivery of the contract
note at the email-id of the client.
10. The contract notes will be issued in digital form in compliance with the guidelines issued by SEBl /Exchanges from
time to time.
11. It will be client's responsibility to regularly check the mailbox and keeping the storage space for new email
messages.
12. Any change in terms and conditions shall be intimated from time to time.
13. I acknowledge and confirm that in case you do not receive a message of unsuccessful delivery or mail bounce, the
message sent to you will be treated as delivered to you.
14. Any change in my/our email ID shall be immediately intimated to BOB Capital Markets Ltd through letter /
appropriate modification form separately. For Internet clients, change request in email ID can be made through secured
access by way of client specific user ID and password.
This authorization has been signed by me only and not by any authorised person on my behalf or any holder of the
Power of Attorney.

Thanking You,
Yours faithfully

Signature of the Client ☞_______________________

GOPAL KUMAR JHA
Name of the Client _______________________

Client Code _______________________

Page 42
 Application Date: 18-03-2025 Application No.:
Voluntary

Date:

To,
BOB Capital Markets Ltd
1704, B Wing, Parinee Crescenzo, BKC, Mumbai – 400051.

Sir,
Sub: Authorisation letter for using a common email ID for multiple trading and DP accounts of family members.

We have opened the following Online Trading Accounts of our family members with BOB Capital Markets Ltd.

Client Code PAN NO EMAIL ID DP ID Account Holder Name

I hereby intimate BOB Capital Markets Ltd that I will be using my personal email ID for all my family members trading accounts
mentioned above. * Family Members: Spouse, Dependent Children and Dependent Parent

I shall be responsible for the mails received from BOBCAPS in the form of Bills, Contract Notes, Financial Statements or any other
relevant mails for my family members Trading accounts mentioned above for whom my personal email ID has been registered with
BOBCAPS.

Kindly take the same on record.

Thanking you

Yours Truly

Name & Signature of family members for whom a common email ID has been used

Name of the Account Holder Signature

BOB Capital Markets Limited

SEBI Regn. No: INZ000159332
GOPAL KUMAR JHA
Phone: 8652 270 270 / Email: customercare@bobcaps.in
Name of Applicant
Page 43
 Application Date: 18-03-2025 Application No.:

Non-Mandatory
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT
(All the clauses mentioned in the ‘Rights and Obligations’ document(s) shall be applicable. Additionally, the clauses
mentioned herein shall also be applicable.)

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.

GOPAL KUMAR JHA

Name of Applicant
Page 44
 Application Date: 18-03-2025 Application No.:
Notes:
1. The term ‘constituent’ shall mean and include a client, a customer or an investor, who deals with a trading member of NSE/BSE for
the purpose of acquiring and / or selling of securities through the mechanism provided by NSE/BSE.
2. The term ‘member’ shall mean and include a member or a broker or a stock broker, who has been admitted as such by NSE/BSE
and who holds a registration certificate as a stock broker from SEBI.
3. NSE/BSE may be substituted with names of the relevant exchanges, wherever applicable.

VOLUNTARY - TERMS & CONDITIONS APPLICABLE ONLY TO CLIENTS

AVAILING OF THE STOCK-BROKERS CALL-N-TRADE/ TRADING ON PHONE FACILITY
To avail the Tele-trading Facility, the Client will be required to call on the specific number notified from time to time by the Stock Broker
for the said purpose in writing or by publishing on its website or in such other manner as may be determined by the Stock Broker. Such
numbers will be subject to change at the Stock Broker's discretion, which change shall be notified to the Client either through the Stock
Broker's Website or in such other manner as may be determined by the Stock Broker.
1 The Client further agrees that the Stock Broker reserves the right to charge separate service fee for using the Tele-trading
Facility, above certain number of transaction(s) done using the Tele-trading Facility.

2 Before the commencement of the Tele-trading Facility, and except in the case of an individual or a sole proprietor acting
directly, the Client shall be required to provide details of the person(s) authorized on its behalf to operate the Client's account on behalf
of the Client if permitted by the Stock Broker and if required by the Stock Broker, provide evidence, satisfactory to the Stock Broker in
respect of the same.

3 Before being given access to the Tele-trading Facility, the Client, or any authorized person acting on behalf of the Client, must
provide accurate answers to the questions (if any) asked by the Stock Broker's personnel providing the Tele-trading Facility, for
ascertaining the identity and authentication of the caller as the Client or Client's authorized representative. The Stock Broker shall have
the discretion to ask such questions as the Stock Broker may deem fit and proper. The Stock Broker will not however be bound to
compulsorily ask such questions and the decision to ask or not ask shall be at the discretion of the Stock Broker. For instance, the
Stock Broker may designate certain segments of the Tele-trading Facility as requiring compulsory identification and verification and
may not require certain segments of the Tele-trading Facility to have such compulsory identification and verification, where the Stock
Broker requires such compulsory identification and verification, the Stock Broker shall execute the request/order for the Client only after
the Client's identity has been verified to the satisfaction of the Stock Broker inter alia by way of a user identification number, if any. The
Client shall ensure that the user identification number and password are not misused. The Client agrees to indemnify and hold the
Stock Broker harmless and defended for any such unauthorized usage.

4 The Client hereby authorises the Stock Broker to use the Client identification/user identification number as intimated by the
Client/ Client's authorized representative as method of verification of the Client's identity as caller and accordingly for the purpose of
taking instructions and executing the orders placed by such caller over the phone. All requests/orders placed by the Stock Broker on
behalf of the Client in the manner prescribed above shall be deemed to have been authorized and placed by the Client himself/itself
and shall be valid and binding on the Client. The Client understands that all methods of identification need to be prompt and strictly
confidential to prevent any misuse and the Client shall be bound by all such transactions irrespective of any misuse and
notwithstanding any error, misunderstanding, fraud, forgery or lack of clarity in the terms of such orders/requests.

5 In each request/order, the Client must indicate the Exchange on which the Client desires the order be executed. All orders
placed during market hours will be for the same day execution. Orders placed after market hours will be sent for execution to the
Exchange on the next trading day.
6 The Client agrees to ensure that all orders and instructions are absolutely clear and unambiguous; the Client agrees that if any
request/order is not absolutely clear or unambiguous, the Stock Broker or its employees or authorized representatives shall be entitled
to interpret the same as per their own understanding of such instructions and such understanding and interpretation shall be final and
binding on the Client.
7 The Client agrees that orders, instructions and other communications given or made over the telephone, may be routed
through the Stock Broker's interactive voice response or other telephone system and may be recorded by the Stock Broker.

GOPAL KUMAR JHA

Name of Applicant
Page 45
 Application Date: 18-03-2025 Application No.:

8 The Client also agrees that such recording and the Stock Broker records of any orders, instructions and communications given
or made by the Client or the Stock Broker by electronic mail, fax or other electronic means shall be admissible as evidence and shall be
final and binding evidence of the same. If the Stock Broker so chooses to record the orders, instructions and communications, he/it
shall be free to store the same for such period of time as the Stock Broker deems fit and the Stock Broker may overwrite, erase or
destroy such records at such intervals as it may deem fit.

9. The Client acknowledges that trading through telephone may involve many uncertain factors and complex hardware, software
systems, communication lines, etc which are susceptible to interruptions and dislocations and the Stock Broker's services may at any
time be unavailable without further notice. The Stock Broker makes no representation or warranty that the services will be available to
the Client at all times without interruption. The services are provided on an “as available” basis without warranties of any kind, either
express or implied, including, without limitation, those of merchantability and fitness for a particular purpose.

10. The Client acknowledges that he/it is fully aware of and understands the risks associated with availing of the services for routing
orders over the telephone including the risk of misuse and unauthorized use of his/its Client identification and/or username and/or
password by a third party. The Client agrees that he/it shall be fully liable and responsible for any and all unauthorized transactions and
unauthorise use and misuse of his/its password and/or username and/or user identification.

11. In all such events the Client agrees to assume and bear all the risks involved in respect of such errors and misunderstandings and
the Stock Broker shall not be held liable or responsible in any manner for the same or breach of confidentiality thereto and shall also
not be liable for any claims, loss, damage, costs or expense and liability there from, in any manner whatsoever.

12. The Client specifically acknowledges and confirms that:

(a) Sending information by telephone is not a secure means of sending information and can be intercepted and tampered with;
(b) The Client is aware of the nature of tele-communication services.
(c) Any request to the Stock Broker to accept and act on either telephonic call instructions is for the Client's convenience and benefits
only.
13. The Client is aware that he/it has the option of not availing such Facility. However being fully aware of all risks, the Client desires
the convenience of such Facility of transmitting orders and instructions using Tele-trading facility and has therefore opted for such
Facility of his/its own free choice and is willing and agreeable to bear all associated risks, responsibility and liability;

Declaration for Online Trading Clients Only

1. I have selected the User ID (Constituent would separately give a choice of three User IDs, out of which one will be
allotted, based on availability. If all the three are not available, Constituent would be informed to select another one. The
User ID would consist of minimum of 4 (four) and maximum of 10 (ten) alphanumeric characters, without special
characters.) I have also selected the password for my account (The password would be with minimum of 6 (six) and maximum
of12 (Twelve) alphanumeric characters and without any special character.) The User ID and password would be enabled at the
time of my registration as a broking client with BOB Capital Markets Ltd. I am aware and I agree that no further User ID /
password would be issued to me after the above account is opened and I would be able to access my account with the said User
ID and password. I undertake to keep the password confidential and change it periodically.

2. I hereby authorize BOB Capital Markets Ltd to access my account related information from Bank of Baroda as indicated by
me, if and whenever required for the purpose of opening and operating my stock broking account with BOB Capital Markets Ltd.
or for any other purpose as deemed fit by BOB Capital Markets Ltd .

3. I declare that I have read and understood the rules and regulations pertaining to the stock broking account and the terms and
conditions of the stock broking agreement, which are in force, and I agree to abide by and to be bound by the Rules and
Regulations stipulated by SEBI/RBI/Stock Exchanges and Govt. regulated organizations are in force from time to time for such
accounts.

4. I declare that the particulars given above are true to the best of my knowledge. I further undertake to inform, in writing, of any
change in the particulars furnished above.

5. I further agree and accept that any mis-information / false information furnished by me or suppression of any material fact would
render my account liable for termination and further action taken by BOB Capital Markets Ltd.
GOPAL KUMAR JHA

Name of Applicant
Page 46
 NOT-APPLICABLE

Annexure

Bank Mandate
(This document is voluntary. However, the same is required to be executed by the customers in order to avail
of seamless trading platform with integrated bank account, demat account and broking account.)

To,

Bank Of Baroda

Sub: Request to add a mandate holder

Reference: Addition of mandate holder in respect of bank account number

Dear Sir / Madam,

I/We am/are desirous of appointing BOB Capital Markets Limited (“BOBCAPS”) as a mandate
holder in respect of Bank Account with Bank Of Baroda, the details of which are as follows

Name of the Sole Holder/First Holder :___________________________________________________

Names of the other Holders:___________________________________________________________

Bank Account Number :______________________________________________________________

I/We wish to participate in the trading, investment and other services and products offered by
BOBCAPs. In order to facilitate proper execution of all transactions, including but not limited to,
transactions for purchase (including margin trading), investment in shares & securities, scrips, stocks,
bonds, debentures, mutual fund units, units of any collective investment scheme or any other security
or financial instrument, derivatives, including but not limited to, Equity Derivatives, Currency
Derivatives, Interest Rates Derivatives, Commodities Derivatives, forwards, futures, REITS, INVITS,
swaps and options, purchase, sale, investment, subscription of Public Provident Fund, National Savings
Schemes, New Pension System / Scheme and other savings schemes of Government of India or other
undertakings, Fixed Deposits, Commercial Paper, Certificates of Deposits, any money market
instruments or order for purchase or application for any offer or public issue of shares, open offers
made by the issuers, rights issues made by Issuers, transactions for securities lending & borrowing
system (hereinafter referred to as “Purpose” ), I/We am/are hereby appointing BOBCAPS as my/our
mandate holder and authorize BOBCAPS for the following in respect of transactions in Trading
Account / DP Account associated with PAN______________________ (hereinafter referred to as
“Client”) with BOBCAPS :

1. To operate, block and/or debit the above-mentioned Bank Account as per my / our
instructions to BOBCAPS furnished in any manner acceptable to BOBCAPS,

_________________________ ________________ ________________

Signature of 1st Holder / Sole Holder Signature of 2nd Holder Signature of 3rd Holder

Page 47
 NOT-APPLICABLE

to meet all my obligations in terms of the rights and obligation document for transactions
done on National Stock Exchange of India Limited (NSE) & Bombay Stock Exchange Limited
(BSE), or any other recognized Stock Exchange by transferring the funds to designated bank
accounts of BOBCAPS as mentioned in Annexure 1 or any other bank account/s of BOBCAPS
as may be notified by BOBCAPS on its website or by email to me from time to time and to give
other instructions relating to the Bank Account(s), for any matter concerning the above
mentioned Purpose, including charges for account opening and availing of various services
and facilities from BOBCAPS.

2. To debit/credit the Bank Account(s) with monies received from /delivered by BOBCAPS
erroneously on my/our behalf.

3. To debit my/our Bank Account(s) towards monies / fees / DP AMC/transaction as per DP

tariff charges etc. due to BOBCAPS and to discharge all obligation in this regard on my/ our
behalf to BOBCAPS and to recover any outstanding amount due from me/us arising out of
my/our trading activities on the stock exchanges through BOBCAPS or any other Purpose
stated above.

4. To debit/credit my/our Bank Account(s) towards monies/fees/charges etc. payable to

BOBCAPS, by virtue of I/we using/ subscribing to any of the facilities/services provided either
by BOBCAPS or by a Third Party Product/ Service Provider or by any of the affiliates /
subsidiaries of BOBCAPS

5. To receive my/our bank transaction statements, either in a physical copy format or soft /
electronic copy or a format which can be uploaded in system, from time to time.

6. To create the first and paramount lien, charge or hypothecation on the Bank Account,
including its linked and associated bank accounts and on any or all of the money contained
therein, including in the internal systems of the Bank and to exercise such lien and transfer
the said money to BOBCAPS in the event of any loss suffered/ costs incurred on account of
any transaction done / executed as per my/our instructions or as per the terms and conditions
of the products/services availed of by me/us.

7. To sign, deliver and/or acknowledge all instructions, forms, instruments, cheques, drafts,
slips, receipts and other instruments and writings which are necessary or advisable for
performing all or any of this mandate and instructions hereby conferred.
For the purpose of this mandate and instructions hereunder, the Holders hereby agree that:

(i)The Holders of any Associated Bank Account(s)shall at all times make available
sufficient funds in the Bank Account(s) for the Purpose and shall not, without
BOBCAPS prior written consent, close the Bank Account or directly or indirectly
operate or give instructions in respect of the Bank Account which may prejudice rights
of BOBCaps or compromise the settlement / honoring of the transactions undertaken
under the Purpose;

_________________________ ________________ ________________

Signature of 1st Holder / Sole Holder Signature of 2nd Holder Signature of 3rd Holder

Page 48
 NOT-APPLICABLE

(ii) instructions given by the Client or BOBCAPS under this mandate to Bank of Baroda
to block funds in or to transfer funds from the Bank Account in connection with the
Purpose will be given first priority over any other instructions or cheques (whether
prior or subsequent) given or issued by any Holder (including the Client) by itself or
through any other attorney; (iii) funds once blocked on the instructions of BOBCAPS
under this mandate in connection with Purpose can be released for any other reason
or transaction only with the express written consent of BOBCAPS.

I//We hereby agree to be bound by all payments made under this mandate letter. I/We hereby agree
and confirm that this mandate letter shall be cancelled or revoked by furnishing a written intimation
of the cancellation/revocation to BOBCAPS at any time to its head office at 1704, B Wing, 17th Floor,
Parinee Crescenzo, G Block, Bandra Kurla Complex, Bandra (East), Mumbai – 400051 and due
intimation to Bank Of Baroda. The said revocation shall be effective for trades prospective after the
date on which the revocation notice is received by BOBCAPS at its aforementioned address and due
intimation to Bank Of Baroda. I/We further agree and confirm that this mandate letter will stand
revoked / cancelled only after fulfillment of my/our obligation pertaining to unsettled transactions
and outstanding dues payable to BOBCAPS and/or to a Third Party Product/Service provider or to any
of their affiliates/subsidiaries as per the terms and -conditions of the services/products availed by
me/us.

____________________________________________________________

Customer Signature(s) (To be digitally signed by all bank account holders)

Date:_________________________

CC: BOB CAPITAL MARKETS LIMITED

Page 49
 Demat Debit and Pledge Instruction (DDPI)
To,
BOB Capital Markets Limited,
.
401-501 Business Square, B -Wing, Andheri-Kurla Road,
Andheri (East), Mumbai - 400093
Dear Sir/Madam,

Sub: Authorisation for Demat Debit and Pledge Instructions

I/We hereby execute this DDPI in favour of BOB Capital Markets Limited and authorise BOB Capital Markets Limited (Bobcaps) to have access to and
operate my/our Demat Account mentioned in Schedule II hereto with BOB Capital Market Ltd for the following specific purpose/s. To meet the obligation
(s) for transactions done on NSE, BSE and any other Exchange in India to existing depository account as per Schedule I with BOB Capital Market Ltd
Depository Participant with National Securities Depository Limited. / Central depository Services (India) Limited.
S. Purpose Signature of Client *
No.
Transfer of securities held in the beneficial owner account listed above 1
towards Stock Exchange related deliveries / settlement obligations arising out
1. of trades executed by me/us (in trading account bearing PAN BUJPJ1640P )
on the Stock Exchanges through Bobcaps.

Pledging / re-pledging of securities in favour of Bobcaps / Clearing Corporations 1.

Clearing houses for the purpose of meeting my / our margin requirements in
2. connection with the trades executed by me / us (in trading account bearing
PAN ___________________
BUJPJ1640P ) on the Stock Exchanges.

3. Mutual Fund transactions being executed on Stock Exchange order entry 1.

platforms

4. Tendering shares in open offers through Stock Exchange platforms 1.

* The same may be eSigned or signed physically to register this Demat Debit and Pledge Instruction (DDPI), with the said Depository Participant or with any other party concerned.
This authorization shall continue to be remain valid until revoked in writing by me. l / we can revoke this DDPI Authorisation at any
time, by giving a revocation letter in writing to you at any time to your communication office at 401-501 Business Square, B -
Wing, Andheri-Kurla Road, Andheri (East), Mumbai - 400093 and the said revocation shall be effective from the date on which the
revocation notice is received by Bobcaps at the above- mentioned office address. l/We understand that such revocation shall not
affect my/ our obligations outstanding at the time of such revocation and the authority granted hereunder shall continue until all t
ransactions and instructions already executed or issued to Bobcaps have been conclusively settled.
Schedule I
The above said Account Holder/s is/are having Demat Account in the style mentioned below:
Name of the DP NSDL / CDSL DP IP Client ID Account Description
BOB Capital Market Ltd CDSL 13018700 00267585 BSE CM Pool Account
BOB Capital Market Ltd CDSL 13018700 00267606 NSE Pool Account
BOB Capital Market Ltd CDSL 13018700 00488696 Client Margin Trading Securities
BOB Capital Market Ltd CDSL 13018700 03125552 CM Client Securities Margin Pledge
BOB Capital Market Ltd NSDL IN300870 10185030 NSE Pool Account
BOB Capital Market Ltd NSDL IN300870 10185023 BSE Pool Account
BOB Capital Market Ltd NSDL IN300870 10801642 CM Client Securities Margin Pledge
Schedule II

The above said Account Holder/s is/are having Demat Account in the style mentioned below:
Name of DP: ________________________ NSDL / ✔ CDSL DP ID: 13018700 _____________ Client ID: ____________
03538485
First Holder Second Holder Third Holder
Name GOPAL KUMAR JHA

Signature

Date: 18-03-2025 Place: Puducherry

Page 50
Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSL
[SMS Alerts will be sent by CDSL to BOs for all debits]

Definitions:
In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:
1. "Depository" means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956
and having its registered office at Marathon Futurex, A-Wing, 25th floor, NM Joshi Marg, Lower Parel, Mumbai 400013. and all its
branch offices and includes its successors and assigns.
2. ‘DP’ means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.
3. ‘BO’ means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be opened with a
depository as specified by the depository from time to time.
4. SMS means “Short Messaging Service”
5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.
6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for providing the
SMS alerts to the BO.
7. “Service” means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions.

Availability:
1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be available to those accountholders
who have provided their mobile numbers to the depository through their DP. The services may be discontinued for a specific period / indefinite period,
with or without issuing any prior notice for the purpose of security reasons or system maintenance or for such other reasons as may be warranted. The
depository may also discontinue the service at any time without giving prior notice for any reason whatsoever.
2. The service is currently available to the BOs who are residing in India.
3. The alerts will be provided to the BOs only if they remain within the range of the service provider’s service area or within the range forming part of the
roaming network of the service provider.
4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as submitted at
the time of registration / modification.
5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the
BO wants to receive the alerts from the depository. In case of change in mobile number not intimated to the depository, the SMS alerts will continue to
be sent to the last registered mobile phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS
alerts sent on such mobile number.

Receiving Alerts:
1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such number replaced
and informed by the BO from time to time. Upon such registration / change, the depository shall make every effort to update the change in mobile
number within a reasonable period of time. The depository shall not be responsible for any event of delay or loss of message in this regard.
2. The BO acknowledges that the alerts will be received only if the mobile phone is in ‘ON’ and in a mode to receive the SMS. If the mobile phone is in ‘Off’’
mode i.e. unable to receive the alerts then the BO may not get / get after delay any alerts sent during such period.
3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on many factors including the infrastructure,
connectivity of the service provider. The depository shall not be responsible for any non-delivery, delayed delivery or distortion of the alert in any way
whatsoever.
4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptible to error, omission
and/ or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the depository and/ or the DP
immediately in writing and the depository will make best possible efforts to rectify the error as early as possible. The BO s hall not hold the depository
liable for any loss, damages, etc. that may be incurred/ suffered by the BO on account of opting to avail SMS alerts facility.
5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the depository may consider
appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, email address and mobile number for marketing offers between
CDSL and any other entity.
6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of
securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. The BO may send an email
to CDSL at complaints@cdslindia.com. The BO is advised not to inform the service provider about any such unauthorized debit to/
transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication
between the service provider and the depository.
7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO and the depository shall not be under
any obligation to confirm the authenticity of the person(s) receiving the alert.
8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner
whatsoever.
9. If the BO finds that the information such as mobile number etc., has been changed without proper authorization, the BO should immediately inform the
DP in writing.

Page 51
Fees:
Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.

Disclaimer:
The depository shall make reasonable efforts to ensure that the BO’s personal information is kept confidential. The depository does not warranty the confidentiality
or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the
system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person
resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the
service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the
BO or for fraudulent, duplicate or erroneous use/ misuse of such information by any third person.

Liability and Indemnity:

The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorized access to the information
meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and
its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain,
suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.

Amendments:
The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shall be binding on the
BOs who are already registered as user of this service.

Governing Law and Jurisdiction:

Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai.

I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the terms and conditions
mentioned below. I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our
account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobile number.

I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from
time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time.

I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to
take up the matter with their DP.

I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the depository for providing
the service.

I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).
BOID 1 3 0 1 8 7 0 0 0 3 5 3 8 4 8 5
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)
Sole / First Holder’s Name : GOPAL KUMAR JHA

Second Holder’s Name :

Third Holder’s Name :

Mobile Number on which

messages are to be sent +91 7 6 3 4 9 5 2 3 4 8

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

GOPAL KUMAR JHA

The mobile number is registered in the name of:

Jhagopalkumar880@gmail.com
Email ID:
(Please write only ONE valid email ID on which communication; if any, is to be sent)

Signatures Sole / First Holder Second holder Third Holder

Place: North West Delhi Date: 18-03-2025

Page 52
 Annexure 2.5

OPTION FORM FOR ISSUE OF DIS BOOKLET

Date D D
18-03-2025 M M Y Y Y Y

DP ID 13018700 Client ID 03538485

First Holder Name GOPAL KUMAR JHA
Second Holder Name
Third Holder Name

To,
Depository Participant Name
Address

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 settling 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

OR

❑
✔ 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 BOBCAPS Markets Ltd (name
of the attorney / Clearing Member / PMS manager) for executing delivery instructions for settling 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.

Yours faithfully
First/Sole Holder Second Joint Holder Third Joint Holder
Name
GOPAL KUMAR JHA

Signatures

============================= (Please Tear Here) ================================

Acknowledgement Receipt

Received OPTION FORM FOR ISSUE / NON ISSUE OF DIS BOOKLET from :

DP ID 13018700 Client ID 03538485

Name of the Sole / First Holder GOPAL KUMAR JHA
Name of Second Joint Holder
Name of Third Joint Holder

Page 53
(Not Applicable)

Page 54
 Most Important Terms and Conditions (MITC)
(For non-custodial settled trading accounts)

I/We acknowledge the standard Most Important Terms and Conditions (MITC) as mentioned
below

1. Your trading account has a “Unique Client Code” (UCC), di昀昀erent from your demat account
number. Do not allow anyone (including your own stock broker, their representa琀椀ves, and
dealers) to trade in your trading account on their own without taking speci昀椀c instruc琀椀on
from you for your trades. Do not share your internet/ mobile trading login creden琀椀als with
anyone else.
2. You are required to place collaterals as margins with the stock broker before you trade. The
collateral can either be in the form of funds transfer into speci昀椀ed stock broker bank
accounts or margin pledge of securi琀椀es from your demat account. The bank accounts are
listed on the stock broker website. Please do not transfer funds into any other account. The
stock broker is not permi琀琀ed to accept any cash from you.
3. The stock broker’s Risk Management Policy provides details about how the trading limits will
be given to you, and the tari昀昀 sheet provides the charges that the stock broker will levy on
you.
4. All securi琀椀es purchased by you will be transferred to your demat account within one working
day of the payout. In case of securi琀椀es purchased but not fully paid by you, the transfer of
the same may be subject to limited period pledge i.e. seven trading days a昀琀er the pay-out
(CUSPA pledge) created in favor of the stock broker. You can view your demat account
balances directly at the website of the Depositories a昀琀er crea琀椀ng a login.
5. The stock broker is obligated to deposit all funds received from you with any of the Clearing
Corpora琀椀ons duly allocated in your name. The stock broker is further mandated to return
excess funds as per applicable norms to you at the 琀椀me of quarterly/ monthly se琀琀lement.
You can view the amounts allocated to you directly at the website of the Clearing
Corpora琀椀on(s).
6. You will get a contract note from the stock broker within 24 hours of the trade.
7. You may give a one-琀椀me Demat Debit and Pledge Instruc琀椀on (DDPI) authority to your stock
broker for limited access to your demat account, including transferring securi琀椀es, which are
sold in your account for pay-in.
8. The stock broker is expected to know your 昀椀nancial status and monitor your accounts
accordingly. Do share all 昀椀nancial informa琀椀on (e.g. income, networth, etc.) with the stock
broker as and when requested for. Kindly also keep your email Id and mobile phone details
with the stock broker always updated.
9. In case of disputes with the stock broker, you can raise a grievance on the dedicated investor
grievance ID of the stock broker. You can also approach the stock exchanges and/or SEBI
directly.
10. Any assured/guaranteed/昀椀xed returns schemes or any other schemes of similar nature are
prohibited by law. You will not have any protec琀椀on/recourse from SEBI/stock exchanges for
par琀椀cipa琀椀on in such schemes.

I/We hereby declare that, I/we have read and understood the content of Most Important Terms &
Condi琀椀on (MITC)

Customer Name :- GOPAL KUMAR JHA

Page 55
 General Terms & Condi琀椀on – BOB Capital Markets Ltd.

Pre-De昀椀ned Preference & its Acceptance

1. I/ We wish to receive Contract Note and other related reports/ statements/ documents in
electronic mode
2. I/ We wish to avail of the facility of internet trading/ wireless technology
3. I/ We instruct the DP to receive each & every credit in my/ our account
4. I/ We would like to instruct the DP to accept all the pledge instruc琀椀ons in my/ our account
without any other further instruc琀椀on from my/our end
5. I/ We would like to share the email ID with the RTA
6. I/ We would wish to receive dividend/ interest directly into bank account through ECS
7. I/ We would wish to receive Annual Report through electronic mode
8. I/ We give our consent to open the Demat Account Online without DIS SLIP and con昀椀rm that
we do not wish to receive PHYSICAL DIS SLIP
9. I/ We would like to receive Demat statement and annual report on electronic mode
10. I/ We hereby authorize to communicate with me/us through telephone/ mobile, Email, SMS
or other modes of communica琀椀on
11. I/ We would like to opt for quarterly mode of running account se琀琀lement
12. I/ We would like to opt in to Basic Service Demat Account (BSDA)
13. I am not a United States (US) person nor an NRI

General Declara琀椀on
1. I/We hereby declare that the details furnished in my account opening form and here are true
and correct to the best of my/our knowledge and belief and I/we undertake to inform you of
any changes therein, immediately. In case any of the above informa琀椀on is found to be false
or untrue or misleading or misrepresen琀椀ng, I am/we are aware that I/we may be held liable
for it.
2. I/We con昀椀rm having read and understood the contents of the document on policy and
procedures of the stock broker and the tari昀昀 sheet.
3. I/We further con昀椀rm having read and understood the contents of the ‘Rights and
Obliga琀椀ons’ document(s), ‘Risk Disclosure Document’, Guidance Note.
4. I/We 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
Informa琀椀on on stock broker’s designated website, if any
5. I/We hereby declare and con昀椀rm that ‘Rights and Obliga琀椀ons’ document(s), ‘Risk Disclosure
Document’, Guidance Note, Policy & procedure are part of my account opening form, which
will be accepted and electronically signed by me (primary account holder)

Declara琀椀on of Mobile & Email

1. I hereby declare that the mobile & email given here belongs to me and remains my personal,
true and correct detail
2. Please note that by submi琀�ng the above-men琀椀oned details, you are authorizing BOB Capital
Markets Ltd. & it’s authorized persons and subsidiary to call and send promo琀椀onal
communica琀椀on even though you may be registered under DND.

Page 56
Declara琀椀on for Address
I hereby declare that the address as per my Aadhaar is updated & it is my current,
permanent, as well as correspondence address and the said informa琀椀on is true to my
knowledge

Other Declara琀椀on & disclosure – for

1. There are No or any ac琀椀on/proceedings ini琀椀ated/pending/ taken by SEBI/ Stock
exchange/any other authority against myself as the applicant persons dealing in securi琀椀es
during the last 5 years
2. I/We hereby declare that, we are currently NOT Dealing through any Authorized Partner and
any Other Stock Broker
3. I/We hereby declare that as a client, nobody has introduced me to BOB CAPITAL MARKETS
LTD.
4. Pla琀昀orm Fee Collected as part of the brokerage plan selected during online account opening
process will be applicable for life 琀椀me and it’s a one 琀椀me pla琀昀orm fee

Declara琀椀on for Name Mismatch

1. This is to bring to your no琀椀ce that my name may be spelt di昀昀erently in my Iden琀椀ty proof,
Address proof and Bank proof.
2. I hereby con昀椀rm that all the said names belong to me. I hereby state and con昀椀rm that what
is stated above is, true and correct informa琀椀on. I agree to indemnify and keep you always
indemni昀椀ed from and against all, costs, charges, damages, penal琀椀es (including reasonable
a琀琀orney fees) su昀昀ered and/or incurred by you for any act done or omi琀琀ed to be done on the
above declara琀椀on

Consent for Aadhaar based KYC & eSign

1. Consent for Aadhaar based KYC & eSign - I am desirous of having account-based rela琀椀onship
with BOB CAPITAL MARKETS LTD (All rights Reserved) (SEBI Registered Intermediary / MF
Distributor) and I have approached them opening my Trading / Demat / MF account and
performing necessary KYC in this regard. I would like to perform Aadhaar based KYC and
submit other account opening details online as per regulatory approval in this regard.
2. Accordingly, I provide my voluntary, well-informed consent to BOB CAPITAL MARKETS LTD
and its a昀케liate service provider for facilita琀椀ng me to use my Aadhaar record to perform
online KYC and using / storing / maintaining / sharing my Aadhaar record.
3. I understand/agree to do eKYC using my Aadhaar details for issuing eSign for me through
NSDL eGovernance Infrastructure Limited or our a昀케liated third-party service provider.
4. I/We hereby declare that the KYC details furnished by me are true and correct to the best of
my/our knowledge and belief and I/we under-take to inform you of any changes therein,
immediately. In case any of the above informa琀椀on is found to be false or untrue or
misleading or misrepresen琀椀ng, I am/We are aware that I/We may be held liable for it.
5. I/We hereby provide our consent to receiving informa琀椀on from CVL KRA through SMS/Email
on the above registered number/Email address.
6. I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be validated
against Aadhaar details. I/We hereby consent to sharing my/our masked Aadhaar card with
readable QR code or my Aadhaar XML/Digilocker XML 昀椀le, along with passcode and as
applicable, with KRA and other Intermediaries with whom I have a business rela琀椀onship for
KYC purposes only.

Page 57
Declara琀椀on for Demat Debit & Pledge Instruc琀椀on and Bank Mandate (voluntary documents)
• I/We hereby declare that, I/We wish to OPT for DDPI and Bank Mandate, as part of Online
Account Opening

I/We hereby declare that, we have read and understood the above and all the Terms & Condi琀椀on
& will review the further in detailed and elaborated Terms & Condi琀椀on before proceeding with
the eSign of Account Opening Form. This document is generated online and does not require
separate Signature or eSign from the Primary or Any Account Holder

STANDARD DISCLAIMER
Registered & Corporate O昀케ce - 1704, B Wing, 17th Floor, Parinee Crescenzo, Plot no.- 38/39, G
Block, Bandra Kurla Complex, Bandra(East), Mumbai - 400051 | Compliance O昀케cer – Sameer
Khobrekar | Email - compliance@bobcaps.in | SEBI Registra琀椀on No - INZ000159332 |

Investments in securi琀椀es market are subject to market risks, read all the related documents carefully
| Brokerage will not exceed SEBI prescribed limit | Any dispute related to the same will not be dealt
at exchange pla琀昀orm.

Branch O昀케ce – Mumbai - Business Square, 401/501, 4th Floor, B-Wing Andheri-Kurla Road, Andheri
East, Mumbai-400059, Maharashtra, India

Customer Name :- GOPAL KUMAR JHA

Page 58
 FREEZING / BLOCKING / UNFREEZE OF TRADING ACCOUNT

As per SEBI Circular no. SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 dated January 12, 2024 and
Exchange Circular no. NSE/INSP/61529 dated April 8, 2024 and BSE Notice No: 20240408-12
dated April 8, 2024 on the subject “Ease of Doing Investments by Investors - Facility of voluntary
Freezing/ Blocking of Trading Accounts by Clients”.

In accordance to the Regulatory Guidelines, we would like to highlight you the procedure wherein
you can Freeze/Block access to your Trading Account and the process to re-enable it.

Process for freezing/blocking access to Trading Account:

Choose any one mode of communication from the option given below:

Step 1: Email:
Send an email to stoptrade@bobcaps.in using your registered email ID with the subject line
"Freezing of My Trading Account – your Pan number."

OR

Step 2: IVR/Tele Calling:

You can call us at +91-22-69417310 from your registered mobile number. We kindly request you
to provide the following details while you are sending us a mail or calling us: -
 UCC/Client ID
 Client Name
 PAN (Permanent Account Number)
 Registered Email ID
 Registered Mobile Number

Please note that upon receiving your request through either channel, we will promptly
Freeze/Block your trading account access after verification and confirmation for the same will be
sent on your registered email address.

Further, in case of any pending orders same will be cancelled, and open positions will be squared
off. For such cases, we will send confirmation of the action taken along with contract expiry details
within one hour of freezing or blocking access to your trading account.

Process for unfreezing/unblocking of Trading Account

Choose any one mode of communication as given below:

Step 1: Email:
Send an email to stoptrade@bobcaps.in using your registered email ID with the subject line
"Unfreezing of My Trading Account – your Pan number."

OR

Step 2: Phone Call:

You can call us at +91-22-69417310 from your registered mobile number. We kindly request you
include the following details while you are sending us a mail or calling us: -
 UCC/Client ID
 Client Name
 PAN (Permanent Account Number)
 Registered Email ID
 Registered Mobile Number

Please note that once your request to unfreeze your Trading Account is verified same will be
processed and confirmation for the same will be sent to you on registered email address.

GOPAL KUMAR JHA

Client Name

Signature
Page 59
GTT Policy
Definition: A GTT order is a type of order that remains valid until a specified date or until it is
executed or cancelled by the trade.

Purpose: To ensure standardized and transparent handling of Good till Date (GTT) orders in
accordance with regulatory requirements and best practices.

Validity Period: GTT is the feature introduced to overcome this short coming wherein the order
remains active till the time trigger is not hit or 365 days whichever is earlier.

Scope:

1- As per exchange members who offer good till Cancelled/Good till Triggered orders or
orders of similar type, shall be part of the policy includes following points Details of Good
till Cancelled/Good till Triggered/orders of similar type provided by member including its
validity.
2- Manner of handling of such orders in case of corporate actions (e.g. cancellation, price
reset, retaining, etc. for the unexecuted orders).
3- Provide timeline within which the member shall intimate their clients about details of
upcoming corporate actions applicable for such unexecuted orders of clients, which shall
not be later than one day prior to the ex-date of the corporate action.

Oder Placement

1- All existing and new clients of BOBCAPS who are eligible to trade in Equity Cash product
& Derivatives can avail GTT facility for order placement.
2- GTT orders, can use the feature to trade in every listed stock. However, the orders only
apply for scrips listed on NSE and BSE cash. The validity for such orders is 365 days
from the day of order execution.
3- Orders with GTT validity can be placed both during the market hours as well as post
market hours.
4- GTT orders can be placed over Call-N-Trade.
5- Client can place maximum 5 GTT orders for a particular scrip and in all a client can place
maximum 30 GTT orders across all eligible scrips

Order Type
Buy and Sell GTT:

GTT order can be placed as GTT Buy and Sell Orders. The Trigger logic is based on LTP at the
time of order placing and is as follows: GTT Buy order:

• GTT Buy order placed below LTP:

When the client wants to buy a stock when the price goes down, he can place GTT
Buy order with trigger price below LTP. The order will get triggered when LTP is at or
below the trigger price

• GTT Buy order placed above LTP:

When the client wants to buy a stock when the price goes up, he can place GTT Buy
order with trigger price above LTP. GTT Buy orders above LTP can be as stop loss order.
The order will get triggered when LTP is at or above the trigger price

• GTT Sell order placed above LTP

When the client wants to Sell a stock and book profit above a certain price, he can
place GTT Sell order with trigger price above LTP. The order will get triggered when
LTP is at or above the trigger price.

Page 60
 • GTT Sell order placed below LTP
When the client wants to sell a stock below LTP, he can place GTT Sell order with
trigger price below LTP. This can be used for setting stop loss for client’s holdings.
The order will get triggered when LTP is at or below the trigger price

OCO GTT Order:

OCO orders are applicable only for Sell orders. One-Cancels-the-Other (OCO) order is a type of
order that combines a regular limit order with a stop loss market order. OCO is a
single order (one order ID is generated) with two prices ‘Target Price’ and ‘SL’ price.

• The client enters two price -Target price and Stop loss price. Each price will have
a trigger.
• There are two trigger prices entered and when one trigger is hit the other order
gets cancelled.
• That is, if the stop-loss price of this OCO order gets triggered, the target price gets
cancelled.
• In case of OCO orders the Target, price is above LTP and SL is below LTP.
However, in case the client places SL order above LTP, the order will get triggered.

Modification and Cancellation

The client will be able to modify and cancel GTT orders from GTT order book. Once triggered,
the price can be modified or order can be cancelled from normal Order book.

Validity

The orders are valid for 365 days or till triggered, whichever is earlier. Once a GTT order is
triggered, the order is placed as a normal order with day validity and reflects in normal order book.
Irrespective of whether the order gets executed or remains pending, the order is not carried
forward for subsequent day. Any unexecuted partial order quantity will remain in pending status
and will get cancelled post market hours if not executed during the day.
If a GTT order validity falls on a non-trading day , then such GTT order will get expired on the
same day.

Sell GTT and OCO Orders

Before placing the Sell GTT Order NON-POA clients will have to authorize their holdings.
Placed Sell GTT Orders will get executed at the exchange when a client has enough stocks in
the Holdings for a sell transaction.

Frequency of LTP matching with trigger price Trigger price matching with LTP would be done
during normal market hours only. Pre-open session is not considered for the same.

The trigger prices are compared with LTP with a time internal of 3 seconds. In case, where the
trigger is hit and the price reverse in 3 seconds, there would be a probability of trigger not getting
activated.

Corporate Action Handling

We shall intimate the clients about details of upcoming corporate actions applicable to unexecuted
orders of clients. This intimation to such clients whose GTT orders are in unexecuted status, shall
not be later than one day prior to the ex-date of the corporate action.

No handling of such unexecuted orders will be done by BOBCAPs in case of corporate actions
(e.g. cancellation, price reset, retaining etc. for such orders) and the client needs to monitor and
will be solely responsible for effect on prices and triggers based on stock / underlying specific
corporate actions. Clients shall review their GTT orders pro-actively whenever there may be an
impact of corporate action on their orders. It would be the onus of the client to take appropriate
action to modify / cancel orders accordingly.

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 Annexure 1

BOB Capital Markets Bank Account Details:

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