TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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RIGHTS & OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS & CLIENTSmoney/securities deposited by the client shall be keptin a separate account, distinct from his/its own accountor account of any other client and shall not be used bythe stock broker for himself/itself or for any other clientor for any purpose other than the purposes mentionedin Rules, Regulations, circulars, notices, guidelines ofSEBI and/or Rules, Regulations, Bye-Laws, circularsand notices of Exchange.16. Where the Exchange(s) cancels trade(s) suo motoall such trades including the trade/s done on behalf ofthe client shall ipso facto stand cancelled, stock brokershall be entitled to cancel the respective contract(s)with client(s).17. The transactions executed on the Exchange aresubject to Rules, Bye-Laws and Regulations andcirculars/notices issued thereunder of the Exchangeswhere the trade is executed and all parties to suchtrade shall have submitted to the jurisdiction of suchcourt as may be specified by the Bye-Laws andRegulations of the Exchanges where the trade isexecuted for the purpose of giving effect to theprovisions of the Rules, Bye-Laws and Regulations ofthe Exchanges and the circulars/notices issuedthereunder.BROKERAGE18. The Client shall pay to the stock broker brokerageand statutory levies as are prevailing from time to timeand as they apply to the Client’s account, transactionsand to the services that stock broker renders to theClient. The stock broker shall not charge brokeragemore than the maximum brokerage permissible as perthe rules, regulations and bye-laws of the relevantstock exchanges and/or rules and regulations of SEBI.LIQUIDATION AND CLOSE OUT OF POSITION19. Without prejudice to the stock broker's other rights(including the right to refer a matter to arbitration), theclient understands that the stock broker shall beentitled to liquidate/close out all or any of the client'spositions for non-payment of margins or otheramounts, outstanding debts, etc. and adjust theproceeds of such liquidation/close out, if any, againstthe client's liabilities/obligations. Any and all losses andfinancial charges on account of suchliquidation/closing-out shall be charged to and borneby the client.20. In the event of death or insolvency of the client orhis/its otherwise becoming incapable of receiving andpaying for or delivering or transferring securities whichthe client has ordered to be bought or sold, stock brokermay close out the transaction of the client and claimlosses, if any, against the estate of the client. The clientor his nominees, successors, heirs and assignee shallbe entitled to any surplus which may result there from.The client shall note that transfer of funds/securities infavor of a Nominee shall be valid discharge by the stockbroker against the legal heir.21. The stock broker shall bring to the notice of therelevant Exchange the information about default inpayment/delivery and related aspects by a client. Incase where defaulting client is a corporateentity/partnership/proprietary firm or any other artificiallegal 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 therelevant Exchange(s).DISPUTE RESOLUTION22. The stock broker shall provide the client with therelevant contact details of the concerned Exchangesand SEBI.23. The stock broker shall co-operate in redressinggrievances of the client in respect of all transactionsrouted through it and in removing objections for baddelivery of shares, rectification of bad delivery, etc.24. The client and the stock broker shall refer any claimsand/or disputes with respect to deposits, margin money,etc., to arbitration as per the Rules, Bye-Laws andRegulations of the Exchanges where the trade isexecuted and circulars/notices issued thereunder asmay be in force from time to time.25. The stock broker shall ensure faster settlement ofany arbitration proceedings arising out of thetransactions entered into between him vis-à-vis theclient and he shall be liable to implement the arbitrationawards made in such proceedings.26. The client/stock-broker understands that theinstructions issued by an authorized representative fordispute resolution, if any, of the client/stock-broker shallbe binding on the client/stock-broker in accordancewith the letter authorizing the said representative to dealon behalf of the said client/stock-broker.TERMINATION OF RELATIONSHIP27. This relationship between the stock broker and theclient shall be terminated; if the stock broker for any19
RIGHTS & OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS & CLIENTSreason ceases to be a member of the stock exchangeincluding cessation of membership by reason of thestock broker's default, death, resignation or expulsionor if the certificate is cancelled by the Board.28. The stock broker, sub-broker and the client shall beentitled to terminate the relationship between themwithout giving any reasons to the other party, aftergiving notice in writing of not less than one month to theother parties. Notwithstanding any such termination,all rights, liabilities and obligations of the parties arisingout of or in respect of transactions entered into prior tothe termination of this relationship shall continue tosubsist and vest in/be binding on the respective partiesor his/its respective heirs, executors, administrators,legal representatives or successors, as the case maybe.29. In the event of demise/insolvency of the sub-brokeror the cancellation of his/its registration with the Boardor/withdrawal of recognition of the sub-broker by thestock exchange and/or termination of the agreementwith the sub broker by the stock broker, for any reasonwhatsoever, the client shall be informed of suchtermination and the client shall be deemed to be thedirect client of the stock broker and all clauses in the‘Rights and Obligations’ document(s) governing thestock broker, sub-broker and client shall continue to bein force as it is, unless the client intimates the stockbroker his/its intention to terminate their relationship bygiving a notice in writing of not less than one month.ADDITIONAL RIGHTS AND OBLIGATIONS30. The stock broker shall ensure due protection to theclient regarding client’s rights to dividends, rights orbonus shares, etc. in respect of transactions routedthrough it and it shall not do anything which is likely toharm the interest of the client with whom and for whomthey may have had transactions in securities.31. The stock broker and client shall reconcile andsettle their accounts from time to time as per the Rules,Regulations, Bye-Laws, Circulars, Notices andGuidelines issued by SEBI and the relevant Exchangeswhere the trade is executed.32. The stock broker shall issue a contract note to hisconstituents for trades executed in such format as maybe prescribed by the Exchange from time to timecontaining records of all transactions including detailsof order number, trade number, trade time, trade price,trade quantity, details of the derivatives contract, clientcode, brokerage, all charges levied etc. and with allother relevant details as required therein to be filled inand issued in such manner and within such time asprescribed by the Exchange. The stock broker shallsend contract notes to the investors within one workingday of the execution of the trades in hard copy and/or inelectronic form using digital signature.33. The stock broker shall make pay out of funds ordelivery of securities, as the case may be, to the Clientwithin one working day of receipt of the payout from therelevant Exchange where the trade is executed unlessotherwise specified by the client and subject to suchterms and conditions as may be prescribed by therelevant Exchange from time to time where the trade isexecuted.34. The stock broker shall send a complete `Statementof Accounts’ for both funds and securities in respect ofeach of its clients in such periodicity and format withinsuch time, as may be prescribed by the relevantExchange, from time to time, where the trade isexecuted. The Statement shall also state that the clientshall report errors, if any, in the Statement within suchtime as may be prescribed by the relevant Exchangefrom time to time where the trade was executed, fromthe receipt thereof to the Stock broker.35. The stock broker shall send daily margin statementsto the clients. Daily Margin statement should include,inter-alia, details of collateral deposited, collateralutilized and collateral status (available balance/duefrom client) with break up in terms of cash, FixedDeposit Receipts (FDRs), Bank Guarantee andsecurities.36. The client shall ensure that it has the required legalcapacity to, and is authorized to, enter into therelationship with stock broker and is capable ofperforming his obligations and undertakings hereunder.All actions required to be taken to ensure compliance ofall the transactions, which the client may enter into shallbe completed by the client prior to such transactionbeing entered into.ELECTRONIC CONTRACT NOTES (ECN)37. In case, client opts to receive the contract note inelectronic form, he shall provide an appropriate e-mailid to the stock broker. The client shall communicate tothe stock broker any change in the email-id through aphysical letter. If the client has opted for internet trading,the request for change of email id may be made through20
Page 1: Application No.HCUCCDP Client No. 1
Page 4 and 5: INSTRUCTIONS FOR DEMAT ACCOUNTInstr
Page 6 and 7: DETAILS & CHECKLISTNJ INDIA INVEST
Page 8 and 9: ADDITIONAL DETAILS FOR OPENING DEMA
Page 10 and 11: ADDITIONAL DETAILS FOR OPENING TRAD
Page 12 and 13: COMMON DETAILS FOR OPENING TRADING
Page 14 and 15: ...................................
Page 16 and 17: TARIFFSHEETCapital MarketTransactio
Page 18 and 19: ANNEXURE ADetails of terms & condit
Page 20 and 21: ANNEXURE BDetails of terms & condit
Page 26 and 27: This document contains important in
Page 28 and 29: RISK DISCLOSURE DOCUMENTorders eith
Page 30 and 31: GUIDANCE NOTEDO's AND DON'Ts FOR TR
Page 32 and 33: MANDATORY DOCUMENTPOLICIES AND PROC
Page 34 and 35: VOLUNTARY DOCUMENT(CLIENT IS REQUES
Page 36 and 37: VOLUNTARY DOCUMENTmay be required b
Page 38 and 39: VOLUNTARY DOCUMENTDocument, stateme
Page 40 and 41: VOLUNTARY DECLARATIONAUTHORIZATION
Page 42 and 43: CLIENT DP AGREEMENTThis agreement i
Page 44 and 45: CLIENT DP AGREEMENT10. Service of n
Page 47 and 48: SMS ALERT FACILITYReference No.: __
Page 49 and 50: SMS ALERT FACILITYand its officials
Page 51: ANNEXURE DSr.No.Members Name Gender
Page 59: DEBIT CARD REGISTRATION REQUESTTo,N
Page 63: Bank Mandate - General Terms & Cond
Page 67 and 68: Bank Mandate - General Terms & Cond
Page 69: Call & Transact Specific Terms & Co

TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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