TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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RIGHTS & OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS & CLIENTSpassword.38. The stock broker shall ensure that all ECNs sentthrough the e-mail shall be digitally signed, encrypted,non-tamperable and in compliance with the provisionsof the IT Act, 2000. In case, ECN is sent throughe-mail as an attachment, the attached file shallalso be secured with the digital signature, encryptedand non-tamperable.39. The client shall note that non-receipt of bouncedmail notification by the stock broker shall amount todelivery of the contract note at the e-mail ID of the client.40. The stock broker shall retain ECN andacknowledgment of the e-mail in a soft andnon-tamperable form in the manner prescribed by theexchange in compliance with the provisions of the ITAct, 2000 and as per the extant rules/regulations/circulars/guidelines issued by SEBI/Stock Exchangesfrom time to time. The proof of delivery i.e., log reportgenerated by the system at the time of sending thecontract notes shall be maintained by the stock brokerfor the specified period under the extant regulations ofSEBI/stock exchanges. The log report shall provide thedetails of the contract notes that are not delivered tothe client/e-mails rejected or bounced back. The stockbroker shall take all possible steps to ensure receipt ofnotification of bounced mails by him at all times withinthe stipulated time period under the extant regulationsof SEBI/stock exchanges.41. The stock broker shall continue to send contractnotes in the physical mode to such clients who do notopt to receive the contract notes in the electronic form.Wherever the ECNs have not been delivered to theclient or has been rejected (bouncing of mails) by thee-mail ID of the client, the stock broker shall send aphysical contract note to the client within the stipulatedtime under the extant regulations of SEBI/stockexchanges and maintain the proof of delivery of suchphysical contract notes.42. In addition to the e-mail communication of theECNs to the client, the stock broker shallsimultaneously publish the ECN on his designatedwebsite, if any, in a secured way and enable relevantaccess to the clients and for this purpose, shall allot aunique user name and password to the client, with anoption to the client to save the contract noteelectronically and/or take a print out of the same.LAW AND JURISDICTION43. In addition to the specific rights set out in thisdocument, the stock broker, sub-broker and the clientshall be entitled to exercise any other rights, which thestock broker or the client may have under the Rules,Bye-Laws and Regulations of the Exchanges in whichthe client chooses to trade and circulars/notices issuedthereunder or Rules and Regulations of SEBI.44. The provisions of this document shall always besubject to Government notifications, any rules,regulations, guidelines and circulars/notices issued bySEBI and Rules, Regulations and Bye-Laws of therelevant stock exchanges, where the trade is executed,that may be in force from time to time.45. The stock broker and the client shall abide by anyaward passed by the Arbitrator(s) under the Arbitrationand Conciliation Act, 1996. However, there is also aprovision of appeal within the stock exchanges, if eitherparty is not satisfied with the arbitration award.46. Words and expressions which are used in thisdocument but which are not defined herein shall, unlessthe context otherwise requires, have the same meaningas assigned thereto in the Rules, Bye-Laws andRegulations and circulars/notices issued thereunder ofthe Exchanges/SEBI.47. All additional voluntary clauses/document addedby the stock broker should not be in contravention withrules/regulations/notices/circulars of Exchanges/SEBI.Any changes in such voluntary clauses/document(s)need to be preceded by a notice of 15 days. Anychanges in the rights and obligations which arespecified by Exchanges/SEBI shall also be brought tothe notice of the clients.48. If the rights and obligations of the parties hereto arealtered by virtue of change in Rules and regulations ofSEBI or Bye-Laws, Rules and Regulations of therelevant stock Exchanges where the trade is executed,such changes shall be deemed to have beenincorporated herein in modification of the rights andobligations of the parties mentioned in this document.22
RIGHTS & OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS & CLIENTSINTERNET & WIRELESS TECHNOLOGY BASED<strong>TRADING</strong> FACILITY PROVIDED BY STOCK BROKERS TO CLIENT(All the clauses mentioned in the ‘Rights and Obligations’ document(s) shall beapplicable. Additionally, the clauses mentioned herein shall also be applicable.)1. Stock broker is eligible for providing Internet basedtrading (IBT) and securities trading through the use ofwireless technology that shall include the use ofdevices such as mobile phone, laptop with data card,etc. which use Internet Protocol (IP). The stock brokershall comply with all requirements applicable tointernet based trading/securities trading using wirelesstechnology as may be specified by SEBI & theExchanges from time to time.2. The client is desirous of investing/trading insecurities and for this purpose, the client is desirous ofusing either the internet based trading facility or thefacility for securities trading through use of wirelesstechnology. The Stock broker shall provide the Stockbroker’s IBT Service to the Client, and the Client shallavail of the Stock broker’s IBT Service, on and subjectto SEBI/Exchanges Provisions and the terms andconditions specified on the Stock broker’s IBT WebSite provided that they are in line with the normsprescribed by Exchanges/SEBI.3. The stock broker shall bring to the notice of client thefeatures, risks, responsibilities, obligations andliabilities associated with securities trading throughwireless technology/internet/smart order routing or anyother technology should be brought to the notice of theclient by the stock broker.4. The stock broker shall make the client aware that theStock Broker’s IBT system itself generates the initialpassword and its password policy as stipulated in linewith norms prescribed by Exchanges/SEBI.5. The Client shall be responsible for keeping theUsername and Password confidential and secure andshall be solely responsible for all orders entered andtransactions done by any person whosoever throughthe Stock broker’s IBT System using the Client’sUsername and/or Password whether or not suchperson was authorized to do so. Also the client is awarethat authentication technologies and strict securitymeasures are required for the internettrading/securities trading through wireless technologythrough order routed system and undertakes to ensurethat the password of the client and/or his authorizedrepresentative are not revealed to any third partyincluding employees and dealers of the stock broker6. The Client shall immediately notify the Stock broker inwriting if he forgets his password, discovers securityflaw in Stock Broker’s IBT System, discovers/suspectsdiscrepancies/unauthorized access through hisusername/password/account with full details of suchunauthorized use, the date, the manner and thetransactions effected pursuant to such unauthorizeduse, etc.7. The Client is fully aware of and understands the risksassociated with availing of a service for routing ordersover the internet/securities trading through wirelesstechnology and Client shall be fully liable andresponsible for any and all acts done in the Client’susername/password in any manner whatsoever.8. The stock broker shall send the order/tradeconfirmation through email to the client at his request.The client is aware that the order/ trade confirmation isalso provided on the web portal. In case client is tradingusing wireless technology, the stock broker shall sendthe order/trade confirmation on the device of the client.9. The client is aware that trading over the internetinvolves 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 anyrepresentation or warranty that the Stock broker’s IBTService will be available to the Client at all times withoutany interruption.10. The Client shall not have any claim against theExchange or the Stock broker on account of anysuspension, interruption, non-availability ormalfunctioning of the Stock broker’s IBT System orService or the Exchange’s service or systems or nonexecutionof his orders due to any link/system failure atthe Client/Stock brokers/Exchange end for any reasonbeyond the control of the stock broker/Exchanges.23
Page 1: Application No.GUCCDP Client No. 12
Page 7 and 8: DETAILS & CHECKLISTNJ INDIA INVEST
Page 9 and 10: ADDITIONAL DETAILS FOR OPENING DEMA
Page 11 and 12: Depository Account DetailsBeneficia
Page 13 and 14: ADDITIONAL DETAILS FOR OPENING TRAD
Page 15 and 16: COMMON DETAILS FOR OPENING TRADING
Page 17 and 18: TARIFF SHEETMutual FundTransaction
Page 19 and 20: ANNEXURE ABSESTARMF(Letter to be pr
Page 21 and 22: ANNEXURE BMUTUAL FUND SERVICE SYSTE
Page 23 and 24: RIGHTS & OBLIGATIONS OF STOCK BROKE
Page 25: RIGHTS & OBLIGATIONS OF STOCK BROKE
Page 29 and 30: RISK DISCLOSURE DOCUMENTliquidity,
Page 31 and 32: RISK DISCLOSURE DOCUMENTexpires. An
Page 33 and 34: GUIDANCE NOTEobligations for next 5
Page 35 and 36: MANDATORY DOCUMENTIn case of defaul
Page 37 and 38: VOLUNTARY DOCUMENT(CLIENT IS REQUES
Page 39 and 40: VOLUNTARY DOCUMENTincurred, suffere
Page 41 and 42: VOLUNTARY DOCUMENTThe client has pe
Page 43 and 44: VOLUNTARY DOCUMENTcase of a claim,
Page 45 and 46: LIQUIDATION OF SECURITIESTo,NJ Indi
Page 47 and 48: CLIENT DP AGREEMENTinterest on the
Page 49: OPTION FORM FOR ISSUE OF DIS BOOKLE
Page 52 and 53: SMS ALERT FACILITYonly if the mobil
Page 54 and 55: SCHEDULE OF CHARGESDP ID : 12064200
Page 57: SPECIMEN SIGNATURE CARDBO ID 1 2 0
Page 65: Regd. Office: Floor 25,BANK MANDATE
Page 69: BANK MANDATEElectronic Clearing Ser
Page 72 and 73: SIP Specific Terms & Conditions1. T
Page 76:
Head Office: NJ India Invest Pvt. L
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TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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