TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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VOLUNTARY DOCUMENThaving regard:i. To the volatility in the market;ii. In view of impending price sensitiveannouncements;iii. Any restrictions in relation to volume of trading/outstanding business/margins stipulated by theexchange/stock broker, political instability in thecountry etc;iv. Presence of any other price sensitive factors;v. Failure by the client to maintain the applicablecollateral/margin; and/orvi. Delays by the client in meeting his/her/its obligation/dues relating to the business/dealings done under thisagreement our pursuant to any other agreement/arrangement between the client and the stock broker.23. Representations and warrantiesa) I/We agree that I/We have the required legalcapacity and avail the services and am/are capable ofperforming my/our obligations and undertakingspursuant to KYC form submission and allotment ofclient code by the stock broker/ NJII. Also I/We herebywarrant that the terms of the presents are not incontravention of any rights of any party with whom I/Wehave any arrangements, at any time during and prior tothe execution of this agreement with stock broker/NJII.b) All actions required to be taken to ensurecompliance of all the transactions, which, I/We as yourclient, may enter into pursuant to this agreement with allapplicable laws, shall be completed by me/us prior tosuch transaction being entered into.c) Any instructions given by my/our authorisedrepresentative to you - the stock broker or to stockbroker's representative, shall be binding on me/us.d) I/We specifically agree and confirm that though theagreement has been divided into sections governingtransactions in various segments/ services, theagreement shall be binding on the parties in its entirety.Entering into this agreement governing transactions inmultiple segments/services shall not be a reason fordisputing any transaction or account of client with thestock broker/NJII.e) I/We agree to provide and continue to provide alldetails about me/us as may be required by the stockbroker/NJII including but not restricted to PAN Numberor Unique Identification Number (issued by SEBI) andstates that all details and facts represented to the stockbroker/NJII are true.f) I/We represent and warrant to the stock broker/ NJIIthat all the information provided and statements madein the clients account application are true and correctand are not misleading (whether by reason of omissionto state a material factor otherwise) and I am/we areaware that the stock broker/ NJII has agreed to providethe stock broker's/ NJII service to me/ us as a client onthe basis interalia, of the statements made in client'saccount application.I/We hereby give this declaration without any coercion,with sound mind and voluntarily to you, which shall be apart of my Client Registration Form and Member ClientAgreement executed on the dates mentioned therein.I/We hereby confirm and declare that the details/information and documents/proofs submitted/provided towards KYC Documents or otherwise are full,accurate as well as true and correct to the best ofmy/our knowledge and belief and nothing has beenconcealed therein. In case any information/ detailsfound to be false/untrue/misleading/ misrepresenting, Iam/We are aware that I/We may be held liable for it.I am/We are aware that the aforesaid consents arepurely voluntary and have been given to you forsmoother operations of my/our client account with youas our broker. Further, these standing instructions arevalid from the date the client/ trading account is openedwith you and will be valid and operational until revokedby me/us by giving notice in writing to your complianceofficer only. Any entries/ transactions and acts, deeds,things etc. carried out by broker in accordance with thisauthorization shall be binding on me/us.TERMS AND CONDITIONS OF THE ELECTRONICDOCUMENT:36
VOLUNTARY DOCUMENTThe client has permitted the member brokers to provideElectronic Contract Notes - ECN (Here & after referredto as Electronic Document) authenticated by themeans of digital signature in substitute of PhysicalContract Notes.Also the statement of accounts, the DP statement, theSecurities and Fund statement etc. shall be sentthrough e-mail in electronic mode which also includesthe quarter/half year statement (Here & after referred asElectronic Document).However the member brokers may at their discretion,continue to issue documents in physical form instead ofelectronic document with or without levying charges forthe same.Now, therefore, in the consideration of the memberbrokers having agreed to provide Electronic Documentthrough e-mail, both the parties to the agreementhereby agree to the following terms:1. The client shall access and review the ElectronicDocument, statements, notices, and othercommunications including but not limited to the marginand maintenance call. All information contained thereinshall be binding on the client, if the client does notobject, either in writing or via e-mail, within 24 hourssuch documents are available to the client.2. The client will be required to save/print/ downloadthe electronic document for archiving and delete the e-mails from his/her account on a regular basis so as tokeep sufficient space in the e-mail account to continuereceiving Electronic Document from the memberbroker.3. Should the client experience any difficulty opening adocument electronically delivered by the memberbroker, the member broker may make the requireddelivery by any other electronic means (e-mail,electronic attachment, or in the form of an availabledownload from the back office website) or in a paperbased format. Failure to advise the member broker ofsuch difficulty within 24 hours after delivery shall bedeemed as on affirmation that client was able to receiveand open the said document.4. In case when the member broker is not able toprovide the Electronic document to its client throughinternet due to any unforeseen problem, the memberbroker will ensure that the Electronic documentreaches in physical form as per the time schedulestipulated in the bye laws rules and regulations of theexchange as the case may be applicable.5. The client shall take all necessary steps to ensureconfidentiality and secrecy of the login name &password. Unless the client lodges a complaint with themember broker as to his inability to access the system,it would be presumed that Electronic Documentdeemed to be delivered.6. The member broker and the client hereby agrees toabide by the amendment in Electronic Document fromtime to time if required, for complying with any statute,regulation or with the requirements of any othercompetent authority.7. The client agrees that the member broker fulfills itsobligation to deliver to clients any such document ifsent via electronic delivery.8. In no case member broker shall be responsible forany failure on part of mail service provider.The above terms and conditions are in addition to, andnot in contravention of the terms and conditionsforming part of rights and obligation of stock brokers,sub-brokers and clients as prescribed by SEBI andStock Exchanges.INVESTORS' RIGHTS AND OBLIGATIONS1. You should familiarize yourself with the protectionaccorded to the money or other property you maydeposit with your member, particularly in the event of adefault in the stock market or the broking firm'sinsolvency or bankruptcy.1.1 Please ensure that you have a documentary proofof your having made deposit of such money or propertywith the member, stating towards which account suchmoney or property deposited.1.2 Further, it may be noted that the extent to which youmay recover such money or property may be governed37
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 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: VOLUNTARY DOCUMENTincurred, suffere
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

TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

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