TRADING & DEMAT ACCOUNT OPENING FORM - NJ PMS

VOLUNTARY DOCUMENTby the bye-laws and regulations of BSE/NSE and thescheme of the Investors' Protection Fund in force fromtime to time.1.3 Any dispute with the member, with respect todeposits, margin money, etc., and producing anappropriate proof thereof, shall be subject to arbitrationas per the rules, bye- laws/regulations of BSE/NSE orits Clearing Corporation/Clearing House.2. Before you begin to trade, you should obtain a clearidea from your member of all brokerage, commissions,fees and other charges which will be levied on you fortrading. These charges will affect your net cash inflowor outflow.3. You should exercise due diligence and comply withthe following requirements of the BSE/NSE and/orSEBI:3.1 Please deal only with and through SEBI registeredmembers of the Stock Exchange who are enabled totrade on the Exchange. All SEBI registered membersare given a registration number, which may be verifiedfrom SEBI. The details of all members of BSE/NSE andwhether they are enabled to trade may be verified fromBSE/NSE on their website www.bseindia.com/www.nseindia.com.3.2 Demand any such information, details anddocuments from the member, for the purpose ofverification, as you may find it necessary to satisfyyourself about his credentials.3.3 Furnish all such details in full as are required by themember as required in "Know Your Client" form, whichmay also include details of PAN or Passport or DrivingLicense or Voters Id, or Ration Card, bank account anddepository account. or any such details mademandatory by SEBI/BSE/NSE at any time, as isavailable with the investor.3.4 Give any order for buying or selling of a security inwriting or in such form or manner, as may be mutuallyagreed. Giving instructions in writing ensures that youhave proof of your intent, in case of disputes with themember.3.5 In case you do not receive a contract note on thenext working day or at a mutually agreed time, pleaseget in touch with the Investors Grievance Cell ofBSE/NSE, without delaying.3.6 Facility of Trade Verification is available onBSE/NSE website www.bseindia.com/www.nseindia.com. Where details of trade asmentioned in the contract note maybe verified from thetrade date up to five trading days. Where trade detailson the website, do not tally with the details mentioned inthe contract note, immediately get in touch with theInvestors Grievance Cell of BSE/NSE.3.7 Payments should be made only by account payeecheque in favour of the firm/company of the tradingmember and a receipt or acknowledgment towardswhat such payment is made be obtained from themember. Delivery of securities is made to the poolaccount of the member rather than to the beneficiaryaccount of the member.3.8 In case pay-out of money and/or securities is notreceived in the next working day after date of pay-outannounced by BSE/NSE or its Clearing Corporation /Clearing House, please follow-up with the concernedmember for its release. In case pay-out is not releasedas above from the member within five working days,ensure that you lodge a complaint immediately with theInvestors' Grievance Cell of BSE/NSE.3.9 In case of a complaint against a member/registered sub-broker, you should address thecomplaint to the Office as may be specified byBSE/NSE from time to time.4. In case where a member surrenders hismembership, BSE/NSE gives a public notice invitingclaims, if any, from investors. In case of a claim, relatingto "transactions executed on the trading system" ofBSE/NSE, ensure that you lodge a claim with BSE/NSEClearing House within the stipulated period and withthe supporting documents.5. In case where a member is expelled from tradingmembership or declared a defaulter, BSE/NSE gives apublic notice inviting claims, if any, from investors. In38