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Trading Account Opening Form: Mandatory Documents Document Significance Page Number
Trading Account Opening Form: Mandatory Documents Document Significance Page Number
Trading Account Opening Form: Mandatory Documents Document Significance Page Number
TABLE OF CONTENTS
MANDATORY DOCUMENTS
SIGNIFICANCE
DOCUMENT
Account Opening Form
PAGE NUMBER
a)
Tariff Sheet
Acknowledgement letter
4-7
8
9
OPTIONAL DOCUMENTS
Authorization of running
account / request letter
Internet based Trading
10
11
Enclose Cancelled cheque leaf to map your primary / Secondary bank account. Cheque leaf should carry the IFSC Code of
your bank and Your Name. If not, provide last 1 month bank statement.
Enclose Account Opening coupon or write the coupon code on top of page 4
CEO DETAILS
S K Hozefa
Ph: +91-44-39189449
ceo@naviamarkets.com
For any grievance / dispute, please contact Navia Markets Ltd at the above address and / or email id: support@tradeplusoneline.com and Phone No:
+91-44-28214171. In case not satisfied with the response, please contact the concerned exchange(s) at National Stock Exchange of India Ltd at
(ignse@nseindia.com and Phone No.: +91-22-2659 8190) and Bombay Stock Exchange Ltd at (is@bseindia.com and Phone No.: +91-22-2272 8097)
Page
Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ / Driving license.
2.
Identity card/document with applicants photo issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,
to their Members; and Credit cards/Debit cards issued by Banks.
SECTION C
PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSIBLE AS PROOF OF ADDRESS
Note: Documents having an expiry date should be valid on the date of submission
1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat
Maintenance bill/ Insurance Copy.
3.
Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3 months old.
3.
4.
Self declaration by High Court and Supreme Court Judges, giving the new address in respect of their own accounts.
5.
Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled CoOperative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/elected representatives to the
Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
6.
Identity card/document with address, issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council
etc., to their Members.
7.
For FII/Sub account, Power of Attorney given by FII / Sub-Account to the Custodians (which are duly notarized and /or
apostiled or consularised) that gives the registered address should be taken.
The proof of address in the name of the spouse may be accepted.
8.
Page
2.
SECTION D
1.
2.
Investors residing in the State of Sikkim (subject to the continued exemption granted by Government).
3.
UN Entities/Multiateral agencies exempted from paying taxes / filing tax returns in India.
4.
5.
In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial
Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under
section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of
such verified PAN details to the intermediary.
SECTION E
LIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational
Foreign Banks (Name, Designation & Seal should be affixed on the copy).
In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India,
Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client
resides are permitted to attest the documents.
SECTION F
ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENT ANY ONE
2.
In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client
from time to time. (All documents should be self attested by the client)
1.
2.
3.
4.
5.
6.
7.
8.
Proof of Bank account Number of the constituent: Copy of cancelled cheque or Bank Pass Book or Bank
Statement not later than last three months. Please ensure the name of the constituent, MICR Code and IFSC
Code of the bank available in the proof
2. DP Client Master or Recent Holding Statement issued by DP bearing Name of the client in the statement
SECTION H
KRA REGISTRATION
If you have already processed your identity using a KYC System with any broker, depository participant or other registered
intermediary in India, you are exempted from the following :
a)
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Please ensure that your address and identity detail which was registered by the intermediary is up to date. If you feel that
it may be incorrect, or you have updated your address in the last 12 months, please provide the above proofs to ensure
that your account is opened on time. You can check if you are in the KRA System by visiting and entering your PAN
number.
SECTON A
NAME OF THE APPLICANT
(as per PAN CARD / Proof of ID)
IDENTITY DETAILS
MALE
FEMALE
MARITAL STATUS
SINGLE
MARRIED
RESIDENT INDIVIDUAL
NON-RESIDENT
FOREIGN NATIONAL (Passport copy Mandatory)
NATIONALITY
PINCODE
Tel (off)
Tel (Res)
ADDRESS DETAILS
STATE
COUNTRY
Mobile No.
Fax No.
PINCODE
STATE
COUNTRY
Page
__________________________________
X SIGNATURE OF THE APPLICANT (2/9)
SECTION A
PRIMARY BANK NAME
BRANCH ADDRESS
BANK ACCOUNT NO.
ACCOUNT TYPE
SAVINGS
MICR NUMBER :
SAVINGS
MICR NUMBER :
SECTION B
DEPOSITORY PARTICIPANT NAME
DEPOSITORY NAME (NSDL / CDSL):
BENEFICIARY NAME:
SECTION C
GROSS ANNUAL INCOME DETAILS
(please specify) or
Net-worth as on (date) _________________
OCCUPATION
(please tick any one and give brief details)
AFFILIATION (Please tick as applicable)
SECTION D
CURRENT
IFSC CODE :
CURRENT
OTHERS Incase of NRI/NRE/NRO
IFSC CODE :
DEPOSITY ACCOUNT(S) DETAILS
DP ID:
BENEFICIARY ID (BO ID)
OTHER DETAILS
BelowRs.1 Lac
Rs.1 5 Lac
Rs.5 10 Lac
Rs.10 25 Lac
> Rs.25 Lac (Income Range per annum)
Rs.
(should not be older than 1 year)
Private Sector
Public Sector
Government Service
Business
Professional
Agriculturist
Retired
House Wife
Student
Others (Specify) _______________
Politically Exposed Person (PEP)
Related to Politically Exposed Person(PEP)
TRADING PREFERENCES
Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client. If in future, the client wants
to trade on any new segment/new exchange, separate authorization/letter should be taken from the client by the stock broker.
EXCHANGES
1
National Stock
Exchange of India
Ltd (NSE)
Bombay Stock
Exchange of India
Ltd (BSE)
SECTION E
SEGMENTS
CM Segment (Equity)
Sign (3a/9)
Sign (3b/9)
Sign(3c/9)
Sign(3d/9)
CM Segment (Equity)
Sign (3e/9)
Sign(3f/9)
PAST ACTIONS
Page
Details of 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:
SECTION F
Sub-Broker Name
Phone No.
Fax
Website:
Whether dealing with any other stock broker / Sub-Broker (if case dealing with multiple stock brokers / sub-brokers, provide details of all)
Name of Stock Broker
Name of Sub-Broker
Exchange
SECTION G
Client Code:
Email ID:
2.
3.
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 change therein, immediately. In case any of the 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 confirm having read/been explained and understood the contents of the document on Policy and Procedures of the Stock Broker and the tariff
sheet.
I further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document. I do hereby
agree to be bound by such provisions as outlined in these documents. I have also been informed that the standard set of documents has been displayed
for Information on stock brokers designated website, if any.
___________________________
X SIGNATURE OF CLIENT (4/9)
1.
SECONDARY WITNESS
Name
Signature
Address
DECLARATION
Page
Name
Signature
Address
Client Interviewed by
In-Person
Verification done by
Date
We undertake that we have made the client aware of Policy and Procedure, tariff sheet and all the non-mandatory documents. We
have also made the client aware of Rights and Obligations document (s), RDD, and Guidance Note. We have given/sent him a
copy of all the KYC documents. We undertake that any change in the Policy and Procedure, tariff sheet and all the non-mandatory
documents would be duly intimated to the clients. We also undertake that any change in the Rights and Obligations and RDD
would be made available on our website, if any, for the information of the clients.
For Navia Markets Limited
Authorised Signatory
Page
TARIFF SHEET
NSE & BSE - Equity Segment: Delivery Resident Client
Non Resident Client
Intraday Resident Client
Stamp Duty
Education and Higher Education Cess
Electronic Contract Notes (ECN) is free. Physical Contract Note copies are charged at Rs.50/- per contract note.
Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the subscription
management portal.
Depository Participant charges as per Rate card of DP.
Auction/Closed Out process as per Policy and Procedures. Penalty charges on Auction / Closed out 1% on the value.
Delayed Payment Charges 24% p.a. Monthly basis will be charged.
Cheque Bounce Charges 1% of cheque value subject to minimum of Rs.250/- and maximum of Rs.1000/Modification Charges Rs.100/- for every address details modification including bank updates etc.
Terms and conditions can be subject to change.
The terms and conditions of the Navia Markets Ltd plans have been read and understood by me. I wish to avail the plans provided
by Navia Markets Ltd for my trading account subject to the terms and conditions mentioned above.
I declare that I have read and understood the terms and conditions governing the Navia Markets Ltd TRADEPLUS INFINITY PLAN and
shall agree and abide by the same.
CLIENTS NAME
CLIENTS SIGNATURE X (5/9)
Page
DATE (DD/MM/YYYY)
ACKNOWLEDGEMENT
To,
Navia Markets Ltd
th
th
Ganga Griha, 4 & 5 Floor,
No.9, Nungambakkam High Road,
Chennai 600 034.
Dear Sir / Madam,
I hereby acknowledge receipt of the following documents:
1.
2.
3.
4.
5.
6.
7.
8.
I understand that the voluntary documents executed by me are out of my own free will. I hereby confirm that I have clearly
understood and agree to abide by the Terms and Conditions described by Navia Markets Ltd. I also understand that these Terms
and Conditions can be changed by Navia Markets Ltd from time to time with prior notice of 7 days and subject to posting of the
amendments and modifications therein on its website and their applicability with prospective effect.
I state that I have read and understood all above documents including the Terms and Conditions governing broking services of Navia
Markets Ltd and agree to abide by the same.
Yours faithfully,
CLIENTS NAME
DATE : (DD / MM / YYYY)
CLIENTS SIGNATURE (6/9) X
Preference 2: _________________________
Page
3. Preference 3: _________________________
Note:
The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers have
pricing. For more details on fancy numbers and pricing please visit www.tradeplusonline.com/fancy If all the 3 preference numbers are
not available/used then we reserve the right to allot a number of our choice. If you have chosen a fancy number but have not purchased
the same, then we will allot a number of our choice.
CLIENT CODE:
(UCC)
DATE : (DD / MM / YYYY)
Page
10
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. a dditionally, 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 brokers IBT Service to the Client, and the Client shall avail of the Stock brokers IBT Service, on
and subject to SEBI/Exchanges Provisions and the terms and conditions specified on the Stock brokers 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 Brokers 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 brokers IBT
System using the Clients 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
Brokers
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 Clients 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 brokers 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 brokers IBT System or Service or the Exchanges
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.
11
Page
CLIENTS
NAME
CLIENTS
SIGNATURE
(9/9) X