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IIFL Securities Limited

Account Opening Form (Individual) for Broking & Depository Services.


Customer Service Desk: (022) 40071000 | cs@indiainfoline.com
Channel : CAT-NONOI | Sr. No. : | Lead ID : 2543273000694172486

IIFL Securities Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate ,
Thane 400 604 • Tel: (91-22) 3929 4000/ 4103 5000 • Fax: (91-22) 2580 6654

Sibichen Philip User ID. SIBICHEP


INDEX OF DOCUMENTS

SECTION-A - MANDATORY DOCUMENTS SECTION-B - VOLUNTARY DOCUMENTS

AS PRESCRIBED BY SEBI AND EXCHANGES AS PROVIDED BY STOCK BROKER/ DEPOSITORY PARTICIPANT

Account Opening Form {Pg 1-11} Terms & Conditions cum Registration form for receiving
1. Part I - KYC form - Document captures the basic information about SMS Alerts from Depository {Incuded in client copy}
the constituent and an instruction / checklist. 1. Terms and Conditions-cum-registration / Modification form for
2. Part II - Document captures the additional information about the receiving SMS Alerts from CDSL/NSDL
constituent relevant to trading account and an instruction/check
list. For Distribution of Securities {Incuded in client copy}
3. Nomination Form for appointing a nominee to the client’s
1. Terms & Conditions for Distribution of Securities
account.
4. Client Declaration
Mutual Fund Trading Services {Incuded in client copy}
Tariff sheet {Pg 12} 1. Terms and Conditions for availing Mutual Fund Service System
(MFSS) facility and BSE StAR MUTUAL FUND offered by NSE and
1. Document detailing the rate/amount of brokerage and other BSE respectively
charges levied on the client for trading and demat account on the SIP in Mutual Fund & Security {Incuded in client copy}
stock exchange(s)/ depository.
Rights & Obligations of Stock Brokers, Sub-Broker 1. Terms and Conditions for availing systematice investment plan
& Clients {Incuded in client copy} in Mutual Fund and securities.
1. Document stating the Rights & Obligations of stock broker / Authorisation Letter {Pg 13-16}
trading member , sub-broker and client for trading on exchanges
(including additional rights & obligations in case of internet / A. Availing Mutual Fund Service System (MFSS) facility/ BSE StAR
wireless technology based trading). MUTUAL FUND (hereinafter jointly referred to “Mutual Fund
Transaction Facilities”)
Rights & Obligations of Beneficial Owner B. Authorization for Systematic Investment in Mutual Fund /
& Depository Participant {Incuded in client copy} Securities
1. Rights and Obligations of Beneficial Owner and Depository C. Running Account Authorisation
Participant as prescribed by SEBI and Depositories. D. Authorisation for Receipt of Contract Notes and Other
documents in Digital Mode
Risk Disclosure Document (RDD) {Incuded in client copy} E. Authorisation for Online Trading Software Password
1. Document detailing do’s and don’ts for trading on exchange, for Power of Attorney {Pg 19-22}
the education of the investors.
Guidance note {Incuded in client copy} 1. Voluntary and Limited purpose POA in favour of Broker for
operational requirements as per client athorization/instruction.
1. Document detailing risks associated with dealing in the securities a POA in favour of IIFL.
market.
Policies and Procedures {Incuded in client copy} PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING
TO ITS CONTENTS AND ENSURE ALL THE DETAILS PROVIDED
1. Documents describing significant policies and procedures of IIFL
ARE CORRECT.
related to Trading Account of the client.

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
Version :1 1
User Id.: SIBICHEP
PART-I- KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR INDIVIDUAL - 1st / Sole Holder
A. IDENTITY DETAILS (Please read instructions)
1. Name (As appearing in supporting Identification document)
Sibichen Philip
Maiden Name :
Father/ Husband : PHILIP JOSEPH
Mother Name : Mrs ALEYAMMA PHILIP
(a) Gender : Male (b) Marital Status : Married (c) Date of Birth : 18/01/1969
3. Nationality : INDIAN 4. Status : Resident
5. (a) PAN No : CQXPP5135Q (b) Aadhar No :
6. Proof of identity : Copy of PAN CARD
B. ADDRESS DETAILS (Please read instructions)
1. Resident / Correspondance Address 3. Permanent Address of Resident Applicant if different from
B.1. Overseas address (Mandatory) for Non-resident Applicant
PHILIP, OOROTH, THANKAMONY PART, IDUKKI
THODUPUZHA, KERALA, INDIA, 685602,GSTN:N PHILIP, OOROTH, THANKAMONY PART, IDUKKI,
THODUPUZHA, KERALA, INDIA,685602

2. Proof of Resident Address provided by Applicant. 4. Proof of Permanent Address provided by Applicant.

Address Proof UID / AADHAAR Address Proof UID / AADHAAR


Document No 672692380655 Document No 672692380655
Place of Issue THODUPUZHA Place of Issue THODUPUZHA
Date of Issue 2013-12-10 Date of Issue 2013-12-10
Date of Expiry 2049-12-31 Date of Expiry 2049-12-31

Issuing Authority GOI Issuing Authority GOI

5. Contact Details: Mobile No : 91-9645464364 E-mail ID : SIBICHENPHILIP@GMAIL.COM

DECLARATION
I hereby declare that the details furnished above including email and mobile no. are
true and correct to the best of my knowledge and belief and I undertake to inform you
of any changes 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.

Place : Date : SIGNATURE OF APPLICANT

FOR OFFICE USE ONLY IPV Done On 18/02/2019

IIFL Securities Limited Staff name Akshay Maruti Naik Staff Akshay Maruti Naik
name
Code : C160847 Designation RM - E Sales
Designation RM - E Sales
(Original Verified) Self certifed Documents Signature
copies received.
Signature
and Date
(Attested) True copies of Document recived. and Date 18/02/2019

Signed by: SIBICHEN PHILIP


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PART II - ACCOUNT OPENING FORM
A. ADDITIONAL INFORMATION TRADING ACCOUNT(Please fill this form in English and in BLOCK LETTERS)
1. TRADING PREFERENCE
STOCK EXCHANGE(S) & SEGMENT ON WHICH YOU WISH TO TRADE:
(Please sign in the relevant boxes where you wish to trade. The Segment not chosen should be struck off by you.)

Name of Segment / Exchange NSE BSE MCX NCDEX


Capital Market Segment Y Y N.A N.A
Futures and Options NA NA N.A N.A
Currency Derivatives NA NA N.A N.A
Debt Y Y N.A N.A
MFSS /BSE StAR Y Y N.A N.A
Commodity Futures & Options N.A N.A Y Y
If in future, you want to trade on any new segment/new exchange, separate authorisation letter should be submitted to
IIFL

2. PROOF OF FINANCIAL DETAILS(MANDATORY IN CASE OF DERIVATIVES/CURRENCY)

3. PAST ACTIONS
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:

Particular Name of Authority Month and Year of Action

4. COMTRACK ACCOUNT DETAILS :


CP Name & Address :

CP ID :
CMS (E) ID :
CMS (P) ID :

5. COMRIS ACCOUNT DETAILS :


Comris Name & Address :

ComRIS ID :

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
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User Id.: SIBICHEP
6. DEALINGS THROUGH SUB-BROKERS/ AP AND OTHER STOCK BROKERS
If client is dealing through the sub-broker, provide the following details:
Sub Broker's/AP Name and Code :
Registered office address :

SEBI/AP Registration number : Tel No. :


Website :
Authorised Person’s Code :
Name :
Address :

Whether dealing with any other stock broker/sub-broker/AP (if case dealing with multiple stock brokers/sub-
brokers/AP, provide details of all :
Name of stock broker :
Name of Sub-Broker/AP, if any :
Client Code : Exchange :
Details of disputes/dues pending from/to such stock broker/sub- broker :

7. DEPOSITORY ACCOUNT DETAILS (APPLICABLE IN CASE OF NON - IIFL DEMAT ACCONTS


Depository Participant :
Name and Address :
Depository Name : CDSL
DP ID : BO Account Number :
Benefciary Name :
Note : IIFL Demat Account will be default Demat Account for securities pay out.

8. ADDITIONAL DETAILS

Gross Annual Income / Networth Details

a) Income Range per Annum/Networth 100001-500000


Whether you wish to receive : I wish to receive Electronic Contract Note (ECN)
Specify your Email id, : SIBICHENPHILIP@GMAIL.COM
if applicable : Yes I wish to avail the facility of internet trading/wireless technology
Experience : Number of years of Investment/Trading Experience : 0
Any other information :

Signature

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B. COMMON DETAILS FOR BOTH TRADING & DEMAT ACCOUNT
1. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT)
Bank Details
SOUTH INDIAN BANK Bank A/c No. : 0330053000011981
ADOOR BRANCH,NUASS BUILDING,CENTRAL TOLL JUNCTION ,ADOOR
, PATHANAMTHITTA , KERALA, PIN-691523 A/c Type : SAVING
ADOOR, KERALA, INDIA Pin Code : 691523 IFSC Code : SIBL0000330
MICR Code : 691059001

C. ADDITIONAL INFORMATION FOR DEMAT ACCOUNT (Please fill this form in ENGLISH and in BLOCK LETTERS)
CDSL DP ID: 12044700 Client ID (To be flled by IIFL) :
1. DEPOSITORY SERVICE
I/We wish to open Depository Account with CDSL (CDSL:12044700 as per the following details: )
Type of Account : Ordinary Resident

2. DETAILS OF ACCOUNT HOLDER(S)


Sole/First Holder Second Holder Third Holder
Client Name Sibichen Philip Not Applicable Not Applicable
PAN CQXPP5135Q Not Applicable Not Applicable
Occupation Private Sector Not Applicable Not Applicable
SIGNATURE Not Applicable Not Applicable

3. Guardian Details (where sole holder is a minor):


[For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for
the minor (to be signed by guardian)]

Guardian Name

PAN
Relationship of guardian with minor

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Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
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Date: 2019-02-18 10:19:58 IST
User Id.: SIBICHEP

4. STANDING INSTRUCTIONS (FOR DEMAT ACCOUNT)


a. I/We authorise you to receive credits automaticaly into my/our account - þ Yes ¨ No
b. Do you wish to receive dividend/interest directly to your bank account given herein through ECS? þYes ¨No
c. Account to be operated through Power of Attorney (PoA) - þYes ¨No
d. I/We do not require the Delivery Instruction Slip (DIS) for the time being, since I/We have issued Power
of Attorney in favour of IIFL Securities Limited for executing delivery instructions for settling
transactions executed through IIFL Securities Limited However, the DIS booklet should be issued to
me/us immediately on my/our request at any later date. þYes ¨No
e. SMS ALERT FACILITY : þYes ¨No Mobile Number : 91-9645464364 (Mandatory if you are giving Power Of Attorney
(POA). Ensure that the mobile number is provided in the KYC application form.)
f. I / We would like to instruct the DP to accept all the pledge instructions in my /our account without
any other further instruction from my/our end (If not marked, the default option would be ‘No’) þYes ¨No
g. I / We request you to send Electronic Transaction-cum-Holding Statement at the email ID þYes ¨No
h. I / We would like to share the email ID with the RTA þYes ¨No
i. I/We with to receive/Dividend/interest directly in to my bank account as given below through ECS (if not lt marked, the
default option would be "yes") þYes ¨No
(ECS is mandatory for location notified by SEBI from time to time)
j. I/We would like to maintain running account authorisation with IIFL Securities Ltd. þYes ¨No
k. I/We like to avail internet trading facility.þYes ¨No
If yes, please contact your DP for details
l. easi facili ty [Facility through CDSL’s website: www.cdslindia.com wherein a BO can view his
ISIN balances, transactions and value of the portfolio online.] þYes ¨No
m. Account Statement Requirement: ¨As per SEBI Regulations ¨Daily ¨Weekly ¨Fortnightly þMonthly
n. Whether you wish to receive: ¨Physical contract note þElectronic Contract Note
o. I/We would like to receive Annual Report in ¨Physical þElectronic ¨Both
p. I/We would like to receive Statment of Account / Holding Statment /
Daily Margin Statment / All Other Statement ¨Physical þElectronic
q. Funds & Securities settlement frequency ¨Quarterly þMonthly
r. I/We would like to receive Client Copy in¨Physical þElectronic
s. I/We wish to receive following documents in ¨Physical þElectronic
• Rights and Obligations of Stock Rights and Obligations of Stock Brokers, Sub-Broker / AP / APs and Clients as prescribed
by SEBI and Exchanges
• Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories
• Risk disclosure Document for Capital, currency, Stock and Commodity Derivatives Segment
• Guidance Note-Do’s and Don’ts for Trading on the Exchange (s) for Investors
• Policies and Procedures applicable to clients.

6
Signed by: SIBICHEN PHILIP Version :1
Reason: Account Opening Doc by IIFL
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User Id.: SIBICHEP
DECLARATION
1. I/We hereby declare that the details furnished above are I/We shall keep myself updated of the same.
true and correct to the best of my/our knowledge and belief 4. The rules and regulations of the Depository and Depository
and I/we undertake to inform you of any changes therein, Participants pertaining to an account which are in force now
immediately. In case any of the above information is found to have been read by me/us and I/we have understood the same
be false or untrue or misleading or misrepresenting, I am/we and I/we agree to abide by and to be bound by the rules as are
are aware that I/we may be held liable for it. in force from time to time for such account.
2. I/We confirm having received a copy of the following 5. In case non resident account, I/We also declare that I/We
documents and further confirm having read and understood have complied and will continue to comply withFEMA
the contents of these documents:- regulation. I have informed the Bank that I will be trading
• Rights and Obligations of Stock Rights and Obligations of through IIFL Securities Limited (IIFL) and tohonor all relevant
Stock Brokers, Sub-Brokers and Clients as prescribed by SEBI requests. If Bank has not mapped or Tagged IIFL Securities
and Stock Exchanges Limited (IIFL) as my registered broker, IIFL will not be
• Rights and Obligations of Beneficial Owner and Depository responsible for any defaults thereof.
Participant as prescribed by SEBI and Depositories 6. I/hereby consent to receive information from central KYC
• Risk disclosure Document for Capital and Derivatives Registry through SMS/Email on the registerednumber / email
Segment address.
• Guidance Note-Do’s and Don’ts for Trading on the 7. I/We the undersigned, have taken cognizance of circulars
Exchange (s) for Investors issued by SEBI / Commodity Exchanges from time to time on
• Policies and Procedures applicable to clients. the guidelines for calculation of net open positions permitted
I/We do hereby agree to be bound by such provisions as in any commodity and/we hereby undertake to comply with
outlined in these documents. I/We have also been the same. I/We herebydeclare and undertake that I/we will not
informed that the standard set of documents has been exceed the position limits prescribed from time to time by
displayed for Information on stock broker’s designated Commodity Exchanges or SEBI and such position limits will be
website, if any. calculated in accordance with the circulars on position limits as
I/We further understand that any change in the said modified from time to time. I/We undertake to inform you and
documents including the “Policies and Procedures”shall be keep you informed if I /any of our partners / directors / karta /
made available on the website of IIFL and also intimated to me trustee or any of the partnership firms/companies / HUFs /
through circulars in internet trading platform/e-mails. I/We Trusts in which I or any of above such person is a partner
shall keep myself updated of the same. /director / karta / trustee, takes or holds any position in any
3. I/We confirm having read/been explained and understood commodity forward contract /commodity derivative on
the contents of the document on policy and procedures of the Exchanges through or through any other member(s) or
stock broker, tariff sheet, voluntary & non voluntary Exchanges, to enable you to restrict our position limit as
documents. I/We do hereby agree to be bound by such prescribed by the above referred circular of Exchanges as
provisions as outlined in these documents. I/We have also modified from time to time.
been informed that the standard set of documents has been I/We confirm that you have agreed to enter order in
displayed for Information on stock broker’s designated commodity forward contracts / commodity derivatives for me /
website, if any. us as your clients on Commodity Exchanges only on the basis
I/We further understand that any change in the said of our above assurances and undertaking. I/We further
documents including the “Policies and Procedures” shall be undertake to bear any liable/penalty/charges levied by
made available on the website of IIFL and also intimated to me Commodity Exchanges/ SEBI.
through circulars in internet trading platform/e-mails.

Name of Segment/ Exchange NAME SIGNATURE

SOLE/FIRST HOLDER (Mr/Mrs./Ms) Sibichen Philip

SECOND HOLDER (Mr/Mrs./Ms) Not Applicable

THIRD HOLDER (Mr/Mrs./Ms) Not Applicable

GUARDIAN (In case of Minor) Mr/Mrs./Ms)

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
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5. NOMINATION DETAILS
[YES] I/We do not wish to make a nomination (strike of the nomination details below)

NOMINATION REGN. NO DATE : DD/MM/YYYY


I/We wish to make a nomination and do here by nominate the following person the following person in whom all rights and / or amount payable in respect of securites
held in Depository by me/us in the said benefeciary owner account shall vest in the event of my /our death.
Name of the Nominee : Relationship:
Address :

Email : Mobile No : PAN:

Nominee Aadhar No : Signature of Nominee:

To be filled up only if Nominee is minor


Name of Guardian :
Date of Birth : Email : Mobile No :
Address of Guardian :

Relation of Guardian : Signature of Guardian :


PAN of Guardian :

Photograph of Nominee Photograph of GUARDIAN


(Please sign (in case of Minor Nominee)
(Please sign accross the
accross the photograph)
photograph)
Signature of Nominee Signature of Guardian

Sole/First Holder Second Holder Third Holder


Mr SIBICHEN PHILIP
NAME
SIGNATURE
DETAILS OF THE WITNESS
Witness 1 Witness 2

Name : Name :
Address : Address
:
Signature : DATE : DD/MM/YYYY Signature : DATE : DD/MM/YYYY

8 Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
Version :1
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TARIFF SHEET
SCHEDULE OF BROKERAGE AND OTHER CHARGES

Trading Account Charges Depository Charges


Rs. 750/-* (inclusive of GST) to be reversed against A/c Maintenance Charges Yearly AMC Rs. 400/- + GST as
brokerage within 90 days of account opening. applicable
No charges are payable for opening of demat accounts. Credit Charges NIL

Broking Services Debit Charges** 0.04% (Minimum Rs 25 per debit


transaction)
BROKERAGE (CASH) STANDARD QUOTED
RATE RATE *The Charges will Pro rated monthly from the month in which
the account is opened till the end of the financial year, For
Intra-day 0.05%
Subsequent financial years, the same is payable at the beginning
Delivery: (Normal) 0.50% of the financial year.
settlement Exchange **AMC and other charges will be debited to your ledger on
0.75%
Trade for Trade and Z yearly and monthly basis respectively.
group scrip
Other Charges
Brokerage (Futures) 0.05% Standard
1% of Premium charges
Brokerage (Options)
or Rs. 100/- per
Minimum Pledge creation Rs. 50
lot whichever is
higher Pledge closure --

Rs 0.05 per DEMAT - Per certificate Rs. 15***


Minimum Brokerage
share or 0.05% REMAT - Per certificate OR Rs. 15***
whichever is Per 100 Units/shares (Whichever is higher)
higher
Conversion of MF units/Destatmentisation Rs.15***
Auction Charges 1.00% Per SOA
Liquid Bees
Reconversion of MF units in to SOA or Rs. 15***
Currency Brokerage Rs. 10 per lot Redemption/Restatmentisation Per SOA
(Options)
***Postal Charges per request shall be Rs. 40
Currency Brokerage Rs. 25 per lot charged separately
(Futures)
Rejection/Failure per entry --
Minimum Per Physical contract note

Product MCX NCX


Transaction Charges Transaction Charges
Agri Rs. 0.75 Per Lac Rs. 1.95 Per Lac
Non Agri Rs.2.1 Per Lac Rs. 0.4 Per Lac

Brokerage Standard Brokerage Quoted Brokerage


First Leg 0.05%
Square Off 0.05%
Minimum per unit Rs. 0.05
Delivery Normal settlement 0.25%

Date : Place :
Signed by: SIBICHEN PHILIP
Reason: Account Opening Doc by IIFL
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NOTES:
1. Physical print copy of digital contract note can be availed 10. No refund of account opening charges would be given if the
from the branches. account could not be opened due to non submission of
2. Document handling charge of Rs. 50/- shall be applicable: complete documents by the client or due to lack of desired co-
• Customer who has opted for receiving documents by operation from the client.
electronic mode: In case such customer also intends to 11. Management reserves the right to freeze, discontinue or
receive documents (contract notes and other related suspend any account if required.
documents) by physical mode. 12. In case of buy / sell of same security during the day, the
• Customer who has opted for receiving documents by brokerage will be levied on higher side of the transaction
physical mode: In case such customer intends to receive amount / price for both intra-day and delivery transactions.
additional/duplicate copies of documents (contract notes 13. Call center service charges of Rs. 100 per call + Applicable
and other related documents) by physical mode. GST and other taxes.
This charge may be partly /fully waived off for high 14. The minimum aggregate brokerage will be Rs. 25 per scrip
networth /large customer at the discretion of IIFL. per day for delivery trades in cash segment, subject to
3. The above charges are exclusive of GST, Securities regulatory caps, as applicable.
Transaction Tax, other charges and stamp duty. The same 15. Brokerage is also applicable on Expiry / Exercise /Assignment
shall be charged to the Client’s account on actual basis. of Options and Futures Contract
4. Inter/settlement/ Beneficiary to pool transfer would be 16. Demat charges shall be applicable for mutual fund
charged 0.04% (Minimum Rs. 25) per scrip plus GST. transactions.
5. Charges/service standards are subject to revision at sole 17. GST details furnished are true and genuine alongwith proof
discretion of IIFL Securities Limited and as informed by of GST no.If no GST details furnished then, it shall be deemed
communication sent by ordinary post/ E-mail. that you are unregistered under GST.
6. Value of the transaction will be in accordance with rates 18. In case there is any change in correspondence address. We
provided by Depository. will unless intimated to us, charge GST basis the address
7. Statutory and other levies being charges related to the available on record. We would not be responsible for any non-
execution and/or settlement of transactions shall be receipt/short-receipt of GST credit due to
separately chargeable as in force from time to time. incorrect/inaccurate/incomplete information provided and
8. Charges quoted above are for the services listed. Any anyloss, damage, cost and/or expenses suffered/incurred by us
service not quoted above will be charged separately. due to non-reversal of GST credit, act, omission, false statement
9. Customer is required to maintain a minimum balance of suppression of fact and/or any breach would be borne by you.
Rs.1000/- in his/ her ledger account.

I/ We have understood and accepted the Schedule of Charges as stated here in above.

Sole/ First Holder Second Holder Third Holder

SIGNATURE Not Applicable Not Applicable

Branch Offcial Name: Branch Offcial Signature :

Date : Place :

Signed by: SIBICHEN PHILIP


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AUTHORIZATION LETTER
To,
IIFL Securities Limited Date:
IIFLHouse, Sun Infotech Park, Road No. 16V, Plot No.B-23, _________________
Thane Industrial Area, Wagle Estate, Thane - 400 604
Sir,
A. Availing Mutual Fund Service System (MFSS) facility/ subscription request, I/We hereby understand and agree that
BSE StAR MUTUAL FUND (hereinafter jointly referred to based on my instruction, the amount will be debited in my
“Mutual Fund Transaction Facilities”) (Applicable in case Mutual fund transaction account and surplus funds shall be
opted) transferred from my Broking account to my mutual fund
transaction account as per this authority letter. I/We further
I/We Mr Sibichen Philip am/are interested in availing the agree and understand that such funds will be used by the
trading facility of the Exchanges for the purpose of Participant for applying for mutual fund units after deducting
transacting in the units of Mutual Funds Schemes permitted the applicable brokerage, fees, charges and other statutory
to be dealt with on the MFSS and BSE StAR MUTUALFUND of levies. I/We agree and undertake to make good such shortfall
NSE and BSE respectively. immediately as may be informed by IIFL Securities Limited from
I/We therefore request you to register me/us as your client time to time.
for participating in the Mutual fund transaction facilities In case of a redemption request, I/We agree and authorise IIFL
(MFSS and BSE StAR MUTUALFUND). Securities Limited to debit my mutual fund transaction account
I/We are willing to abide by the terms and conditions as to the extent of applicable brokerage, fees, charges and other
mentioned in the NSE Circular dated 24/11/09, BSE Circular statutory levies and further authorize to utilize the surplus
dated 02/12/2009 and further circulars as may be specified funds in my/our Broking account held with IIFL Securities
by the Exchanges from time to time in this regard. Limited in its capacity as a Stock Broker and transfer funds to
I/We shall also ensure compliance with the requirements as the extent of applicable brokerage, fees, charges and other
may be specified from time to time by Securities and statutory levies (in case of both subscription and redemption)
Exchange Board of India and Association of Mutual Funds of and/or any other obligation to meet the debit in my/our
India (AMFI). For the said purpose of availing these facilities, Mutual fund transaction account.
I/We state that Know Your Client details as submitted by
me/us for the stock broking may be considered for the B. Authorization for Systematic Investment in Mutual Fund /
purpose and I/We further confirm that the details contained Securities (Applicable in case opted)
in same remain unchanged as on date. I/We hereby authorize IIFL to execute an order in my/our
I/We shall read and understand the contents of the Scheme account held with IIFL for purchase of the securities and/or
Information Document and Key Information Memorandum, mutual fund units under systematic investment plan on my/
addenda issued regarding each Mutual Fund Schemes with our behalf as per my/our instructions.
respect to which I/We choose to subscribe/redeem. I/We I/We further agree and understand that all the terms and
further agree to abide by the terms and conditions, rules and conditions of the trading agreement/terms and condition
regulations of the Mutual Fund Schemes. entered into/agreed with IIFL shall be also applicable to the
With reference to my application for registering as a client instructions for systematic investment in mutual fund units
for Mutual Fund Transaction facilities offered by NSE and /securities and I/We hereby agree to abide by the same at all
BSE, I/We hereby undertake to provide funds to the times.
Participant equivalent to the subscription amount and I/We understand that the instructions for systematic
applicable brokerage/ fees/ charges before applying for investment can be given by me in writing or through the online
mutual fund units through the Participant. facility provided by IIFL or over recorded telephone line. I/We
For this purpose, I/We hereby authorize IIFL Securities hereby agree and understand that the said instructions shall be
Limited to utilize the surplus funds in my/our Broking valid and binding upon me/us until modified and/or cancelled
account held with IIFL Securities Limited in its capacity as by me/us by giving valid instruction to IIFL either in writing or
a Stock Broker and transfer funds to the extent of through the online facility provided by IIFL.
subscription amount and/or applicable brokerage, fees, I/We hereby undertake to give an ECS mandate/ standing
charges and other statutory levies (in case of both instruction in favor of IIFL towards my/our trade obligations
subscription and redemption) and/or any other obligation to arising out of this authorization or I/we hereby authorize IIFL to
meet the debit in my/ our Mutual fund transaction account. execute order under SIP on the basis of clear fund available in
My/our exposure limits in my trading account shall be my ledger account and as per risk management policy.
reduced to the extent of the amount utilized for transacting I/We hereby authorize IIFL to debit my/our trading account
in the mutual fund units as per my instruction.In case of held with IIFL towards my/our trade obligations and all the
fees,charges, taxes, brokerage etc due and
Signed payable
by: SIBICHEN by me/us.
PHILIP
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
13
Version :1
User Id.: SIBICHEP
I/We understand that this authorization can be revoked by h) I/We understand that this authorization shall remain valid
me/us at any time by giving a written notice atleast 30 days in until revoked by me/us. I/we undertake to clear all my dues
advance to IIFL. I/We understand that such revocation shall arising during the validity of this authorization else the member
be effective from the date of receipt of confirmation of the shall recover all my/our dues in my/our ledger till date. I also
same from IIFL. I/We agree and undertake to fulfill all my/our undertake to clear all my dues to you before serving revocation
obligations as per the instructions for systematic investment of this authorisation else the member will recover all my dues in
arising in my/ our account before the effective date of such my ledger till date and then effect the revocation.
revocation. i) I /We further wish to have settlement of my account (funds
I/We agree to abide by the Terms and Conditions applicable and securities) on quarterly / monthly basis as opted by me/us
for Systematic Investment in Mutual Fund and/or Securities here in before.
and any amendments thereto at all times. I /We understand that settlement amount shall be subject to
I/We undertake to indemnify and keep indemnified IIFL and retention of requisite securities/ funds towards outstanding
its directors / officers for all trades executed on my / our obligations and margins in my account calculated in the manner
behalf as per the instructions given by me/us. specified by SEBI/ Exchange and details mentioned in the
“Statement of Account” at the time of settlement. I /We
C. RUNNING ACCOUNT AUTHORISATION (Applicable in case authorise you to send the statement of account on funds and
opted) securities as on the date of settlement to my internet trading
Authorisation to IIFL Securities Limited account or e-mail id registered with you. I /We understand that I
a) I would like to keep securities purchased by me with you as /We can obtain a copy of the same from any of your Branch
collateral for giving me exposure limits in my trading offices.
account/margin obligation. I authorize you not to transfer I /We understand and authorize that you will not release the
shares/securities purchased by me to my demat beneficiary payout in case the balance after necessary retention is upto
account and keep them with yourselves. I also authorise you Rs.10000/- or any other sum as specified by Exchanges from
to pledge these shares/ securities with the Clearing Member/ time to time in any of the quarters, till my revocation in writing
Exchange/Custodian, at your discretion. In case any of the as I /We will be doing regularly trading with you.
shares/securities are sold in subsequent settlements, you I also undertake to bring any dispute arising from Statement of
may take this as a standing instruction to adjust against my accounts or settlement so made to your notice within seven
previous purchase positions in any of Exchanges. working days from the date of receipt of funds/securities or
b) Whenever I require delivery of any shares/securities, I shall Statement as the case may be.
send you a written request. I understand that such payout of So kindly maintain my account as a running account basis for
securities will be made subject to your risk management funds and securities.
policies.
c )In case there is a debit balance in my account, you are D. AUTHORISATION FOR RECEIPT OF CONTRACT NOTES AND
authorized to sell at any point of time the shares/ securities OTHER DOCUMENTS IN DIGITAL MODE (Applicable in case
held by me/ held on my behalf, at your sole discretion. Any opted)
profit or loss made on such transactions will be to my I/We hereby consent to receive from IIFL Securities Limited the
account as it would have occurred on normal purchase/sale digital contract notes, bills, ledgers, transaction statements,
made by me. I also agree to pay the balance amount, if any demat statement of accounts/ holding statement(s)/bills/other
after deducting credit of sale of shares. statements, notices, circulars, amendments and such other
d) I also request you not to issue cheques /make payments correspondence documents, records by whatever name called
settlement wise unless specifically demanded by me, as payin in electronic form duly authenticated by means of a digital
and payout are very close and therefore exchange of cheque signature as specified in the Information Technology Act 2000
becomes unnecessary paper work. and the rules made thereunder to my registered email id.
e) I/We understand and agree that no interest will be payable EmailId: SIBICHENPHILIP@GMAIL.COM
to me/us on the amounts or securities so retained with you. I/We further hereby agree that the IIFL Securities Limited shall
f) I further authorise you to set off/ adjust any of my fulfill the legal obligation, if the above documents are sent
debits/dues in any segment of any Exchange with credits of electronically to the said e-mail id and I/We am/are aware that
any other segment(s) of any Exchange(s) in my account I/we will not receive the statements / documents in paper form.
within the period of settlement of my account (Securities and In this regard, I/we further confirm and agree that:
Funds) as opted by me. (i) The above is my/ our personal E-mail id. I/ We shall take all
g)The Securities lying in client beneficiary account on my/our necessary steps to ensure confidentiality and the secrecy of the
behalf and/or credit balances lying in my/our ledger account login and password of the abovementioned e-mail account. IIFL
of any segments of any Exchanges can be considered as shall not be liable to or responsible for any breach of secrecy.
margin for the any segments of any Exchanges.
Signed by: SIBICHEN PHILIP
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Version :1 Date: 2019-02-18 10:19:58 IST 14
User Id.: SIBICHEP
I/We am/are aware that the statements/ documents may be • Though the Member is required to deliver physical contract
accessed by other entities in case the confidentiality/ note, I/We find that it is inconvenient for me/us to receive
secrecy of the login name and password is compromised. physical contract notes. Therefore, I/We am/are voluntarily
I/We will be solely responsible for the security of the requesting for delivery of electronic contract note pertaining
information provided on my/ our aforesaid e-mail id. to all the trades carried out / ordered
(ii) E-mails sent to any of the above mentioned e-mail by me/us.
account, which have not bounced back, shall be deemed to • I/We have access to a computer and am/are a regular
be duly delivered to the me/us. internet user, having sufficient knowledge of handling the
(iii) IIFL shall not take cognizance of out-of -office/ out email operations.
ofstation auto replies and I/We shall be deemed to have • My email id is SIBICHENPHILIP@GMAIL.COM . This has been
received such electronic mails. created by me/us and not by someone else.
(iv) Such Statements shall be deemed to have been • I/We am/are aware that this declaration form should be in
delivered on the day when the e-mail is sent by IIFL. English or in any other Indian language known to me/us.
(v) I/We further agree that IIFL may at its sole discretion also • I am aware that non-receipt of bounced mail notification by
provide / discontinue such statements in physical form. member shall amount to delivery of the contact note at the
(vi) IIFL shall not be liable or responsible for any Statement above email id.
received from frauds or impostors or any consequences [The above declaration has been read and understood by
thereof. me/us. I/We am/are aware of the risk involved in dispensing
(vii) IIFL shall not be liable for any problem, which arises at with the physical contract note, and do hereby take full
my/our computer network because of my/our receiving any responsibility for the same]
Statement from IIFL.
(viii) I/We shall inform IIFLby way of a letter in writing duly E. AUTHORISATION FOR ONLINE TRADING SOFTWARE
signed by me or inform through internet platform if there is PASSWORD
any change in the Email given above. (Applicable in case opted)
(ix) I/We undertake to check the Statement and bring the I wish to use online Trading Software in this regards
discrepancies to your notice within the time period as Following:-
specified under the relevant agreements entered into with i. Please send my system-generated, internet account first time
IIFL. My/Our non-verification or not accessing the Statement as well as subsequent, password on the registered mobile
on regular basis shall not be a reason for disputing the same numbers. Also, if I ever need to reset the Password later, the
at any time. same should also be sent by SMS on the above given mobile
(x) I/We shall inform in writing in prescribed format to IIFL to number. As soon as I receive the systemgenerated Password, I
discontinue the said facilities. I/We and IIFL shall have the shall login and change it for security reasons. I am aware that
right to terminate such service provided a written notice is system-generated Password will automatically expire in 72
given atleast 10 days in advance to the other party. hours from the time of sending.
I/We shall immediately inform IIFL about change in email ii. In the event that I do not receive the Password on SMS
address, if any. I/We further agree that IIFL will not be within 24 hours of opening of account or request for reset of
responsible for nonreceipt of documents sent via electronic Password, I shall contact the Customer Service Department of
delivery due to change in/incorrect email the IIFL immediately and request for re-setting of my
address/correspondence address as mentioned or any other Password.
reason which inter alia include technical reasons or iii. I have been explained that I shall set my new Password as
malfunction of my/our computer system/server/internet may be easy to remember for me, but should not be easy to
connection etc. Further I/We agree and undertake to decipher for anybody else and should be preferably alpha-
indemnify IIFL and its group companies, that they will not be numeric and not my or any family member's name/ surname.
held liable/ responsible for any losses, claims damages, cost iv. I am fully aware of the risk of electronic loss/ theft and
and liabilities etc. caused to me/us due to misuse of this agree to be solely liable and responsible for the same as well
information or pursuant to any litigation cases, complaints, as for any unauthorized use/ misuse of the Password. I
actions, etc that may arise in future on account of my/ our understand IIFLwill not be responsible or liable in any manner
above authorization request. whatsoever for the same.
• I/We am/are aware that the Member has to provide
physical contract note in respect of all the trades placed by F.Availing IIFL Distribution Services (Applicable in case opted)
me/us unless I/We myself/ourselves want the same in the I/We understand that:
electronic form. (a) IIFL Securities Limited (herein after referred as IIFL), its
• I/We am/are aware that the Member has to provide associates and subsidiaries of IIFL Holdings Ltd. are engaged in
electronic contract note for my/our convenience on my/our providing various financial services including distribution and
request only. execution services of various financial products. Accordingly,
for providing said services IIFL and its associates
Signed by: SIBICHEN PHILIP
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
15 Version :1
User Id.: SIBICHEP
may earn fees (including arranger fees) or commission from DECLARATION
issuers of mutual funds, alternative investment funds, i. I am aware that the mobile number shall be updated in all
venture capital funds, debt instruments etc. your records and databases including trading and demat
(b) Apart from above, investment may be made in securities account.
of associates, investment transaction may be done with IIFL, ii. I declare that the registered is my personal mobile number
its associates and group companies of IIFL as counterparties and is always in my safe custody. I shall keep IIFL
and IIFL, including its subsidiaries and associates may receive informed of any change in my mobile number immediately
various form of remuneration linked to distribution services for updating the same in databases. I am aware that without
offered to the Client. intimation for change in mobile number, IIFL would not be
I/ We hereby agree to avail services like distribution of able to send my Password over new mobile number and also
securities / financial products including but not limited to would not be able to update in records and databases.
following offered by IIFL Distribution Services. iii. I am aware that in case of change in my mobile number
• Initial Public Offer/Follow on Public Offer /Offer for sale anytime after opening of this account, it is mandatory for me
• Mutual Funds to submit the photocopy of a latest/last two months Mobile
• Bonds, Debentures bill for postpaid connection. If I have prepaid connection then
• NPS I have to visit personally to the Branch/FANs alongwith my ID
• Other financial products proofs (E.g.: Pan Card or Driving License) and get the
1. I/We hereby give my/our consent to execute new Power documents verified by the branch officials.
of Attorney in favour of IIFL and enable IIFL to my iv. I will be solely responsible for the security of the
investments & redemptions relating to IIFL Distribution information provided on my aforesaid mobile number.
Services being availed by me. Further,
2. I/ We hereby authorize IIFL and its associates to disclose, v. I agree and undertake to indemnify IIFLand its group
share, remit in any form, mode or manner, all / any of the companies, that they will not be held liable/responsible for
information provided by me/ us, including all changes, any losses, claims, damages, cost and liabilities etc. caused to
updates to such information as and when provided by me/ me due to misuse of this information or pursuant to any
us to associates of IIFL Group, issuers, brokers, Mutual litigations, non-litigation cases, complaints, actions, etc. that
Funds, AIFs, banks and other relevant parties ('the may arise in future on account of my above authorization
Authorized Parties') or any Indian or foreign governmental or request.
statutory or judicial authorities / agencies including but not vi. I/We confirm having received a hard copy of the following
limited to the Financial Intelligence Unit-India (FIU-IND), the documents and further confirm having read and understood
tax / revenue authorities in India or outside India wherever it the contents of these documents.
is legally required and other agencies without any obligation • SMS Alerts Facility by depository : I/ We consent to CDSL /
of advising me/ us of the same. NSDL providing to the service provider such information
3. I/ We hereby declare that there is no action pending pertaining to account/ transactions in my/ our account as is
against me/us by any regulatory authority for violation of necessary for the purposes of generating SMS Alerts by
any law. There are no unpaid fines/ penalties levied on service provider, to be sent to the said mobile number. I/We
me/us. I/ We have not violated any law applicable to us or have read and understood the terms and conditions
circular/regulations issued under any law as on date. I/ We mentioned above and agree to abide by them and any
have no legal or regulatory proceedings pending against amendments thereto made by the depository from time to
me/us for any financial crimes or violation of Securities laws time. I/ We further undertake to pay fee/ charges as may be
initiated be SEBI/ RBI/ Banks or any other financial levied by the depository from time to time. I/ We further
institution. understand that the SMS alerts would be sent for a maximum
Pursuant to my/our instructions, I/We hereby authorize IIFL, four ISINs at a time. If more than four debits take place, the
to invest the balance lying in the my/our ledger account, BOs would be required to take up the matter with their DP.
demat account and/or bank account, in the units of mutual • Terms & Conditions For Distribution of Securities.
fund and/or in such other financial products of as specified • Terms and Conditions for availing Mutual Fund Service
above and redeem in part or full as and when to meet my System (MFSS) facility and BSE StAR MUTUALFUND offered
account obligations with IIFL. byNSE and BSE respectively.
• Terms and Condition for availing systematic investment in
Mutual fund/Securities
I/We do hereby agree to be bound by such provisions as outlined in these documents.
Sole/ First Holder Second Holder Third Holder
Signature Not Applicable Not Applicable
Signed by: SIBICHEN PHILIP
Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in) 16
Date: 2019-02-18 10:19:58 IST
Version :1
User Id.: SIBICHEP
CHECKLIST FOR THE DOCUMENT TO BE COLLECTED FROM CLIENT
Below are the documents which needs to be collected based on the selection done by client during online data entry

Sr No. Client details selection Type of documents to be collected

1 PAN CARD Copy of Pancard

2 ID Proof Copy of PAN CARD

3 Correspondence Address UID / AADHAAR

4 Permanent Address UID / AADHAAR

5 Bank Details Original Cancel Cheque + Bank Passbook or Bank Statement

6 Income Proof

7 Payment Details A/c Opening Fee:- 750.00 / Margin Amount:- 0.00 / Total Amount:- 750.00

8 Mode of Payment Cheque

* All Documents /Copies should be self certified by client


* If Correspondance and Permanent Address is same then only one copy of address proof to be collected

SUBMISSION CHECKLIST
1. Complete Documentation Received No
Yes If no, give Details __________________
2. “Verified with Original” Stamp affixed on proofs Yes No

3. Is Client KYC Verified First Holder :- No Second Holder :- Third Holder :-


Tieup Bank Details
Introducer Details (E1) Serviced By (E2)

Employee Name Akshay Akshay Bank:

Employee Code C160847 C160847 Branch:

Designation Relationship Manager - E Sales Relationship Manager - E Sales Customer Id:

Date EmpCode:

Signature EmpName:

3. “PAN verified” stamp with Employee Name & signature affixed on Proof Yes No

4. Risk Categarization Low

5. Margin Money Collected Yes No

Amount in Rs. 750.00 Rs. (In words :Seven Hundred and Fifty)

Chq. /CMS No._________________ Chq./CMS. Date _____________ Bank Name ______________________________________

Form Version : Version:2.00/January/2015

17 Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
Version :1
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
User Id.: SIBICHEP

CDSL - DP ID Client ID
NSDL - DP ID Client ID

1st Holder 2nd Holder 3rdHolder

Are You US Person N0 Not Applicable Not Applicable

Country Of Birth INDIA Not Applicable Not Applicable

Place Of Birth Not Applicable Not Applicable Not Applicable

Source Of Wealth Salary Not Applicable Not Applicable

If your Country Of Tax NO Not Applicable Not Applicable


Residency Other Than India

If 'Yes' please specify the details of all countries where you hold tax residency and its Tax identification Number & Type.

1st Holder 2nd Holder 3rdHolder

Country of Residence For Tax Not Applicable Not Applicable Not Applicable
Purpose (Other than India)

Identification Type Not Applicable Not Applicable Not Applicable

Tax Identification No.(US TIN) or Not Applicable Not Applicable Not Applicable
Equivalent(Other)

#To include all countries other than India, where investor is Citizen/Resident/Green Card Holder/ Tax Resident in those respective countries especially of USA.
Declaration:
1. I acknowledge and confirm that the information provided above is true and correct to the best of my knowledge and belief correct and complete. In
case any of the above specified information is found to be false or untrue or misleading or misrepresenting, I/ am aware that I may liable for it. In case of
any change in the above given status on a future date, I undertake to inform IIFL the same within 30 Days.
2. I agree that if I/am a U.S. person or tax resident of a reportable foreign jurisdiction (other that U.S.) requiring reporting under FATCA/CRS or any other
Law, my account details, as required under inter governmental agreement (IGA)/Multilateral competent authority agreement (MCAA) Signed by Indian
government,Would be reported by IIFL to the relevantTaxAuthority.
3. If My Country of Birth is US, I/am providing a certificate of relinquishment of Citizenship (loss of Nationality) or a self certification for stating reason for
not having such a certificate despite relinquishingUScitizenshipORnot obtainingUScitizenship at birth. I hereby authorize you to disclose, share, remit in
any form, mode or manner, all / any of the information provided by me, including all changes, updates to such information as and when provided by me to
Mutual Fund, its Sponsor, Asset Management Company, trustees, their employees / RTAs ('the Authorized Parties') or any Indian or foreign governmental
or statutory or judicial authorities / agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax / revenue authorities in
India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me of the same. Further, I
authorize to share the given information to other SEBI Registered Intermediaries to facilitate single submission / updation & for other relevant purposes. I
also undertake to keep you informed in writing about any changes / modification to the above information in future and also undertake to provide any
other additional information as may be required at your end.

Sole/1st Holder 2nd Holder 3rdHolder

Signature

Signed by: SIBICHEN PHILIP 18


Reason: Account Opening Doc by IIFL
Version :1 eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
Akshay Maruti Naik

C160847

RM - E Sales

THANE

18/02/2019

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
Akshay Maruti Naik

C160847

RM - E Sales

THANE

18/02/2019

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST
Akshay Maruti Naik

C160847

RM - E Sales

THANE

18/02/2019

Signed by: SIBICHEN PHILIP


Reason: Account Opening Doc by IIFL
eSigned using Aadhaar (digio.in)
Date: 2019-02-18 10:19:58 IST

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