1. .

Request for limit for Bank Guarantee and Overdraft limit with us (on Company’s
letter head)

2. Whether any legal cases filed/pending against you/involvement in scams, if yes,

please furnish details.
3. Details of current account and settlement account (Exchange and Segment ) with
our Branch (Annexure attached)
4. Details of current account including addresses and e-mail id with lenders and non-
lenders Banks (Annexure attached).
5. Details of SB a/c of Directors/family members with our Branch (Annexure attached).
6. Details of credit facility/ies (type of facility/outstanding) availed from other
Bank/Financial Institutions including present outstanding position and their addresses.
Preferably enclose sanction letter of other Banks.
7. Turnover certificate of 2020-21, 2021-22 and 2022-23 issued by BSE /NSE/MCX
(Cash, F&O, CDS and SLBS).
8. Details of monthly turnover with breakup of clientele and proprietary for 2022-
23 and till date (annexure attached)
9. Latest 25 rolling settlement with a statement showing total purchases and sales
separately for proprietary trading and clientele trading (format attached).
10. Latest Conduct certificate from BSE/NSE/MCX. If any adverse remark in the status
report, submit details and present position of compliance verse remark in the status
report.
11. Other information i.e. SEBI fees/Stamp duty/Service tax Paid/STT (as per annexure
attached) from April 22 to March 23 and April 23 till date
12. Information on total no of BSE and NSE trading terminals, total no of clients-retail,
HNI and Institutional and total no of active clients, total no of sub brokers, total no
branches in Mumbai and out of Mumbai (Annexure attached)
13. Punching error insurance amount and name of Insurance Co and expiry date. Also
attach a copy of the same.
14. Risk mitigation measures to minimize losses in derivatives/proprietary trading.
15. List of director/s and 100% shareholding pattern
16. PAN card, passport and Aadhar card of Directors/Guarantors(Self Certified)
17. CBD 23 (assets and liability statement) along with latest CA certified net worth
certificate of directors/guarantors with breakup of assets and liabilities and /or
Audited Balance Sheet as on 31.03.2023 of the directors/gurantors. ABS 2023 or CA
certified networth certificate as on 31.03.2023 of corporate ate guarantors (CBD-23
format attached).
18. If your Company is a trading member in BSE/NSE, then who is your professional
Clearing member (PCM).
19. Details of any group company/sister Company/Associate Company.
20. NSE/BSE bills/invoices for last 6 months.
21. Contact detail of key person for further communication