policies by nuhman10


									Dear Client,

Sub: Submission of Documents pursuant to SEBI / Exchange Circulars

Greetings from

At the outset, we thank you for your continued patronage of our products and services and we
value your relationship with us.

In order to bring greater transparency and discipline in the Capital Market, SEBI has put out
mandatory requirements covering various guidelines between the trading members and clients
vide its Circular No. MIRSD/SE/Cir 19/2009 dated December 3, 2009. NSE, BSE, MCX-SX have
provided relevant guidelines for implementing the same.

In order to comply with the same, we require your co-operation in confirming information
pertaining to your account with us as well as in providing us with additional information and
submission of necessary documents and proofs. In case of non-receipt of any confirmation from
your side with in the stipulated period, we shall presume that the particulars pertaining to your
account are accurate and confirmed.

Following are the requirements as per the circular and enclosed is the formats and you are
requested to kindly provide us with the signed copies of the same for our record.

1. Exchange / Market Segment selecting for trading: We provide trading services in

NSE Cash

1. Documentary evidence of financial details: Any one of the following

Copy of ITR Acknowledgement

Copy of Annual Accounts

Copy of Form 16 in case of salary income

Salary Slip

Bank account statement for last 6 months
Copy of demat account Holding statement.

Net worth certificate

Self Declaration along with relevant supporting

3. Authorization for maintaining trading accounts on a running basis: All customers are required
to renew this mandate on a yearly basis. You are requested to submit the same, duly signed if
you wish to maintain running account / continue to maintain a running account with effect from
April 2010. Please note that this authority letter is valid only for period ending 30th June 2011
and hence you would be required to submit the said letter in June every year to continue to
avail running account facility for the subsequent financial year. Authority letter is attached.
Kindly send the same after your sign.

4. Policies and Procedures: We have in place various policies and procedures in terms of
SEBI/Exchanges and other authorities for smooth operations of its client trading account. These
policies have been communicated to your through internet / email / physical
copies/branches/sub-brokers etc from time to time. We are enclosing a copy of our applicable
policies and procedures significant to your trading account for your information and
acknowledgement. Kindly return the signed copy. Policies and procedures are attached. Kindly
send the same after your sign.

5. Authorisation for Electronic Contract Notes (ECN): You may opt for ECN by making a written
request in the prescribed form along with your personal email id. You may also opt for SMS
updates. Therefore, we request you to update / provide your mobile number to enable us to
send your SMS for your trade bill summary for trade executed on the trade day and your
personal email id to enable us to send your e-Contracts, statements and other value added
news/information. ECN authority letter is attached. Kindly fill the form, sign and send us the

Please ensure that you review your profile information and complete the documentation
wherever required. These documents /information may be submitted at any of the Branch
premises or Sub-brokers or may be sent to the following address:

Dormant/Inoperative account

In case any dormant/inoperative account where the trading has not been done for six
months a client will have to furnish bank statement of the bank account mentioned in
KYC form for the last six months before starting the trading again.

We are committed to giving you a hassle free trading experience and the above exercise is being
carried out to facilitate the same.
Your co-operation in fulfilling these compliance norms will help us in offering you superior

In case you require any clarifications, you may please contact us: Phone-011-65703580-81

Assuring you of our best services at all times

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