FINVASIA SECURITIES PVT. LTD.

Plot No. 10, Netsmartz House (Level 3)

Rajiv Gandhi Chd Tech Park, Chandigarh-160101 (India)
NSE : 14846, BSE : 4043, AMFI 103331, CDSL DP : IN-DP-317-2017

Mother's Name

Maiden Name

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 ACCOUNT OPENING FORM INDIVIDUALS

FINVASIA SECURITIES PVT. LTD.

SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
Plot No. 10, Netsmartz House (Level 3), Rajiv Gandhi Chd Tech Park, Chandigarh-160101 (India)
Ph.: 0172-4770000, 6670000, Fax : 0172-6670070, E-mail : cdsldp@finvasia.com
ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT FOR INDIVIDUALS
(To be filled by the Depository Participant)
Application No. Date D D M M Y Y Y Y
DP Internal Reference No.
DP ID 1 2 0 8 4 3 0 0 Client ID
(To be filled by the applicant in BLOCK LETTERS in English)
I/We request you to open a demat account in my/our name as per following details :
TYPE OF ACCOUNT (Please tick whichever is applicable)

Individual Individual Resident Individual Director Individual Director's Relative

Individual HUF/AOP Individual Promoter Minor
Individual Margin Trading A/c (Mantra) Others (Specify)_________________
NRI NRI Repatriable NRI Non-Repatriable NRI Repatriable Promoter
NRI Non-Repatriable Promoter NRI - Depository Receipts Others (Specify)_________________

HOLDERS DETAILS
Sole/First Holder's
Name PAN

UID Date of Birth D D M M Y Y Y Y

Second Holder's
Name PAN

UID Date of Birth D D M M Y Y Y Y

Third Holder's
Name PAN

UID Date of Birth D D M M Y Y Y Y

Name*
* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of the natural
persons, the name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

OTHER DETAILS
Gross Annual Income Range per annum :
Income Details Upto Rs. 1,00,000 Rs. 1,00,000 to Rs. 5,00,000 Rs. 5,00,000 to Rs. 10,00,000
Rs. 10,00,000 to Rs. 25,00,000 More than Rs. 25,00,000
Net Worth as on (date) Rs.
(Net Worth should not be older than 1 year)
Occupation Private / Public Sector Govt. Service Business Professional Agriculture
Retired Housewife Student Others (specify)
Please tick, if applicable Politically Exposed Person (PEP) Related to Politically Exposed Person (RPEP)
Any other information
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 BANK DETAILS (Dividend Bank Details)

Bank Code (9 digit

MICR Code)
IFS Code (11 Character)
Account Number
Account Type Saving Current Others (specify)___________________________
Bank Name
Branch Name
Bank Branch Address

City State Country PIN

(i) Photocopy of the cancelled cheque having the name of the account holder where the cheque books is issued, (or)
(ii) Photocopy of the Bank Statement having name and address of the BO.
(iii) Photocopy of the Passbook having name and address of the BO, (or)
(iv) Letter from the Bank.
In case of option (ii), (iii) and (iv) above, MICR Code of the branch should be present/mentioned on the document.
DETAILS OF GUARDIAN (in case the account holder is minor)

Guardian's Name PAN

Relationship with the applicant

I/We instruct the DP to receive each and every credit in my/our account [Automatic Credit]
(if not marked, the default option would be 'Yes') Yes No
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. Yes No
(If not marked, the default option would be 'No')
Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly
I/We request you to send Electronic Transaction-cum-Holding Statement
Yes No
at the email Id______________________________________________

I/We would like to share the email ID with the RTA Yes No

I/We would like to receive the Annual Report Physical Electronic Both Physical
(Tick the applicable box. If not market the default option would be in Physical) & Electronic

I/We wish to receive dividend/interest directly in to my bank account as given

below through ECS. (If not marked, the default option would be 'Yes') Yes No
[ECS is mandatory for locations notified by SEBI from time to time]

MOBILE No.: +91-........................................................ Yes

SMS Alert Facility [Mandatory, if you are giving Power of Attorney (POA)] No
(if POA is not granted & you do not wish to avail of this facility, cancel this option).

Transactions Using I/We wish to avail the TRUST facility using the Mobile Number registered for SMS Alert Facility,
Secured Texting Facility I/We have read and understood the Terms and Conditions prescribed by CDSL for the same.
(TRUST) Yes No
I/We wish to register the following clearing member IDs under my/our below mentioned BO ID registered for TRUST.
Clearing Member ID
Stock Exchange Name/ID Clearing Member Name
(Optional)

To register for easi, please visit our website www.cdslindia.com.

Easi
Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.
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 NOMINATION DETAILS
Dear Sir/Madam, Nomination Regn. No.
I/We the Sole Holder/ Joint Holder / Guardian (in case of minor) hereby declare that :
I/We do not wish to nominate any one for this demat account. Date D D M M Y Y Y Y
[Strike out what is not applicable] [Signatures of all account holders should be obtained on this form]
I/We nominate the following persons who is entitled to receive security balances lying in my/our account, particulars whereof
are given below, in the event of the death of Sole holder or the death of all the Joint Holders.
BO ACCOUNT DETAILS
DP ID 1 2 0 8 4 3 0 0 Client ID
Name of the Sole / First Holder
Name of the Second Holder
Name of the Third Holder

NOMINATION DETAILS NOMINEE 1 NOMINEE 2 NOMINEE 3

Nominee Name
First Name*
Middle Name
Last Name*
Address*

City*
State*
PIN*
Country*
Telephone No.
Fax No.
PAN No.
UID
Email ID
Relationship with the BO*
Date of Birth* (Mandatory
if Nominee is a Minor)
Name of the Guardian
of Nominee (if the
nominee is minor)
First Name*
Middle Name
Last Name*
Address of the
Guardian of nominee*

City*
State*
PIN*
Country*
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 Age
Telephone No.
Fax No.
E-mail Id
Relationship of the
Guardian with the Nominee
Percentage of
allocation of securities*

Residual Securities
[please tick any one
nominee.*
If tick not marked
default will be first
nominee]

Note : Residual securities: incase of multiple nominees, please choose any one nominee who will be credited with residual securities
remaining after distribution of securities as per percentage of allocation. If you fail to choose one such nominee, then the first
nominee will be marked as nominee entitled for residual shares, if any.

*Marked is Mandatory field

This nomination shall supersede any prior nomination made by me / us and also any testamentary document executed by me / us.
Note : One Witness shall attest signature(s) / Thumb Impression(s).

Details of the Witness

Name of Witness

Address of Witness

Signature of Witness

I/We confirm that I/We have received and read the copy of Rights & Obligations document and terms & conditions and agree to
abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars
given by me/us above are true and to the best of my/our knowledge as on the date of making this application. I/We agree and
undertake to intimate the DP any change(s) in the details / Particulars mentioned by me / us in this form. I/We further agree that
any false / misleading information given by me / us or suppression of any material information will render my account liable for
termination and suitable action.

First / Sole Holder or Third Holder

Second Holder
Guardian (in case of Minor)

Name

Signatures 1

(Signatures should be preferably in black ink)

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 FINVASIA SECURITIES PVT. LTD.
SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
Plot No. 10, Netsmartz House (Level 3), Rajiv Gandhi Chd Tech Park,
Chandigarh-160101 (India)
Ph.: 0172-4770000, 6670000, Fax : 0172-6670070, E-mail : cdsldp@finvasia.com ANNEXURE-B
Terms And Conditions for availing Transaction Using Secured Texting (TRUST) service offered by CDSL
1. Definitions: 6. The BO shall be responsible for submitting response to the
In these Terms and Conditions the terms shall have following 'Responsive SMS' within the specified time period. Transactions
meaning unless indicated otherwise: for which no positive or negative confirmation is received from the
I. "Depository" means Central Depository Services (India) BO, will not be executed except for transaction for deregistration.
Limited (CDSL) Further, CDSL shall not be responsible for BOs not submitting the
response to the said SMS within the time limit prescribed by CDSL.
ii. TRUST means "Transactions Using Secured Texting" service
offered by the Depository. 7. The BO agrees that the signing of the TRUST registration form by
all joint holders shall mean that the instructions executed on the
iii. "Service Provider" means a cellular service provider(s) with
whom the Depository has entered / shall enter into an basis of SMS received from the registered mobile for TRUST shall
arrangement for providing the TRUST service to the BO. be deemed to have been executed by all joint holders.
iv. "Service" means the service of providing facility to receive/give 8. The BO agrees to ensure that the mobile number for TRUST facility
instructions through SMS on best effort basis as per the and SMS alert (SMART) facility is the same. The BO agrees that if
following terms and conditions. The types of transaction that he is not registered for SMART, the DP shall register him for SMART
would normally qualify for this type of service would be and TRUST. If the mobile number provided for TRUST is different
informed by CDSL from time to time. from the mobile number recorded for SMART, the new mobile
v. "Third Party" means the operators with whom the Service number would be updated for SMART as well as TRUST.
Provider is having / will have an arrangement for providing SMS 9. BOs are advised to check the status of their obligation from time to
to the BO. time and also advise the respective CMs to do so. In case of any
2. The service will be provided to the BO at his / her request and at the issues, the BO/CM should approach their DPs to ensure that the
discretion of the depository provided the BO has registered for this obligation is fulfilled through any other mode of delivery of
facility with their mobile numbers through their DP or by any other transactions as may be informed / made available by CDSL from
mode as informed by CDSL from time to time. Acceptance of time to time including submission of Delivery Instruction Slips to
application shall be subject to the verification of the information the DP .
provided by the BO to the Depository 10. The BO acknowledges that CDSL will send the message for
3. The messages will be sent on best efforts basis by way of an SMS confirmation of a transaction to the BO only if the Clearing Member
on the mobile no which has been provided by the BOs. However (registered by the BO for TRUST) enters the said transaction in
Depository shall not be responsible if messages are not received or CDSL system for execution through TRUST within prescribed time
sent for any reason whatsoever, including but not limited to the limit.
failure of the service provider or network. 11. The BO further acknowledges that the BO/CM shall not have any
4. The BO is responsible for promptly informing its DP in the right to any claim against either the DP or Depository for losses, if
prescribed manner any change in mobile number, or loss of any, incurred due to non receipt of response on the responsive SMS
handset on which the BO wants to send/receive messages or receipt of such response after the prescribed time period. In the
generated under TRUST. In case the new number is not registered event of any dispute relating to the date and time of receipt of such
for TRUST in the depository system, the messages generated response, CDSL's records shall be conclusive evidence and the
under TRUST will continue to be sent to the last registered mobile
Parties agree that CDSL's decision on the same shall be final and
number. The BO agrees to indemnify the depository for any loss or
damage suffered by it on account of messages sent on such mobile binding on both Parties.
number. 12. The BO may request for deregistration from TRUST at any time by
5. The BO agrees that SMS received by the Depository from the giving a notice in writing to its DP or by any other mode as specified
registered mobile number of the BO on the basis of which by Depository in its operating instructions. The same shall be
instructions are executed in the depository system shall be effected after entry of such request by the DP in CDSL system if the
conclusive evidence of such instructions having been issued by the request is received through the DP.
BO. The DP / CDSL will not be held liable for acting on SMS so 13. Depository reserves the right to charge such fees from time to time
received. as it deems fit for providing this service to the BO.

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Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder

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14. The BO expressly authorises Depository to disclose to the Service 17. Indemnity:
Provider or any other third party, such BO information as may be In consideration of providing the service, the BO agrees that the
required by them to provide the services to the BO. Depository depository shall not be liable to indemnify the BO towards any
however, shall not be responsible and be held liable for any damages, claims, demands, proceedings, loss, cost, charges and
divulgence or leakage of confidential BO information by such expenses whatsoever as a consequence of or arising out of
Service Providers or any other third party. interference with or misuse, improper or fraudulent use of the
service by the BO.
15. The BO takes the responsibility for the correctness of the 18. Disclaimer:
information supplied by him to Depository through the use of the Depository shall be absolved of any liability in case :-
said Facility or through any other means such as electronic mail or
a. There is loss of any information during processing or
written communication. transmission or any unauthorized access by any other person
16. The BO is solely responsible for ensuring that the mobile number is or breach of confidentiality.
not misused and is kept safely and securely. The Depository will b. There is any lapse or failure on the part of the service providers
process requests originated from the registered Mobile as if or any third party affecting the said Facility and that
submitted by the BO and Depository is not responsible for any Depository makes no warranty as to the quality of the service
claim made by the BO informing that the same was not originated provided by any such service provider.
by him. c. There is breach of confidentiality or security of the messages
whether personal or otherwise transmitted through the
Facility.
Dear Sir/Madam,
I/We wish to avail the following facility/ies provided by the depository on my/our mobile number as provided below subject to the terms and
conditions as specified by CDSL.
a. SMART - SMS alert facility
b. TRUST - Transaction using Secured Texting facility.
(please note that SMS alert facility is mandatory if TRUST facility is opted for)
DP ID 1 2 0 8 4 3 0 0 BO ID
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

Sole/First Holder's Name :

Second Holder's Name :

Third Holder's Name :

Mobile No. on which messages are to be sent + 9 1

(Please write only the mobile number without prefixing country code or zero)
(Existing users registered for SMS alerts : Please note that if the mobile number for TRUST is different than the registered mobile
number for SMS alert, the new mobile number will be updated for SMS alert also.)

The Mobile Number is registered in the name of :

E-mail Id :
(Please write only ONE valid email Id on which communication; if any, is to be sent)
I/We consent to CDSL providing to the service provider such information pertaining to account / transactions in my/our account as is necessary for the
purpose of availing the said facility.
I/We have read and understood the terms and conditions prescribed by CDSL for the said facility/ies and agree to abide by them and any amendments
thereto made by the depository from time to time. I/We further undertake to pay fee / charges as may be levied by the depository from time to time.

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Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder
IN CASE OF JOINT HOLDING, ALL JOINT HOLDERS MUST SIGN.
*Please do not use correction fluid, all cuttings must be attested by all the joint holder(s).

Place :............................. Date :..............................

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 FINVASIA SECURITIES PVT. LTD.
SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
Plot No. 10, Netsmartz House (Level 3), Rajiv Gandhi Chd Tech Park, Chandigarh-160101 (India)
Ph.: 0172-4770000, 6670000, Fax : 0172-6670070, E-mail : cdsldp@finvasia.com
TARIFF FOR DEPOSITORY SERVICES

Sl. No. TRANSACTION DETAIL RETAIL CLIENTS BSDA CLIENTS

1. Demat Account Opening Charges Nil Nil

2. POA Services Rs. 199/- (One Time) Rs. 199/- (One Time)

3. Transaction Charges per ISIN :

(a) Buy (Receive) Nil Nil
(b) Sell (Debit) Rs. 9/- Rs. 19/-
(c) Off Market Transactions Rs. 9/- Rs. 19/-

4. Demat (Per certificate) Rs. 15/- Rs. 15/-

5. Remat (Per ISIN) Rs. 15/- Rs. 15/-

6. Courier Charges per Demat/Remat Request Rs. 99/- Rs. 99/-

7. Pledge per ISIN Rs. 29/- Rs. 29/-
8. Unpledge per ISIN Rs. 29/- Rs. 29/-
9. Pledge Invocation per ISIN Rs. 19/- Rs. 19/-
10. Periodic Statement :
(a) By Email Free Free
(b) Physical Rs. 99/- (Courier Charges) Rs. 99/- (Courier Charges)

11. Adhoc / Non Periodic Statement Requests :

(a) By Email Free Free
(b) Physical Rs. 5/- per page + Actual Courier Rs. 5/- per page + Actual Courier
Charges Charges
12. Delivery Instructions :
(a) First Delivery Instruction Book Free (5 Leaves) Free (5 Leaves)
(b) Every Additional Booklet Rs. 99/- (10 Leaves) Rs. 99/- (10 Leaves)
13. Cheque Bounce / Per cheque Rs. 299/- Rs. 299/-

14. Failed Transctions Rs. 49/- per transaction Rs. 49/- per transaction
15. Modification in CML Rs. 19/- per request Rs. 19/- per request
16. Demat Closure Account Rs. 499/- NA

NOTES : All Taxes saperate as applicable.

Delayed payment charges @ 2 % per month on T+2 days shall be charged for debit/shortage in payin/margin default, as per exchange
requirements

I confirm to open my account in Retail account category. In case I wish to change to BSDA, shall inform separately.

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Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder

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