SET OF ACCOUNT OPENING DOCUMENT

Name of Member : FINVASIA SECURITIES PVT LTD

Membership No. : NSE : 14846, BSE : 4043
SEBI Registration No. : (FOR NSE, BSE) INZ000176037
(FOR CDSL) IN-DP-317-2017
Clearing Member Name & Membership No. : FINVASIA SECURITIES PVT LTD ( CODE : M51912)
Corporate office : FINVASIA CENTRE, D 179, Phase 8 B (Sector 74) Mohali, Punjab -160055
Phone : 0172-6670000 , Web Site : www.shoonya.com
Compliance Officer : (FOR NSE, BSE) Hardeep Singh, Phone No.: 0712-6670000, Email : ccofspl@shoonya.com
(FOR CDSL) Hardeep Singh, Phone No.: 0712-6670000, Email : ccofspl@shoonya.com
CEO : Sarvjeet Singh, Phone No.: 0172-6670000, Email : ccofspl@shoonya.com
INDEX OF DOCUMENTS
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
S.No. Name of the Document Brief Significance of the Document Page No.

1. KYC (Account Opening) KYC form - Document captures the basic information about the constitute and an 1-2
Application Form instruction / check list.
2. Uniform Risk Disclosure Documents detailing Risk associated with dealing in the Equity Market. By Email
Document (RDD)
3. Rights and Obligations of Document stating the Rights & Obligation of Member, Authorized Person and client for Trading on exchanges
Members, AP and Clients (including additional Rights and Obligations in case of Internet/Wireless Technology based Trading) By Email

4. Rights and Obligations (DP) Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and Depositories. By Email
5. Terms and Conditions Terms and conditions for availing transaction using secured texting (Trust) service offred by CDSL By Email

6. Do's and Don'ts for the Investors Document detailing Do's & Don'ts for Trading on exchange, for the education for the investors. By Email
7. Policies & Procedures Policies and procedures as per Exchange. By Email
8. Other Details Past Action, Dealing Through Other Member, Introducer Details etc. 3-5
9. KYC Form for Demat Account Additional KYC form for opening Demat account for Individuals & SMS alerts facility 6-7
10. Nomination Form Nomination Form for Depository 8-9
11. Tariff Sheet No Brokerage charges, Intimation by the member for proprietary trading & software charges. 10-10
12. Tariff Sheet (CDSL) Tariff Sheet for Depository Services 11-11
13. Most Important Terms and For non-custodial settled trading accounts
Conditions (MITC) 12-12

VOLUNTARY DOCUMENTS AS PROVIDED BY THE MEMBER*

14. Standing Instructions / Authorization Letter 13-13
15. Running Account Authorisation 14-14
16. Fatca Declaration 15-15
17. Terms and Conditions for SMS Alerts for Demat Accounts 16-17
18. Instruction to the applicants (BOs) for account opening 18-18
19. Acknowledgement 19-19
20. Authorisation for Electronic Communication 20-20
For any grievance/dispute please contact Finvasia Securities Private Limited at FINVASIA CENTRE,D 179, Phase 8 B (Sector 74) Mohali,
Punjab 160055, Phone : 0172-6670000.Email: complaints@shoonya.com In case not satisfied with response, Please contact the
concern exchange(s)/Depository at :
Exchange Name E-mail Id Phone No.
National Stock Exchange of India Ltd. (NSE) ignse@nse.co.in 022-26598190
Bombay Stock Exchange Ltd. (BSE) is@bseindia.com 022-22728097
Central Depository Services (India) Ltd. (CDSL) complaints@cdslindia.com 022-22723333
 CDSLVENTURES LIMITED
Know Your Client (KYC) ….Exploring New Horizons

Application Form (For Individuals Only)

Please fill the form in ENGLISH and in BLOCK letters

Fields marked * are mandatory Application Number:

+
Fields marked are pertaining to CKYC and mandatory only if processing CKYC
also Application Type*: 
✔
New KYC  Modification KYC
KYC Mode*: Please Tick (✓)

Normal EKYC OTP EKYC Biometric Online KYC Offline EKYC ✔ Digilocker

1. Identity Details (please refer guidelines overleaf)

PAN* ELLPS3817P Please enclose a duly attested copy of your PAN Card
____________________________

Name* (same as ID proof) BIRENDRA KUMAR SAHU

Maiden Name+ (if any)
Fathers/Spouse’s Name* KUSUM LATA SAHU
Date of Birth* 31-03-1980 21.3094979 - 81.6317639 (India)

Gender* ✔ Male Female Transgender

Marital Status* Single ✔ Married
Recent passport size
Nationality* ✔ Indian Other
Applicant Photo
Residential Status* ✔ Resident Individual Non Resident Indian
Please Tick (✓)
Foreign National Person of Indian Origin+
(Passport mandatory for NRIs and Foreign Nationals. PIO selection is only for CKYC and not for KRA KYC. Cross Signature across photograph
Select NRI or Foreign National based on Nationality of the individual)

Proof of Identity (POI) submitted for PAN exempted cases (Please tick)
✔ A — Aadhaar Card 9 __
XXXX XXXX __ 9 __
2 __
9
(Expiry Date)
B — Passport Number
C — Voter ID Card
(Expiry Date)
D —Driving License
E —NREGA Job Card
F — NPR
Z —Others (any document notified by Central Government)

Identification Number
2. Address Details* (please refer guidelines overleaf)
A. Correspondence/ Local Address*
Line 1* BIRGAON M
Line 2 SANT RAVI DAS WARD
Line3 RAIPUR
City/Town/Village* BIRGAON M District* Pin Code* 493221
State* Chhattisgarh Country* India
Address Type* Residential/Business ✔ Residential Business Registered Office Unspecified

Applicant e-SIGN

1
B. Permanent residence address of applicant, if different from above A / Overseas Address* (Mandatory for NRI Applicant)
Line 1* BIRGAON M
Line 2
SANT RAVI DAS WARD
Line3
RAIPUR
City/
Town/Village*
BIRGAON M District* Pin Code* 493221
State* Chhattisgarh Country* India
Address Type* Residential/Business ✔ Residential Business Registered Office Unspecified
Proof of Address* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)
✔ A — Aadhaar Card 9 __
XXXX XXXX __ 9 __
2 __
9
B — Passport Number (Expiry Date)

C — Voter ID Card
(Expiry Date)
D —Driving License
E —NREGA Job Card
F — NPR Letter
Z—Others (any document notified by Central Government)

Identification Number

3. Contact Details (in CAPITAL)

Email ID* BIRENDRA31031980@GMAIL.COM
________________________________________________________________________________________
Mobile No. * _____ ____________________________
9691077445
Tel (Off) _____ ____________________________ Tel (Res) NA
_____ ____________________________

4. Applicant Declaration
I/We hereby declare that the KYC details furnished by me are true and correct to Applicant Wet Signature Applicant e-SIGN
the best of my/our knowledge and belief and I/we under-take 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/We are aware that I/We
may be held liable for it.
I/We hereby consent to receiving information from CVL KRA through SMS/Email on
the above registered number/Email address.
I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be
validated against Aadhaar details. I/We hereby consent to sharing my/our masked
Aadhaar card with readable QR code or my Aadhaar XML/Digilocker XML file, along
with passcode and as applicable, with KRA and other Intermediaries with whom I
have a business relationship for KYC purposes only.

22-11-2024
DATE: _________________________ (DD-MM-YYYY)
BIRGAON M
PLACE: _______________________________________

5. For Office Use Only

In-Person Verification (IPV) carried out by* Intermediary Details*

IPV Date 22-11-2024 Self certified document copies received (OVD)

Emp. Name
✔ True Copies of documents received (Attested)
AMC / Intermediary Name :
Emp. Code

Emp. Designation

Digilocker KYC

Employee Signature and Stamp Institution Name and Stamp

2
 TRADING ACCOUNT RELATED DETAILS (For Individuals)
A. BANK ACCOUNT(S) DETAILS

Bank Name Branch Address Bank Account Number Account Type MICR Number
IFSC Code
Axis Bank DAU COMPLEX VYAS 914010055851074 492211005 UTIB000
TALAB CHOWK URLA -
✔
Saving
BIRGAON ROAD P.O. Current 1228
URLA. PIN - 493 221 Others -
in case of NRI /
NRE / NRO

B. DEPOSITORY ACCOUNT(S) DETAILS

Depository Participant Name of Depository Beneficiary Name Beneficiary ID (BO ID)

DP ID
Name
Finvasia Securities BIRENDRA
Private Limited NSDL ✔ CDSL KUMAR SAHU
12084300
NSDL CDSL

C. TRADING PREFERENCES
Please sign in the relevant boxes where you wish to trade. Please strike off the segment not chosen by you.
Exchanges NSE, BSE

ALL Segments Cash/Mutual F&O CDS

Fund

If you do not wish to trade in any of segments/Mutual Fund, Please mention here
F&O,CDS

D. FINANCIAL & OCCUPATION DETAILS

Gross Annual Income Details : Income Range per annum : Below Rs. 1 Lac ✔ Rs. 1 Lac to 5 Lac
(please specify) Rs. 5 Lac to 10 Lac Rs. 10 Lac to 25 Lac Rs. 25 Lac to 1 Crore >1 Crore
Net Worth (Net worth should not be older than 1 year) Amount Rs.....................................................................................................................
as on (date) D D M M Y Y Y Y (Compulsory for Non-Individuals)
Occupation : ✔ Private Sector Public Sector Government Service Business Professional
(please tick any one
and give brief details) Agriculturist Retired Housewife Student Others__________Please Specify
Please tick, if applicable : Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP)
Any other information : .......................................................................................................................................................................
E 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 :
NA
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F. DEALINGS THROUGH SUB-BROKES AND OTHER STOCK BROKERS
If client is dealing through the sub-broker, provide the following details:
Sub-broker's Name
SEBI Registration number NA
Registered office address NA

Ph. 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, if any
Client Code Exchange
Details of disputes/dues pending from/to €
such stock broker/sub- broker
G. ADDITIONAL DETAILS
Whether you wish to receive physical contract note
or Electronic Contract Note (ECN) (please specify) Physical Contact Notes ✔ Electronic Contract Note

Specify your Email id, if applicable BIRENDRA31031980@GMAIL.COM

Whether you wish to avail of the facility of internet
trading/ wireless technology (please specify)
Number of years of Investment/Trading Experience

H. INTRODUCER DETAILS (optional)

Name of the introducer
Status of the Introducer Sub Broker Remisier Auth. Person Existing Client Others___________________

Address and Phone No.

of the Introducer

Sign. of the Introducer

I. NOMINATION DETAILS (for individuals only)

✔ I/We wish to nominate I/We do not wish to nominate

(4)
 DECLARATION
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we
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/we are aware that I/we may be held liable for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker
and the tariff sheet.
3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) and ‘Risk Disclosure
Document’. I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that
the standard set of documents has been displayed for Information on stock broker’s designated website, if any.
BIRGAON M
Place
2
Date 22
D D 11
M M 2024
Y Y Y Y Signature of Client / All Authorized Signatory (ies)

FOR OFFICE USE ONLY

ELLPS3817P
UCC Code allotted to the Client :________________________
Document verified Client Interviewed In-Person Verification
with Originals By Done by
Name of the Employee
Employee Code
Designation of the Employee
Date

Signature

I / We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents. I/We
have also made the client aware of 'Rights and Obligations' document (s), RDD and Guidance Note. I/We have given/sent him a copy of
all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-mandatory documents
would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made
available on my/our website, if any, for the information of the clients.

For FINVASIA SECURITIES PVT LTD.

Signature of the Authorised Sig ry

22-11-2024
Date __________________ Seal / Stamp of the Stock Broker
(5)
 ACCOUNT OPENING FORM INDIVIDUALS

FINVASIA SECURITIES PVT. LTD.

SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74), Mohali, Punjab 160055 (India)
Ph.:0172-4770000, 6670000, Fax : 0172-6670070, E-mail :cdsldp@shoonya.com
ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT FOR INDIVIDUALS
(To be filled by the Depository Participant)
Application No. Date 2
D 2D 1M 1M 2Y 0Y Y
2 Y4
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
PAN
Name BIRENDRA KUMAR SAHU E L L PS 3 8 1 7 P
D D 0
UID Date of Birth
3 1 M 3M 1Y 9Y 8Y 0Y
Exchange
UCC Name & ID
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 Rs. 25,00,000 to 1,00,00,000 More than Rs. 1,00,00,000
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) 4 9 2 2 1 1 0 0 5
IFS Code (11 Character) U T I B 0 0 0 1 2 2 8
Account Number 914010055851074
Account Type ✔ Saving Current Others (specify)___________________________
Bank Name Axis Bank
Branch Name
Bank Branch Address DAU COMPLEX VYAS TALAB CHOWK URLA - BIRGAON ROAD P.O. URLA. PIN - 493 221

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
BIRENDRA31031980@GMAIL.COM
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]

9 6 9 1 0 7 7 4 4 5
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 FORM (Annexure-A)
(To be filled in by individual applying singly or jointly)
Finvasia Securities Pvt. Ltd.
FINVASIA CENTRE, D 179, Phase 8 B, (Sector 74)
Mohali, Punjab-160055 (India)
DA
DATE
TE 2D 2D 1M 1M 2Y 0Y 2Y Y4 UCC E L L P S 3 8 1 7 P
DP ID 1 2 0 8 4 3 0 0 Client ID
I/We
I/We wish to make a nomination. [As per details given below]
NOMINATION DETAILS
I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all the assets held in my / our
account in the event of my / our death.
Nomination can be made upto Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
three nominees in the account

Mandatory Details
1 Name of the nominee(s)
Mr./Ms.) KUSUM LATA SAHU
2 Share of each % % %
Nominee
Equally
[If not equally,
100
please specify
percentage] Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship with the

Applicant (if any) Spouse
4 Date of Birth {in case of
minor nominee(s)}
5 Name of Guardian (Mr./Ms.)
{in case of minor nominee(s)}

Non-Mandatory Details

6 Address of Nominee(s)/
Guardian in case of Minor
Godhana Janjgir CG India
City / Place:
State & Country:

PIN Code 495556

7 Mobile/Telephone No.of
nominee(s)/ Guardian in case
of Minor
9589348105
8 Email ID of nominee(s)/
Guardian in case of Minor birendra31031980@gmail.com

9 Nominee/Guardian (in case of

Minor) Identification details –
[Please tick any one of following
and provide details of same]
Photograph & Signature
PAN ✔ AADHAAR
Saving Bank A/c No.
******** 8929
Proof of Identity
Demat Account ID

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 Name(s) of Holder(s) Signature(s) of Holder

Sole/First Holder BIRENDRA KUMAR SAHU

(Mr./Ms.) 3

Second Holder
(Mr./Ms.)

Third Holder
(Mr./Ms.)

*Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of signature.
Note:
This nomination shall supersede any prior nomination made by the account holder(s), if any.
The Trading Member / Depository Participant shall provide acknowledgement of the nomination form to the account holder(s).

DECLARATION FORM FOR OPTING OUT OF NOMINATION (Annexure-B)

To,
Finvasia Securities Pvt. Ltd.
FINVASIA CENTRE, D 179, Phase 8 B, (Sector 74)
Mohali, Punjab-160055 (India)

DATE D D M M Y Y Y Y UCC N A
DP ID 1 2 0 8 4 3 0 0 Client ID

Sole/First Holder Name

NA

Second Holder Name

Third Holder Name

I / We hereby confirm that I / We do not wish to appoint any nominee(s) in my / our trading / demat account and understand the issues
involved in non-appointment of nominee(s) and further are aware that in case of death of all the account holder(s), my / our legal heirs would
need to submit all the requisite documents / information for claiming of assets held in my / our trading / demat account, which may also
include documents issued by Court or other such competent authority, based on the value of assets held in the trading / demat account.

Signatures
of Holder(s) 4

Signature of 1st Holder Signature of 2nd Holder Signature of 3rd Holder

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 TARIFF CHARGES

ZERO BROKERAGE CHARGES

1. n

There shall be no software charges, However in case of any change in future, clients will be informed with two
months notice.
Shoonya (EXE/WEB/MOB) : Zero Charges

4
(Client Signature)

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 FINVASIA SECURITIES PVT. LTD.
SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74), Mohali, Punjab 160055 (India)
Ph.: 0172-4770000, 6670000, Fax : 0172-6670070, E-mail : cdsldp@shoonya.com
TARIFF FOR DEPOSITORY SERVICES

Sl. No. TRANSACTION DETAIL RETAIL CLIENTS BSDA CLIENTS

1. Demat Account Opening Charges Nil Nil

2. Account Maintenance Charges Nil Nil

3. POA Services Rs. 100/- (One Time) Rs. 100/- (One Time)

4. Transaction Charges per ISIN :

(a) Buy (Receive) Nil Nil
(b) Sell (Debit) Rs. 9/- Rs. 19/-
(c) Off Market Transactions Rs. 9/- Rs. 19/-
5. Demat (Per certificate) Rs. 15/- Rs. 15/-
6. Remat (Per ISIN upto 100 shares) Rs. 15/- + Courier Charges Rs. 15/- + Courier Charges

7. Demat / Remat Request Rs. 99/- + Courier Charges Rs. 99/- + Courier Charges
8. Pledge per ISIN Rs. 25/- + CDSL Charges Rs. 25/- + CDSL Charges
9. Unpledge per ISIN Rs. 25/- + CDSL Charges Rs. 25/- + CDSL Charges
10. Pledge Invocation per ISIN Rs. 19/- Rs. 19/-
11. Periodic Statement :
(a) By Email Free Free
(b) Physical* Rs. 99/- (Courier Charges) Rs. 99/- (Courier Charges)
12. 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
13. Delivery Instructions :
(a) First Delivery Instruction Book Free (5 Leaves) Free (5 Leaves)
(b) Every Additional Booklet* Rs. 50/- (5 Leaves) Rs. 50/- (5 Leaves)
14. Cheque Bounce / Per cheque Rs. 299/- Rs. 299/-

15. Failed Transctions Rs. 49/- per transaction Rs. 49/- per transaction
16. Modification in CML Rs. 19/- per request Rs. 19/- per request
17. Demat Closure Account Nil Nil
NOTE :*
All taxes separate 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.
*For Physical (once a year) not chargeable.
* Every Aditional Booklet courier charges Extra .

5
Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder
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 Most Important Terms and Conditions (MITC)
(For non-custodial settled trading accounts)

1. Your trading account has a “Unique Client Code” (UCC), different from your demat account number. Do
not allow anyone (including your own stock broker, their representatives and dealers) to trade in your
trading account on their own without taking specific instruction from you for your trades. Do not share
your internet/ mobile trading login credentials with anyone else.

2. You are required to place collaterals as margins with the stock broker before you trade. The collateral can
either be in the form of funds transfer into specified stock broker bank accounts or margin pledge of
securities from your demat account. The bank accounts are listed on the stock broker website. Please do
not transfer funds into any other account. The stock broker is not permitted to accept any cash from you.

3. The stock broker’s Risk Management Policy provides details about how the trading limits will be given to
you, and the tariff sheet provides the charges that the stock broker will levy on you.

4. All securities purchased by you will be transferred to your demat account within one working day of the
payout. In case of securities purchased but not fully paid by you, the transfer of the same may be subject
to limited period pledge i.e. seven trading days after the pay-out (CUSPA pledge) created in favor of the
stock broker. You can view your demat account balances directly at the website of the Depositories after
creating a login.

5. The stock broker is obligated to deposit all funds received from you with any of the Clearing Corporations
duly allocated in your name. The stock broker is further mandated to return excess funds as per
applicable norms to you at the time of quarterly/ monthly settlement. You can view the amounts allocated
to you directly at the website of the Clearing Corporation(s).

6. You will get a contract note from the stock broker within 24 hours of the trade.

7. You may give a one-time Demat Debit and Pledge Instruction (DDPI) authority to your stock broker for
limited access to your demat account, including transferring securities, which are sold in your account for
pay-in.

8. The stock broker is expected to know your financial status and monitor your accounts accordingly. Do
share all financial information (e.g. income, networth, etc.) with the stock broker as and when requested
for. Kindly also keep your email Id and mobile phone details with the stock broker always updated.

9. In case of disputes with the stock broker, you can raise a grievance on the dedicated investor grievance
ID of the stock broker. You can also approach the stock exchanges and/or SEBI directly.

10. Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature are prohibited by
law. You will not have any protection/recourse from SEBI/stock exchanges

(Client Signature)
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 STANDING INSTRUCTIONS / AUTHORIZATION LETTER
To, 22-11-2024
Date :
Finvasia Securities Pvt. Ltd.
BIRGAON M
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74) Place :
Mohali, Punjab 160055 (India)

Sub : Standing Instructions / Authorization Letter

I/We have been / shall be dealing through you as my broker on the Capital Market and/or Futures & Options Segments / Currency
Derivatives Segments. As my broker i.e. agent I/we direct and authorize you to carry out trading / dealings on my/our behalf from
telephone/mobile calls made by me and/or through instructions emailed by me as per instructions given below
Since you are issuing contract notes bearing order numbers and trade numbers on a daily basis, please do not issue the order/trade
confirmation slips as generated from the Trading Terminal.
You have discounted to me/us that you undertake proprietary trading.

Thanking you
Yours faithfully

6
(Client Signature)
VERBAL ORDER ACCEPTANCE AUTHORIZATION
To, 22-11-2024
Date :
Finvasia Securities Pvt. Ltd. BIRGAON M
FINVASIA CENTRE, D179, Phase 8 B (Sector 74) Place :
Mohali, Punjab -160055

Sub : Verbal Order Acceptance Authorization

I/We have been / shall be dealing through as my / our broker on the Capital Market, Mutual Fund and/or Futures & Options
Segments / Currency Derivative Segment. As my broker i.e. agent I/we direct and authorize you to carry out trading / dealings on
my/our behalf from telephone/mobile calls made by me and/or through instructions emailed by me as per instructions given below I/
We agree and acknowledge the it is advised and preferred you that I/We given instructions for order placement/modification and
cancelation in writing and to avoid disputes, I/we must given instructions in exactly the format given below in duplicate (carbon
copy/ photocopy) and take signatures of your duly authorized officers at the branch along with your company stamp on the carbon/
photocopy of the instructions in acknowledgement of receipt of my/our instructions. However as I/we shall be dealing by ordering
over phone and even if I/we visit the branch, the fluctuations in market are so rapid that it is not practical to give written instructions
for order placement/modification and cancellation. I/We hereby authorize you to accept my / my authorized representative's verbal
instructions for order placement/ modification and cancellation in person or over phone (fixed line or mobile phone) and execute the
same. I/We all be liable for all losses, damages and actions which may arise as a consequence of your adhering to and carrying out
my/our directions given above.

Thanking you
Yours faithfully

7
(Client Signature)
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 RUNNING ACCOUNT AUTHORISATION

To, 22-11-2024
Date ………..
Finvasia Centre D-179,
Phase -8 B Sector -74 Mohali -Punjab160055

Sub: RUNNING ACCOUNT AUTHORISATION

I/We are dealing through you as a client in Capital Market and/or Future & Option segment
and/or Currency segment and/or Commodity segment and/or Interest Rate future Segment and/or
Mutual Fund Segment & in order to facilitate ease of operations and upfront requirement of
margin for trade. I/We authorize you as under:

1. I/We request you to maintain running balance in my account & retain the credit balance in any
of my/our account and to use the unused funds towards my/our margin/pay-in/other future
obligation(s) at any segment(s) of any or all the Exchange(s)/Clearing corporation unless I/we
instruct you otherwise.

2. I/We request you to settle my fund once in ✔ 30 days or once in 90 days or such other
higher period as allowed by SEBI/Stock Exchange time to time except the funds given towards
collaterals/margin in form of Bank Guarantee and/or Fixed Deposit Receipt.

3. In case I/We have an outstanding obligation on the settlement date, you may retain the
requisite funds towards such obligations and may also retain the funds expected to be required to
meet future margin obligations, calculated in the manner specified by the exchanges.

4. I/We confirm you that I will bring to your notice any dispute arising from the statement of
account or settlement so made in writing within 30 working days from the date of receipt of
funds/securities or statement of account or statement related to it, as the case may be at your
registered office. The running account authorization provided by me shall continue and remain
valid until it is revoked by me anytime in writing.

Thanking You

Yours faithfully,

Signature 22-11-2024
Date: ……./………/..………

BIRENDRA KUMAR SAHU

Name________________________________ ELLPS3817P
Client Code_______________________

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 FATCA-CRS Declaration
Please seek appropriate advice from your professional tax professional on your tax residency and related
FATCA & CRS guidance
BIRENDRA KUMAR SAHU
Name

Place of Birth NA
Country of Birth N A

Nationality I n d i a n
Constitute ✔ Individual HUF NRI Foreign National

Corporate Others (Pl. Specify)

Are you a tax resident of any country other than India - Yes ✔ No

If Yes, please indicate all countries in which you are resident for tax purposes and the associated Tax ID Numbers below.

Country # Tax Identification Number% Identification Type

S.No. (TIN or other, please specify)

1.
2.
3.

# To also include USA, where the individual is a citizen / green card holder of the USA
% In case Tax Identification Number is not available, kindly provide its functional equivalent $

CERTIFICATION
I / We have understood the information requirements of this Form (read along with the FATCA & CRS Instructions) and
hereby confirm that the information provided by me/us on this Form is true, correct and complete. I / We also confirm
that I / We have read and understood the FATCA & CRS Terms and Conditions below and hereby accept the same.

FATCA & CRS - TERMS & CONDITIONS

Details under FATCA & CRS : The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income-
tax Rules, 1962, which Rules require Indian financial institutions such as the Bank to seek additional personal, tax and
beneficial owner information and certain certifications and documentation from all our account holders. In relevant
cases, information will have to be reported to tax authorities / appointed agencies. Towards compliance, we may also
be required to provide information to any institutions such as withholding agents for the purpose of ensuring appropriate
withholding from the account of any proceeds in relation thereto.
Should there be any change in any information provided by you, please ensure you advise us promptly, i.e. within 30
days.
It is important that you respond to our request, even if you believe you have already supplied any previously requested
information.

Date : 2 2 1 1 2 0 2 4
9
Place : BIRGAON M
Signature

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 FINVASIA SECURITIES PVT. LTD.
SEBI REGN. NO. : IN-DP-317-2017 • DP ID 12084300
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74),Mohali, Punjab -160055 (India) Ph.:
0172-4770000, 6670000, Fax : 0172-6670070, E-mail : cdsldp@shoonya.com
ANNEXURE-A
Terms & Conditions-Cum-Registration / Modification Form for receiving SMS Alerts from CDSL
Definitions : In case of change in mobile number not intimated to the depository,
In these Terms and Conditions the terms shall have following meaning the SMS alerts will continue to be sent to the last registered mobile
unless indicated otherwise. phone number. The BO agrees to indemnify the depository for any
Fees, Charges and deposits loss or damage suffered by it on account of SMS alerts sent on
1. "Depository" means Central Depository Services (India) Limited a such mobile number.
company incorporated in India under the Companies Act 1956 and Receiving Alerts :
having its registered office at 17th Floor, P.J. Tower, Dalal Street, 1. The depository shall send the alerts to the mobile phone number
Fort, Mumbai-400001 and all its branch offices and includes its provided by the BO while registering for service or to any such
successors and assigns. number replaced and informed by the BO from time to time. Upon
2. 'DP' means Depository Participant of CDSL. The term covers all such registration / change, the depository shall make every effort
types of DPs who are allowed to open demat accounts for to update the change in mobile number within a reasonable period
investors. of time. The depository shall not be responsible for any event of
3. 'BO' means an entity that has opened a demat account with the delay or loss of message in this regard.
depository. The term covers all types of demat accounts, which 2. The BO acknowledges that the alerts will be received only if the
can be opened with a depository as specified by the depository mobile phone is in 'ON' and in a mode to receive the SMS. If the
from time to time. mobile phone is in 'Off' mode i.e. unable to receive the alerts then
4. SMS means "Short Messaging Service" the BO may not get / get after delay any alerts sent during such
5. 'Alerts' means a customized SMS sent to the BO over the said period.
mobile phone number. 3. The BO also acknowledges that the readability, accuracy and
6. 'Service Provider' means a cellular service provider(s) with whom timeliness of providing the services depend on many factors
the depository has entered/will be entering into an arrangement including the infrastructure, connectivity of the service provider.
for providing the SMS alerts to the BO. The depository shall not be responsible for any non-delivery,
7. 'Service' means the service of providing SMS alerts to the BO on delayed delivery or distortion of the alert in any way whatsoever.
best effort basis as per these terms and conditions. 4. The BO further acknowledge that the service provided to him is an
Availability : additional facility provided for his convenience and is susceptible
1. The service will be provided to the BO at his/her request and at the to error, omission and/or in accuracy. In case of BO observes any
discretion of the depository. The service will be available to those error in the information provided in the alert, the BO shall inform
account holders who have provided their mobile numbers to the the depository and/or the DP immediately in writing and the
depository through their DP. The service may be discontinued for a depository will make best possible efforts to rectify the errors as
specific period/indefinite period with or without issuing any prior early as possible. The BO shall not hold the depository liable for
notice for the purpose of security reasons or system maintenance any loss, damages, etc. that may be incurred/suffered by the BO
or for such other reasons as may be warranted. The depository an account to avail SMS alerts facility.
may also discontinue the service at any time without giving prior 5. The BO authorized the depository to send any message such as
notice for any reason whatsoever.
promotional, greeting or any other message that the depository
2. The service is currently available to the BOs who are residing in may consider appropriate, to the BO. The BO agrees to an ongoing
India. confirmation for use of name, email address and mobile number for
3. The alerts will be provided to the BOs only if they remain within the marketing offers between CDSL and any other entity.
range of the service provider's service area or within the range
forming part of the roaming network of the service provider. 6. The BO agrees to inform the depository and DP in writing of any
unauthorized debit to his BO account/unauthorized transfer of
4. In case of joint accounts and non-individual accounts the service securities from his BO account, immediately, which may come to
will be available, only to one mobile number i.e. to the mobile his knowledge on receiving SMS alerts. The BO may send an email
number as submitted at the time of registration / modification. to CDSL at complaints@cdslindia.com The BO is advised not to
5. The BO is responsible for promptly intimating to the depository in inform the service provider about any such unauthorized debit
the prescribed manner any change in mobile number, or loss of to/transfer of securities from his BO account by sending a SMS
handset, on which the BO wants to receive the alerts from the back to the service provider as there is no reverse communication
depository. between the service provider and the depository.

10
Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder

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7. The information sent as an alert on the mobile phone number shall access to the information and/or SMS alert sent on the mobile phone
be deemed to have been received by the BO and the depository number of the BO or for fraudulent, duplicate or erroneous use/ misuse
shall not be under any obligation to confirm the authenticity of the of such information by an third person.
person(s) receiving the alert.
Liability and Indemnity :
8. The depository will make best efforts to provide the service. The
BO cannot hold the depository liable for non-availability of the The Depository shall not be liable for any breach of confidentiality by the
service in any manner whatsoever. service provider or by any third person due to unauthorized access to
the information meant for the BO. In consideration of the depository
9. If the BO finds that the information such as mobile number etc., has providing the service, the BO agrees to indemnify and keep safe,
been changed without proper authorization, the BO should harmless and indemnified the depository and its officials from any
immediately inform the DP in writing. damages, claims, demands, proceedings, loss, cost, changes and
Fees : expenses whatsoever which a depository may at any time incur,
Depository reserves the right to change such fees from time to time as it sustain, suffer or be put to as a consequence of or arising out or
deems fit for providing this service to the BO. interference with or misuse, improper or fraudulent use of the service
by the BO.
Disclaimer :
Amendments :
The depository shall made reasonable efforts to ensure that the BO's
personal information is kept confidential. The depository does not The depository may amend the terms and conditions at any time with or
warranty the confidentiality or security of the SMS alerts transmitted without giving any prior notice to the BOs. Any such amendments shall
through a service provider. Further, the depository makes no warranty be binding on the BOs who are already registered as user of this service.
or representation of any kind in relation to the system and the network Governing Law and Jurisdiction :
or their function or their performance or for any loss or damage
whenever and howsoever suffered or incurred by the BO or by any Providing the Service as outlined above shall be governed by the laws of
person resulting from or in connection with availing of SMS alerts India and will be subject to the exclusive jurisdiction of the courts in
facility. The Depository will not be liable for any unauthorized use or Mumbai.

I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the
terms and conditions mentioned below. 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 generating SMS Alerts by service provider, to be sent to the said mobile
number.
I/We have read and understood the terms and conditions mentioned above 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.
I/We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would
be required to take up the matter with their DP.
I/We am/are aware that more acceptance of the registration form does not imply in any way that the request has been accepted by the depository
for providing the service.
I/We provide the following information for the purpose of registration/modification (Please cancel out what is not applicable).

DP ID 1 2 0 8 4 3 0 0 BO ID

Sole/First Holder's Name : BIRENDRA KUMAR SAHU

Second Holder's Name :

Third Holder's Name :

Mobile No. on which messages are to be sent + 9 1 9 6 9 1 0 7 7 4 4 5

(Please write only the mobile number without prefixing country code or zero)

The Mobile Number is registered in the name of :

E-mail Id : BIRENDRA31031980@GMAIL.COM
(Please write only ONE valid email Id on which communication; if any, is to be sent)

11
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).
BIRGAON M Date :..............................
Place :............................. 22-11-2024
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 OPTION FORM FOR ISSUE OF DIS BOOKLET

Date D D M M Y Y Y Y

DP ID 1 2 0 8 4 3 0 0 Client ID

First Holder Name

Second Holder Name

Third Holder Name

To,
Finvasia Securities Pvt. Ltd.
FINVASIA CENTRE, D 179, Phase 8 B, (Sector 74)
Mohali, Punjab-160055 (India)

OPTION 1 :
I / We require you to issue Delivery Instruction Slip (DIS) booklet to me/us immediately on opening my/our CDSL
account through I/We have issued a Power of Attorney (POA) in favour of Finvasia Securities Pvt. Ltd. for executing
delivery instructions for setting stock exchange trades (settlement related transactions) effected through such
Clearing Member.
OR
OPTION 2 :
I/We do not require the Delivery Instruction Slip (DIS) for the time being. However, the Delivery Instruction Slip (DIS)
booklet should be issued to me/us immediately on my/our request at any later date.since I / we have issued a POA
/registered for eDIS in favour of /with Finvasia Securities Pvt Ltd for executing delivery instructions for selling stock
exchnage trades(serrlement releated transections) effected through such POA / eDIS .

I/We hereby select Option 1 Option 2 ✔

13
Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder

Instructions to the Applicants (BOs) for account opening:

1. Signatures can be in English or Hindi or any of the other languages contained in the 8th Schedule of the Constitution
of India. Thumb impressions and signatures other than the above mentioned languages must be attested by a
Magistrate or a Notary Public or a Special Executive Magistrate / Special Executive Officer under his/her official
seal.
2. Signatures should be preferably in black ink.
3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public / Special Executive
Magistrate / Special Executive Officer are to be provided in case of attestation done by them.
4. In case of additional signatures (for accounts other than individuals), separate annexures should be attached to
the account opening form.
5. In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self certified copy
thereof, must be lodged along with the application.
6. All correspondence / queries shall be addressed to the first / sole applicant.
7. Strike off whichever option, in the account opening form, is not applicable.

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 ACKNOWLEDGEMENT RECEIPT

To,
Finvasia Securities Pvt. Ltd.
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74)
Mohali, Punjab- 160055 (India)

22-11-2024
Application No. Date

Dear Sir,

I/We hereby wish to receive the below mentioned documents either electronically (email) or physically.

1. Rights & Obligation of Stock Broker/T rading Mem ber, Sub broker and client for Trading on exchanges
(including additional Rights and Obligations in case of Internet/Wireless Technology based Trading)

2. Rights & obligations of beneficial owner & depository participant as prescribed by SEBI & depositories.

3. Risk Disclosure Document (RDD) & Documents detailing Do's & Don'ts for Trading on exchange & Policies
and procedures of the stock broker.

✔ Electronically (E-mail) Physically

Name of the Sole/First Holder Name of the Second Joint Holder Name of the Third Joint Holder

BIRENDRA KUMAR SAHU

12
Signature of Sole/First Holder Signature of Second Holder Signature of Third Holder

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 AUTHORISATION FOR ELECTRONIC COMMUNICATION
22-11-2024
To, Date :
Finvasia Securities Pvt. Ltd.
FINVASIA CENTRE, D 179, Phase 8 B (Sector 74)
Mohali, Punjab 160055 (India)

Sub : Authorisation for Electronic Communication

Dear Sir,
I/We understand that I/We have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I/We
hereby opt for receipt of contract notes in electronic form as well as all other communications including account statement, holding
statement, trade, order confirmations and any other notices also electronically.
I/We understand that for the above purpose, you are required to take from the client "an appropriate email account" for you to send the
electronic contract notes. Accordingly, please take the following email account on your record for sending the contract notes and other
communications to me/us.
BIRENDRA31031980@GMAIL.COM
1. Email id :...................................................................................................................................................................................................
BIRENDRA31031980@GMAIL.COM
2. Alternate Email id: ....................................................................................................................................................................................
I/We agree that the Log Reports of your dispatching software shall be a conclusive proof of dispatch of Contract Notes and any other
electronic communication to me/us and such dispatch shall be deemed to mean receipt by me/us and shall not be disputed by me/us on
account of any non-receipt / delayed receipt for any reason whatsoever.
I/We also agree that non-receipt of bounced mail notification by the stock broker shall amount to delivery at my/our e-mail id.
Please treat this authorisation as written ratification of my/our verbal directions / authorizations given and carried out by you earlier. I/We
agree to indemnify you and keep you indemnified against all losses, damages and actions which you may suffer or face as a consequence
of adhering to and carrying out my/our directions given above.
I/We agree to inform you any change in my email in future either in physical mode by regd. post or by hand delivery or through an email from
my email id registered with you.
Thanking you
Yours faithfully,

13
(Client Signature)

BIRENDRA KUMAR SAHU

Client Name :___________________________________________________

ELLPS3817P
Client Code :____________________________________________________

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 Aadhaar XML converted PDF
Name Birendra Kumar Sahu
Gender Male
Date of birth 1980-03-31
Mobile 9691077445
Email birendra31031980@gmail.com
Ref. Number

Aadhaar number xxxxxxxx9929

Rujhu Ram Sahu Birgaon(m) sant ravi das
Address
ward Birgaon(m) Raipur 493221 Chhattisgarh
India

30-09-2024 1:35 PM

Note: This document has been created from the UIDAI XML submitted by the investor. Investor has submitted this
data with informed consent to Finvasia Securities Pvt Ltd . As KYC proof for opening of the Trading and Demat
account with Finvasia Securites Pvt Ltd.
 PAN VERIFICATION RECORD
Permanent Account Number

ELLPS3817P
Name BIRENDRA KUMAR SAHU

Gender MALE

Date of birth 31-03-1980

Verified On 30/09/2024 13:35:49

Digitally signed on
Date: 30/09/2024 13:35:49 IST

Note:

1. This PAN data is verified by DigiLocker (https://digilocker.gov.in) as per data provided by

the issuing authority, Income Tax Department, Govt. of India.
2. This digitally signed verification document is valid as per the IT Act 2000 when used
electronically.

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