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
NSE F&O
Please select the exchange / segment you want to trade. If you do not confirm, we shall presume that the information available with us is correct.
2. Documentary evidence of financial details: Client who have opted to trade in the Derivative Segment are required to submit any one of the following documentary evidence on their financial information:
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 same.
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:
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 services.
In case you require any clarifications, you may please contact us : ______, Emai Phone- ______
Assuring you of our best services at all times