FILE NO.
For Office Use Only
NSE CM  F&O   CD 
BSE CM  F&O  
MCX-SX CM  F&O   CD 
Serial No. :
Date :
Client Code :
Client ID :
Holder's Name :
Branch Name :
Branch Code :
www.elitewealth.in
Elite Wealth Advisors Limited
MEMBER : NATIONAL STOCK EXCHANGE OF INDIA LTD.
SEBI REGN.NO. :INB230805133/INF230805133/INE230805133
MEMBER : BOMBAY STOCK EXCHANGE LTD.
SEBI REGN.NO. :INB010805134/INF010805134
MEMBER : MCX STOCK EXCHANGE LTD.
SEBI REGN.NO. :INB260805131/INF260805131/INE260805131
DP: NATIONAL SECURITIES DEPOSITORY LTD
SEBI REGN.NO. :NSDL(DP ID:IN 301670)IN-DP-NSDL-142-2000
DP: CENTRAL DEPOSITORY SERVICES (INDIA)LTD.
SEBI REGN.NO. :CDSL(DP ID:IN 12066800)IN-DP-CDSL-577-2010
CLIENT REGISTRATION FORM
 
Name (Branch/Sub Brokers) :
Employee Name : Designation
Signature :
Date : Place :
Signature of Applicant :    
    First Holder     Second Holder     Third Holder
 
 
 
www.elitewealth.in
Elite Wealth Advisory Limited
Exchange Name Sebi Regn. No. Date of Regn.
NSE INB230805133(Cash)
INF230805133(F&O)
INE230805133(Currency)
17/10/1995
25/11/2003
05/11/2003
BSE INB01080513(Cash)
INF01080513(F&O)
30/11/2006
24/12/2010
MCX-SX INB260805131(Cash)
INF260805131(F&O)
INF260805133(Currency)
22/01/2013
25/11/2003
30/09/2008
Regd. Office : S-110,Sahara Mall,M.G.Road,Gurgaon-122002,Haryana
Phone : +91-124-4068107, 40000704 • Fax : +91-124-4053448
E-mail : info@elitewealth.in • Website : www.elitewealth.in
Corporate Office : S-8,DDA,Shopping Complex,Mayur Vihar Phase-1,Delhi-110091
Phone : +91-11-43035516-517, 40000704 • Fax : +91-11-22795783
E-mail : info@elitewealth.in
Compliance Officer’s Details
Name : : Sanjay Dutt Sharma Phone No:+91-11-43035545
E-mail Id : compliance@elitewealth.in
COO's Details
Name : : Vikram Luthra Phone No:+91-11-43035516
E-mail Id : vikramluthra@elitewealth.in
Clearing Members Details For Currency Derivatives Segement, BSE F&O Segment
Name : Globe Capital Market Ltd.
Sebi Regn No. : NSE-INE 230663732 • BSE-INF 010663731 • MCX-SX INE 260663732
Regd. Office : 804, Ansal Bhawan, 16 K.G. Marg, Connaught Place, New Delhi-110001
Phone No : +91-11-30412400 • Fax: +91-11-23720880
For any grievance/dispute please contact Elite Comtrade Private Limited at the above address or email id investorquery@elitewealth.in and Phone No. +91-11-43035516. In case not satisfied with the response, please contact the concerned exchange(s) at :
•   NSE-complaint may be filed through website www.nseindia.com or sending hard copy to nearest NSE office or may Call at 022-26598100
•   BSE-complaint may be filed at the nearest BSE Investor center or at 022-22721233
•   MCX-SX-mail may be sent to investorcomplaints@mcx-sx.com or contact to senior Manager,Investor Services Center,MCX Stock Exchange           Limited, Exchange square, Suren Road, Chakala, Andheri(East),Mumbai-400 093 Phone: 022-6731 8933
About Internet & Wireless Based Trading Facilities
Tick the mode of Trading
 
ACCOUNT OPENING KIT
INDEX OF DOCUMENTS
S. No. Name of Document Brief Significance of the Document Page No.
DOCKET - A MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
1. Account Opening Form A. KYC form - Document captures the basic information about the constituent
and an instruction/check list.
1 to 7
B. Document captures the additional information about the constituent relevant to trading account and an instruction/check list.
2. Rights and obligations Document stating the Rights & Obligations of stock broker/trading member,sub-broker and client for trading on exchanges (including additional rights and obligations in case of internet/wireless technology based trading) Seperate Sheet
3. Risk Disclosure Document(RDD) Document detailing risks accosiated with dealing in the securities market.
4. Guidance Note Document detailing do's and dont's for trading on exchange, for the education of the investors.
5. Policies and procedure Document describing significant policies and procedure of the stock broker 8 to 9
6. Tariff sheet Tariff sheet provides the detailed terms & conditions of charging subscription/rate/amount of brokerage and other charges leveid on the client for trading on the stock exchange(s). 10
DOCKET - B VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKERS
S. No. Name of Document Brief Significance of the Document Page No.
7. Acknowledgment Acknowledgment for Trading 10
8. Running Account Authorisation Authorisation 11
9. Memorandum of Understanding Others Terms & conditions 12 to 14
10. Letter of Authority Authorisation to Member 15 to 16
DOCKET - C DEPOSITORY PARTICIPANT & OTHER DOCUMENTS AS PROVIDED BY THE STOCK BROKER
S. No. Name of Document Brief Significance of the Document Page No.
11. DP Form KYC Form (Demat) i to ix
12. Transaction Statement Agreement Agreement x
13. DP Agreement Agreement xi to xii
14. Power of Attorney POA xiii
15. Issuance of DIS Booklet Option for Issuance of DIS Booklet Along with account opening xiv
16. Price Structure xv
17. Declaration by HUF Declaration xvi
18. Declaration for Name mismatch Declaration xvii
19. Format of Board Resolution Format(for Trading) xvii
20. Declaration by Proprietory concern Declaration(for Trading) xviii
21. Format of Board Resolution Format(for Demat) xix
22. Declaration to be given by partners Declaration(for Demat) xx
23. Acknowledgement Acknowledgement for DP xx
ACKNOWLEDGEMENT
I/We ackowledge receipt of the documents at serial 2,3 & 4. I/We further understand that the rest of the documents mentioned above shall be provided to me/us after verification/ Acceptance / Execution by the broker.
  Client Signature
 
INSTRUCTIONS/CHECK LIST FOR FILLING KYC FORM (For Trading and Demat Account)
A. IMPORTANT POINTS
  1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in commodity derivatives on behalf of company/firm/others.
  2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list.
  3. If any proof of identity or address is in a regional language, then translation into English is required.
  4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.
  5. If correspondence & permanent address are different, then proofs for both have to be submitted.
  6. Sole proprietor must make the application in his individual name & capacity.
  7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FIPB/FEMA guidelines and other applicable statutory approvals), copy of passport/PIO Card/OCI Card and overseas address proof is mandatory.
  8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.
  9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted along with other statutory approvals required for investment in commodities.
  10. For opening na account with Depository participant or Mutual fund, for a minor,photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.
  11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/ military officers, senior executives of state owned corporations, important political party officials, etc.
 
B. Proof of Identity (POI)
  List of documents admissible as Proof of Identity:
  1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.
  2. PAN card with photograph.
  3. Identity card issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions,
 
C. Proof of Address (POA)
  List of documents admissible as Proof of Address:
  (*Documents having an expiry date should be valid on the date of submission.)
  1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat Maintenance bill/ Insurance Copy.
 
  2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.
  3. Bank Account Statement/Passbook -- Not more than 3 months old.
  4. Self Declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.
  5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/ Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.
  6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
  7. For FII/sub account, Power of Attorney given by FII/sub account to the custodians(which are duly notarized and/or apostiled or consularised)that gives the registered address should be taken. 8. The Proof of address in the name of spouce may be accepted.
D. Exemptions/Clarification to PAN
  (*Sufficient documentary evidence in support of such claims to be collected.)
  1. Transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc.
  2. Investors residing in the state of Sikkim.
  3. UN entities/multilateral agencies exempt from paying taxes/filling tax returns in India.
  4. SIP of Mutual fund upto RS. 50,000/- p.a.
  5. In case of institutional clients, namely, FII,MFs,VCFs,FVCIs,Scheduled Commercials Banks,Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the companies Act, 1956, Custodies shall verify the PAN Card details with the original PAN Card and provided duly certified copies of such verified PAN Details of the intermediary.
E. List of people authorized to attest the documents:
  1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).
  2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are permitted to attest the documents.
 
F. In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above the POI & POA, as mentioned below :
Type of Entity Documentary Requirements
Corporate
  • Copy of the balance sheets for the last 2 financial years (to be submitted every year).
  • Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).
  • Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.
  • Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.
  • Copies of the Memorandum and Articles of Association and certificate of incorporation.
  • Copy of the Board Resolution for investment in commodity market.
  • Authorised signatories list with specimen signatures.
Partnership Firm
  • Copy of the balance sheets for the last 2 financial years (to be submitted every year).
  • Certificate of registration (for registered partnership firms only).
  • Copy of partnership deed.
  • Authorised signatories list with specimen signatures.
  • Photograph, POI, POA, PAN of Partners.
Trust
  • Copy of the balance sheets for the last 2 financial years (to be submitted every year).
  • Certificate of registration (for registered trust only).
  • Copy of Trust deed.
  • List of trustees certified by managing trustees/CA.
  • Photograph, POI, POA, PAN of Trustees.
HUF
  • PAN of HUF.
  • Deed of declaration of HUF/ List of coparceners.
  • Bank pass-book/bank statement in the name of HUF.
  • Photograph, POI, POA, PAN of Karta.
Unincorporated Association or a Body of Individuals
  • Proof of Existence/ Constitution document.
  • Resolution of the managing body & power of Attorney granted to transact business on its behalf.
  • Authorised signatories list with specimen signatures.
Foriegn Institutional Investors(FII)
  • Copy of SEBI registration certificate.
  • Authorized signatories list with specimen signatures.
Army/Government Bodies
  • Self-certification on letterhead.
  • Authorized signatories list with specimen signatures.
Registered Society
  • Copy of Registration Certificate under Societies Registration Act.
  • List of Managing Committee members.
  • Committee resolution for persons authorised to act as authorised signatories with specimen signatures.
  • True copy of Society Rules and Bye Laws certified by the Chairman/Secretary
Additional documents in case of trading in derivatives segment- illustrative list:
Copy of ITR Acknowledgement Copy of Annual Accounts
In case of salary income - Salary Slip, Copy of Form 16 Net worth certificate
Copy of demat account holding system. Bank account statement for last 6 months.
Any other relevant documents substantiating ownership of assets. Self declaration with relevant supporting documents.
* In respect of other clients, documents as per risk management policy of the Company need to be provided by the client from time to time.
Bank Proof: Copy of canceled cheque leaf/pass book/bank statement specifying name of the constituent,MICR Code or/and IFSC Code of the bank should be submitted.
Demat Proof: Demat master or recent holding statement issued by DP bearing name of the client.
In-person Verification:
For Individuals:
(i)  Stock broker has an option of doing 'in-person' verification through web camera at the branch office of the stock broker/sub-brokers office.
(ii)  In case of non-resident clients, employess at the stock broker's staff, attestation of KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy / Consulate General in the Country where the clients resides may be permitted. For Non Individuals: Form need to be initialed by all the authorised Signatories.
 
DOCKET - A
 
KNOW YOUR CLIENT (KYC) APPLICATION FORM (For Trading)
Please fill this form in ENGLISH and in BLOCK LETTERS FOR INDIVIDUAL
A.     IDENTITY DETAILS
Name of the Applicant   :  
Father’s/Spouse Name   :  
Gender   :  
Marital Status
Date of Birth   :   Nationality   :  
Status :
PAN :
Unique Identification Number (UID)/ Aadhaar, if available :
Specify the proof of identity submitted :
B.     ADDRESS DETAILS
Address For :
Correspondence City/ Town / village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for permanent address, if any:
Permanent Address :
(if different from above or
overseas address,mandatory
for Non-Resident Applicant)
City / Town / Village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) :
Income Range per annum :
Net-worth as on  (Net worth should not be older than 1 year)
Occupation (please tick any one and give brief details)
Please tick, as applicable
Any Other Information :
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above informationis found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
Signature Of the Applicant   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
 
KNOW YOUR CLIENT (KYC) APPLICATION (For Trading)
Please fill this form in ENGLISH and in BLOCK LETTERS FOR NON-INDIVIDUAL
A.     IDENTITY DETAILS
Name of the Applicant   :  
Date of Incorporation   :  
Place of Incorporation   :  
Date of Commencement of Business :
PAN : Registration No.(eg.CIN) :
Status (Please tick any one) :
B.     ADDRESS DETAILS
Address For :
Correspondence City/ Town / Village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for permanent address, if any:
Registered Address :
(if different from above )
City / Town / Village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) : Income Range per annum
Net-worth as on  (Net worth should not be older than 1 year)
Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees and whole time directors
Name (1)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (2)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (3)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (4)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
DECLARATION
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 informationis found to be false or untrue or misleading or misrepresenting, I am/We aware that I may be held liable for it.
Name :
Signature Of the Authorised Signatory   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
 
www.elitewealth.in
 
TRADING ACCOUNT RELATED DETAILS
FOR INDIVIDUALS & NON INDIVIDUALS
A.     BANK ACCOUNT(S) DETAILS
Bank Name (1) :
Branch Address :
Address City/ Town / Village : Pin Code :
State : Country :
Bank Account No.
Account Type :
MICR Number : IFSC Code :
____________________________________________________________________________________________________________________
Bank Name (2) :
Branch Address :
Address City/ Town / Village : Pin Code :
State : Country :
Bank Account No.
Account Type :
MICR Number : IFSC Code :
B.     DEPOSITORY ACCOUNT(S) DETAILS
Depository Participant Name (1) :
Depository Name : DP ID : BO ID
DP ID : BO ID
Beneficiary Name :
____________________________________________________________________________________________________________________
Depository Participant Name (2) :
Depository Name : DP ID : BO ID
DP ID : BO ID
Beneficiary Name :
C.     TRADING PREFRENCES
* Please sign in the relevant boxes where you wish to trade. The Segment not chosen should be struck off the client.
Exchanges Segments
Cash
Cash  
Cash
# If, in future, the client wants to trade on any new segment/new exchange, seperate authorization/letter should be taken from the client by the stock broker.
 
D.     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 :
1.
2.
3.
E.     DEALINGS THROUGH SUB - BROKERS AND OTHER STOCK BROKERS
  • If client is dealing through the sub - broker, provide the following details:
Sub Brokers Name : SEBI Regn. :
Registered Office Address :
City/ Town / Village : Pin Code :
State : Country :
Phone No. : 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) :
Registered Office Address :
Pin Code :
Client code Exchange :
Details of disputes/dues pending from/to such stock broker/sub-broker :
 
 
F.     ADDITIONAL DETAILS
  • Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify) :
Specify your Email id, if applicable :
  • Whether you wish to avail of the facility of internet trading/ wireless technology (please specify)
Mode Of Trading
  • Number of years of Investment/Trading Experience
Years
  • In case of non-individuals, name, designation, PAN, UID, signature, residential address and photographs of persons authorized to deal in securities on behalf of
  • Any other information :
 
G.     INTRODUCER DETAILS :
Name of the Introducer :
Status of the Introducer :
Address of the Introducer :
Phone (with STD Code) : Mobile :
Signature of the Introducer :
 
H.     NOMINATION DETAILS (for Individuals only) :
Name of the Nominee :
Relationship with the Nominee :
PAN of Nominee : Date of Birth of Nominee :
Address of Nominee :
 
City /Town/ Village : Pin Code :
State : Country :
Phone No. :
If Nominee is a minor, details of guardian
Name of the Guardian :
Address of Guardian :
 
City /Town/ Village : Pin Code :
State : Country :
Phone No. :
Signature of Guardian :
WITNESSES (Only applicable in case the account holder has made nomination)
1st Witness
Name :
Signature :
Address :
Pin Code :
2nds Witness
Name :
Signature :
Address :
Pin Code :
INTIMATION BY THE MEMBER FOR PROPRIETARY TRADING
Dear Constituent,
Under instruction of SEBI, The National Stock Exchange Ltd. (NSE) / Bombay Stock Exchange Ltd. (BSE) / MCX Stock Exchange Ltd. (MCX-SX) has directed all its members to inform their clients whether they engage in proprietary trading in this regard we wish to inform you that we do engage in proprietary trading in the Cash, F&O Segment and Currency Derivatives Segment of NSE, Cash and F&O Segment of BSE & Cash, F&O Segment and Currency Derivatives Segment of MCX-SX.
Kindly take note of the above and oblige.
I/We have read the above letter.
  Client Signature
Thanking You
For Elite Wealth Advisors Limited
Authorised Signatory
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.
Place :
Date : Signature of Client/ (all) Authorized Signatory (ies)
FOR OFFICE USE ONLY
UCC Code allotted to the Client :
  Documents verified with Originals Client Interviewed By In-Person Verification 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 Elite Wealth Advisors Limited
Signature of the Authorised Signatory Date ..................................... Seal/Stamp of the Stock Broker
 
POLICIES AND PROCEDURES AS PER SEBI CIRCULAR NO. MIRSD/ SE /CIR-19/2009 DATED 3 DEC, 2009
POLICIES AND PROCEDURES:
  1. Refusal of orders for penny stocks:
    Stock broker is advising to the clients not to deal in penny securities and if client deals with the penny stocks, 100% margin will be taken from the client and these shares will not be taken to as Margin deposit. The stock broker shall have authority from time to time limit (quantity/ value) or refuse orders in one or more securities due to various reasons including market liquidity, value of security(ies) or may require compulsory settlement / advance payment of expected settlement value/ delivery of securities for settlement prior to acceptance / placement of order(s) as well, the order being for securities which are not in the permitted list of the stock broker / exchange(s) / SEBI or does not commensurate with the risk profile of the client as assessed by the broker. Decision of Broker will be binding on the client and will be final.
  2. Setting Up Client’s Exposure Limits:
    The client agrees to abide by the exposure limits, if any, set by the stock broker or by the Exchange or Clearing Corporation or SEBI from time to time. The client is aware and agrees that the stock broker may need to vary or reduce or impose new limits urgently on the basis of the stock broker’s risk perception, risk profile of the client and other factors considered relevant by the stock broker including but not limited to limits on account of exchange/ SEBI directions/ limits (such as broker level/ market level limits in security specific / volume specific exposures etc.).
The stock broker may be unable to inform the client of such variation, reduction or imposition in advance. The client agrees that the stock broker shall not be responsible for such variation, reduction or imposition or the client’s inability to route any order through the stock broker’s trading system on account of any such variation, reduction or imposition of limits. Sometimes client’s sauda may go to IOC (Immediate or Cancel) instead of normal bidding if broker terminal is on square off mode.
The Stock Broker at its sole discretion can give extra exposure or intraday limit to the client, such extra exposure will automatically be squared off by trading mechanism without any further reference to the client appx. 15 minutes before the scheduled closing.
  3. Applicable Brokerage Rate
  a.    For Cash Market Segment:
    The maximum brokerage chargeable in relation to trades effected in the securities admitted to dealings on the Capital Market segment of the Exchange shall be 2.5 % of the contract price exclusive of statutory levies. It is hereby further clarified that where the sale / purchase value of a share is Rs.10/- or less, a maximum brokerage of 25 paise per share may be collected.
  5. In case open position (i.e. short/long) gets converted into delivery due to non square off because of any reason whatsoever, the client agrees to provide securities/funds to fulfill the payin obligation failing which the client will have to face auctions or internal close outs; in addition to this the client will have to pay penalties and charges levied by exchange in actual and losses, if any.
  6. Any reference in these terms to sale or transfer of securities by the Stock Broker shall be deemed to include sale of the securities which form part of the Margin maintained by the Client with the Stock Broker.
  6. Shortages in obligations arising out of internal netting of trades
  The policy and procedure for settlement of shortages in obligations arising out of internal netting of trades is as under:
  a.  The short delivering client is debited by an amount equivalent to 20% above of closing rate of day prior to Pay-in/Payout Day. The securities delivered short are purchased from market on T +3 day which is the Auction Day on Exchange, and the purchase consideration (inclusive of all statutory taxes & levies + 5 % extra) is debited to the short delivering seller client along with reversal entry of provisionally amount debited earlier.
  b.  If securities cannot be purchased from market due to any force majeure condition, the short delivering seller is debited at the closing rate on T +3 day or Auction day on Exchange +10%. Where the delivery is matched partially or fully at the Exchange Clearing, the delivery and debits/ credits shall be as per Exchange Debits and Credits after deducting exchange penalties.
  c.  In cases of securities having corporate actions all cases of short delivery of cum transactions which cannot be auctioned on cum basis or where the cum basis auction payout is after the book closure / record date, would be compulsory closed out at higher of 10% above the official closing price on the auction day or the highest traded price from first trading day of the settlement till the auction
  7. Conditions under which a client may not be allowed to take further position or the broker may close the existing position of a client.
  The stock broker may refuse to execute / allow execution of orders due to but not limited to the reason of lack of margin / securities or the order being outside the limits set by stock broker / exchange/ SEBI and any other reasons which the stock broker may deem appropriate in the circumstances.
  1.  for non-payment or erosion of margins or other amounts, outstanding debts, etc. and adjust the proceeds of such liquidation / close out, if any, against the client’s liabilities/ obligations.
  2.  Any order which is executed without the required Margin in the Client’s account or the brokers exposure is more than 90% and above so no fresh trade will be taken.
 
  b.    For Option contracts:
    Brokerage for option contracts would not exceed Rs.100/- per lot single side or such other rates as provided by the exchanges.
  4. Imposition of penalty/delayed payment charges by either party, specifying the rate and the period (This must not result in funding by the broker in contravention of the applicable laws)
  Client shall be liable to penalty and other charges on nonpayment of margin money, short selling of securities or units, failure on payment of auction, cheque bounce, non delivery of shares, increase open position or on any orders / trades / deals / actions of the client which are contrary to this agreement / rules / regulations / bye laws of the exchange or any other law for the time being in force as per Rules, Regulations, Guidelines and Circulars issued by SEBI and stock exchange time to time and client will be kept informed about the rate of such penalties & fines. Similarly in case of non receipt of full payment of value of delivery purchased, margin imposed (initial + MTM) interest will be charged at 21% p.a. calculated on daily basis on shortfall amount till the date of actual realization of money.
All fines/penalties and charges levied upon the Client due to its acts / deeds or transactions will be recovered by the Stock Broker directly from the client’s account.
  5. The right to sell clients’ securities or close clients’ positions, without giving notice to the client, on account of non-payment of client’s dues (This shall be limited to the extent of settlement/margin obligation)
  1.  If payment/securities towards the Margin or shortfall in Margin is not received instantaneously to enable restoration of sufficient Margin in the Client’s account
  2.  In case of benefit of margin will be given only after realization of instrument..
  3.  If the client gives orders / trades in the anticipation of the required securities being available subsequently for pay in through anticipated payout from the exchange or through borrowings or any off market delivery(s) and if such anticipated availability does not materialize in actual availability of securities / funds for pay in for any reason before the close of market .
  4.  The stock broker has the right but not the obligation, to cancel all pending orders and to sell/close/ liquidate all open positions/ securities / shares at the pre-defined square off time or when Mark to Market (M-T-M) percentage reaches or crosses stipulated margin percentage mentioned on the website, whichever is earlier. similarly all transactions outstanding under limit by whatsoever name called may be closed out at specified time if not squared off by the client.
  3.  The client hereby authorizes the Stock Broker to square up all his outstanding positions at the discretion of the Stock Broker, which are not marked for delivery 15 minutes before the closing time of the normal market or if the client’s margin is evapourated by 90% in any of exchanges, Elite Wealth Advisors Limited reserves the right to square off positions.
  4.  Under certain market conditions, it may be difficult or impossible to liquidate a position in the market at a reasonable price or at all, when there are no outstanding orders either on the buy side or the sell side, or if trading is halted in a security due to any action on account of unusual trading activity or stock hitting circuit filters or for any other reason as prescribed or instructed by SEBI.
  5.  The stock broker is entitled to disable / freeze the account or trading facility / any other service if, in the opinion of the stock broker, the client has committed a crime, fraud or has acted in contradiction of this agreement or / evade / violate any laws, rules, regulations, directions of a lawful authority whether Indian or foreign or if the stock broker so apprehends.
  Any profit/loss arising out of these transactions shall be at the risk of and borne by the client.
  8. Temporarily suspending or closing a client’s account at the client’s request
  Client may instruct the member to close out the account or suspend the trading through client’s account for the period as specified in the request in written and duly signed by him.
The stock broker can with hold the payouts of client and suspend his trading account due to his surveillance action or judicial or / and regulatory order/action requiring client suspension.
  9. Deregistering a client
  A client is at liberty to deregister himself / itself from the member. For that purpose client will be liable first to settle his account in full. In case of any shortfall or any dues or payment remaining after adjusting the margin account, the client will be liable to make payment of the same. And in case of surplus arising out after netting of account, client shall be entitled to receipt of the same.
  The member shall also have power to deregister the client after settling his account at its sole discretion.
  Policy for inactive Clients Accounts
  Client account will be considered as inactive if the client does not trade for a period of One Year. Calculation will be done at the beginning of every month and those clients who have not traded even a single time will be considered as inactive, the shares/ credit ledger balance if any will be transferred to the client within one week of identifying the client as inactive. The client has to make written request for reactivation of their account.
 
TARIFF SHEET
A. BROKERAGE
EQUITY SEGMENT
Brokerage Slab Slab in % Minimum per Share Single Side / Both Side
Delivery Based      
Square Off      
F & O SEGMENT
Brokerage Slab Slab in % Minimum per Lot Single Side / Both Side
Future      
Options      
CURRENCY DERIVATIVES SEGMENT
Brokerage Slab Slab in % Minimum per Lot Single Side / Both Side
Future      
Options      
NOTE:
  1. Stamp Duty as per Law and Provision Applicable in State.
  2. Transaction Charges will be charged as per current applicable rate including any revisions in concern segments with respective exchanges.
  3. Service Tax as per the provision of Service Tax Act 1994 and as amended from time to time
  4. STT as per provision of STT Act and as amended from time to time
  5. Other Taxes as may be applicable from time to time and it Included Connectivity Charges, Software Charges.
  6. All legal levies as may be applicable, from time to time.
  7. Charges/service standards are subject to revision at sole discretion of Elite Wealth Advisors Limited.
  8. Charges quoted above are for the services listed. Any service not quoted above will be charged separately.
  9. Transaction charges include the exchange turnover charges, SEBI fees, Investor Protection fund Charges and Clearing Member charges.
  10. Penalty for delay in payment of settlement /margin obligation shall be charged @21% p.a. on daily outstanding balance till settled in full.
  11. In case of physical contract note are being dispatched to client Rs.25/- per contract note would be charged towards stationery & postage charges.
I/We, have read the above given information and agree to pay the charges / levies mentioned above.
Client Signature
ACKNOWLEDGEMENT (TRADING)
Elite Wealth Advisors Limited
Corporate Office : S-8, DDA Shopping Complex, Mayur Vihar Phase-1, Delhi-110091
Phone : +91-11-43035516-517 • Fax : +91-11-22795783 • E-mail: info@elitewealth.in
Regd. Office : S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana,
Phone : +91-124-4068107 Fax : +91-124-4053448 • E-mail : info@elitewealth.in • Website: www.elitewealth.in
I/We hereby acknowledge the receipt of duly executed copy of Right and obligations, Risk Disclosure Document & Guidance note with duly executed copy of KYC and other documents. Further I/We confirm that the supporting documents for KYC submitted by me/us are true and correct. I/We have also been informed that the standard set of has been displayed for information on www.elitewealth.in
Date : Place :
(Name & Signature of Client/Authorised Signatory)
 
DOCKET - B
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
www.elitewealth.in
RUNNING ACCOUNT AUTHORISATION
Date :
To,
ELITE WEALTH ADVISORS LIMITED
S-110, Sahara Mall, M.G. Road,
Gurgaon-122002, Haryana
I/We are dealing through you as a client in Capital Market and/or Future & Option segment and/or Currency segment and/or Interest Rate future 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 retain securities with you for 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 to transfer the same to my/our account.
3. I/We request you to settle my fund and securities account
Or
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, As per SE /Cir-19/2009 dated December 3, 2009.
4. In case I/We have an outstanding obligation on the settlement date, you may retain the requisite securities/funds towards such obligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated in the manner specified by the exchanges.
5. 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,
Client Name:

Client Code:
 
MEMORANDUM OF UNDERSTANDING (MOU)
This MOU is made and executed at Haryana between (M/s. Elite Wealth Advisors Limited), a company incorporated under the Companies Act, 1956, being a member of the National Stock Exchange of India Ltd., Bombay Stock Exchange Ltd. and MCX Stock Exchange Ltd. (hereinafter called “the Exchange”), and having its registered office at S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana hereinafter referred to as the “Member”, (which expression shall, unless repugnant to the context thereof, be deemed to mean and include its successors and assigns) of the One Part;
And, an individual / a sole proprietary concern / a partnership firm / a HUF / a company having its office / residence at (hereinafter referred to as the “client”, which expression shall, unless repugnant to the meaning or context thereof, be deemed to mean and include its successors and permitted assigns) of the Second Part; the following clauses are added :
1. The Member reserves the right to with hold/adjust the payment of the Client arising out of dues from the company or its associates for meeting any contingent liabilities arising out of his previous transactions.
2. The Constituent agrees that the member shall not be liable for any losses that the constituent may incur on such eventualities beyond the control of the Member and not limited to the followings:
1. The Exchange(s) may cancel any trade/ transactions suomoto or otherwise without giving any reason thereof.
2. There may be insufficient bids or offers or suspension of trading due to price limits or circuit breakers.
3. The electronic trading systems either at the exchange or in the Member's offices are vulnerable to temporary disruptions or failures.
4. At times, due to such unforeseen circumstances the Member may not be able to execute/ punch the desired transactions (either the constituents own transactions or transactions for enforcing margins as provided in this MOU) on a timely basis.
5. In the event of trade cancellation due to such events or vulnerabilities, the Member shall be entitled to cancel relative contract(s) with the constituent and perform consequent and subsequent acts.
The Member does not accept responsibility for any losses that the constituent may incur on such eventualities beyond the control of the Member or any Act of God
d. The Client shall be required to intimate immediately to the Member in case of any change of email address.
e. Non-delivery of the documents containing email due to the problems related to Network and Internet or due to any problems in the email receiving at the end of Client shall not be the responsibility of the Member.
f. Client agrees that in case of non-receipt of bounced mail notification by the trading member shall amount to delivery of contract note at the e-mail id of the client.
8. Digitally Signed Contract Notes and Other Documents by
Portal :
a. The term ‘Portal’ here means any Internet portal or Website where the Client can view these documents after login id and password to log in to the said portal for viewing these documents after login as specified by the Member from time to time.
b. The Client shall be provided with a login ID and password to log in to the said portal for viewing these documents.
c. It shall be duty of the Client to keep his/her/its password secret and not to make it available to any other person to prevent misuse of information present in the documents.
d. Due to capacity constraints, it would not be possible to keep such documents ad-infinitum on the server. In such a case, the documents older than three months would be removed and shall be made available to the Client upon request.
9. The Client shall have to pay such deposits as may be decided by the Member from time to time. These deposits may be repaid only after the adjusting debits, if any, in the client’s account within one month from the date of final settlement of the client’s account.
10. The Client hereby authorises the member to withhold the delivery of shares transferred by client as margin or of shares purchased by client as per exposure / margin requirement till such time as member deems fit. Client further authorises member to place the same as margin to the Exchange or with Banks to avail financing facilities. Client also authorises member to withhold payment in respect of shares sold by client till such period, as member deems fit for meeting client’s further exposure / margin requirements.
11. The Client confirms that he/she/it will do business on his own account and not on account of any Client whatsoever, nor shall he/she/it indulge in Sub-broking business. The client further undertakes that he/she/it will not effect any third party transaction during course of any of his/her/it dealings to the member. The Client undertakes to indemnify the Member against any losses/ damages suffered by the Member if the Client indulges in any third party transaction of Sub-broking business.
19. The Client shall not, acting alone or in concert with others, directly or indirectly, hold and control excess number of permitted futures contracts as fixed from time to time, by the Exchange.
20. Voice Recording
a. The Client hereby acknowledges and agrees to the use of voice recording devices by the member of any telephonic conversation between the Member and the Client authorized Persons/ Employee/Officers or agents without an automatic tone warning device in order to permit the Member to verify data concerning any matter relating to the purchase and/or sale of securities.
 
3. The Member reserves the right of refusing to execute any particular transaction, and it shall be at the discretion of the Member to amend or change from time to time as the Member deems fit any of the terms and condition recorded in this MOU.
4. The Client shall be required to pay brokerage on the deals executed at his behest at such rates as may be decided from time to time by the Member and depending on the Exchange on which the deal is executed.
5. The Member, for any order placed by the Client, has the right to be reimbursed for any liability or expenses incurred for any transaction entered into on behalf of the Client.
6. Member Client Communications - Digitally Signed Documents
With the regulatory authorities allowing the usage of digitally signed contract notes and Bills, the Client specifically authorizes the Member to make available these digitally signed documents on its portal and also authorizes the Member to send these documents by e-mail in future. The Client further confirms that he/she/it does not need any physical contract notes as the Member is already making these documents available in a digitally signed format on its portal and in future shall be sending these documents to him/her/it/by e-mail also. The following clauses shall govern the use of digitally signed documents sent by the Member.
7. Digitally Signed Contract Notes and Other Documents by Email :
a. For the purpose of digitally signed contract notes by email, the email id specified by the client in the application form or sent by any later communication would be used. The present email id is
b. It shall be the duty of the Client to check his/her/its email account and view the contract notes and other documents sent to him/her/it. Email documents are taken to be delivered to the Client if they leave the email server of the member as per guidelines specified by the Exchange of SEBI.
c. The Client shall be required to intimate the Member in case of non-receipt of documents by email within the stipulated time period. Delay in delivery of email sent by the Member due to Network and Internet related problems, which are beyond the control of the Member, is possible and the Client shall construe such delay as normal.
Client Signature
12. The Onus of reconciliation of accounts of the Client and that of the Member, at such frequency as may be stipulated from time to time, rests only with the Client and in case of non-reconciliation, as specified, the account as per the books of the Member shall be deemed to be in confirmation with that of the client. Further, the ledger balances of all the Clients is made available on the Internet by the Member. It shall be the responsibility of the Client to revert back to the Member in the event of any discrepancies within seven days from the date of transaction.
13. The Client shall be liable to pay delayed payments charges @21% p.a. (or such other rate as may be decided from time to time by the Member) on all the delayed payments beyond the due date (i.e. pay-in date) by client to the Member.
14. The Client agrees that member shall charge @ Rs. 10/- per copy in respect of additional copies of contract note which I/ We would require from member in future.
15. The Client also agrees that member shall not be responsible for any cost and consequences which may arise in future due to failure of connectivity with the exchange and/or with the concerned branch there by resulting non-execution of order and also an account of any incorrect or misleading information related to pricing details/shares held, etc. due to any technical fault.
16. All annexures attached in Registration Kit are forming part and parcel of this MOU.
17. The Client shall indemnify and keep indemnified the member harmless from and against all claims, demands, actions, proceedings, loss, damages, liabilities, changes and/or expenses that are occasioned or may be occasioned to the member directly, or indirectly, owing to bad delivery or shares/ securities and/or as a result of fake/forged/stolen shares/ securities/transfer documents that our introduced or that may be introduced by or through the client during the course of its dealings/operations on the Exchange.
18. In the event of any auction the client will have a bear the additional cost of 1.5% over and above the auction rate charged by the exchange and the brokerage thereof, as penalty
Client Signature
b. The Client confirms that the Member can keep a copy of the voice recording in a typed/written format so that it can be verified from the original voice recording concerning any matter between the client and the member. The Client agrees to accept the contents of any such recording/ typed/written format as final and conclusive evidence of communications from the client given by the Client for all purpose in future and specially if their is any dispute
21. The Client can deal in his/her group members name mentioned below who have legally authorized him/her in writing to place order on their behalf However any loss, which may arise in such deals, Client, would be liable to reimburse the same to the Member (Client can provide only 3 names). The Member shall be entitled to consider all such accounts as group accounts. Accordingly, the Member shall have the right to adjust all receivables/deposites/margins payments between group members considering them as single entity.
Sr. No Name Client Code
1.    
2.    
3.    
IN WITNESS THEREOF, the parties to agreement have caused these presents to be executed as of the day and year first above written.
Signed for and on behalf of
CLIENT
Signature
By :
WITNESS
Signature
Name :
Address :
Signature
Name :
Address :
 
Signed for and on behalf of
For Elite Wealth Advisory Limited
Authorised Signatory
By :
WITNESS
Signature
Name :
Address :
Signature
Name :
Address :
Note: All references to the specific quantity/rate/fee mentioned in this agreement are subject to change from time to time, as so agreed to in writing between the parties.
 
LETTER OF AUTHORITY
Date :
To,
ELITE WEALTH ADVISORS LIMITED
S-110, Sahara Mall, M.G. Road,
Gurgaon-122002, Haryana
Sub : Letter of Authority - NSE, BSE & MCX-SX (All Segment)
I/We/am/are dealing in securities with you at NSE, BSE & MCX-Sx, In Capital Market , Derivatives & Currency Derivatives Segment and in order to facilitate ease of operations. We authorize you as under :
1. Set off of outstanding:
I/We authorize you to set off outstanding in any of my / our accounts against credits available or arising in any other accounts maintained with you irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of theExchange and / or against the value of cash margin or collateral shares provided to you by me / us.
2. Delivery of order/ trade confirmation/ cancellation:
I/We hereby authorize you not to provide me / us order confirmation / Modification / Cancellation Slips and Trade Confirmation slips to avoid unnecessary paper work. I/we shall get the required details from contract notes and confirmation issued by you.
3. Authorization to Use Margin:
I hereby authorize you to keep all the securities which we give you in margin including the payout of securities received, to use the securities for meeting margin / other obligation in stock exchange in whatever manner which may include pledging of shares in favour of bank and/or taking loan against the same for meeting margin/pay-in obligation on our behalf or for giving the same as margin to the Stock Exchange or otherwise.

I further authorize the stock broker as per the requirement of SEBI Circular no. MIRSD/ SE /Cir-19/2009 dated December 3, 2009 thatin case of any outstanding obligations on the settlement date, the stock broker may retain the requisite securities/funds towards suchobligations and may also retain the funds expected to be required to meet margin obligations for next 5 trading days, calculated inthe manner specified by the exchanges.
4. Telephonic Conversation:
I/We request you to consider my/our telephonic instructions for order placing/order modification/order cancellation as a written instruction and give us all the confirmation on telephone unless instructed otherwise in writing. I/We am/are getting required details from contracts issued by you.
5. Electronic Mode of delivery:
I/We request that you may send/ Dispatch me contract notes other documents through E-mail, on my designated E-mail address of I/We stress that I/we will not hold you responsible under any circumstances in the event of an E-mail which you send gets bounced due to any reason such as mail box being full, inactive account or due to any technical reason beyond your control.
6. Log Report:
I/We will completely rely on the log reports of your dispatching software as a conclusive proof of dispatch of E-mail to me and will not dispute the same.
7. Change in E-mail Id:
I/We will inform you any change in my E-mail, if any, in future, in physical mode by regd. post or by hand delivery and through a digitally signed E-mail.
Client Signature
8. Electronic Trading:
Trading of NSE is in Electronic Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of technologies and computer systems to place and route orders. I understand that there exists a possibility of communication failure or system problems or slow or delayed response from system or trading halt, of any such other problem/glitch whereby not being able to establish access to the trading system/network, which may be beyond the control of you and may result in delay in processing or not processing buy or sell orders either in part or in full. I agree that I shall be fully liable and responsible for any such problems glitch.
9. Sub Letting of Terminal:
I/We confirm that I/we will never sublet the trading terminal on any term of connectivity from my place to any other place.
10. Inter Settlement of Securities:
I/We am/are agreeable for inter-settlement transfer of securities towards settlements.
11. Hold of funds Pay outs:
I/We am/are agreeable for & authorise you to with hold funds pay-out towards all the applicable margins and debits.
12. Fines & Penalties:
All fines/penalties and changes levied upon you due to my acts / deeds or transactions may be recovered by you from my account.
13. Charges & Balance Maintenance:
I/We have a Trading As well as depository relationship with Elite Wealth Advisors Limited Please debit the charges relevant with depository services and courier charges for sending additional physical contract notes & other documents from my/our trading account, as & when applicable. I/We also agree to maintain the adequate balance in my/our trading account / pay adequate advance fee for the said reason.
* Strike off the clauses not relevant to you.
Thanking you,
Yours faithfully,
Client Signature
 
DOCKET - C
DEPOSITORY
PARTICIPANT
 
www.elitewealth.in
 
KNOW YOUR CLIENT (KYC) APPLICATION FORM
Please fill this form in ENGLISH and in BLOCK LETTERS FOR INDIVIDUAL
A.     IDENTITY DETAILS
Name of the First Holder   :  
Father’s/Spouse Name   :  
Gender   :  
Marital Status
Date of Birth   :   Nationality   :  
Status :
PAN :
Unique Identification Number (UID)/ Aadhaar, if available :
Specify the proof of identity submitted :
B.     ADDRESS DETAILS
Address For :
Correspondence City / Town / Village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for corresspondence address, if any:
Permanent Address :
(if different from above or
overseas address,mandatory
for Non-Resident Applicant)
City / Town / Village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) :
Income Range per annum :
Net-worth as on  (Net worth should not be older than 1 year)
Occupation (please tick any one and give brief details)
Please tick, as applicable
Any Other Information :
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above informationis found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
Signature Of the Applicant   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
 
KNOW YOUR CLIENT (KYC) APPLICATION FORM
Please fill this form in ENGLISH and in BLOCK LETTERS FOR INDIVIDUAL
A.     IDENTITY DETAILS
Name of the Second Holder   :  
Father’s/Spouse Name   :  
Gender   :  
Marital Status
Date of Birth   :   Nationality   :  
Status :
PAN :
Unique Identification Number (UID)/ Aadhaar, if available :
Specify the proof of identity submitted :
B.     ADDRESS DETAILS
Address For :
Correspondence City/ Town / Village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for permanent address, if any:
Permanent Address :
(if different from above or
overseas address,mandatory
for Non-Resident Applicant)
City / Town / Village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) :
Income Range per annum :
Net-worth as on  (Net worth should not be older than 1 year)
Occupation (please tick any one and give brief details)
Please tick, as applicable
Any Other Information :
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above informationis found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
Signature Of the Applicant   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
 
KNOW YOUR CLIENT (KYC) APPLICATION FORM
Please fill this form in ENGLISH and in BLOCK LETTERS FOR INDIVIDUAL
A.     IDENTITY DETAILS
Name of the Third Holder   :  
Father’s/Spouse Name   :  
Gender   :  
Marital Status
Date of Birth   :   Nationality   :  
Status :
PAN :
Unique Identification Number (UID)/ Aadhaar, if available :
Specify the proof of identity submitted :
B.     ADDRESS DETAILS
Address For :
Correspondence City / Town / Village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for permanent address, if any:
Permanent Address :
(if different from above or
overseas address,mandatory
for Non-Resident Applicant)
City / Town / village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) :
Income Range per annum :
Net-worth as on  (Net worth should not be older than 1 year)
Occupation (please tick any one and give brief details)
Please tick, as applicable
Any Other Information :
DECLARATION
I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above informationis found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
Signature Of the Applicant   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
 
KNOW YOUR CLIENT (KYC) APPLICATION FORM
Please fill this form in ENGLISH and in BLOCK LETTERS FOR NON-INDIVIDUAL
A.     IDENTITY DETAILS
Name of the Applicant   :  
Date of Incorporation   :  
Place of Incorporation   :  
Date of Commencement of Business :
PAN : Registration No.(eg.CIN) :
Status (Please tick any one) :
B.     ADDRESS DETAILS
Address For :
Correspondence City/ Town / Village : Pin Code :
State : Country :
Contact Details : Tel.(Office) : Tel.(Res.) : Mobile :
Fax : Email :
Specify the proof of address submitted for permanent address, if any:
Registered Address :
(if different from above )
City / Town / Village : Pin Code :
State : Country :
Specify the proof of address submitted for permanent address, if any:
C.     OTHER DETAILS
Gross Annual Income Details (please specify) :
Income Range per annum :
Net-worth as on  (Net worth should not be older than 1 year)
Name, PAN, residential address and photographs of Promoters/Partners/Karta/Trustees and whole time directors
Name (1)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (2)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (3)
PAN :
Residential :
Address City/ Town / Village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
____________________________________________________________________________________________________________________
Name (4)
PAN :
Residential :
Address City/ Town / village : Pin Code :
State : Country :
DIN / UID :
Please tick, if applicable, for any of your authorized signatories/Promoters/Partners/Kartas/Trustees/whole time directors :
Any Other Information :
DECLARATION
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 informationis found to be false or untrue or misleading or misrepresenting, I am/We aware that I may be held liable for it.
Name :
Signature Of the Authorised Signatory   Date
IN-PERSON VERIFICATION(FOR OFFICE USE ONLY)
Name : Auth. Person/Reg.Sub Broker/Employee Sign :
AP no/Reg.Sub Broker No./ Emp.code: Date :
For Elite Wealth Advisors Limited
Signature of the
Authorised Signatory
Date : Seal/Stamp of the Intermediary
www.elitewealth.in
DEMAT RELATED DETAILS (For Individuals and Non - Individuals)
Client- ID (To be filled by Participant)
I/We request you to open a depository account in my/our name as per the following details :
(Please fill all the details in CAPITAL LETTERS only)
Date :
A) Details of Account holder (s) :
    Name PAN
Sole/First Holder
Second Holder
Third Holder
B) For HUFAssociation of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the account is opened in the name of tered Trust, etc., should be mentioned below :
a) Name b) PAN
C) Type of Account
D) In case of NRIs/ Foreign Nationals/FII/Others (As may be applicable)
RBI Approval Reference Number
RBI Approval date
SEBI Registration Number (for FIIs)
E) Bank Details
1. Bank Account type
2. Bank Account Number
3. Bank Name
4. Branch Address
City/Town/Village Pin Code
State Country
5. MICR Code
6. IFSC
F) Standing Instructions
1. I/We authorise you to receive credits automatically into my/our account.
  2. Account to be operated through Power of Attorney (POA)
  3. SMS Alert facility : [ Mandatory if you are giving Power of Attorney (POA). Ensure that the mobile number is provided in the KYC Application Form]
    Sr.No. Holder Yes        No
1. Sole/First Holder
2. Second Holder
3. Third Holder
G) Guardian Details (where sole holder is a minor):
[For account of a minor, two KYC Application Forms must be filled i.e. one for the guardian and another for the minor (to be signed by guardian]
Guardian Name
PAN
Relationship of guardian with minor
H) Clearing Member Details (to be filled up by Clearing Members only)
1. Name of Stock Exchange
2. Name of Clearing Corporation/Clearing House
3. Clearing Member ID
4. SEBI Registration Number
DECLARATION
The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been. read by me/us and l/we have understood the same and we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. we hereby declare that the details furnished above are true and correct to the best of our knowledge and belief and 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, we are aware that I/we may be held liable for it.
Authorised Signatories (Enclose a Board Resolution for Authorised Signatories)
Sole/First Holder Name Signature(s)
First Signatory / First Holder
Second Signatory/ Second Holder
Third Signatory / Third Holder
Mode of Operation for Sole/ First Holder / First Signatory (In case of joint holdings, all the holders must sign)
 
 
 
 
Nomination Option
 
[As per details given below] [Strike off the nomination details below]
Nomination Details
I/We wish to make a nomination and do hereby nominate the following person in whom all rights and/ or amount payable in respect of securities held in the Depository by me/us in the said beneficiary owner Trading Account, shall vest in the event of my/our death.
1. Name of the Nominee(Mr./Ms.)
2. Relationship with the
Applicant (if any)
3. Address of Nominee
City/Town/Village Pin Code
State Country
4. Contract Details of nominee
Tel.(Off.) Tel. (Res.)
Fax No. Mobile No
Email ID
5. Signature of nominee
To be filled - up (Sr. Nos. 6-11) only if nominee is minor :
6. Date of Birth (in case of minor nominee)
7. Name of Guardian ( Mr./Ms.)
(in case of minor nominee)
8. Address of Guardian
City/Town/Village Pin Code
State Country
9. Contract Details of nominee
Tel.(Off.) Tel. (Res.)
Fax No. Mobile No
Email ID
10. Relationship of Guardian with Nominee
11. Signature of guardian
Signature of two Witness for nomination
Name of witness Address Signature of witness with date
a)
b)
DECLARATION
The rules and regulations of the Depository and Depository Participants pertaining to an account which are in force now have been read by me/us and l/we have understood the same and l/we agree to abide by and to be bound by the rules as are in force from time to time for such accounts. I/we hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and l/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. In case nonresident account, I/we also declare that I/we have complied and will continue to comply with FEMA regulations.
Name(s) of holder(s) Signature(s) of holder
Sole/First Holder/ Guardian (in case sole holder is minor) (Mr./Ms.)
Second Holder (Mr./Ms.)
Third Holder (Mr./Ms.)
Note :
1. All communication shall be sent at the address of the Sole/First holder only.
2. Thumb impressions and signatures other than English or Hindi or any of the other language not contained in the 8th Schedule of The Constitution of India must be attested by a Magistrate or a Notary Public or a Special Executive Magistrate.
3. Instructions related to nomination, are as below:
I. The nomination can be made only by individuals holding beneficiary I. The nomination can be made only by individuals holding beneficiary individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of Attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form.
II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the beneficial owner.
III. The Nominee shall not be a trust, society, body corporate, partnership firm, karta of Hindu Undivided Family or a power of Attorney holder. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time.
IV. Nomination in respect of the beneficiary owner account stands rescinded upon closure of the beneficiary owner account.Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities.
V. Transfer of securities in favour of a Nominee shall be valid discharge by the depository and the Participant against the legal heir.
VI.The cancellation of nomination can be made by individuals only holding beneficiary owner accounts on their own behalf singly or jointly by the same persons who made the original nomination. Non- individuals including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot cancel the nomination. I I' the beneficiary owner account is held jointly, all joint holders will sign the cancellation form.
VII.On cancellation of the nomination, the nomination shall stand rescinded and the depository shall not be under any obligation to transfer the securities in favour of the Nominee.
4. Strike off whichever is not applicable
AGREEMENT BETWEEN THE PARTICIPANT AND THE CLIENT FOR PROVIDING THE TRANSACTION STATEMENT, HOLDING STATEMENT & FINANCIAL LEDGER, THROUGH INTERNET.
This agreement made and entered into thisday ofbetween and situated at(hereinafter called the “the Client”) and Elite Wealth Advisors Limited, a company incorporated under the Companies Act, 1956 having its registered office at : S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana (hereinafter called “the Depository Participant”)
WITNESSETH
WHEREAS the Client has permitted the Participant to provide the transaction statement, holding statement & financial ledger through internet (web-based or email).
NOW THEREFORE in consideration of the Participant having agreed to provide the transaction statement, holding statement & financial ledger through internet (web based or email), both the parties to the agreement hereby conevant and agree as follows :
1) The Participant shall install adequate systems to restrict the access of the transaction statement, holding statement & financial ledger only to the Client.
2) The Client shall take all the necessary steps to ensure confidentially and secrecy of the login name and password.
3) The Client is aware that the transaction statement, holding statement & financial ledger may be accessed by other entities in case the confidentiality / secrecy of the login name and password is compromised.
4) In case the Client opts for transaction statement, holding statement & financial ledger through email, it shall immediately inform the Participant about change in email address, if any. The Participant shall verify and confirm with the Client about the change. Further, the Participant shall confirm with the Client about validity of the email address atleast once in a year.
5) The Client agrees not to receive Transaction statement, holding statement & financial ledger in paper form from the Participant. Provided however that, in case when the Participant is not able to provide Transaction statement, holding statement & financial ledger to its Client through internet (web-based / email) due to any unforseen problems, the Participant should ensure that the Transaction statement, holding statement & financial ledger reaches to the Client in physical form as per the time schedule stipulated in the Bye Laws & Business Rules of NSDL.
6) The Participant and the Client shall have the right to terminate this agreement after giving a notice of atleast 10 days to the other party.
7) The above terms and conditions are in addition to and not in contravention of the terms and conditions forming a part of the “AGREEMENT BETWEEN THE PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE PARTICIPANT” signed by the Client at the time of opening the account with the Depository.
IN WITNESS WHEREOF the Participant and the Client has caused these presents to be executed as of the day and year first above written.
Signature of 1st Holder
Signature of 2nd Holder
Signature of 3rd Holder
Witness-1
Signature
Name
Address
 
 
Witness-2
Signature
Name
Address
 
 
For ELITE WEALTH ADVISORS LIMITED
Authorised Signatory
AGREEMENT BETWEEN THE DEPOSITORY PARTICIPANT AND THE PERSON SEEKING TO OPEN AN ACCOUNT WITH THE DEPOSITORY PARTICIPANT
This agreement made and entered into this day of between situated at (hereinafter called “the Client”) and ELITE WEALTH ADVISORS LIMITED situated at S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana (hereinafter called “the Depository Participant”).
Witnesseth
WHEREAS the Client has furnished to the Depository Participant the duly filled in application form requesting therein to open an account with the Depository Participant.
NOW THEREFORE in consideration of the Depository Participant having agreed to open an account for the Client, both the parties to the agreement hereby covenant and agree as follows:
1. The Client shall pay such charges to the Depository Participant for the purpose of opening and maintaining his account, for carrying out the instructions of the Client and for rendering such other services as may be agreed to from time to time between the Depository Participant and the Client as set out in Schedule A. The Depository Participant shall reserve the right to revise the charges by giving not less than thirty days notice in writing to the Client.
2. The Client shall have the right to get the securities which have been admitted on the Depository dematerialised in the form and manner laid down under the Bye Laws and Business Rules. The Depository Participant further undertakes that it shall not create or permit to subsist any mortgage, charge or other encumbrance over all or any of such securities submitted for dematerialisation except on the instructions of the Client.
3. The Depository Participant hereby undertakes that it shall maintain a separate account of its own securities held in dematerialised form with the Depository and shall not commingle the same with the securities held in dematerialised form on behalf of the Client.
4. The Depository Participant undertakes that a transfer to and from the accounts of the Client shall be made only on the basis of an order, instruction, direction or mandate duly authorised by the Client and that the Depository Participant shall maintain adequate audit trail of such authorization.
5. The Depository Participant agrees that the Client may give standing instructions with regard to the crediting of securities in his account and the Depository Participant shall act according to such instructions.
6. The Depository Participant undertakes to provide a statement of accounts including transaction statement andholdings statement to the Client at monthly intervals and to the Clients opting for Basic Services Demat Account at quarterly intervals unless the Depository Participant and the Client have agreed for provision of such statements at shorter intervals. However, if there is no transaction in the account, then the Depository Participant shall provide such statement to the Client on an annual basis.
7. The Depository Participant shall have the right to terminate this agreement, for any reasons whatsoever, provided the Depository Participant has given a notice in writing of not less than thirty days to the Client as well as to the Depository. Similarly, the Client shall have the right to terminate this agreement and close his account held with the Depository Participant, provided no charges are payable by him to the Depository Participant. In such an event, the Client shall specify whether the balances in its account should be transferred to another account of the Client held with another Depository Participant or to rematerialise the security balances held. Based on the instructions of the Client, the Depository Participant shall initiate the procedure for transferring such security balances or rematerialise such security balances within a period of thirty days, as per the procedure laid down in the Bye Laws and Business Rules. Provided further, termination of this agreement shall not affect the rights, liabilities and obligations of either party and shall continue to bind the parties to their satisfactory completion.
8. On the failure of the Client to pay the charges as laid out in Clause (1) of this agreement within a period of thirty days from the date of demand Depository Participant may terminate this agreement and close the account of the
   
  Signature of 1st Holder     Signature of 2nd Holder     Signature of 3rd Holder
Client by requiring it to specify whether the balances in its account be transferred to the account of the Client held with another Depository Participant or be rematerialised in the manner specified in the Bye Laws and Business Rules.
9. The Client further agrees that in the event of the Client committing a default in the payment of any of the amounts provided in Clause (1) within a period of thirty days from the date of demand, without prejudice to the right of the Depository Participant to close the account of the Client, the Depository Participant may charge interest @ not more than 24% p.a. or such other rate as may be specified by the Executive Committee from time to time for the period of such default. In case the Client has failed to make the payment of any of the amounts as provided in Clause (1) of this agreement, the Depository Participant shall have the right to stop processing of instructions of the Client till such time he makes the payment along with interest, if any, after giving two days notice to the Client.
10. The Depository Participant shall have a right to provide such information related to the Client's account as may be requested by the National Securities Depository Limited from time to time.
11. The Client shall have the right to create a pledge of the securities held in the dematerialised form with the Depository Participant only in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules.
12. The Depository shall not be liable to the Client in any manner towards losses, liabilities and expenses arising from the claims of third parties and from taxes, and other governmental charges in respect of securities credited to the Clients account.
13. The Client may exercise the right to freeze his account maintained with the Depository Participant so as to lock the securities held with the Depository Participant in accordance with the procedures prescribed in the Bye Laws and Business Rules.
14. The Client may exercise the right to defreeze his account maintained with the Depository Participant in accordance with the procedure and subject to the restrictions laid down under the Bye Laws and Business Rules.
15. The Client shall notify the Depository Participant, within seven days, of any change in the details set out in the application form submitted to the Depository Participant at the time of opening the account or furnished to the Depository Participant from time to time.
16. The Depository Participant undertakes to resolve all legitimate grievances of the Client against the Depository Participant within a period of thirty days.
17. The Depository Participant and the Client shall abide by the arbitration and conciliation procedure prescribed under the Bye Laws of National Securities Depository Limited and that such procedure shall be applicable to any disputes between the Depository Participant and the Client.
18. Notwithstanding anything contained herein or in the Bye Laws or Business Rules, neither party hereto shall be liable to indemnify or compensate the other for any breach, non-performance or delay in performance of any obligations under the Agreement or for any harm, loss, damage or injury caused to the other due to causes reasonably beyond its control including but not limited to tide, storm, cyclone, flood, lightning, earthquake, fire, blast, explosion or any other act of God, war, rebellion, revolution, insurrection, embargo or sanction, blockade, riot, civil commotion, labour action or unrest including strike, lock-out or boycott, interruption or failure of any utility service, enemy action, criminal conspiracy, act of terrorism or vandalism, sabotage, or intrusion, or any other irresistible force or compulsion.
19. The Depository Participant and the Client further agree that all claims, differences and disputes, arising out of or in relation to dealings on the Depository including any transactions made subject to the Bye Laws or Business Rules of the Depository or with reference to anything incidental thereto or in pursuance thereof or relating to their validity, construction, interpretation, fulfillment or the rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions have been entered into or not, shall be subject to the exclusive jurisdiction of the courts at Mumbai only.
Signature of 1st Holder
Signature of 2nd Holder
Signature of 3rd Holder
Witness-1
Signature
Name
Address
 
 
Witness-2
Signature
Name
Address
 
 
For ELITE WEALTH ADVISORS LIMITED
Authorised Signatory
POWER OF ATTORNEY                       OPTIONAL
TO ALL TO WHOM THESE PRESENTS SHALL COME, I/We, the details of whom have been mentioned in the schedule hereunder send greetings: WHEREAS I /We hold a Beneficial Owner (BO) account No in the name and style of (hereinafter referred to as “the BO Account”) with ELITE WEALTH ADVISORS LIMITED having its registered office at S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana.
AND WHEREAS I/We are investor engaged in buying and selling of securities through Elite Wealth Advisors Limited, having its registered office at S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana, a member of National Stock Exchange of India Ltd bearing SEBI registration Nos. INB/F 230805133, CM- ID M50643, Bombay Stock Exchange Ltd bearing SEBI registration No. INB 010805134, CM- ID 3162 AND WHEREAS due to exigency and paucity of time, I/We am/are desirous of appointing an agent/attorney to operate the aforesaid beneficiary account on my /our behalf for a limited purpose in the manner hereinafter appearing:
NOW KNOW WE ALL AND THESE PRESENTS WITNESSTH THAT I/WE THE BELOW NAMED DO HEREBY NOMINATE, CONSTITUTE/ AND APPOINT ELITE WEALTH ADVISORS LIMITED, as my/our true and lawful attorney (hereinafter referred to as the “Attorney”) for me/us and on my/our behalf and in my/our name and on my /our risk and cost to do, exercise and perform all or any of the following acts, deeds and things.:
1. Issue instructions to the Depository Participant to debit securities and / or to transfer securities from the BO Accounts for the purpose of delivering the same into one or more of the following demat accounts and / or to the clearing house/ clearing corporation of any of the stock exchange(s), to meet all margin / settlement / pay-in obligations arising out of transactions executed / done by me / us or on behalf of me / us through the Attorney on any stock exchange(s).
2. To make application and / or to issue instructions for creating / closure of lien and / or pledge on the shares / securities in the BO Account in favour of the Attorney for the purpose of meeting and/ or to meet any margin obligation in respect of any transactions executed / done by me /us or on behalf of me / us through the Attorney on any stock exchange(s). For the purpose of aforesaid acts, deeds and things, it is made clear that the shares / securities which are / may be debited / transferred from the BO Account, by exercising the rights/ powers granted hereinabove, be transferred / credit / delivered to the following demat accounts or any other demat accounts as may be maintained by the Attorney the aforesaid purpose or to the clearing house/ clearing corporation of the concerned stock exchange(s).
Sr. No. Name of the Account Holder NSDL Demat A/c No. CM BP-ID DP Name Purpose
1. Elite Wealth Advisors Limited 10000172 IN558002 Elite Wealth Advisors Limited NSE PAY IN A/c.
2. Elite Wealth Advisors Limited 10113703 IN631626 Elite Wealth Advisors Limited BSE PAY IN A/c
3. Elite Wealth Advisors Limited 10119296 - Elite Wealth Advisors Limited Margin A/c
4. Elite Wealth Advisors Limited 10002137 - Elite Wealth Advisors Limited Margin A/c
5. Elite Wealth Advisors Ltd 10297242 IN472581 Elite Wealth Advisors Limited MCX-SX PAY IN A/c
6. Elite Wealth Advisors Ltd 10297306 IN558002 Elite Wealth Advisors Limited Margin a/c mcx-sx
3. To apply on my / our behalf for various products like Mutual Funds, Public Issues (shares as well as debentures), rights offer for shares , tendering shares in open offers etc. pursuant to my/ our specific instructions.
4. To send consolidated summary of clients scrip-wise buy and sell positions taken with average rates, margin details, balance information, and any other relevant information to the client by way of SMS/ email on a daily basis and at such other periodic intervals, notwithstanding any other document to be disseminated as specified by SEBI from time to time.
I/We, do hereby, instruct the Attorney to return / credit/ deliver the shares / securities into the BO Account which may be received by them erroneously or which the Attorney was not entitled to receive / debit/ transfer from the BO Account. I/We, do hereby agree to ratify all lawful acts and things done by the Attorney pursuant to the powers hereinabove contained. I/We further agree and confirm that the powers and authorities conferred by this Power of Attorney shall continue until the same is revoked/ modified by me/ us. This Power of Attorney can be revoked or modified at any time by sending intimation for revocation/modification at the Registered Office of the Attorney.
Schedule (hereinabove mentioned)
  Name Signature
First Holder / Signatory
Second Holder / Signatory
Third Holder / Signatory
Witness:-
1. 2.
Date:- Place:-
I/ We Accept: -
For an on behalf of Elite Wealth Advisors Limited (The Attorney Holder)
Authorized Signatory /ies
OPTION FOR ISSUANCE OF DIS BOOKLET ALONGWITH ACCOUNT OPENING
(to be filled by persons seeking to open a depository account who have given Power of Attorney to operate the depository account to a stock broker/Participant/Portfolio Manager and do not intend to open a Basic Services Demat Account)
Elite Wealth Advisors Limited
(Depository Participant with NSDL)
SEBI Regn. No. : NSDL (DP IN 301670) IN-DP-NSDL 142-2000
S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana Tel.: +91-124-4068107
Fax : +91-124-4053448 E-mail : info@elitewealth.in, Investor Grievance: investorquery@elitewealth.in
Name(s) of Account Holder(s)
Sole/First Holder
Second Holder
Third Holder
Option for Issue of DIS booklet (please tick any one)
Option 1
I/We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.
Option 2
I/We do not wish to receive the DIS booklet with account opening. However, the DIS booklet should be issued to me/ us immediately on my/ our request at any later date.
Beneficial Owner Name Signature with Date
Sole/First Holder
Second Holder
Third Holder
Elite Wealth Advisors Limited
(Depository Participant with NSDL)
SEBI Regn. No. : NSDL (DP IN 301670) IN-DP-NSDL 142-2000
S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana Tel.: +91-124-4068107
Fax : +91-124-4053448 E-mail : info@elitewealth.in, Investor Grievance: investorquery@elitewealth.in
PRICE STRUCTURE FOR BENEFICIARY ACCOUNT
(Applicable with effect from 1st April 2010)
SERVICES Scheme A Scheme B Scheme C Scheme D (Only for Individual)
1. Account Opening Charges NIL NIL NIL NIL
2. Custody Fee NIL NIL NIL NIL
3. Annual Maintenance Charges Rs. 750/- Life Time Rs. 300/- p.a. Rs. 150/- p.a. *No AMC ( if the value of holding is up to Rs. 50,000) *Rs 100 P.A. ( if the value of holding from Rs 50,001 to Rs.200,000)
4. Dematerialisation Charges (Upfront) Rs. 3/- per Certificate Rs. 3/- per Certificate Rs. 3/- per Certificate Rs. 3/- per Certificate
5. Purchase (Credit Charges)
(Per Transaction)
NIL NIL NIL NIL
6. Sale (Market & Off Market)
(Per Transaction)
Rs. 10/- Rs. 12/- Rs. 17/- Rs. 45/-
7. Pledge Creation / Closure /
Invocation / Charges (Per Transaction)
Rs. 50/- Rs. 50/- Rs. 50/- Rs. 50/-
8. Instruction Booklet
First
Subsequent (For 25 Leaf)
Free
Rs. 20/-
Free
Rs. 20/-
Free
Rs. 20/-
Freee (only Two Leaf)
Rs. 20/-
9. Rematerialisation Charges
(Per Certificate)
Rs. 50/- or Rs. 50
every 100 Securities (whichever is higher)(Maximum Cap of Rs. 5 Lacs)
Rs. 50/- or Rs. 50
every 100 Securities (whichever is higher)(Maximum Cap of Rs. 5 Lacs)
Rs. 50/- or Rs. 50 every 100 Securities (whichever is higher)(Maximum Cap of Rs. 5 Lacs) Rs. 50/- or Rs. 50 every 100 Securities (whichever is higher)(Maximum Cap of Rs. 5 Lacs)
10. Speed-E Annual Maintenance Charges (Optional)
1. For Password User
2. For Smart Card User
3. Subscription to IDEAS


Rs. 250/- p.a
Rs. 200/- p.q.
Rs. 20/- p.a.


Rs. 250/- p.a.
Rs. 200/- p.q.
Rs. 20/- p.a.


Rs. 250/- p.a.
Rs. 200/- p.q.
Rs. 20/- p.a.


Rs. 250/- p.a.
Rs. 200/- p.q.
Rs. 20/- p.a.
11. Other Charges :-
1. Courier Charges per Co. (Upfront)
2. Modification of Account Detail
3. Demat Rejection Charges
4. Account Opening Form Charges
5. Late Delivery Charges (on Payin day)
6. POA Charges
7. KRA Charges
8. Service Tax or any other Tax shall be applicable.
- Rs. 25/- upto 25 Certificate and thereafter for every 25 Certificate Rs. 25/- Extra.
- Rs. 50/- per request
- Rs. 25/- Postal Charges
- Rs. 25/- Each
- Rs. 25/- per transaction
- Rs. 110/-
- Rs. 50/-
Payment Options
Option 1 : Client pays an imprest of Rs. 500/- per depository account, which will be adjusted against depository charges. The Imprest option is payable by cheque/cash and is non-interest bearing.
The client undertakes to replenish the balance before it falls below Rs. 100/-
Option 2 : Client authorises Elite Wealth Advisors Ltd. to collect the dues through ECS facility.
Notes :-
1. All other schemes shall stand withdrawn w.e.f. : April 01, 2010
2. In case Account Holder has not selected any of the above schemes then by default, Scheme A shall be applicable
3. Any Hardware, Software cost for Speed-E like Smart Card etc. shall be done by the account holder.
4. Charges / Services are subject to revision by given not less than 30 days notice at the sole discretion of Elite Wealth Advisors Ltd.
*The individual shall have only one BSDA in his/her name across all depositories.
*Value of securities held in demat account shall not exceed Rupees Two Lakhs at any point of time
I/We have accepted & understood the terms & conditions mentioned above.
   
  Signature of 1st Holder     Signature of 2nd Holder     Signature of 3rd Holder
DECLARATION BY HUF
To,
ELITE WEALTH ADVISORS LIMITED
S-110, Sahara Mall, M.G. Road,
Gurgaon-122002, Haryana
As our HUF firm wishes to open an account with you DP in the said name we beg to say that the first signatory to this letter, i.e., is the Karta of the Joint Family and other signatories are the adult co-parceners of the said family.
We further confirm that the business of the said joint family is carried on mainly by the said Karta as also by the other signatories hereto in the interest and for the benefit of the entire body of co-parceners of the joint family. We all undertake that claims due to the DP from the said family shall be recoverable personally from all or any of us and also for the entire family properties of which the first signatory is the Karta, including the share of minor co-parceners
In view of the fact that ours is not a firm governed by the Indian Partnership Act of 1952, we have not got our said firm registered under the said Act.
We hereby undertake to inform the DP of the death or birth of a co-parcener of any change occurring at any time in the membership of our joint family during the currency of the account.
Name & signature of Karta
Name Signature
Name & Signature of Adult Co-parceners (Use Annexure for additional Members
S. No. Name Signature
1.
2.
3.
4.
Name & Date of Birth of Minor-Co-parceners
S. No. Name Signature
1.
2.
3.
4.
DECLARATION FOR NAME MISMATCH
I hereby declare that
1. My name mentioned in PAN Card is
2. In additional I D Proof i.e. Voter Id / Passport / Driving License it is
3. In Bank A/c No. it is
4. In is this
Further I declare that the names mentioned in above details document pertains to me, therefore I request my account and make all payouts in the same name as mentioned in my bank proof.
Thanks
Name of the Client :
Client Signature
Date :
FORMAT OF BOARD RESOLUTION (For Trading Account)         Annexure-1
(To be printed on the letter head of the Company)
CERTIFIED TRUE COPY OF THE RESOLUTION - PASSED IN THE BOARD MEETING OF LTD. HAVING REGISTERED OFFICE AT HELD ONDAY OF,20AT A.M,/P.M.
RESOLVED THAT the Company is empowered to deal with Elite Wealth Advisors Limited, Member of The National Stock Exchange of India Ltd. (NSE) and The Bombay Stock Exchange Ltd. (BSE) for Cash segment, for the purpose of dealing in Capital Market segment, Future and Options segment, or any other segment that may be introduced by NSE/ BSE in future. Resolved further that in pursuance of the same the company do enter into an agreement with Elite Wealth Advisors Limited, Member of The National Stock Exchange of India Ltd. (NSE) and The Bombay Stock Exchange Ltd.(BSE) for Cash and F&O segment, and the said Trading Member be and is hereby authorised to honor instructions, oral or written, given on behalf of the company by any of the under noted authorised signatories:
Name Designation Specimen Signature
Who are authorised to sell, purchase, transfer, endorse, negotiate and/ or otherwise deal through Elite Wealth Advisors Limited, on behalf, of the Company.
RESOLVED FURTHER THAT Mr and/ or Mr Directors and/or Mr severally authorised to sign, execute and submit such forms, applications, undertakings, agreements and other requisite documents, writings and deeds as may be deemed necessary or expedient to give effect to this resolution.
RESOLVED FURTHER THAT, the Common Seal of the Company be affixed, wherever necessary, in the presence of any Directors or of anyone Director and Company Secretary, who shall sign the same in token of their presence.”
For Ltd.
Chairman / Company Secretary
Instruction: Please put Common Seal of the Company
DECLARATION BY PROPRIETARY CONCERN (For Trading Account)              Annexure-2
(ON THE LETTER HEAD OF THE FIRM)
To,
M/s. Elite Wealth Advisors Limited
S-110, Sahara Mall, M.G. Road,
Gurgaon-122002, Haryana
Dated :
Dear Sir,
Please refer to the trading account opened with you in the name of M/ s. With reference to the same I state and declare that I am the Sole-Proprietor of the concern and am solely responsible for the liabilities thereof. I shall advice you in writing of any change that takes place in the constitution of the concern and I will be personally liable to you for all the obligations that the concern may incur in the concern of dealings with you and undertake to personally discharge such liabilities.
I recognise that a beneficiary account cannot be opened with a depository participant in the name of a sole proprietorship concern as per Regulations. To facilitate the operation of the above trading account with you and for the purpose of completing the share transfer obligations pursuant to the trading operations, I authorise you to recognise the beneficiary account No. with Depository Participant I authorise you to recognise the beneficiary account No. with Depository Participantdersigned who is the sole proprietor of the concern.
I agree that the obligation for shares purchased and/ or sold by the firm will be handled and completed through transfers to/from the above mentioned account. I recognise and accept transfers made by you to the beneficiary account as complete all obligations by you in respect of trades executed in the above trading account of the concern
I further state that Cheques/DD’s may be issued by me from my individual account or my joint account with some one else, the amount shall be solely / exclusively for credit to the account of my sole proprietorship firm M/ s. with Elite Wealth Advisors Limited and shall not lay any claim whatsoever in future against Elite Wealth Advisors Limited for afforfling credit of such Cheques /DDs issued from my individual/joint account credit of which has been provided by Elite Wealth Advisors Limited to the account of my proprietorship firm M/s I further undertake to indemnify Elite Wealth Advisors Limited against any such claims/loss if occurred.
Yours truly,
Name & Signature of Proprietor
Instruction: Please put Rubber Stamp of the firm
FORMAT OF BOARD RESOLUTION (For Demat)
CERTIFIED Copy OF RESOLUTION PASSED AT THE MEETING OF THE BOARD OF DIRECTORS OF (Having its registered office at )HELD ONDAY OF20
“Resolved that the consent of the Board be and is hereby given to open a Demat account of the company with Elite Wealth Advisors Limited, the Depository Participant, as per the rules and regulations laid down by National Securities. Depository Ltd. (NSDL)
“Further Resolved that Mr./Ms and /or Mr./ Ms and /or Mr./Ms, the Director(s) /Authorized person(s) of the Company, whose specimen signatures are attested below, be and is/are hereby, jointly/severally authorized to sign, execute & submit, on behalf of the company, such form(s), agreement(s), application (s), undertaking(s), and any other requisite documents as may be necessary or expedient in relation to the opening/operating of such account as required by Elite Wealth Advisors Limited, and is fare authorized to sign, on the behalf of the company, any instructions and counter indemnities which may be required by Elite Wealth Advisors Limited in connection with the opening /operating of the Demat account.
“Further resolved that the aforesaid person(s) of the Company be and is/are hereby authorized to jointly severally sign/execute a power of Attorney appointing Elite Wealth Advisors Limited as lawful attorneys for transferring securities form the aforesaid account for the purpose of fulfilling the pay-in obligation of securities arising out of trades effected in the company’s account through Elite Wealth Advisors Limited on any segment of a recognized stock exchange and for transferring securities form the aforesaid account to the client margin demat account of Elite Wealth Advisors Limited or Elite Comtrade Pvt. Ltd. against trades in the company’s account in any segments of the securities or commodities exchange.
“Resolved further that Elite Wealth Advisors Limited Shall act according to the aforesaid Power of Attorney on behalf of & is hereby authorized to sign, as per authorization by Elite Wealth Advisors Limited, the documents relating to the beneficiary account with Elite Wealth Advisors Limited And the authority so given to Elite Wealth Advisors Limited to act on behalf of M/s Shall not be withdrawn/revoked without fifteen days prior intimation in writing.
For and on behalf of M/s.
Director/Chairman
Signature of the directors/authorized signatories are attested herewith.
Name Specimen signature
DECLARATION TO BE GIVEN BY PARTNERS (For Demat)
To,
M/s. Elite Wealth Advisors Limited
S-110, Sahara Mall, M.G. Road,
Gurgaon-122002, Haryana
1. I / We, have submitted an application for opening a single / joint account for opening a Beneficial Owner [BO] account in the category “individual’ for holding and carrying out transactions in respect of securities belonging to our firm, since as per the clarification issued by the Department of Company Affairs vide its Circular N0. 5/75(8/18/75-CL-V)dated March 31,1975,Partnership p Firm is not capable of being a member within the meaning of Section 41 of The Companies Act, 1956.
2. I / we represent the firm.
3. In consideration of you having agreed to accept the Permanent Account Number[PAN] issued by the Income Tax Department [ITD] to the firm along with our individual identity documents, I/ We acknowledge and undertake as under:-
a) The acceptance of the PAN number of our firm does not amount to you having taken notice of trust or recognise our firm.

b) I/ We shall continue to be responsible for complying with the relevant provisions of The Companies Act, 1956 and the Rules made thereunder and other applicable Laws failing which I / we shall be responsible for the consequences thereof.
Yours faithfully,
Signature : Name of the Partner :
Signature : Name of the Partner :
Signature : Name of the Partner :
ACKNOWLEDGEMENT (DP)
Elite Wealth Advisors Limited
(Depository Participant with NSDL)
SEBI Regn. No. : NSDL (DP IN 301670) IN-DP-NSDL 142-2000
S-110, Sahara Mall, M.G. Road, Gurgaon-122002, Haryana Phone : +91-124-4068107
Fax : +91-124-4053448 E-mail : info@elitewealth.in, Investor Grievance: investorquery@elitewealth.in
Accepted/Rejected the application from M/s as the sole/first holder alongwith and as the second and third holders respectively for opening of a depository account. Your Client Id/CM-BP-Id (in case of Clearing Members) will be intimated to you shortly on acceptance. Please quote the DP Id & Client Id attotedto you (CM-BP-Id in case of Clearing Members) in all your future correspondence.
Date : Participant Stamp & Signature