Scribd
Upload
123 views2 pages

Annexure For Compliance To SEBI Circular

This document contains an authorization from a client to Reliance Securities Limited to send contract notes, statements, and other communications electronically. It also authorizes Reliance Securities to maintain a running account and settle funds at least once per calendar quarter or month. The client specifies their trading preferences for BSE Capital Market, NSE Capital Market, and NSE F&O segments and provides financial details including income range and supporting documents. The client confirms they have not been subject to any SEBI or other regulatory actions in the past 3 years.

Uploaded by

Manoj
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
123 views2 pages

Annexure For Compliance To SEBI Circular

This document contains an authorization from a client to Reliance Securities Limited to send contract notes, statements, and other communications electronically. It also authorizes Reliance Securities to maintain a running account and settle funds at least once per calendar quarter or month. The client specifies their trading preferences for BSE Capital Market, NSE Capital Market, and NSE F&O segments and provides financial details including income range and supporting documents. The client confirms they have not been subject to any SEBI or other regulatory actions in the past 3 years.

Uploaded by

Manoj
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 2

Date: _________________

To,
Reliance Securities Limited
Dear Sir(s)

I/We am/are registered client with you. In reference to my/our dealings with you as your
client and pursuant to SEBI circular bearing reference number MIRSD/SE/Cir-19/2009 dated
Dec 3, 2009 read with NSE circular bearing reference number NSE/INSP/2010/91 dated Feb 3,
2010 and BSE circular bearing reference number 20100203-30 dated Feb 3, 2010, I/We hereby
undertake & confirm for the following and authorize you.

Authorization for Electronic Contract Notes and other communication


I/We hereby authorise & confirm to send Contract Note, Bills, DAS, Margin statement, Ledgers,
Transaction statement (Statement of Funds / Securities), report, Order/Trade confirmation slip,
letter, circulars, other documents & communication in electronic form at the email Id (
[email protected]) created for me/us, which would be hosted and managed by
Microsoft.
Authorization for Running Account
I/We hereby confirm and authorise you to maintain my/our account on running basis in order to
facilitate the transfer of funds across segments/exchange(s) and retain the payout received /
credit balance in my /our account for my/our future obligation / margin obligation or other
liabilities unless I/we instruct otherwise. This authorization shall be valid only for the financial
year 2010-2011. I/We also aware that the authorization can be revoked at any time at my/our
own discretion.
The actual settlement of funds shall be done at least once in the preference period selected
below: (Please Tick)
Once in a calendar Quarter
Once in a calendar month
Authorization to activate Market segments/ stock exchanges
I/We hereby authorise and request you to activate below segment / stock exchanges for my/our
account held with you.
Trading Preference (TO BE MANDATORILY SPECIFIED AND SIGNED):
BSE Capital Market
NSE Capital Market
NSE F&O

Ver 11.0 / Apr 2010

Page 1 of 2

Financial details
My/our Income Range p.a. is as below: (Please Tick)
Less than Rs. 1 Lacs
Rs. 1 - Rs. 5 Lacs
Rs. 5 - Rs. 10 Lacs
Rs. 10 - Rs. 25 Lacs

>Rs. 25 Lacs

For the trading in derivative segments, I/We furnish the following documents as financial
information:
List of documents
Copy of ITR Acknowledgement
Copy of Annual accounts
Copy of Form 16 in case of salary income
Net worth certificate
Salary Slip
Bank account statement for last 6 months reflecting Income
Self declaration along with relevant supporting
Other (please specify

(Please Tick)

Others
I/We hereby confirm that no action has been taken by SEBI or other authorities against me/us
during the last 3 years. I/We also confirm and agree to provide you the information of any action
taken by SEBI or other authorities against me/us.
I/We also confirm that I/we have read and understood the Policies & procedures of Reliance
Securities Ltd., made available on the Trading portal under the link Help>Misc.>RSL Policies &
Procedures (As per SEBI Cir Dec 03, 09).
I/We understand that only the documents mentioned as mandatory are mandatory. Any
additional clauses or documentation that are executed along with the Account opening form is
voluntary. I/We also understand that the documents mentioned as voluntary are voluntary and
I/we need not execute such documents if I /we do not wish to use the trading facility through
Reliance Securities Ltd.
I/We hereby agree to provide a written request to you for a copy of the AOF (Account opening
form) and Policies & procedures of Reliance Securities Ltd., if required.
Yours faithfully,
Name of Client: ________________________________________________

Signature:

#__________________________

Client Code: ___________________________


Personal Email ID: ______________________
Mobile No.: ____________________________
Ver 11.0 / Apr 2010

Page 2 of 2

You might also like