Know Your Client (KYC) PLEASE AFFIX A

RECENT PASSPORT
Application Form (For Individuals Only) PHOTOGRAPH AND

Please fill type the form in English and BLOCK letters. Sign all areas marked with SIGN ACROSS IT
‘x’. Once completed, please mail the completed form along with the necessary
proofs to our corporate office in Mumbai. CLIENTʼS SIGNATURE [1]

A. Identity Details (please see guidelines)

FULL NAME (As appearing in supporting identification document): SYED UMAR

FATHER / SPOUSE’S NAME: Syed Ajmal MAIDEN NAME: (If any)

MOTHER NAME:
GENDER ✔ MALE FEMALE T - TRANSGENDER MARITAL STATUS MARRIED ✔ UNMARRIED

CITIZENSHIP ✔ IN - INDIAN OTHER DATE OF BIRTH (dd/mm/yyyy) 17/07/2001

RESIDENTIAL STATUS ✔ RESIDENT INDIVIDUAL NON RESIDENT INDIAN FOREIGN NATIONAL PERSON OF INDIAN ORIGIN

PAN (Please enclose a duly attested copy) ALGPU6097G Applicant E-Sign

PROOF OF IDENTITY SUBMITTED FOR PAN EXEMPT CASES (Please Tick )

A- Aadhar Card XXXX XXXX

B- Passport Number
C- Voter ID
D - Driving License
Signed by: SYED UMAR

E - NREGA Job Card Reason: Upstox Trading and Demat A/C Opening by UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

F - NPR
✔ z - Others PAN (any document by Central Government)

Identification Number

B. Address Details (Please see guidelines)

Address Type Residential / Business ✔ Residential Business Registered Office Unspecified
ADDRESS FOR RESIDENCE/CORRESPONDENCE:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PERMANENT ADDRESS OF RESIDENT APPLICANT IF DIFFERENT FROM ABOVE B1 OR OVERSEAS ADDRESS(MANDATORY) FOR NON RESIDENT APPLICANT:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PROOF OF ADDRESS* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)

✔ A- Aadhar Card XXXX XXXX 2766

B- Passport Number Expiry Date

C- Voter ID
D - Driving License Expiry Date

E - NREGA Job Card

F - NPR
z - Others (any document by Central Government)

Identification Number

PAGE 1
V 3.1.0
 C. Contact Details (in CAPITAL)

EMAIL ID* [email protected]

MOBILE NO.* 9743959762

TEL (Off) TEL (Res)

D. Applicant Declaration

I/We hereby declare that the KYC details furnished by me are true and correct to the Applicant e-SIGN Applicant Wet Signature
best of my/our knowledge and belief and I/we under-take to inform you of any
changes therein, immediately. In case any of the above information is
found to be false or untrue or misleading or misrepresenting, I am/We are
aware that I/We may be held liable for it.
I/We hereby consent to receiving information from CVL KRA through SMS/Email on
the above registered number/Email address.
I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be
validated against Aadhaar details. I/We hereby consent to sharing my/our masked
Aadhaar card with readable QR code or my Aadhaar XML/Digilocker XML file, along
with passcode and the entire account opening form along with supporting
documents as applicable, with KRA and other Intermediaries with whom I have a Signed by: SYED UMAR
business relationship for KYC purposes only. Reason: Upstox Trading and Demat A/C Opening by
UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
Place BENGALURU
Date
21/11/2024
FOR OFFICE USE ONLY IPV Done on (dd/mm/yyyy)
AMC/Intermediary name OR code
Application Typ
e e✔ N w Update
(Originals verified) True copies of Seal/Stamp of the intermediary should contain
documents received KYC Number Staff Name
(Mandatory for KYC update request) Designation
Name of the Organization
Signature
(Attested) True copies of documents
Account Type Normal Small Date
received Main Intermediary Place
Simplified
KYC Mode* Normal EKYC OTP EKYC Biometric Online KYC Offline KYC ✔ Digilocker

DECLARATION FOR NAME MISMATCH

(To be filled if the name on documents is different)
This is to bring to your notice that my name is spelt differently in my Identity proof, Address proof and Bank proof. Please find below the
names as spelt in respective proofs:

Name as per Income Tax SYED UMAR

Name as per Bank Proof Syed Umar

Name as per Address Proof Syed Umar

Name as per Income Proof

I hereby confirm that all the said names belong to me. I hereby state and confirm that what is stated above is true and correct information.
I agree to indemnify and keep Upstox Securities Pvt. Ltd. / RKSV Commodities India Pvt. Ltd. indemnified at all times from and against all costs,
charges, damages, penalties (including reasonable attorney fees) suffered and/or incurred by Upstox Securities Pvt. Ltd. / RKSV Commodities
India Pvt. Ltd. for any act done or omitted to be done on the above declaration.

CLIENTʼS SIGNATURE [12 ] X

PAGE 2
V 3.1.1
Signed by: SYED UMAR
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
DigiLocker Verified e-Aadhaar
This document is generated from verified Aadhaar XML obtained from DigiLocker with due user consent and
authentication

Document type e-Aadhaar generated from DigiLocker verified Aadhaar XML

XML Verified

Generation date 2024-11-21T08:35:04.516+05:30 Download date 2024-11-21T08:35:04.516+05:30

Masked Aadhaar
Number xxxxxxxx2766
Name Syed Umar

Date of birth 17-07-2001

Gender MALE

c/o, s/o, S/O Syed Ajmal

#18/19 BELLAHALLI MAIN ROAD Yelahanka kogilu
layout Bangalore North Bangalore, 560064, Karnataka

Address

kogilu layout
Landmark Locality

City/District Bangalore

PIN Code 560064 State Karnataka

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
Digitally signed e-Aadhaar XML
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Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
I wish to register the mentioned signature as authorized signature for all activities and correspondence with RKSV/Upstox

Signature as per our records Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
 COMMODITIES ACCOUNT OPENING FORM
MANDATORY DOCUMENTS

DOCUMENT SIGNIFICANCE PAGE(s)

Account Opening Form a) KYC form - Document captures the basic information about the 3
constituent and an instruction/check list.
b) Document captures the additional information about the
constituent relevant to trading account and an instruction/check list.

Rights and Obligations Provided to client

Risk Disclosure Document
(RDD) Provided to client

Guidance Note Provided to client

Policies and Procedures Provided to client
Tariff Sheet Details the rate/amount of brokerage and other charges levied 9
on the client for trading on the stock exchange(s)

FATCA CRS Declaration Client’s self declaration on holding of overseas asset if any 12

VOLUNTARY CLAUSE

DOCUMENT SIGNIFICANCE PAGE(s)

Authorization for Letter of Authorization for Electronic Contract Notes. 10

Electronic Contract Notes

Authorization of running Letter or authority/request to RKSV Commodities India Pvt. Ltd. 10

account/request letter

REGISTERED OFFICE ADDRESS KYC PROCESSING OFFICE ADDRESS

RKSV Commodities India Private Limited RKSV Commodities India Private Limited
809, New Delhi House, Barakhamba Road
Connaught Place, New Delhi, 110 001 Salasar Business Park,
Telephone: +91-22-6130-9999 Off 150 Feet Flyover Road,
Fax: +91-22-6710-7492 Bhayander West,
Email: [email protected], www.upstox.com
Thane,
CEO (BSE/NSE) Maharashtra 401101
Mr. Ravi Kumar Telephone: +91-22-6130-9999
Telephone: +91-22-6130-9999
Email: [email protected], www.upstox.com Fax: +91-22-6710-7492
Email: [email protected], www.upstox.com
COMPLIANCE OFFICER (BSE/NSE)
Mr. Amit Lalan
Telephone: +91-22-6130-9999 SEBI REGISTRATION NUMBERS
Email: [email protected], www.upstox.com
SEBI Regn. No. INZ000015837
COMPLIANCE OFFICER (DP) |MCX: MCX/TM/CORP/2034
Mr. Amit Lalan Registration Date: Jan 22, 2016
Telephone: +91-22-6130-9999 Clearing Member: RKSV Commodities India
Email: [email protected], www.upstox.com
Private Limited

For any grievance/ dispute please contact RKSV Commodities India Pvt. Ltd. at the above address and/ or email id: [email protected] and [email protected] and/ or Phone
No. +91-22-6130-9999. In case you are not satisfied with the response, please contact the concerned exchange(s) at MCX at [[email protected] and Phone No.
+91-22-6731-8888]. Procedure to file a complaint on SEBI SCORES: Register on SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile
Number, E-mail ID. Signed by: SYED UMAR
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
P AGE 1
V 3.1.1
 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

(A) IMPORTANT POINTS

1. Self attested copy of PAN card is mandatory for all clients.
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 foreign 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 FEMA guidelines), copy of passport/PIOCard/OCICard 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.
10. For opening an 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( P01): List of documents admissible as Proof of Identity:

1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed
in Section D).
2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license.
3. Identity card/ document with applicant’s Photo, 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,
Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Bank.

(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. BankAccount 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 FM/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 the spouse may be accepted.

(D) EXEMPTIONS/CLARIFICATIONS TO PAN (*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of 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/filing tax returns in India.
4. SIP of Mutual Funds upto Rs 50, 000/- p.a.
5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial 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, Custodians shall verify the PAN card details with the original PAN card and provide duly certified
copies of such verified PAN details to 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.

ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENTS - ILLUSTRATIVE LIST

In respect of other clients, documents as per risk management policy of the Trading Member need to be provided by the client from time to time.
1. Copy of ITR Acknowledgement
2. Copy of Annual Accounts
3. In case of Salary Income – Salary Slip, Copy of Form 16
4. Net Worth Certificate
5. Copy of demat account holding statement.
6. Bank account statement for last 6 months
7. Self declaration with relevant supporting documents.
8. Any other relevant documents substantiating ownership of Assets.

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 2
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 Know Your Client (KYC) PLEASE AFFIX A
RECENT PASSPORT
Application Form (For Individuals Only) PHOTOGRAPH AND

Please fill type the form in English and BLOCK letters. Sign all areas marked with SIGN ACROSS IT
‘x’. Once completed, please mail the completed form along with the necessary
proofs to our corporate office in Mumbai. CLIENTʼS SIGNATURE [1]

A. Identity Details (please see guidelines)

FULL NAME (As appearing in supporting identification document): SYED UMAR

FATHER / SPOUSE’S NAME: Syed Ajmal MAIDEN NAME: (If any)

MOTHER NAME:
GENDER ✔ MALE FEMALE T - TRANSGENDER MARITAL STATUS MARRIED ✔ UNMARRIED

CITIZENSHIP ✔ IN - INDIAN OTHER DATE OF BIRTH (dd/mm/yyyy) 17/07/2001

RESIDENTIAL STATUS ✔ RESIDENT INDIVIDUAL NON RESIDENT INDIAN FOREIGN NATIONAL PERSON OF INDIAN ORIGIN

PAN (Please enclose a duly attested copy) ALGPU6097G Applicant E-Sign

PROOF OF IDENTITY SUBMITTED FOR PAN EXEMPT CASES (Please Tick )

A- Aadhar Card XXXX XXXX

B- Passport Number
C- Voter ID
D - Driving License
Signed by: SYED UMAR

E - NREGA Job Card Reason: Upstox Trading and Demat A/C Opening by UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

F - NPR
✔ z - Others PAN (any document by Central Government)

Identification Number

B. Address Details (Please see guidelines)

Address Type Residential / Business ✔ Residential Business Registered Office Unspecified
ADDRESS FOR RESIDENCE/CORRESPONDENCE:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PERMANENT ADDRESS OF RESIDENT APPLICANT IF DIFFERENT FROM ABOVE B1 OR OVERSEAS ADDRESS(MANDATORY) FOR NON RESIDENT APPLICANT:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PROOF OF ADDRESS* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)

✔ A- Aadhar Card XXXX XXXX 2766

B- Passport Number Expiry Date

C- Voter ID
D - Driving License Expiry Date

E - NREGA Job Card

F - NPR
z - Others (any document by Central Government)

Identification Number

PAGE 3
V 3.1.0
 C. Contact Details (in CAPITAL)

EMAIL ID* [email protected]

MOBILE NO.* 9743959762

TEL (Off) TEL (Res)

D. Applicant Declaration

I/We hereby declare that the KYC details furnished by me are true and correct to the Applicant e-SIGN Applicant Wet Signature
best of my/our knowledge and belief and I/we under-take to inform you of any
changes therein, immediately. In case any of the above information is
found to be false or untrue or misleading or misrepresenting, I am/We are
aware that I/We may be held liable for it.
I/We hereby consent to receiving information from CVL KRA through SMS/Email on
the above registered number/Email address.
I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be
validated against Aadhaar details. I/We hereby consent to sharing my/our masked
Aadhaar card with readable QR code or my Aadhaar XML/Digilocker XML file, along
with passcode and the entire account opening form along with supporting
documents as applicable, with KRA and other Intermediaries with whom I have a Signed by: SYED UMAR
business relationship for KYC purposes only. Reason: Upstox Trading and Demat A/C Opening by
UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
Place BENGALURU
Date
21/11/2024
FOR OFFICE USE ONLY IPV Done on (dd/mm/yyyy)
AMC/Intermediary name OR code
Application Typ
e e✔ N w Update
(Originals verified) True copies of Seal/Stamp of the intermediary should contain
documents received KYC Number Staff Name
(Mandatory for KYC update request) Designation
Name of the Organization
Signature
(Attested) True copies of documents
Account Type Normal Small Date
received Main Intermediary Place
Simplified
KYC Mode* Normal EKYC OTP EKYC Biometric Online KYC Offline KYC ✔ Digilocker

DECLARATION FOR NAME MISMATCH

(To be filled if the name on documents is different)
This is to bring to your notice that my name is spelt differently in my Identity proof, Address proof and Bank proof. Please find below the
names as spelt in respective proofs:

Name as per Income Tax SYED UMAR

Name as per Bank Proof Syed Umar

Name as per Address Proof Syed Umar

Name as per Income Proof

I hereby confirm that all the said names belong to me. I hereby state and confirm that what is stated above is true and correct information.
I agree to indemnify and keep Upstox Securities Pvt. Ltd. / RKSV Commodities India Pvt. Ltd. indemnified at all times from and against all
costs, charges, damages, penalties (including reasonable attorney fees) suffered and/or incurred by Upstox Securities Pvt. Ltd. / RKSV
Commodities India Pvt. Ltd. for any act done or omitted to be done on the above declaration.

CLIENTʼS SIGNATURE [12 ] X

PAGE 4
V 3.1.1
SECTION A DEALINGS THROUGH OTHER MEMBERS
IF CLIENT IS DEALING THROUGH ANY OTHER MEMBER, PLEASE PROVIDE THE FOLLOWING DETAILS
(IN CASE DEALING WITH MULTIPLE MEMBERS, PROVIDE DETAILS OF ALL IN A SEPARATE SHEET CONTAINING
ALL THE INFORMATION AS MENTIONED BELOW)
MEMBER/AUTHORIZED PERSON NAME: EXCHANGE: EXCHANGE REGISTRATION NUMBER:

CONCERNED MEMBER’S NAME WITH WHOM AP IS REGISTERED: CLIENT CODE:

REGISTERED OFFICE ADDRESS: CITY:

STATE: COUNTRY: TELEPHONE: FAX:
EMAIL ID (As mentioned on Page 3): [email protected] DETAILS OF DISPUTES/DUES PENDING FROM/TO SUCH MEMBER/AP:

WEBSITE:
SECTION B VAT DETAILS (AS APPLICABLE, STATE WISE)
LOCAL SALES TAX REGISTRATION NUMBER:

VALIDITY DATE (DD/MM/YYYY) NAME OF THE STATE:

OTHER SALES TAX REGISTRATION NUMBER:

VALIDITY DATE (DD/MM/YYYY) NAME OF THE STATE:

SECTION C SALES TAX REGISTRATION DETAILS

LOCAL SALES TAX REGISTRATION NUMBER:

VALIDITY DATE (DD/MM/YYYY) NAME OF THE STATE:

CENTRAL SALES TAX REGISTRATION NUMBER:

VALIDITY DATE (DD/MM/YYYY)

OTHER SALES TAX REGISTRATION NUMBER:

VALIDITY DATE (DD/MM/YYYY) NAME OF THE STATE:

SECTION D INVESTMENT/TRADING EXPERIENCE AND ADDITIONAL DETAILS

NO PRIOR EXPERIENCE IN TRADING / INVESTMENT
NUMBER OF YEARS OF COMMODITIES EXPERIENCE: YEARS OF EXPERIENCE IN OTHER INVESTMENT FIELDS:
<1 Year

CONTRACT NOTE PREFERENCES EMAIL ADDRESS:

ELECTRONIC CONTRACT NOTE (ECN) PHYSICAL CONTRACT NOTE [email protected]

SECTION E INTRODUCER DETAILS (OPTIONAL)

INTRODUCER’S NAME: INTRODUCER’S RELATIONSHIP:

INTRODUCER’S STATUS: EXISTING CLIENT AUTHORIZED PERSON SUB-BROKER REMISIER

OTHERS, PLEASE SPECIFY
INTRODUCER’S ADDRESS:
INTRODUCER’S PHONE NUMBER: INTRODUCER’S CLIENT ID: INTRODUCER’S SIGNATURE

PLEASE SIGN BELOW ATTESTING TO ALL THE INFORMATION ON THIS PAGE

CLIENT’S NAME: SYED UMAR

CLIENTʼS SIGNATURE [3] X DATE (DD/MM/YYYY)

Signed by: SYED UMAR
2 1 1 1 2 0 2 4
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED

PAGE 5
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 TRADING ACCOUNT RELATED DETAILS
SECTION F PRIMARY BANKING ACCOUNT

BANK NAME INDIAN BANK BRANCH ADDRESS BANGALORE

CITY/TOWN/VILLAGE STATE KARNATAKA
PIN CODE 9 9 9 9 9 9
BANGALORE COUNTRY INDIA
ACCOUNT NO. 7640036992 MICR NUMBER IFSC CODE I D I B 0 0 0 T 1 3 5

ACCOUNT TYPE CURRENT SAVINGS NRI / NRE / NRO OTHERS (Please Specify)

SECTION G OTHER DETAILS

GROSS ANNUAL INCOME RANGE NET WORTH ON DATE (NOT OLDER THAN 1 YEAR)
BELOW 1 LAC 1 - 5 LAC 5 - 10 LAC OR VALUE 0
10 - 25 LAC OVER 25 LAC DATE (DD/MM/YYYY)

FOR NON INDIVIDUALS: 25 LAC - 1 CRORE OVER 1 CRORE

AFFILIATIONS: POLITICALLY EXPOSED PERSON (PEP) RELATED TO A POLITICALLY EXPOSED PERSON (RPEP)

OCCUPATION:
PRIVATE SECTOR SERVICE PUBLIC SECTOR PROFESSIONAL HOUSEWIFE STUDENT
GOVERNMENT SERVICE AGRICULTURIST BUSINESS RETIRED OTHER

ANY OTHER INFORMATION

SECTION H TRADING PREFERENCES

Please sign in the relevant boxes where you wish to trade. Please Strike off the segment not chosen by you.

NSE AND MCX Place Signature here

If you do not wish to trade in any of SeIf you do not wish to trade in any of Segment, please mention here:

SECTION I PAST ACTIONS

Details of any action/ proceedings initiated/ pending/ taken by SEBI/ Stock exchange/ FMC/ any other authority against
the applicant/ constituent or its Partners/ promoters/ whole time directors/ authorized persons in charge of dealing
in Commodities during the last 3 years.

SECTION J DETAILS OF RELATED PERSON (RP) (In case of additional related persons, please fill Annexure B1’ ) (Please refer instruction G at the end)

Addition of RP Deletion of RP KYC Number of RP (if available*)

RP Type* Guardian of Minor Assignee Authorized Representative

Prefix First Name Middle Name Last Name
Name*
(If KYC number and name are provided, Proof of identity of RP required

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 6
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 Nomination Form
[Annexure A to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated July
23, 2021 on Mandatory Nomination for Eligible Trading and Demat Accounts]

TM / DP FORM FOR NOMINATION

Upstox Securities Pvt. Ltd.,
30th Floor, Sunshine Tower, Senapati Bapat (To be filled in by individual applying singly or jointly)
Marg, Dadar (W), Mumbai - 400 013

Date D2 D1 M1 M
1 Y2 Y0 Y2 Y
4 UCC/ DP ID 1 2 0 8 1 8 0 1 Client ID

I/We the sole holder/Joint holders/Guardian (in case of minor) hereby declare that:
I/We do not wish to nominate any one for this demat account.
I/We nominate the following person who is entitled to receive security balances lying in my/our account, Particulars
whereof are given below, in the event of my/our death.
I/We wish to make a nomination. [As per details given below]

Nomination Details

I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all the assets held in my / our account in the event
of my / our death.

Nomination can be made upto three Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
nominees in the account.

1 Name of the nominee(s) (Mr./Ms.)

2 Share of Equally % % %
each
[If not equally,
Nominee please specify
percentage] Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship With the Applicant

( If Any)

4 Address of Nominee(s)

City / Place:
State & Country:

PIN Code

5 Mobile / Telephone No. of

nominee(s)

6 Email ID of nominee(s)

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
PAGE 7
V 3.1.1
 7 Nominee Identification details –
[Please tick any one of following
and provide details of same]

󠄀 Photograph & Signature 󠄀󠄀 PAN

󠄀 Aadhaar 󠄀󠄀 Saving Bank
account no. 󠄀 󠄀󠄀 Proof of Identity 󠄀󠄀
Demat Account ID

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

8 Date of Birth {in case of minor

nominee(s)}

9 Name of Guardian (Mr./Ms.) {in

case of minor nominee(s) }

10 Address of Guardian(s)

City / Place:
State & Country:

PIN Code

11 Mobile / Telephone no. of

Guardian

12 Email ID of Guardian

13 Relationship of Guardian with

nominee

14 Guardian Identification details –

[Please tick any one of following
and provide details of same]

󠄀 Photograph & Signature

󠄀 PAN 󠄀 󠄀󠄀 Aadhaar Saving Bank
account no. 󠄀󠄀 Proof of Identity󠄀 󠄀
󠄀 󠄀Demat Account ID

Name(s) of holder(s) Signature(s) of holder*

Sole / First Holder (Mr./Ms.)

Second Holder (Mr./Ms.)

Third Holder (Mr./Ms.)

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of signature

Note:

This nomination shall supersede any prior nomination made by the account holder(s), if any.

The Trading Member / Depository Participant shall provide acknowledgement of the nomination form to the account holder(s)

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
PAGE 8
V 3.1.1
 Declaration Form for opting out of nomination
[Annexure B to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated July
23, 2021 on Mandatory Nomination for Eligible Trading and Demat Accounts]

Date D2 D1 M1 M1 Y2 Y0 Y2 Y4
To

Trading Member/Participant’s Name Upstox Securities Pvt. Ltd.,

30th Floor, Sunshine Tower, Senapati Bapat

Trading Member/Participant’s Address Marg, Dadar (W), Mumbai - 400 013

UCC/DP ID
1 2 0 8 1 8 0 1
Client ID (only for Demat account)

Sole/First Holder Name

SYED UMAR
Second Holder Name

Third Holder Name

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

Name and Signature of Holder(s)*

SYED UMAR

1.___________________________________2.__________________________________________3___________________________________

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of
signature

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 9
V 3.1.1
 TARIFF SHEET
TO: RKSV Commodities India Private Limited
Dear Sir or Madam,
I would like to subscribe to the RKSV Commodities India Pvt. Ltd for trading and demat account and request RKSV
Commodities India Pvt. Ltd. to apply brokerage charges as mentioned and as per the terms and conditions of RKSV
Commodities India Pvt. Ltd.

BROKERAGE CHARGE
Account opening fee Free Rs. 149/- [Trading] +GST Rs. Rs. 199/- [Trading] +GST
499/- [Trading] +GST Rs. 999/- [Trading] + GST

Brokerage - Basic 0.05% or RS 20/- per order traded Whichever is lower ; For option Rs. 20 per order traded

STATUTORY CHARGES

In addition to the above monthly subscription charges, the following statutory charges will also be levied at actuals:
Commodities Transaction Tax, Transaction Charges, Stamp Duty, SEBI Turnover Fees, Clearing Member Charges and GST.
Electronic Contract Notes are free. In case of any request for Physical Contract note, the Contract Note copies will be
charged at Rs. 50 per contract note (for ECN clients) + Courier charges as applicable. Depository Participant charges as
levied by RKSV. Terms and Conditions can be subject to change provided the same is done as for applicable guidelines of
SEBI/exchange.
The terms and conditions of the RKSV Commodities India Pvt. Ltd. plans have been read and understood by me. I wish to
avail the plans below provided by RKSV Commodities India Pvt. Ltd. for my trading account subject to the terms and
conditions mentioned above.
I declare that I have read and understood the terms and conditions governing the RKSV Commodities India Pvt. Ltd.
Note: Brokerage is also charged on expired, exercised and assigned Futures and Options contracts.

Yours faithfully,

CLIENT’S NAME SYED UMAR

CLIENTʼS
DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4
SIGNATURE [7] X

FOR OFFICE USE ONLY

CLIENT’S TRADING ACCOUNT NUMBER

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
PAGE 10
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 INDIVIDUAL ACCOUNT OPENING FORM
(DEMAT + TRADING)

MOST IMPORTANT TERMS AND CONDITIONS

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

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

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

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

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

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

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

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

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

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

I agree __________________________________________

For any grievance/ dispute please contact RKSV Securites India Pvt. Ltd. at the above address and/ or email id: [email protected] and [email protected] and/ or Phone No.
+91-22-6130-9999. In case you are not satisfied with the response, please contact the concerned exchange(s) at MCX at [[email protected]
Signed by: SYED UMAR and Phone No. +91-22-6731-8888].
Procedure to file a complaint on SEBI SCORES: Register on SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN,
Reason: Address,
Upstox TradingMobile Number,
and Demat E-mail
A/C Opening ID.
by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 11
V 3.1.1
 LETTER FOR AUTHORIZATION FOR ELECTRONIC CONTRACT NOTES & AUTHORIZATION FOR RUNNING ACCOUNT

TO: RKSV Commodities India Private Limited,

30th Floor, Sunshine Tower, Senapati Bapat
Marg, Dadar (W), Mumbai - 400 013

SUB: Authorization for Electronic Contract Notes & AUTHORIZATION FOR RUNNING ACCOUNT
I have been/shall be dealing through you as my broker on the Capital Market and/or Futures & Options and/or Currency Derivatives and/or Interest
Rate Futures Segments. As my broker i.e. agent I direct and authorize you to carry out trading/dealings on my behalf as per instructions given
below.
I understand that, I have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I hereby opt to
receive contract notes in electronic form. I understand that for the above purpose, you are required to take from the client “an appropriate email
account” for you to send the electronic contract notes. Accordingly, please take the following email account /email id on your record for sending
the contract notes to me:
EMAIL ADDRESS (Same as mentioned on Page 3): [email protected]

1. I also agree that non-receipt of bounced mail notification by you shall amount to delivery at my email account /email id.
2. I agree not to hold you responsible for late/non-receipt of contract notes sent in electronic form and any other communication for any reason
including but not limited to failure of email services, loss of connectivity, email in transit etc.
3. I agree that the log reports of your dispatching software shall be a proof of dispatch of contract notes to me and such dispatch shall be deemed
to mean receipt by me and shall not be disputed by me on account of any non-receipt/delayed receipt for any reason whatsoever.
4. I understand that I am required to intimate any change in the email id/email account mentioned herein above needs to be communicated by me
through a physical letter to you, provided however that if I am an internet client then in that event the request for change in email id/email account
can be made by me through a secured access using client specific user id and password. Please treat this authorization as written ratification of my
verbal directions/authorizations given and carried out by you earlier. I shall be liable for all losses, damages and actions which may arise as a
consequence of your adhering to and carrying out my directions given above.
5. I understand that, you shall send physical copy of the contract note within 24 hours if you received a bounced email.
6. I am a registered client with you, and am dealing in Commodity Market segment(s), and have a RKSVCommodities India Pvt. Ltd.
client code as mentioned below.
7. I am aware that payout / dividend received / credited from the exchange(s) against settlement of transaction as per settlement
cycle is available within 1 working day of the payout from the Exchange. It is difficult or me to make available the required funds
on every pay-in of funds obligation / margin obligation, hence I request you to maintain my account on a running basis and retain
the payout received / credit balance in my account for my future obligation / margin obligation or other liabilities unless I instruct
otherwise.
8. I hereby further authorize you to debit / credit / transfer the amounts between the various segments either on the same Exchange
and / or Exchanges to meet my/our obligation or various dues payable to you / Exchange(s).
9. If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the web login.
Further it may be noted that if required I may revoke this authorization at any time after giving request in writing.
10. This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be done at
least once in the preference period selected below: QUARTERLY MONTHLY
11. While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds towards
such obligations and may also retain the funds expected to be required to meet margin obligations, calculated in the manner
specified by the exchanges .
12. I shall bring any dispute arising from the statement of account or settlement so made to your notice within 30 working days
from the date of receipt of funds or statement, as the case may be else it will be final
Yours faithfully,

CLIENT’S NAME SYED UMAR

CLIENT'S
SIGNATURE [8] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

FOR OFFICE USE ONLY

Verification of the Client Signature done by:

DESIGNATED OFFICER SIGNATURE DATE (DD/MM/YYYY)

DESIGNATED OFFICER NAME: CLIENT’S UNIQUE CLIENT CODE:

Signed by: SYED UMAR
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
PAGE 12
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 ACKNOWLEDGEMENT LETTER

TO: RKSV Commodities India Private Limited

30th Floor, Sunshine Tower,
Senapati Bapat Marg,
Dadar (W),
Mumbai - 400 013

Dear Sir / Madam,

I/We hereby acknowledge receipt of the following documents

1. Rights and Obligations of Members, Authorised Persons and Clients

2. Risk Disclosure Document
3. Guidance Note - Do’s and Don’ts for Trading on the Exchange(s) for Investors
4. General Terms and Conditions and the policy and procedures governing the commodity trading and broking services of
RKSV Commodities India Pvt. Ltd.

I/We understand that the Voluntary documents executed by me/us are out of my/our own free will.

I/We hereby confirm that I/We have clearly understood and agree to abide by the Terms and Conditions described by RKSV
Commodities India Pvt. Ltd (RKSV). I/We also understand that these general Terms and Conditions can be changed by RKSV from time to
time with prior notice of 7 days and subject to posting of the amendments and modifications therein on it’s website and their
applicability with prospective effect.

I/We state that I have read and understood all above documents including the Terms and Conditions governing commodities trading
and broking services of RKSV Commodities India Pvt. Ltd. and agree to abide by the same.

This is to inform you as per Rules, Regulations and Bye-laws of Multi Commodity Exchange of India Ltd. (MCX) that we do Client based
trading and Proprietary trading and we are not indulged in portfolio management services.

I/We acknowledge receipt of information given above by RKSV Commodities India Pvt. Limited that they do Client based trading and
Proprietrary trading and they are not indulged in portfolio management services.

Yours faithfully,

CLIENT’S NAME SYED UMAR

CLIENTʼS
SIGNATURE [9] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 13
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL

Please fill the information below as requested

Name of the Account Holder SYED UMAR

Indicate ( ) your Tax Residency / ✔

India U.S.A Others
Citizenship / Nationality

If ticked on “Others” and/or “U.S.A”, please provide all details under point no. 2,3,4,5 below:
Specify City and Country of Birth

Specify Country(ies) of Tax Residency/

Citizenship / Nationality /
Green card holder, other than India

Tax Identification Number (for U.S.A.)

or its functional equivalent (other
than U.S.A.)

Source of Wealth Salary Business

Gift Rental Income
Royalty Ancestral Property
Prize Money Others

DECLARATION
I / We hereby declare, agree and confirm the following:
a) The details furnished above are true to the best of my knowledge and belief and shall undertake to inform RKSV Commodities India Private
Limited within 30 days, in case of any change in the above given status on a future date;
b) If I /we am/are U.S. person or tax resident of a reportable foreign jurisdiction (other than U.S.), my account details, would be reported by RKSV
Commodities India Private Limited to the relevant tax authority. or information may be shared with concerned Asset Management Companies
(AMCs) or to any of the Government Agencies / Tax authorities / Regulators / Exchanges / Depositories of India or of any country other than
India;
CLIENT'S SIGNATURE [10]

X
What is FATCA / CRS?
The U.S. government introduced the Foreign Account Tax Compliance Act, 2010 (FATCA) for obtaining information on accounts held by U.S.
taxpayers in other countries. Further, Organization for Economic Co-operation & Development (OECD) and G20 countries agreed for automatic
exchange on information through Common Reporting Standards (CRS). The Government of India has signed an Inter-Government Agreement (IGA)
with US and has also joined the Multilateral Competent Authority agreement (MCAA) for automatic sharing of information with member countries of
OECD and G20. By virtue of India signing an IGA with US and joining MCAA, Indian financial institutions will have to provide the required financial
information to Indian tax authorities which in turn would forward reportable information to US IRS and member countries of OECD and G20
countries.
US Person means: In case of individuals, U.S. person means a citizen or resident of the United States. Persons who would qualify as U.S. persons
could be born in United States, born outside the United States of a US parent, Naturalized citizens, Green Card Holders, tax residents.
Who is Reportable Person (Non US) under Common Reportable Standards (CRS)?
Under Common Reportable Standards (CRS), reportable person means Tax residents of a reportable foreign jurisdiction other than U.S.
(Please note the above information is provided only for quick reference to customers. You are requested to consult a legal/ tax advisor if in doubt.)
Documents to be collected if Customer’s Country of birth is U.S. but declare that he/ she are not a U.S. person
1. Certificateof relinquishmentof citizenship(Loss of nationalitycertificate); OR
2. Self certificationfor stating reasons for not having such a certificatedespite relinquishmentU.S. citizenship; OR
3. Self certificationfor stating reasons for not obtaining U.S. citizenshipat birth.

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 14
V 3.1.1
 PART A : INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS
TO CLIENT (ALL THE CLAUSES MENTIONED IN THE ‘RIGHTS AND OBLIGATIONS’ DOCUMENT(S) SHALL BE
APPLICABLE. ADDITIONALLY, THE CLAUSES MENTIONED HEREIN SHALL ALSO BE APPLICABLE)
1. Trading Member is eligible for providing Internet based trading (IBT) and securities trading through the use of wireless
technology that shall include the use of de vice s such as mobile phone , laptop with data card, e tc. which use Internet
Protocol (IP). The Trading Member shall comply with all re quire me nts applicable to inte rne t base d trading/ securities
using trading wireless technology as may be specified by SEBI & the Exchanges from time to time
2. The clie nt is de sirous of inve sting/ trading in se curitie s and for this purpose , the clie nt is de sirous of using e ithe r the internet
base d trading facility or the facility for se curitie s trading through use of wire le ss te chnology. The Trading Member shall
provide the Stock broke r’s IBT Service to the Client, and the Client shall avail of the Stock broke r’s IBT Service, on and subject
to SEBI/Exchange s Provisions and the te rms and conditions spe cifie d on the Stock broke r’s IBT We b Site provide d that they
are in line with the norms prescribed by Exchanges/ SEBI.
3. The Trading Member shall bring to the notice of clie nt the fe ature s, risks, re sponsibilitie s, obligations and liabilities
associated with securities trading through wireless technology/ internet/ smart order routing or any other technology should be
brought to the notice of the client by the Trading Member.
4. The Trading Member shall make the clie nt aware that the Stock Broke r’s IBT syste m itse lf ge ne rate s the initial password and
its password policy as stipulated in line with norms prescribed by Exchanges/ SEBI.
5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible for
all orde rs e nte re d and transactions done by any pe rson whosoe ve r through the Stock broke r’s Syste m IBT using the
Clie nt’s Use rname and/ or Password whe the r or not such pe rson was authorize d to do so. Also the
clie nt is aware that authe ntication te chnologie s and strict se curity me asure s are re quire d for the inte rne t trading/securities
trading through wire le ss te chnology through orde r route d syste m and unde rtake s to e nsure that the password of the client
and/ or his authorized representative are not revealed to any third party including employees and dealers of the Trading Member.
6. The Clie nt shall imme diate ly notify the Trading Member in writing if he forge ts his password, discove rs se curity flaw in
Stock Broke r’s IBT Syste m, discove rs/ suspe cts discre pancie s/ unauthorize d acce ss through his use rname / password/
account with full de tails of such unauthorize d use , the date , the manne r and the transactions e ffe cte d pursuant to such
unauthorized use, etc.
7. The Client is fully aware of and understands the risks associate d with availing of a service for routing orders over the internet/
se curitie s trading through wire le ss te chnology and Clie nt shall be fully liable and re sponsible for any and all acts done in the
Client’s Username/ password in any manner whatsoever.
8. The Trading Member shall se nd the orde r/ trade confirmation through e mail to the clie nt at his re que st. The clie nt is aware
that the orde r/ trade confirmation is also provide d on the we b portal. In case clie nt is trading using wire le ss te chnology the
Trading Membershall send the order/ trade confirmation on the device of the client
9. The clie nt is aware that trading ove r the inte rne t involve s many unce rtain factors and comple x hardware , software , systems,
communication lines, pe riphe rals, etc. are susceptible to interruptions and dislocations. The Trading Member and the Exchange
do not make any re pre se ntation or warranty that the Stock broke r’s IBT Se rvice will be available to the Clie nt at all
times without any interruption.
10. The Client shall not have any claim against the Exchange or the Trading Member on account of any suspension, interruption,
non-availability or malfunctioning of the Stock broke r’s IBT Syste m or Se rvice or the Exchange ’s se rvice or syste ms or
non-e xe cution of his orde rs due to any link/ syste m failure at the Clie nt/ Stock broke rs/ Exchange e nd for any reason beyond
the control of the Trading Member/ Exchanges

CLIENT’S NAME SYED UMAR

CLIENTʼS SIGNATURE
[11] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 15
V 3.1.1
 INDIVIDUAL ACCOUNT OPENING FORM
(DEMAT + TRADING)

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGE

S. NO. DOCUMENT SIGNIFICANCE PAGE(s)

1 Account Opening Form KYC form - Document captures the basic information about the 4
constituent and an instruction/check list for filling KYC form.
2 Rights and Obligations Provide d to the clie nt (conse nt de claration on Page 7)
3 Risk Disclosure Document (RDD) Provide d to the clie nt (conse nt de claration on Page 7)
4 Guidance Note Provide d to the clie nt (conse nt de claration on Page 7)
5 Policies and Procedures Provided to the client (consent declaration on Page 7)
6 Tariff Sheet Document detailing the rate/amount of brokerage and other 17
charges levied on the client for trading on the stock exchange(s)
and charges related to demat account

MANDATORY DOCUMENTS FOR OPENING OF DEMAT ACCOUNT

S. NO. DOCUMENT SIGNIFICANCE PG NO’s

7 Application for Demat Account Details are required for adhering to “Know Your Client” for opening a 5
Demat Account
8 Authorisation for debit charges Authorisation to debit trading account for the demat account charges - 8
Part B
9 FATCA CRS Declaration 11
Client’s self declaration on holding of overseas asset if any
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

S. NO. DOCUMENT SIGNIFICANCE PG NO’s

10 DIS Issue Option form for issue of Delivery Instruction Slip 10
11 Letter of Authorization for Client consent letter for receiving the contract notes by Email. 9
Electronic Contract

12 Running Account Authorization Letter of Authorization for maintaining a Running Account with 9
Upstox.
13 Declaration Declaration related to Mobile/Email ID registration. 15

REGISTERED OFFICE ADDRESS KYC PROCESSING OFFICE ADDRESS

Upstox Securities Private Limited Upstox Securities Private Limited
809, New Delhi House Barakhamba Road, Salasar Business Park,
Connaught Place, New Delhi- 110001. Off 150 Feet Flyover Road,
Telephone: +91-22-6130-9999 Bhayander West,
Fax: +91-22-6710-7492 Thane,
Email: [email protected], www.upstox.com Maharashtra 401101
Telephone: +91-22-6130-9999
CEO (BSE/NSE)
Fax: +91-22-6710-7492
Mr. Ravi Kumar
Telephone: +91-22-6130-9999 Email: [email protected], www.upstox.com
Email: [email protected], www.upstox.com
SEBI REGISTRATION NUMBERS
COMPLIANCE OFFICER (BSE/NSE) SEBI Regn. No. NSE/ BSE : INZ000315837
Mr. Kapil Jaikalyani Registration Date: December 01, 2023
Telephone: +91-22-6130-9999 SEBI Regn. No. DP: IN-DP-761-2024
Email: [email protected], www.upstox.com Registration Date: February 02, 2024

COMPLIANCE OFFICER (DP) CLEARING MEMBER INFORMATION

Mr. Kapil Jaikalyani Upstox Securities Private Limited
Telephone: +91-22-6130-9999 CIN: U65100DL2021PTC376860
Email: [email protected], www.upstox.com

For any grievance/ dispute please contact Upstox Securities India Pvt. Ltd. at the above address and/ or email id: [email protected] or Phone No. +91-22-6130-9999. in case you
are not satisfied with the response, please contact the concerned exchanges at NSE:https://investorhelpline.nseindia.com/NICEPLUS/,
Signed by: SYED BSE:
UMAR https://bsecrs.bseindia.com/ecomplaint/
frmInvestorHome.aspx, CDSL: https://www.cdslindia.com/Footer/grievances.aspx. Procedure to file a complaint on SEBI SCORES: Register
Reason: Upstox Tradingon
andSCORES
Demat A/Cportal. Mandatory
Opening by UPSTOX details for filing
SECURITIES PRIVATE LIMITED
complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID. eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 1
V 3.1.1
 INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

(A) IMPORTANT POINTS

1. Self attested copy of PAN card is mandatory for all clients.
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 foreign 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. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.
8. For opening an 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.
9. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country,
e.g., He ads of State s or of Gove rnme nts, se nior politicians, se nior Gove rnme nt/judicial/military office rs, se nior e xe cutive s of state owned
corporations, important political party officials, etc.

(B) PROOF OF IDENTITY (POI): List of documents admissible as Proof of Identity:

1. PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in
Section D).
2. Unique Identification Number (UID) (Aadhaar) / Passport / Voter ID card / Driving license.
3. Identity card/ document with applicant’s Photo, 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,
Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Bank.

(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. BankAccount 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 FM/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 the spouse may be accepted.

(D) EXEMPTIONS/CLARIFICATIONS TO PAN (*Sufficient documentary evidence in support of such claims to be collected.)
1. In case of 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/filing tax returns in India.
4. SIP of Mutual Funds upto Rs 50,000/- p.a.
5. In case of institutional clie nts, name ly, Flls, Mfs, VCFs, FVCIs, Sche dule d Comme rcial Banks, Multilate ral and Bilate ral De ve lopme nt 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, Custodians shall verify the PAN card details with the original PAN card and provide duly certified
copies of such verified PAN details to 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).

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX

PAGE 2
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 ADDITIONAL DOCUMENTS IN CASE OF TRADING IN DERIVATIVES SEGMENTS - ILLUSTRATIVE LIST
In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.
1. Copy of ITR Acknowledgement
2. Copy of Annual Accounts
3. In case of Salary Income – Salary Slip, Copy of Form 16
4. Net Worth Certificate
5. Copy of demat account holding statement.
6. Bank account statement for last 6 months
7. Photocopy of the canceled cheque having the name of the account holder where the cheque book is issued, (or)
8. Photocopy of the Bank Statement having name and address of the BO
9. Photocopy of the Passbook having name and address of the BO, (or)
10. Letter from the Bank.
11. Self declaration with relevant supporting documents.
12. Any other relevant documents substantiating ownership of Assets.

In case of options 7, 8, 9 and 10 above, MICR and IFSC code of the branch should be present / mentioned on the document.

DEMAT MASTER OR RECENT HOLDING STATEMENT ISSUED BY DP BEARING NAME OF THE CLIENT
For individuals:
1. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/ sub-broker’s office.
2. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person verification. Further, considering the
infeasibility of carrying out ‘In-person’ verification of the non-resident clients by 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 client resides may be permitted.

For non-individuals:
1. Form needs to be initialized by all the authorized signatory.
2. Copy of Board Resolution as declaration (on the letterhead) naming the persons authorized to deal in securities on behalf of company/firm/others and
their specimen signatures.

ANNEXURE 2.3
INSTRUCTIONS TO THE APPLICANTS (BOs) FOR ACCOUNT OPENING
1. Signatures can be in English or Hindi or any of the other languages contained in the 8th Schedule of the Constitution of India. Thumb
impressions and signatures other than the above mentioned languages must be attested by a Magistrate or a Notary Public or a Special
Executive Magistrate/ Special Executive Officer under his/her officials
2. Signatures should be preferably in black ink.
3. De tails of the Name s, Addre ss, Te le phone Numbe r(s), e tc., of the Magistrate / Notary Public / Spe cial Executive Magistrate / Special
Executive Officer are to be provided in case of attestation done by them.
4. In case of additional signatures (for accounts other than individuals), se parate annexures should be attache d to the account
opening form.
5. In case of applications containing a Powe r of Attorne y, the re le vant Powe r of Attorne y or the se lf-ce rtifie d copy thereof, must be
lodged along with the application.
6. All correspondence / queries shall be addressed to the first/ sole applicant.
7. Strike off whichever option, in the account opening form, is not applicable.

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 3
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 Know Your Client (KYC) PLEASE AFFIX A
RECENT PASSPORT
Application Form (For Individuals Only) PHOTOGRAPH AND

Please fill type the form in English and BLOCK letters. Sign all areas marked with SIGN ACROSS IT
‘x’. Once completed, please mail the completed form along with the necessary
proofs to our corporate office in Mumbai. CLIENTʼS SIGNATURE [1]

A. Identity Details (please see guidelines)

FULL NAME (As appearing in supporting identification document): SYED UMAR

FATHER / SPOUSE’S NAME: Syed Ajmal MAIDEN NAME: (If any)

MOTHER NAME:
GENDER ✔ MALE FEMALE T - TRANSGENDER MARITAL STATUS MARRIED ✔ UNMARRIED

CITIZENSHIP ✔ IN - INDIAN OTHER DATE OF BIRTH (dd/mm/yyyy) 17/07/2001

RESIDENTIAL STATUS ✔ RESIDENT INDIVIDUAL NON RESIDENT INDIAN FOREIGN NATIONAL PERSON OF INDIAN ORIGIN

PAN (Please enclose a duly attested copy) ALGPU6097G Applicant E-Sign

PROOF OF IDENTITY SUBMITTED FOR PAN EXEMPT CASES (Please Tick )

A- Aadhar Card XXXX XXXX

B- Passport Number
C- Voter ID
D - Driving License
Signed by: SYED UMAR

E - NREGA Job Card Reason: Upstox Trading and Demat A/C Opening by UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

F - NPR
✔ z - Others PAN (any document by Central Government)

Identification Number

B. Address Details (Please see guidelines)

Address Type Residential / Business ✔ Residential Business Registered Office Unspecified
ADDRESS FOR RESIDENCE/CORRESPONDENCE:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PERMANENT ADDRESS OF RESIDENT APPLICANT IF DIFFERENT FROM ABOVE B1 OR OVERSEAS ADDRESS(MANDATORY) FOR NON RESIDENT APPLICANT:

18 19 BELLAHALLI MAIN ROAD Yelahanka, kogilu layout Bangalore North

CITY/TOWN/VILLAGE: BENGALURU STATE: KARNATAKA PIN CODE 560064

DISTRICT: BENGALURU COUNTRY: India

PROOF OF ADDRESS* (attested copy of any 1 POA for correspondence and permanent address each to be submitted)

✔ A- Aadhar Card XXXX XXXX 2766

B- Passport Number Expiry Date

C- Voter ID
D - Driving License Expiry Date

E - NREGA Job Card

F - NPR
z - Others (any document by Central Government)

Identification Number

PAGE 4
V 3.1.0
 C. Contact Details (in CAPITAL)

EMAIL ID* [email protected]

MOBILE NO.* 9743959762

TEL (Off) TEL (Res)

D. Applicant Declaration

I/We hereby declare that the KYC details furnished by me are true and correct to the Applicant e-SIGN Applicant Wet Signature
best of my/our knowledge and belief and I/we under-take to inform you of any
changes therein, immediately. In case any of the above information is
found to be false or untrue or misleading or misrepresenting, I am/We are
aware that I/We may be held liable for it.
I/We hereby consent to receiving information from CVL KRA through SMS/Email on
the above registered number/Email address.
I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be
validated against Aadhaar details. I/We hereby consent to sharing my/our masked
Aadhaar card with readable QR code or my Aadhaar XML/Digilocker XML file, along
with passcode and the entire account opening form along with supporting
documents as applicable, with KRA and other Intermediaries with whom I have a Signed by: SYED UMAR
business relationship for KYC purposes only. Reason: Upstox Trading and Demat A/C Opening by
UPSTOX SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
Place BENGALURU
Date
21/11/2024
FOR OFFICE USE ONLY IPV Done on (dd/mm/yyyy)
AMC/Intermediary name OR code
Application Typ
e e✔ N w Update
(Originals verified) True copies of Seal/Stamp of the intermediary should contain
documents received KYC Number Staff Name
(Mandatory for KYC update request) Designation
Name of the Organization
Signature
(Attested) True copies of documents
Account Type Normal Small Date
received Main Intermediary Place
Simplified
KYC Mode* Normal EKYC OTP EKYC Biometric Online KYC Offline KYC ✔ Digilocker

DECLARATION FOR NAME MISMATCH

(To be filled if the name on documents is different)
This is to bring to your notice that my name is spelt differently in my Identity proof, Address proof and Bank proof. Please find below the
names as spelt in respective proofs:

Name as per Income Tax SYED UMAR

Name as per Bank Proof Syed Umar

Name as per Address Proof Syed Umar

Name as per Income Proof

I hereby confirm that all the said names belong to me. I hereby state and confirm that what is stated above is true and correct information.
I agree to indemnify and keep Upstox Securities Pvt. Ltd. / RKSV Commodities India Pvt. Ltd. indemnified at all times from and against all
costs, charges, damages, penalties (including reasonable attorney fees) suffered and/or incurred by Upstox Securities Pvt. Ltd. / RKSV
Commodities India Pvt. Ltd. for any act done or omitted to be done on the above declaration.

CLIENTʼS SIGNATURE [12 ] X

PAGE 5
V 3.1.1
 ADDITIONAL KYC FORM FOR OPENING A DEMAT ACCOUNT
TO BE FILLED BY THE DEPOSITORY PARTICIPANT

APPLICATION NUMBER: DATE (DD/MM/YYYY)

DP INTERNAL REFERENCE NUMBER: DP ID 1 2 0 8 1 8 0 1 BO ID

TYPE OF ACCOUNT (PLEASE TICK WHICHEVER IS APPLICABLE)

● INDIVIDUAL ● INDIVIDUAL RESIDENT INDIVIDUAL DIRECTOR

INDIVIDUAL DIRECTOR’S RELATIVE INDIVIDUAL INDIVIDUAL HUF / AOP
PROMOTER MINOR
INDIVIDUAL MARGIN TRADING A/C (MANTRA) OTHERS (SPECIFY)
NRI REPATRIABLE NRI NON - REPATRIABLE
NRI
NRI REPATRIABLE PROMOTER NRI NON - REPATRIABLE PROMOTER
NRI DEPOSITORY RECEIPTS OTHERS (SPECIFY)

FOREIGN FOREIGN NATIONAL OTHERS (SPECIFY)

NATIONAL FOREIGN NATIONAL DEPOSITORY RECEIPTS

HOLDER DETAILS (TO BE FILLED BY THE APPLICANT IN BLOCK LETTERS)

I/We Request You To Open A Demat Account In my/ our Name as per following details:
SOLE/FIRST HOLDER’S NAME SYED UMAR

PAN NO. (Compulsory) A L G P U 6 0 9 7 G UID NO.

UCC ID EXCHANGE ID NSE: 13942 BSE: 6155

SECOND HOLDER’S NAME:
PAN NO. (Compulsory) UID NO.
THIRD HOLDER’S NAME:
PAN NO. (Compulsory) UID NO.
NAME*:
*In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc. although the account is opened in the name of the natural persons, the
name of the Firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., should be mentioned above.

DETAILS OF GUARDIAN (IN CASE THE ACCOUNT HOLDER IS MINOR)

GUARDIAN’S NAME:

RELATIONSHIP WITH THE APPLICANT: PAN NO. (Compulsory)

I / We instruct the DP to receive each and every credit in I / We would like to instruct the DP to accept all the pledge instructions in
my/our account. (If not marked, the default option my/our account without any other further instruction from my/our end (If
would be ‘Yes’) YES NO not marked, the default option would be ‘No’) YES NO
Account Statement Requirement I / We request you to send Electronic Transaction-cum- Holding
Statement at the email ID
AS PER SEBI REGULATION DAILY YES NO
WEEKLY FORTNIGHTLY MONTHLY [email protected]
I / We would like to share the email ID with the RTA I / We would like to receive the Annual Report (Tick the applicable box. If not
marked, the default option would be in Physical)
YES NO
PHYSICAL ELECTRONIC BOTH PHYSICAL AND ELECTRONIC
I / We wish to receive dividend / interest directly in to my bank account as given below through ECS (If not marked, the default option
would be ‘Yes’) [ECS is mandatory for locations notified by SEBI from time to time) YES NO
Re: Confirmation to receive the account opening document and welcome letter through email and digitally signed
With reference to my/our application for opening of a Demat account with you. I / We wish to receive all documents related to account opening
documents, welcome letter and CMR copy (digitally signed) on the registered email id provided. None of these would be physically sent unless
requested for the same.
Thanking You, Yours faithfully
FIRST/SOLE HOLDER SIGNATURE [3] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

X Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 6
V 3.1.1
 TRADING AND DEMAT ACCOUNT RELATED DETAILS
SECTION A PRIMARY BANKING ACCOUNT (DIVIDEND BANK DETAILS)
BANK NAME INDIAN BANK BRANCH NAME BANGALORE KARNATAKA INDIA
BRANCH ADDRESS BANGALORE

CITY/TOWN/VILLAGE 999999 STATE KARNATAKA

PIN CODE
BANGALORE COUNTRY INDIA
ACCOUNT NUMBER 7640036992

MICR NUMBER IFSC CODE IDIB000T135

ACCOUNT TYPE CURRENT SAVINGS NRI / NRE / NRO OTHERS (Please Specify)

SECTION B PRIMARY DEPOSITORY ACCOUNT (OPTIONAL)

DEPOSITORY PARTICIPANT NAME DP TYPE (NSDL/CDSL) DEPOSITORY PARTICIPANT ID

BENEFICIARY NAME BENEFICIARY ID (BO ID)

SECTION C TRADING PREFERENCES

Please sign in the relevant boxes where you wish to trade. Please Strike off the segment not chosen by you.

NSE & BSE NSE and BSE

All Segments Cash/Mutual Fund F&O Currency Commmodity Derivatives

Place Signature here Place Signature here Place Signature here Place Signature here Place Signature here
If you do not wish to trade in any of Segments / Mutual Fund, please mention here:

SECTION 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.

SECTION E DEALINGS THROUGH OTHER MEMBERS

IF CLIENT IS DEALING THROUGH ANY OTHER MEMBER, PLEASE PROVIDE THE FOLLOWING DETAILS (IN CASE DEALING WITH MULTIPLE MEMBERS,
PROVIDE DETAILS OF ALL IN A SEPARATE SHEET CONTAINING ALL THE INFORMATION AS MENTIONED BELOW)
MEMBER/AUTHORIZED PERSON NAME: EXCHANGE: EXCHANGE REGISTRATION NUMBER:

CONCERNED MEMBER’S NAME WITH WHOM AP IS REGISTERED: CLIENT CODE:

REGISTERED OFFICE ADDRESS: CITY:

STATE: COUNTRY: TELEPHONE: FAX:
EMAIL ADDRESS: [email protected] DETAILS OF DISPUTES/DUES PENDING FROM/TO SUCH MEMBER/ AP:
WEBSITE:

6. DETAILS OF RELATED PERSON (RP) (In case of additional related persons, please fill Annexure B1’ ) (Please refer instruction G at the end)

Addition of RP Deletion of RP KYC Number of RP (if available*)

RP Type* Guardian of Minor Assignee Authorized Representative

Prefix First Name Middle Name Last Name
Name*
(If KYC number and name are provided, Proof of identity of RP required Signed by: SYED UMAR
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
PAGE 7
V 3.1.1
 SECTION F ADDITONAL DETAILS

CONTRACT NOTE PREFERENCES: ELECTRONIC CONTRACT NOTE (ECN) PHYSICAL CONTRACT NOTE

EMAIL ADDRESS (Same as mentioned on Page 5): [email protected]

I WISH TO AVAIL THE FACILITY OF INTERNET NUMBER OF YEARS OF INVESTMENT / TRADING EXPERIENCE
TRADING / WIRELESS TECHNOLOGY <1 Year

IN CASE OF NON-INDIVIDUALS, NAME, DESIGNATION, PAN, UID, SIGNATURE, ANY OTHER INFORMATION
RESIDENTIAL ADDRESS AND PHOTOGRAPHS OF PERSONS AUTHORIZED TO DEAL IN
SECURITIES ON BEHALF OF COMPANY/FIRM/OTHERS

SECTION G INTRODUCER DETAILS (OPTIONAL)

NAME OF THE INTRODUCER RELATIONSHIP WITH THE INTRODUCER

INTRODUCER’S STATUS EXISTING CLIENT AUTHORIZED PERSON SUB-BROKER REMISIER

INTRODUCER’S ADDRESS INTRODUCER’S PHONE NUMBER INTRODUCER’S SIGNATURE

INTRODUCER’S CLIENT ID
CLIENT’S NAME SYED UMAR

CLIENTʼS
SIGNATURE [5] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

DECLARATION
1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you
of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are
aware that I/we may be held liable for it.
2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff
sheet.
3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) and ‘Risk Disclosure Document’. I/We do
hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has
been displayed for Information on stock broker’s designated website, if any.

CLIENT’S NAME SYED UMAR PLACE BENGALURU

CLIENT’S
SIGNATURE [6] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

FOR OFFICE USE ONLY

CLIENT’S UCC CODE EMPLOYEE CODE: EMPLOYEE DESIGNATION:

VERIFICATION OF DOCUMENTS

DOCUMENTS VERIFIED BY: EMPLOYEE DESIGNATION: ON DATE (DD/MM/YYYY)

EMPLOYEE SIGNATURE: EMPLOYEE CODE:
CLEINTS INTERVIEW
CLIENT INTERVIEWED BY EMPLOYEE DESIGNATION: ON DATE (DD/MM/YYYY)
EMPLOYEE SIGNATURE: EMPLOYEE CODE:

IN PERSON VERIFICATION (IPV)

IPV PERFORMED BY EMPLOYEE DESIGNATION: ON DATE (DD/MM/YYYY)
EMPLOYEE SIGNATURE: EMPLOYEE CODE:

I / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff she e t and all the non-mandatory docume nts. 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 she e t and all the non-mandatory docume nts would be duly intimate d to the
clie nts. 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.

SIGNATURE OF THE AUTHORISED SIGNATORY DATE (DD/MM/YYYY) SEAL/STAMP OF THE INTERMEDIARY

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 8
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 PART A : INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS
TO CLIENT (ALL THE CLAUSES MENTIONED IN THE ‘RIGHTS AND OBLIGATIONS’ DOCUMENT(S) SHALL BE
APPLICABLE. ADDITIONALLY, THE CLAUSES MENTIONED HEREIN SHALL ALSO BE APPLICABLE)
1. Stock broker is eligible for providing Internet based trading (IBT) and securities trading through the use of wireless technology
that shall include the use of de vice s such as mobile phone , laptop with data card, e tc. which use Inte rne t Protocol (IP). The
stock broke r shall comply with all re quire me nts applicable to inte rne t base d trading/ se curitie s using trading wireless
technology as may be specified by SEBI & the Exchanges from time to time
2. The clie nt is de sirous of inve sting/ trading in se curitie s and for this purpose , the clie nt is de sirous of using either the internet
base d trading facility or the facility for se curitie s trading through use of wire le ss te chnology. The Stock broke r shall provide
the Stock broker’s IBT Service to the Client, and the Client shall avail of the Stock broker’s IBT Service, on and subject to SEBI/
Exchanges Provisions and the terms and conditions specified on the Stock broker’s IBT Web Site provided that they are in line
with the norms prescribed by Exchanges/ SEBI.
3. The stock broke r shall bring to the notice of clie nt the fe ature s, risks, re sponsibilitie s, obligations and liabilitie s associated
with securities trading through wireless technology/ internet/ smart order routing or any other technology should be brought to
the notice of the client by the stock broker.
4. The stock broke r shall make the clie nt aware that the Stock Broke r’s IBT syste m itse lf ge ne rate s the initial password and its
password policy as stipulated in line with norms prescribed by Exchanges/ SEBI.
5. The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible for
all orde rs e nte re d and transactions done by any pe rson whosoe ve r through the Stock broke r’s Syste m IBT using the
Clie nt’s Use rname and/ or Password whe the r or not such pe rson was authorize d to do so. Also the
clie nt is aware that authe ntication te chnologie s and strict se curity me asure s are re quire d for the inte rne t trading/securities
trading through wire le ss te chnology through orde r route d syste m and unde rtake s to e nsure that the password of the client
and/ or his authorized representative are not revealed to any third party including employees and dealers of the stock broker.
6. The Clie nt shall imme diate ly notify the Stock broke r in writing if he forge ts his password, discove rs se curity flaw in Stock
Broke r’s IBT Syste m, discove rs/ suspe cts discre pancie s/ unauthorize d acce ss through his use rname / password/account with
full de tails of such unauthorize d use , the date , the manne r and the transactions e ffe cte d pursuant to such unauthorized
use, etc.
7. The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the internet/
se curitie s trading through wire le ss te chnology and Clie nt shall be fully liable and re sponsible for any and all acts done in the
Client’s Username/ password in any manner whatsoever.
8. The stock broke r shall se nd the orde r/ trade confirmation through e mail to the clie nt at his re que st. The clie nt is aware that
the orde r/ trade confirmation is also provide d on the we b portal. In case clie nt is trading using wire le ss te chnology the stock
broker shall send the order/ trade confirmation on the device of the client
9. The clie nt is aware that trading ove r the inte rne t involve s many unce rtain factors and comple x hardware , software , systems,
communication lines, peripherals, etc. are susceptible to interruptions and dislocations. The Stock broker and the Exchange do
not make any re pre se ntation or warranty that the Stock broke r’s IBT Se rvice will be available to the Clie nt at all times
without any interruption.
10. The Client shall not have any claim against the Exchange or the Stock broker on account of any suspension, interruption, non-
availability or malfunctioning of the Stock broke r’s IBT Syste m or Se rvice or the Exchange ’s se rvice or syste ms or non-
e xe cution of his orde rs due to any link/ syste m failure at the Clie nt/ Stock broke rs/ Exchange e nd for any re ason be yond the
control of the stock broker/ Exchanges

PART B
Dear Sir,
Sub: Authorisation to debit trading account for the demat account charges

Ref: DP ID: 1 2 0 8 1 8 0 1 BO ID

I/We have opened/have a beneficiary account with your CDSL depository along with a trading account for investment and trading
purposes. It would be difficult or me/us to keep issuing separate cheques against your depository bills. I/We, therefore authorize
you to debit the charges payable towards operation of the above account. I/We are aware of the charges for operating the said
account. Any such sum debited to my trading account shall be binding on me/us.

Thanking you,
Yours truly,

CLIENT’S NAME SYED UMAR

CLIENT’S
SIGNATURE [7] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in) PAGE 9
Date: 2024-11-21 08:41:04 IST
V 3.1.1
 LETTER FOR AUTHORIZATION FOR ELECTRONIC CONTRACT NOTES & AUTHORIZATION FOR RUNNING ACCOUNT

TO: Upstox Securities Private Limited, 30th Floor,

Sunshine Tower, Senapati Bapat Marg, Dadar (W),
Mumbai - 400 013

SUB: Authorization for Electronic Contract Notes & AUTHORIZATION FOR RUNNING ACCOUNT
I have been/shall be dealing through you as my broker on the Capital Market and/or Futures & Options and/or Currency Derivatives and/or Interest
Rate Futures Segments. As my broker i.e. agent I direct and authorize you to carry out trading/dealings on my behalf as per instructions given
below.
I understand that, I have the option to receive the contract notes in physical form or electronic form. In pursuance of the same, I hereby opt to
receive contract notes in electronic form. I understand that for the above purpose, you are required to take from the client “an appropriate email
account” for you to send the electronic contract notes. Accordingly, please take the following email account /email id on your record for sending
the contract notes to me:
EMAIL ADDRESS (Same as mentioned on Page 5): [email protected]

1. I also agree that non-receipt of bounced mail notification by you shall amount to delivery at my email account /email id.
2. I agree not to hold you responsible for late/non-receipt of contract notes sent in electronic form and any other communication for any reason
including but not limited to failure of email services, loss of connectivity, email in transit etc.
3. I agree that the log reports of your dispatching software shall be a proof of dispatch of contract notes to me and such dispatch shall be deemed to
mean receipt by me and shall not be disputed by me on account of any non-receipt/delayed receipt for any reason whatsoever.
4. I understand that I am required to intimate any change in the email id/email account mentioned herein above needs to be communicated by me
through a physical letter to you, provided however that if I am an internet client then in that event the request for change in email id/email account
can be made by me through a secured access using client specific user id and password. Please treat this authorization as written ratification of my
verbal directions/authorizations given and carried out by you earlier. I shall be liable for all losses, damages and actions which may arise as a
consequence of your adhering to and carrying out my directions given above.
5. I understand that, you shall send physical copy of the contract note within 24 hours if you received a bounced email.
6. I am a registered client with you, and am dealing in Capital Market/ Derivative Market/ Currency Market segment(s), and have a
Upstox Securities Pvt. Ltd. client code as mentioned below.
7. I am aware that payout / dividend received / credited from the exchange(s) against settlement of transaction as per settlement
cycle is available within 1 working day of the payout from the Exchange. It is difficult or me to make available the required funds on
every pay-in of funds obligation / margin obligation, hence I request you to maintain my account on a running basis and retain the
payout received / credit balance in my account for my future obligation / margin obligation or other liabilities unless I instruct
otherwise.
8. I hereby further authorize you to debit / credit / transfer the amounts between the various segments either on the same Exchange
and / or Exchanges to meet my/our obligation or various dues payable to you / Exchange(s).
9. If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the web login.
Further it may be noted that if required I may revoke this authorization at any time after giving request in writing.
10. This running account authorization would continue until it is revoked by me. The actual settlement of funds shall be done at
least once in the preference period selected below: QUARTERLY MONTHLY
11. While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds towards
such obligations and may also retain the funds expected to be required to meet margin obligations, calculated in the manner
specified by the exchanges.
12. I shall bring any dispute arising from the statement of account or settlement so made to your notice within 30 working days
from the date of receipt of funds or statement, as the case may be else it will be final
Yours faithfully,

CLIENT’S NAME SYED UMAR

CLIENTʼS
SIGNATURE [8] X DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED

PAGE 10
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 SMS ALERT FACILITY. Refer to Terms & Conditions given as Annexure - 2.4 MOBILE NO.+91 9 7 4 3 9 5 9 7 6 2
[Mandatory, if you are giving Power of Attorney (POA)]
(If POA is not granted & you do not wish to avail of this facility, cancel this option).
TRANSACTIONS USING SECURED TEXTING FACILITY (TRUST). Refer to terms and Conditions Annexure - 2.6
I/We wish to avail the TRUST facility using the Mobile number registered for SMS Alert Facility. I have read and understood the
Terms and Conditions prescribed by CDSL for the same.
YES NO
I/We wish to register the following clearing member Ids under my / our below mentioned BO ID registered for TRUST

Stock Exchange Name / ID Clearing Member Name Clearing Member ID (Optional)

EASI
To register for Easi please visit our website www.cdslindia.com
Easi allows a BO to view his ISIN balances, transactions and value of the portfolio online.

I / We wish to avail the following facility:

Basic Services Demat A/C facility: YES NO
OTHER DETAILS

GROSS ANNUAL INCOME DETAILS (Income Range per annum) NET WORTH AS ON DATE (NOT OLDER THAN 1 YEAR)
UP TO RS. 1 LAC RS. 1 LAC - RS. 5 LAC RS. 5 LAC - RS. 10 LAC VALUE IN Rs. 0
RS. 10 LAC - RS. 25 LAC MORE THAN RS. 25 LAC DATE (DD/MM/YYYY)

FOR NON INDIVIDUALS: 25 LAC - 1 CRORE OVER 1 CRORE

Occupation Type* ✔ S-Service ( ✔ Private Sector Public Sector Government Sector )

O-Others Professional Self Employed Retired Housewife Student )
B-Business X- Not Categorised Agriculturist

AFFILIATIONS: POLITICALLY EXPOSED PERSON (PEP) RELATED TO A POLITICALLY EXPOSED PERSON (RPEP)

ANY OTHER INFORMATION:

OPTION FORM FOR ISSUE OF DIS BOOKLET (OPTIONAL)

DP ID 1 2 0 8 1 8 0 1 BO ID

TO: Upstox Securities Private Limited, 30th Floor, Sunshine DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4
Tower, Senapati Bapat Marg, Dadar (W), Mumbai - 400 013
Dear Sir,
I/We hereby state that: (select one of the option given below)

OPTION 1
I/We require you to issue Delivery Instruction Slip (DIS) booklet to me/us immediately on opening my/our CDSL account though I/We have
issued a Power of Attorney (POA) in favor of Upstox Securities Pvt. Ltd. for executing delivery instructions for settling stock exchange trades
(Settlement related transactions) effected through such Clearing Member.
OPTION 2
I/We do not require Delivery Instruction Slip (DIS) for time being. Since I/We have issued a POA/e-DIS in favor of Upstox Securities Pvt. Ltd. for
executing delivery instructions for settling stock exchange trades (Settlement related transactions) effected through such Clearing Member.
However, the Delivery Instruction Slip (DIS) booklet should be issued to me/us immediately on my/our request at any later date.

FIRST/SOLE HOLDER SIGNATURE [9] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

X Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 11
V 3.1.1
 FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL

Please fill the information below as requested FIRST ACCOUNT HOLDER SECOND ACCOUNT HOLDER THIRD ACCOUNT HOLDER

Name of the Account Holder SYED UMAR

Indicate ( ) your Tax Residency / ✔

India U.S.A Others India U.S.A Others India U.S.A Others
Citizenship / Nationality

If ticked on “Others” and/or “U.S.A”, please provide all details under point no. 2,3,4,5 below:
Specify City and Country of Birth

Specify Country(ies) of Tax Residency/

Citizenship / Nationality /
Green card holder, other than India

Tax Identification Number (for U.S.A.)

or its functional equivalent (other
than U.S.A.)

Source of Wealth Salary Business Salary Business Salary Business

Gift Rental Income Gift Rental Income Gift Rental Income
Royalty Ancestral Property Royalty Royalty
Prize Money Others Prize Money Others Prize Money Others

DECLARATION
I / We hereby declare, agree and confirm the following:
a) The details furnished above are true to the best of my knowledge and belief and shall undertake to inform Upstox Securities Private Limited
within 30 days, in case of any change in the above given status on a future date;
b) If I /we am/are U.S. person or tax resident of a reportable foreign jurisdiction (other than U.S.), my account details, would be reported by
Upstox Securities Private Limited to the relevant tax authority. or information may be shared with concerned Asset Management Companies
(AMCs) or to any of the Government Agencies / Tax authorities / Regulators / Exchanges / Depositories of India or of any country other than
India;
FIRST/SOLE HOLDER SIGNATURE [10] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

X
What is FATCA / CRS?
The U.S. government introduced the Foreign Account Tax Compliance Act, 2010 (FATCA) for obtaining information on accounts held by U.S.
taxpayers in other countries. Further, Organization for Economic Co-operation & Development (OECD) and G20 countries agreed for automatic
exchange on information through Common Reporting Standards (CRS). The Government of India has signed an Inter-Government Agreement (IGA)
with US and has also joined the Multilateral Competent Authority agreement (MCAA) for automatic sharing of information with member countries of
OECD and G20. By virtue of India signing an IGA with US and joining MCAA, Indian financial institutions will have to provide the required financial
information to Indian tax authorities which in turn would forward reportable information to US IRS and member countries of OECD and G20
countries.
US Person means: In case of individuals, U.S. person means a citizen or resident of the United States. Persons who would qualify as U.S. persons
could be born in United States, born outside the United States of a US parent, Naturalized citizens, Green Card Holders, tax residents.
Who is Reportable Person (Non US) under Common Reportable Standards (CRS)?
Under Common Reportable Standards (CRS), reportable person means Tax residents of a reportable foreign jurisdiction other than U.S.
(Please note the above information is provided only for quick reference to customers. You are requested to consult a legal/ tax advisor if in doubt.)
Documents to be collected if Customer’s Country of birth is U.S. but declare that he/ she are not a U.S. person
1. Certificateof relinquishmentof citizenship(Loss of nationalitycertificate); OR
2. Self certificationfor stating reasons for not having such a certificatedespite relinquishmentU.S. citizenship; OR
3. Self certificationfor stating reasons for not obtaining U.S. citizenshipat birth.

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX

PAGE 12
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST

V 3.1.1
 CONSENT LETTER FOR AVAILING BSE StAR MF FACILITY
I/We _____________________________ am/are registered as your client with Client Code No. ___________ and have executed
the Account Opening documents (KYC Form) for the purpose of trading in the Capital Market segment of BSE Limited (BSE).
I/We am/are interested in availing the BSE StAR facility of BSE for the purpose of dealing in the units of Mutual Funds Schemes
permitted to be dealt with on the BSE StAR MF of the Exchange.
For the purpose of availing the BSE StAR MF facility, I/we state that Know Your Client details as submitted by me/us for the
stock broking may be considered for the purpose of BSE StAR MF and I/we further confirm that the details contained in same
remain unchanged as on date.
I/We are willing to abide by the terms and conditions as mentioned in the BSE Circular dated December 02, 2009 and as may
be specified by the Exchange from time to time in this regard.
I/We shall ensure compliance with the requirements as may be specified from time to time by Securities and Exchange Board
of India (SEBI) and Association of Mutual Funds of India (AMFI).
I/We shall read and understand the contents of the of the Scheme Information Document and Key Information Memorandum,
addenda issued regarding each Mutual Fund schemes with respect to which I/we choose to subscribe/redeem. I/We further
agree to abide by the terms and conditions, rules and regulations of the Mutual Fund schemes.
I/We therefore request you to register me/us as your client for participating in the BSE Star Mf.
I/We hereby confirm having read and understood the terms & conditions and disclosures provided overleaf.
Your faithfully,

FIRST/SOLE HOLDER SIGNATURE [11] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
PAGE 13
Date: 2024-11-21 08:41:04 IST
V 3.1.1
 Nomination Form
[Annexure A to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated July
23, 2021 on Mandatory Nomination for Eligible Trading and Demat Accounts]

TM / DP FORM FOR NOMINATION

Upstox Securities Private Limited
30th Floor, Sunshine Tower, Senapati Bapat (To be filled in by individual applying singly or jointly)
Marg, Dadar (W), Mumbai - 400 013

Date D2 D1 M1 M
1 Y2 Y0 Y2 Y
4 UCC/ DP ID 1 2 0 8 1 8 0 1 Client ID

I/We the sole holder/Joint holders/Guardian (in case of minor) hereby declare that:
I/We do not wish to nominate any one for this demat account.
I/We nominate the following person who is entitled to receive security balances lying in my/our account, Particulars
whereof are given below, in the event of my/our death.
I/We wish to make a nomination. [As per details given below]

Nomination Details

I/We wish to make a nomination and do hereby nominate the following person(s) who shall receive all the assets held in my / our account in the event
of my / our death.

Nomination can be made upto three Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee
nominees in the account.

1 Name of the nominee(s) (Mr./Ms.)

2 Share of Equally % % %
each
[If not equally,
Nominee please specify
percentage] Any odd lot after division shall be transferred to the first nominee mentioned in the form.

3 Relationship With the Applicant

( If Any)

4 Address of Nominee(s)

City / Place:
State & Country:

PIN Code

5 Mobile / Telephone No. of

nominee(s)

6 Email ID of nominee(s)

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
PAGE 14
V 3.1.1
 7 Nominee Identification details –
[Please tick any one of following
and provide details of same]

󠄀 Photograph & Signature 󠄀󠄀 PAN

󠄀 Aadhaar 󠄀󠄀 Saving Bank
account no. 󠄀 󠄀󠄀 Proof of Identity 󠄀󠄀
Demat Account ID

Sr. Nos. 8-14 should be filled only if nominee(s) is a minor:

8 Date of Birth {in case of minor

nominee(s)}

9 Name of Guardian (Mr./Ms.) {in

case of minor nominee(s) }

10 Address of Guardian(s)

City / Place:
State & Country:

PIN Code

11 Mobile / Telephone no. of

Guardian

12 Email ID of Guardian

13 Relationship of Guardian with

nominee

14 Guardian Identification details –

[Please tick any one of following
and provide details of same]

󠄀 Photograph & Signature

󠄀 PAN 󠄀 󠄀󠄀 Aadhaar Saving Bank
account no. 󠄀󠄀 Proof of Identity󠄀 󠄀
󠄀 󠄀Demat Account ID

Name(s) of holder(s) Signature(s) of holder*

Sole / First Holder (Mr./Ms.)

Second Holder (Mr./Ms.)

Third Holder (Mr./Ms.)

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of signature

Note:

This nomination shall supersede any prior nomination made by the account holder(s), if any.

The Trading Member / Depository Participant shall provide acknowledgement of the nomination form to the account holder(s)

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
PAGE 15
V 3.1.1
 Declaration Form for opting out of nomination
[Annexure B to SEBI circular No. SEBI/HO/MIRSD/RTAMB/CIR/P/2021/601 dated July
23, 2021 on Mandatory Nomination for Eligible Trading and Demat Accounts]

Date D2 D1 M1 M1 Y2 Y0 Y2 Y4
To

Trading Member/Participant’s Name Upstox Securities Private Limited

30th Floor, Sunshine Tower, Senapati Bapat

Trading Member/Participant’s Address Marg, Dadar (W), Mumbai - 400 013

UCC/DP ID
1 2 0 8 1 8 0 1
Client ID (only for Demat account)

Sole/First Holder Name

SYED UMAR
Second Holder Name

Third Holder Name

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

Name and Signature of Holder(s)*

SYED UMAR

1.___________________________________2.__________________________________________3___________________________________

* Signature of witness, along with name and address are required, if the account holder affixes thumb impression, instead of
signature

Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
16
V 3.1.1
 TARIFF SHEET
BO ID DATE (DD/MM/YYYY)

TO: Upstox Securities Private Limited

Dear Sir or Madam,
I would like to subscribe to the Upstox Securities Pvt. Ltd for trading and demat account and request Upstox Securities Pvt. Ltd. to apply
brokerage charges as mentioned and as per the terms and conditions of Upstox Securities Pvt. Ltd.
I/We agree to pay the charges as per following charge structure with Upstox Securities Private Limited
Account opening fee Free Rs. 149/- [Trading] +GST
Rs. 199/- [Trading] +GST Rs. 499/- [Trading] +GST Rs. 999/- [Trading] +GST Brokerage charges for Equity Delivery -
2.5% or Rs. 20 / per order (Whichever is
Brokerage - Basic 0.05% or Rs. 20/- (Whichever is lower) per order for Equity lower)
Intraday, Futures. For Option, Rs. 20 per order traded.

CHARGE HEAD CHARGES

Annual Maintenance Charges – For individual account : Rs. 0 /-

Transaction charges Market / Off Market / – Rs. 13/- plus Rs. 5.50/- (CDSL charges) per scrip.
Interdepository Transactions
Pledge Charges Creation / Closure and – 0.02% of the transaction charges subject to a minimum of Rs. 50/- plus NSDL / CDSL
Confirmation of both charges at actual.
Pledge Charges for Invocation – 0.05% of the transaction charges subject to a minimum of Rs. 50/-
Dematerialization Charges – Rs 200/- per certificate plus charges of Rs. 20/- per request.
Rematerialization Charges – For every 100 shares Rs. 25/- part thereof, subject to maximum 5,00,000 or flat fee
Rs. 25/- per certificate, whichever is higher.
SLB Charges – For Securities Borrowings: Rs. 25/- plus NSDL / CDSL charges at actuals.
– For Securities Lending: Rs. 25/- plus NSDL/ CDSL charges at actuals.
Repurchase / Redemption Charges – Flat Rs. 25/- per transaction plus Depository charges at actuals.
Failed / Rejected Transactions – Rs. 50/- per transaction.
Interest on negative(debit) ledger balance – Interest 0.05% per day(from 1st March 2024)
Demat Rejection Charges – Rs. 35/- per rejection for every 500 gms.
In addition to the above monthly subscription charges, the following statutory charges will also be levied at actuals:
1. Securities Transaction Tax, Transaction Charges, Stamp Duty, SEBI Turnover Fees, Clearing Member Charges and GST.
2. Ele ctronic Contract Note s are fre e . Physical Contract note copie s are charge d at Rs. 50 pe r contract note (for ECN clients)
+ Courier charge s as applicable . De pository Participant charge s as le vie d by Upstox. Te rms and Conditions can be subje ct
to change provided the same is done as for applicable guidelines of SEBI/exchange.
3. The terms and conditions of the Upstox Securities Pvt. Ltd. plans have been read and understood by me. I wish to avail the plans
above provided by Upstox Securities Pvt. Ltd. for my trading account subject to the terms and conditions mentioned above.
4. I declare that I have read and understood the terms and conditions governing the Upstox Securities Pvt. Ltd.
5. Call and trade and square off charges at Rs. 50 will be charged
Note: Brokerage is also charged on expired, exercised and assigned Futures and Options contracts.
*Disclaimer: For Delivery based trades, a minimum of Rs. 0.01 will be charged per contract note.
Adhoc / Non periodic statement requests – Adhoc statement requests: - Rs. 25/- (Rs 500 for foreign address) per request upto 10
pages. Every additional 5 pages or a portion thereof will be charged at Rs. 10/- plus courier /postage charges.
E-Mail Statement - – Periodic Bills and Transactions statements and other communications will be sent by email, only. Terms and
Conditions for the same to be mandatorily executed. Requests for physical statements will be charged as mentioned above.
Cheque Bounce charges - – Charges will be applied based on charges as determined by our bankers.
NOTE: For all purposes the bill date shall be construed as the date of demand and the bills will be considered as the bill cum notice
for payment and Upstox Securities Pvt. Ltd. reserves the right to Freeze Depository account for debit transaction in case of non
payment of charges after two days from the bill date.
Interest @ 13% p.a will be charged on the outstanding bill amount if not paid within the due date. The above tariff is subject to
change. Changes if any be intimated 30 days in advance. GST and othertaxes applicable on all above charges.

FIRST/SOLE HOLDER SIGNATURE [14] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

X Signed by: SYED UMAR

Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 17
V 3.1.1
 INDIVIDUAL ACCOUNT OPENING FORM
(DEMAT + TRADING)

MOST IMPORTANT TERMS AND CONDITIONS

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

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

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

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

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

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

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

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

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

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

I agree __________________________________________

For any grievance/ dispute please contact RKSV Securites India Pvt. Ltd. at the above address and/ or email id: [email protected] and [email protected] and/ or Phone No.
+91-22-6130-9999. In case you are not satisfied with the response, please contact the concerned exchange(s) at MCX at [[email protected]
Signed by: SYED UMAR and Phone No. +91-22-6731-8888].
Procedure to file a complaint on SEBI SCORES: Register on SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN,
Reason: Address,
Upstox TradingMobile Number,
and Demat E-mail
A/C Opening ID.
by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST PAGE 18
V 3.1.1
 ACKNOWLEDGEMENT LETTER

Upstox Securities Private Limited

30th Floor, Sunshine Tower, Senapati
Bapat Marg,
Dadar (W),
Mumbai - 400 013

Dear Sir or Madam,

I/We hereby acknowledge receipt of the following documents

1. Rights and Obligations of Stock Brokers, Sub-brokers and Clients (including additional rights & obligations in case of
internet / wireless technology based trading).
2. Risk Disclosure Document for Capital Market and Derivatives Segments.
3. Guidance Note - Do’s and Don’ts for Trading on the Exchange(s) for Investors.
4. Policies and Procedures Document pursuant to the SEBI circular dated December 03, 2009.
5. The Upstox Securities Pvt. Ltd. Tariff sheet.
6. General Terms and Conditions governing securities trading and broking services of Upstox Securities Pvt. Ltd.
7. All other mandatory and voluntary client registration documents.
8. I/We hereby acknowledge the receipt of duly executed copy of KYC and all other documents as executed by me/us.
Further I confirmed that the documents for KYC submitted by me are true and correct.

I/We understand that the Voluntary documents executed by me/us are out of my/our own free will.
I state that I have read and understood all above documents and these documents are binding upon me.

Yours faithfully,

FIRST/SOLE HOLDER SIGNATURE [17] SECOND HOLDER SIGNATURE THIRD HOLDER SIGNATURE

DATE (DD/MM/YYYY) 2 1 1 1 2 0 2 4

Signed by: SYED UMAR

PAGE 19
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST
V 3.1.1
Signed by: SYED UMAR
Reason: Upstox Trading and Demat A/C Opening by UPSTOX
SECURITIES PRIVATE LIMITED
eSigned using Aadhaar (digio.in)
Date: 2024-11-21 08:41:04 IST