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 Shee Details the rate/amount of brokerage and other charges levied
on the client for trading on the stock exchange(s)

VOLUNTARY CLAUSE

DOCUMENT SIGNIFICANCE PAGE(s)

REGISTERED OFFICE ADDRESS KYC PROCESSING OFFICE ADDRESS

RKSV Commodities India Private Limited
807, New Delhi House, Barakhamba Road
Connaught Place, New Delhi, 110 011
Telephone: +91-22-6130-9999
Fax: +91-22-6710-7492
Email: [email protected], www.upstox.com
CEO (BSE/NSE)
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: contact@ , www.
COMPLIANCE OFFICER (BSE/NSE)
Mr. A alan
Telephone: +91-22-6130-9999 SEBI E IS I BE S
Email: [email protected], www.upstox.com

COMPLIANCE OFFICER (DP)

Mr. A alan
Telephone: +91-22-6130-9999
Email: [email protected],
www.upstox.com

For any grievance/ dispute please contact RKSV Commodities India Pvt. Ltd. at the above address and/ or email id: [email protected]
eSigned document: 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)
NISHA SHARMA 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
21.10.2024 12:22:11
Number, E-mail ID.
Reason: Upstox Trading and Demat A/C Opening
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 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.
eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 2
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):

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

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

CITIZENSHIP IN - INDIAN OTHERS (ISO 3166 COUNTRY CODE ) DATE OF BIRTH (dd/mm/yyyy)

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

PAN (Please enclose a duly attested copy) AADHAAR NUMBER (if any)

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

UID (AADHAAR) PASSPORT VOTER ID DRIVING LICENCE OTHERS (Please see guideline ‘D’)

NREGA JOB

B. Address Details (Please see guidelines)

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

21/10/2024
CITY/TOWN/VILLAGE: STATE:
KRA VERIFIED COUNTRY:
TEL (OFF) :
PAN: OJSPS7264F
MOBILE: FAX:

EMAIL ADDRESS: NISHA SHARMA

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

CITY/TOWN/VILLAGE: STATE:
PIN CODE
COUNTRY:
PROOF OF ADDRESS TO BE PROVIDED BY APPLICANT. PLEASE SUBMIT ANY ONE OF THE FOLLOWING VALID DOCUMENTS & CHOOSE THE DOCUMENT ATTACHED
PASSPORT RATION CARD REGISTERED LEASE/SALE AGREEMENT OF RESIDENCE DRIVING LICENCE VOTER IDENTITY CARD
*LATEST BANK A/c STATEMENT/PASSBOOK *LATEST TELEPHONE BILL (Only landline) *LATEST ELECTRICITY BILL *LATEST GAS BILL
OTHERS (Please Specify)
*Not more than 3 months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy)

ANY OTHER INFORMATION:

DECLARATION
I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/We undertake to inform you of any
changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/We are aware that I may
be held liable for it.

PLACE:
CLIENTʼS
SIGNATURE [2] DATE (DD/MM/YYYY)

FOR OFFICE USE ONLY IPV Done on (dd/mm/yyyy)

AMC/Intermediary name OR code Application Type* New Update Seal/Stamp of the intermediary should contain
Staff Name
(Originals verified) True copies of KYC Number (Mandatory for KYC update request)
Designation
Name of the Organization
documents received Signature
eSigned document:
(Attested) True copies of documents Date
received Main Intermediary Account Type* Normal Small NISHA SHARMA Place
21.10.2024 12:22:11
Simplified ( or low risk customers)
Reason: Upstox Trading and Demat A/C Opening
3
V 3.1.1
SE I A E I S E E BE S
I IE IS E I E E BE E SE I E E I E I S
I SE E I I I E E BE S I E E I S I SE E S EE I I
EI I S E I E BE
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:
DETAILS OF DISPUTES/DUES PENDING FROM/TO SUCH MEMBER/AP:
EMAIL ID (As mentioned on Page ): [email protected]

WEBSITE:
SE I B E I S S I B E S E ISE
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:

SE I C S ES E IS I E I S
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:

SE I D I ES E I E E IE E I I E I S
NO PRIOR EXPERIENCE IN TRADING / INVESTMENT
NUMBER OF YEARS OF COMMODITIES EXPERIENCE: YEARS OF EXPERIENCE IN OTHER INVESTMENT FIELDS:
2-5 Years

CONTRACT NOTE PREFERENCES EMAIL ADDRESS:

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

SE I E I E E I S I

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

E SE SI BE ES I EI I IS E

CLIENT’S NAME: NISHA SHARMA eSigned document:

NISHA SHARMA
CLIENT’S SIGNATURE [3] DATE (DD/MM/YYYY)
21.10.2024 12:22:11 2 1 1 0 2 0 2 4
Reason: Upstox Trading and Demat A/C Opening
PAGE 4
V 3.1.1
 I E E E I S
SE I F I B I

BANK NAME CANARA BANK BRANCH ADDRESS BANGALORE

CITY/TOWN/VILLAGE STATE KARNATAKA
PIN CODE 5 6 0 0 0 1
BANGALORE COUNTRY INDIA
ACCOUNT N MICR NUMBER
110183794963 IFSC CODE C N R B 0 0 0 0 0 3 3

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

SE I G E E I S
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

SE I H I E E E ES
P ease si n in t e re evant o es ere o is to trade P ease Stri e o t e se ment not osen o

MCX Place Signature here

I o do not is to trade in an o SeI o do not is to trade in an o Se ment ease mention ere

SE I I S I S
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 during the last 3 years.

SECTION J DETAILS OF RELATED PERSON (RP) (In case of additional related persons, please fill Annexure B1’ ) ( ease refer nstru t on at t e 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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 5
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 India Pvt. Ltd., t
r Suns ine er Sena ati a at (To be filled in by individual applying singly or jointly)
ar adar um ai

Date D2 D1 M1 M
0 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)

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
6
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)

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
7
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 M0 Y2 Y0 Y2 Y4
To

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

t r Suns ine er Sena ati

Trading Member/Participant’s Address a at ar adar um ai

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

Sole/First Holder Name

NISHA SHARMA
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)*

NISHA SHARMA

1.___________________________________2.__________________________________________3___________________________________

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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
8
V 3.1.1
 I S EE
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.

B E E E
Account opening fee Free

Brokerage - Basic 0.0 % or RS 20/- per order traded Whichever is lower ; For option Rs. 20 per order traded Priority
Pack 0. % or RS 30/- per order traded Whichever is lower ; For option Rs. 30 per order traded

S ES

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 .
Electronic Contract Notes are free. Physical Contract note copies
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 NISHA SHARMA

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

I E SE

CLIENT’S TRADING ACCOUNT NUMBER

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 9
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 __________________________________________

eSigned document:
NISHA SHARMA
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 21.10.2024 12:22:11
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:
Reason: Name, PAN, Address,
Upstox Trading Mobile
andNumber,
DematE-mail
A/C ID.Opening
PAGE 10
V 3.1.1
 LETTER FOR AUTHORIZATION FOR ELECTRONIC CONTRACT NOTES & AUTHORIZATION FOR RUNNING ACCOUNT

TO: RKSV 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]

I also agree that non-receipt of bounced mail notification by you shall amount to delivery at my email account /email id.
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.
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.
I understand that, you shall send physical copy of the contract note within 24 hours if you received a bounced email.
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.
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.
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).
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.
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
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 .
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
13. Upstox reserves the right to carry out necessary due diligence which may include sharing details with third party for checking
their creditworthiness.
Yours faithfully,

CLIENT’S NAME NISHA SHARMA

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

I E SE
Verification of the Client Signature done by:

DESIGNATED OFFICER SIGNATURE DATE (DD/MM/YYYY)

eSigned document:
DESIGNATED OFFICER NAME: CLIENT’S
NISHA UNIQUE
SHARMACLIENT CODE:
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 1
V 3.1.1
 E E E E E

TO: RKSV Commodities India Private Limited

Dear Sir Madam,

I/We hereby acknowledge receipt of the following documents

Rights and Obligations of Members, Authorised Persons and Clients

Risk Disclosure Document
Guidance Note - Do’s and Don’ts for Trading on the Exchange(s) for Investors

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 NISHA SHARMA

CLIENT’S
SIGNATURE [9] DATE (DD/MM/YYYY) 2 1 1 0 2 0 2 4

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 2
V 3.1.1
 FATCA / CRS DECLARATION / SELF CERTIFICATION FOR INDIVIDUAL

Please fill the information below as requested

Name of the Account Holder NISHA SHARMA

Indicate ( ) your Tax Residency /

Citizenship / Nationality
✔

I O S :
peci y City and Country o irth

peci y Country(ies) o Tax Residency/

Citizenship / Nationality /
reen card holder other than India

Tax Identi ication Nu er ( or )

or its unctional e ui alent (other
than )

ource o ealth

DECLARATION
I / We hereby declare, agree and confirm the following:
a) Commodities

b)
Commodities

CLIENTʼS SIGNATURE [10]

F TC C S
1

S :

N S C S C S

C C S S
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.

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 3
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)
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 devices such as mobile phone, laptop with data card, etc. which use Internet
Protocol (IP). The Trading Member shall comply with all requirements applicable to internet based trading/ securities
using trading wireless technology as may be specified by SEBI & the Exchanges from time to time
The client is desirous of investing/ trading in securities and for this purpose, the client is desirous of using either the internet
based trading facility or the facility for securities trading through use of wireless technology. The Trading Member 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.
The Trading Member shall bring to the notice of client the features, risks, responsibilities, 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.
The Trading Member shall make the client aware that the Stock Broker’s IBT system itself generates the initial password and
its password policy as stipulated in line with norms prescribed by Exchanges/ SEBI.
The Client shall be responsible for keeping the Username and Password confidential and secure and shall be solely responsible for
all orders entered and transactions done by any person whosoever through the Stock broker’s System IBT using the
Client’s Username and/ or Password whether or not such person was authorized to do so. Also the
client is aware that authentication technologies and strict security measures are required for the internet trading/securities
trading through wireless technology through order routed system and undertakes to ensure 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.
The Client shall immediately notify the Trading Member in writing if he forgets his password, discovers security flaw in
Stock Broker’s IBT System, discovers/ suspects discrepancies/ unauthorized access through his username/ password/
account with full details of such unauthorized use, the date, the manner and the transactions effected pursuant to such
unauthorized use, etc.
The Client is fully aware of and understands the risks associated with availing of a service for routing orders over the internet/
securities trading through wireless technology and Client shall be fully liable and responsible for any and all acts done in the
Client’s Username/ password in any manner whatsoever.
The Trading Member shall send the order/ trade confirmation through email to the client at his request. The client is aware
that the order/ trade confirmation is also provided on the web portal. In case client is trading using wireless technology the
Trading Membershall send the order/ trade confirmation on the device of the client
The client is aware that trading over the internet involves many uncertain factors and complex hardware, software, systems,
communication lines, peripherals, etc. are susceptible to interruptions and dislocations. The Trading Member and the Exchange
do not make any representation or warranty that the Stock broker’s IBT Service will be available to the Client at all
times without any interruption.
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 broker’s IBT System or Service or the Exchange’s service or systems or
non-execution of his orders due to any link/ system failure at the Client/ Stock brokers/ Exchange end for any reason beyond
the control of the Trading Member/ Exchanges

CLIENT’S NAME NISHA SHARMA

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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 4
V 3.1.1
 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 NISHA SHARMA

Name as per Bank Proof NISHA SHARMA

Name as per Address Proof Nisha Sharma

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 sto Se rities 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 sto Se rities Pvt. Ltd. / RKSV
Commodities India Pvt. Ltd. for any act done or omitted to be done on the above declaration.

CLIENTʼS SIGNATURE [12] X

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 5
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 16
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
Clientʼs self declaration on holding of overseas asset if any
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER

S. NO. DOCUMENT SIGNIFICANCE PG NOʼs

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 Pvt. Ltd., Upstox Securities Pvt. Ltd.,
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
CEO (BSE/NSE) Telephone: +91-22-6130-9999
Mr. Ravi Kumar Fax: +91-22-6710-7492
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 : IINZ000315837
Mr. Kapil Jaikalyani, Registration Date: December 01, 2023
Entity Name: Upstox Securities Private Limited. SEBI Regn. No. DP: IN-DP-761-2024
Contact no.: (022)-24229920 Registration Date: February 02, 2024
Email: [email protected]
COMPLIANCE OFFICER (DP) CLEARING MEMBER INFORMATION
Mr. Kapil Jaikalyani, Upstox Securities Pvt. Ltd
Entity Name: Upstox Securities Pvt. Ltd., INE231308334 CIN: U65100DL2021PTC376860
Contact no.: (022)-24229920 eSigned document:
Email: [email protected] NISHA SHARMA
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
21.10.2024 12:22:11BSE: https://bsecrs.bseindia.com/ecomplaint/
are not satisfied with the response, please contact the concerned exchanges at NSE:https://investorhelpline.nseindia.com/NICEPLUS/,
frmInvestorHome.aspx, CDSL: https://www.cdslindia.com/Footer/grievances.aspx. Procedure to file a complaint on SEBI SCORES:
Reason: UpstoxRegister
Tradingon and
SCORES portal.
Demat Mandatory
A/C Openingdetails for filing
complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID.
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 NRIʼs, Marinerʼs 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 applicantʼs 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).

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 2
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 ʻin-personʼ verification through web camera at the branch office of the stock broker/ sub-brokerʼs office.
2. In case of non-resident clients, employees at the stock brokerʼs local office, overseas can do in-person verification. Further, considering the
infeasibility of carrying out ʻIn-personʼ verification of the non-resident clients by the stock brokerʼs 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.

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 3
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):

FATHER / SPOUSEʼS NAME: MAIDEN NAME: (If any)

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

CITIZENSHIP IN - INDIAN OTHERS (ISO 3166 COUNTRY CODE ) DATE OF BIRTH (dd/mm/yyyy)

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

PAN (Please enclose a duly attested copy) AADHAAR NUMBER (if any)

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

UID (AADHAAR) PASSPORT VOTER ID DRIVING LICENCE OTHERS (Please see guideline ʻDʼ)

NREGA JOB

B. Address Details (Please see guidelines)

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

21/10/2024

CITY/TOWN/VILLAGE: STATE:
KRA VERIFIED
COUNTRY:
TEL (OFF) :
PAN: OJSPS7264F
MOBILE: FAX:

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

CITY/TOWN/VILLAGE: STATE:
PIN CODE
COUNTRY:
PROOF OF ADDRESS TO BE PROVIDED BY APPLICANT. PLEASE SUBMIT ANY ONE OF THE FOLLOWING VALID DOCUMENTS & CHOOSE THE DOCUMENT ATTACHED
PASSPORT RATION CARD REGISTERED LEASE/SALE AGREEMENT OF RESIDENCE DRIVING LICENCE VOTER IDENTITY CARD
*LATEST BANK A/c STATEMENT/PASSBOOK *LATEST TELEPHONE BILL (Only landline) *LATEST ELECTRICITY BILL *LATEST GAS BILL
OTHERS (Please Specify)
*Not more than 3 months old. Validity/Expiry date of proof of address submitted (dd/mm/yyyy)

ANY OTHER INFORMATION:

DECLARATION
I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/We undertake to inform you of any
changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/We are aware that I may
be held liable for it.

PLACE:
CLIENTʼS
SIGNATURE [2] X DATE (DD/MM/YYYY)

FOR OFFICE USE ONLY IPV Done on (dd/mm/yyyy)

AMC/Intermediary name OR code Application Typ

e eN w Update Seal/Stamp of the intermediary should contain
Staff Name
(Originals verified) True copies of KYC Number (Mandatory for KYC update request)
Designation
Name of the Organization
documents received Signature
eSigned document:
(Attested) True copies of documents Date
received Main Intermediary Account Type Normal Small NISHA SHARMA Place
21.10.2024 12:22:11
Simplified ( or low risk customers)
Reason: Upstox Trading and Demat A/C Opening
PAGE 4
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 DIRECTORʼS 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 HOLDERʼS NAME NISHA SHARMA
PAN NO. (Compulsory) O J S P S 7 2 6 4 F UID NO.

UCC ID EXCHANGE ID NSE: 13942 BSE: 6155

SECOND HOLDERʼS NAME:
PAN NO. (Compulsory) UID NO.
THIRD HOLDERʼS 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)

GUARDIANʼS 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 ʻYesʼ) YES NO not marked, the default option would be ʻNoʼ) 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 ʻYesʼ) [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
eSigned document:
NISHA SHARMA
X 21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 5
V 3.1.1
 TRADING AND DEMAT ACCOUNT RELATED DETAILS
SECTION A PRIMARY BANKING ACCOUNT (DIVIDEND BANK DETAILS)
BANK NAME CANARA BANK BRANCH NAME BANGALORE KARNATAKA INDIA
BRANCH ADDRESS BANGALORE

CITY/TOWN/VILLAGE STATE KARNATAKA

PIN CODE 5 6 0 0 0 1
BANGALORE COUNTRY INDIA
ACCOUNT NUMBER 110183794963

MICR NUMBER IFSC CODE C N R B 0 0 0 0 0 3 3

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 MEMBERʼS 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 B1ʼ ) (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 MiddleeSigned
Name document: Last Name
Name* NISHA SHARMA
21.10.2024 12:22:11
(If KYC number and name are provided, Proof of identity of RP required
Reason: Upstox Trading and Demat A/C Opening
PAGE 6
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 2-5 Years

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

INTRODUCERʼS STATUS EXISTING CLIENT AUTHORIZED PERSON SUB-BROKER REMISIER

INTRODUCERʼS ADDRESS INTRODUCERʼS PHONE NUMBER INTRODUCER’S SIGNATURE

INTRODUCERʼS CLIENT ID
CLIENTʼS NAME NISHA SHARMA

CLIENTʼS
SIGNATURE [5] X DATE (DD/MM/YYYY) 2 1 1 0 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 ʻRights and Obligationsʼ document(s) and ʻRisk Disclosure Documentʼ. 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 brokerʼs designated website, if any.

CLIENTʼS NAME NISHA SHARMA PLACE JAIPUR

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

FOR OFFICE USE ONLY

CLIENTʼS 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 ʻPolicy and Proceduresʼ, tariff she e t and all the non-mandatory docume nts. I/ We have also made
the client aware of ʻRights and Obligationsʼ 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 ʻPolicy and Proceduresʼ, 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 ʻRights and Obligationsʼ 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

eSigned OF THE INTERMEDIARY
document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening PAGE 7

V 3.1.1
 PART A : INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS
TO CLIENT (ALL THE CLAUSES MENTIONED IN THE ʻRIGHTS AND OBLIGATIONSʼ 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 e ithe r the inte rne t
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 brokerʼs IBT Service to the Client, and the Client shall avail of the Stock brokerʼs IBT Service, on and subject to SEBI/
Exchange s Provisions and the te rms and conditions spe cifie d on the Stock broke rʼs IBT We b Site provide d that the y 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 rʼs 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 rʼs Syste m IBT using the Clie ntʼs
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/se curitie s 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 clie nt 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 rʼs 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 unauthorize d use , e tc.
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
Clientʼs 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 , syste ms,
communication line s, pe riphe rals, e tc. are susce ptible to inte rruptions and dislocations. The Stock broke r and the Exchange do
not make any re pre se ntation or warranty that the Stock broke rʼs IBT Se rvice will be available to the Clie nt at all time s 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 rʼs IBT Syste m or Se rvice or the Exchange ʼs 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,

CLIENTʼS NAME NISHA SHARMA

CLIENT’S
SIGNATURE [7] X DATE eSigned
(DD/MM/YYYY)
document: 2 1 1 0 2 0 2 4
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening PAGE 8
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
13. Upstox reserves the right to carry out necessary due diligence which may include sharing details with third party for checking
their
creditworthiness.
Yours faithfully,

CLIENTʼS NAME NISHA SHARMA

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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 9
V 3.1.1
 SMS ALERT FACILITY. Refer to Terms & Conditions given as Annexure - 2.4 MOBILE NO.+91 8 8 9 0 5 7 0 0 6 6
[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 Pvt. Ltd., 30th Floor, Sunshine Tower, DATE (DD/MM/YYYY) 2 1 1 0 2 0 2 4
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

eSigned document:
NISHA SHARMA
X 21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 10
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 NISHA SHARMA

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 India Pvt. Ltd.,
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 Pvt. Ltd. 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.

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 11
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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening PAGE 12
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
0 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)

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 13
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)

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 14
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 M0 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

NISHA SHARMA
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)*

NISHA SHARMA

1.___________________________________2.__________________________________________3___________________________________

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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
15
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 Brokerage charges for Equity Delivery -
Rs. 199/- [Trading] +GST Rs. 499/- [Trading] +GST Rs. 999/- [Trading] +GST 2.5% or Rs. 20 / per order (Whichever is
lower)
Brokerage - Basic 0.05% or Rs. 20/- (Whichever is lower) per order for Equity
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 UpstoxTe rms and Conditions can be subject 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 15 days in advance. GST and othertaxes applicable on all above charges.

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

eSigned document:
NISHA SHARMA
X 21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 16
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 __________________________________________

eSigned document:
NISHA SHARMA
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 21.10.2024 12:22:11
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:
Reason: Name, PAN, Address,
Upstox Trading Mobile
andNumber,
DematE-mail
A/C ID.Opening
PAGE 17
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 - Doʼs and Donʼts 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 0 2 0 2 4

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening PAGE 18
V 3.1.1
 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 NISHA SHARMA

Name as per Bank Proof NISHA SHARMA

Name as per Address Proof Nisha Sharma

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

eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
PAGE 19
V 3.1.1
eSigned document:
NISHA SHARMA
21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening
I wish to register the mentioned signature as authorized signature for all activities and correspondence with RKSV/Upstox
eSigned document:
NISHA SHARMA
Signature as per our records 21.10.2024 12:22:11
Reason: Upstox Trading and Demat A/C Opening