CENTRAL DEPOSITORY SERVICES (INDIA) LIMITED

NATIONAL STOCK EXCHANGE OF INDIA LTD. (NSE)

BSE LTD. (BOMBAY STOCK EXCHANGE LTD.)

Registration For : BSE NSE DEMAT

Segments : Cash F&O Currency Derivatives

CLIENT NAME :

BRANCH CODE :

CLIENT CODE :

CLIENT BO ID : 1201770_

Form Received by Form Checked by Form Entered by Form Audited by

 Document Check List (HUF)
1. Pan Card copy of Karta and HUF.
2 Address Proof of Karta and HUF.
3. Passport size Photo of Karta (one).
4. Rubber Stamp of HUF required on every sign of Karta.
5. Bank Proof in the Name of HUF (any of the following)
(i) Pre Printed Cheque Leaf.
(ii) Bank Pass Book with latest Transaction.
(iii) Bank Statement with Bank Stamp & Authorise Signature (not More than 3 months old)
6. HUF Member Declaration (page No. 27)

Document Check List (Partnership)

1. PAN Card of all Partners & Partnership Firm
2. Proof of address of Partnership firm: (any one of the following)
Bank Statement duly attested by the concerned bank under the stamp and signature of the bank official (not more than 3 months old)
Bank Passbook with transaction page (not more than 3 months old)
3. Bank Proof in the name of Partnership Firm
4. Proof of Income(any of the following)
Copy of ITR of last 2 years
Audited Balance Sheet of last 2 years (duly attested by CA)
5. KYC & CKYC forms of all Authorized signatories/ Partners
6. Notarized Partnership Deed along with the list of partners duly certified and attested by all the partners
7. Authority letter by all the partners in favour of Managing Partner on letter head of the firm

Document Check List (Corporate)

1. Photograph of whole time Directors/two Directors in charge of day to day operations (to be pasted on Account opening form)
2. Copy of PAN Card of Company
3. Copy of PAN Card of whole time Directors/two Directors in charge of day to day operations. (Authorized Signatory)
4. Address proof of Company.
5. Address proof of whole time Directors/two Directors in charge of day to day operations.
6. Proof of Bank Account of the Company (Three months old statement/Cancelled pre-printed cheque)
7. DP Proof of Company. (Applicable in case of Trading Account)
8. Audited Balance sheet latest 2 financial years (to be submitted every year)
9. Self attested copy of Memorandum & Articles of Association of the Company and certificate of incorporation.
10. Board Resolution on letter head of company.
11. Copy of the latest share holding pattern including list of all those holding control, either directly or indirectly, in the company
in terms of SEBI (SAST) Regulations, duly certified by the CS/WTD/MD (to be submitted every year).
12. Authorised signatories list with specimen signature on letter head of the company along with their photo
13. List of Directors on Letter Head of the Company along with their signature & DIN No.
14. Last Two Years ITR
15. Copy of Company Master Data from the MCA Website
16. KYC & CKYC Form of Directors / Authorised Signators

All documents need to be attested by Authorized signatories along with the rubber stamp of the Entity.
 HEM SECURITIES LIMITED / HEM FINLEASE PVT. LTD.

Acknowledgment Receipt
Form No.

Name ..........................................................................

We acknowledge the receipt of the following :

1. Trading Account Opening Form NSE BSE

2. Demat Account Opening Form

3. Power of Attorney

Received by (Hem Securities Ltd. / Hem Finlease Pvt. Ltd.)

Signature

Name :..............................................

Date : ................................................
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 INDEX OF DOCUMENTS
Page
No.
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES
A. KYC form - Document captures the basic information about the
constituent and an instruction/check list.
1. Account Opening Form 1-10
B. Document captures the additional information about the constituent
relevant to Trading account/Demat A/c.
Document stating the Rights & Obligations of Beneficial Owner and Depository Annexure
2. Rights and Obligations
Participant as prescribed by SEBI and Depositories A

3. Depository Service Charges Document detailing DP services charges/Fee Structure for the Demat Account 11
with Hem Securities Ltd.
Document detailing the rate/amount of brokerage and other charges levied
4. Tariff sheet on the client for trading on the stock exchange(s). 12

Document stating the Rights & Obligations of stock broker/trading member,

5. Rights and Obligations sub-broker/AP and client for trading on exchanges (including additional rights & Annexure
obligations in case of internet/wireless technology based trading). A

6. Risk Disclosure Document Document detailing risks associated with dealing in the securities market. Annexure
A
7. Guidance note Document detailing do's and don'ts for trading on exchange, for the education Annexure
of the investors. A
8. Policies and Procedures Document describing our significant policies and procedures. 13-15
VOLUNTARY DOCUMENTS
1. Terms and Conditions for Prescribed by Depository. Required to receive alerts directly from the
receiving SMS Alerts from CDSL Depository for the transactions executed in the demat account. 16-17
2. Terms & Conditions of Availing TRUST Service offered by CDSL
transaction using Secured Texting 18-19

3. Common Registration Form For Availing SMS Alert and/or TRUST Facility 20
4. Details of Politically Exposed persons (PEP) Related to Politically Exposed persons (RPEP) 20
5. Guidance note Simple Do's & Dont's 21
6. Instructions to the Applicants BOs for account opening 21
7. Running Account Authorisation Required for maintaining clients account on a running account basis. 22
Authorisation for Electronic Required for issuance of Electronic Contract Notes, Statement of Account
8. 23
Contract Note / Statements and other documents on the client's registered e-mail id.
9. Letter of Authority Required for the purpose of operational efficiency 24
10. Auto Square Off Letter/Intimation Auto Square Off Letter/Intimation 25
11. Internet Trading Letter Required to avail facility of online trading 26
12. Format of Declaration By Karta And All Co-parceners In HUF Account 27
13. Common E-mail, Mobile Format Declaration of Common Mail, Mobile in Family Accounts 28
14. FATCA Fatca & CRS Declaration 29-30
15. DIS Option Form Option Form for Issue of DIS Booklet & Mode of Operation (Joint Holder) 31
Mode of Operation (Joint Holder)
16. DDPI Demat Debit & Pledge Instruction 32
17. Format of Board resolution & Declaration Format of Board resolution and Declaration- for Corporate and Partnership account 33
HEM SECURITIES LIMITED (HSL)
Depository Participant: CDSL, SEBI Reg No. : IN-DP-568-2021, CDSL DP ID 17701
CIN : U67120RJ1995PLC010390
HEM FINLEASE PVT. LTD. (HFPL)
Member: National Stock Exchange of India Ltd., Trading Cum Self Clearing Member (Cash, F&O & CDS)
Trading Member Code -11100 (NSE)
Member: BSE Limited, Trading Cum Self Clearing Member (Cash, F&O and CDS)
Trading Member Code - 6741 (BSE-Cash & CDS)
BSE-F&O-Clearing Member-Edelweiss Custodial Services Ltd. (Sebi Registration No. INZ000177437 & Trading Code 857)
Member: Multi Commodity Exchange of India Limited (MCX), Trading cum Clearing Member (TCM) Trading Member Code- 56905
SEBI Reg. No. (Old) INB 231110033 (Cash), 27th June 2000 / INF 231110033 (F & O), 31stAugust 2001
INE 231110033 (Currency), 26th Aug.2008
SEBI Reg. No. (New-Single Registration) INZ 000167734, 15thMarch 2018 CIN : U67120RJ1996PTC011799
Registered Office / Correspondence Address : 203, Jaipur Tower, M. I. Road, Jaipur - 302001 (Rajasthan)
Telephone : 0141 - 4051000/1001, 2363278 Website : www.hemsecurities.com
Mumbai Off. : 904, A-Wing, Naman Midtown, Senapati Bapat Marg, Prabhadevi Station, Lower Parel, Mumbai-400013, Ph. : 022-49060000
Compliance Officer : Ms. Kritika Rander (HFPL); compliance@hemsecurities.com; 0141-4051066
Mr. Rohit Sharma (HSL); compliance@hemsecurities.com; 0141-4051000; www.hemsecurities.com
CEO : Mr. Prateek Jain, prateek@hemsecurities.com, 0141-4051000
For any grievance/dispute please contact Hem Securities Ltd. / Hem Finlease Pvt. Ltd. at the above address or write
u s a t i n v e s t o r g r i e v a n c e @ h e m s e c u r i t i e s . c o m f o r Tr a d i n g A / c r e l a t e d m a t t e r s a n d
investorgrv_dpjaipur@hemsecurities.com for Demat A/c related matters and Phone no. 0141-4051000 In case if not
satisfied with the response, please contact the Exchanges
BSE - ipf.atul@bseindia.com / dis@bseindia.com, Phone no. 0141-2370877/022-22728517
NSE - nsciscjai@nse.co.in/ ignse@nse.co.in, Phone no. 0141-2368444/18002660058
MCX- grievance@mcxindia.com, Phone no. - 022-6649407
You can also lodge your grievances with SEBI at http:// scores.gov.in For any queries, feedback or assistance, please contact SEBI office or toll free
Helpline at 1800-22-7575 / 1800-266-7575 Filing of complaints on SCORES – Easy & quick
a. Register on SCORES portal
b. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, Email ID
c. Benefits: (i) Effective communication (ii) Speedy redressal of the grievances, Toll Free No. 1800-22-7575
SCORES website https://scores.gov.in/scores/Welcome.html

To, ACKNOWLEDGEMENT
Manager,
Hem Securities Ltd. / Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower, M. I. Road, Jaipur
Dear Sir / Madam:
I undersigned, hereby confirm that I have received the duly executed copy of KYC form, CKYC Form,
Right & Obligations, Guidance Note, Policies & Procedure, Tariff Sheet, Risk Disclosure Document and
Right & Obligations (DP) and all other documents as executed by me.
I acknowledge that the detail related to my account are as under.
DP BO ID _____________________________
Client Name ____________________________
E-mail Id _____________________________
Trading Code ____________________________ Mobile No. _____________________________
Disclosure Information
Sir,
This is to inform you that we may do Pro-account trading at BSE Ltd. (Bombay Stock Exchange Ltd.), National Stock Exchange (NSE)

Thanks and best regards.

For Hem Securities Ltd. / Hem Finlease Pvt. Ltd.
I acknowledge the receipt of information given above by Hem Securities Limited / Hem Finlease Pvt. Ltd. that they may do
Pro-account trading.

Signature of Karta/Authorized Signatory (1/32) Signature of Second Authorised Signatory

 (2/32)

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(2)
(3)
(3/32)
 Signature of Karta/Authorized Signatory (4/32)
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 (For state and country code please visit https://www.hemsecurities.com/download)

CKYC & KRA KYC Form

OTP Based E-KYC

PAN*

Sign Across (5/32)

Gross Annual Income (Range) Below Rs 1 LAC Rs 1-5 LAC Rs 5-10 LAC Rs 10-25 LAC Above Rs 25 LAC

x x x x x x x x

State Country

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State Country

OR ANY OTHER INFORMATIONS

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above
information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.
I am/We are also aware that for Aadhaar OVD based KYC, my KYC request shall be validated against Aadhaar details. I/We hereby consent to sharing my/our masked Aadhaar card with readable QR
code or my Aadhaar XML/Digilocker XML file, along with passcode and as applicable, with KRA and other Intermediaries with whom I have a business relationship for KYC purposes only.
I/We request you to reactivate my/our Trading account(UCC) ......................................... with Hem Finlease Pvt. Ltd.
I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.
I hereby give my consent to update/modify the above KYC details in my Demat Account No. 1 2 0 1 7 7 0
& Trading Account No. _____________________________________ maintained with you.
(6/32)

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 DEMAT AND TRADING ACCOUNT RELATED DETAILS
(via which transactions will be routed)
Please fill this form in ENGLISH and in BLOCK LETTERS.
A. BANK ACCOUNT DETAILS *
Primary Bank Details (for DP and Trading) :
Bank Name _____________________________________________________________________________________________
Branch Address __________________________________________________________________________________________
Bank Account No. _______________________________________ Branch ____________________________________
11 digit RTGS / NEFT / IFA Code :____________________________________9 Digit MICR Code :_________________________
Virtual Payment Address (VPA)
Account Type : Saving Current Others :
Pay- out Option As per Group Cheque Online Transfer /NEFT / RTGS
Bank/MICR/IFSC proof to be submitted : Cancelled Cheque (with client Name & A/c No. pre-printed)
Bank Passbook* (if hand written, then with stamp of Bank) Bank verification letter* (with Rubber Stamp & Sign of Bank Manager)
Bank Statement* (Either on Bank Stationery or with rubber stamp & sign of Bank Manager) Documents should not be more than 3 months old
Secondary Bank Details
Bank Name _____________________________________________________________________________________________
Branch Address __________________________________________________________________________________________
Bank Account No. _______________________________________ Branch ____________________________________
11 digit RTGS / NEFT / IFA Code :____________________________________9 Digit MICR Code :_________________________
Virtual Payment Address (VPA)
Account Type : Saving Current Others :
B. DEPOSITORY ACCOUNT DETAILS **
I/We already have Demat A/c Yes No
Depository Participant CDSL NSDL
Depository Participant Name __________________________________________________________________________________
Beneficiary Name___________________________________________________________________________________________
DP ID No.____________________________________________Beneficiary ID__________________________________________
** Demat Master or recent holding statement issued by DP bearing name of the client should be submitted.
C. TRADING PREFERENCES**
Please sign in the relevant boxes where you wish to trade. Please strike segment not chosen by you.
Exchanges NSE, BSE
All Cash/ Currency
F&O Debt
Segments Mutual Fund

(7/32) (8/32) (9/32) (10/32) (11/32)

If you do not wish to trade in any of segments / Mutual Fund, please mention here _____________________________________
If, in future you want to trade on any new segment/new exchange, separate authorization/letter will be taken.
***Please submit only one of the following in case of trading in F & O and Currency Derivatives

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 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 :
_____________________________________________________________________________________
E. DEALINGS THROUGH AUTHORIZED PERSON (AP) AND OTHER STOCK BROKERS
If client is dealing through the Authorised Person(AP), provide the following details:
AP Name: _________________________________________________ SEBI Registration number :__________________________
Registered office address: _____________________________________________________________________________________
Ph: ____________________________Fax: ________________________Website: ________________________________________
Whether dealing with any other Stock Broker/AP No Yes if yes provide following details
(in case dealing with multiple Stock Brokers/AP, provide details of all)
Name of Stock Broker :________________________________________________________________________________________
Name of AP, if any:____________________________________________________________________________________________
Client Code: _____________________________Exchange:___________________________________________________________
Details of disputes/dues pending from/to such Stock Broker/AP : ________________________________________________________
F. ADDITIONAL DETAILS
• Whether you wish to receive physical contract note or Electronic Contract Note (ECN) (please specify) :_________________________
Specify your Email id, if applicable: ____________________________________________________________________________
• Whether you wish to avail of the facility of internet trading/ wireless technology (please specify): Yes No
____years in commodity segment
• Number of years of Investment/Trading Experience:
____years in other investment/ trading experience
G. GST REGISTRATION (As applicable)
Name of the State:______________________ GST Regd. No.________________________________________ Validity Date _______
Name of the Introducer : _______________________________________________________________________________________
Status of the Introducer : Remisier Authorized Person Existing Client Others, please specify_______________________
Address and phone no. of the Introducer : __________________________________________________________________________
Signature of the Introducer : ____________________________________________
DECLARATION
1. We hereby declare that the details furnished above are true and correct to the best of our knowledge and belief and we undertake to inform
you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting,
we are aware that we may be held liable for it.
2. We confirm having read/been explained and understood the contents of document on policy and procedures of HSL/HFPL and tariff sheet.
3. We further confirm having read and understood the contents of the 'Rights and Obligations' document(s) and 'Risk Disclosure Document'.
We do hereby agree to be bound by such provisions as outlined in these documents. We have also been informed that the standard set of
documents has been displayed for Information on HSL/HFPL designated website www.hemsecurities.com
Place ____________________
Signature of Karta/Authorized Signatory (12/32) Date ____________________

UCC Code Allotted to the Client_______________________________

We undertake that we have made the client aware of 'Policy and Procdures', tariff sheet and all the non-mandatory documents. We have
also made the client aware of 'Rights and Obligations' document (s), RDD and Guidance Note. We have given/sent them a copy of all the
KYC documents. We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-mandatory documents would
be duly intimated to the clients. We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on
our website www.hemsecurities.com for the information of the clients.

Signature of Authorised Signatory (8) Seal / Stamp of HSL / HFPL

 Additional KYC Form for Opening a Demat Account
For Non-Individuals

(For Office use only)

Application No. Date

DP Internal Reference No.
DP ID 1 2 0 1 7 7 Client ID 0 0
Please fill all the details in Block Letters in English only.
We request you to open a Depository Account in our names as per the following details :

HOLDER'S DETAILS
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.

TYPE OF ACCOUNT (Please tick whichever is applicable)

Status Sub - Status

Body Corporate Banks Trust Mutual Fund OCB FII

CM FI Clearing House Individual HUF/AOP Other (Specify)

SEBI Registration No. SEBI Registration

(If Applicable) date D D M M Y Y Y Y

RBI Registration No. RBI Approval date M

D D M Y Y Y Y
(If Applicable)

Nationality Indian Others (spcify)______________

Additional Details

I/We instruct the DP to receive each and every credit in my / our account [ Automatic Credit]
(if not marked, the default option would be 'Yes') Yes No

I/We would like to instruct the DP to accept all the pledge instructions in my/our account
Yes No
without any other further instruction from my/our end (if not marked, the default option be 'No')

Account Statement Requirement As per SEBI Regulation Daily Weekly Fortnightly Monthly

I / We request you to send Electronic Transaction-cum-Holding Statement at the email

Yes No
ID___________________________________________

I/We would like to share the email ID with the RTA Yes No

I/We would like to receive the Annual Report Physical / Electronic / Both Physical & Electronic Yes No
(Tick the applicable box. If not marked the default option would be in Physical)

Clearing Member Details (To be filled by CMs only)

Name of Stock Exchange

Name of CC/CH

Clearing Member Id Trading Member Id

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 Other Details
Gross Annual Income Range per annum :
Income Details
Up to Rs. 1,00,000 Rs. 1,00,000 to Rs. 5,00,000 Rs. 5,00,000 to Rs. 10,00,000

Rs. 10,00,000 to Rs. 25,00,000 Rs. 25,00,000 to Rs. 1,00,00,000 More than Rs. 1,00,00,000

Net worth as on (Date)

(Net worth should not be older than 1 year)

Private /Public Sector Government Service Business Professional Agriculture

Occupation
Retired Housewife Student Others (Specify)..................................................................

Please tick if applicable (for authorised signatories / Promoters / Partners / Karta / Trustees / Whole Time Directors)
Politically Exposed Person (PEP) or Related to Politically Exposed Person (RPEP) .

Any other information :

I / We have received and read the document of 'Rights & Obligation of BO-DP' including the schedules thereto and the
terms & conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force form time to
time. I / We declare that the particulars given by me/us above are true and to the best of my/our knowledge as on the date
of making this application. I/We further agree that any false / misleading information will render my account liable for
termination and suitable action.

Karta / Authorised Signatory Second Authorised Signatory

Name
Designation
Signature

(13/32)

Note : Please affix stamp/seal of HUF / Firm / Company etc. along with signatures on all the places in this Form.

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S. No. TARIFF STRUCTURE FOR DEPOSITORY SERVICES W.E.F. 22.05.2024
1 Annual Maintenance Charges (AMC)
SCHEME I : Annual AMC - Rs. 300/-
SCHEME II : Annual AMC- Rs 400/-* (1st Year Free AMC
a. Individual/ HUF
only for new accounts)
SCHEME III : One Time AMC- Rs1200/-** valid for 6 years
Up to ₹50,000 - No AMC
b. BSDA ₹50,001 to ₹2,00,000 - ₹100/-
Above ₹2,00,000 - ₹300/- / as per CDSL norms
c. NRI Rs 750/-
d. Non- Individual Rs 1000/- ***
2 Transaction Charges
a. Purchase (On Market/ Off Market) FREE

INDIVIDUAL+ HUF- 0.01 % of transaction value; minimum Rs 30/-

b. Sale (On Market/ Off Market - Slip Transaction)
NON- INDIVIDUAL - 0.02% of transaction value; minimum Rs. 30

INDIVIDUAL+ HUF - 0.002% of transaction value or Rs 15,

whichever is higher (subject to maximum Rs 200)
c. Sale (POA/DDPI)
NON- INDIVIDUAL - 0.02% of transaction value, minimum Rs.
15
d. BSDA (Basic Service Demat Account) Transaction 0.02% of transaction value; minimum Rs 50/-
3 Delivery Instruction Slip Book
a. First DIS Book FREE + Courier/ Postage Charges
b. Additional DIS Book Rs. 30/- per book (10 Slips) + Courier/ Postage Charges
4 Additional Statement Charges (one Statement per month will be provided free of cost vide E-mail)
a. By E Mail FREE
b. Physical Rs 10/ page + Courier
5 Dematerialization Rs. 50/- per certificate + Courier Postage Charges
A fee of Rs.12/- for every 100 securities or part thereof; subject to
maximum fee of Rs.6,00,000/-
6 Rematerialization or
a Flat fee of Rs.12/- per share certificate,
whichever is higher payable on confirmation of the request.
Instruction Failure/ Demat Rejection
7 Rs. 40/- per transaction
Charges
Pledge Creation/ unpledge / Invocation
8
Charges
Rs 20/- per request per ISIN
Margin Pledge/ Unpledge/Re-pledge of
9
funded stock
CUSPA : Pledge Creation/ unpledge /
10 Rs, 7/- per request per ISIN
Invocation Charges
11 KRA Charges in BSDA account Rs.80/-
12 Stamp Charges Payable Upfront Rs 140/-
13 Modification Charges (Online/ Offline) Rs.25/- per request
14 Cheque Bounce Charges As per Bank

GST as per prevailing rates will be charged extra on aforesaid Fees.

TERMS & CONDITIONS W.R.T. CHARGES:
• Scheme I, Annual Account Maintenance Charges will be charged upfront every year.
• * Scheme II, if Account is closed during the First year, AMC will be charged as per SCHEME I.
• **Scheme III includes Account Maintenance Charges for a period of 6 years (Rs. 1,200/- will be charged in 1st year (upfront) and Account Maintenance charge
for the next 5 years will be FREE). In case, if account is closed during the said period, the AMC will be charged as per SCHEME I
• For Non Individual account, ***Rs 1000 will be charged as an AMC and Rs 1000 credit balance is to be maintained by BO in their account.
• Courier/ postage charges will be Rs. 20/- per courier (wherever applicable) and Rs. 40/- per postage and Rs. 50/- (In case of Dematerialization Request-
upto 10 certificates)
• CAS charges: ONLINE via mail- Rs.2/month & OFFLINE via courier: Rs10/page per month + Courier
• Tariff structure is based on existing CDSL charges and Hem Securities Limited reserves the right to revise the tariff structure by giving notice of 30 days.
• Value of transaction will be in accordance with the rates provided by CDSL.
• In case of delay in the payment of charges, the demat account will be frozen for all operations till such period all dues are cleared and is subject to 30 days'
notice from the payment due date.
• Interest @ 12% p.a. will be charged on outstanding payment (above 30 days).
• Access to online Depository back office will be provided Free of Cost - Download the HEM- Back office App.
• Transaction and holding statement will be sent through E-Mail.
• Cheque/ DD/ NEFT should be issued in favour of “Hem Securities Limited” payable at Jaipur.
• The BO unconditionally authorizes Hem Securities Limited and has no objection in charging the depository services bill to their trading accounts maintained
with Hem Finlease Pvt. Ltd and vice versa.
• The DDPI charges (stamping/notary) will be Rs 140 OR as per actuals
Any service not quoted above will be charged separately.
 TARIFF SHEET

BROKERAGE STRUCTURE

CASH SEGMENT
Slab % Minimum
Brokerage Slab
First Leg Second Leg First Leg Second Leg

Delivery Based Not Applicable Not Applicable

Daily Square Up

DERIVATIVE SEGMENT : SLAB% FOR FUTURE

Future % Minimum
Brokerage Slab
First Leg Second Leg First Leg Second Leg

Daily Square Up

Settlement Square Up Same as above Same as above

DERIVATIVE SEGMENT : SLAB FOR OPTIONS

Option Minimum per lot
Brokerage Slab
First Leg Second Leg First Leg Second Leg

Daily Square Up

Settlement Square Up Same as above Same as above

GST

CHARGES

CM SEGMENT F&O SEGMENT CD SEGMENT

STT

TURN OVER CHARGES

STAMP DUTY

OTHER CHARGES

(i) Inter-Settlement Charges: Rs. 15/- Per Instruction/ Scrip.

(ii) Online Transfer of funds through Atom/ other Payment Gateway: Rs. 10/- per transaction
(iii) Minimum Brokerage per Contract Note Rs. 10

NOTE : All statutory charges will be levied as per applicable rates.

(12) Signature of Karta/Authorized Signatory (15/32)

 POLICIES & PROCEDURE

a) Policy for Penny Stock: A stock that trades at a relatively In case of exposure taken on the basis of shares margin the
low price and market capitalization. These types of stocks are payment is required to be made before the exchange pay in
generally considered to be highly speculative and high risk date otherwise it will be liable to square off after the pay in time
because of their lack of liquidity, large bid-ask spreads, small or any time due to shortage of margin.
capitalization and limited following and disclosure. Depend on c) Applicable brokerage rate : Brokerage will be charged
the market condition and RMS policy of the company RMS within the limits prescribed by SEBI/Exchange.
reserve the right to refuse to provide the limit in Penny stocks
and losses if any on account of such refusal shall be borne by d) Imposition of penalty / delayed payment charges
client only. Clients will be liable to pay late pay in/delayed payment
charges for not making payment of their payin/margin
b) Setting up client's exposure limits : The stock broker
obligation on time as per the exchange requirement/schedule
may from time to time impose and vary limits on the orders that
at the rate upto 2% per month.
the client can place through the stock broker's trading system
(including exposure limits, turnover limits, limits as to the The client agrees that the stock broker may impose fines /
number, value and/or kind of securities in respect of which penalties for any orders / trades / deals / actions of the client
orders can be placed etc.). The client is aware and agrees that which are contrary to this agreement / rules / regulations / bye
the stock broker may need to vary or reduce the limits or laws of the exchange or any other law for the time being in
impose new limits urgently on the basis of the stock broker's force, at such rates and in such form as it may deem fit.
risk perception and other factors considered relevant by the Further where the stock broker has to pay any fine or bear any
stock broker including but not limited to limits on account of punishment from any authority in connection with / as a
exchange/SEBI directions/limits (such as broker level/market consequence of / in relation to any of the orders / trades / deals
level limits in security specific/volume specific exposures / actions of the client, the same shall be borne by the client.
etc.), and the stock broker may be unable to inform the client e) The right to sell client's securities or close clients'
of such variation, reduction or imposition in advance. The positions, without giving notice to the client, on account
client agrees that the stock broker shall not be responsible for of non-payment of client's dues Without prejudice to the
such variation, reduction or imposition or the client's inability stock brokers other right (Including the right to refer the matter
to route any order through the stock broker's trading system to arbitration), the stock broker shall be entitled to
on account of any such variation, reduction or imposition of liquidate/close out all or any of the clients position without
limits. The client further agrees that the stock broker may at giving notice to the client for non payment of margins or other
any time, at its sole discretion and without prior notice, prohibit amounts including the pay in obligation, outstanding debts etc
or restrict the client's ability to place orders or trade in and adjust the proceeds of such liquidation/close out, if any,
securities through the stock broker, or it may subject any order against the clients liabilities/ obligations The client shall
placed by the client to a review before its entry into the trading ensure timely availability of funds/securities in form and
systems any may refuse to execute/allow execution of orders manner at designated time and in designated bank and
due to but not limited to the reason of lack of margin/securities depository account(s), for meeting his/her/its pay in obligation
or the order being outside the limits set by stock of funds and securities. Any and all losses and financial
broker/exchange/SEBI and any other reasons which the stock charges on account of such liquidations/ closing out shall be
broker may deem appropriate in the circumstances. The client charged to & born by the client. In cases of securities lying in
agrees that the losses, if any on account of such refusal or due margin account/client unpaid securities account (CUSA) and
to delay caused by such review, shall be borne exclusively by having corporate actions like Bonus, Stock split, Right issue
the client alone. We have margin based RMS system. Total etc, for margin or other purpose the benefit of shares due to
deposits of the clients are uploaded in the system and client received under Bonus, Stock split, Right issue etc will be given
may take exposure on the basis of margin applicable for when the shares is actually received in the stock broker
respective security as per VAR based margining system of the designated demat account. In case the payment of the margin
stock exchange and/or margin defined by RMS based on their / security is made by the client through a bank instrument, the
risk perception. Client may take benefit of “credit for sale” i.e. stock broker shall be at liberty to give the benefit / credit for the
benefit of share held as margin by selling the same by same only on the realization of the funds from the said bank
selecting Delivery option through order entry window on the instrument etc, at the absolute discretion of the stock broker.
trading platform, the value of share sold will be added with the Where the margin / security is made available by way of
value of deposit and on the basis of that client may take fresh pledge securities or any other property, the stock broker is
exposure. empowered to decline its acceptance as margin / security &/or

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to accept it at such reduced value as the stock broker may availability/shortage of margin as per our RMS policy
deem fit by applying haircuts or by valuing it by marking it to (available on our website www.hemsecurities.com) of the
market or by any other method as the stock broker may deem company. Clients introducing open position may be squared
fit in its absolute discretion. The stock broker has the right but off before market closing a the auto squared off/RMS. The
not the obligation, to cancel all pending orders and to existing position of the client is also liable to square off/close
sell/close / liquidate all open positions/securities/shares at the out without giving notice due to shortage of margin/ non
pre-defined square off time or when Mark to Market (M-T-M) making of payment for their payin obligation/outstanding
percentage reaches or crosses stipulated margin percentage, debts.
whichever is earlier. The stock broker will have sole discretion h) Temporarily suspending or closing a client's account
to decide referred stipulated margin percentage depending at the client's request On the request of the client in writing,
upon the market condition. In the event of such square off, the the client account can be suspended temporarily and same
client agrees to bear all the losses based on actual executed can be activated on the written request of the client only.
prices, the client shall also be solely liable for all and any During the period client account is suspended, the market
penalties and charges levied by the exchange(s). transaction in the client account will be prohibited. However
f) Shortages in obligations arising out of internal netting client shares/ledger balance settlement can take place. On
of trades Stock broker shall not be obliged to deliver any the request of the client in writing, the client account can be
securities or pay any money to the client unless and until the closed provided the client account is settled. If the client wants
same has been received by the stock broker from the to reopen the account in that case client has to again complete
exchange, the clearing corporation / clearing house or other the KYC requirement.
company or entity liable to make the payment and the client
i) Deregistering a client :-Notwithstanding anything to the
has fulfilled his/her/its obligations first.
contrary stated in the agreement, the trading member shall be
As per Internal Close Out policy of the Company, if a client entitled to terminate the agreement with immediate effect and
initiates a short position and thereafter fails to deliver the client account can be de-registered.
securities, then Auction of Market shortage will be carried out
(i) If the action of the client are prima facie illegal / improper or
by the exchange itself and if there is any internal shortage,
such as to manipulate the price of any securities or disturb
then it will be dealt as under:
the normal/proper functioning of securities or disturb the
1. Auction shall be in respect of internal shortages in capital normal/proper functioning of the market, either alone or in
market segment, physical settlement of equity derivatives. conjunction with others.
2. Clients are requested to kindly place the delivery of
securities within T+1 day, before 5 p.m. or else the same will (ii) If there is any commencement of a legal process against
be voluntarily auctioned. the client under any law in force;
3. In case the Voluntary Auction is not successful then the (iii) On the death/lunacy or other disability of the Client;
internal close out (as already existing) shall apply i.e. the first
priority will be given to Voluntary auction and only if required (iv) If the client being a partnership firm, has any steps taken
the internal closeout will be done thereafter. by the Client and/or its partners for dissolution of the
partnership;
4.In case where auction is successful but there is a settlement
shortage i.e. auction seller fails to deliver the securities on T+3 (v) If the Client suffers any adverse material change in
day, NSE Clearing shall conduct financial close out in his/her/its financial position or defaults in any other agreement
accordance with the extant procedures. with the Stock broker;
5. This is only a facility and no settlement guarantee shall be (vi) If there is reasonable apprehension that the Client is
provided. unable to pay its debts or the Client has admitted its inability to
6. There shall be a facilitation fees of 1.5% (1% NSE's fees + pay its debts, as they become payable;
0.5% company charges) on the value of security considering (vii) If the Client is in breach of any term, condition or covenant
the price of security on day prior to auction. of this Agreement;
g) Conditions under which a client may not be allowed to (viii) I f t h e C l i e n t h a s m a d e a n y m a t e r i a l
take further position or the broker may close the existing misrepresentation of facts, including (without limitation) in
position of a client relation to the Security;
We have margin based RMS system. Client may take (ix) If a receiver, administrator or liquidator has been
exposure upto the amount of margin available with us. Client appointed or allowed to be appointed of all or any part of the
may not be allowed to take position in case of non- undertaking of the Client;

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(x) If the Client have taken or suffered to be taken any action (k) Client Acceptance of Policies and Procedures stated
for its reorganization, liquidation or dissolution; hereinabove: I/We have fully understood the same and do
(xi) If the Client has voluntarily or compulsorily become the hereby sign the same and agree not to call into question the
subject of proceedings under any bankruptcy or insolvency validity, enforceability and applicability of any
law or being a company, goes into liquidation or has a provision/clauses this document any circumstances what so
receiver appointed in respect of its assets or refers itself to the ever. These Policies and Procedures may be amended /
Board for Industrial and Financial Reconstruction or under changed unilaterally by the broker, provided the change is
any other law providing protection as a relief undertaking; informed to me / us with through any one or more means or
(xii) If any covenant or warranty of the Client is incorrect or electronic mode. I/we agree never to challenge the same on
untrue in any material respect; any grounds including delayed receipt / non receipt or any
other reasons whatsoever. These Policies and Procedures
j) Inactive Client account: -Client account will be considered
shall always be read always be read along with the agreement
as inactive if the client does not trade for period of 12 months.
and shall be compulsorily referred to while deciding any
Calculation will be done at the beginning of every month and
dispute / difference or claim between me / us and stock broker
those clients who have not traded even a single time will be
before any court of law / judicial / adjudicating authority
considered as inactive, the shares/ credit ledger balance if any
including arbitrator / mediator etc.
will be transferred to the client within one week of the
identifying the client as inactive. The client has to make written
request for reactivation of their account and submit the
required documents.
Signature of Karta/Authorized Signatory (16/32)

CONSENT FOR THE RECEIPT OF

THE RIGHTS & OBLIGATIONS, RDD & THE GUIDANCE NOTE

I/We hereby give my/our consent to provide me/us the following documents in physical/ electronic mode:

a. Rights & Obligationsof stock broker, sub-broker/authorized person and client for trading on exchanges,
including Additional Rights & Obligations in case of Internet/ Wireless Technology based
Tradingalong withRights and Obligations of Beneficial Owner and Depository Participant as
prescribed by SEBI and depositories;(Annexure A)

b. Rights and Obligations of Members, Authorized Persons and Clients as prescribed by SEBI and
Commodity Exchanges ( Annexure-A)

c. Guidance Note detailing Do's and Don'ts for trading on stock exchanges; (Annexure A)

I/We acknowledge and declare that I/We have received, read and understood, acknowledged and agreed to the
content ofabove mentioned documents.

Further, I/Wehave also been informed that the standard set of mandatory documents is displayed for information
on the stock broker's designated website, i.e. www.hemsecurities.com

Place:

Date:

Signature of Karta/Authorized Signatory (17/32) Signature of Second Authorised Signatory

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 TERMS & CONDITIONS FOR RECEIVING SMS ALERTS FROM CDSL

Definitions:
In these Terms and conditions the terms shall have following meaning unless indicated otherwise:
1. "Depository" means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and
having its registered office at Marathon Furturex, A-Wing, 25th Floor, N M Joshi Marg, Lower Pearl, Mumbai 400013 and all its branch
offices and includes its successors and assigns.
2. 'DP' means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.
3. 'BO' means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be
opened with a depository as specified by the depository from time to time.
4. SMS means "Short Messaging Service"
5. "Alerts" means a customized SMS sent to the BO over the said mobile phone number.
6. "Service Provider" means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for
providing the SMS alerts to the BO.
7. "Service" means the service of providing SMS alerts to the BO on best effort basis as per these terms & conditions.

Availability :
1. The service will be provided to the BO at his/her request and at the discretion of the depository The service will be available to those
account holders who have provided their mobile numbers to the depository through their DP. The services may be discontinued for a specific
period / indefinite period, with or without issuing any prior notice for the purpose of security reasons or system maintenance or for such other
reasons as may be warranted. The depository may also discontinue the service at any time without giving prior notice for any reason
whatsoever.
2. The service is currently available to the BOs who are residing in India.
3. The alerts will be provided to the BOs only if they remain within the range of the service provider's service area or within the range forming
part of the roaming network of the service provider.
4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as
submitted at the time of registration / modification.
5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset,
on which the BO wants to receive the alerts from the depository. In case of change in mobile not intimated to the depository, the SMS alerts
will continue to be sent to the last registered mobile phone number. The BO agrees to Indemnify the depository for any loss or damage
suffered by it on account of SMS alerts sent on such mobile number.
Receiving Alerts :
1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such
number replaced and informed by the BO from time to time. Upon such registration / change, the depository shall make every effort to update
the change in mobile number within a reasonable period of time. The depository shall not be reasonable for any event of delay or loss of
message in this period.
2. The BO acknowledge that the alerts will be received only if the mobile phone is in 'ON' and in a mode to receive the SMS. If the mobile
phone is in 'Off' mode i.e. unable to receive the alerts then the BO may not get / get after delay any alerts sent during such period.
3. The BO also acknowledge that the readability, accuracy and timeliness of providing the service depend on many factors including the
infrastructure, connectivity of the service provider. The depository shall not be responsible for any non-delivery, delayed delivery or distortion
of the alert in any way whatsoever.
4. The BO further acknowledge that the service provided to him is an additional facility provided for his convenience and is susceptible to
error, omission and / or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the
depository and / or the DP immediately in writing and the depository will make best possible efforts to rectify the error as early as possible.
The BO shall not hold the depository liable for any loss, damages. etc. that may be incurred / suffered by the BO on account of opting to avail
SMS alerts facility.
5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the depository may
consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, e-mail address and mobile number for
marketing offers between CDSL and any other entity.
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6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account / unauthorized transfer of securities
from his BO account, immediately, which may come to his acknowledge on receiving SMS alerts. The BO send an email to CDSL at
complaints@cdslindia.com. The BO is advised not to inform the service provider about any such unauthorized debit to / transfer of securities
from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and
the depository.
7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO and the depository shall
not be under any obligation to confirm the authenticity of the person(s) receiving the alert.
8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availibility of the service in
any manner whatsoever
9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BO should
immediately inform the DP in writing.
Fees :
Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.
Disclaimer:
The depository shall make reasonable efforts to ensure that the BO's personal information is kept confidential. The depository does not
warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty
or representation of any kind in relation to the system and the network or their function or their performance or any loss or damage whenever
and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The
Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for
any unauthorized use or access to the information and/or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate
or erroneous use / misuse of such information by any third person.
Liability and Indemnity :
The depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorized access
to the information meant for the BO. In consideration of the depository providing the service, the Bo agrees to indemnify and keep safe,
harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and
expenses whatsoever which a depository may at anytime incur, sustain, suffer or be put to as a consequence of or arising out of interference
with or misuse, improper or fraudulent use of the service by the BO.
Amendments:
The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments
shall be binding on the BOs who are already registered as user of this service.
Governing Law and Jurisdiction :
Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in
Mumbai.
I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the
terms and conditions mentioned below. I/We consent to CDSL providing to the service provider such information pertaining to
account/transactions in my/our account as is necessary for the purpose of generating SMS Alerts by service provider, to be sent to the said
mobile number.
I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made
by the depository from time to time. I/We further undertake to pay fee/charges as may be levied by the depository from time to time.
I/We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs
would be required to take up the matter with their DP.
I/We am/are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the
depository for providing the service.

First Authorised Person/ Karta Second Authorized Person

Name

Signature with
Seal / Stamp
(18/32)
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Terms And Conditions for availing Transaction Using Secured Texting (TRUST) Service offered by CDSL

1. Definitions:
In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:
i. "Depository" means Central Depository Services (India) Limited (CDSL)
ii. TRUST means "Transactions Using Secured Texting" service offered by the Depository.
iii. "Service Provider" means a cellular service provider(s) with whom the Depository has entered / shall enter into an arrangement for
providing the TRUST service to the BO.
iv. "Service" means the service of providing facility to receive/give instructions through SMS on best effort basis as per the following
terms and conditions. The types of transaction that would normally qualify for this type of service would be informed by CDSL from time
to time.
v. "Third Party" means the operators with whom the Service Provider is having / will have an arrangement for providing SMS to the BO.
2. The service will be provided to the BO at his / her request and at the discretion of the depository provided the BO has registered for
this facility with their mobile numbers through their DP or by any other mode as informed by CDSL from time to time . . Acceptance of
application shall be subject to the verification of the information provided by the BO to the Depository
3. The messages will be sent on best efforts basis by way of an SMS on the mobile no which has been provided by the BOs. However
Depository shall not be responsible if messages are not received or sent for any reason whatsoever, including but not limited to the
failure of the service provider or network.
4. The BO is responsible for promptly informing its DP in the prescribed manner any change in mobile number, or loss of handset on
which the BO wants to send/receive messages generated under TRUST. In case the new number is not registered for TRUST in the
depository system, the messages generated under TRUST will continue to be sent to the last registered mobile number. The BO
agrees to indemnify the depository for any loss or damage suffered by it on account of messages sent on such mobile number.
5. The BO agrees that SMS received by the Depository from the registered mobile number of the BO on the basis of which instructions
are executed in the depository system shall be conclusive evidence of such instructions having been issued by the BO. The DP / CDSL
will not be held liable for acting on SMS so received.
6. The BO shall be responsible for submitting response to the 'Responsive SMS' within the specified time period. Transactions for
which no positive or negative confirmation is received from the BO, will not be executed except for transaction for deregistration.
Further, CDSL shall not be responsible for BOs not submitting the response to the said SMS within the time limit prescribed by CDSL.
7. The BO agrees that the signing of the TRUST registration form by all joint holders shall mean that the instructions executed on the
basis of SMS received from the registered mobile for TRUST shall be deemed to have been executed by all joint holders.
8. The BO agrees to ensure that the mobile number for TRUST facility and SMS alert (SMART) facility is the same. The BO agrees that
if he is not registered for SMART, the DP shall register him for SMART and TRUST. If the mobile number provided for TRUST is different
from the mobile number recorded for SMART, the new mobile number would be updated for SMART as well as TRUST.
9. BOs are advised to check the status of their obligation from time to time and also advise the respective CMs to do so. In case of any
issues, the BO/CM should approach their DPs to ensure that the obligation is fulfilled through any other mode of delivery of
transactions as may be informed / made available by CDSL from time to time including submission of Delivery Instruction Slips to the
DP .
10. The BO acknowledges that CDSL will send the message for confirmation of a transaction to the BO only if the Clearing Member
(registered by the BO for TRUST) enters the said transaction in CDSL system for execution through TRUST within prescribed time
limit. CDSL - DP Operating Instructions – September 2013 Page 2 of 2
11. The BO further acknowledges that the BO/CM shall not have any right to any claim against either the DP or Depository for losses, if
any, incurred due to non receipt of response on the responsive SMS or receipt of such response after the prescribed time period. In the
event of any dispute relating to the date and time of receipt of such response, CDSL's records shall be conclusive evidence and the
Parties agree that CDSL's decision on the same shall be final and binding on both Parties.
12. The BO may request for deregistration from TRUST at any time by giving a notice in writing to its DP or by any other mode as
specified by Depository in its operating instructions. The same shall be effected after entry of such request by the DP in CDSL system if
the request is received through the DP.

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 13. Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.
14. The BO expressly authorises Depository to disclose to the Service Provider or any other third party, such BO information as may be
required by them to provide the services to the BO. Depository however, shall not be responsible and be held liable for any divulgence
or leakage of confidential BO information by such Service Providers or any other third party.
15. The BO takes the responsibility for the correctness of the information supplied by him to Depository through the use of the said
Facility or through any other means such as electronic mail or written communication.
16. The BO is solely responsible for ensuring that the mobile number is not misused and is kept safely and securely. The Depository will
process requests originated from the registered Mobile as if submitted by the BO and Depository is not responsible for any claim made
by the BO informing that the same was not originated by him.
17. Indemnity: In consideration of providing the service, the BO agrees that the depository shall not be liable to indemnify the BO
towards any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever as a consequence of or arising
out of interference with or misuse, improper or fraudulent use of the service by the BO.
18. Disclaimer:
Depository shall be absolved of any liability in case:-
a. There is loss of any information during processing or transmission or any unauthorized access by any other person or breach of
confidentiality.
b. There is any lapse or failure on the part of the service providers or any third party affecting the said Facility and that Depository
makes no warranty as to the quality of the service provided by any such service provider.
c. There is breach of confidentiality or security of the messages whether personal or otherwise transmitted through the Facility.

Signature of Karta/Authorized Signatory (19/32)

SMS Alert Facility and / or TRUST facility

SMS Alert Facility Mobile No. +91 ___________________________________________

Refer to Terms & Conditions YES
[(Mandatory, if you are giving Power of Attorney (POA/DDPI)]
given as Annexure-2.4 NO
If POA/DDPI is not granted you do not wish to avail of this facility, cancel this option.).

Transactions Using I wish to avail the TRUST facility the mobile number registered for SMS Alert Facility. I have read and
Secured Texting Facility understood the Terms & Conditions prescribed by CDSL for the same.
(TRUST). Refer to Terms
YES
and Conditions Annexure-2.6
NO
I 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/We 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.

(19) Signature of Karta/Authorized Signatory (20/32)

 Common Registration Form for availing SMS Alert and /or TRUST facility
To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower,
M. I. Road, Jaipur-302001 Date ....................................

Dear Sir/Madam,
I/We wish to avail the following facility/ies provided by the depository on my/our mobile number as provided below subject to the terms
and conditions as specified by CDSL

a. SMART-SMS alert facility

b. TRUST- TRansaction using Secured Texting facility

(please note that SMS alert facility is mandatory if TRUST facility is opted for)

BOID 1 2 0 1 7 7 0
(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

Client Name :________________________________________________________________________________

Mobile Number on which

message are to be sent +91
(Please write only the mobile number without prefixing country code or zero)

(Please write only the mobile number without prefixing country code or zero)
(Existing users registered for SMS alerts:- Please note that if the mobile number for TRUST is different than the registered
mobile number for SMS alert, the new mobile number will be updated for SMS alert also. )
The Mobile number is registered in the name of :____________________________________________________________________

E-mail ID :__________________________________________________________________________________________________

(Please write only ONE valid email ID on which communication; if any, is to be sent)

I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is
necessary for the purpose of availing the said facility.
I/We have read and understood the terms and conditions prescribed by CDSL for the said facility/ies and agree to abide by them and
any amendments thereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by
the depository from time to time.

Signature of Karta/Authorized Signatory (21/32)

Details of Politically Exposed Persons (PEP) / Related to Politically Exposed Person (RPEP).
[For Non-Individual]
Name of Holder ___________________________________________ PAN of the Holder________________________

Sr. Name of the Authorized signatories / Promoters/ Relation with the holder (i.e. Please tick the
No. Partners / Karta / Trustees / Whole Time Dierctors promoters, whole time directors etc. relevant option.
PEP
RPEP
PEP
RPEP
PEP
RPEP
PEP
RPEP
PEP
RPEP

Name & Signature of the Authorised Signatories Date ______/___/____ PEP : Politically Exposed Person RPEP: Related to politically Exposed Person

(20) Signature of Karta/Authorized Signatory (22/32)

 SIMPLE DOs and DONT's
1. Verify your transaction statement carefully for all debits and credits in your account. In case of any
unauthorized debit or credit, inform your DP or CDSL.

2. Intimate any change of address or change in bank account details to your DP immediately.

3. While accepting the Delivery Instruction Slip (DIS) book from your DP, ensure that your BO ID is
pre-stamped on all the pages along with the serial numbers.

4. Keep your DIS book safely and do not sign or issue blank or incomplete DIS slips.

5. Strike out the empty space, if any, in the DIS, before submitting to DP.

6. For market transactions, submit the DIS ahead of the deadline time. DIS can be issued with a future execution
date.

7. The demat account has a nomination facility and it is advisable to appoint a nominee to facilitate your
heirs in obtaining the securities in your demat account, on completion of the necessary procedures.

8. To open and operate your demat account, copy of PAN card of all account holders is to be submitted to
the DP along with original PAN card, for verification.

9. Register for CDSL's SMART (SMS Alerts Related to Transactions) facility. If any unauthorized debit
is noticed, the BO should immediately inform CDSL and the Main DP, in writing. An email may be sent to
CDSL at complaints@cdslindia.com.

10. Register for CDSL's Internet based facility "easi" to monitor your demat account yourself. Contact your
DP or visit CDSL's website: www.cdslindia.com for details.

11. In order to receive all the credits coming to your demat account automatically, you can give a one-time,
standing instruction to your DP.

12. Before granting Power of Attorney to anyone, to operate your demat account, carefully examine the
scope and implications of powers being granted.

Signature of Karta/Authorized Signatory (23/32)

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. Through 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 offical seal.

2. Signatures should be preferably in black ink.

3. Details of the Names, Address, Telephone Number(s), etc., of the Magistrate / Notary Public / Special Executive
Magistrate / Special Executive Officer are to be provided in case of attestation done by him.

4. In case of additional signatures (for accounts other than individuals), separate annexures should be attached to the
account opening form.

5.In case of applications containing a Power of Attorney, the relevant Power of Attorney or the self-certified 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.

(21) Signature of Karta/Authorized Signatory (24/32)

 RUNNING ACCOUNT AUTHORISATION
VOLUNTARY

To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower, Date ....................................
M. I. Road, Jaipur-302001

Dear Sir,

I/We will be dealing through you as client in Capital Market and/ or Future & Option segment and/ or Currency
Derivatives at BSE/NSE. In order to facilitate ease of operations and upfront requirement of margin for trade.I/We
authorize you as under:

1. I/We request you to maintain running balance in my account & retain the credit balance in any of my account
and to use the unused funds towards my margin/pay-in/other-future obligation(s) at any segment(s) of the
Exchange/ Clearing Corporation, unless I instruct you otherwise.
2.I/We request you to retain with you for my margin/pay-in/other-future obligation(s) at any segment(s) of the
Exchange/ Clearing Corporation, unless I/We instruct you to transfer the same to my account.
3. I/We request you to settle my fund account once in every calendar Quarter or /Once in a calendar Month or
such other higher period as allowed by SEBI/Stock Exchange time to time except the funds given towards
collaterals/ margin in form of Bank Guarantee and /or Fixed Deposit Receipts.
4. In case I/We have an outstanding obligation on the settlement date, you may retain the requisite funds towards
such obligation and may also retain the funds expected to be required to meet margin obligation for next 5 trading
days, calculated in the manner specified by the exchanges..
5. I/We shall bring any dispute arising from the statement of account or settlement so made to the notice of the
broker preferably within seven working days from the date of receipts or statement, as the case may be.
6. I/We confirm you that I/We can revoke the above mentioned authority anytime by giving notice in writing to you.
7. If I/ We have credit balance of Rs. 10000 or less that may automatically be retained and transfer of funds may
not be made as per SEBI/ Exchange guidelines.

I/We request you to settle my funds account.

Once in every :-
Calendar Quarter
Calendar Month

Thanking you
Yours faithfully,

Client Name ____________________________________

Trading Code ____________________________________

Signature of Karta/Authorized Signatory (25/32)

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 AUTHORISATION FOR ELECTRONIC CONTRACT NOTE / STATEMENTS
VOLUNTARY

To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower, Date ....................................
M. I. Road, Jaipur-302001

Subject : Issuance of Electronic Contract Notes / Statements in Electronic Form (Trading/Demat A/c)
Dear Sir,
In reference to our dealing with you as a client for trading in the Capital Market and/or Futures & Options Segment
and/or Currency Derivatives at BSE/NSE, We hereby give our consent to receive electronic contract notes
(ECN), financial statements, margin statements or any other reports/notices in electronic mode from Hem
Securities Ltd. (HSL) and/or Hem Finlease Pvt. Ltd. (HFPL) on our below mentioned e mail id.
We further give our consent to receive bills, ledgers, transaction statements, monthly/quarterly demat statement
of accounts/holding statement(s)/bills, or any other reports/notices in electronic mode on our below mentioned e
mail id for the Depository services we are availing through Hem Securities Ltd.- DP.
We confirm that the e mail address has been generated by us.
1……………………………………………………………………………………………………
2 ……………………………………………………………………………………………………
We further hereby agree that the HSL/HFPL shall fulfill the legal obligation by sending the mentioned documents
electronically to our e-mail id. We also agree that non-receipt of bounced mail notification by you shall amount to
delivery at our email id(s).
We agree that the log reports of your dispatching software shall be a conclusive proof of dispatch of documents to
us and such dispatch shall be deemed to mean receipt by us and shall not be disputed by us on account of any
non receipt/ delayed receipt for any reason whatsoever.
We also undertake to check the ECN/Statement and other documents and bring the discrepancies to your notice
within the time period as specified by the regulatory authorities. Our non-verification or not accessing the
ECN/Statement and other documents on regular basis shall not be a reason for disputing the same at any time.
We understand and agree that we shall intimate any change in the email id mentioned herein through a physical
letter to you. Whenever we want to discontinue the said facilities, We shall inform to HSL/HFPL immediately in
writing.
We further agree that HSL/HFPL will not be held responsible for non receipt of documents sent via electronic
delivery due to change incorrect e-mail address as mentioned or any other reason which inter alia include
technical reasons or malfunction of our computer system/server/internet connection etc. Further we agree and
undertake to indemnify HSL/HFPL, that they will not be held liable/ responsible for any losses, claims damages,
cost and liabilities etc. caused to us due to misuse of information or pursuant to any litigation cases, complaints,
actions, etc that may arise in future on account of our above authorization request.

OurTrading code is ___________________________

Our BO ID ______________________________

First/Authorized Signatory/Karta Second /Authorized Signatory

Name

Signature
with Stamp/ Seal

(26/32)

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 LETTER OF AUTHORITY
VOLUNTARY

To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower, Date......................................
M. I. Road, Jaipur-302001
Dear Sir,

Subject: Letter of Authority -CASH/F&O / Currency Derivatives of BSE/NSE

We shall be dealing in securities with you at BSE Limited (Bombay Stock Exchange), National Stock Exchange of India Ltd. (NSE) in Cash, F&O,
Currency and in order to facilitate ease of operations, We authorise you as under:
1. We authorise you to setoff outstanding in any of my accounts against credits available or arising in any other accounts maintained with you
irrespective of the fact that such credits in the accounts may pertain to transactions in any segment of the Exchange or in any other exchanges and/or
against the value of cash margin or collateral shares provided to you by us.
2. We hereby authorise you not to provide me/us Order Confirmation / Modification / Cancellation Slips and Trade Confirmation Slips to avoid
unnecessary paper work. We shall get the required details from contract notes issued by you.
3. We hereby authorise you to keep all the securities which we give you in margin including the payout of securities received by us for meeting margin /
other obligation in stock exchange or for giving the same as margin to the Stock Exchange or otherwise.
4. We request you to retain credit balance in any of our account and to use the idle funds towards our margin/future obligations of Exchange unless we
instruct you otherwise. We also authorize you to debit the necessary demat charge from time to time, for keeping the shares in your Client Unpaid
securities Account (CUSA) on our behalf. We also authorise you to debit the financial charges upto@ 2% p.m. for the debit balances if any, in our
account and not settled as per the exchange requirements.
5. We request you to consider our telephonic instructions for order placing/order modification/order cancellation as a written instruction and give us all
the confirmation on telephone unless instructed otherwise in writing. We are getting required details from contract not issued by you.
6.Trading of all Exchanges is in Electronic Mode, based on VSAT, leased line, ISDN, Modem and VPN, combination of technologies and computer
systems to place and route orders. We understand that there exists a possibility of communication failure or system problems or slow or delayed
response from system or trading halt, of any such other problem/glitch whereby not being able to establish access to the trading system/ network,
which may be beyond your control and may result in delay in processing or not processing buy or sell Orders either in part or in full. We agree that we
shall be fully liable and responsible for any such problems.
7. We are agreeable for inter-settlement transfer of securities towards settlements.
8. We are agreeable for & authorise you to with hold funds pay-out towards all the applicable margins and debits.
9. All fines/penalties and charges levied upon you due to our acts/deeds or transactions may be recovered by you from our account.
10. We hereby authorize you to send me SMS alerts on my mobile number for Trade confirmations, research calls, investment ideas or any other
information etc. including all commercial communication even though we are registered or may register with National Do Not Call Registry established
under the Telecom Unsolicited Commercial Communications Regulations, 2007 or registered or may register under the National Customer Preference
Register established under new regulation viz the Telecom Commercial Communications Customer Preference Regulations, 2010.
11. We have a Trading as well as depository relationship with Hem Finlease Pvt. Ltd. & Hem Securities Ltd. Please debit the charges relevant with
depository services from our trading account. We also agree to maintain the adequate balance in our trading account / pay adequate advance fee for
the said reasons.
12. We hereby confirm that We have read & understood the provisions of Prevention of Money Laundering Act and will comply with these provisions.
13.We Confirm you, that we can revoke the above mentioned authority at any time by giving notice in writing to you.
Yours faithfully,
Client Name ____________________________

Trading Code ___________________________

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Signature of Karta/Authorized Signatory (27/32)
 INTRADAY TRADING FACILITY (AUTO SQUARE OFF LETTER)
VOLUNTARY
To,
Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower,
M. I. Road, Jaipur-302001 Date ....................................

Dear Sir,
I/ We request you to grant me/us higher trade limit for executing intra-day trades at permitted stock exchange(s).
I/We agree and undertake to square-off my/ our open intraday trades on the same day any time before 20 minutes
of normal market close or such other time as may be informed to me/us through email or otherwise. In the event of
my/our failure to square off all outstanding intraday trades by the predefined time or such other time as may be
intimated to me/us from time to time, you are authorized to cancel all pending intraday orders and to square-off
my/our open intraday position on the same day at market rate at your discretion.
Notwithstanding the above, I/we agree that if the mark to market losses on my/our cash positions and/ or F&O and/
or Currency Derivative positions reaches the specified percentage of margin deposit, as may be intimated from
time to time, the entire outstanding positions in cash, derivative, currency segment may be closed /squared up by
you on occurrence of such event.
If due to power failure, connectivity failure, circuit breakers, lack of market depth or any other reason, my/our open
trade is not square-off on the same day, you may square-off the same on the next trading day at market rate at your
discretion.
I/ We agree that in all the above instances the resulting loss and penalty chargeable by you or stock exchanges, if
any, shall be fully borne by me/us.

with Thanks & Regards,

Client Name __________________________________

Trading Code __________________________________

Signature of Karta/Authorized Signatory (28/32)

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 Letter for Securities Trading using Internet & Wireless Technology
VOLUNTARY

To,
Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower,
M. I. Road, Jaipur-302001 Date ....................................

Sub: Securities trading using Internet & wireless technology (incl. trading through mobile application).

Sir,

I/ we ____________________________________________________ registered as your client having trading

code -____________________wish to trade through Internet & wireless technology (including trading through
mobile application) and have executed the trading member and client agreement for the purpose of trading in the
capital market segment , Futures & Options Segment , Currency Derivatives segment of BSE Limited (Bombay
Stock Exchange), National Stock Exchange Limited of India Limited. (NSE).

I/we am / are interested in carrying securities trading through use of Internet & wireless technology which shall
include devices such as mobile phone, PC's & laptop with data card etc. using internet protocol (IP) and /or through
mobile application.

I/we understand that the terms and conditions applicable to internet based trading will also be applicable to
securities trading through use of wireless technology. I/ we am/are made aware by you regarding all the possible
risks including risk of misuse and unauthorized use of username and or password by a third party and the risk of a
person hacking into our account on your ITORS system and , responsibilities and liabilities associated with
securities using Internet & wireless technology .

I/we shall be fully liable and responsible for any and all unauthorized use and misuse of our password and/ or
username and also for any and all acts done by any person through your ITORS system on our username in any
manner whatsoever.

I/we hereby confirm you to send my/ our username and password on my/ our registered e-mail
address______________________________________ and therefore request you to enable me/ us for carrying
securities trading through use of Internet & wireless technology (Including trading through mobile Application)

With thanks and regards

Client Name ____________________________________

Trading Code ___________________________________

Signature of Karta/Authorized Signatory (29/32)

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 FORMAT OF DECLARATION BY KARTA AND ALL CO-PARCENERS IN HUF ACCOUNT

To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower,
M. I. Road, Jaipur-302001 Date ....................................

Dear Sir,
With regard to Trading Account & Demat Account______________________________________________
maintained in the name ________________________________________________________________
address ____________________________________________________________________________
We the following members, being the co-parceners in the HUF account do here by give our consent that the
said Karta, viz ____________________________________________ would operate above mentioned
BO/Trading account as far as shares transaction of the HUF account is concerned.
We further declare and authorize you to recognize the beneficiary account no.
_________________________with depository ___________________________ opened in the name of
the undersigned who is the Karta of the HUF for the purpose of completing the share transfer obligation
pursuant to the trading operations. We agree and understand that this is to facilitate the operation of above
trading account. The transfer made in the above beneficiary account shall be to complete discharge of
obligation in respect of trades executed in the above trading account.

Details of HUF and all its co-parceners

S.no. Name of Member Date of Birth Gender Relationship with Karta Signature

I here by state that details mentioned above are true and any change would be intimated in writing.

Title Of HUF _____________________________________________

(31/32) Signature of Karta

(with HUF stamp)
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 Common E-mail ID / Mobile Number of Authorized Signatory/Karta

To
Hem Securities Ltd. / Hem Finlease Pvt. Ltd.
203, Jaipur Tower, M. I. Road, Date .................................
Jaipur-302001

We hereby declare that the Mobile Number and/or Email ID given in the Account Opening Form are/is of the Authorised Signatory/ Karta. We do
not have any objection, if the same Email ID and/or Mobile Number is used by you for sending any Document and Information.
Mobile No. _________________________________ E-mail ID __________________________________________________

S. No. Name Trading Code Demat Account No. Relationship Signature

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1.

2.

3.

4.

5.

Client Name : _________________________

Trading Code : _________________________ (31/32) Signature of Karta/Authorized Signatory

 FATCA & CRS Declaration - Non Individual
(For FATCA Instruction & Definition please visit www.hemsecurities.com/downloads)

PAN Trading DP Code

Name

Please tick the applicable tax resident declaration-

I. Is "Entity" a tax resident of any country other than India Yes No
(If yes. please provide country(ies) in which the entity is a resident for tax purposes and the associated Tax ID number below.)
Sr. Country Tax Identification Number Identification Type
No. (TIN or Other, please specify)

1.

2.

3.

In case Tax Identification Number is not available. kindly provide its functional equivalent.
In case TIN or its functional equivalent is not available, please provide Company Identification number or Global Entity Identification Number or GIIN, etc.

In case the Entity’s Country of Incorporation / Tax residence is U.S. but Entity is not a Specified U.S. Person, mention Entity’s expemption code here

PART A (to be filled by financial Institutions or Direct Reporting NFEs)

1. We are a,
GIN
Financial Institution
(Refer I of Part C) Note: If you do not have a GIN but you are sponsored by another entity, please provide your sponsor’s
or GIN above and indicate your sponsor’s Name below
Direct reporting NFE
(Refer 3(vii) of Part C) Name of sponsoring entity _____________________________________________________________
(please tick as appropriate) ___________________________________________________________________________________

GIN not available (please tick as applicable) Applied for Not obtained - Non-participating FI
Not required to apply for - please specify 2 digits sub-category (Refer I A of Part C)
PART B (please fill any one as appropriate “ to be filled by NFEs other than Direct Reporting NFE’s”)
1 Is the Entity a publicly traded company (that is, a company (If yes, please specify any one stock exchange on which the stock is regularly traded)
Yes
whose shares are regularly traded on an established
securities market) (Refer 2a of Part C) Name of Stock exchange_______________________________________________________
2 Is the Entity a related entity of a publicly traded company Yes (If yes, please specify name of the listed company and one stock exchange on which the stock is regularly traded)
( a company whose shares are regularly traded on an
Name of listed company________________________________________________________
established securities market) (Refer 2a of Part C)
Nature of relation: Subsidiary of the Listed Company or Controlled by a Listed Company
Name of Stock exchange_______________________________________________________
3 Is the Entity an active NFE (Refer 2c of Part C) Yes Nature of Business__________________________________________________
Please specify the sub category of Active NFE (Mention code - refer 2c of Part C)
4 Is the Entity a passive NFE (Refer 3 (ii) of Part C) Yes Nature of Business__________________________________________________
UBO Declaration (Mandatory for all entities except, a Publicly Traded Company or a related entity of Publicly Traded Company)

Category (Please tick applicable category): Unlisted Company Partnership Firm Limited Liability Partnership Company
Unincorporated association / body of individuals Public Charitable Trust Religious Trust Private Trust

Others (please specify_______________________________________________)

Please list below the details of controlling person(s), confirming ALL countries of tax residency / permanent residency / citizenship and ALL Tax Identification Numbers for EACH
controlling person(s). (Please attach additional sheets if necessary)
Owner-documented FFI’s should provide FFI Owner Reporting Statement and Auditor’s Letter with required details as mentioned in Form W8 BEN E (Refer 3(vi) of Part C)

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Details UBO1 UBO2 UBO3

Name of UBO

UBO Code (Refer 3 (iv) (A) of Part C)

Company of Tax residency*

PAN*

Address

Zip Zip Zip

State: State: State:

Country: Country: Country:
Residence Business Residence Business Residence Business
Address Type
Registered office Registered office Registered office
Tax ID*
Tax ID Type

City of Birth
Country of birth
Service Business Service Business Service Business
Occupation Type
Others Others Others
Nationality
Father's Name
Gender Male Female Others Male Female Others Male Female Others
Date of Birth DD/MM/YYYY DD/MM/YYYY DD/MM/YYYY
$
Percentage of Holding (%)

* To include US, where controlling person is a US Citizen or green card holder

'If UBa is KYC compliant, KYC proof to be enclosed. Else PAN or any other valid identity proof must be attached. Position I Designation like Director
I Settlor of Trust I
Protector of Trust to be spedfed wherever applicable.
"In case Tax Identification Number is not available, kindly provide functional equivalent
$ Attach valid documentary proof like Shareholding pattern duly self attested by Authorized Signatory I Company Secretary

DECLARATION
I have read and understood the information requirements and the Terms & Conditions mentioned in this Form (read along with
FATCA & CRS instructions) and hereby confirm that the information provided by me on this Form is true, correct and complete. I
hereby agree and confirm to inform M/s.Hem Securities Ltd. / Hem Finlease Pvt. Ltd. for any modification to this information
promptly.
I further agree to abide by the provisions of the scheme related documents inter alia provisions of FATCA & CRS on Automatic
Exchange of Information (AEOI).
Name

Designation

Date :
Sign here: (I)
Place :
Signature of Karta/Authorized Signatory (32/32)
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To,
Hem Securities Limited
203/215, Jaipur Tower, M. I. Road, Jaipur-302001

OPTION FORM FOR ISSUE OF DIS BOOKLET

❑OPTION 1:

I / We require you to issue Delivery Instruction Slip (DIS) booklet to me/us immediately on opening my/ our
CDSL account through I / We have issued a DDPI in favour of Hem Finlease Private Limited for executing
delivery instructions for settling stock exchange trades (Settlement related transactions) effected through
such Clearing Member.
OR

❑OPTION 2 :
I / We do not require the Delivery Instruction Slip (DIS) for the time being. Since I / We have issued a DDPI in
favour of Hem Finlease Private Limited 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 my/our request at any later day.

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 Demat Debit and Pledge Instruction
To all to whom these Presents shall come I/we
Name Address
1. _______________________________ _______________________________________________________
2. _______________________________ _______________________________________________________
3. _______________________________ _______________________________________________________
Whereas I/ We hold a Beneficiary Account No. ____________________________ (BO- ID) with Central Depository Services
(India)Limited, through Hem Securities Limited, 203, Jaipur Tower, M.I. Road, Jaipur – 302001 (Rajasthan), having SEBI
Registration No.IN-DP-CDSL-568-2021.
And Whereas I/ We am /are an investor engaged in buying and selling of Securities/Commodities through Hem Finlease
Private Limited, a member of The National Stock Exchange of India Ltd. (NSE) & BSE Limited (Bombay Stock Exchange) &
Multi Commodity Exchange of India Limited (MCX) having SEBI Registration No. INZ000167734
NOW THESE PRESENTS WITNESSTH That I/ We the above named do hereby nominate, constitute, and authorize Hem
Finlease Private Limited, 203, Jaipur Tower, M.I. Road, Jaipur – 302001 (Rajasthan) to perform the following functions on my/
our behalf to:
S.No. Purpose Signature of Client *
st
1. Transfer of securities held in the aforesaid beneficial owner accounts towards Stock Karta/ 1 Authorised Signature
Signatory
Exchange related deliveries / settlement obligations arising out of trades executed by Co-Parceners / 2 nd

me/us on the National Stock Exchange of India Ltd. (NSE) or BSE Ltd. (Bombay Stock Authorised Signatory
Exchange) through Hem Finlease Private Limited. Co-Parceners / 3rd
Authorised Signatory
Pledging / re-pledging of securities in favour of trading member (TM) / clearing member Karta/ 1stAuthorised
2. Signatory Signature
(CM) for the purpose of meeting margin requirements of the clients in connection with
Co-Parceners / 2nd
the trades executed by Me/us on the National Stock Exchange of India Ltd. (NSE) or Authorised Signatory
BSE Ltd. (Bombay Stock Exchange) or Multi Commodity Exchange of India Limited Co-Parceners / 3rd
(MCX) through Hem Finlease Private Limited. Authorised Signatory
Karta/ 1stAuthorised
3. Mutual Fund transactions being executed on Stock Exchange order entry platforms Signatory Signature
Co-Parceners / 2nd
Authorised Signatory
rd
Co-Parceners / 3
Authorised Signatory
Karta/ 1stAuthorised
Signature
4. Tendering shares in open offers through Stock Exchange platforms Signatory
Co-Parceners / 2nd
Authorised Signatory
rd
Co-Parceners / 3
Authorised Signatory
Our Designated Demat account/CM ID
Clearing Member ID No. M51081 (NSE, BSE), 56905 (MCX), Client Securities Margin Pledge Account No.: 1201770101261327,
Pool Account No. 1201770100000061, Early Payin Account No.1100001000024373 (BSE), 1100001100015348 (NSE), Client
Securities Margin Funding Account No - 1201770101261561, Pool Account (SLBS) 1201770101272871, Client Securities Margin
Pledge Account No (MCX): 1201770101317582. Early Payin Account No (SLBS) 1100002300000883
I/ We further agree and confirm that the powers and authorities conferred by this DDPI shall continue untilit is revoked (without notice)
in writing by me and that the said revocation shall be effective from the date on which the revocation notice is received at office at Hem
Finlease Private Limited, 203, Jaipur Tower, M.I. Road, Jaipur- 302001 (Rajasthan).
Witness:
Name Address Signature

Hem Finlease Private Limited

Authorised Signatory
203, Jaipur Tower, M.I. Road, Jaipur (32)
* The same may be eSigned or signed physically Date: _________________
 Annexure A
Most Important Terms and Conditions (MITC)
(For non-custodial settled trading accounts)
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.

Signature of Client
 FORMAT OF BOARD RESOLUTION
(On the Letter Head of Company)
CERTIFIED TRUE COPY OF THE BOARD RESOLUTION PASSED BY THE BOARD OF DIRECTORS OF THE
COMPANY IN ITS MEETING HELD ON____________ (DATE) AT THE REGISTERED OFFICE OF THE
COMPANY AT__________________________________ (ADDRESS) AND DULY RECORDED IN THE
MINUTE BOOKS OF THE COMPANY.
“RESOLVED THAT having regard to the objects of the company and to the operations of the company and its future
plans, the Company do open a Demat Account and a Trading Account with HEM SECURITIES LTD. and HEM
FINLEASE PVT. LTD. for dealing in shares and securities on the Capital Market and Derivative Segment of BSE
Limited (Bombay Stock Exchange) & National Stock Exchange of India Ltd. (NSE) in the name and style of
____________________________(name of the company).”
“FURTHER RESOLVED THAT Mr._______________ is hereby authorized to negotiate and finalize the terms and
conditions and completing the formalities and to sign and execute necessary forms and KYC disclosures and
agreements as might be required for the purpose of opening the demat and the trading account as aforesaid and
that he is also authorized to operate the said accounts for and on behalf of the Company”.
“FURTHER RESOLVED THAT a certified copy of the said resolution be communicated to Hem Securities Ltd. and
Hem Finlease Pvt. Ltd. together with the specimen signature of the aforesaid person authorized”.
SPECIMEN SIGNATURE OF PERSON (S) AUTHORISED

AT
Name Signature
______________________ ____________________

______________________ ____________________

CERTIFIED TRUE COPY

M
________________________
(Signature of Chairman/Director along with Company Seal)
R

FORMAT OF DECLARATION TO BE GIVEN BY PARTNERSHIP FIRM

ON LETTER HEAD OF THE FIRM
FO

To,
Hem Securities Ltd./ Hem Finlease Pvt. Ltd.
Regd. Off. : 203, Jaipur Tower,
M. I. Road, Jaipur-302001 Date ....................................
Dear Sir,
With regard to the objects of the Partnership Firm and to the operations of the Firm and its future plans, the Firm do
open a Demat Account and a Trading Account with HEM SECURITIES LTD. and HEM FINLEASE PVT. LTD. for
dealing in shares and securities on the Capital Market and Derivative Segment of BSE Limited (Bombay Stock
Exchange) & National Stock Exchange of India Ltd. (NSE) in the name and style of
_________________________ (name of the firm).
We authorise Mr._____________________ one of the partner in the firm to negotiate and finalize the terms and
conditions and completing the formalities and to sign and execute necessary forms and KYC disclosures and
agreements as might be required for the purpose of opening the demat and the trading account as aforesaid and
that he is also authorized to operate the said accounts for and on behalf of the Firm.
NAME AND SIGNATURES OF ALL THE PARTNERS

Name of Partners Signature

______________________ ____________________

______________________ _____________________
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 Hem
Trade
App

100% Paperless
Account Opening Mobile Trade App

“Download the Hem Tradestar, Hem Mutual Funds and the Hem Back Office applications from the Play store/ App Store now”

Hem Mutual Fund Hem TradeStar App Hem Back Office

Contact Details : Research (Whatsapp & Telegram) 7976732684, Back Office : (Whatsapp) 9358994497
For any other queries call us at 0141-4051000, website : www.hemsecurities.com
Registered Office : 203, Jaipur Tower, M. I. Road, Jaipur-302001 • Phone : 0141-4051000
Mumbai Office : 904, A-Wing, Naman Midtown, Senapati Bapat Marg, Prabhadevi Station, Lower Parel, Mumbai-13