WIXLIB

CURRENCY FUTURESAND OPTIONS

Currency Futuresand Options(for Corporates, Firmsand HUFs)

INDEX OF DOCUMENTS(For Corporates, Partnership Firms, HUFs & others)Sl. no. Name of the DocumentBrief Significance of the DocumentPage no.MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES1Account Opening FormA. KYC form – the document captures the basicinformation about the constituent and contains aninstruction/check list.B. The document also captures additional informationabout the constituent that is relevant to tradingaccounts and contains an instruction/check list.362Rights and ObligationsThe document contains the Rights & Obligations of stockbroker/trading member, sub-broker and client for tradingon exchanges (including additional rights & obligationsfor internet/wireless technology-based trading).103Risk Disclosure Document(RDD)The document details risks associated with dealing in the 18currency derivative market.4Guidance noteThe document details do’s and don’ts for trading onexchanges, for the education of investors.225Policies and ProceduresThe document contains significant policies andprocedures followed by the trading member, which atrading member is required to disclose to the client246Tariff sheetThe document details the rate/amount of brokerage andother charges levied on the client for trading on stockexchanges (to be added by the stock broker).28VOLUNTARY DOCUMENTS PROVIDED BY ICICI BANK LIMITED7Format of Debit MandateAn instruction from the client that allows the trading30member to debit from the client’s current account tomake payin, payments of maintenance margin, additionalmargin etc.to Stock Exchange(s)8Indemnity relating toinstructions given by Fax,Telephone and other formsof Electronic CommunicationThis is an undertaking from the client to ICICI Bank onthe reliance placed upon any instruction/order receivedfrom the client via fax, telephone and other forms ofelectronic communication9Board Resolution to enterContains authorization given by the company to specificinto Derivative transactions, persons to deal on its behalfwith ICICI Bank Ltd3410Partnership letter to enterinto Derivative transactionswith ICICI (with ManagingPartner)Letter from all the partners to authorise certain partnersto enter into relevant transactions3611Partnership letter to enterinto Derivative transactionswith ICICI (with NoManaging Partner)Letter from all the partners to authorise certain partnersto enter into relevant transactions3812Letter of ConfIrmationThe Terms and Conditions to avail of the CurrencyDerivatives facility through ICICI Bank are contained inthe document.4013FATCA Declaration for FPIsFATCA " The Foreign Account Tax Compliance Act "is a US tax law for identifying accounts of US personsand reporting details of such accounts to US.48Page 1 of 4832

Name of stock broker/trading member/clearingmember:ICICI Bank LimitedFor any product & account opening relatedqueries, contact:Mr. Manish Padhye, ( 91-22) 26531414SEBI Registration No. and date:SEBI Registration no. INZ000197438 datedSeptember 6, 2018CEO’s name, phone no. & email ID:Ms. Chanda Kochhar, tered office address:For any grievance/dispute, please contact ICICIBank Limited at the above address or email ID corporatecare@icicibank.com or Call Customercare number given on www.icicibank.com.If you are not satisfied with the response, pleasecontact the exchange(s) concerned at:ICICI Bank Tower, Near Chakli Circle, Old PadraRoad, Vadodara, Gujarat. Pin – 390 007Tel : 91-265-3263701website: www.icicibank.comCorporate office address:ICICI Bank Towers, Bandra-Kurla Complex,Mumbai 400 051Ph: ( 91-22) 26531414 Fax: ( 91-22) 26531099website: www.icicibank.comCorrespondence office address:414, Senapati Bapat Marg, Lower Parel,Mumbai 400013Ph: ( 91-22) 66672000 Fax: ( 91-22) 66672779website: www.icicibank.comCompliance officer name, phone no. & email ID:Mr. Vivek Ranjan, 91 22 40086705,cdscompliance@icicibank.comMCXSX: investorcomplaints@mcx-sx.com,Phone no: 91-022-67318933,Address: Senior Manager, Investor ServicesCentre, MCX Stock Exchange Limited, ExchangeSquare, Suren Road, Chakala, Andheri (East),Mumbai – 400 093.NSE: ignse@nse.co.in and Phone no: 91-022 26598190 or to lodge your complaint with SEBI,visit www.scores.gov.inAddress: National Stock Exchange of India Ltd.Exchange Plaza, Plot no. C/1, G Block,Bandra-Kurla Complex Bandra (E),Mumbai - 400 051Page 2 of 48

TRADING ACCOUNT RELATED DETAILSFor Non-Individuals (Corporates, Partnership Firms, HUFs & Others)A. BANK ACCOUNT(S) DETAILSBank NameBranch AddressBank account no.Account Type:Saving/CurrentMICRNumberIFSCcodeB. DEPOSITORY ACCOUNT(S) DETAILS (If applicable)DepositoryParticipant NameDepository Name(NSDL/CDSL)Beneficiary nameDP IDBeneficiary ID (BO ID)C. TRADING PREFERENCES*Please sign in the relevant boxes where you wish to trade.ExchangesSegmentsNSECurrency DerivativeSIGNATURE OF AUTHORISED SIGNATORY(IES)MCX SXCurrency DerivativeSIGNATURE OF AUTHORISED SIGNATORY(IES)# If you want to trade on any new segment/new Exchange in future, a separate authorization/letter shouldbe provided.D. PAST ACTIONS Details of any action/proceedings initiated/pending/ taken by SEBI/Stock exchange/any other authorityagainst the applicant/ constituent or its Partners/promoters/whole time directors/authorized persons incharge of dealing in Currency Derivatives during the last 3 years: . .E. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS If client is dealing through the sub-broker, provide the following details:Sub-broker’s Name: . .Registered office address: .SEBI Registration number: .Ph: . .Fax: . . Website: . Whether dealing with any other stock broker/sub-broker(if case dealing with multiple stock brokers/sub-brokers, provide details of all) Name of stock broker: . Name of Sub-Broker, if any: . . . .Client Code: . Exchange: . Details of disputes/dues pending from/to such stock broker/sub-broker: . . . . . . . . . Page 6 of 48

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): . Number of years of Investment/Trading Experience: . . . Gross Annual Income Details (Please tick ( ): Below 1 Lac 1-5 Lac 5-10 lac 10-25 Lac 25 Lac(Net worth should not be older than 1 year) Net-worth in as on (date) d d / m m / y y y y Is the entity involved/providing any of the following services YES NO- For Foreign Exchange / Money Changer Services YES NO - Gaming / Gambling / Lottery Services(e.g. casinos, betting syndicates) YES NO - Money Lending / Pawning YES NO Name, designation, PAN, UID, signature, residential address and photographs of persons authorized todeal in Currency Derivatives on behalf of company/firm/others: (Please submit self attested copy of PANcard of each person)1. Name: . . . PHOTOGRAPHPlease affix yourrecent passport-sizephotographand sign across itDesignation: . . . . .PAN: . UID: . .Residential address: . . . . . . .2. Name: . . . PHOTOGRAPHPlease affix yourrecent passport-sizephotographand sign across itDesignation: . . . . .PAN: . UID: . .Residential address: . . . . . . .3. Name: . . . PHOTOGRAPHPlease affix yourrecent passport-sizephotographand sign across itDesignation: . . . . .PAN: . UID: . .Residential address: . . . . . . .4. Name: . . . PHOTOGRAPHPlease affix yourrecent passport-sizephotographand sign across itDesignation: . . . . .PAN: . UID: . .Residential address: . . . . . . . Any other information: .Page 7 of 48

G. INTRODUCER DETAILS (optional)Name of the IntroducerStatus of the Introducer:Sub-brokerRemisierAuthorized PersonExisting ClientOthersplease specify . Address and phone no. of the Introducer: . .SIGNATURE OF THE INTRODUCERDECLARATION1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledgeand belief and I/we undertake to inform you of any changes therein, immediately. In case any of the aboveinformation is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/wemay be held liable for it.2. I/We confirm having read/been explained and understood the contents of the document on policy andprocedures of the stock broker and the tariff sheet.3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s)and ‘Risk Disclosure Document’. I/We do hereby agree to be bound by such provisions as outlined in thesedocuments. I/We have also been informed that the standard set of documents has been displayed forInformation on stock broker’s designated website, if any.Place .Date :SIGNATURE OF AUTHORIZED SIGNATORYPage 8 of 48SIGNATURE OF AUTHORIZED SIGNATORY

FOR OFFICE USE ONLYUCC Code: .Documents verifiedwith OriginalsClient Interviewed ByIn-Person Verificationdone byName of the EmployeeEmployee CodeDesignation of the employeeDateSignatureI / We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the nonmandatory documents. I/We have also made the client aware of ‘Rights and Obligations’ document (s), RDDand Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that anychange in the ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents would be dulyintimated to the clients. I/We also undertake that any change in the ‘Rights and Obligations’ and RDD would bemade available on my/our website, if any, for the information of the clients.SIGNATURE OF THE AUTHORISED SIGNATORY OF THE TRADING MEMBERSEAL/STAMP OF THE STOCK BROKERDateINSTRUCTIONS/CHECK LIST1. Additional documents in case of trading in derivatives segments - illustrative list: Copy of ITR Acknowledgement Net worth certificate Copy of demat account holding statement. Bank account statement for last 6 months Any other relevant documents substantiatingownership of assets. Self declaration with relevant supportingdocuments. Copy of Annual Accounts*In respect of other clients, documents as per risk management policy of the stock broker need to beprovided by the client from time to time.2. Copy of cancelled cheque leaf/ pass book/bank statement specifying name of the constituent, MICR Codeor/and IFSC Code of the bank should be submitted.3. Demat master or recent holding statement issued by DP bearing name of the client.4. Form need to be initialized by all the authorized signatories.5. Copy of Board Resolution or partnership letter naming the persons authorized to deal in CurrencyDerivatives on behalf of company/firm/others and their specimen signatures.Page 9 of 48

Annexure ACategoryEligible Foreign InvestorsI.Government and Government related foreign investors such as Foreign Central Banks,Governmental Agencies, Sovereign Wealth Funds, International/ MultilateralOrganizations/ AgenciesII.a) Appropriately regulated broad based funds such as Mutual Funds, Investment Trusts,Insurance / Reinsurance Companies, Other Broad Based Funds etc.b) Appropriately regula

NSE: ignse@nse.co.in and Phone no: 91-022 - 26598190 or to lodge your complaint with SEBI, visit www.scores.gov.in Address: National Stock Exchange of India Ltd. Exchange Plaza, Plot no. C/1, G Block, Bandra-Kurla Complex Bandra (E), Mumbai - 400 051. Page 2 of 48. TRADING ACCOUNT RELATED DETAILS.