CODE CHANGE.xls

26-Jul-04
Index of Formats / Information to be used for Communication with HO along with e-mail of concerned at HO:
Sheet No. / Particular
1 Client Activation - UCC Format

2 NSBL Bank Accounts & Depository Accounts
Details for Funds & Securities transfer by clients
3 Standard Brokerage Slabs

4 Standard Exposure Guidelines
5 Notice Board Format

6 Client Funds Deposit intimation
7 Client Securities Transfer intimation
8 Client Funds withdrawal request form
9 Client Securities withdrawal request form
10 Authorised Person or Remisier or Marketing
associate or Channel Coordinator enrolment
(Eligibility criteria details included)
11 Compliance primer for all Broking staff

12 List of Documents to be kept in safe custody
at Branch at all times
13 Request for new Branch / Site commissioning
on Private Vsat
14 Approval for a CTCL User Id
15 Brokerage slab change request

16 Trade shifting / Client Code modification request

All escalation will be to girish@networthstock.com

end..

d for Communication with HO along with e-mail of concerned at HO:
Purpose
To be used for exceptional cases of client account activation,
else the normal procedure will be to send all client registration
forms in physical to HO, Mumbai.
Account details for deposit of monies & securities transfer by clients. For
each exchange segment, respective bank account to be used.
Brokerage to be fixed within the scale prescribed. Any leverage /
discount from prescribed scales requires necessary approvals.
To be referred & suitably communicated to clients before trading.
To be placed in the reception area of Broking office in a size visible
from a distance within the office. Can be a normal wooden board.
To be used for intimating funds deposit into our bank by / on behalf of clients.
To be used for intimating securities transfer by clients into our DP accounts.
To be used for sending requests by clients for Funds release.
To be used for sending requests by clients for Securities release.
To be used for preliminary approval by HO on appointment of authorised
persons at NSE and remisiers at BSE.
HO will send exchange annexures & agreement after receipt of request.
To be read and signed by all broking staff at Branch and sent back to
HO within 25 days of person joining NSBL.
Few of them to be mandatorily hung in the dealing room at Branch and
others for ready reference.
To be used by Branch / Authorised NSBL staff (concerned) for setting up
new / additional site.
To be used for enablement / creating of a fresh login in CTCL software
To be used for change in Brokerage slab for a given day or specific scrip
and in cases of permamnet change where clients have already transacted.
To be used for any client code change (deadline T day 3:45 p.m.)

worthstock.com

Person to whom to be sent at HO
akshay_20072003@yahoo.com;
compliance@networthstock.com; girish@networthstock.com

~

~

~
~

accounts@networthstock.com; compliance@networthstock.com
netstock_2000@hotmail.com; compliance@networthstock.com
accounts@networthstock.com; compliance@networthstock.com
netstock_2000@hotmail.com; compliance@networthstock.com


~


compliance@networthstock.com; akshay_20072003@yahoo.com

dealing@networthstock.com; compliance@networthstock.com

Format for submission of mandatory & minimum details of client(s) for
account activation under exceptional circumstance of physical forms
not having received by Head-Office

Date of request: Introducer:
Branch: Relationship
Originals dispatch(ed) to HO date: Manager:

Client Name:
Contact Person (in case of non-individual):
Communication Address:
(with full pin code)

Telephone Contact:
Mandatory ID Proof (any one): Number Pace of Issue Date of Issue
PAN Card N.A. N.A.
Passport
Voters Id Card
Driving License (Learner's
license not valid)
Note: PAN No. is to be compulsorily mentioned irrespective of any of above proof collected as all
contracts above Rs.1.00 lac have to necessarily carry PAN No. If PAN not available then client
should be signing declaration to the same effect.
Mandatory Address Proof (any one): Yes / No
Passport
Driving License
Bank statement / passbook
DP statement
Utility bills - Electricity, Muncipal tax
Central or State Govt. issued Card
Ration Card
(if Ration card then following mandatory) Number Place of Issue Date of Issue

Mandatory Bank & DP Proof:
Bank Name
Branch & Address

Account Type
Account Number
Active since
Depository Name
DP ID
DP Client ID
Brokerage Details: Scale

CM Segment - Trading Brokerage _ _ _ _ _ % each side with _ _ _ _ _ _
CM Segment - Delivery Brokerage _ _ _ _ _ _% with ______
F&O Segment _ _ _ _ _ _% each side with _ _ _ _ _

Note: If Ration card be accepted as the mandatory proof and none of the above-mentioned ID
proofs is collected, then a Banker's certification & attestation of the client's photo, address and signature
on the Bank letter head or on an original bank statement is to be mandatorily taken.

Note: In case forms received subsequently by HO is found short with some information or
documentation, then such Branch & Relationship Manager request for any immediate
activation will never be entertained. Accounts will the be opened only on all forms being
received at HO.

end…

Validity / Expiry Date
N.A.

Exchange
(NSE / BSE)
minimum
minimum
minimum NSE

ddress and signature

NSBL Bank Account Particulars
Cheques from clients should be collected favouring quot; Networth Stock Broking Limitedquot;
S.No. Bank Account Number Account Purpose / Title
1 UTI Bank, Fort Mumbai 004010200020031 NSE CM Client Money
2 UTI Bank, Fort Mumbai 004010200025878 NSE F&O Client Money
3 UTI Bank, Fort Mumbai 004010200020059 BSE CM Client Money

NSBL Depository Account Particulars
S.No. Depository CM BP ID DP Client ID
1 UTI Bank, Mumbai IN 558971 10713835

S.No. Depository DP ID DP Client ID

end..

oking Limitedquot;
To be used
For depositing margin amounts / obligations of NSE CM
For depositing margin amounts / obligations ofNSE F&O
For depositing margin amounts / obligations of BSE CM

Account Purpose / Title
NSE Pool Account - For Market Trades
BSE Pool Account - For Market Trades
(with Settlement No., towards market obligations)

Beneficiary - For off market instructions
(securities towards margin / collateral)

Standard Brokerage Slabs at NSBL:
Objective behind standardising these slabs is to ensure that NSBL realisations do not fall.
Following are the average slabs prescribed and Branch Managers / AVP have authority to fix within the same.
Brokerage can be charged either on quot;both sidesquot; basis or single side but with minimum some paisa on the second
side of transaction.

CM Segment F&O Segment
1 Intraday 0.10% one side, Min. 0.05 paisa Intraday 0.10% one side, Min. 0.05 paisa
and 0.01 paisa second side. and 0.01 paisa second side.
Delivery 0.50%, Min. 0.05 paisa
All Statutory levies & taxes will be applicable separately i.e. exclusive of brokerage.

The lowest slab at NSBL is as follows, and it requires approval of the Director Sales / VP Sales:

CM Segment F&O Segment
All Statutory levies & taxes will be applicable separately i.e. exclusive of brokerage.

end..

within the same.
paisa on the second

Risk Management & Surveillance - General Guidelines and Exception Authorisation Guidelines

CM Segment:-
The following are ranges within the sanction limits of Branch Managers / Regional Managers
1 Minimum Upfront Margin 20 - 25%
2 Intra-day Exposure 4 - 6 times
8 - 10 times
3 Intra-day Turnover 33 times
4 End of day Exposure 3 - 4 times
1 time only
5 Position liquidation 85% trigger

Exceptions:-
1 In case of Delivery Sale if the DIS copy / transfer of security is done upfront, then the same shall be excluded
from Exposure.

Rules (and Basis):-
1 EOD exposure should always be covered with applicable VaR Margins
2 Any outstanding (open) position should be covered by cheque receipt on T+0 day i.e. before market start next
session, to allow any further position to client.

Authorisation Limits:- (for limits above the prescribed ones)
1 VP - Sales Rs.25 lacs additional exposure or 4 times additional multiplier over deposits from
Maximum Permissible levels, whichever is lower, in case of clients who are in the normal retail category.
Rs.5 lacs additional exposure or 1 time additional multiplier over deposits from pre
levels, whichever is lower, in case of clients who are in the high volume trader cat
2 Director - Sales Rs.50 lacs additional exposure or 4 times additional multiplier over deposits from
Maximum Permissible levels, whichever is lower, in case of clients who are in the normal retail category.
Rs.15 lacs additional exposure or 1 time additional multiplier over deposits from p
3 Operations Head Rs.25 lacs additional exposure or 4 times additional multiplier over deposits from
(in absence of above two) levels, whichever is lower, in case of clients who are in the normal retail category.
Rs.5 lacs additional exposure or 1 time additional multiplier over deposits from pre

Risk Management & Surveillance - General Guidelines and Exception Authorisation Guidelines

F&O Segment:-
The following are ranges within the sanction limits of Branch Managers / Regional Managers
1 Minimum Upfront Margin 20%
10%
2 Intra-day outstanding 4 - 6 times
8 - 10 times
3 End of day (CF) positions 4 times
1 time only
4 Position liquidation 90% trigger

Exceptions:-

1 In case of OPTIONS (buy) actual premium shall be considered as exposure.

Rules (and Basis):-
1 EOD exposure should always be covered with applicable Margins.
2 Any outstanding (open) position should be covered by cheque receipt on T+0 day i.e. before market start next
session, to allow any further position to client.

Authorisation Limits:- (for limits above the prescribed ones)
1 VP Sales Rs.5 lacs additional MARGIN limits from present deposit level.
Maximum Permissible
2 Director-Sales Rs.15 lacs additional MARGIN limits from present deposit level.
Maximum Permissible
3 Operations Head Rs.5 lacs additional MARGIN limits from present deposit level.

end…

Guidelines and Exception Authorisation Guidelines

e sanction limits of Branch Managers / Regional Managers

For all normal retail clients
For all High Volume Traders

For normal retail category
For conversion by high volume traders
i.e. if available credits fo client after considering financial credits
& security collateral after adjustment of any debits falls below
15% in margin value against open positions.

copy / transfer of security is done upfront, then the same shall be excluded

overed with applicable VaR Margins
ould be covered by cheque receipt on T+0 day i.e. before market start next

ve the prescribed ones)
Rs.25 lacs additional exposure or 4 times additional multiplier over deposits from present exposure
evels, whichever is lower, in case of clients who are in the normal retail category.
Rs.5 lacs additional exposure or 1 time additional multiplier over deposits from present exposure
evels, whichever is lower, in case of clients who are in the high volume trader category.

Guidelines and Exception Authorisation Guidelines

e sanction limits of Branch Managers / Regional Managers
For all non-NIFTY (index) Futures contracts & SELL options
For NIFTY Futures contracts
For all normal retail clients
For all High Volume Traders
For normal retail category
For conversion by high volume traders
i.e. if available credits of client after considering financial credits & security collateral
after adjustment of initial margin, exposure margin & MTM losses falls below 10% in
margin value against open positions.

premium shall be considered as exposure.

overed with applicable Margins.
ould be covered by cheque receipt on T+0 day i.e. before market start next

ve the prescribed ones)
Rs.5 lacs additional MARGIN limits from present deposit level.



DETAILS OF NSE / BSE TRADING TERMINAL(S)

1 Name of the Trading Member of NSE / BSE NETWORTH STOCK BROKING LIMITED

2 Address & Telephone. No. of the Main 102, Natwar Chambers, I Floor, 94
Office of the Trading Member Nagindas Master Road, Fort, Mumbai 400 023.
Tel. No. 022-22633020, Fax. 022-22633024
SEBI Registration Number:
3 Trading Member - Capital Market Segment INB 230638639 (NSE), INB 010638634 (BSE)
Trading Member - Derivatives Segment INF 230638639 (NSE), INF 010638634 (BSE)
CDSL Depository IN-DP-CDSL-251-2004
4 Address and Tel. No. of the Branch Office
where Trading Terminal is located

5 Name & Designation of the person in-charge / Mr.
managing the Branch Office Branch Manager
6 Name, Designation & Tel. No. of the contact Mr. Girish V. Dev, Head - Operations
person in the Main office of the Trading 102, Natwar Chambers, I Floor, 94
Member Nagindas Master Road, Fort, Mumbai 400 023.
Tel. No. 022-22633020, Fax. 022-22633024

end..

Client FUNDS Deposit (i.e. Receipt by NSBL) Intimation:

Branch:
Date:

S.No. Client Code Client Name Exchange- Amount Cheque No. Drawn on Cheque
Segment (in Rs.) (Bank) Dated

Note:
A. Cheques have to be directly from Bank account of the Client registered in our records i.e. KYC Form.
B. Any third party cheque collection will be treated as NIL collection and no credits passed in client's ledger.

For HO use only-:

Intimation noted at HO by:

Processed in Back-office by:

Initials & Date:

end..

Clearing Deposited into NSBL Purpose /
(Normal / HV) Bank Account No. Towards

s i.e. KYC Form.
ed in client's ledger.

Client SECURITIES Transfer (i.e. Deposit to NSBL) Intimation:

Branch:
Date:

S.No. Client Client Name Exchange- Security Qty. Transferred from
Code Segment (Full Name) Client DP Name

Note:
A. Securities have to be directly from DP account of the Client registered in our records i.e. KYC Form.
B. Any third party securities transfer will be treated as NIL collection and no credits passed in client's stock ledger.

For HO use only-:

Intimation noted at HO by: Initials & Date:

Processed in Back-office by: Initials & Date:

end..

Transferred from Transferred from Transferred into Purpose /
DP ID DP Client Id NSBL DP Account Towards

r records i.e. KYC Form.
edits passed in client's stock ledger.

Client FUNDS withdrawal / release request:

Branch:
Date:

S.No. Client Client Name Exchange- Amount Client - Bank Client - Bank
Code Segment Name Account No.

Note:
A. Request sent by Branch before 12:00 noon on a day quot;Tquot; day will be processed same day
i.e. Cheque will be dispatched by HO on same day to Branch or alternatively amount will
be transferred to Client's Bank account on T+1 morning if client has account with UTI Bank.
B. All requests after 12:00 noon will be processed only in T+1 lot.

For HO use only-:

Ledger Balance: Rs. _ _ _ _ _ _ _ _ _ _Cr. / Dr. Time: __:__

Verified for release in back-office by: Initials & Date:

Outstanding exposure: _______ Time: __:__

Authorised in RMS by: Initials & Date:

Amount Released / Issued: Rs. _ _ _ _ _ _ _ _ _

Cheque No. ________

Entry in back-office account ledger by: Initials & Date:

end..

Client SECURITIES withdrawal / release request:

Branch:
Date:

S.No. Client Client Name Security ISIN Qty. Client-DP Client-DP
Code Requested Name ID

Note:
A. Request sent by Branch before 12:00 noon on a day quot;Tquot; day will be processed same day
i.e. securities will be transferred by HO to Client with T+1 execution date.
B. All requests after 12:00 noon will be processed only in T+1 lot i.e. with T+2 execution date.

For HO use only-:

Ledger Balance: Rs. _ _ _ _ _ _ _ _ _ _Cr. / Dr. Time: __:__

Verified for release in settlements by: Initials & Date:

Outstanding exposure / obligation: _______ Time: __:__

Authorised in RMS by: Initials & Date:

Stocks reduced from margin by: Initials & Date:

end..

For HO use For HO use
Client-DP Release DP Slip
Client ID Qty. Number

Preliminary Registration form for Authorised Person or Authorised Remisier:
Branch will have to send the below-mentioned from duly signed by the NSBL Branch Manager
to HO first as part of the preliminary verification process based on which HO will send the Exchange
required Annexures and the Agreement to be drawn between NSBL and the proposed Authorised Person.
These annexures will then be submitted to respective exchanges for their approval.

Following Form can be Printed on Plain Paper & signed by Branch Manager
Preliminary Registration form for Authorised Person or Authorised Remisier:
1 Date:
2 Proposing NSBL Branch:
3 Relationship Manager:
4 NSBL Trading Terminal proposed to be set-up
at Authorised Person's premises :
5 Premises details:
6 Is space & permission available to install Vsat:
7 Category of the proposed Authorised Person:
(In BSE only Individuals & Partnerships allowed)
8 Segments for which proposed to register:
9 Whether Authorised Person himself member of any
exchange:
10 Full Name of the Proposed Authorised Person:
(initials in name should be expanded)
11 Date of Birth:
12 Father's Name or Spouse's Name (full name):
13 Regd. Office / Premises Address:

14 Telephone & Other contacts:

15 Proposed Authorised Person's Residence:
(if Partnership, then all Partners' address and if
Corporate all Director's address)

16 Educational Qualification:
17 Whether already a registered with another member-
as Sub-Broker:

as Authorised Person or Remisier:
as Approved User
18 Presently relationship / business with such member
continuing:
19 Proposed sharing arrangement:
20 Sharing arrangement :
21 Minimum NSBL brokerage proposed

22 Infrastructure Cost sharing of:
(to mention whether NSBL is in any manner going
to share / bear)

23 Mandatory Proofs (any one but PAN mandatory):
(a) Passport

(b) Driving License

(c) Voters Id
(d) PAN card
(e) Last Year IT return copy (but only with either a, b or c)
encl: a/a

Important Points (Exchange related):-
For BSE - Authorised Remisiers Eligibility norms & general guidelines
1 Only Individuals & Registered Partnership firms allowed to become remisiers.
2 Minimum educational qulaification for remisiers is HSC or old Matriculation.
(In case qulaification below HSC, then experience certificate related to Capital Market is to be produced)
3 Brokerage sharing not more than 50% with remisiers.
For NSE - Authorised Persons Eligibility norms & general guidelines
1 Individuals, Registered Partneship firms, Bodies Corporate or Companies as defined under Companies Act, 1956.
2 In case of a Partnership firm, the dominant partner shall be a individual who at all points of time shall hold
at least 51% of the share in profit / loss in the entity directly.
3 In case of a Corporate, the dominant shareholder shall be an individual who shall at all points of time hold
at least 51% of the paid-up equity capital of the entity directly.
4 The authorised person or its dominant partner or shareholder shall not be an authorised person or sub broker of
another trading member. They shall not have a stake of 10% or more or be a dominant partner or shareholder
in another authorised person or registered sub broker or trading member.

For HO Use only-:
Date of request receipt:
Verified by:
Exchange Annexures, Forms & Agreement dispatch
to Branch by and date:

rson or Authorised Remisier:
duly signed by the NSBL Branch Manager
cess based on which HO will send the Exchange
between NSBL and the proposed Authorised Person.
e exchanges for their approval.

per & signed by Branch Manager
sed Person or Authorised Remisier:

YES or NO
N.A. or Owned or Rented or Leased
YES or NO
Individual or Proprietorship or Partnership or Corporate

NSE CM, NSE F&O, BSE CM

YES or NO
Mr./ Mrs./ Ms./ M/s

Tel. No.: Mobile:
Fax.: e-mail:

Tel. No.:

YES or NO (if Yes then,)
Member Name: Segment:
Registration No.
Member Name: Segment:
User ID (if any alloted at NSE): Segment:

YES or NO (if No then,) Since _ _ _ _ _
_ _ % sharing of Net Brokerage with Authorised Person
Continuous or 1 year or Reviewable after _ _ _
Trading:
Delivery:
F&O:
Premises:
Vsat & recurring charges:
Staff expenses:
CTCL software license cost:

No.: _ _ _ _ _ _ _ _ Place of Issue: _ _ _ _ _ _ _ _ _

Date of Issue _ _ _ _ _ _ _ Valid till _ _ _ _ _ _ _ _ _
No.: _ _ _ _ _ _ _ _ Place of Issue: _ _ _ _ _ _ _ _ _
Date of Issue _ _ _ _ _ _ _ Valid till _ _ _ _ _ _ _ _ _
No.: _ _ _ _ _ _ _ _ Place of Issue: _ _ _ _ _ _ _ _ _
No.: _ _ _ _ _ _ _ _
YES or NO

orms & general guidelines
rms allowed to become remisiers.
ers is HSC or old Matriculation.
rience certificate related to Capital Market is to be produced)

ms & general guidelines
dies Corporate or Companies as defined under Companies Act, 1956.
partner shall be a individual who at all points of time shall hold
e entity directly.
holder shall be an individual who shall at all points of time hold
the entity directly.
er or shareholder shall not be an authorised person or sub broker of
e a stake of 10% or more or be a dominant partner or shareholder
ub broker or trading member.

A PRIMER ON COMPLIANCE for BRANCH / BROKING HEADS, DEALERS, SETTLEMENT & ACCOUN

NOTE:- Irrespective of the functional area, each staff member should be aware of the following. Every employee associated wi
is required to fill this and duly sign.

Functional Area Sr. No.

REGISTRATIONS 1

2

3

DEALING 4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

SETTLEMENTS 20

21

22

23

24

BACK-OFFICE 25
&
ACCOUNTS
26

27

28

29

30

31

32

33

34

DATE:

1) Branch:
2) Employee Name:
& Code:
3) Whether passed NCFM in CM or F&O: YES / NO
4) Certificate valid till:
5) Dt. Of Joining:
6) Previous Work
experience in brief:

end..

A PRIMER ON COMPLIANCE for BRANCH / BROKING HEADS, DEALERS, SETTLEMENT & ACCOUNTS STAFF
NETWORTH STOCK BROKING LIMITED (NSBL)
e of the functional area, each staff member should be aware of the following. Every employee associated with NSBL
is and duly sign.

Activity / Particulars

Branch has registered itself under the state / muncipal shops & establishment act

Registered with local Service Tax authorities for payment of service tax

Put on display the Notice Board of our membership & contact details

Client registration documentation as per SEBI Know Your Client (KYC) form and collection
of all mandatory details

Client registration to be done separtely for each exchange and segment (CM & RDM can be in one)
(However the broking kit i.e. form and kit can be one)

Alloting / maintenance of Unique Client Code (uniqueness is at NSBL level and not at individual
branch level). Same client cannot have multiple accounts in single name at NSBL.

Submission of Unique client code details to exchange through the Unique Client Code (UCC) software

Dealers shall not accept any authorisation from clients to deal on client's behalf

Orders are to be accepted only from registered clients and if accepted otherwise from any representative
then written standing authorisation from client is required.

Sub-brokers cannot trade without SEBI registration

Sub-brokers can allot only client codes given by NSBL and their books are open to our inspection.
In practice all clients will register with NSBL only.

In case of any remisior / introducer / coordinator or any revenue sharing arrangement, end client is
to be registered with NSBL only. Sharing cannot be more than 60% with such person by NSBL.

Trade shifting / client code modification is not permitted. In case of any error in dealing such code
modification is to be reported to HO latest by 3:45 p.m. (i.e. within 15 minutes of close of market)

Cross-deals i.e. client to client deal matching is prohibited. All orders to be routed on the exchange trading screen.

Orders in illiquid securities can be placed only after approval from HO.

Minimum upfront margins to be collected as prescribed.

Booking of any Mis-deals has to approved only by HO.

Opening of own account (personal) / in name of any friend / relatives to be intimated to HO.

Detail of authorised signatories and supervisory personnel at Branch to be maintained & updated.

PAN NO. of clients to be compulsorily mentioned on contracts (especially wherever the contract value
is above Rs.1.00 lac).

Contract notes issued within 24 hours of trade date to clients with proof of dispatch retained at our
end / acknowledgement on duplicates taken and duplicate copy is filed.

Ledger statement of funds & securities to be provided to clients at end of every month and acknowledgement taken.

Stamp Duty (Broker's Note) payable on every contract.

Investor complaints / grievances to be recorded and settled immediately.

Client money accounted for in a separate bank account, and cannot be used for personal / proprietary /
miscellaneous purposes.

Third party (party not linked to transaction) transfer of Funds not permitted.

Third party transfer of Securities is not permitted just like funds.

Cash i.e. physical money shall not be accepted, neither shall we make any payment in cash to clients.

Written authorisation is required from Clients for closure of accounts.

Daily Bank reconciliation.

Daily / Weekly stock reconciliation.

Books of accounts to be maintained in hard / soft copy format: Daily Confirmations, Client Ledgers, General Ledger,
Journals, Cash Book, Bank Book, Securities register, Register of account of sub-brokers

Pay-out of funds & securities to be effected to clients within 24 hours of payout at the exchange

Written authorisation from clients to retain credits / securities if not released by us

ed NCFM in CM or F&O: YES / NO

Aware of If YES, whether followed Remarks
(Yes / No) at Branch (Yes / No)

Not Applicable Central Registartion at Mumbai

HO will pay centralised at Mumbai.

Centralised at HO, Mumbai.

List of Documents (copy) to be kept in safe custody of Branch:

S.No. Document Particulars

1 Registration certificate under the local Shops & Establishment Act
2 SEBI registration certificates of NSE and BSE - CM and F&O segments
3 SEBI registration certificate of DP - CDSL
4 Membership certificates from NSE and BSE
5 NSBL certificate of incorporation issued by ROC Mumbai
6 NSBL registration under Central Excise for payment of Service Tax (Mumbai)

end..

Mandatory Display
at Branch
YES, in reception area
YES, in Dealing room
NO
NO
NO
NO

Proposal for setting up / commissioning a new site / Branch on Private Vsat and CTCL

Date:
Proposing Sales / Branch Manager
Name & Contact No.:

1 Proposed Site or Centre:
2 Building / Office identified: YES or NO
3 Address, if available:

4 Landlord or Contact Person Name & Contact:

5 Building Height (approx.): _ _ _ Floors & _ _ _ _ _ feet or metres
6 Proposed office on what floor:
7 Suitable space available at height
for installing the Vsat: YES or NO
8 Whether permission available for
installing Vsat: YES or NO or Will be made available
9 Charges by builder for allowing Vsat installation: Rs. _ _ _ _ _ _ _ _ _p.m. or p.a.
10 NSBL rent / lease agreement proposed for
for what period:
11 Tentative / Proposed date of starting Operations:

For HO use only-:
Request received at HO by & date:

Forwarded to Vsat service provider
by & date:
Tentative date of commissioning
of site by service provider:

NSBL Authorised signatory:

Vsat and CTCL

ors & _ _ _ _ _ feet or metres

NO or Will be made available
_ _ _ _ _ _p.m. or p.a.

Approval form for a fresh or additional CTCL User License and / or CTCL User Id:

Date:
Branch: NEAT or CTCL set-up
Terminal location
Address with pin code
& Tel. And Fax.:

1 Request for : CTCL License for NSE CM or NSE F&O BSE CM
No. of Licenses requested: _ _ / _ _ / _ _
CTCL User Id for NSE CM or NSE F&O BSE CM
No. of Ids requested: _ _ / _ _ / _ _
2 Present No. of Ids
or Licenses at Branch:
3 Name of approved person
or user of proposed Id:
4 Date of Birth:
5 NCFM certification: YES or NO : Validity _ _ _ _ _ _ _ _
Proposed date of appearing for NCFM: _ _ _ _ _ _ _
6 Residential Address
with Pin code, Tel.
and Fax.:
Copy of NCFM certificate(s) atached / faxed
7 Branch requesting Manager:

For HO use only-:

Authorisation date & by:

Request for change in Brokerage slab / scale for clients already transacting:

Date:
Branch:

S.No. Client Code Client Name Relationship Exchange- Change in Brokerage requested
Manager Segment To

For HO use only-:

Authorisation date & by:

Effective from (Date) Brokerage earned Commitment by client
from client till date on any definite turnover

CM Segment Tradeshifting / Client Code modification request-:
Timeline : quot;Tquot; day 3:45 p.m.

Date: 8/7/2005
Branch: SZ289 BSE SETT NO 2008069

S.No. Security Buy or Sell Total Qty. Exchange Order Number
(Symbol) (Full No. to be mentioned)
1 ICICI BANK SELL 50 21253861

Note:
The requests have to come purely under exceptional circumstances as these changes
will attract monetary penalties on KRC Dealers / Network Partners in view of any
repetition of incidents.

For Settelement/Compliance use only-:

Receipt date & time:

Upload to NSE time:

Done by :

Executed in To be shifted to
Client code Client code
SZ289889 SZ289899

CODE CHANGE.xls

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