| S.No. | Name of the Document | Brief Significance of the Document | Page No |
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES |
| 1 | Account opening Form | A. KYC form - Document captures the basic information about the constituent and an instruction/check list. | 1-4 |
| B. Document captures the additional information about the constituent relevant to trading account and an Instruction/check list. Download | 5-7 |
| 2 | Rights and Obligations | Document stating the Rights & Obligations of stock Broker/trading member, sub-broker and client for trading on exchanges including additional rights & obligations in case of internet/wireless technology based trading). | 8-13 |
| 3 | Risk Disclosure Document (RDD) | Document detailing risks associated with dealing in the securities market. | 14-17 |
| 4 | Guidance note | Document detailing dos and don’ts for trading on exchange, for the education of the investors. | 18-19 |
| 5 | Policies and Procedures | Document describing significant policies and procedures of the stock broker (to be added by the stock broker). | 20-23 |
| 6 | Tariff sheet | Document detailing the rate / amount of brokerage and other charges levied on the client for trading on the stock exchange(s) (to be added by the stock broker). | 24 |
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER |
| 7 | ANNEXURE II | Document stating the authorization to keep the shares and funds with stock broker | 25 |
| 8 | ANNEXURE III | Document stating to send the contract notes authorization | 26 |
| 9 | Internet trading agreement | Internet trading Agreement between stock broker and client | 27-29 |
| 10 | F&O Registration form | KYC form-Document captures the basic information bout the constituent and an instruction / check list for F&O | 30-32 |
| 11 | Email Declaration | Authorization for receiving contract notes by mail | 33 |
| 12 | Nomination | Nomination document | 34-35 |
Documents in Vernacular Languages |
| 1 | Client Registration Documents in Vernacular Languages |
| Name of stock broker: | Surya Shakti India Financial (P) Ltd. |
| SEBI Registration No. and date: | INB231145732, INF231145732 |
| Registered office address: | 6,Prince Apartments,7-8-19,Harbour Park Road, Pandurangapuram, Visakhapatnam – 530 003 |
| Correspondence office address: | Shree Complex, 48-8-15, G-4, Shree Complex, Dwarakanagar, VISAKHAPATNAM-530016 |
| Phone: 0891– 2705440 / 2705441 /2705442 Fax: 0891 – 2526668 Website: www.suryashakti.com |
| Compliance officer name: | Peter K. Schneeberger |
| Phone No: | 0891-6637074 |
| Email ID: | compliance@suryashakti.com |
| |
| Name: Peter K. Schneeberger, Email ID: pks@suryashakti.com |
| |
| For any grievance / dispute please contact Surya Shakti India Financial (P) Ltd., at the above address or email id - info@suryashakti.com and Phone no. 0891 - 2705440. In case not satisfied with the response, please contact the concerned Exchange www.nseindia.com and phone no. |