Fw: Submission of documents pursuant to SEBI/Exchange Circulars

Date: 31 January 2011    Dear Customers,   Sub: Submission of documents pursuant to SEBI/Exchange Circulars  This is further to our various correspondences, wherein important aspects of SEBI and Exchange circulars issued on various measures to enable smooth dealings between a client and a stock broker were brought to your notice.  You are requested to submit the following documents/authorisation on or before February 05, 2011 for enabling smooth operations of your account 1)   All clients: - Documentary evidence of financial details in case of clients you are enabled for Derivates segment. : Any one of the following documentary evidence on the financial information may be submitted by the client:  a. Copy of ITR Acknowledgement; b. Copy of Annual Accounts c. Copy of Form 16 in case of salary income d. Net worth certificate e. Salary Slip g. Bank account statement for last 6 months h. Copy of demat account Holding statement I.  Any other relevant documents substantiating ownership of assets J. Self declaration along with relevant supporting   2) Non Individual clients: - Following documents required to be submitted every year:                                                        a. Balance sheet last audited                                             b. Updated shareholding pattern                3) Running Account Authorization (RAA): As mandated by SEBI/Exchanges the existing running account authorization provided by the client is required to be submitted every year. Further in case the client has provided running account authorization, we are required to settle the client's funds and securities account at least once in a calendar month or quarter as opted for by the client. A format of running account authorization is attached below for your perusal, filling up and signature. We have also made available the facility to submit the said running account authorization and selecting the periodicity of settlement electronically through the secured access of the client's internet trading terminal. You are requested to click the below given link to submit online the running account authorization and to select the settlement periodicity by using your User ID and password. https://trading.indiainfoline.com/RA/login.aspx The hard copies of the said documents may also be submitted at any of the Branch offices of IIFL or may be sent to following address: Central Processing Centre India Infoline Ltd, India Infoline Tower no 143, MGR Road, Near Lifeline hospital Perungudi, Chennai – 600 096 Tamil Nadu If you require any clarifications or assistance, you may please contact your respective Relationship Manager or write into us at info@5pmail.com or reach our Customer Care Desk at (044) 40071000.   Regards, Customer Care                                                                                                                      NON-MANDATORY   RUNNING ACCOUNT AUTHORISATION Authorisation to India Infoline Limited a) I would like to keep securities purchased by me with you as collateral for giving me exposure limits in my trading account/margin obligation. I authorize you not to transfer shares/securities purchased by me to my demat beneficiary account and keep them with yourselves. I also authorise you to pledge these shares/ securities with the Clearing Member/ Exchange/ Custodian, at your discretion. In case any of the shares/ securities are sold in subsequent settlements, you may take this as a standing instruction to adjust against my previous purchase positions. b) Whenever I require delivery of any shares/securities, I shall send you a written request. I understand that such payout of securities will be made subject to your risk management policies. c) In case there is a debit balance in my account, you are authorized to sell at any point of time the shares/ securities held by me/held on my behalf, at your sole discretion. Any profit or loss made on such transactions will be to my account as it would have occurred on normal purchase/ sale made by me. I also agree to pay the balance amount, if any after deducting credit of sale of shares. d) I also request you not to issue cheques /make payments settlement wise unless specifically demanded by me, as pay-in and payout are very close and therefore exchange of cheque becomes unnecessary paper work. e) I/We understand and agree that no interest will be payable to me/us on the amounts or securities so retained with you. f) I further authorise you to set off/ adjust any of my debits/dues in any segment of any Exchange with credits of any other segment(s) of any Exchange(s) in my account within the period of settlement of my account (Securities and Funds) as opted by me. g) I/we understand that this authorization shall be valid for a period of one year from the date hereof or until revoked by me/us or fresh authorization provided by me/us. I/we undertake to clear all my dues arising during the validity of this authorization else the member shall recover all my/our dues in my/our ledger till date.   h) I also note that I may revoke the authorisation at any time by giving you written notice at least seven days in advance to your office. I also undertake to clear all my dues to you before serving revocation of this authorisation else the member will recover all my dues in my ledger till date and then effect the revocation. i) I also undertake to bring any dispute arising from Statement of accounts or settlement so made to your notice within seven working days from the date of receipt of funds/securities or Statement as the case may be. I /We further wish to have settlement of my account (funds and securities):-         Once in Quarter         Once in Month   (Tick any one option)   I understand that settlement amount shall be subject to retention of requisite securities/ funds towards outstanding obligations and margins in my account calculated in the manner specified by SEBI/ Exchange and details mentioned in the "Statement of Account" at the time of settlement. I authorise you to send the statement of account on funds and securities as on the date of settlement to my internet trading account or e-mail id registered with you. I understand that I can obtain a copy of the same from any of your Branch offices. So kindly maintain my account as a running account basis for funds and securities.   Client Signature     Client Name     Client Login ID     Date