TRADING ACCOUNT OPENING FORM

TABLE OF CONTENTS
DOCUMENT
Account Opening Form

Tariff Sheet
Acknowledgement letter
Authorization of running
account / request letter
Electronic Contract Notes

MANDATORY DOCUMENTS
SIGNIFICANCE
a) KYC Form Document captures the basic information about
the constituent and an Instruction / Check list
b) Document captures the additional information about the
constituent relevant to trading account and an Instruction /
check list
Details the rate / amount of brokerage and other charges levied on
the client for trading on the commodity exchange(s)
Acknowledgement indicating receipt of documents by the client.
OPTIONAL DOCUMENTS
Letter of authority / request to Navia Commodities Broker P Ltd
Electronic Contract Notes (ECN) Declaration

PAGE NUMBER
3-5

6
7
8
9

QUICK CHECK LIST

rd

th

Print 7 pages (3 Page to 9 page) and affix 8 signatures

Paste Passport size Photograph on Page 3 and sign across
Sign all areas highlighted with X symbol
Enclose Photocopy of PANCARD and address Proof with self attestation
Printout of Electronic Contract Note (ECN) email received from TRADEPLUS. Sign across and attach to
the KYC Form
Enclose Cancelled cheque leaf to map your primary / Secondary bank account. Cheque leaf shoud
carry the IFSC Code of your bank and your Name. If not, provide last 1 month bank statement.
Enclose Account Opening coupon or write the coupon code on top of page 3
Write the declaration on Page No.9
REGISTERED OFFICE ADDRESS
Subramaniam Building
No.2, Club House Road, Chennai 600 002.
www.tradeplusonline.com
COMPLIANCE OFFICER DETAILS
S Krishnamurthy
Ph: +91-44-39189449
clientservice@naviacommodities.com
CEO DETAILS
S K Hozefa
Ph: +91-44-39189449
clientservice@naviacommodities.com

CORRESPONDENCE OFFICE ADDRESS

Ganga Griha, 5th Floor, No.9, Nungambakkam High
Road, Chennai 600 034. Ph: 1800-425-75757
www.tradeplusonline.com
open@tradeplusonline.com
FMC Registration Number
MCX : MCX/TM/CORP/1753
Registration Date: June 11, 2009
CLEARING MEMBER DETAILS
Name: ISSL Settlement & Transaction Services Ltd.
MCX ID: MCX/CM/CORP/1083

For any grievance / dispute, please contact Navia Commodities Broker P Ltd at the above address and / or email id:
clientservice@naviacommodities.com and / or phone number.+91-44-28214171. In case not satisfied with the response, please contact the
concerned exchange(s). For MCX, email id: grievance@mcxindia.com and Phone Number: +91-22-6731-8888.

INSTRUCTION FOR FILLING THIS KYC FORM

SECTION A

IMPORTANT POINTS

1.

Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time
directors and persons authorized to deal in commodity derivatives on behalf of company/firm/others.
2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals
for verification. In case the original of any document is not produced for verification, then the copies should be properly
attested by entities authorized for attesting the documents, as per the below mentioned list.
3. If any proof of identity or address is in a regional language, then translation into English is required.
4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof
submitted.
5. If correspondence & permanent address are different, then proofs for both have to be submitted.
6. Sole proprietor must make the application in his individual name & capacity.
7. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public
functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/
military officers, senior executives of state owned corporations, important political party officials, etc.
SECTION B
PROOF OF IDNENTITY (POI) LIST OF DOCUEMENTS ADMISSABLE AS PROOF OF IDENTITY
1.

Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2.

PAN card with photograph.

3.

Identity card issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory
Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to
Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards
issued by Banks.

SECTION C
1.

PROOF OF ADDRESS (POA) LIST OF DOCUMENTS ADMISSABLE AS PROOF OF ADDRESS

Note: Documents having an expiry date should be valid on the date of submission
Passport/ Voters Identity Card/ Ration Card/ Registered Lease or Sale Agreement of Residence/ Driving License/ Flat
Maintenance bill/ Insurance Copy.

2.

Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3 months old.

3.

Bank Account Statement/Passbook Not more than 3 months old.

4.

Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled CoOperative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative
Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

5.

Identity card/document with address, issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public
Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,
to their Members.
The proof of address in the name of the spouse may be accepted.

6.

SECTION D
1.

EXEMPTIONS / CLARIFICATIONS TO PAN

(Note: Sufficient documentary evidence in support of such claims to be collected.)
Transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by
Courts e.g. Official liquidator, Court receiver etc.

2. Investors residing in the State of Sikkim (subject to the continued exemption granted by Government).
SECTION E
LIST OF PEOPLE AUTHORISED TO ATTEST THE DOCUMENTS
1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational
Foreign Banks (Name, Designation & Seal should be affixed on the copy).
2.

In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary
Public, Court Magistrate, Judge, Indian Embassy /Consulate General in the country where the client resides are
permitted to attest the documents.

KNOW YOUR CLIENT (KYC) APPLICATION FORM

(For Individuals)

(Please fill the form in ENGLISH and in BLOCK Letters)

APPLICATION NUMBER

COUPON CODE

SECTON A
NAME OF THE APPLICANT
(as per PAN CARD / Proof of ID)

Please affix your

PASSPORT
size
photograph
and
sign across it
X (1/8)

IDENTITY DETAILS

Fathers / Spouse Name

GENDER
STATUS

MALE
RESIDENT INDIVIDUAL

NATIONALITY

FEMALE
NON-RESIDENT

DATE OF BIRTH (DD/MM/YYYY)

MARITAL STATUS
SINGLE
FOREIGN NATIONAL (Passport copy Mandatory)

MARRIED

PAN CARD NUMBER

UNIQUE IDENTIFICATION NUMBER (UID/ Aadhaar) If available

Any other additional Proof of Identity
SECTION B
ADDRESS DETAILS
ADDRESS FOR CORRESPONDENCE (Must be different from Proof of Identity):

CITY / TOWN / VILLAGE

CONTACT DETAILS

PINCODE
Tel (off)

Tel (Res)

STATE

COUNTRY

Mobile No.

Fax No.

STATE

COUNTRY

Mobile No.

Fax No.

EMAIL ID (must be written in capital letters)

Specify the proof of address submitted for correspondence address
PERMANENT ADDRESS (if different from above):
CITY / TOWN / VILLAGE
CONTACT DETAILS

PINCODE
Tel (off)

Tel (Res)

Specify the proof of address submitted for permanent address, if any

SECTION C
GROSS ANNUAL INCOME DETAILS
(please specify) or
Net-worth as on (date) _________________
OCCUPATION
(please tick any one and give brief details)

AFFILIATION
(Please tick as applicable)

OTHER DETAILS
BelowRs.1 Lac
Rs.1 5 Lac
Rs.5 10 Lac
Rs.10 25 Lac
> Rs.25 Lac
Rs.
(should not be older than 1 year)
Private Sector
Public Sector
Government Service
Business
Professional
Farmers
Retired
House Wife
Student
Others (Specify)
___________________________________________
Politically Exposed Person (PEP)
Related to Politically Exposed Person(PEP)
Not Politically Exposed Person (PEP)
Not Related to Politically Exposed Person

SECTION D
PRIMARY BANK NAME
BRANCH ADDRESS
BANK ACCOUNT NO.
ACCOUNT TYPE

BANK DETAILS

SECONDARY BANK NAME

BRANCH ADDRESS
BANK ACCOUNT NO.
ACCOUNT TYPE

SAVINGS
MICR NUMBER :

CURRENT

SAVINGS
MICR NUMBER :

CURRENT

OTHERS
IFSC CODE :

OTHERS
IFSC CODE :
DEPOSITY ACCOUNT(S) DETAILS

SECTION E
DEPOSITORY PARTICIPANT NAME
DEPOSITORY NAME (NSDL / CDSL):
DP ID:
BENEFICIARY NAME:
BENEFICIARY ID (BO ID)
SECTION F
TRADING PREFERENCES
NAME OF THE NATIONAL DATE OF CONSENT FOR TRADING ON SIGNATURE OF THE CLIENT
COMMODITY EXCHANGE
CONCERNED EXCHANGE
(2/8)
MULTI COMMODITY EXCHANGE

__________________(DD/MM/YYYY)

SECTION G
NO PRIOR EXPERIENCE

INVESTMENT / TRADING EXPERIENCE

_____ YEARS IN COMMODITIES

SECTION H
LOCAL SALES TAX STATE REGISTRATION NO.
CENTRAL SALES TAX REGISTRATION NO.
OTHER SALES TAX REGISTRATION NO.

_____YEARS IN OTHER INVESTMENT RELATED FIELDS

SALES TAX REGISTRATION DETAILS (As applicable, State wise)

VALIDITY
DATE NAME OF THE STATE
(DD/MM/YYYY)
VALIDITY DATE (DD / MM / YYYY)

SECTION I
LOCAL VAT REGISTRATION NO.

VALIDITY
DATE NAME OF THE STATE
(DD/MM/YYYY)
VAT DETAILS (As applicable, State wise)
VALIDITY DATE (DD/MM/YYYY) NAME OF THE STATE

OTHER VAT REGISTRATION NO.

VALIDITY DATE (DD/MM/YYYY)

NAME OF THE STATE

SECTION J
PAST REGULATORY ACTIONS
Details of any action / proceedings initiated / pending / taken by FMC / SEBI /Stock Exchange / Commodity Exchange / any other
authority against the client during the last 3 years:
SECTION K
DEALING THROUGH OTHER MEMBERS
If client is dealing through any other Member, provide the following details (in case dealing with multiple Members, provide
details of all in a separate sheet containing all the information as mentioned below):
Members / Authorised Persons (AP) Name
Exchange
Exchange Registration Number
Concerned Members Name with whom the AP is registered
REGISTERED OFFICE ADDRESS:
Phone
Fax

Email

CLIENT CODE

Website

Details of disputes / dues pending from/to such Member / AP:

SECTION L
NAME OF THE INTRODUCER

STATUS OF INTRODUCER
EXISTING CLIENT

INTRODUCER DETAILS (optional)

AUTHORISED PERSON
OTHERS, Please specify_________________

ADDRESS AND PHONE NO OF THE

INTRODUCER
SIGNATURE OF THE INTRODUCER
SECTION M
ADDITIONAL DETAILS
Whether you wish to receive communication from Member in Electronic Form on your Email-ID
YES
(If yes, please fill in ECN Declaration)
SECTION N
NOMINATION DETAILS
I WISH TO NOMINATE
I DO NOT WISH TO NOMINATE
NAME OF THE NOMINEE
RELATIONSHIP WITH THE NOMINEE
PAN NO OF NOMINEE
DATE OF BIRTH OF NOMINEE
ADDRESS AND PHONE NO OF THE
NOMINEE
IF NOMINEE IS A MINOR, DETAILS OF GUARDIAN
NAME OF GUARDIAN
ADDRESS AND PHONE NO OF THE
GUARDIAN
SIGNATURE OF GUARDIAN
PRIMARY WITNESS
SECONDARY WITNESS
NAME
NAME
ADDRESS
ADDRESS
SIGNATURE
SIGNATURE
DECLARATION
1.

2.
3.

NO

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 change therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am are
aware that I may be held liable for it.
I confirm having read/been explained and understood the contents of the tariff sheet and all voluntary/non-mandatory documents.
I further confirm having read and understood the contents of the Rights and Obligations document(s), Risk Disclosure Document and Dos
and Donts. I do hereby agree to be bound by such provisions as outlined in these documents. I have also been informed that the standard set of
documents has been displayed for Information on Members designated website, if any.

PLACE : _________________ DATE: _______________(DD/MM/YYYY)

___________________________
X SIGNATURE OF CLIENT (3/8)

FOR OFFICE USE ONLY

UCC ALLOTED TO THE CLIENT:
NAME OF THE EMPLOYEE
EMPLOYEE CODE
DESIGNATION OF THE EMPLOYEE
DATE : (DD/MM/YYYY)

DOCUMENTS VERIFIED WITH ORIGINAL

SIGNATURE OF THE EMPLOYEE

We undertake that we have made the client aware of tariff sheet and all the voluntary/non-mandatory documents. We have also made the
client aware of Rights and Obligations document (s), RDD, Dos and Donts and Guidance Note. We have given/sent him a copy of all the
KYC documents. We undertake that any change in the tariff sheet and all the voluntary/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, if any,
for the information of the clients.
FOR NAVIA COMMODITIES BROKER P LTD

DATE: _____________ (DD/MM/YYYY)

Authorised Signatory

TARIFF SHEET
To,
NAVIA COMMODITIES BROKER P LTD
GANGA GRIHA, 5th FLOOR,
9, NUNGAMBAKKAM HIGH ROAD,
CHENNAI 600 034
TAMIL NADU
Sub: Request for subscription to the TRADEPLUS INFINITY PLAN
Dear Sir,
I would like to subscribe to the Navia Commodities Broker P Ltd plans and request Navia Commodities Broker P Ltd
to apply any applicable monthly subscription tariff as per the terms and conditions of Tradeplus Infinity Plan of Navia
Commodities Broker P Ltd. I hereby authorize Navia Commodities Broker P Ltd to debit my Subscription
Management Portal (SMP) ledger for the subscription amount as per terms and conditions of TRADEPLUS INFINITY
PLAN.
TRADE PLUS INFINITY PLAN
Subscription for a monthly fee of Rs.1950/- for TRADE PLUS INFINITY PLAN. By subscribing this plan, I can do
unlimited trading in my trading account for MCX Commodity Trading Account and renew the same automatically
every month.
STATUTORY CHARGES
In addition to the above monthly subscription charges, the following statutory charges will also be levied.
Commodity Transaction Tax
Stamp Duty
Transaction Charges
Education and Higher Education Cess
Service Tax
Electronic Contract Notes (ECN) is free. Physical Contract Note copies are charged at Rs.50/- per contract
note.
Call and Trade Charges, Trade alert SMS and other charges as per terms and conditions mentioned in the
subscription management portal.
Physical delivery of commodities will not be allowed. Agri Commodities are disabled from trading.
Depository Participant charges as applicable.
Terms and conditions can be subject to change.
The terms and conditions of the Navia Commodities Broker P Ltd plans have been read and understood by me. I
wish to avail the plans provided by Navia Commodities Broker P Ltd for my trading account subject to the terms and
conditions mentioned above.
I declare that I have read and understood the terms and conditions governing the Navia Commodities Broker P Ltd
TRADEPLUS INFINITY PLAN and shall agree and abide by the same.

CLIENTS NAME
CLIENTS SIGNATURE X (4/8)
DATE (DD/MM/YYYY)
6

ACKNOWLEDGEMENT
To,
Navia Commodities Broker P Ltd
th
Ganga Griha, 5 Floor,
No.9, Nungambakkam High Road,
Chennai 600 034.
Dear Sir / Madam,
I hereby acknowledge receipt of the following documents:
1.
2.
3.
4.
5.
6.
7.

Rights and Obligations of Members, Authorized Persons and Clients

Risk Disclosure Document
Guidance Note Dos and Donts for Trading on the Exchange(s) for Investors
Internet & wireless Technology based Trading facility provided by Members to clients
Policies and Procedure
Terms & Conditions of Subscription Management Portal (SMP)
Authorization for Running Account Settlement

I understand that the voluntary documents executed by me are out of my own free will. I hereby confirm that I have clearly
understood and agree to abide by the Terms and Conditions described by Navia Commodities Broker P Ltd. I also understand
that these Terms and Conditions can be changed by Navia Commodities Broker P Ltd from time to time with prior notice of 7
days and subject to posting of the amendments and modifications therein on its website and their applicability with prospective
effect.
I state that I have read and understood all above documents including the Terms and Conditions governing commodities trading
and broking services of Navia Commodities Broker P Ltd and agree to abide by the same.
Yours faithfully,
CLIENTS NAME
DATE : (DD / MM / YYYY)
CLIENTS SIGNATURE (5/8) X

My Trade Plus Account My Number

MY ACCOUNT MY NUMBER is a unique proposition which gives the freedom to choose the number of your choice for the
account open by you. The chosen account number may be a specific pattern, a lucky number, favorite combination or just
something simple to remember! Your Trade Plus account number is 8 digit number of which you can select 8 digits basis your
preference OR choose the desired SUM of digits. Please give us your 3 preference
1.

Preference 1: _________________________

2.

Preference 2: _________________________

3.

Preference 3: _________________________

Note:
The MY ACCOUNT MY NUMBER facility needs to be availed at the time of account opening only. Not after that. Some fancy numbers have pricing. For more
details on fancy numbers and pricing please visit www.tradeplusonline.com/fancy If all the 3 preference numbers are not available/used then we reserve
the right to allot a number of our choice. If you have choosen a fancy number but have not purchased the same, then we will allot a number of our choice.

AUTHORIZATION FOR RUNNING ACCOUNT

To,
Navia Commodities Broker P Ltd
th
Ganga Griha, 5 Floor,
No.9, Nungambakkam High Road,
Chennai 600 034.

I am a registered client with you, and am dealing in commodity market, and have a Navia Commodities Broker P Ltd
client code as mentioned below.
I am aware that payout/credited from the exchange(s) against settlement of transactions as per settlement cycle is
available within the prescribed time of the payout from the Exchange. It is difficult for me to make available the
required funds on every pay-in of funds obligation / margin obligation. Hence, I request you to maintain my account
on a running basis and retain the payout received / credit balance in my account for my future obligation / margin
obligation or other liabilities unless I instruct otherwise.
If payment of funds is required, I shall request you in writing or through the web option for funds withdrawal on the
web login. Further, it may be noted that if required I may revoke this authorization at any time after giving request
in writing. This running account authorization would continue until it is revoked by me. The actual settlement of
funds shall be done at least once in a quarter if the balance available in my account is more than Rs. 10,000/- and
settlement will happen on the balance amount after retaining Rs. 10,000/- in my trading account.
While settling the account having outstanding obligations on the settlement date, you may retain the requisite funds
towards such obligations and may also retain the funds expected to be required to meet margin obligations for next
5 trading days, calculated in the manner specified by the exchanges.
I shall bring any dispute arising from the statement of account or settlement so made to your notice within 7 working
days from the date of receipt of funds or statement, as the case may be. In case of non-receipt of any such
communication the statement / settlement of running account shall be considered as final as agreed and accepted
by me.
Yours faithfully,
CLIENTS NAME
CLIENTS SIGNATURE (6/8) X

DATE : (DD / MM / YYYY)

AUTHORISATION FOR ACCOUNT MODIFICATION

If I were to add/modify/remove any of my detail including brokerage plans with Navia Commodities Broker Pvt. Ltd,
I authorize you to carry it out based on my request sent through an email to support@tradeplusonline.com from my
registered email address or intimation through an interface provided by you, whereto I have been allowed secured
access.
If you feel the need to do so, then at your own discretion, you may put in place appropriate mechanism to confirm the
request before or after its execution by way of a call from a recorded line, or otherwise, personal meeting, SMS or
other such other mode as you may deem fit.
Yours faithfully,
CLIENTS NAME
DATE : (DD / MM / YYYY)
CLIENTS SIGNATURE (7/8) X

ELECTRONIC CONTRACT NOTE (ECN) DECLARATION

To,
Navia Commodities Broker P Ltd
th
Ganga Griha, 5 Floor,
No.9, Nungambakkam High Road,
Chennai 600 034.
Dear Sir,
I, as a client of Navia Commodities Broker Pvt. Ltd., a member of MCX, as my broker undertake as follows:
1.
2.
3.

4.
5.
6.

I am aware that the Member has to provide physical contract note in respect to all the trades placed by me unless I
myself want the same in the electronic form.
I am aware that the Member has to provide electronic contract note for my convenience on my request only.
Though the Member is required to deliver physical contract note, I find that it is inconvenient for me to receive
physical contract notes. Therefore, I am voluntarily requesting for delivery of electronic con- tract note pertaining to
all the trades carried out / ordered by me.
I have access to a computer and am a regular internet user, having sufficient knowledge of handling the email
operations.
My email id is ____________________________________________________________. This has been created by me
and not by someone else.
I am aware that this declaration form should be in English or in any other Indian language known to me.

[The above declaration has been read and understood by me. I am aware of the risk involved in dispensing with the physical
contract note, and do hereby take full responsibility for the same]
(The above lines must be reproduced in own handwriting of the client -- please re-write the underlined lines above in your
own handwriting in the box provided below)

PLEASE WRITE HERE

Yours faithfully,
CLIENTS NAME:

PAN NUMBER

CLIENTS SIGNATURE (8/8) X

DATE (DD/MM/YYYY)

PLACE:

(FOR OFFICE USE ONLY)

VERIFICATION OF CLIENTS SIGNATURE
DESIGNATED OFFICER SIGNATURE

DATE (DD/MM/YYYY)

DESIGNATED OFFICER NAME:

CLIENTS UNIQUE CLIENT CODE