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Tripartite Agreement Between Stock Broker Sub-Broker And Client

the conditions under which a client may not be allowed to occupy an additional position or where the broker may close a client`s existing position; The customer creates/makes available to the stockbroker his own e-mail ID. It cannot be established by the stockbroker; The stockbroker may publish electronic contact notes if the client expressly authorizes it under the following conditions: Stockbrokers will take the necessary measures to immediately implement this circular and ensure its full compliance with all existing or new clients, no later than March 31, 2010. The exchanges are addressed to – 2 b) The sub-broker is not related to another member of the same exchange; (c) the sub-broker has the necessary infrastructure, such as adequate offices, equipment and manpower, to carry out its activities. 3. The client is registered with the sub-broker as a client to benefit from intermediation services through the sub-broker associated with the broker and wishes to invest/trade in such securities/contracts/other instruments admitted to trading on the stock exchange, as defined in the rules, statutes and regulations of the Exchange and in the circulars issued from time to time. A copy of the customer registration form is attached to it. (4) The broker has assure itself of the client`s authenticity and financial soundness and the relevant investment objectives for the services to be provided and will ensure this at all times. and 5. While the broker has taken steps and must take steps to draw the client`s attention to the exact nature of the broker/sub-broker`s liability for the trades to be carried out, including any restrictions, liability and ability in which the broker/sub-broker acts. NOW THIS AGREEMENT IS ATTESTED AND IT IS AGREED BETWEEN THE STOCKBROKER, THE SUB-BROKER AND THE CLIENT AS FOLLOWS: 1. The stockbroker and the sub-broker acknowledge and confirm: that the sub-broker is related to the stock broker and that, within the scope of the power given in these gifts, the sub-broker is authorized to act as a sub-broker within the meaning and subject to the sebi (Stock Brokers and Sub-Brokers) rules, 1992 and SEBI (Stock Brokers and Sub-Brokers) Regulations 1992 (hereinafter referred to as the above rules and regulations) in the version in force, to assist the client in buying, selling or trading securities through the broker. .

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