Thursday, December 20, 2018 9:57 PM

Application Type : New Account Type : Individual ( Individual )

PERSONAL DETAILS

Name Mr Amol Deo Test

Address Test1

Pune - Ahmednagar Highway, Maliwada, Ahmednagar,

Maharashtra, India
Ahmednagar 12

Maharashtra

India

Date of birth 07-12-2018

Occupation Government sector

Nationality In-indian

Residential Status Resident individual

Politically exposed person No

PAN No ASDFG1212K

AADHAR NIL

GSTINNo NIL

Mobile (+91) 9820026695 Tel.

Email amolrdeo.cma@gmail.com

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APPLICANT DECLARATION
I hereby declare the details furnished above are true and correct to the best of my knowledge and belief and I undertaketo inform you of any changes therein, immediately. In
case any of the above information is found to be false or untrue or misleading or misrepresenting, I an aware that I may be held liable for it.
I hereby consent to receivi ng information from Central KYC Registry through SMS/Email on the aboveregistered number/email adress.

Financial Details

Gross Annual Income 5 - 10 lakhs

Horizon 19 Year(s)

Networth ₹10,000,000

Immediate financial needs

In 3 months ₹1,000

In 9 months ₹10,000

In 2 years ₹100,000

Current Asset Allocation -

In Equities ₹1,000

In Mutual funds ₹10,000

In Debt/ Fixed deposits ₹100,000

Risk Taking Ability Moderate

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DECLARATION
I hereby declare that the information furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you immediately of any changes
therein. Purnartha shall not be responsible in case, any of the above information
is found to be false or untrue or misleading. Purnartha shall not be liable for any losses caused due to wrong information provided by me above. I hereby authorize the
sharing of this information if demanded by any regulatory/ government/ other authority and to all SEBI registered KYC registration agencies.

RISK PROFILING QUESTIONNAIRE

1) Which of the following best describes your current stage of life?

Answer: e) Preparing for retirement. You own your home and have few financial burdens. You want to ensure that you can afford a
comfortable retirement.
2.) How familiar are you with investment matters?

Answer: d) Fairly familiar. I understand the various factors which influence investment performance.

3.) How long have you been investing, not counting your own home or bank type deposits?

Answer: b) Up to 3 years

4.) How long would you invest the majority of your money before you think you would need access to it? (Assuming you already have
plans to meet short term cashflow requirements and/ or emergencies)
Answer: c) Within 6 - 10 years

5.) Assuming that you have a fixed investment portfolio worth Rs.100,000. If, due to market conditions, your portfolio fell to Rs.85,000
within a short period, say a month, then you would: (If your portfolio has
experienced a drop like this, choose the answer that corresponds to your actual behaviour.)

Answer: c) Hold the investment and sell nothing, expecting the performance to improve.

6.) How secure is your current and future income from sources such as salary, pensions or other investments?

Answer: a) Not secure

7.) Apart from your home, have you ever borrowed money to make an investment?

Answer) No.

8.) Would you consider borrowing money to make an investment?

Answer) No.

Your risk profile is Assertive Growth. Definition : An Assertive investor is one who understands the
Risk Score is movement of investment markets. You are most interested in
21 maximising long-term capital growth, although you do not
wish to make unbalanced investment decisions. You are
happy to take calculated risks in order to maximise long term
capital growth. Tax advantaged investments are a focus
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DECLARATION
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 changes therein,
immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that Purnartha Investment Advisers Pvt. Ltd.
cannot be held liable for any losses caused due to wrong information provide by me above.

DISCLAIMER
I Mr Amol Deo Test hereby declare that

I would not like to disclose my complete financial information to Purnartha. I understand that due to incomplete information provided, my risk profiling and investment
advisory might not be in accordance with my actual risk taking ability

I would like Purnartha to provide advice for only a part of my portfolio. I understand that, due to providing advice on my partial portfolio, my risk profiling and investment
advisory might not be in accordance with my actual risk taking ability

Based on the information provided to Purnartha, my risk profile is Balanced. Based on my risk profile, the asset allocation recommended by Purnartha is 60% in equity, 40 %
in debt, 0% in cash. However, I would like to take an exception/ deviation from the recommended asset allocation and I hereby give my consent for an asset allocation of
100% in equity, 0% in debt, 0% in cash. I understand that, due to change in asset allocation, my risk profiling and investment advisory might not be in accordance with my
actual risk taking ability.

I shall not hold Purnartha responsible for any direct or indirect losses due to non-disclosure of complete financial information by me and/ or partial disclosure of my portfolio
by me and/ or recommendation of a revised asset allocation by Purnartha.

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TERMS & CONDITIONS
For the purpose of this document, “Purnartha” refers to Purnartha Investment Advisers Pvt. Ltd., a company incorporated under the Companies Act 1956, having its
registered office at 33, Rachana, Ground & 2nd floor, Dr. Ketkar Road, Bharati Niwas Society, Off Karve Road, Erandwane, Pune - 411 004, Maharashtra shall be referred to
as the "Purnartha" in the Terms and Conditions

1) Purnartha provides investment research with regards to securities. Purnartha has agreed to share this research with me and has registered itself with SEBI as an
"Investment Advisor" under the SEBI (Investment Advisor) Regulations, 2013, bearing registration number INA000000672.

2) I have provided all the necessary KYC information and undertake to comply with the KYC requirements on a continuous basis as and when asked for.

3) Appointment of Advisor and Advisory fees

3.1) I hereby appoint Purnartha as my Advisor to provide Advisory Service. I have duly filled the required information online and affirm that I agreed to all the terms and
conditions. I hereby agree that I have provided true and correct details and further agree that the terms and conditions presented hereafter are binding upon me and are
legally enforceable. Filing and submitting of the online information and paying the Fees to Purnartha would amount to entering into a legal contract by me with Purnartha and
I agree and confirm that no separate document/Agreement will be required for the said purpose I agree that the said form filled online by me and the terms and conditions
contained therein are legally binding on me and enforceable by and against me. By clicking the “I agree” button, I agree and confirm that I have read and understood all the
terms and conditions of the contract and that I wish to enter into the said Agreement with Purnartha.

3.2) I agree to pay the Advisory fee as per the plan selected by me which shall be a combination of fixed fee and return based fee (performance fee).
3.3) Fixed fee: I shall be liable to pay a fixed fee as per the plan selected by me plus applicable government taxes and levies. The fixed fee shall be paid up front at the time
of the start of advisory services. Thereafter, I shall be liable to pay fixed fee to Purnartha based on the plan selected by me at that point of time as per Purnartha's fee
structure. Purnartha shall intimate me about the same from time to time.
3.4) Performance fee: I shall be liable to pay a performance fee as per the plan selected by me plus the applicable government taxes and levies. Performance fee shall be
calculated as a % of the profit less hurdle rate on the return on the dealt with securities, which shall be generated at the end of the plan duration. Performance fees shall be
calculated proportionately based on the time and amount of my actual investment.
3.5) The performance fee shall be payable after the completion of the duration of the plan selected by me or termination of my contract with Purnartha whichever is earlier.
The performance fee is payable for each duration based on the High Water Mark principle.
3.6) I shall also pay any applicable taxes, levies or duties, including service tax that may be levied on any transactions undertaken pursuant to my contract with Purnartha

3.7) I shall be paying all fees within seven (7) days after amount is due. I agree that any late payment on my part shall attract simple interest @ 8% p.a. from the due date till
payment/realization.
3.8) All fees paid by me to Purnartha are non-refundable.
3.9) I understand that, for online payment of fees under this contract, I shall be redirected to Bill Desk/ any other payment gateway which Purnartha may use in future and Bill
Desk/ any other payment gateway which Purnartha may use in future online payment charges shall be applicable. I agree to the online payment charges of Bill Desk/ any
other payment gateway which Purnartha may use in future.
4) Powers of the Advisor
4.1) Purnartha may exercise the following powers on my behalf for the purpose of this contract at such time, in such manner as it may in its discretion think fit for the purpose
of performing its powers, duties and responsibilities set out hereunder:
To do or omit to do all such acts and things as Purnartha may in its discretion consider to be necessary or desirable in order to perform its duties hereunder or to comply with
any laws, orders, rules, regulations or directions of any government or regulatory or other authorities.

5) Conflict of interests
5.1) I understand that Purnartha serves as investment advisor for other clients and shall continue to do so. I also understand that Purnartha may give advice or take action in
performing its duties to other clients, or for its own accounts, that differ from advice given to or acts taken for me. Purnartha is not obligated to recommend for me any
security that any other investment advisor may recommend for any client or for its own accounts.

5.2) This contract does not limit or restrict Purnartha in any way from buying, selling or trading in any security or other investments for its own accounts.

6) Risk acknowledgements and indemnities

6.1) Purnartha does not guarantee the future performance of the securities it advises or any specific level of performance, the success of any investment suggestion or
strategy that it may use.

6.2) I understand that investment suggestions/ advisory made for me by Purnartha are subject to various market, currency, economic, political and business risks and that
these investment advices shall not always be profitable.

6.3) I expressly agree and undertake not to hold Purnartha liable, financially or otherwise, in respect of any losses caused to me due to above mentioned various risks under
any circumstances whatsoever

6.4) Without prejudice to the right of indemnity available to Purnartha under any law, I agree to indemnify and hold Purnartha harmless to the full extent against

6.4.1) All losses, damages, liabilities, costs and expenses I incur in connection with investigation of, preparation for and defense of any pending or threatened claim and any
litigation or other proceeding arising out of or related to any actual or proposed acts done or not done on Purnartha's engagement hereunder
6.4.2) Any negligence/ mistake or misconduct by me

6.4.3) Any breach or non-compliance by me of the terms and conditions

7) Confidentiality

7.1) Both parties to this contract (Purnartha and me) agree that this contract and all information obtained from the other party pursuant to this contract as confidential and
shall not divulge such information to any person (except as required for in the course of performing its (Purnartha’s) duties under the present Agreement ad except as
required under the provisions of law or rules made thereunder) without the other part's written consent, provided that this clause shall not extend to information which was
rightfully in the possession of such party prior to the commencement of the negotiations leading to this contract, which is already public knowledge or becomes so at a future
date (otherwise than as a result of a breach of this clause).
7.2) Further, I understand that the advisory service to be provided to me under this contract is confidential and shall be specific to the funds proposed to be invested by me
under this contract. I shall not use this advisory out of scope of this contract.
7.3) I further understand that, under the contractual and business relationship with channel Partners, Purnartha may require to provide my information to such channel
partner. Under such circumstances I will have no objection to provide any necessary information to such channel partner. Under such circumstances, Purnartha will take
necessary steps to maintain confidentiality of such information provided by me.
8) Term and Termination

8.1) The term of the present contract shall be the term of the plan selected by me.

8.2) Either of the parties may mutually terminate this contract by giving a written notice of thirty (30) days in advance to the other party and on the expiry of such notice
period, this contract shall stand terminated.
8.3) I agree and confirm that the terms and conditions of this contract shall continue to bind me during the said subsisting period of 30 days. If at any time during the term of
this contract, I fail to perform my obligations under this contract and/ or commit a breach of its representations and/ or warranties and/ or undertakings and/ or covenants and/
or obligations, Purnartha shall have the right to give written notice to me setting forth the breach of obligations under the contract. Unless within seven (7) days after the
giving of such notice, the breach is cured or steps have been taken in good faith and/ or being carried out with due diligence to cure the same, Purnartha may terminate this
contract and take such steps necessary as it may deem fit.
8.4) Upon termination of this contract, I undertake to settle the accounts including performance fee with Purnartha within three (3) days of the termination. I also undertake to
sell all the holdings advised by Purnartha during the term of this contract and provide the sell contract notes to Purnartha within one month from the date of termination of
this contract. I further understand that, in case I fail to provide the said sell contract notes to Purnartha within a said period of one month, Purnartha may take necessary
action against me for breach of present contract.
8.5) I understand that, for uninterrupted provision of advisory services, I shall have to renew my services plan with Purnartha. Auto renewal shall be considered executed if I
do not intimate Purnartha prior to a month before the plan expires. And in case of such autorenewal, I shall pay the necessary fees to Purnartha when they become due. I
further understand that, in case I fail to pay necessary fees within one month, Purnartha may close my services without giving intimiation.
8.6) Further in case of autorenewal, the term of the present agreement shall stand extended till further period according to my plan.

8.7) I further understand that, in view of clause 10.1 if I terminate the present contract by intimating Purnartha, present contract shall stand terminated on the day of receipt of
intimation sent by me to Purnartha and, I shall be liable to pay the performance fee computed as on the date of termination.
9) Dispute Settlement and Jurisdiction

9.1) This contract shall be governed and construed in accordance with the laws of India and exclusive jurisdiction limited to courts at Pune, India.

9.2) All disputes, claims, suits and actions arising out of this contract or its validity will be finally decided in accordance with the provisions of the Arbitration and Conciliation
Act, 1996. The disputes, if any, between the parties shall be adjudicated by a Sole Arbitrator and the award so passed by the Sole Arbitrator shall be binding on all parties.
The venue for arbitration shall be at Pune, India. Language of arbitration shall be English.
10) Miscellaneous
10.1) I hereby undertake that, I shall furnish my financial information & fill in the risk profiling questionnaire after every 2 years during the subsistence of this contract to
Purnartha for portfolio renewal.
10.2) Alteration

Purnartha may from time to time amend the contract if required for complying with any change in statute, regulation or with the requirements of any competent authority or if
required under its corporate policies. Under such circumstances, the Purnartha will give 7 days notice through e-mail to me for amending the present contract. I further
understand that, if on receipt of the notice, if I am unwilling to continue with the present contract on amended terms and conditions I shall intimate Purnartha within a period
of 5 days from the date of receipt of Notice. I understand that, in case, I continue to deal with Purnartha subsequent to the receipt of such notice, it shall be deemed that I am
agreeable to the new clauses and under such circumstances; such amendment shall be effective and binding on me from the date of receipt of intimation notice
10.3) Notices: Any notice or other communication of like nature that may be given by one party to the other shall always be in writing and shall be served by hand delivery
duly acknowledged or sent by registered post with acknowledgement due or through e-mail and by no other mode at the respective addresses of the parties or at such other
address as may be subsequently intimated by one party to the other in writing. Any such communication shall be deemed to have been served when sent by registered post
when the same is actually received by the addressee. There shall be deemed acceptance of the communication in case of refusal/ evasion of service of the communication.
10.4) If any part or any provision of this contract is or becomes illegal, invalid or unenforceable, that part or provision shall be ineffective to the extent of such invalidity or
unenforceability only, without in any way affecting the validity or enforceability of the remaining part of the said provision or the remaining provisions of the present contract.
IN CASE OF ANY DISCREPANCY IN ANY UPDATE/ INFORMATION/ SUMMARY, I SHALL ADVISE PURNARTHA WITHIN 5 WORKING DAYS.
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REFERENCE CODE

SP00004

PAYMENT DETAIL

New investment amount committed ₹ 10,000,000

Regular/SIP Regular

Duration 3 Year From 20-Dec-2018 To 19-Dec-2021

Details Initial fee (%) Hurdle Rate (%)

Plan selected 9.50% 95.00%

Fees Amount ₹ 1,121,000

Transaction Mode Cheque

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Bank Account Details
Bank Name ICICI BANK

IFSC Code ICIC0000038

Account No. 123456789