Kotak Securities Ltd., CONTRACT NOTE (Regulation 3.6)
(Currency Derivatives Segment of National Stock Exchange of India Limited) Correspondence Address:
Kotak Infiniti, 6th Floor, Building No. 21,
Infinity Park, Off Western Express Highway,
General A K Vaidya Marg, Malad (East),
Mumbai-400 097
TEL : (91) 22 - 6605 6825
FAX : (91) 22 - 6605 6544 / 45
REGD. OFFICE:
Bakhtawar, 1st floor,
229, Nariman Point, Mumbai-400 021
TEL: (91)22-66341100
FAX: (91)22-6630 3927, 6684 3271
Customer Service No. 1800 209 9191/ 1800 222 299 / 30305757
Email ID for Customer grievances : [email protected]
Chat:http://www.kotaksecurities.com/contactus/customercarechat.html
CDS
MEMBER: NATIONAL STOCK EXCHANGE OF INDIA LTD.
SEBI REGN.NO.INE 230808130. NSE CODE NO. TM 08081 CM : M 50669
To,
N PIN CODE -
RESIDENTIAL: , OFFICE: , MOBILE:
EMAIL: CONTRACT NO. : NSE/CDS /R /36642
DATE :21/06/2013
SEBI NO :
I.T.PAN / GIR No. :
Sir / Madam,
I/We have this day done by your order and on your account the following transactions: Stamp duty as required under the relevant stamp act to be
paid on consolidated basis.
Order No Order Time Trade No. Trade Time Security
(Contract Description) Buy /
Sell Quantity Gross Rate
per Security
(Rs.) Gross Value (Rs.) Brokerage
(Total)
(Rs.) Service
Tax
(Rs.) Net Amount
(Rs.)
2013062100269997 10:45:11 As Per Annex. 10:45:57 OPTCURUSDINR 26JUN2013CE 60.00 BUY 1000000 0.2400 240000.00 25000.00 3090.00 268090.00
2013062100273933 10:46:42 As Per Annex. 10:48:49 OPTCURUSDINR 26JUN2013CE 60.00 BUY 1000000 0.2400 240000.00 25000.00 3090.00 268090.00
OTHER CHARGES 0.48
Dr 536180.48
BRK / STAX - INCL ( STAX 12 % EDU. CESS 2% HIGH. SEC. 1%),SERVICE TAX INCLS 12.36% ON BROKERAGE , TRANSACTION & OTHER CHARGES IF ANY
Dealing Office Address:-1st Floor, Umiya Landmark,10/7, Lavelle Road,Bangalore – 560 001
Brokerage has been charged as stated and has been at rates not exceeding the official scale of brokerage and indicated separately. This contract is subject to the Rules, Bye-laws, Regulations and usages of The National Stock Exchange of India Limited. In matters where the Exchange is a party to the dispute, the Civil Courts at Mumbai shall have exclusive jurisdiction and in all other matters, proper courts within the area covered under the Regional Arbitration Centre shall have jurisdiction in respect of the arbitration proceedings falling under or conducted in that Regional Arbitration Centre. This contract constitutes and shall be deemed to constitute as provided overleaf an agreement between you and/me/us and in the event of any claim (whether admitted or not), differences or disputes in respect of any dealings, transactions and contracts of a date prior or subsequent to the date of this contract (including any question whether such dealings, transactions or contracts have been entered into or not) shall be referred to arbitration as provided in the Rules, Bye-laws and Regulations of the National Stock Exchange of India Limited.The provisions printed overleaf form a part of the contract.
DOs and DONT's :
(1) Insist on valid client code from Kotak Securities Limited before commencing operations. (2) Insist on contract note for trades done, issued by Kotak securities Limited. (3) Issue cheques/draft in favour of Kotak Securities Limited for Offline clients & Kotaksecurities.com for Online clients, mention client code on the reverse side of cheques/draft. Do not pay cash for any of your transaction. (4) Do not undertake transaction for others. (5) Do not sign blank delivery instruction slip(s) and always transfer shares to the POOL Account of Kotak Securities Limited while meeting security pay in obligation. (6) Ensure the shares are transferred to your own Beneficiary account or Kotak Securities Limited account, while giving security as margin.
Name of the Compliance Officer : Mr. Sandeep Chordia. Email id : [email][email protected]. Phone No: 66056825
PLACE: MUMBAI
DATE: Yours faithfully,
For K O T A K S E C U R I T I E S LTD.
Digital Authorised Signatory :Balkrishna Rane
Member of National Stock Exchange of India Ltd.
PAN/GIR NO. AAACK 3436 F
SERVICE TAX REG. NO. SB/BOMBAY - I/1041
EXTRACTS FROM THE BYELAWS & REGULATIONS PERTAINING TO ARBITRATION
(1) All claims, differences or disputes between the Trading Members interse and between Trading Members and Constituents arising out of or in relation to dealings, contracts and transactions made subject to the Bye-Laws, Rules and Regulations of the Exchange or with reference to anything incidental thereto or in pursuance thereof or relating to their validity, construction, interpretation, fulfillment or the rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions and contracts have been entered into or not shall be submitted to arbitration in accordance with the provisions of these Bye-laws and Regulations.
(2) In all dealings, contracts and transactions, which are made or deemed to be made subject to the Bye-laws, Rules and Regulations of the Exchange, the provisions relating to arbitration as provided in these Bye-laws and Regulations and shall form and shall be deemed to form part of the dealings, contracts and transactions and the parties shall be deemed to have entered into an arbitration agreement in writing by which all claims, differences or disputes of the nature referred to in clause (1) above shall be submitted to arbitration as per the provisions of these Bye-laws and Regulations.
(3) All claims, differences or disputes referred to in clause (1) above shall be submitted to arbitration within six months from the date on which the claim, difference or dispute arouse or shall be deemed to have arisen. The time taken in conciliation proceedings, if any, initiated and conducted as per the provisions of the Act and the time taken by the relevant authority to administratively resolve the claim, differences or disputes shall be excluded for the purpose of determining the period of six months.
(4) Save as otherwise specified by the Relevant Authority the seat of arbitration for different regions shall be as follows :
Seats of Arbitration STATES & UNION TERRITORIES COVERED BY THE RAC
REGIONAL ARBITRATION CENTRE (RAC)
DELHI DELHI, HARYANA, UTTAR PRADESH, HIMACHAL PRADESH, PUNJAB, JAMMU
& KASHMIR, CHANDIGARH, RAJASTHAN,UTTARANCHAL .
KOLKATA WEST BENGAL, BIHAR, ORISSA, ASSAM, ARUNACHAL PRADESH, MIZORAM,
MANIPUR, SIKKIM, MEGHALAYA, NAGALAND, TRIPURA,JHARKHAND, CHATTISGARH .
CHENNAI ANDHRA PRADESH, KARNATAKA, KERALA, TAMILNADU, ANDAMAN & NICOBAR,
LAKSHADWEEP, PONDICHERRY
MUMBAI MAHARASHTRA, GUJARAT, GOA, DAMAN, DIU, DADRA & NAGAR HAVELI,
MADHYA PRADESH
(5) Save as otherwise specified by the Relevant Authority, the criteria for selection of seat of arbitration for a particular matter is as follows :
Parties to Place of filling the Application for Arbitration Place of Hearing
Dispute
TM * V/s TM a) If the dealing offices of both trading Members from where the dealing was carried is situated in any one of the states covered by a particular RAC, then the Application for Arbitration shall be filed by the Applicant-Trading Member in that RAC. The Hearing shall be held at the RAC where the Applicant - Trading Member has filed the Application for Arbitration and the Respondent Trading Member shall attend the hearing in that particular RAC
b) If the dealing offices of both Trading Members from where the dealing was carried out are situated in states covered by different RAC then the Application for Arbitration shall be filed in the RAC covering the State in which the Respondent-Trading Member's dealing office is situated. -------------------------------- do -----------------------------
TM V/s C * & C V/s TM The Application for Arbitration shall be filed by the Applicant at the RAC covering the state in which the Constituent ordinarily resides. The Hearing shall be held in that RAC where the Applicant has filed the Application for Arbitration and the Respondent shall attend the hearing in that particular RAC
(6) Unless otherwise specifically agreed in writing between the Trading Member and the Constituent, in respect of any claims, disputes and differences arising out of internet trading between the Constituent and Trading Member, the seat of arbitration shall be the Regional Arbitration Centre within the area in which the Constituent ordinarily resided at the time of relevant trading, provided however in respect of a Non-Resident Indian Constituent, the seat of arbitration shall be the RAC in the area of which the correspondence office of the Trading Member is situated.
* "TM" stands for "Trading Member" and "C" stands for "Constituent"
For more details, please refer to chapter XI of the Bye-laws and Chapter 5 of Currency Derivative Trading Regulations of National Stock Exchange of India Limited.
(Currency Derivatives Segment of National Stock Exchange of India Limited) Correspondence Address:
Kotak Infiniti, 6th Floor, Building No. 21,
Infinity Park, Off Western Express Highway,
General A K Vaidya Marg, Malad (East),
Mumbai-400 097
TEL : (91) 22 - 6605 6825
FAX : (91) 22 - 6605 6544 / 45
REGD. OFFICE:
Bakhtawar, 1st floor,
229, Nariman Point, Mumbai-400 021
TEL: (91)22-66341100
FAX: (91)22-6630 3927, 6684 3271
Customer Service No. 1800 209 9191/ 1800 222 299 / 30305757
Email ID for Customer grievances : [email protected]
Chat:http://www.kotaksecurities.com/contactus/customercarechat.html
CDS
MEMBER: NATIONAL STOCK EXCHANGE OF INDIA LTD.
SEBI REGN.NO.INE 230808130. NSE CODE NO. TM 08081 CM : M 50669
To,
N PIN CODE -
RESIDENTIAL: , OFFICE: , MOBILE:
EMAIL: CONTRACT NO. : NSE/CDS /R /36642
DATE :21/06/2013
SEBI NO :
I.T.PAN / GIR No. :
Sir / Madam,
I/We have this day done by your order and on your account the following transactions: Stamp duty as required under the relevant stamp act to be
paid on consolidated basis.
Order No Order Time Trade No. Trade Time Security
(Contract Description) Buy /
Sell Quantity Gross Rate
per Security
(Rs.) Gross Value (Rs.) Brokerage
(Total)
(Rs.) Service
Tax
(Rs.) Net Amount
(Rs.)
2013062100269997 10:45:11 As Per Annex. 10:45:57 OPTCURUSDINR 26JUN2013CE 60.00 BUY 1000000 0.2400 240000.00 25000.00 3090.00 268090.00
2013062100273933 10:46:42 As Per Annex. 10:48:49 OPTCURUSDINR 26JUN2013CE 60.00 BUY 1000000 0.2400 240000.00 25000.00 3090.00 268090.00
OTHER CHARGES 0.48
Dr 536180.48
BRK / STAX - INCL ( STAX 12 % EDU. CESS 2% HIGH. SEC. 1%),SERVICE TAX INCLS 12.36% ON BROKERAGE , TRANSACTION & OTHER CHARGES IF ANY
Dealing Office Address:-1st Floor, Umiya Landmark,10/7, Lavelle Road,Bangalore – 560 001
Brokerage has been charged as stated and has been at rates not exceeding the official scale of brokerage and indicated separately. This contract is subject to the Rules, Bye-laws, Regulations and usages of The National Stock Exchange of India Limited. In matters where the Exchange is a party to the dispute, the Civil Courts at Mumbai shall have exclusive jurisdiction and in all other matters, proper courts within the area covered under the Regional Arbitration Centre shall have jurisdiction in respect of the arbitration proceedings falling under or conducted in that Regional Arbitration Centre. This contract constitutes and shall be deemed to constitute as provided overleaf an agreement between you and/me/us and in the event of any claim (whether admitted or not), differences or disputes in respect of any dealings, transactions and contracts of a date prior or subsequent to the date of this contract (including any question whether such dealings, transactions or contracts have been entered into or not) shall be referred to arbitration as provided in the Rules, Bye-laws and Regulations of the National Stock Exchange of India Limited.The provisions printed overleaf form a part of the contract.
DOs and DONT's :
(1) Insist on valid client code from Kotak Securities Limited before commencing operations. (2) Insist on contract note for trades done, issued by Kotak securities Limited. (3) Issue cheques/draft in favour of Kotak Securities Limited for Offline clients & Kotaksecurities.com for Online clients, mention client code on the reverse side of cheques/draft. Do not pay cash for any of your transaction. (4) Do not undertake transaction for others. (5) Do not sign blank delivery instruction slip(s) and always transfer shares to the POOL Account of Kotak Securities Limited while meeting security pay in obligation. (6) Ensure the shares are transferred to your own Beneficiary account or Kotak Securities Limited account, while giving security as margin.
Name of the Compliance Officer : Mr. Sandeep Chordia. Email id : [email][email protected]. Phone No: 66056825
PLACE: MUMBAI
DATE: Yours faithfully,
For K O T A K S E C U R I T I E S LTD.
Digital Authorised Signatory :Balkrishna Rane
Member of National Stock Exchange of India Ltd.
PAN/GIR NO. AAACK 3436 F
SERVICE TAX REG. NO. SB/BOMBAY - I/1041
EXTRACTS FROM THE BYELAWS & REGULATIONS PERTAINING TO ARBITRATION
(1) All claims, differences or disputes between the Trading Members interse and between Trading Members and Constituents arising out of or in relation to dealings, contracts and transactions made subject to the Bye-Laws, Rules and Regulations of the Exchange or with reference to anything incidental thereto or in pursuance thereof or relating to their validity, construction, interpretation, fulfillment or the rights, obligations and liabilities of the parties thereto and including any question of whether such dealings, transactions and contracts have been entered into or not shall be submitted to arbitration in accordance with the provisions of these Bye-laws and Regulations.
(2) In all dealings, contracts and transactions, which are made or deemed to be made subject to the Bye-laws, Rules and Regulations of the Exchange, the provisions relating to arbitration as provided in these Bye-laws and Regulations and shall form and shall be deemed to form part of the dealings, contracts and transactions and the parties shall be deemed to have entered into an arbitration agreement in writing by which all claims, differences or disputes of the nature referred to in clause (1) above shall be submitted to arbitration as per the provisions of these Bye-laws and Regulations.
(3) All claims, differences or disputes referred to in clause (1) above shall be submitted to arbitration within six months from the date on which the claim, difference or dispute arouse or shall be deemed to have arisen. The time taken in conciliation proceedings, if any, initiated and conducted as per the provisions of the Act and the time taken by the relevant authority to administratively resolve the claim, differences or disputes shall be excluded for the purpose of determining the period of six months.
(4) Save as otherwise specified by the Relevant Authority the seat of arbitration for different regions shall be as follows :
Seats of Arbitration STATES & UNION TERRITORIES COVERED BY THE RAC
REGIONAL ARBITRATION CENTRE (RAC)
DELHI DELHI, HARYANA, UTTAR PRADESH, HIMACHAL PRADESH, PUNJAB, JAMMU
& KASHMIR, CHANDIGARH, RAJASTHAN,UTTARANCHAL .
KOLKATA WEST BENGAL, BIHAR, ORISSA, ASSAM, ARUNACHAL PRADESH, MIZORAM,
MANIPUR, SIKKIM, MEGHALAYA, NAGALAND, TRIPURA,JHARKHAND, CHATTISGARH .
CHENNAI ANDHRA PRADESH, KARNATAKA, KERALA, TAMILNADU, ANDAMAN & NICOBAR,
LAKSHADWEEP, PONDICHERRY
MUMBAI MAHARASHTRA, GUJARAT, GOA, DAMAN, DIU, DADRA & NAGAR HAVELI,
MADHYA PRADESH
(5) Save as otherwise specified by the Relevant Authority, the criteria for selection of seat of arbitration for a particular matter is as follows :
Parties to Place of filling the Application for Arbitration Place of Hearing
Dispute
TM * V/s TM a) If the dealing offices of both trading Members from where the dealing was carried is situated in any one of the states covered by a particular RAC, then the Application for Arbitration shall be filed by the Applicant-Trading Member in that RAC. The Hearing shall be held at the RAC where the Applicant - Trading Member has filed the Application for Arbitration and the Respondent Trading Member shall attend the hearing in that particular RAC
b) If the dealing offices of both Trading Members from where the dealing was carried out are situated in states covered by different RAC then the Application for Arbitration shall be filed in the RAC covering the State in which the Respondent-Trading Member's dealing office is situated. -------------------------------- do -----------------------------
TM V/s C * & C V/s TM The Application for Arbitration shall be filed by the Applicant at the RAC covering the state in which the Constituent ordinarily resides. The Hearing shall be held in that RAC where the Applicant has filed the Application for Arbitration and the Respondent shall attend the hearing in that particular RAC
(6) Unless otherwise specifically agreed in writing between the Trading Member and the Constituent, in respect of any claims, disputes and differences arising out of internet trading between the Constituent and Trading Member, the seat of arbitration shall be the Regional Arbitration Centre within the area in which the Constituent ordinarily resided at the time of relevant trading, provided however in respect of a Non-Resident Indian Constituent, the seat of arbitration shall be the RAC in the area of which the correspondence office of the Trading Member is situated.
* "TM" stands for "Trading Member" and "C" stands for "Constituent"
For more details, please refer to chapter XI of the Bye-laws and Chapter 5 of Currency Derivative Trading Regulations of National Stock Exchange of India Limited.
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