ACE INVESTMENT ADVISORY

13, M.C. Complex, Paonta Sahib - 173025 (H.P.)

Email-Id :- kyc@aceinvestmentadvisory.com

KYC AND RISK-PROFILE FORM

***As per prescribed by SEBI circular No. CIR/MIRSD/16/2011 dated 22th Aug.2011***
              ***and SEBI/HO/IMD/DF1/CIR/P/2019/169 dated 27th Dec.2019***

(I)Note:- All Fields Marked with (*) are Mandatory.

A. *IDENTITY DETAILS  (All Fields Are Mandatory)

Name of the Applicant: Father/ Spouse Name: Gender: Male   Female Marital status: Single Married

Please affix your recent passport size photograph and sign across it

Date of birth:	DD 01 02 03 04 05 06 07 08 09 10111213141516171819202122232425262728293031 MM 01 02 03 04 05 06 07 08 09 10 11 12 YYYY 19201921192219231924192519261927192819291930193119321933193419351936193719381939194019411942194319441945194619471948194919501951195219531954195519561957195819591960196119621963196419651966196719681969197019711972197319741975197619771978197919801981198219831984198519861987198819891990199119921993199419951996199719981999200020012002200320042005200620072008200920102011201220132014  (DD/MM/YYYY)
Nationality:	select INDIAN OTHERS
Status:	Resident Individual Non Resident Foreign National FPI Categories III
PAN No.:

Unique Identity Number(UID)(Aadhaar):

Specify the proof of Identity submitted:

select Passport Pancard Voters Identity Card Ration Card Unique Identification Number(uid) Registered Lease or Sale Agreement of Residence Driving License Flat Maintenance Bill Utillity Bill Like Telephone Bill(land line) Electricity Bill or Gas Bill Insurance Copy Bank Account Statement/Passbook Self-declarartion by High court and Superme court Judges Proof of address issued by Bank Managers of Scheduled Commercial Proof of address issued by Bank Managers of Scheduled Co-Operative Proof of address issued by Bank Managers of Multinational Foreign Bank Proof of address issued by Gazetted Officer Proof of address issued by Notary public Proof of address issued by Elected representatives to the Legislative Assembly Proof of address issued by Parliament Proof of address issued by Govt. or Statutory Authority ID Card with address issued by Central/State Govt. ID Card with address issued by Statutory/Regulatory Authorities ID Card with address issued by Public Sector Undertakings ID Card with address issued by Scheduled Commercial Bank ID Card with address issued by Public financial Institution ID Card with address issued by Colleges affilliated to Universities ID Card with address issued by Professional bodies such as ICAI ID Card with address issued by Professional bodies such as ICWAL, ICSL Bar Council etcto their Mamber Credit Card /Debit Card

B. *ADDRESS DETAILS  (Address's is Mandatory)

Address:		City/Town/Village:
Pin Code:		State:
Country:

*Specify the proof of address submitted for correspondence address:

select Passport Pancard Voters Identity Card Ration Card Registered Lease or Sale Agreement of Residence Driving License Flat Maintenance Bill Utillity Bill Like Telephone Bill(land line) Electricity Bill or Gas Bill Insurance Copy Bank Account Statement/Passbook Self-declarartion by High court and Superme court Judges Proof of address issued by Bank Managers of Scheduled Commercial Proof of address issued by Bank Managers ofScheduled Co-Operative Multinational Foreign Bank Proof of address issued by Gazetted Officer Proof of address issued by Notary public Pan Card Proof of address issued by Parliament Proof of address issued by Govt. or Statutory Authority ID Card with address issued by Central/State Govt. ID Card with address issued by Statutory/Regulatory Authorities ID Card with address issued by Public Sector Undertakings ID Card with address issued by Scheduled Commercial Bank ID Card with address issued by Public financial Institution ID Card with address issued by Colleges affilliated to Universities ID Card with address issued by Professional bodies such as ICAI ID Card with address issued by Professional bodies such as ICWAL ID Card with address issued by Professional bodies such as ICSL Bar Council etc to their Mamber Proof of address in the name of the spouse Latest Demat Account Statement Registration Certificate issued under shops and Establishments Act Unique Identification Number(uid)

Address:		City/Town/Village:
Pin Code:		State:
Country:

*Specify the proof of address submitted for correspondence address:

select Passport Pancard Voters Identity Card Ration Card Registered Lease or Sale Agreement of Residence Driving License Flat Maintenance Bill Utillity Bill Like Telephone Bill(land line) Electricity Bill or Gas Bill Insurance Copy Bank Account Statement/Passbook Self-declarartion by High court and Superme court Judges Proof of address issued by Bank Managers of Scheduled Commercial Proof of address issued by Bank Managers ofScheduled Co-Operative Multinational Foreign Bank Proof of address issued by Gazetted Officer Proof of address issued by Notary public Pan Card Proof of address issued by Parliament Proof of address issued by Govt. or Statutory Authority ID Card with address issued by Central/State Govt. ID Card with address issued by Statutory/Regulatory Authorities ID Card with address issued by Public Sector Undertakings ID Card with address issued by Scheduled Commercial Bank ID Card with address issued by Public financial Institution ID Card with address issued by Colleges affilliated to Universities ID Card with address issued by Professional bodies such as ICAI ID Card with address issued by Professional bodies such as ICWAL ID Card with address issued by Professional bodies such as ICSL Bar Council etc to their Mamber Proof of address in the name of the spouse Latest Demat Account Statement Registration Certificate issued under shops and Establishments Act Unique Identification Number(uid)

C. CONTACT DETAILS
*Mobile No: Tel. (Res.):

Tel. (Off.):     Email id:    
D. OTHER DETAILS
1. *Gross Annual Income:

	Below 2 Lakh		2-5 Lakh		5-10 Lakh
	10-25 Lakh		Above 25 Lakh

Details (Please Specify)

1. Net worth as on (Date)   (Net worth should not be older then 1 year).
2. *Occupation (Please tick any one and give brief details) :

Private Sector	Public Sector	Business	Professional
Agriculturist	Retired	Housewife	Student
Others(Please Specify):

*Please Tick, If applicable :

Politically Exposed Person (PEP)	Related to a Politically Exposed Person (PEP)
No Political Relation	Any other Information :

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 I may be held liable for it.

Name of the Applicant ______________________________________ Signature of the Applicant ___________________________________________

Date:_______________________

DISCLAIMER & TERMS

1. Ace Investment Advisory respects and values the right to privacy of each and every individual. By becoming clients you have a promise from our side that we shall remain loyal to all our clients and non clients whose information resides with us. This privacy policy of Ace Investment Advisory applies to the currents clients as well as former clients.
2. Your information, whether public or private, will NOT be sold , rented, exchanged, transferred or given to any company or individual for any reason without your consent.
3. Your information will be used SOLELY for providing the servicesto you for which you have subscribed to us and not for any other purposes.
4. Your information given to us represents your identity with us. If any changes are brought in any of the fields of which you have provided us the information, You shell bring it to our notice by either calling us or sending an email to us.
5. By filling out this form you are agreeing the comply with and be bound by the following terms and conditions of use along with the terms and conditions posted on the website www.aceinvestmentadvisory.com, which together with our privacy policy govern Ace Investment Advisory relationship with you in relation to the website.
6. By signing the form above, you agree to provide us your valid mobile number. Also by providing your mobile number, you provide us the consent to call you on the number provided by you and send SMS on your mobile number. You provide your consent for us to use your mobile numbers even if it is registered on the National 'DO Not Disturb' registry.
7. Ace Investment Advisory as a merchant shall be under no liability whatsoever in respect of any loss or damage arising directly or indirectly out of the decline of authorisation for any Transaction, on Account of the Cardholder having exceeded the preset limit mutually agreed by us with our acquiring bank from time to time.
8. Ace Investment Advisory is registered with SEBI Registration Number: INA100002958.

OFFICE USE ONLY

1. Self certified document received (Self-Attested). 2. Details match to KRA data basis. (...................................................) Authorised Signatory Date:

Seal/Stamp of the intermediary & Signature (For Ace Investment Advisory head office)

INSTRUCTIONS

1. Fill out the form in its entirety and put signature on all the pages along with the supporting documents.
2. Email the complete form along with the required documents to kyc@aceinvestmentadvisory.com Please note that your services can not be started before this form is received at Ace Investment Advisory as per SEBI regulations

RISK PROFILING AND RISK ASSESSMENT OF CLIENT

(II)Note:- We do not Provide any low risk services.

1). Name of the Applicant:
Investment Goal? [] Agressive Growth. Income and Growth. Income. Capital Preservation.	Proposed Investment Amount. [] ›15 lacs. 5-10 lacs. 3-5 lacs. 1-3 lacs.
Market Value of portfolio held? [] ›15 lacs. ›10 lacs. ›5 lacs. ‹5 lacs.	How was your experience with investing in the market? [] Very positive and would like to keep on investing. I am new to the market and very cautious while investing . I have incurred losses in the past and invest very cautiously. Very bad.
Risk Tolerance? [] Very Aggressive. Aggressive. High. Medium.	What is your Age Group?[] Under 35. Under 45. 46-55. 55-60. 60 Above.

Above Mentioned Services fall into the risk category choosen by you. If you agree to the above then click Yes.If you do not agree please click NO.

Yes     No

If you disagree to the above risk assesment please select atleast two or more services mentioned below.

1. MULTIBAGGER STOCK ADVISE = Medium [Min. Recommended Investment 2Lac. Above]
2. HNI PREMIUM RESERCH SERVICE = Very High [Min. Recommended Investment 20Lac. Above]
3. MOMENTUM STOCK ADVISE = High [Min. Recommended Investment 5Lac.]
4. NIFTY AUTO-TRADING SERVICE (INTRADAY) = High [Min. Recommended Investment 1Lac.]
5. NIFTYBANK AUTO-TRADING SERVICE (INTRADAY) = High [Min. Recommended Investment 1Lac.]

Risk involved with the above mentioned services will be the responsibilty of the applicant himself/herself.

(III)Note:-

If you are willing to get our services, all the responsibility of loss or profit whether big or small, through holding or in intraday market, would only be yours and not of the company or any person associated with the company.

If you agree to the above then click "YES".If you do not agree please click "NO".

Yes     No

Investment risk profile

In setting up an investment portfolio suitable for you, your financial adviser will ask you a series of questions about your financial and lifestyle goals. Using this information, plus details of your current assets, liabilities and income, your adviser can determine what level of risk or exposure you are prepared to tolerate in relation to fluctuations in the marketplace - and the level that makes sense for your stage in life. From this, an appropriate mix of assets can be allocated to your investment portfolio.

Your Total Score	Your Investment Profile
(17 Above)-Very Aggressive Investors	As an very aggressive investor you are ready to take higher risk expecting greater returns. This is a result of your urge to get more income and capital growth. You are well place to recover from unforseen market downturns either because you have time on your side or access to to capital returns. Highest Risk 100%
(13-16)-Aggressive Investors	As an aggressive investor you are ready to take higher risk expecting greater returns. This is a result of your urge to get more income and capital growth. You are well place to recover from unforseen market et downturns either because you have time on your side or access to to capital returns. Highest Risk 70%
(9-12)-High Growth Investors	As a high growth investor your portfolio should have a bias towards capital growth and a little need of income. You are prepared to accept higher degree of volatility and risk. Highest Risk 40%
(4-8) Moderate Investor	As a moderate investor your investment portfolio is directly focused on capital growth as well as protecting the wealth already accumulated by you. Your portfolio should be yeilding capital for maintainingng assets. Calculated risk is accepted to yeild better returns. Highest Risk 30%

The questionnaire returns a score on the basis of which you fall in either of the category mentioned above. This assessment is made solely on the basis of your financial situation and the answers selected by you.
As your advisor, I and you confirm that we have worked together to determine your risk profile and the investment options that are best suited for your investment style.

Client Signature:_________________________________________________________

Date:_____________

Authorised Signatory_________________________________

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