ARG COMPLIANCE MANUAL - Rathi Online

Undertaking to be procured from client as a Surveillance MeasureClient Code : _______From _____________Address :__________________________________________________________Date : ___________________To,Anand Rathi Share and Stock Brokers Ltd /4th Floor, Silver Metropolis,Jay Coach Compound,Opp. Bimbisar Nagar,Goregaon (E),Mumbai - 400 063Dear Sir / MadamSub. : Trades done in Scrip Name on trade dateI/ We hereby confirm that I / We, our associate(s), relatives, sister companies, Partner(s), Promoter(s) /relative(s) and / or directors are not in any manner counter party to the buy /sell trades of __________ shares inthe scrip of _____________________ listed on BSE – Cash Segment and / or NSE – Cash Segment nor I/weam/are acting on behalf of any third party and/ or purchase of the shares is from our own funds.I/We hereby confirm with, that we have complied with all the guidelines and circulars issued by SEBI andExchanges or any other regulatory authority in this regard.I/We also declare that I / We am / are not trading in above mentioned security for influencing any change inprice, but purely for the Investment purpose. The same is / was bought from my / our own funds.I/We further declare that I/We am/are not associated with the promoter of the aforesaid company.I/We furthermore assure you that the trading in the aforesaid scrip does not tantamount to any unfair tradingpractice and I/we am/are not involved in any circular trading and not trading with a view to create false marketI/We will be submitting you or concerned agency(s) any information asked within 24 hours of receipt ofnotice.I/We further agree to indemnify and keep indemnified Anand Rathi Share and Stock Brokers Ltd /Anand RathiFinancial Services Ltd. in case of any query / liability or action taken by the Exchange / SEBI or any otherregulatory authority in this matter.Yours Truly,Authorised Signatory56