A

PROJECT
REPORT
ON
SHARE
MARKET
IN
SHRE KHAN
LTD
Submitted in partial fulfillment
for the
Award of degree of
Master
of Business
Administration (MBA)
Submitted By
Submitted
VIKAS
MBA 2nd sem

Acknowledgement
Preservation, inspiration and motivation have always
played a key role in the success of any venture. In the
present world of competition and success understanding of
theoretical and practical working makes you aware about the
real Business; willingly we prepared this particular project.
We would like to thank our faculty Prof. Samarjeet Sen

Gupta to give us the opportunity to do this project.

We would also like to thank the Microsec Capital Ltd. for
helping us to provide the information about their broking
firm.
And finally, we would like to thank EIILM for providing us the
platform to do this project and to learn about the different
broking firms

Declaration
We the student of Eastern Institute for Integrated Learning in
Management, Kolkata , declare that this project report title
A COMPARITEIVE STUDY OF VARIOUS BROKING FIRMS
submitted, is our original work and has not been previously
submitted as a part of any other degree or diploma of
another Business school or University.
The findings and conclusions of this report are based on our
personal study and experience.

Objectives
ofToinvestment
know the customers preference in different sector
and to know what are the factors
consider most important in order to choose their
broking firm.

To
know the different companies Activation and Other
charges.
To know about the different broking firms and to
make a comparison between them with the help of
primary and Secondary Data.

SWOT
ANALYSIS
Strenghts

It charges low and negotiable brokerage.

It has been able to maintain high level of
accuracy in its terminal, leaving all the
organizations behind.
Most experienced organization and possess high

level of technology.
SWOT
ANALYSIS
Strenghts

It charges low and negotiable brokerage.

It has been able to maintain high level of
accuracy in its terminal, leaving all the
organizations behind.
Most experienced organization and possess high
level of technology.

IN

SEB
I
DUSTRY DETAIL:-

Securities market has essentially three categories of participants namely the issuer of
securities, investors in securities and the intermediaries and two categories of products,
the services of the intermediaries the securities including derivatives.
The securities market has two interdependent and inseparable segments the new issue
(primary market) and the stock (secondary market). The primary market provides the
channel for sale of new securities while the secondary market deals in securities
previously issued

SEBI is a govt. body for regulate stock exchange market

ESTABLISHMENT OF SEBI The Securities and Exchange Board of India was enacted
on April 12, 1992 in accordance with the provisions of the Securities and Exchange
Board of India Act, 1992.

PREAMBLE The Preamble of the Securities and Exchange Board of India describes the
basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development
of, and to regulate the securities market and for matters connected therewith or
incidental thereto"

ORIGANATIONAL
STRATURE
Shri U K SINHA
CHAIRMAN
[email protected]

Shri PRASHANT
SARAN

Shri RAJEEV KUMAR

AGARWAL

WHOLE TIME
MEMBER

WHOLE TIME MEMBER

[email protected]

[email protected]

Shri S RAMAN

WHOLE TIME MEMBER

[email protected]

Shri Prashant Saran, Whole

Time Member
FUNCTION

EXECUTIVE DIRECTOR

Phone No./E-mail ID

Corporation Finance
Department(CFD)

Shri P K Nagpal

+91 22 26449995

Special Enforcement Cell

(SEC)

Shri S. Ravindran

[email protected]
+91 22 26449993
[email protected]

Investigations
Department(IVD)

Shri S. Ravindran

Office of Investor Assistance

and Education(OIAE)

Shri Gyan Bhushan

+91 22 26449993
[email protected]
+91 22 26449710
[email protected]

Department of Economic and Shri S. V. Murali Dhar Rao

Policy Analysis (DEPA)

+91 22 26449992
[email protected]

Human Resources
Direct
Development Division (HRD)
Shri Rajeev Kumar Agarwal,
Whole Time Member
FUNCTION

EXECUTIVE DIRECTOR

Phone No./E-mail ID

Market Regulation
Department(MRD)

Shri S. V. Murali Dhar Rao

+91 22 26449992

Integrated Surveillance
Department(ISD)

Shri Gyan Bhushan

Market Intermediaries
Regulation and Supervision
Department(MIRSD)

Shri R K Padmanabhan

Legal Affairs
Department(LAD)

Shri J Ranganayakulu

[email protected]
+91 22 26449710
[email protected]
+91 22 26449990
[email protected]
+91 22 26449991
[email protected]

General Services Department Shri S. Ravindran

(GSD) , (FMD) , Estb., (T&A)
and (P&S)

+91 22 26449993

Board Matters

+91 22 26449992

Shri S. V. Murali Dhar Rao

[email protected]

[email protected]
Official Language Division
(OLD)

Shri P K Nagpal

Office of International
Affairs(OIA)

Direct

Regional Offices(ROs)

Shri R K Padmanabhan

+91 22 26449995
[email protected]

+91 22 26449990
[email protected]

FATF and KYC Related

Shri R K Padmanabhan

+91 22 26449990

matters

[email protected]

Shri S Raman, Whole Time

Member
FUNCTION

EXECUTIVE DIRECTOR

Phone No./E-mail ID

Investment Management
Department (IMD)
Division of Funds (DF 1)
Division of Funds(DF 2& 3)

Shri Ananta Barua

Foreign Institutional Investors

and Custodian (FIIC)

+91 22 26449989
[email protected]

Collective Investment
Schemes (CIS)
General Services Department Shri S. Ravindran
(GSD) , (FMD) , Estb., (T&A)
and (P&S)

+91 22 26449993

Board Matters

+91 22 26449992

Shri S. V. Murali Dhar Rao

[email protected]

[email protected]
Official Language Division
(OLD)

Shri P K Nagpal

Office of International
Affairs(OIA)

Direct

Regional Offices(ROs)

Shri R K Padmanabhan

+91 22 26449995
[email protected]

+91 22 26449990
[email protected]

FATF and KYC Related

matters

Shri R K Padmanabhan

+91 22 26449990
[email protected]

Shri S Raman, Whole Time

Member
FUNCTION
Investment Management
Department (IMD)
Division of Funds (DF 1)
Division of Funds(DF 2& 3)
Foreign Institutional Investors

EXECUTIVE DIRECTOR
Shri Ananta Barua

Phone No./E-mail ID
+91 22 26449989
[email protected]

and Custodian (FIIC)

Collective Investment
Schemes (CIS)
Enforcement
Department(EFD)

Shri J Ranganayakulu

Enquiries and Adjudication

Department(EAD)

Direct

Parliament Questions (PQ)

Cell

Shri S. V. Murali Dhar Rao

+91 22 26449991
[email protected]

+91 22 26449992
[email protected]

RTI-Appellate Authority
Information Technology
Department(ITD)

Shri R K Padmanabhan

Office of Central
Public Information
Officer

+91 22 26449990
[email protected]

Dr. Anil
Kumar
Sharma,
CGM

+91
22
264
491
90
aks
@s
ebi.
gov
.in

Department

Division

Division Chief

Phone No./Email ID

Shri V S
Sundaresan,
CGM

+91 22 26449200

Division of Issues
and Listing

Smt. Harini
Balaji, DGM

+91 22 26449372

Division of Corporate
Restructuring

Shri Anindya
Kumar Das,
DGM

+91 22 26449616

Shri Biranchi
Narayan Sahoo,
GM

+91 22 26449250

Smt. Divya
Veda Pan, DGM

+91 22 26449302

Corporation
Finance
Department

Policy Cell

[email protected]

[email protected]

[email protected]

[email protected]

Shri Amit
Tandon, DGM

[email protected]
+91 22 26449373
[email protected]

Investment
Management
Department

Division of Foreign
Institutional Investors
(FIIs) and Custodians

Shri
S.Madhusudhan
an, DGM

+91 22 26449614

Collective
Investment Scheme

Shri R.S.
Srivastav, CGM

+91 22 26441555

Division of Funds-1
(Portfolio Managers,
Venture Capital,
Corporate Bonds,
etc.)

Shri Rajesh K
Dangeti, DGM
Smt. Barnali
Mukherjee, GM

[email protected]

Division of Funds-2

Shri Parag Basu,

CGM

[email protected]

Shri Rajesh
Gujjar, DGM

+91 22 26449360

Division of Funds - 3
(Mutual Funds)

[email protected]

[email protected]
+91 22 26449242

+91 22 26449660

[email protected]
+91 22 26449232
[email protected]

Department of
Economic and
Policy Analysis
(DEPA) and
Library

Statistics Division
(SD),
Publication Division
(PD)
Regulatory Research
Division (RRD),

Dr. Prabhakar
Reddy Patil,
GM

+91 22 26449270
[email protected]
+91 22 26449280

Dr. Sarat Kumar

Malik, GM

[email protected]
+91 22 26449692

History Cell (HC)

Shri Prasad
Jagdale, DGM

Policy Research
Division (PRD),

Shri Prabhas
Rath, DGM

+91 22 26449772

[email protected]

[email protected]

Systemic Stability
Unit (SSU)
Library
Enquiry and
Adjudication
Department

Enquiry and
Adjudication Officer

Shri D Ravi
Kumar, CGM

+91 22 26449210

Shri A Sunil
Kumar, CGM

+91 22 26449420

Shri Jayanta
Jash, CGM

[email protected]

[email protected]

Ms. Anita
Kenkare, GM

+91 22 26449430

Shri D Sura
Reddy, GM

+91 22 26449830

[email protected]

[email protected]
+91 22 26449140
[email protected]
Regional Offices NRO, Delhi
Dehradun Local
Office

Shri Amit
Pradhan,
Regional
Director

Chandigarh Local
Office

Shri Narendra
Rawat, DGM

Lucknow Local
Office

Shri Vijayant
Verma, DGM

+91 11 23456044

SRO, Chennai

Shri Mohd. Atif

Alvi, DGM

+91 11 2345604467

Shri Narendra
Rawat, DGM

[email protected]

Shri Vijayant
Verma, DGM

[email protected]

Bengaluru Local
Office,
Cochin Local Office
Hyderabad Local
Office
ERO, Kolkata
Bhubaneswar Local
Office

Shri Mohd. Atif

Alvi, DGM

Guwahati Local
Office

Shri Suresh B
Menon,
Regional
Director

Patna Local Office

Shri G Ramar,
GM

Ranchi Local Office

Shri G Ramar,
GM

Western Regional
Office (WRO),
Ahmedabad
Jaipur Local Office,
Panaji Local Office,
Raipur local Office
Indore Local Office

Shri Sanjay C
Purao, DGM

+91 11 23451020
[email protected]
+91 11 23456085
[email protected]

[email protected]

+91 44 28880200

+91 44 28880144
[email protected]
[email protected]
+91-040-23384475
+91 33 23023100
[email protected]
+91 33 23026105
[email protected]
+91 33 23023110

Shri S. V.
Krishna Mohan,
Regional
Director

[email protected]

Ms. Soma
Majumdar, GM

[email protected]

[email protected]
+91 79 26587117

Shri Amar
Navlani,
DGM
Shri Stephen
Manjesh Roy,
DGM

+91 79 26583633
[email protected]
+91 0731-4286406
[email protected]

Shri S. V.
Krishna Mohan,
Regional
Director
Shri Piyoosh
Gupta, Regional
Director
Shri Sudeep
Mishra, DGM
Shri Sudeep
Mishra, DGM
Shri Achal
Singh,
DGM
Market
Intermediaries
Regulation and
Supervision
Department

MIRSD1
MIRSD2
MIRSD3
MIRSD4
MIRSD5

Shri Sujit
Prasad, CGM

+91 22 26449460

Shri Aliasgar S
Mithwani,
DGM,

+91 2226449613

[email protected]

[email protected]

Shri
Krishnanand
Raghavan, GM

+91 2226449632

Shri Bhartendra
Gupta, DGM

+91 22 26449218

Smt. Asha
Shetty, DGM

[email protected]

Smt. Medha
Sonparote,
DGM

[email protected]

[email protected]

+91 22 26449258

+91 22 26449312
[email protected]

Legal Affairs
Department

Legal Affairs
Department
Division of Policy

Ms. Geetha G,
DGM

+91 22 26449540
[email protected]

Divisions of
Regulatory
Assistance
Market Regulation Market Regulation
Department
Department
Division of SRO
Administration (Self
Regulatory
Organizations (SRO)
include Stock
Exchanges,
Clearing/Settlement
Organizations,
Depositories etc.)

Ms. Bhavana
Ravikumar,
DGM

[email protected]

Shri P K
Bindlish

+91 22 26449680

CGM
Shri Sunil
Jaywant Kadam,
GM
Ms. Maninder
Cheema, DGM

[email protected]
+91 22 26449630
[email protected]
+91 22 26449754
[email protected]

Shri B J Dilip,
DGM

+91 22 26449682

Division of Market
Supervision (DMS)

Shri Shashi
Kumar
Valsakumar,
GM

+91 22 26449203

Division of Risk
Management and
New Products
(DRMNP)

Ms.Aparna
Thyagarajan,
DGM

Division of Policy
(DoP)

[email protected]

[email protected]
[email protected]

Investor Complaint
Cell (ICC)
Investigations
Department

Investigations
Department

Shri Suresh
Gupta, CGM

+91 22 26449290

Shri B
Rajendran, GM

+91 22 26449610

[email protected]

[email protected]

Shri Himadri
Shekhar Verma,
DGM

+91 22 26449319

Shri Amit
Kapoor, DGM

+91 22 26449374

Ms. Rachna
Anand, DGM

[email protected]

Ms. Jeny John,

DGM

[email protected]

Shri Santosh
Kumar Sharma,
GM

[email protected]

+91 22 26449582

+91 22 26449715
[email protected]
+91 22 26449330

Shri Sharad K
Sharma, GM

[email protected]

Shri Prasanta
Mahapatra ,
DGM

[email protected]

+91 22 26449490

+91 22 26449313

Shri G Ram
Mohan Rao ,

[email protected]

DGM

+91 22 26449691

Shri Pranjal
Jayaswal, DGM

[email protected]
+91 22 26449132
[email protected]

Integrated
Surveillance
Department

Integrated
Surveillance
Department
Integrated Market
Surveillance System

Ms. Ruchi
Chojer, GM

+91 22 26449310

Shri Debashis
Bandyopadhyay,
DGM

+91 22 26449243

Shri Saravanan
K , DGM

[email protected]

[email protected]
+91 22 26449220

Shri Manoj
Kumar, GM

[email protected]

Shri TVVPS
Chakravarti T,
DGM

[email protected]

Shri Manojan
Karayi, DGM

+91 22 26449260

+91 22 26449279
[email protected]
+91 22 26449642
[email protected]

Vigilance Cell

Office of
International
Affairs

Vigilance Cell

Office of
International Affairs

Ms. Jeny John,

DGM

+91 22 26449715

Shri Amarjeet
Singh, CGM

+91 22 26449810

Shri Ashish
Kumar, DGM

+91 22 26449615

[email protected]

[email protected]

[email protected]
Information
Technology
Department

Information
Technology
Department

Shri A. Rajan,
CGM

+91 22 26449500
[email protected]

Shri M S
Balasubramania
m, GM

+91 22 26449590

Shri Avneesh
Pandey, GM

+91 22 26449640

[email protected]

[email protected]

Shri Mihir
Kumar Sahoo,
DGM

+91 22 26449502

Shri Jitendra
Maurya, DGM

+91 22 26449503

[email protected]

[email protected]
Human Resources Human Resources
Development
Development
Division
Division

Shri Jayanta
Jash, CGM

+91 22 26449430

RTI

Shri Jeevan
Sonparote, GM

+91 22 26449110

Shri A Sunil
Kumar, CGM

+91 22 26449420

RTI

Special
Special Enforcement
Enforcement Cell Cell (SEC)
(SEC)

1. MARKET INTERMEDIARIES
REGULATION AND SUPERVISION
DEPARTMENT (MIRSD)
The Market Intermediaries Regulation and
Supervision Department is responsible for the
registration, supervision, compliance
monitoring and inspections of all market
intermediaries in respect of all segments of
the markets viz. equity, equity derivatives,
debt and debt related derivatives. The
Department also handles the work related to
action against the intermediaries for
regulatory violations (As regards action it is
clarified that the current practice of issuing
show cause notices, appointment of
Enquiry/Adjudication officers and
consequential action up to serving of
Chairmans order and maintenance of
database will be with the respective
Divisions). The following divisions will

[email protected]

[email protected]

[email protected]

perform the functions of the department.

1.1 MIRSD-1 (A-M)
This division would look after work relating
to registration, monitoring, supervision,
inspection, investor grievances and policy
related issues of Stock Brokers and Fees
related matters including coordination of
summary proceedings.
1.2 MIRSD-2 (N-Z)
This division would look after the work
relating to Registration, monitoring,
supervision, inspection, investor grievances
and policy related issues of Stock Brokers
and Sub-Brokers.
1.3 MIRSD-3
This division would look after the work
relating to Registration, monitoring,
supervision, inspection, investor grievances
and policy related issues of the following
Primary market related intermediaries:
1. Merchant Bankers
2. Registrars to Issue
3. Bankers to Issue
4. Underwriters.
1.4 MIRSD-4
This division would look after the work
relating to Registration, monitoring,
supervision, inspection, investor grievances
and policy related issues of the following
intermediaries:
Debenture Trustees,
Credit Rating Agencies
Depository Participants
1.5 MIRSD-5
This division looks into the matters relating to
the following intermediaries:
Sub-brokers

 Debenture Trustees
Bankers to Issue
2. MARKET REGULATION
DEPARTMENT (MRD)
The Market Regulation Department is
responsible for supervising the functioning
and operations (except relating to derivatives)
of securities exchanges, their subsidiaries,
and market institutions such as Clearing and
settlement organizations and Depositories.
(hereinafter collectively referred to as
Market SROs) The following Divisions will
perform the functions of the Department:
2.1 Division of Policy
Policy and practice relating to securities
exchanges in respect of trading, operations,
risk management at exchange level and other
related areas for all segments including Cash
market, Bond market, Equity Derivatives,
Currency derivatives and any other new
product once its trading stabilizes. Policy,
practice, registration and administration
relating to depositories.
2.2 Division of SRO Administration
Registration, recognition and administration
of Securities Exchanges, inspection of new
recognition of exchanges/exchange segments
and recommencement of trading, Framing
policy regarding SME Exchange, ownership
and governance of exchanges,
demutualization of exchanges and exit for
exchanges. Reviewing rule change proposals
relating to all policy issues and supervision of
securities exchanges. Issuing show cause
notices, appointment of Enquiry/Adjudication
officers and maintenance of database of all
MIIs.
2.3 Division of Market supervision
Conducting inspections of Market
Infrastructure Institutions (MII) includes all
segments of Stock Exchanges, Depositories
and CC. Monitoring and inspection of IT
infrastructure of MIIs..
2.4 Investor Complaints Cell

ICC would attend to complaints pertaining to

Securities Exchanges, Clearing Corporations
and Depositories.
2.5 Division of Risk Management and New
Products (DRMNP)
Recognition, administration and policy
relating to functioning and operations of
Clearing Corporations. Prescribing and
monitoring risk management and settlement
practices in clearing corporation. Approval of
new products and policy issues for new
products and developing it in capital market.
3. CORPORATION FINANCE
DEPARTMENT (CFD)
The Corporation Finance Department deals
with matters relating to (i) Issuance and
listing of securities, including initial and
continuous listing requirements (ii) corporate
governance and accounting/auditing
standards (iii) corporate restructuring through
Takeovers / buy backs (iv) Delisting etc.
The following divisions form part of this
Corporation Finance Department: Division of Issues and Listing (DIL)
Division of Corporate Restructuring
The division of issues and listing handles
works relating to the following:1. Policy pertaining to (i) primary market (ii)
disclosures (initial as well as continuous) (iii)
listing (iv) corporate governance (v)
Employee Stock Option (vi) Preferential
issues (vii) Qualified Institutional Placement
(QIP) (viii) common electronic filing
platforms viz. EDIFAR & CFDs (ix) listing
conditions and (x) vanishing companies in
consultation with Ministry of Corporate
Affairs (MCA) through the framework of
Coordination and Monitoring Committee
(CMC), set up by Government of India.
2. Issue of observations on the draft offer
documents of public and rights issues.
3. Operational matters pertaining to
accounting standards, compliance with
corporate governance, guidance to Stock

Exchanges on listing matters, vanishing

companies in consultation with respective
Registrar of Companies, allegations of noncompliance with listing agreement etc.
4. The following Committees of SEBI: Primary Market Advisory Committee
(PMAC)- to advise SEBI on policy issues
pertaining to Primary Market.
SEBI Committee of Disclosures and
Accounting (SCODA) - to advise SEBI on
disclosures and accounting related issues.
5. Regulatory action where required(As
regards action it is clarified that the current
practice of issuing show cause notices,
appointment of Enquiry/Adjudication officers
and consequential action upto serving of
Chairmans order and maintenance of
database will be with the Division).
3.2 Division of Corporate Restructuring:
The Division will handle the work relating to:
Policy related to corporate restructuring
Substantial Acquisition and Takeovers
Buy back of securities
Delisting of Securities
Coordinating with the Takeover Panel
Regulatory action where required. (As
regards action it is clarified that the current
practice of issuing show cause notices,
appointment of Enquiry/Adjudication officers
and consequential action up to serving of
Chairmans order and maintenance of
database will be with the Division).
Investor complaints relating to corporate
restructuring.
4. INVESTMENT MANAGEMENT
DEPARTMENT (IMD)
The Investment Management department is
responsible for registering and regulating
mutual funds, venture capital funds, foreign
venture capital investors, collective

investment schemes, including plantation

schemes, Foreign Institutional Investors,
Portfolio Managers and Custodians. The
following Divisions will perform the
functions of the Department;
4.1 Division of Funds 1((Portfolio Managers,
Venture Capital, Corporate Bonds, etc.) 2
(Mutual Funds) and 3 (Inspection of Mutual
Funds):
The Divisions handle the following works
related to their respective entities:
Registrations
Policy related issues
Inspections
Investor Complaints
. Regulatory actions.
Investor Complaints Cell:
The cell would receive complaints relating to
their respective entities from the OIAE and
take follow up action and report back to
OIAE. If regulatory action is required, the
Cell shall keep the OIAE informed.
4.2 Division of Foreign Institutional Investors
and Custodian
The Division will handle all work related to:
FIIs
Custodians
Regulatory action wherever required.
Investor Complaints Cell:
The cell would receive complaints relating to
FIIs and custodians from the OIAE and take
follow up action and report back to OIAE. If
regulatory action is required, the cell shall
keep the OIAE informed.
4.3 Division of Collective Investment
Schemes:
This Division administers the SEBI
(Collective Investment Schemes) Regulations

1999. It includes work relating to the

following :
Existing CIS entities
Investigating complaints of purported CIS
entities
Grant of provisional registration to existing
CIS entities in terms of regulation 73 of the
Regulation
Taking action against the entities for non
compliance with the regulations like,
prohibitory orders and launching prosecutions
against errant entities and their promoters/
directors and key management personnel.
Providing evidences in courts pertaining to
prosecution proceedings.
Registration of Collective Investment
Management Companies - CIMC
The above activities are also conducted at the
regional offices of SEBI, wherever the
address of the CIS entity is located.
Investor Complaints Cell:
The cell shall address the complaints of
investors relating to CIS or alleged CIS
entities from the OIAE. The Division shall
take action and report back to OIAE about the
same. The Regional Offices of SEBI report
the status of complaints to Head Office
Division of CIS. In case of regulatory actions,
the OIAE shall be informed about the same.
5. INTEGRATED SURVEILLANCE
DEPARTMENT (ISD)
The intergrated Surveillance department is
responsible for monitoring market activity
through market systems, data from other
departments and analytical software. The
department would be responsible for:
Developing, maintaining and operating an
integrated market surveillance system
including monitoring of all segments of the
markets.
Methodologies for capturing information
from media review, public complaints and

tips, other agencies, exchanges, and direct

solicitations; assignment of staff to handle
functions; method of logging and cataloguing
information; criteria for evaluating and
distributing information; input into tracking
and other systems.
Recognizing potentially illegal activities and
referrals to Investigations, Enforcement or
other departments
6. INVESTIGATIONS DEPARTMENT
(IVD)
The Investigations department is responsible
for:
Conducting investigations on potentially
illegal market activities.
Providing referrals to the enforcement
department.
Assisting the enforcement department in
enforcing SEBI action against violators.
(As regards action, the current practice of
issuing show cause notices, appointment of
Enquiry/Adjudication officers and
consequential action up to serving of
Chairmans order and maintenance of
database will be with the Department).
7. ENFORCEMENT OF DEPARTMENT
(EFD)
Enforcement Department is responsible for
proceedings related to regulatory action and
obtaining redress for violations of securities
laws and regulations against all market
participants, issuers and individuals and other
entities that breach securities laws and
regulations. The following Divisions will
perform the functions of the Department;
7.1 Division of Regulatory Action
The division shall enforce action against
market misdemeanors through SEBI
administrative proceedings. The role of the
Division shall commence from the time the
hearing before Chairman/Board is proposed.
The Division will assist the Chairman/Board
in its proceedings, prepare the orders, handle
all matters relating to SAT, appeals against

SAT orders and Court cases relating to

regulatory action. The Division will also
frame the procedures relating to the above
matters.
7.2 Division of Prosecutions
The division shall handle work related to
filing prosecution proceedings through the
courts and follow up to obtain conviction.
The Division will also frame procedures for
cooperation with public prosecutors, other
agencies and for making referrals to
prosecutors and other government agencies
8. LEGAL AFFAIRS DEPARTMENT (LAD)
The Department of Legal Affairs would be
responsible to provide legal counsel to the
Board and to its other departments, and to
handle non-enforcement litigation. The
following Divisions will handle the functions
of the Department.
8.1 Division of Policy:
The division would work to formulate SEBIs
legislative initiatives and review and
comment upon proposed legislation that
would affect the securities industry or SEBIs
authority or operation. It would handle
testimony and statutory drafting assistance.
The division would also be responsible for
establishing a clear legal framework and basis
for the various categories of SEBI
pronouncements (e., regulations, guidelines,
circulars, instructions, etc.,); the hierarchy of
their force and effect; the procedure for their
promulgation, amendment or repeal.
8.2 Division of Regulatory Assistance
The division would support other SEBI
departments in meeting their objectives by
providing assistance and guidance wherever
necessary in developing market rules and
interpretations.
9. ENQUIRIES AND ADJUDICATION
DEPARTMENT (EAD)
The Enquiries and Adjudication Department
would handle quasi judicial matters and
provide timely hearings and initiate
adjudication brought by the other

Departments against alleged violators who

are within SEBIs disciplinary jurisdiction.
The department would directly report to
Chairman.
10. OFFICE OF INVESTOR ASSISTANCE
AND EDUCATION (OIAE)
The Office will support SEBIs operations by
handling investor complaints centrally and be
the focal point of SEBIs investor education
effort. The Office would be the single point
interface with investors and would receive
complaints relating to all departments,
forward to the concerned departments, follow
up and respond to investors. The office shall
set up necessary systems and procedures to
handle his function.
The Office will also receive complaints
relating to issues, transfer of shares,
dividends, compliance with listing conditions,
corporate governance issues under the
purview of the Corporation Finance
department (Division of Issues and Listing)
and take follow up action.
11. GENERAL SERVICES DEPARTMENT
(GSD)
This department would support all of the
internal operations of SEBI. The Department
will have the following divisions.
11.1 Treasury and Accounts Division
The Division will handle work related to:
Development of SEBIs internal budget and
accounting systems
Presentation of reports and budgets to the
SEBI Board
Maintaining internal accounting records,
developing internal control systems for
collections and disbursements and other
financial controls
Managing SEBIs investments
11.2 Facilities Management Division
The division will be responsible for the
establishment and maintenance of the

physical facility housing the regulator and

related needs.
11.3 Official Language Division
The Division will handle the work related to
compliance with Governments official
language policy and Translation of certain
documents into the official language.
11.4 Office of the Secretary to the Board
The Office of the Secretary shall coordinate
Board meetings, record and maintain Board
decisions.
11.5 Protocol and Security Division
The division will handle work related to:
Protocol duties for visits/ meetings of senior
officials of SEBI and co-ordinating visits of
dignitaries to SEBI,
Security and Fire fighting duties in the
office and residential premises of SEBI,
Functioning of mailing desk and reception,
General upkeep of the office premises and
maintenance of SEBI buildings,
Verification of dead stock inventory for
SEBI's offices and residential premises
12. DEPARTMENT OF ECONOMIC AND
POLICY ANALYSIS (DEPA)
The Department will handle its functions
through the following Divisions:
12.1 Statistics Division
This division will maintain the data base for
entire capital/ securities market. It will collect
the data from various sources and also verify
their accuracy and continuously maintain/
update the data. This division would collect,
compile and share data within and out side
SEBI. This division will become repository of
data pertaining to the Capital/ Securities
Market, state of economy of India, RBI
policies, Union Budget and economic survey,
and other relevant international developments
etc. It would also access data from DWBIS

and filter/ analyse them to meet the

requirement of the user. This division would
be interface of SEBI for providing data with
respect to capital/ securities market. This
division would publish hand book of Statistic
on annual basis and would provide data tables
in SEBI monthly bulletin. Besides it will also
be responsible to provide available data for
replies to the Parliament
Questions/Government correspondence and
sharing of information with other statutory
bodies like Maharashtra Govt. Survey etc.
12.2 Publication Division
This division will prepare weekly and
monthly report to be sent to MOF. This
division will also coordinate the publication
of SEBI Monthly Bulletin, SEBI Annual
Report and report on the Securities Market.
This division will also prepare on monthly
basis the economic outlook of the country and
capital/ securities market and indicate any
early warning signal in the future trend. The
monthly economic review will be published
in SEBI Bulletin.
12.3 Regulatory Research Division
This division will prepare papers on
regulatory developments or changes in
regulatory structures such as Dodd-Frank in
USA and in other jurisdictions. This division
will also be responsible for co-ordination of
work relating to strategic action plan of SEBI.
It will also co-ordinate work relating to
Regulatory Impact Assessment (RIA). It will
also prepare on monthly basis a report on
global market review which will be published
in the SEBI Bulletin. This division will assist
in assessment of international standards,
FSAP etc. This division will also provide
information and inputs, research paper etc., to
Chairman in connection with his international
visits.
12.4 History Cell
This cell shall be depository of all the
material collected by SEBI for writing the
history of Indian securities market. It will
provide the assistance to the
researcher/academician pursuing the project
on history of Indian capital markets. It will

continue to strive to collect more and more

material relating to the History Project.
Besides, this division will undertake work
relating to periodic investor survey. It will
also be responsible for the organization of
lectures and conferences for DEPA.
12.5 Policy Research division
The other three divisions which will be Policy
Research division I, II and III will be
responsible for providing research based
input for policy formation by operational
departments or senior management. This
division will also undertake and co-ordinate
Academic Research on issues pertaining to
capital market.
a) Research Division I shall carry out
research pertaining to primary market,
takeovers and private equity, preferential
allotment etc. It will collect data relating to
primary market and takeover activities and
will coordinate with CFD for policy research.
It will also prepare a monthly review of the
primary market which will be published in
SEBI bulletin. It would also represent in
PMAC, SCODA, etc.
b) Research Division II will provide research
based input for policy formation relating to
secondary market operations, derivatives,
depositories, clearing corporations etc. It will
collect all the data required for the research
and would coordinate with MRD. It will
represent in SMAC and other committees
appointed in connection with secondary
market, derivatives and clearing corporation.
It will also prepare a monthly review of the
secondary market ( including derivatives and
bond market) which will be published in
SEBI bulletin.
c) Research Division III will provide research
based input for formation of policy relating to
mutual fund, CIS, FIIs, VCF etc. It will
collect all the data required for the research
and would coordinate with IMD. It will also
prepare a monthly review of the Mutual Fund
industry which will be published in SEBI
bulletin. It will represent in committees
appointed in connection with mutual fund,
CIS.

12.6 Systemic Stability Unit

SEBI Board has approved setting up of SSU
in SEBI to assess systemic risks, if any,
emanating from securities market and offer
co-ordinated assistance/inputs from SEBI to
FSDC in monitoring Systemic Risks in
respect of Securities Market and monitoring
of Systematically Important Financial
Institutions (SIFI) under the jurisdiction of
SEBI.
The activities of SSU should be as under:
I. Identify and collect systemic risk
information through a template for regular
review to identify, assess & mitigate
emerging systemic risks in securities market;
II. Develop a time series of core set of
securities market indicators having bearing on
systemic stability of financial market;
III. Conduct stress test of systemically
important institutions in securities market to
assess resilience;
IV. Conduct research relating to Systemic
Issues in securities market viz., ownership
structure; leverage; inter-connectedness of
market segments; risk concentration; behavior
under stressed conditions; unregulated
products/markets/entities etc., and
recommend regulations to manage systemic
risk;
V. Prepare periodic Systemic Stability Report
in respect of securities market in India;
VI. Mandate risk assessment methodologies
to relevant market participants for their selfassessment and reporting to SEBI;
VII. Co-ordinate with and provide assistance
to FSDC on issues pertaining to financial
stability, macro prudential regulation and
supervision.
OFFICE OF THE CHAIRMAN (OCH)
13.1 Office of the Executive Assistant to
Chairman
The office will be responsible to provide such
administrative and other support as the

Chairman may require. The functions would

include strategic planning and managing new
initiatives.
13.2 Office of International Affairs
The office would perform the following:
Implement information-sharing initiatives
with international regulators
Participate in international regulatory
organizations
Handle all matters related to Foreign
assisted projects
Establish guidelines for interaction with
foreign Government agencies and foreign
jurisdictions, including providing technical
assistance.
13.3 Communications Division
The division would be responsible for all
communications of SEBI. These include:
Media releases and other forms of
communication including the publication of
SEBI materials.
News conferences and responding to
inquiries from the press
13.4 Human Resources Division
The Human Resources Division will
perform all the functions in its role as the
principal personnel and human resources
authority in SEBI.
14. INFORMATION TECHNOLOGY
DEPARTMENT
This department would perform its role as the
technical support group for SEBI.
15. THE REGIONAL OFFICES (RO's)
The Regional Office will handle work as per
existing delegation and shall continue to
report to functional heads for specific
departmental functions while reporting
administratively to SEBI Executive Directors.

**************

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Disclaimer | Acknowledgement
All text and media on these pages are
Copyright, Securities and Exchange Board of
India. All rights reserved

Securities and Exchange Board of,

SEBI Bhavan, Plot No.C4-A,
G Block, Bandra Kurla Complex,
Bandra (E), Mumbai 400 051
Justice J.P. Devadhar Presiding Officer Shri Jog Singh Member Shri A.S. Lamba
Member
RIGHT TO INFORMATION ACT
The Government of India has enacted "Right to Information Act 2005" to provide for
setting out the practical regime of right to information for citizens to secure access to
information under the control of Public Authorities in order to promote transparency and
accountability in the working of any public authority

List of former Chairmen:[5]

Name

From

To

U.K. Sinha

18 February 2011

present

C. B. Bhave

18 February 2008

18 February 2011

M. Damodaran

18 February 2005

18 February 2008

G. N. Bajpai

20 February 2002

18 February 2005

D. R. Mehta

21 February 1995

20 February 2002

S. S. Nadkarni

17 January 1994

31 January 1995

G. V. Ramakrishna

24 August 1990

17 January 1994

Dr. S. A. Dave

12 April 1988

23 August 1990

Powers[edit]
For the discharge of its functions efficiently, SEBI has been vested with the following
powers:
to approve bylaws of stock exchanges.sebi
to require the stock exchange to amend their bylaws.
inspect the books of accounts and call for periodical returns from recognized stock
exchanges.
inspect the books of accounts of a financial intermediaries.
compel certain companies to list their shares in one or more stock exchanges.
registration brokers.
There are two types of brokers:
circuit broker
merchant broker

SEBI committees[edit]
Technical Advisory Committee
Committee for review of structure of market infrastructure institutions
Advisory Committee for the SEBI Investor Protection and Education Fund
Takeover Regulations Advisory Committee
Primary Market Advisory Committee (PMAC)
Secondary Market Advisory Committee (SMAC)
Mutual Fund Advisory Committee
Corporate Bonds & Securitization Advisory Committee

SEBI

National Securities Depository Limited (NSDL) is an Indian central securities

depository based in Mumbai.[3] It was established on 8 November 1996 as the first
electronic securities depository in India with national coverage based on a suggestion by
a national institution responsible for the economic development of India .[4]
It has established a national infrastructure using international standards that handles most
of the securities held and settled in dematerialised form in the Indian capital market.[5]

History[edit]
Although India had a vibrant capital market which is more than a century old, the paperbased settlement of trades caused substantial problems such as bad delivery and delayed
transfer of title. The enactment of Depositories Act in August 1996 paved the way for
establishment of National Securities Depository Limited (NSDL), the first depository
in India. It went on to established infrastructure based on international standards that
handles most of the securities held and settled in de-materialised form in the Indian
capital markets.
NSDL has stated it aims are to ensuring the safety and soundness of Indian marketplaces
by developing settlement solutions that increase efficiency, minimise risk and reduce
costs. NSDL plays a quiet but central role in developing products and services that will
continue to nurture the growing needs of the financial services industry.
In the depository system, securities are held in depository accounts, which are similar to
holding funds in bank accounts. Transfer of ownership of securities is done through
simple account transfers. This method does away with all the risks and hassles normally
associated with paperwork. Consequently, the cost of transacting in a depository
environment is considerably lower as compared to transacting in certificates. In August
2009, number of Demat accounts held with NSDL crossed one crore.[6]

NSDL Facts & Figures[edit]

As on June 30, 2014

Number of certificates eliminated (Approx.) : 1,653 Crore

Investor's Accounts : 1, 31, 16, 821

Number of companies in which more than 75% shares are dematted : 12,531

Average number of accounts opened per day since November 1996 : 3,573

DP Service Centers : 14, 433

Presence of Demat account holders in the country : 86% of all pincodes in the
country

Central Depository Services Limited (CDSL), is the second Indian central securities
depository based in Mumbai.[3] Its main function is the holding securities either in
certificated or uncertificated (dematerialized) form, to enable book entry transfer of
securities.

Promoters / shareholders[edit]
CDSL is promoted by Bombay Stock Exchange Limited (BSE)[4] jointly with State Bank
of India, Bank of India, Bank of Baroda, HDFC Bank, Standard Chartered Bank, Axis
Bank and Union Bank of India.[5

INTRODECTION
The Bombay Stock Exchange (BSE) and the National
Stock Exchange of India Limited (NSE) are the two primary
exchanges in India. In addition, there are 22 Regional Stock
Exchanges. However, the BSE and NSE have established
themselves as the two leading exchanges and account for
about 80% of the equity volume traded in India. The NSE and
BSE are equal in size in terms of daily traded volume.
The average daily turnover at the exchanges has
increased from Rs851crore in 1997-98 to Rs1284crore in
1998-99 and further to Rs2273crore in 1999-2000. NSE has
around 1500 shares listed with the total market
capitalization of around Rs9, 21,500crore.
The BSE has over 6000 stocks listed and has a market
capitalization of around Rs9, 68,000crore. Most key stocks
are traded on both the exchanges and hence the investor
could buy on either of the exchanges. Both exchanges have
a different settlement cycle, which allows investors to shift
their position on the bourses. The primary index of BSE in
BSE Sensex comprises 30 stocks. NSE has the S&P NSE 50
Index (Nifty), which consists of fifty stocks. The BSE Sensex
is the older and most widely followed index. Both these
indices are calculated on the basis of market capitalization
and contain the heavily traded shares from key sectors.
The markets are closed on Saturdays and Sundays.
Both the exchanges have switched over from the open
outcry trading system to a fully automated computerized
mode of trading known as BOLT (BSE On Line Trading) and
NEAT (National Exchange Automated Trading) system. It
facilitates more efficient processing, automatic order
matching, faster execution of trades and transparency.
The scrip traded on the BSE has been classified into A, B1,
B2, C, F, and Z groups. The A group shares represent
those, which are in the carry forward system (Badla). The F
group represents the dept market (fixed income securities)
segment. The Z group scrip is the blacklisted companies.
The C group covers the odd lot securities in A, B1, & B2
groups and Rights renunciations. The key regulator
governing
Stock
Exchanges,
Brokers,
Depositories,
Depository participants, Mutual Funds, FIIs and other
participants in Indian secondary and primary market is the
Securities and Exchange Board of India (SEBI) Limited.
Bombay Stock Exchange (BSE) is an Indian stock exchange located at Dalal Street,

Kala Ghoda, Mumbai, Maharashtra, India. Established in 1875 the BSE is considered to
be one of Asias fastest stock exchanges, with a speed of 200 microseconds and one of
Indias leading exchange groups and the oldest stock exchange in the South Asia region.
Bombay Stock Exchange is the world's 10th largest stock market by market capitalization
at $1.7 trillion as of 23 January 2015.[2] More than 5,000 companies are listed on BSE

Hours of operation[edit]
Session

Timing

Pre-open Trading Session

09:00 - 09:15

Trading Session

09:30 - 15:30

Position Transfer Session

17:05 - 17:15

Closing Session

17:05 - 17:55

Option Exercise Session

17:07

Financial Market
MONEY MARKET:
The Money Market refers to the market where
borrowers and lenders exchange short-term funds to solve
their liquidity needs.
CAPITAL MARKET:
The Capital Market is a market for financial investments
that are direct or indirect claims to capital (Gart, 1988).
SECURITIES MARKET:
It refers to the markets for those financial
instruments/claims/obligations that are commonly and
readily transferable by sale. It has two inter-dependent and
inseparable segments, the new issues (primary) market and
the stock (secondary) market.

Primary Market
Securities generally have two stages in their lifespan. The
first stage is when the company initially issues the
security directly from its treasury at a predetermined
offering price. This is a primary market offering. It is
referred to as the Initial Public Offering (IPO). In Primary
market, securities are offered to public for subscription for
the purpose of raising capital or fund.

Secondary Market

Secondary market refers to a market where securities are

traded after being initially offered to the public in the
primary market and listed on the Stock Exchange. Majority of
the trading is done in the secondary market. Secondary
market comprises of equity markets and the debt markets.

The National Stock Exchange of India Limited (NSE) (Hindi:

) is the leading stock exchange of India, located in Mumbai. NSE was
established in 1992 as the first demutualized electronic exchange in the country. NSE was
the first exchange in the country to provide a modern, fully automated screen-based
electronic trading system which offered easy trading facility to the investors spread
across the length and breadth of the country.
NSE has a market capitalization of more than US$1.65 trillion, making it the worlds
12th-largest stock exchange as of 23 January 2015.[1] NSE's flagship index, the CNX
Nifty,the 50 stock index, is used extensively by investors in India and around the world
as a barometer of the Indian capital markets.
NSE was set up by a group of leading Indian financial institutions at the behest of the
government of India to bring transparency to the Indian capital market. Based on the
recommendations laid out by the government committee, NSE has been established with
a diversified shareholding comprising domestic and global investors. The key domestic
investors include Life Insurance Corporation of India, State Bank of India, IFCI Limited
IDFC Limited and Stock Holding Corporation of India Limited. And the key global
investors are Gagil FDI Limited, GS Strategic Investments Limited, SAIF II SE
Investments Mauritius Limited, Aranda Investments (Mauritius) Pte Limited and PI
Opportunities Fund I.[2]
NSE offers trading, clearing and settlement services in equity, equity derivatives, debt
and currency derivatives segments. It is the first exchange in India to introduce electronic
trading facility thus connecting together the investor base of the entire country. NSE has
2500 VSATs and 3000 leased lines spread over more than 2000 cities across India.
The exchange was incorporated in 1992 as a tax-paying company and was recognized as
a stock exchange in 1993 under the 1Securities Contracts (Regulation) Act, 1956, when P.
V. Narasimha Rao was the Prime Minister of India and Manmohan Singh was the
Finance Minister. NSE commenced operations in the Wholesale Debt Market (WDM)
segment in June 1994. The capital market (equities) segment of the NSE commenced
operations in November 1994, while operations in the derivatives segment commenced in
June 2000.
NSE offers trading in the following segments:
Equities

Equities

Indices

Mutual Funds

Exchange Traded Funds

Initial Public Offerings

Security Lending and Borrowing Scheme

Derivatives

Equity Derivatives (including Global Indices like CNX 500, Dow Jones and
FTSE )

Currency Derivatives

Interest Rate Futures

Debt

Corporate Bonds

Pages in category "Companies listed on the National

Stock Exchange of India"
The following 57 pages are in this category, out of 57 total. This list may not reflect
recent changes (learn more).

Aftek

Andhra Bank

Arvind Limited

Atul (company)

Aurobindo Pharma

Bharat Forge

Bharat Petroleum

Britannia Industries

Emami

Essar Group

Firstsource

GlaxoSmithKline Pharmaceuticals Ltd

Glenmark Pharmaceuticals

F
G

Greaves Cotton

Greenply

Gujarat Mineral Development Corporation

GVK (conglomerate)

Hindustan Copper

Hindustan Petroleum

Indian Oil Corporation

Indraprastha Gas

Jet Airways

JSW Energy

Jubilant FoodWorks

Justdial

Kirloskar Brothers

Larsen & Toubro

Liberty Shoes

Lupin Limited

Maruti Suzuki

McLeod Russel

Mercator Limited

National Stock Exchange of India

Nilkamal Plastics

NTPC Limited

K
L

OnMobile

Onward Technologies

Oriental Bank of Commerce

Page Industries

PVR Cinemas

Raj Television Network

Reliance Industries

Repro India

Rolta India

S. Kumars

Salora International

Shalimar Paints

Shree Renuka Sugars

Standard Chartered

Strides Arcolab

Supreme Industries

Supreme Petrochem

Talwalkars

Thermax

Titan Company

VIP Industries

V
Z

MCX:
MCX (MULTI COMMODITY EXCHANGE OF INDIA LTD) is a state-of-the-art
electronic commodity futures exchange.MCX is an independent commodity exchange
based in India. It was established in 2003 and is based in Mumbai. The turnover of the
exchange for the period Apr-Dec 2008 was INR 32 Trillion.MCX offers futures trading in
Agricultural Commodities, Bullion, Ferrous & Non-ferrous metals, Pulses, Oils &
Oilseeds, Energy, Plantations, Spices and other soft commodities. MCX has also setup in
joint venture the National Spot Exchange a purely agricultural commodity exchange and
1National Bulk Handling Corporation (NBHC) which provides bulk storage and handling
of agricultural products.

NCDEX:
National Commodity & Derivatives Exchange Limited (NCDEX) is a professionally
managed online multi commodity exchange promoted by ICICI Bank Limited (ICICI
Bank), Life Insurance Corporation of India (LIC), National Bank for Agriculture and
Rural Development (NABARD) and National Stock Exchange of India Limited (NSE).

Punjab National Bank (PNB), CRISIL Limited (formerly the Credit Rating Information
Services of India Limited), Indian Farmers Fertiliser Cooperative Limited (IFFCO) and
Canara Bank by subscribing to the equity shares have joined the initial promoters as
shareholders of the Exchange.
NCDEX is the only commodity exchange in the country promoted by national level
institutions. This unique parentage enables it to offer a bouquet of benefits, which are
currently in short supply in the commodity markets. The institutional promoters of
NCDEX are prominent players in their respective fields and bring with them institutional
building experience, trust, nationwide reach, technology and risk management skills.
NCDEX is a public limited company incorporated on April 23, 2003 under the
Companies Act, 1956. It obtained its Certificate for Commencement of Business on May
9, 2003. It has commenced its operations on December 15, 2003. NCDEX is a nationlevel, technology driven de-mutualized on-line commodity exchange with an independent
Board of Directors and professionals not having any vested interest in commodity
markets. It is committed to provide a world-class commodity exchange platform for
market participants to trade in a wide spectrum of commodity derivatives driven by best
global practices, professionalism and transparency.
NCDEX is regulated by Forward Market Commission in respect of futures trading in
commodities. Besides, NCDEX is subjected to various laws of the land like the
Companies Act, Stamp Act, Contracts Act, Forward Commission (Regulation) Act and
various other legislations, which impinge on its working. NCDEX is located in Mumbai
and offers facilities to its members in more than 390 centers throughout India. The reach
will gradually be expanded to more centers.
NCDEX currently facilitates trading of thirty six commodities - Cashew, Castor Seed,
Chana, Chilli, Coffee, Cotton, Cotton Seed Oilcake, Crude Palm Oil, Expeller Mustard
Oil, Gold, Guar gum, Guar Seeds, Gur, Jeera, Jute sacking bags, Mild Steel Ingot,
Mulberry Green Cocoons, Pepper, Rapeseed - Mustard Seed ,Raw Jute, RBD Palmolein,
Refined Soy Oil, Rice, Rubber, Sesame Seeds, Silk, Silver, Soy Bean, Sugar, Tur,
Turmeric, Urad (Black Matpe), Wheat, Yellow Peas, Yellow Red Maize & Yellow
Soybean Meal. At subsequent phases trading in more commodities would be facilitated.

A customer can allocate and transfer fund from your respective bank account to your
Sharekhan account for trading and transfer back to link bank account when and where
needed.

COMPANY PROFILE:
Sharekhan is one of the top retail brokerage houses in India with a strong online trading
platform. The company provides equity based products (research, equities, derivatives,
depository, margin funding, etc.). It has one of the largest networks in the country with
1200+ share shops in 400 cities and Indias premier online trading portal
www.sharekhan.com. With their research expertise, customer commitment and superior
technology, they provide investors with end-to-end solutions in investments. They
provide trade execution services through multiple channels - an Internet platform,
telephone and retail outlets.
Sharekhan was established by Morakhia family in 1999-2000 and Morakhia family,
continues to remain the largest shareholder. It is the retail broking arm of the Mumbaibased SSKI [SHRIPAL SHEWANTILAL KANTILAL ISWARNATH LIMITED]
Group. SSKI which is established in 1930 is the parent company of Sharekhan ltd. With a
legacy of more than 80 years in the stock markets, the SSKI group ventured into
institutional broking and corporate finance over a decade ago. Presently SSKI is one of
the leading players in institutional broking and corporate finance activities. Sharekhan
offers its customers a wide range of equity related services including trade execution on
BSE, NSE, and Derivatives. Depository services, online trading, Investment advice,
Commodities, etc.
Sharekhan Ltd. is a brokerage firm which is established on 8th February 2000 and now it
is having all the rights of SSKI. The company was awarded the 2005 Most Preferred
Stock Broking Brand by Awaaz Consumer Vote. It is first brokerage Company to go
online. The Company's online trading and investment site - www.Sharekhan.com - was
also launched on Feb 8, 2000. This site gives access to superior content and transaction
facility to retail customers across the country. Known for its jargon-free, investor friendly
language and high quality research, the content-rich and research oriented portal has
stood out among its contemporaries because of its steadfast dedication to offering
customers best-of-breed technology and superior market information.
Sharekhan has one of the best states of art web portal providing fundamental and

statistical information across equity, mutual funds and IPOs. One can surf across 5,500
companies for in-depth information, details about more than 1,500 mutual fund schemes
and IPO data. One can also access other market related details such as board meetings,
result announcements, FII transactions, buying/selling by mutual funds and much more.
Sharekhan's management team is one of the strongest in the sector and has positioned
Sharekhan to take advantage of the growing consumer demand for financial services
products in India through investments in research, pan-Indian branch network and an
outstanding technology platform. Further, Sharekhan's lineage and relationship with SSKI
Group provide it a unique position to understand and leverage the growth of the financial
services sector. We look forward to providing strategic counsel to Sharekhan's
management as they continue their expansion for the benefit of all shareholders.
SSKI Corporate Finance Private Limited (SSKI) is a leading India-based investment bank
with strong research-driven focus. Their team members are widely respected for their
commitment to transactions and their specialized knowledge in their areas of strength.
The team has completed over US$5 billion worth of deals in the last 5 years - making it
among the most significant players raising equity in the Indian market. SSKI, a veteran
equities solutions company has over 8 decades of experience in the Indian stock markets.
If we experience their language, presentation style, content or for that matter the online
trading facility, we'll find a common thread; one that helps us make informed decisions
and simplifies investing in stocks. The common thread of empowerment is what
Sharekhan's all about.
"Sharekhan has always believed in collaborating with like-minded Corporate into
forming strategic associations for mutual benefit relationships" says Jaideep Arora,
Director - Sharekhan Limited.
Sharekhan is also about focus. Sharekhan does not claim expertise in too many things.
Sharekhan's expertise lies in stocks and that's what he talks about with authority. So when
he says that investing in stocks should not be confused with trading in stocks or a
portfolio-based strategy is better than betting on a single horse, it is something that is
spoken with years of focused learning and experience in the stock markets. And these
beliefs are reflected in everything Sharekhan does for us! Sharekhan is a part of the SSKI
group, an Indian financial services power house, with strong presence in Retail equities
Institutional equities Investment banking.
In Ahmedabad, It is having the branch at Dynamic house, opp. Child care hospital,
Navrangpura road and over 40 franchisees in Ahmedabad. We have been given the centre
at Navrangpura road, Ahmedabad.

DIRECTORS:
MR. TARUN SHAH CEO- SHARE KHAN

MR SHANKAR VAILAYA- DIRECTOR (OPERATION) OF

THE COMPANY
MR. JAIDEEP ARORA DIRECTOR (PRODUCT &
TECHNOLOGY) OF THE COMPANY

OTHER DIRECTORS:

Mr. Baldev L Boolani

Mrs. Meena S Jain
Mr. Bhupendra T Shah
Mr. Hasmukh Sheth

MISSION:

To educate and empower the individual investor to make better investment decisions
through quality advice and superior service.

VISION:

To be the best retail brokering Brand in the retail business of stock market.

ACHIEVEMENTS OF SHAREKHAN:
A wired company along with Reliance, Hll, Infosys, etc by Business Today, January
2004 edition.

It was awarded Top Domestic Brokerage House four times by Euro and Asia money.
It was Winner of Best Financial Website award.
Indias most preferred brokers within 5 years. CNBC Awaaz customers Award 2005.

STRATEGY:
The main strategies used in our training were as follow.
DATA CALLING
In data calling we were provided data of mobile numbers and our job was to
generate appointments. After that we were required to convert that appointment
into closure. Apart from given data we also brought latest business directory. We
called to different business people and tried to generate appointments.
CALLED CALLING
Called calling means to go at different corporate houses and to meet different
People and to get their visiting card by it we get lead and our immediate task
Was to call them & to fix appointment.

REFERENCE
Another important strategy was to use our reference means our family, friends,
relatives etc. In marketing or selling we can never neglect references & they
always play a major role.
STALL ACTIVITY
Stall activity means to make stall at public place. Then our job was to give them a
newspaper with brochures and to take their name and contact number. So it was
another process of generating lead. After that our job was to follow

up and try for appointment and closure.

HIERARCHY IN SHAREKHAN:
Sales Side

Dealing Side

Trainees

Junior Dealer

Super Trainees

Dealer

Sales Executives

Relationship manager

Senior sales executives

Senior Relationship manager

Business
executive

Equity advisor

Assistant sales manager

Assistant Branch Manager

Deputy manager

Branch Manager

Territory manager

Cluster Head

development

Area sales manager/ Cluster

manager

Directors

Regional sales manager

CEO

Regional Head

Vice president

Directors

CEO

OFFERING
OF THE
COMPANY

Sharekhan provides 4 in 1 account.

1. De-mat a/c
2. Trading a/c [for cash calculation]

3. Bank a/c [for fund transfer]

4. Dial and Trade [for offline trading/for query relating trading]

[1] Dematerialization account:Dematerialization is the process of converting physical shares (share certificates)
into an electronic form. Shares once converted into dematerialized form are held
in a De-mat account Sharekhan is a depository participant. This means that we
can keep the shares in dematerialized form in Sharekhan. But for this one has to
purchases the Demat account in Sharekhan. .
Sharekhan provides no opening charge.
Sharekhan provide de-mat account free of charge for first year, Rs.400/
year from the next year (year continued from the day of opening).
Auto pay-in & Auto pay-out of securities.
Waver of pay-in and pay-out charges (Due to link De-mate account).

Benefits Of De-mat Account:

A safe and convenient way of holding securities. (equity and debt
instruments both).
Transactions involving physical securities are costlier than those involving
dematerialized securities (just like the transactions through a bank teller
are costlier than ATM transactions). Therefore, charges applicable to an
investor are lesser for each transaction.
Securities can be transferred at an instruction immediately.
Increased liquidity, as securities can be sold at any time during the
trading hours (between 9:00 AM to 3:30 PM on all working days), and
payment can be received in a very short period of time.
No stamp duty charges.
Risks like forgery, thefts, bad delivery, delays in transfer etc, associated
with physical certificates, are eliminated.
Pledging of securities in a short period of time.
Reduced paper work and transaction cost.
Odd-lot shares can also be traded (can be even 1 share).

 Nomination facility available.

Any change in address or bank account details can be electronically
intimated to all companies in which investor holds any securities, without
having to inform each of them separately.
Securities are transferred by the DP itself, so no need to correspond with
the companies.
Shares arising out of bonus, split, consolidation, merger etc. are
automatically credited into the De-mat account of the investor.

Shares allotted in public issues are directly credited into De-mat account
of the applicants in quick time.

Data Analysis
Primary Data collection

Structured questionnaire for customer.

Secondary Data Collection

Journals

Websites
News papers
Research Approach
Descriptive approach
Techniques to be used in Research Approach
Survey and Interview

Data Findings
Total Sample Size :

82

Male :
Female :

47
35

Better cust.
service

1.21%

23.17%

37.8%

20.73%

3.65%

7.31%

19.51%

40.24%

29.26%

Margin
Money

2.44%

4.87%

31.7%

43.9%

17.07%

Good trading
Tips

1.21%

6.1%

35.36%

30.48%

26.82%

0%

13.41%

45.12%

29.26%

12.2%

1.21%

17.07%

45.12%

26.82%

9.75%

Brand loyalty

Timely
Research
report
Friends refer

FOR OPENING AN ACCOUNT:

2 passport size photograph

Identity proof (PAN card is compulsory)
Residence proof
Cheque ( Min Rs.10,000 margin balance)

Proofs of Identity
Customer can submit a photo copy of any one of the following
Voter ID

Passport
PAN Card
Driving License
Photo I card issued by Employer registered under MAPIN
Copy of Ration card

Address Proof
Customer can submit a photo copy of any one of the following

Voter ID Card
Driving License
Passport
Ration Card
Telephone Bill
Electricity Bill
Leave-License
Bank Passbook
Latest Bank Statement

[2] Trading Account:

It is an electronic account which enables customers to trade in share through
internet without help to broker.

NSE/BSE/F&O/Commodity terminal live screen:Provides online fluctuations rate on computer screen

Online Daily Tips:-

Sharekhan is providing tips through mails in 4 sessions

Pre market
Noon session
Post market
Late evening
Sharekhan is provide tips through SMS (chargeable)
Sharekhan is provide tips through Yahoo Messenger Online

IPO/MF Online :Sharekhan provide IPO and MF facility for the customer.

[3] Saving Account:

In Sharekhan, a customer can have a saving account for trading online with net banking
facility; Sharekhan have a tie ups with following Banks.
1. HDFC Bank
2. CITI Bank
3. OBC Bank
4. YES Bank
5. UTI Bank
6. IDBI Bank
7. ICICI Bank
8. Union Bank
9. Indusind Bank
10. Bank of India
11. Deutsche Bank
A customer can allocate and transfer fund from your respective bank account to your
Sharekhan account for trading and transfer back to link bank account when and where
needed.
[4] Dial-N-Trade:Sharekhan provide Dial-N-Trade facility to the customer.

AMC PLAN:- ( Annual Maintenance Cost Plan)

Different Plans for Purchasing of Demat Accounts for Equity:Different Plans for Purchasing of Demat Accounts for Derivatives:-

PRODUCTS
services

&

Sharekhan ltd. Provide different Product as follows

Share online & offline

Derivatives
Mutual fund online
Commodities online
IPO online
Portfolio Management Services
Insurance
Fixed deposits
Advisory products
Currency trading

Share ONLINE
SHARE ONLINE:
Sharekhan provide online facilities.

BENEFIT

Freedom from paperwork:-Integrated trading, bank and de-mat account with

digital contracts removers all paperwork.

Instant credit and transfer:-instant transfer of funds from bank account of the
choice to Sharekhan trading account.

Trade anywhere:-enjoy the ease of trading from any part of the world in a
completely secure environment.

Dial n Trade:-call toll free number (1-800-22-7050) to place orders through

telebrokers.

Timey advice:-make informed decisions with expert advice, investment calls and
live market commentary.

Real-time portfolio tracking:-benefit from real-time information for investment

and current portfolio value.

After-hour orders:-place order after market hours, which get executed as soon as
the markets opens.

Sharekhan provide two different accounts:

Classic account
Trade Tiger

CLASSIC ACCOUNT:The Classic Account enables customers to trade online on the NSE and the BSE, invest in
IPO and Mutual Funds and access all the research and transaction reports through
Sharekhans website. This account is suitable for the retail investors.
In this account Shown the maximum script are 25 in the terminal and the technical chart
are not shown in this account.
The life time registration charge for this account is 750 rupees.
Features

Online trading account for investing in Equities and Derivatives

Free trading through Phone (Dial-n-Trade)

Two dedicated numbers for placing your orders with your cell phone or
landline.

Automatic funds transfer with phone banking (for Citibank and HDFC
bank customers)

Simple and Secure Interactive Voice Response based system for

authentication

Get the trusted, professional advice of our telebrokers.

After hours order placement facility between 8.00 am and 9.30 am

Integration of: Online trading + Bank + Demat account

Instant cash transfer facility against purchase & sale of shares

IPO investments

Instant order and trade confirmations by e-mail

Single screen interface for cash and derivatives

Online classic account:

Name Of The Trader

An Investment Form through Which Trading Can Be Done

An Option By Which Bulk Trading Can Be Done.

FAST TRADE:
Features

Streaming quotes.

Personalized market watch.

Single screen interface for cash, derivatives and Commodities.

New FastTrade is platform independent will support by all Operating System.

New FastTrade will support all browsers in the market.

New FastTrade is independent of existing website and can work even if

content website is down.

Fast trade is web base product and its a shown fluctuation rate.

TRADE TIGER:
Trade tiger is a next-generation online trading product that brings the power of brokers
terminal to customer pc. It is session to capitalize on intra-day price movement. Trade
tiger is an internet based application available on a CD, which provides everything a
trader needs on one screen.
Key Features:

A single platform for multiple exchange BSE & NSE (C

NCDEX, Mutual Funds, IPOs

Multiple Market Watch available on Single Screen

Multiple Charts with Tick by Tick Intraday and En

powered with various Studies

Graph Studies include Average, Band- Bollinger, Know S

RSI, etc

Apply studies such as Vertical, Horizontal, Trend, Retrace

User can save his own defined screen as well as grap

saving the layout for future use

User-defined alert settings on an input Stock Price trigge

Tools available to gauge market such as Tick Que

Summary, Action Watch, Option Premium Calculator, Spa

Shortcut key for FAST access to order placements & repo

Online fund transfer activated with 11 Banks

Advantages:

Live Streaming Quotes

Access all Trading Calls

Advanced Charting features

Create your own technical rules for trading

A Single Trading Screen for all segments

THE PLATINUM CIRCLE:

The HNI product

Personalized portfolio tracking & restructuring advice.
Monthly stock valuation statements, report profitability statement.

Daily report on transaction sent in printed format as well as available online.

Research-based investment advice tailored for different investment approaches

Share offline
SHAR OFFLINE:
As the internet has taken over the physical trade, the same is the situation in trading in
shares. Even the internet has not spared trading in shares and still the conventional

system of offline trading continues in todays world.

Merits of offline trading

Low brokerage
Less margin
Flexibility in credit period
Customized advice

Demerits of offline trading

Problems in getting in touch with the broker

Limited clientele
Problem of attention from the broker due to load
Reliance on the brokers information
Customer has to believe what the broker says
Broker Might not give the best price
Reconciliation of account and cash settlements
Paperwork
Geographical Restriction

DIAL-N-TRADE:
Sharekhan provides complete trading facility like they
are giving Toll free numbers the phone trading facility as an alternative of net trading
where a customer can call n number of times.
Toll Free numbers: 1800-22-7500

1800-22-7050
Local number

: 079-30307600 (chargeable)

Exposure: For Intraday = 10 times

For Delivery
= 04 times
Sharekhan is also providing the Margin on DP balance.

Derivatives

DERIVATIES:

Derivatives are financial contracts whose value/price is depends on the behavior of

price of one or more basic underling assets. These contracts are legally binding
agreement, made on the trading screen of stock exchange, buy or sell an asset in
future. The assets can be share, index, interest rate, bond, rupee- dollar exchange rate,
sugar, crude oil, soybean, cotton, coffee etc.

EQUITY FUTURE AND OPTION:

Future:-

An agreement between two parties to buy or sell an asset at a certain

time
in the Future at a certain price. Stock futures on certain specified securities and internet
rate futures are available for trading at NSE (NATIONAL STOCK EXCHANGE).All the
futures contracts are settled in cash.

Options:-

An Options is a contract which gives the right, but not but or sell the underlying at a
stated price, which a buyer of an option pays the premium and Options are of two types
calls and put.
Calls give the buyer the right but not the obligation to buy a given quantity of the
underlying asset, at a given price on or before a given future date. Calls also known as
bulls.
Puts give the buyer the right, but not obligation to sell a given quantity of the underlying
asset at a given price on or before a given date. Puts also known as bears.

Commodities online

 COMMODITIES ONLINE:
Commodities are agreements to buy and sell virtually anything except, for some reason,
onions. The primary commodities that are traded are oil, gold and agricultural products.
Commodity derivatives comprise of raw materials and products that can be traded on
special commodity exchanges across the country. Commodities expands customer
investing horizon from investing in a metal company to trading in the metal itself.
Trading in commodity derivative provides unique market opportunities for a wider
section of participants like: investor, hedgers, arbitragers, traders, manufactures planters,
exporters and importers. While trading commodities through an exchange, there are no
transportation charges, no insurance costs, no storage charges and complete security
when customer trade though an exchange. Customer can trade in commodities at nominal
costs and carry the investment in paper from as customer want. The fundamentals for
commodities are quite simple: price is a function of demand and supply.
Sharekhan provides commodity facility. Sharekhan trades on two major commodity
exchanges in India.

MCX

NCDEX

Insurance

 INSURANCE:
What is insurance?
Insurance is a policy from a large Financial Institution that offers a person, company, or
other entity reimbursement or financial protection against possible future losses or
damages.
Life insurance ensures that your family will receive financial support in your absence Put
simply; life insurance provides your family with a sum of money should something
happen to you. It protects your family from financial crises. In addition to serving as a
protective cover, life insurance acts as a flexible money-saving scheme, which empowers
you to accumulate wealth-to buy a new car, get your children married and even retire
comfortably. Life insurance also triples up as an ideal tax-saving scheme. To know more,
read the Key Benefits of Life Insurance.
Currently Sharekhan has tie up with ICICI Prudential Life Insurance. So Under ICICI
prudential life insurance, the key benefits would be
Life insurance, especially tailored to meet your financial needs
Need for Life Insurance
Today, there is no shortage of investment options for a person to choose from. Modern
day investments include gold, property, fixed income instruments, mutual funds and of
course, life insurance. Given the plethora of choices, it becomes imperative to make the
right choice when investing your hard-earned money. Life insurance is a unique
investment that helps you to meet your dual needs - saving for life's important goals, and
protecting your assets.
Asset Protection
From an investor's point of view, an investment can play two roles - asset appreciation or
asset protection. While most financial instruments have the underlying benefit of asset
appreciation, life insurance is unique in that it gives the customer the reassurance of asset
protection, along with a strong element of asset appreciation.
The core benefit of life insurance is that the financial interests of ones family remain
protected from circumstances such as loss of income due to critical illness or death of the
policyholder. Simultaneously, insurance products also have a strong inbuilt wealth
creation proposition. The customer therefore benefits on two counts and life insurance
occupies a unique space in the landscape of investment options available to a customer.
Goal based savings

Each of us has some goals in life for which we need to save. For a young, newly married
couple, it could be buying a house. Once, they decide to start a family, the goal changes
to planning for the education or marriage of their children. As one grows older, planning
for one's retirement will begin to take precedence.
Clearly, as your life stage and therefore your financial goals change, the instrument in
which you invest should offer corresponding benefits pertinent to the new life stage.
Life insurance is the only investment option that offers specific products tailor-made for
different life stages. It thus ensures that the benefits offered to the customer reflect the
needs of the customer at that particular life stage, and hence ensures that the financial
goals of that life stage are met.
Life Stage

Primary Need

Life Insurance Product

Young & Single

Asset creation

Wealth creation plans

Young & Just

married

Asset
creation
protection

&

Wealth creation and mortgage

protection plans

Married
kids

with

Children's
education,
Asset
creation
and
protection

Education insurance, mortgage

protection & wealth creation
plans

Middle
aged
with grown up
kids

Planning for retirement &

asset protection

Retirement solutions & mortgage

protection

Across all lifestages

Health plans

Health Insurance

The table below gives a general guide to the plans that are appropriate for different life
stages.

Life
plan:

insurance

Life insurance products assure your family will receive financial support, even in your
absence. Put simply, when you buy insurance you provide your family with a sum of
money, should something happen to you. It thus permanently protects your family
from financial crises.
In addition to serving as a protective cover, when you buy insurance you create a
flexible money-saving scheme, which empowers you to accumulate wealth to buy a
new car, get your children educational solutions, and even retire comfortably.
Today, there is no shortage of investment options for a person to choose from. Given
the plethora of choices, it becomes imperative to make the right choice when
investing your hard-earned money and online insurance is an ideal choice in todays
technology driven world. Buying Life insurance online is a way to make a unique
investment that helps you to meet your dual needs - saving for life's important goals,
and protecting your assets.
From an investor's point of view, an investment can play two roles - asset appreciation
or asset protection. While most financial instruments have the underlying benefit of
asset appreciation, buying life insurance online gets you the unique reassurance of
asset protection, along with a strong element of asset appreciation.
When you buy life insurance online the core benefit is that the financial interests of
ones family remain protected from circumstances such as loss of income due to
critical illness or death of the policyholder. Simultaneously, buying life insurance
online gives a strong inbuilt wealth creation proposition. The customer therefore
benefits on two counts and online insurance products occupy a unique space in the
landscape of investment options available to a customer.
As your life stage and therefore your financial goals change, the instrument in which
you invest should offer corresponding benefits pertinent to the new life stage. Online
insurance products are the only investment option that offer specific products tailormade for different life stages. You are thus ensured that the benefits offered to the
customer reflect the needs of the customer at that particular life stage, and hence
ensures that the financial goals of that life stage are met.

On the basis of which life stage you are in and the corresponding insurance needs,
ICICI Prudential plans can be categorized into the following three types:

Education Insurance Plans

Wealth Creation Plans

Protection Plans

Educational Insurance Plans

Wealth Creation Plan

ICICI Pru Smartkid Assure

ICICI Pru Smartkid Maxima
ICICI Pru Smartkid Regular
Premium
ICICI Pru assure Wealth
ICICI Pru Life Time Maxima

ICICI Pru Life Stage Wealth

ICICI Pru ACE
ICICI Pru premier Wealth

Protection
Plans
Pure Protect
Life Guard
Save n Protect
Cashbak
Home assure

Mutual fund

MUTUAL FUNDS:

Mutual Fund is an investment company that pools money from shareholders and
invests in a variety of securities, such as stocks, bonds and money market
instruments. Most open-end mutual funds stand ready to buy back (redeem) its
shares at their current net asset value, which depends on the total market value of
the fund's investment portfolio at the time of redemption. Most open-end mutual
funds continuously offer new shares to investors.
Security exchange board of India is the regulatory body for all mutual fund.
All mutual funds must get registered with the SEBI.
Benefits of investing in mutual funds:

Small investment
Professional fund management
Spreading risk
Transparency
Choice
regulation

Mutual Fund in Classic Account:

Mutual Fund in Tradetiger:

Insurance

 INSURANCE:
What is insurance?
Insurance is a policy from a large Financial Institution that offers a person, company, or
other entity reimbursement or financial protection against possible future losses or
damages.
Life insurance ensures that your family will receive financial support in your absence Put
simply; life insurance provides your family with a sum of money should something
happen to you. It protects your family from financial crises. In addition to serving as a
protective cover, life insurance acts as a flexible money-saving scheme, which empowers
you to accumulate wealth-to buy a new car, get your children married and even retire
comfortably. Life insurance also triples up as an ideal tax-saving scheme. To know more,
read the Key Benefits of Life Insurance.
Currently Sharekhan has tie up with ICICI Prudential Life Insurance. So Under ICICI
prudential life insurance, the key benefits would be
Life insurance, especially tailored to meet your financial needs
Need for Life Insurance
Today, there is no shortage of investment options for a person to choose from. Modern
day investments include gold, property, fixed income instruments, mutual funds and of
course, life insurance. Given the plethora of choices, it becomes imperative to make the
right choice when investing your hard-earned money. Life insurance is a unique
investment that helps you to meet your dual needs - saving for life's important goals, and
protecting your assets.
Asset Protection
From an investor's point of view, an investment can play two roles - asset appreciation or
asset protection. While most financial instruments have the underlying benefit of asset
appreciation, life insurance is unique in that it gives the customer the reassurance of asset
protection, along with a strong element of asset appreciation.
The core benefit of life insurance is that the financial interests of ones family remain
protected from circumstances such as loss of income due to critical illness or death of the
policyholder. Simultaneously, insurance products also have a strong inbuilt wealth
creation proposition. The customer therefore benefits on two counts and life insurance
occupies a unique space in the landscape of investment options available to a customer.
Goal based savings
Each of us has some goals in life for which we need to save. For a young, newly married

couple, it could be buying a house. Once, they decide to start a family, the goal changes
to planning for the education or marriage of their children. As one grows older, planning
for one's retirement will begin to take precedence.
Clearly, as your life stage and therefore your financial goals change, the instrument in
which you invest should offer corresponding benefits pertinent to the new life stage.
Life insurance is the only investment option that offers specific products tailor-made for
different life stages. It thus ensures that the benefits offered to the customer reflect the
needs of the customer at that particular life stage, and hence ensures that the financial
goals of that life stage are met.
Life Stage

Primary Need

Life Insurance Product

Young & Single

Asset creation

Wealth creation plans

Young & Just

married

Asset
creation
protection

&

Wealth creation and mortgage

protection plans

Married
kids

with

Children's
education,
Asset
creation
and
protection

Education insurance, mortgage

protection & wealth creation
plans

Middle
aged
with grown up
kids

Planning for retirement &

asset protection

Retirement solutions & mortgage

protection

Across all lifestages

Health plans

Health Insurance

The table below gives a general guide to the plans that are appropriate for different life
stages.

Life
plan:

insurance

Life insurance products assure your family will receive financial support, even in your

absence. Put simply, when you buy insurance you provide your family with a sum of
money, should something happen to you. It thus permanently protects your family
from financial crises.
In addition to serving as a protective cover, when you buy insurance you create a
flexible money-saving scheme, which empowers you to accumulate wealth to buy a
new car, get your children educational solutions, and even retire comfortably.
Today, there is no shortage of investment options for a person to choose from. Given
the plethora of choices, it becomes imperative to make the right choice when
investing your hard-earned money and online insurance is an ideal choice in todays
technology driven world. Buying Life insurance online is a way to make a unique
investment that helps you to meet your dual needs - saving for life's important goals,
and protecting your assets.
From an investor's point of view, an investment can play two roles - asset appreciation
or asset protection. While most financial instruments have the underlying benefit of
asset appreciation, buying life insurance online gets you the unique reassurance of
asset protection, along with a strong element of asset appreciation.
When you buy life insurance online the core benefit is that the financial interests of
ones family remain protected from circumstances such as loss of income due to
critical illness or death of the policyholder. Simultaneously, buying life insurance
online gives a strong inbuilt wealth creation proposition. The customer therefore
benefits on two counts and online insurance products occupy a unique space in the
landscape of investment options available to a customer.
As your life stage and therefore your financial goals change, the instrument in which
you invest should offer corresponding benefits pertinent to the new life stage. Online
insurance products are the only investment option that offer specific products tailormade for different life stages. You are thus ensured that the benefits offered to the
customer reflect the needs of the customer at that particular life stage, and hence
ensures that the financial goals of that life stage are met.

On the basis of which life stage you are in and the corresponding insurance needs,
ICICI Prudential plans can be categorized into the following three types:

Education Insurance Plans

Wealth Creation Plans

Protection Plans

Educational Insurance Plans

Wealth Creation Plan

ICICI Pru Smartkid Assure

ICICI Pru Smartkid Maxima
ICICI Pru Smartkid Regular
Premium
ICICI Pru assure Wealth
ICICI Pru Life Time Maxima

ICICI Pru Life Stage Wealth

ICICI Pru ACE
ICICI Pru premier Wealth

Protection
Plans
Pure Protect
Life Guard
Save n Protect
Cashbak
Home assure

Initial public
offering
IPO:-

Initial Public Offering, the first sale of stock by a company to the public.
Companies offering an IPO are sometimes new, young companies, or sometimes
companies which have been around for many years but are finally deciding to go public.
IPOs are often risky investments, but often have the potential for significant gains. IPOs
are often used as a way for a young company to gain necessary market capital.
From an investor point of view, IPO gives a chance to buy shares of a company,
directly from the company at the price of their choice (In book build IPO's). Many a
times there is a big difference between the price at which companies decides for its
shares and the price on which investor are willing to buy share and that gives a good
listing gain for shares allocated to the investor in IPO.
From a company prospective, IPO help them to identify their real value which is
decided by millions of investor once their shares are listed in stock exchanges. IPO's
also provide funds for their future growth or for paying their previous borrowings.
Sharekhan provides to their customer the Online IPO facility. In this facility, The
customer has to feel only the bid price and the quantity for which he/she wants to buy
the stock.

Steps for Applying IPO Online

Portfolio
management service

PMS:

PORTFOLIO MANAGEMENT SERVICES (PMS):Sharekhan unfolds for customer an enable of PMS to choose from that helps customer sit
back, relax and see customer money grow without worrying about the ups and downs at
the stock market. Talks to Sharekhan specialists and theyll help customer choose a PMS
plan that suits customer risk taking appetite and expectation from the market.
There are two types of PMS in Sharekhan Limited

PRO PRIME
PROTECH

PROPRIME (FUNDAMENTAL):-

ProPrime uses in-depth independent fundamental research throug

in high-quality companies. The ProPrime line is designed for
profiles and investment. Ideal for investors looking at steady an
with low to medium risk appetite. This portfolio consists of a bl
chip and growth stocks ensuring a balanced portfolio with relat
profile. The portfolio will mostly have large capitalization stocks
themes that have medium to long term growth potential.
PRODUCT APPROACH
Investment are based on 3 tenets:
i] Consistent, steady and sustainable returns
ii] Margin of Safety
iii Low Volatility
]

PRODUCT CHARACTERISTICS

Bottom up stock selection

In-depth, independent fundamental research

High quality companies with relatively large capitalization

Disciplined valuation approach applying multiple valuatio

Medium to long term vision, resulting in low portfolio turn

Why Invest?
PMS proprime uses the expertise of 35 financial analys
possible returns.
Fundamental research based on in-depth analysis of com
past performance, management, growth potential of secto

How to Invest?
Minimum investment = Rs. 5.00 Lakhs
Lock in period: 06 months
Reporting: Access to website showing client holdin
reporting of portfolio holdings/transactions
Charges: 2.5% p.a., AMC fees charged every quarter, 0
20% profit sharing after 15% hurdle crossed end of ever

How to check?
You can access your portfolio through branches of f
services.
Daily NAV can be viewed online
Quarterly reporting of portfolio holding/transaction

PROTECH (TECHNICAL):-

Protech uses the knowledge of technical analysis and the pow

market to identify trading opportunities in the market. The
products are designed around various risk/reward/volatility prof
kinds of investment needs.
Protech is based on
(1)Long short strategies
(2)Focus on absolute returns
(3)Timing the market
PRODUCTS OFFERED
1.Nifty Thrifty
2.Beta Portfolio
3.Trailling Stops

Product Approach

Superior performance can be achieved through sheer

picking Stocks/Nifty before the infection points in their tra

Linear returns are possible from having sell market positi

and by using the options market to change the portfolio be

Money management rules will be in place.

Product Characteristics

Using swing based index -trading systems, stop a

following and momentum trading techniques.

Nifty based products for low impact cost and low product

To earn return both in rising & falling market.

Trading in futures market to allow for active risk protec

stop losses.

Why Invest?
Different product based on risk-reward for different types of inves
time horizon of investment & return expectation.
Aspect from fundamental analysis, a successful investor can take a
on technical analysis & power of derivatives for Timing the mark
If customer wants to be ahead in the race of timing the mar
ProTech PMS is the option for customer. So far Sharekhan is th

came out with this kind of PMS in India based on Technical Analys

How to invest?
Lock in: 6 months.
Reporting: fortnightly reporting of portfolio net worth, monthly re
Holdings/ transactions.
Charges: 0% AMC fees, 0.05% brokerage for derivatives, 20%
booked profits on a quarterly basis.

Live Terminal

TRADE TIGER:
Trade tiger is a next-generation online trading product that brings the power of brokers
terminal to customer pc. It is session to capitalize on intra-day price movement. Trade
tiger is an internet based application available on a CD, which provides everything a
trader needs on one screen.
Key Features:

A single platform for multiple exchange BSE & NSE (C

NCDEX, Mutual Funds, IPOs

Multiple Market Watch available on Single Screen

Multiple Charts with Tick by Tick Intraday and En

powered with various Studies

Graph Studies include Average, Band- Bollinger, Know S

RSI, etc

Apply studies such as Vertical, Horizontal, Trend, Retrace

User can save his own defined screen as well as grap

saving the layout for future use

User-defined alert settings on an input Stock Price trigge

Tools available to gauge market such as Tick Que

Summary, Action Watch, Option Premium Calculator, Spa

Shortcut key for FAST access to order placements & repo

Online fund transfer activated with 11 Banks

ProPrime uses in-depth independent fundamental research throug

in high-quality companies. The ProPrime line is designed for
profiles and investment. Ideal for investors looking at steady an
with low to medium risk appetite. This portfolio consists of a bl
chip and growth stocks ensuring a balanced portfolio with relat
profile. The portfolio will mostly have large capitalization stocks
themes that have medium to long term growth potential.
PRODUCT APPROACH
Investment are based on 3 tenets:
i] Consistent, steady and sustainable returns
ii] Margin of Safety
iii Low Volatility
]

PRODUCT CHARACTERISTICS

Bottom up stock selection

In-depth, independent fundamental research

High quality companies with relatively large capitalization

Disciplined valuation approach applying multiple valuatio

Medium to long term vision, resulting in low portfolio turn

Why Invest?
PMS proprime uses the expertise of 35 financial analys
possible returns.
Fundamental research based on in-depth analysis of com
past performance, management, growth potential of secto

How to Invest?
Minimum investment = Rs. 5.00 Lakhs
Lock in period: 06 months
Reporting: Access to website showing client holdin
reporting of portfolio holdings/transactions
Charges: 2.5% p.a., AMC fees charged every quarter, 0
20% profit sharing after 15% hurdle crossed end of ever

How to check?
You can access your portfolio through branches of f
services.
Daily NAV can be viewed online
Quarterly reporting of portfolio holding/transaction

PROTECH (TECHNICAL):-

Protech uses the knowledge of technical analysis and the pow

market to identify trading opportunities in the market. The
products are designed around various risk/reward/volatility prof
kinds of investment needs.

Protech is based on
(1)Long short strategies
(2)Focus on absolute returns
(3)Timing the market
PRODUCTS OFFERED
1.Nifty Thrifty
2.Beta Portfolio
3.Trailling Stops

Product Approach

Superior performance can be achieved through sheer

picking Stocks/Nifty before the infection points in their tra

Linear returns are possible from having sell market positi

and by using the options market to change the portfolio be

Money management rules will be in place.

Product Characteristics

Using swing based index -trading systems, stop a

following and momentum trading techniques.

Nifty based products for low impact cost and low product

To earn return both in rising & falling market.

Trading in futures market to allow for active risk protec

stop losses.

Why Invest?
Different product based on risk-reward for different types of inves
time horizon of investment & return expectation.
Aspect from fundamental analysis, a successful investor can take a
on technical analysis & power of derivatives for Timing the mark
If customer wants to be ahead in the race of timing the mar
ProTech PMS is the option for customer. So far Sharekhan is th
came out with this kind of PMS in India based on Technical Analys

How to invest?
Lock in: 6 months.
Reporting: fortnightly reporting of portfolio net worth, monthly re
Holdings/ transactions.
Charges: 0% AMC fees, 0.05% brokerage for derivatives, 20%
booked profits on a quarterly basis.

Fixed deposits
FIXED DEPOSITES:Fixed deposits are loan arrangements where a specific amount of funds is placed on
deposit under the name of the account holder. The money placed on deposit earns a fixed
rate of interest, according to the terms and conditions that govern the account. The actual
amount of the fixed rate can be influenced by such factors at the type of currency
involved in the deposit, the duration set in place for the deposit, and the location where
the deposit is made.

The most unusual characteristic of a fixed deposit is that the funds cannot be withdrawn
for a specified period of time. In most cases, fixed deposits carry duration of five years.
During that time, the money remains in the account and cannot be withdrawn for any
reason. Individuals, corporate entities, and even non-profit organizations that wish to set
aside funds and limit their access to the funds for a period of time often find that fixed
deposits are a simple way to accomplish this goal. As an added benefit, the monies in the
account will earn a fixed rate of interest regardless of any fluctuations in interest rates
that apply to other types of accounts.
However, both these benefits can also turn into disadvantages under certain
circumstances. Because the money cannot be withdrawn until the duration is complete,
the funds cannot be used even in emergency situations. Changes in the going interest rate
may also rise to a point above and beyond the interest rate applied to existing deposits.
This means account holders are actually earning less interest with fixed deposits than
with other types of loans and accounts.
While the interest rate on fixed deposits cannot be changed, there is sometimes a way to
work around the issue of obtaining use of funds in an emergency situation. At times, the
lending institution where the fixed deposit is placed may be willing to extend a separate
loan to the account holder, using the fixed account as collateral. While not ideal, this can
at least make it possible to deal with the current financial crunch.
Fixed deposits are a credible way to make a return on investment that is somewhat higher
than a standard savings account. The use of fixed deposits can also be helpful when
working with various types of currency. By establishing what is known as a Foreign
Currency Fixed Deposit or FCFD, it is possible to choose the type of currency involved
in the deposit and lock in a rate of interest. If the choice of currency is a good one, this
means the investor can enjoy a healthy fixed deposit currency rate for the duration of the
deposit and earn more than with a standard fixed deposit strategy. However, going with
an FCFD does contain a slightly higher amount of risk, since the funds deposited must be
converted to the currency of choice and then converted back when the deposit is fulfilled.
If the currency did not fare well in the interim, there is some chance of obtaining a loss,
due to the changes in the rate of exchange from the time the fixed deposit was activated
until the time the deposit is considered complete. Sharekhan has tie up with Unitech
Limited and HDFC corporations limited.

Advisory products
ADVISORY PRODUCT:
Sharekhan provide Advisory Products by which customer can get proper advise for
investing their money in proper way by which they can earn more profit. .

Need of Advisory Products:

Wide product range to meet diverse needs of clients

Disciplined Approach
Dedicated Product manager backed by Research
Performance track record

ADVISORY PRODUCTS:-

Top picks Portfolio

123 portfolios

Smart Trade Portfolio

Derivatives Portfolio

Nifty Portfolio

Portfolio Doctor

(1) Top Picks Portfolio:

A Compilation of the best stock market ideas from the Sharekhan basket.

Released Monthly
Ideal for Every Investor.
Picked by the highly acclaimed Sharekhan Research Team

Top Pick Portfolio Performance

Top Picks Performance

67.80%

Sensex Performance

25.60%

Quality Stock Selection.

Effective for long term

and medium
term.
Portfolio period
1st April
2007-31st
March 2008

Excellent Track Record.

Top Pick
Performance
Portfolio
Good Strike
Record.
Top
Pick
Portfolio
Performance
Top Picks Performance
67.80%
Top
Picks
Performance
Sensex
Performance
Sensex
PortfolioPerformance
period
Portfolio period

-4.10%
25.60%
-15.90%
1st April 2007-31st March 2008
1st April 2008 - 31st Aug 2008

(2)123 Portfolio:
What is it?
123 portfolio is a cash market delivery portfolio. In this Portfolio, calls will be generated by
Advisory team in Consultation with Research Team in both Fundamental and Technical
Term. 123 Portfolio is for short term delivery clients with the time frame of 1-3 months.

Downside risk

5-10%

Stop loss

No stop loss will be given

Reporting

Shall be done to clients at the End of day & also a Monthly

report will be sent

Product draw down

25% of clients corpus

Smart Trade Portfolio:

A Model portfolio runs by the Sharekhan advisory Team centrally.

Delivery calls are generated by the Advisory based on the market pulse (not based on
the Fundamental Research).

ideal for short term investor looking for aggressive returns with medium risk
Aggressive

No leverage

Actively Managed

Portfolio Rules
Call for Segment

Only Cash Segment calls

Min Investment
per callRules
10 % of corpus
STP: Trading
Time frame of call

Max : 1 month

Monitoring

Advisory Team

Min : 1 day

Portfolio Performance
Portfolio Returns

51.10% (Net of Costs)

Sensex performance

25.60%

Portfolio period

1st April 2007-31st March 2008

(4) Derivatives Portfolio:

A Model portfolio runs by the Sharekhan advisory Team centrally. Ideal for
Traders looking for aggressive returns with medium risk.
Aggressive
Leverage
Actively managed

Portfolio Performance
Super
strike Rate
Returns
(Absolute)
102% (Costs**)
Returns (Relative)

17.69%

Portfolio period
1st August 2007-31st March 2008
Portfolio Performance
** Costs
Net of Brokeage & doesnt not considers other charges
Portfolio Returns
51.10% (Net of Costs)
Sensex performance

25.60%

Portfolio period

1st April 2007-31st March 2008

Portfolio Performance
Portfolio Returns

95.54%

Sensex performance

-15.90%

Portfolio period

1st April 2008- 16th Sep 2008

(5) Nifty Portfolio:

It is a trading portfolio managed by Sharekhans technical team which generated

calls in Both (BSE &NSE) Index.
This portfolio is meant for traders who want to trade for short and long index.

Why Nifty Portfolio?

Historically 1/3 of F&O turnover is in NIFTY.
Niftycost.
Portfolio
Ample Liquidity and Low impact
Time Frame
Intraday-30 Days
Predefined method and rules.
Stop Loss

1-4%

Target

1.5-10%

Strike Rate

60-65%

Risk Reward

1:2.5

Underlying

Nifty Futures,Bank Nifty, Nifty Options,CNX IT(If Liquid)

Dividend Distribution
Positive Return on investment will be consider for monthly dividend

(6) Portfolio Doctor:

It is a tool for the comprehensive analysis of your existing portfolio.

Recommendations for improvement on a continuous basis based on Market
Outlook.

Analysis of your existing portfolio

Recommendation from Sharekhan

Creation of Model Portfolio

Currency Trading:

Currency trading means to trade in currency of different countries and price varies
because of supply and demand.
Currency trading is mostly done by large companies or by people who is importexport business.
In price of currency there is always fluctuation. So it can be dangerous for people
who have import-export business. So they make reverse position or it is also
known as hedging.
So by this way people minimize their risk with the help of currency trading.
Currency trading is not much useful to individual investors.
Sharekhan is providing offline currency trading to interested customers.
Online currency trading is not given because individual investors still not prefer
currency trading.

Advantages:

Live Streaming Quotes

Access all Trading Calls

Advanced Charting features

Create your own technical rules for trading

A Single Trading Screen for all segments

THE PLATINUM CIRCLE:

The HNI product

Personalized portfolio tracking & restructuring advice.
Monthly stock valuation statements, report profitability statement.
Daily report on transaction sent in printed format as well as available online.
Research-based investment advice tailored for different investment approaches

STRATEGY:
The main strategies used in our training were as follow.
DATA CALLING
In data calling we were provided data of mobile numbers and our job was to
generate appointments. After that we were required to convert that appointment
into closure. Apart from given data we also brought latest business directory. We
called to different business people and tried to generate appointments.
CALLED CALLING
Called calling means to go at different corporate houses and to meet different
People and to get their visiting card by it we get lead and our immediate task
Was to call them & to fix appointment.
REFERENCE
Another important strategy was to use our reference means our family, friends,
relatives etc. In marketing or selling we can never neglect references & they
always play a major role.
STALL ACTIVITY
Stall activity means to make stall at public place. Then our job was to give them a
newspaper with brochures and to take their name and contact number. So it was
another process of generating lead. After that our job was to follow

TRADE TIGER:
Trade tiger is a next-generation online trading product that brings the power of brokers
terminal to customer pc. It is session to capitalize on intra-day price movement. Trade
tiger is an internet based application available on a CD, which provides everything a
trader needs on one screen.

Advantages:

Live Streaming Quotes

Access all Trading Calls

Advanced Charting features

Create your own technical rules for trading

A Single Trading Screen for all segments

Live Terminal

RESEARCH
METHODOLOGY

Primary Data
Data collection method: Questionnaire

Sampling technique: Convenience sampling

Research design: Descriptive

Location: Delhi
Research duration: 2 months
Respondents: 350 people
Newspaper.
Internet.
Books.
Data collection method: Questionnaire
Sampling technique: Convenience sampling
Research design: Descriptive
Location: Delhi
Research duration: 2 months
Respondents: 350 people
Newspaper.
Internet.
Books.
Data collection method: Questionnaire
Sampling technique: Convenience sampling
Research design: Descriptive
Location: Delhi
Research duration: 2 months
Respondents: 350 people
Newspaper.
Internet.
Books.

Secondary Data
Primary Data
Secondary Data
Primary Data
Secondary Data
.

Findings
According to the data that have been collected all the
people who were surveyed are aware of share market
and trading.
Survey shows that the nearly 79% people prefer the
online trading rather than that of offline trading through
broker.

People like to invest more in equity rather than other

investment sectors.
The best preferred broking firm among the people is
ICICI direct with 22% rather than other broking firms.

 Friends, News paper and Internet are the most

preferred mode for awareness of the broking firms and
share trading

FUNDMENTAL
RESEARCH
FUNDMENTAL RESEARCH:-

STOCK IDEAS:
Aimed at investors. Presents our stock pick and discusses reasons for the same. It
comes with a price target and a time frame over which gains can be materialized.

Evergreen
These stocks are steady compounders, churning out steady growth rates year on year.
They are typically significant players in their markets, with sound strategies that will help

them achieve and sustain market dominance in the long run. They have strong brands,
management credentials and a consistent track record of achieving super normal
shareholder returns. We expect stocks in this category to compound at between 18-20%
per annum for the next five to ten years Also called ownership stocks, Evergreen stocks
are the brightest jewels in any portfolio.

Apple Green
These are stocks that have the potential to be steady compounders and are attempting to
move upwards, to turn Evergreen. They rank a shade below the Evergreen companies,
only because their potential in the five to ten years' time is still not very clear, although
they might grow at rates faster than that of the Evergreen stocks in the next year or two.
They could grow at 25-30% per annum over the next two to three years.

Ugly Duckling
These are companies that are trading below their fair value or at values which are at a
significant discount to that of their peer group, due to a combination of circumstances.
But things are now starting to happen in these companies or in their markets that are
likely to cause a re-evaluation of their prospects. These stocks could double in two to
three years' time. Buy into an Ugly Duckling now and you'd have a beautiful white swan
on your hands two to three years down the line.

Emerging star
These are typically young companies, often in niche businesses, that have the potential to
grow and dominate their niches. Even better, they might turn out to be real giants, if their
niches explode into full-blown markets in their own rights. These stocks are potential tenbaggers but you need to be patient. Buy into these stocks and watch your personal star
ascend.

Vulture's Pick
These are companies with valuable assets or brands that have been trashed to ridiculously
low prices. Buy a Vulture's Pick and wait for a predator who finds its assets undervalued
to come along. This could be a long wait but the returns could be startlingly high. The
key is to be patient. The vulture after all is a patient bird.

Cannon Ball

They are fast gainers in a rising market, which could give returns of 20-40% within three
months. Based on a combination of sound market information, technical charts and
available fundamentals for investors with an appetite for high risk and high reward.

INVESTERSEYES:
A daily fundamental newsletter to help the customer for taking right decisions.
Contents Views on most important news reports of the day
Recos using the bottom-up approach
Stock Update reports

 Special reports

Other reports

SHAREKHAN TOP PICKS:

A model portfolio comprising of 12 stocks for investors with a horizon of more than a
year. Portfolio is updated with new stocks replacing existing stocks as and when required
to optimize performance.

VIEW POINT:
Views on companies we don't track. Views on economy, policy changes and government
initiatives

SPECIAL REPORTS:
Specialized
reports
on
unique
market
opportunities.
Reports like - Selectivity pays, monetary policy review, Hurricane gains, Dividend yield
stocks, etc.

IPO FLASH:
Report on forthcoming IPOs - only those IPOs which are covered by our research team.

SECTORREPORTS:
View on various sectors and its constituents (eg sugar and Balrampur Chini, KCP Sugar
Industries, Upper Ganges)

 MARKET OUTLOOK:
Bi-monthly Fundamental view on the market.

TECHNICAL
RESEARCH
TECHNICAL RESEARCH:
Punter Call
A daily view on how the market and major indices are expected to trade for the day the
closest support and resistance levels are provided to help traders take decisions.
Smart charts
It presents the best positional trading calls in the market. Each call is introduced along
with a reco (Go Long/Go Short), a price target, a stop loss and a chart depicting the trend

in the stock.
Derivative Calls
Toolkit for derivative traders
Day Traders Hit List
It captures the trading ranges of all the stocks that are currently the market's flavour. It is
meant for day trading. All positions need to be squared off by 3.30. The list contains 20
liquid stocks.

Pivot Table
Pivot Table is an intra-day product and it covers mainly mid-cap and small-cap
companies. The Buy and Sell targets are given for each stock in this list.

Momentum Swing
Momentum Swing tries to capture the dynamic picture of price movements in stocks.
This product can be used to gauge the sentiments in stocks at a future date as reflected in
the charts.
Derivative Toolkit
Toolkit for derivative traders

Eagle Eye

Eagle Eye is a daily newsletter based on technical research. It is aimed at traders. It

contains
Looking trendy (short term)
Smart chart
Day traders hit list
Medium term target and reversal
High Noon
Toolkit for derivative traders

By tradetiger software, customer can see the market depth and volume of the
particular company.

Depository services
Depository Services:
A Depository is like a bank wherein the deposits are securities. ( i.e. shares, debentures,
bonds, government securities, units, etc.) in electronic form. Besides holding securities, a
depository also provides service related to transaction in securities.
Depository provides its services to investors through its agents called depository
participants (DPs).
Sharekhan is one of the depositories.
NSDL-DP ID- IN300513
CDSL-DP ID- 12036000
It provides services as follow.

Account Opening

De-mat/ Re-mat/ Repurchase/ Redemption

Account Transfer Instructions
Inter Depository Transfer Instructions
Client Master Changes
Freezing/ De-freezing/ Account closing
Transmission
Pledge Creation/ Closure/ Invocation
Stock leading & Borrowing
SPEED-e & IDeAS/ easi & easiest.

Customer supporter
Call Center:
There is a call center at Bombay, where more than 200 employees are working efficiently.
Their work is as powerful that they complete every call within two minutes. So customers
are satisfied with them.

Relationship Manager:
Sharekhan provides personal relationship manager to its customer. The work of
relationship manager in Sharekhan ltd is as follow:

Punching in trades for clients.

Communicating intra-day trading calls and investment ideas to customers.

Conducting business development activities in branches.

Monitoring day to day operations at branch.

Maintaining regular relations with clients.

Alerts:
ON YOUR MOBILE

IN YOUR MAIL
IN MYINBOX

Variety of Alerts for equities,

Mutual Funds, IPOs and Traders

Get customize Daily Updates

Trade Execution Alerts will be set

by default for trading customers

Be the first to get Research

updates

Setting Alerts was never easier

Get the advantage of new alerts

being added in the future

Seminar:
Sharekhan organizes seminars across the country from time
to time in order to educate investors in various subjects
related to the stock, derivatives and commodities markets.
These exclusive Seminars are organized by Sharekhan for its
Online Trading Customers for FREE.
These Seminar will equip and customer to take an
investment decision.
It is also doing for first step customers who have never invested his share before.

SHAREKHAN SHOPS:
All you have to do is walk into any of our 1200 share shops across 400 cities in India to
get a host of trading and investment related services. Our friendly customer service staff
will also help you with any account related queries you may have.
After hour Orders
Sharekhans customer also enjoy the facility of placing orders even after trading hours
and the orders are executed as soon as the market opens.

Value guide:Sharekhans customers also enjoy the facility of value guide for the detail of stock ideas,
investment insight, company detail etc.

Mobile n trade facility:Sharekhan lunches new facility for their customer to mobile n trade facility but still it
working process.

RESEARCH
Methodology

Objective of the Research:

The objective of the research is to know how many people are aware about the
share market.
To know about how many people are eager to know about stock market.
To know the company awareness among the people.

Research Source:
In this research we have used primary sources for data collection.

Sample Size:
In this research 100 respondents are there included.

Research Instrument:
In this research we have used telephonic and face to face conversation for getting the
result.

Que.: Do you invest into stock market?

Objective: To know how many people are doing investment in stock market.
Finding :
YES

57%

NO

43%

INTERPRETATION:
From the above chart we can conclude that there are 57% people are doing
investment in stock market and 43% people are not doing investment in
stock market.

Que: If yes, where do you investing?

Objective: To know in which area people are interested to doing investment.
Findings:
Equity

59%

Mutual Fund

21%

Commodity

7%

Other

13%

INTERPRETATION:
From the above chart we can see there are from 57% people, 59% in equity,
21% in mutual fund, 7% in commodity and 13% in other doing investment.
Que.:- If yes, from which brokerage house you do trading?
Objectives: - To know which company has taken priority place in
Customers mind.
Findings:Indiabulls
Angel
Shah investors
Sharekhan ltd.
Others

16%
29%
12%
36%
7%

INTERPRETATION:
We can know from above chart that most of the people are doing trade from
Sharekhan as 36% and 29% from angel, 16% from Indiabulls, 12% from
shah investment, 7% from other private sub brokers.

Que.: Which way you prefer for trading?

Objectives: To know how many people are doing trade online and offline.

Findings:
Online

46%

Offline

54%

INTERPRETATION:
Here we can conclude that now people are aware with internet facilities. So
46% traders prefer online trading. And 54% people are prefer offline trading
because of low availability of internet facility and busy in routine work.

Que.:-Have you ever heard about Sharekhan broking firm?

Objective:-to know how many people aware with Sharekhan ltd.
Finding:Yes

39%

No

61%

INTERPRETATION:
From the above graph we can conclude that 39% people from 64% are aware
with the Sharekhan ltd and 61% are not.

Que.:- Are you interested because we have scheme going on?

Objective:-To know how many people are eager to know Sharekhan scheme.
Finding:Yes

47%

No

53%

INTERPRETATION:
Here we knew that after listening the scheme of free opening de-mates
account and life time free available online software, 47% people are
interested to know about Sharekhan ltds services.

Que.:- If yes, can we take an appointment?

Objective: - To know how many people are interested for live demonstration
of Sharekhans online software
Finding:Yes

42%

No

58%

INTERPRETATION:
From the above chart we can know 42% people are ready for live
demonstration of Sharekhans online software and 58% people are neglect
for that.

LEARNING:

In Sharekhan we have learned how to maintain good relations with the customers
by giving them the proper service and solving their queries regarding the share
market.

We have also learned how to maintain good relation with the employees and the
co-trainees.

We have learned the meaning of the words that are mostly used in the share
market.

We have learned about various products of the Sharekhan Limited.

Learned about various products used in the share market especially De-mat
accounts and Mutual Funds.

We have learned how to use online trading terminal.

We have enhanced our communication and convincing skills and also how to
interact with people in real market.

We have learned how to take appointments.

We have learned how to open and close the calls.

We have got the practical knowledge of the market.

The main and important thing is that we had a practical experience of working in
a reputed company.

CONCLUSION

Importance of information technology in the field of stock broking is immense.

Buying and selling of shares through the internet is so easy.

As soon as prices of share s goes up and comes down then the customer can sell
or purchase the share instantly within seconds.

Products and services of the Sharekhan are good from others. Especially the
software of Sharekhan trade tiger is unique from others.

There are 57% people are doing trading in stock market.

In it 59% people are doing trading in equity and others are in commodity, mutual
fund.

Mostly the people have opening the account from Sharekhan ltd and angel
broking ltd.

In Sharekhan the current scheme is that opening the de-mate account is free of
charge and there is no other charge on it for a year. Also the unique software of
trade tiger is allowed free of charge for life time.

After listening the current scheme 47% people are ready to opening the account.
Because of time limitation and also internet available problems, mostly people are
doing off-line trading. But now in days numbers of customers are increasing for
online trading.

BIBLIOGRAPHY
Lists of books:

Sharekhans brochures
Investment and portfolio management and basic of share market

Websites:

<%%%http://www.sharekhan.com>
<%%%http://www.bseindia.com>
<%%%http://www.nseindia.com>
<%%%http://www.ncdex.com>
<%%%http://www.mcxindia.com>
<%%%http://www.mutualfunds.com>
http://www.derrivatives.com

ANNEXURE

ANNEXURE

Telephonic and called calling Questionnaire

Name__________________________________

Contact no:_____________________________

Do you invest into stock market?

Yes

If yes, where do you investing?

Equity
Commodity

Mutual fund
Other

From which brokerage house you do trading?

Indiabulls
Angle

No

Shah Investors
Sharekhan

Others

Which way you prefer for trading?

Online

Offline

What is your current brokerage rate?

_________________________________________
Have you ever heard about Sharekhan broking firm?

Yes

Are you interested because we have scheme going on?

Yes

No

No

If yes then appointment is generated for live demonstration for Sharekhans

online software?
Yes

No

DE-MATE FORM