ANAND RATHI ANAND RATHI SECURITIES LTD.SECURITIES LTD.

CONTENTSCONTENTS INTRODUCTION.INTRODUCTION. MANAGEMENT TEAM.MANAGEMENT TEAM. SERVICES.SERVICES. ACKNOWELDGEMENTACKNOWELDGEMENT

INTRODUCTIONINTRODUCTION Leading full service investment bank.Leading full service investment bank. Founders:Mr.Anand Rathi &Mr.Pradeep Gupta.Founders:Mr.Anand Rathi &Mr.Pradeep Gupta. Founded in 1994.Founded in 1994. Presence in over 350 locations across India.Presence in over 350 locations across India. Group employees over 2,500 professionals.Group employees over 2,500 professionals. Philosophy is entirely client centric.Philosophy is entirely client centric. Citigroup venture capital joined the group as Citigroup venture capital joined the group as

financial partner in 2007.financial partner in 2007.

Research teams across the firm continuously Research teams across the firm continuously track various markets and products.track various markets and products.

Leading underwriter of public offerings and Leading underwriter of public offerings and private placements for middle market private placements for middle market companies in India.companies in India.

Their economic research team has been ranked Their economic research team has been ranked among top 20 in Asia.among top 20 in Asia.

MANAGEMENT TEAMMANAGEMENT TEAM

ANAND RATHI FOUNDER AND

CHAIRMAN

P.G.KAKODKARDIRECTOR

DR.S.A.DAVEDIRECTOR

C.D.ARTHADIRECTOR

PRADEEP GUPTACO-FOUNDER&

VICE-CHAIRMAN

AMIT RATHIMANAGING DIRECTOR

AJIT BHUSHANDIRECTOR

MANAGEMENT

REGIONAL HEADS FUNCTIONAL HEADS

ANAND RATHI SECURITIES PROVIDES ANAND RATHI SECURITIES PROVIDES THEIR SERVICES BROADLY UNDER 4 THEIR SERVICES BROADLY UNDER 4 PILLARS.PILLARS.

SERVICES

PRIVATE WEALTHMANAGE-

MENT

INVESTMENTBANKING

PERSONALFINANCIALSERVICES

INSTITU-TIONALEQUITY

WEALTH MANAGEMENTWEALTH MANAGEMENT:: A Type of financial service that combines A Type of financial service that combines

personal investments,tax planning personal investments,tax planning strategies ,estate planning and legal counsel.strategies ,estate planning and legal counsel.

It can encompass all parts of a person’s financial It can encompass all parts of a person’s financial life.life.

PRIVATE WEALTH MANAGEMENTPRIVATE WEALTH MANAGEMENT Their philosophy says that wealth management Their philosophy says that wealth management

needs to be far more holistic than just investment needs to be far more holistic than just investment advisory.advisory.

Separation of advisory from product Separation of advisory from product manufacturing is critical to offer conflict -free and manufacturing is critical to offer conflict -free and truly objective advice to the clients.truly objective advice to the clients.

They therefore offer only third party products and They therefore offer only third party products and do not manufacture any in-house products and do not manufacture any in-house products and hence they do not hold any proprietary stake in hence they do not hold any proprietary stake in the market. the market.

SERVICES:SERVICES: Creation of a customized financial strategy.Creation of a customized financial strategy. Diversification of assets based on formal Diversification of assets based on formal

process of asset allocation.process of asset allocation. Active tracking, monitoring &review of Active tracking, monitoring &review of

portfolios.portfolios. Creation of private trusts.Creation of private trusts. Tax planning.Tax planning. Estate planning.Estate planning. Structuring of family wealth.Structuring of family wealth.

INVESTMENT BANKINGINVESTMENT BANKING

SERVICE OFFERING

ADVISORYRESTRUCTU-

RINGCAPITALMARKET

PRIVATE EQUITY

Advisory services:Advisory services: Exploring, evaluating &recommending financial and Exploring, evaluating &recommending financial and

strategic alternatives.strategic alternatives. Negotiating and consummating transactions.Negotiating and consummating transactions. Advising on transaction structuring,timing,pricing & Advising on transaction structuring,timing,pricing &

potential financing.potential financing.

Private equity services:Private equity services: Developing company positioning & all documentation Developing company positioning & all documentation

for potential buyers.for potential buyers. Developing buyers lists and managing all communica-Developing buyers lists and managing all communica-

tion with potential buyers.tion with potential buyers. Evaluating bids and negotiating and executing final Evaluating bids and negotiating and executing final

transactions & documentations.transactions & documentations.

Restructuring services:Restructuring services: Developing the comprehensive restructuring and Developing the comprehensive restructuring and

reorganization plans and assisting in the court reorganization plans and assisting in the court administered approval process.administered approval process.

Advising on the ultimate structuring of a potential Advising on the ultimate structuring of a potential sale or recapitalization. sale or recapitalization.

Capital market services:Capital market services: Developing a target investor group & effectively Developing a target investor group & effectively

positioning the company’s story to the investor positioning the company’s story to the investor community.community.

Assisting with necessary documentation to execute a Assisting with necessary documentation to execute a successful capital raising.successful capital raising.

Assessing the most appropriate group of investors to Assessing the most appropriate group of investors to assist the company in its long term plan.assist the company in its long term plan.

Industry coverage:Industry coverage:sectors covered:sectors covered:

Industrial goods.Industrial goods. Consumer services.Consumer services. Technology.Technology. Telecom.Telecom. Media.Media. Retail.Retail.

Natural resources.Natural resources. Financial institutions.Financial institutions. Professional services.Professional services. Education.Education. Clean energy.Clean energy. Healthcare.Healthcare.

INSTITUTIONAL EQUITIESINSTITUTIONAL EQUITIES Anand rathi institutional equity team has been Anand rathi institutional equity team has been

providing India investment ideas and trading services providing India investment ideas and trading services to leading institutional investors from all over the to leading institutional investors from all over the world.world.

Research:Research: Their research team contains 25 members comprising Their research team contains 25 members comprising

15 analysts (including sector specialist, macro 15 analysts (including sector specialist, macro economist ,strategist) and 10 associates.. most economist ,strategist) and 10 associates.. most analysts have more than 10 years of industry analysts have more than 10 years of industry experience.experience.

a specialist technical & derivative research team.a specialist technical & derivative research team.

Research Products:Research Products:

Elections 2009.Elections 2009. Budget FY 2010.Budget FY 2010. India auto sector.India auto sector. India banks.India banks. India capital goods.India capital goods.

India IT services.India IT services. India monsoons.India monsoons. India oil& gas.India oil& gas. India wireless.India wireless. India cement sector.India cement sector.

PERSONAL FINANCIAL SERVICES:PERSONAL FINANCIAL SERVICES:

SERVICES

EQUITYMUTUAL

FUNDNRI

SERVICESCOMMODITYIPO

Equity services:Equity services: Cash and carry.Cash and carry. Margin financing.Margin financing. Digital contract notes.Digital contract notes. Research calls through multiple channels.Research calls through multiple channels. Phone trade.Phone trade. Personal investment advisory. Personal investment advisory.

Mutual fund services:Mutual fund services:

They offer both types of They offer both types of mutual fund services mutual fund services namely:namely:

1.Lumpsum investment.1.Lumpsum investment.

2.SIP.2.SIP.

MUTUAL FUND

LUMPSUMINVESTMENT

SYSTEMATICINVESTMENT

PLAN

IPO (initial public offer) services:IPO (initial public offer) services: They have been constantly ranked among top 10 They have been constantly ranked among top 10

distributors of IPOs on all major offerings.distributors of IPOs on all major offerings. Their IPO research team provides in-depth overview of Their IPO research team provides in-depth overview of

forthcoming IPOs as well as investment recommen-forthcoming IPOs as well as investment recommen-dations.dations.

Commodities services:Commodities services: Regular news & updates through e-mails, through Regular news & updates through e-mails, through

daily,weekly,monthly,quartrly publications.daily,weekly,monthly,quartrly publications. Strategies for corporates for their risk management.Strategies for corporates for their risk management.

NRI Services:NRI Services:

Equity trading on NSE Equity trading on NSE & BSE.& BSE.

Derivative trading on Derivative trading on NSE & BSE.NSE & BSE.

Mutual funds.Mutual funds. IPO Applications.IPO Applications.

PAN Procurement.PAN Procurement. Capital gains tax and Capital gains tax and

income tax return.income tax return. Advisory services.Advisory services.

Online services:Online services:

Online services includes the following services:Online services includes the following services:

1.Trading platforms.1.Trading platforms. Trade x press.Trade x press. Trade x press pro.Trade x press pro. Phone trade.Phone trade.

2.Portfolio tracker.2.Portfolio tracker.

3.Research information.3.Research information.

Trading platform:Trading platform: Trade x pressTrade x press: It is a browser based system designed for : It is a browser based system designed for

customers who transact occasionally. It works even customers who transact occasionally. It works even over a low bandwidth connectivity.over a low bandwidth connectivity.

Trade x press pro:Trade x press pro:It is a software designed for active It is a software designed for active traders who transact frequently to capture faorable short traders who transact frequently to capture faorable short term price movements. It requires superior bandwidth term price movements. It requires superior bandwidth connectivity. It helps them to make critical decision connectivity. It helps them to make critical decision with confidence.with confidence.

Phone tradePhone trade: through this facility one can access his : through this facility one can access his account from anywhere without STD charges.account from anywhere without STD charges.

Research information:Research information:Through their research team they update the information Through their research team they update the information

on the website for following.on the website for following.

1.Equity.1.Equity.

2.Commodity.2.Commodity.

3.Insurance.3.Insurance.

4.Mutual fund.4.Mutual fund.

5.Investment strategy.5.Investment strategy.

Online trade customer privileges.Online trade customer privileges. Online trade execution.Online trade execution. Phone trade facility using toll free.Phone trade facility using toll free. Centralized customer care desk.Centralized customer care desk. 24/7 account access.24/7 account access. Quality advice and research reports.Quality advice and research reports. Rich contents with tools.Rich contents with tools. Mail services.Mail services.

THANKTHANK

YOU.YOU.