Capital MarketCapital Market

It is a common platform where attempts are being made to bring together the 2 basic participants :

People who need Money

& People who have Money

Types of Markets

Primary MarketPrimary Market&&

Secondary MarketSecondary Market

Primary Market

It is the market from where :

New Companies or Business Enterprises raise Fresh Capital by Issuing New New Companies or Business Enterprises raise Fresh Capital by Issuing New Shares.Shares.

SOEs undergoing privatization or expansion seek Capital from the Public.SOEs undergoing privatization or expansion seek Capital from the Public.

Any other agencies like Investment Trusts etAny other agencies like Investment Trusts etc., raise capitalc., raise capital

Price/Price Range is always decided by the Issuer

SecondarySecondary Market Market

It is the market where the transfer of shares takes place between an existing shareholder and a potential investor.

Here, no fresh shares are issued, but the transfer of shares which are already issued is done.

Price is decided between the buyer/seller depending on future prospects of the company.

Is a common forum for Buyers and Sellers to meet and negotiate before doing a trade, viz.,

STOCK EXCHANGE

How do Stock Exchanges Function ?

Stock Exchanges function through its Broker Members.

Anybody can buy or sell shares in a Stock Exchange only through its Members.

The issuer has to list its shares in order to enable the public to trade in it.

NSE stands as the largest stock exchange in India and the third largest exchange in the world, in terms of volume after NASDAQ and the New York Stock Exchange NYSE.

In India we have 23 Stock Exchanges of which NSE is the only National Exchange, all others are Regional Exchanges

NSE is India’s one and only demutualised Exchange. Demutualisation refers to the legal structure of an exchange whereby the ownership, the management and the trading rights at the exchange are segregated from one another.

Where do we stand ?Where do we stand ?

is a Corporate Member of the National Stock Exchange of India Ltd.

deal in the Cash Segment & Currency Derivative Segment

is Depository Participant of CDSL

National Stock Exchange (NSE) / Central Depository Services Ltd (CDSL)

StockBroker/DepositoryParticipant

Customer

Customers

Investors Speculators

INVESTORS

Any individual / institution who invest in securities with a view to retain them and earn profit. They study the shares and the markets.

They retain the security for a long period of time

SPECULATORS

Is any person who trades without possessing any security, does not invest in security.

They trade intra day only expecting profits from the usual market fluctuations.

Above 70% of trades in India happens this way.

Operations

Trading – Buy or Sell Online

Settlement–Transfer of Funds/Securities

Depository Participant – Holding shares in electronic form

Trading – Day Squaring

Buying and selling of the same scrip in the same quantity on the same day.

No net position will be left at the end of the day.

Trading - Delivery

Purchase made by a client against which there is no corresponding sale.

&

Sale made by a client against which there is no corresponding purchase.

BROKERAGE

A fee charged by broking firm to facilitate transactions between buyers and sellers.

The Main source of income of Broker

The brokerage fee is charged while purchase and sale on the transaction. Brokerage fees will usually be based on either percentage of the transaction or a flat fee. They can also be a combination of the two.

We Provide

Trading through Terminals

Customer tele calls/comes to our office where we have a live trading terminal and requests us to place the order on behalf of him

E trading through our web siteCustomer logs into our website and does the trading himself

Demat Account Customer can keep the shares in electronic form

The 3 in one Account

Savings Bank account – For Fund Transfer

Trading Account – for Buy & Sell Shares ( With UAE Exchange)

Demat Account – for keeping shares ( With UAE Exchange)

Transfer money as Margin/Payin for buying Shares

Bought shares are holding in Electronic Form

Selling shares in DP account

Payout Amount transferred to Bank account

Demat Plus Opening Procedure

Collect cheque/DD in favor of UAE Exchange & Finance Ltd from the customerDeposit Cheque in any Bank at your location (Bank List appended below)Update application details in FS Login->NSE BackOffice->Request/Authorization->Client RequestSend the application form and documents to AO NSEAO NSE will intimate the status of application to your end through mail

BANK ACCOUNTS – UAE Exchange Finance Ltd

State Bank of India, MG Road, Cochin A/C No- 30537605866

 HDFC Bank, Ravipuram, MG Road, Cochin A/C No- 00202340000023 AXIS Bank, Rajaji Road, Cochin A/C No- 081010200011945 Dhana Lakshmi Bank, MG Road, Cochin A/C No- 0145053000001033

 ING Vysya Bank, MG Road, Cochin A/C No- 501011015229 IDBI Bank, Panambilli Nagar, Cochin A/C No- 084103000002776 Federal Bank, MG Road, Cochin A/C No- 12380200017541

Payin / margin should be deposited only in above mentioned banks and details should be intimated via email

Advantage of UAE Exchange Internet Trading

Free Share Trading account Free Demat account Free BrokerageZero Minimum DepositFree Market Information and Analysis Trade anywhere from the world hassle free (Only requirement of Computer & Internet)Free SMS Updates (Live Script Quote, Ledger Balance)Free Portfolio AnalysisWeb based application - No Software Installation

For Trading in stock exchange customer require 3 types of accounts –

•Demat Account to hold stocks which will be provided by UAE Exchange•Trading Account to take your order and communicate with stock exchange to trading which will be provided by UAE Exchange•Bank Account to transfer fund, for which UAE Exchange has developed interface with HDFC Bank, Axis Bank and Federal bank

KYC Documents

2 Photos (Affix in application form and sign across)

ID Proof - PAN Card (Mandatory)

Address Proof - Passport / Driving Licence / Voter’s ID/ Telephone / Electricity Bill / Latest Bank Statement with Seal / Ration card.

Bank Proof - Personalized Bank Cheque copy / Non personalized Cheque copy accompanied with bank passbook or bank Statement / Latest Statement with Bank Seal / Banker Verification letter

Forward two copies each of KYCProofs must be clear and self attested by customer and Declaration

Signed staff

Filling assistance at

1. www.uaeexchange-etrade.com GUIDANCE

2. FS Site CC Ready Reconner Xtrade

Application Form – Equity & Demat account

Login to www.uaeexchange-etrade.com and click on Login to Trade and click on NOW image.It goes to https://www.now-online.in/now_home.html where following screen will appear.

Enter Member ID as “06558” which is UAE Exchange & Finance Ltd Member ID. User ID will be “your client code – 06558”. For Eg, if your ‘client code’ is S1001 then your User ID will be “S1001-06558”. Then click on Sign In.

Please confirm your Secure Access Image & enter the password. Then click on Login.

As a part of 2 Factor Authentication(2FA), you need to answer two questions of which you answered while first login(Password & 2FA answers were case sensitive). Then click on Submit.

On successful login, you will get last login date & time. Click on OK button.

Following is the screenshot of NOW home page.

Click on market Watch for lite version which has to be refreshed for rate updation, which is good for low bandwidth and JAVA not required.

Select NOW Xpress for live streaming , where live rates will be updated online.

By clicking on market Watch, following screen will appear.

By clicking on NOW Xpress, following screen will appear.

New market watch can be set by clicking Set MW

Create MW

Enter market Watch Name

Click Create Button

____________________________________________________________________________________

Scrips can be add to market watch by clicking Add Scrip

Select Exchange as NSE

Settl.Type as EQ for Normal Segment and BE for Trade to Trade Segment

Enter Company Name in the Search Text Column. Then click on GO button

Select Company Name from the left column and Add to the right column

Then click on Add to Market Watch, the scrip will be added to the market watch

Setting up market watch

Setting up market watch

Setting up market watch

Setting up market watch

Setting up market watch

Setting up market watch

Pay In or Fund TransferYou can transfer fund online from Bank A/c to Trading Account by clicking on Pay In.Select Bank , enter Amount & click on Submit. It will direct you net banking page.

Order Entry

BUY ORDERIf you wish to buy any scrip then go to that scrip on the market watch Press “F1’ or RIGHT MOUSE CLICK and select BUY ORDER to buy, input desired quantity & price.

Select Product Code CNC* or MIS*.

Then click on Submit. It will ask for Transaction Password. Enter your Transaction Password, click on Submit and Confirm. You have to enter Transaction Password for first order of your each login.

SELL ORDERIf you wish to sell any scrip then go to that scrip on the market watch Press “F2’ or RIGHT MOUSE CLICK and select SELL ORDER to Sell, input desired quantity & price.

Select Product Code CNC or MIS.

Then click on Submit. It will ask for Transaction Password. Enter your Transaction Password, click on Submit and Confirm. You have to enter Transaction Password for first order of your each login.………………………………………………………………………………………………………………………………………..* CNC – Cash and Carry –Use this product code if you are placing order for delivery transactions. This product requires 100% margin.

* MIS – Margin Intraday Square Off – Use this product code if you are placing order for intraday transactions. This product requires only 14% margin. All open positions in this product will be squared off automatically by system at 3.20 PM.

Disclaimer : Company has absolute right to change margin criteria & auto square off time without any prior notice or intimation.

Order Entry

Order Entry

Order Book In OrderBook , you can view all orders (open, rejected & executed). OrderBook can be invoked by pressing ”F3”. You can modify or cancel the order through this window. You can also filter your orders as per different available criteria‘s.

Click on Modify Order button for modify quantity or price of the pending order.Click on Cancel Order button for cancelling the pending order.

Order Book

Trade Book“F8” will allow you to view all executed orders during the day. This menu can also used for position conversion.(MIS to CNC or CNC to MIS). You can also filter your trades as per different available criteria‘s.

Trade BookClick on Position Conversion button for converting your trades from MIS to CNC and vice versa.

Limits/RMS SubLimitsIn this menu, you can view all your Margin/Exposure details. Amount shown in ‘Cash Margin Available’ includes your account balance +14% of market value of your security balance. You can click on Check Details button for details.

SettingsYou can change your market watch column, background color, font style, size.. etc.

AMO (After Market Orders) Through this window, you can place orders during non trading hours & such orders will be forwarded to the exchange on next trading day subject to your margin availability.

Holdings You can view your stock balance through Holdings(F9).

LogoutKindly use this menu to exit/close the NOW platform.

Proof for Buying/Selling

a. Trading hours are from 09:00 to 15:30 hrs on all trading days

b. Contract notes & Bill containing details of transaction will be sent as e-mail to your email id after trading hours

c. You will be intimated through sms on credit/debit position

d. You will be intimated through sms on the shares you transacted.

e. You will be intimated through sms on crediting/debiting shares from your account.

Pay Out

Stock Exchanges follow T+2 days for giving pay out. It means

If you sell share today (T) the amount gets credited to your account After two trading days.

My Xtrade @ www.uaeexchange-etrade.com

It is the personalized area for the customer to view his share trading details done through UAE Exchange. The customer can log in to this section and retrieve the following details

My Transaction – For viewing consolidated ledger report Portfolio Analysis - Shows real time profit or loss Client Bill - For viewing last 3 month bills

Contract Note - For viewing last 3 month contract notes Transaction Summery - For viewing transaction summery Pay Out requests and Status - For getting payout and its status Market beeps - For viewing daily Tips Important Notice - For updating developments in stock market Change Password - For changing password Schedule Script for rate SMS - for getting selected script quotes on mobile.

For RESET the Password!!Email will be delivered with new password

Home Page

Login Page

UAE Exchange Exposure Policy

Terminal Margin calculates 100% of Cash + 50% Security Value

Internet Margin calculates 100% of Cash + 14.30% or 1/7 of Security Value

Exposure – Intraday 7 times and Delivery 1 time

Debit position has to be cleared within 4 days either by collecting fund or selling stock

Short Selling

It’s a type of speculative txn. Doing when the market is bearish. Selling shares without having it.

Why short selling ?

By anticipating fall in the stock price to take advantage of market fall.

Need to close the short by buy back - get profit if buying at a low price and book loss if buying at a high price.

Reasons for loosing…

1. Lack of knowledge2. Unrealistic expectation3. Listening to others4. Getting in ego and sentiment5. Trading only in one direction6. Overtrading7. Poor money Management

In life, you have to learn to walk before you can run. In the stock market, you have to learn to lose before you can truly win.

Tips to Lower your Risk:1. Do not put more than 10% of your money into any one stock2. Do not own more than 2-3 stocks in any industry3. Buy your stocks over time, not all at once4. Buy stocks with consistent and predictable earnings growth5. Buy stocks with growth rates greater than inflation and interest rates6. Use stop-loss orders to limit your risk

Investment in Gold

We are blessed with 30000 walk in customers per day, of which majority are coming for receiving money sent from abroad.

They may not be having the knowledge on investing in stock market but they will be definitely interested to invest in their favorite Gold.

Branches can help them in investing in Gold, that too in 24 ct gold and that too in 1 gm.

Customer can buy and sell gold on all trading days through branches using demat account

Tapping customers

Gold Fund is a golden opportunity for us for servicing our customers

Our customers will remain always with us by giving them our demat account.

AO NSE support branches by sending sms of their investment on a daily basis. It can give an opportunity to think on the branch when ever they required our service.

They themselves will shift to shares on enjoying the fruit of investment.

Branches can make income through NSE by making customers to grow

Invest in Gold ETF

(a)   Affordable: Possible to buy a minimum of ½ gram ( 1/2Unit) of 24ct Gold - Nil Commission - Nil Making charges - Nil Tax - Gets full value on selling - Banks do not buy back, they only lend against it

(b) High Liquidity: Can buy/sell just like shares on all days.

(c) No risk of holding physical stock: Because of holding in Demat account.

a. Gold Exchange Traded Funds or ETFs are investment schemes as sharesb. The underlying asset is physical gold. So, the value depends on pure gold ( 24ct). c. Investors can buy or sell just like equity shares.d. It is held in demat account as units 1 gm of gold)

What is Gold Fund?

Advantages of Gold Fund

Gold ETF offered by SBI, UTI, Benchmark, Reliance, Kotak, ICICI,HDFC, Birla, Religare and Quantam

It is possible to convert all inactive clients to active by making them to invest..It is possible to give demat account to all our express money customers by making them to invest in Gold Fund when ever they come for receiving money. Later they themselves will start investing in shares.

Focus?

We have

1. Product - Share Trading with huge potential; Only 2 cr Demat account

2. Infrastructure - 300 branches

3. Customers - 30000 customers per day

Let us make use the above resources which we have…. For the Financial Growth of company and our career growth

A. Account Opening Charges – Rs. 1000 /- B . Brokerage

Brokerage slabs:

Terminal trading

. 03 - .08 For Intraday . 3 - .5 For Delivery

Internet TradingIntraday - .05  

Delivery - .4  

We can Waive Brokerage Slabs depends on the Volume of Trading..

Account opening charges & Brokerage

NSE Sub Broker

BRANCH BENEFIT

• Branch will get 40% of total Brokerage.• Sub Brokers will canvas clients for them.• Sub brokers will do trading for their customers, they

will bear all risk and branch will get Brokerage income with out any further effort.

• Our Brand name and Etrade Business will grow in all corner.

• Responsibility of a Branch is to verify the customer application form ,documents and approve the same.

WHO CAN BECOME OUR E-TRADE SUBBROKER

• Existing Sub Agents

• Net cafe owners

• Mutual Fund / Pan Card and LIC Agents

• Experienced Share trading clients

• Retired Bank / Govt Employees

• Shop Owners etc..

FOLLOWING ARE THE REQUIREMENTS Duly filled application along with ID and Photographs

Address Proof

Bank Proof of Sub Agent

Dealer should have NCFM certification

INFRASTRUCTURE REQUIREMENTS

• Min. 200 sq. feet of office space • Computer with latest configuration and Internet connectivity• Telephone lines preferably with voice logger• TV with Cable Connection• Branch of any of the following bank in the location

for local clearing of cheques [AXIS Bank/HDFC Bank/ IDBI Bank/Dhanalakshmi Bank/SBI/Federal Bank/

ING Vysya bank] • Proof for the possession of office space in own name

COMMERCIAL TERMS

• Income sharing - 60% of brokerage for the associate (60:40) i.e. Branch will get 40% of Total Brokerage

• Operating cost/SEBI/NSE Registration fees etc shall be borne by the associate

• NCFM - Capital Market Dealers Module Certified staff.

• Minimum deposit of Rs.100,000/ as refundable security deposit

Referral Agent

We have the Option to add Referral Agents and acquiring business through Referral Agents. We can convert the existing sub agents of FS to NSE Referral Agents. Branches are allowed to part (to referral agents) upto 20% out of the 50% brokerage earned by way of clients referred by these agents.

UAE Exchange & Financial Services Ltd.Chettupuzha Towers, P T Usha Road| Kochi - 682011,India

Tel:(O) 0091 484 3007223 EMAIL:aoxpay@uaeexchange.co.in

www.uaeexchange-etrade.com