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(financial services & solutions)

(financial services & solutions). Business Plan 2010 -11. April, 2010. Regd. & Corporate Office 5 th Floor, Sanchi Building, 77, Nehru Place, New Delhi – 110019 Phone:+ 91 (11) 46500500 Fax: + 91 (11) 46500550 E mail: info@mefcom.in Website : www.mefcom.in. Objective….

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(financial services & solutions)

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  1. (financial services & solutions) Business Plan 2010 -11 April, 2010 Regd. & Corporate Office 5th Floor, Sanchi Building, 77, Nehru Place, New Delhi – 110019 Phone:+ 91 (11) 46500500 Fax: + 91 (11) 46500550 E mail: info@mefcom.in Website : www.mefcom.in

  2. Objective…. • To re-establish ‘Mefcom’ as a well known reputed brand for providing composite financial services & solutions. • To develop market-friendly products and business development strategies for attracting Retail clients, HNIs, Corporates & Institutional clients besides setting up a chain of Business Partners and associates by offering best terms & services. • To encourage each individual ‘Mefcom’ staff to work as profit centre for the company and train them for extending excellent services. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 2 Business Plan 2010-11

  3. About Mefcom…. • ‘Mefcom’ is a leading full service Brokerage & Investment Banking Company providing entire range of financial services & solutions. Founded in 1985 by Mr. Vijay Mehta, it is at the forefront of the financial market space in North India today and has carved a distinct niche for itself. • ‘Mefcom’ provides Investment & Financial services in the field of investment banking, corporate advisory, mergers & acquisitions, brokerage & trading in equities, derivatives and commodities, IPOs, portfolio advisory & depository services duly supported by a strong research team. • With Corporate headquarters at New Delhi and Branch / Associate offices in different parts of India and abroad, ‘Mefcom’ is focussed on providing long term value addition to clients, while maintaining the highest standards of excellence, ethics and professionalism. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 3 Business Plan 2010-11

  4. Mefcom Group Swot Analysis…. Strengths • Estd. in 1985, Mefcom is serving its clients for about 25 years now extending integrated capital market services under one organizational structure. • Mefcom Capital Markets Limited ( Mefcom) - a SEBI approved Category I Merchant Bankers & Portfolio Managers - is a widely held company with about 3500 shareholders duly listed on BSE with a paid up capital of Rs. 814 lacs and free reserves of Rs. 1224 lacs. • Acted as lead Managers / advisors to about 200 IPOs till date. • Formerly rated by PRIME as No.1 Private Sector Merchant Banker and underwriter from North India. • Group memberships on major stocks and commodity exchanges in India (NSE, BSE, DSE, AMFI, MCX, NMCE) & DGCX at Dubai. Membership of CDSL* for Depository Services & AMFI for distribution of financial products. • Large network of offices and associates across India. • Professional team consisting of Chartered Accountants, Company Secretaries, CFAs, MBAs, Engineers & Law Graduates. • Well Known Brand Equity in the world of financial services in India enjoying strong relationships with capital market intermediaries, banks and institutions. counted amongst the select few in North India. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory * applied for 4 Business Plan 2010-11

  5. Weakness • Weak Client Servicing. • Weak business links with Banks and Institutions. • No foreign Partner / Stakeholder. • No loan, Borrowing or Leveraging. • No Online Trading. • Need for further strengthening of existing infrastructure in Research, Franchisee network and Professional man-power. Opportunities • Start of business with banks, domestic and foreign institutions. • Start of Internet trading. • Start of margin funding and other fund based activities. • Expansion of existing services in Indian & Overseas markets including launch of India specific funds. Threat • Increasing competition from big National and International players with large financial resources. • Reducing brokerage rates and fee based income due to increasing competition. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 5 Business Plan 2010-11

  6. Brokerage & Trading in equities, derivatives and commodities on all major exchanges in India (NSE, NSE - F & O, BSE, MCX & NMCE (for commodities) Offline trading facility by placing orders on our dealers. Online Internet trading facility on NSE through NOW Institutional placements Research Recommendations Jobbing & Arbitrage desks Market Making Online distribution of IPOs, Mutual Funds, etc. Depository Services 24 hours Online back office to view your Financial statements, Account Reports, Demat holdings etc. Mefcom Services…. Brokerage & Distribution Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 6 www.mefcom.in Business Plan 2010-11

  7. Mefcom Services…. Investment Banking • IPOs / FPOs / Rights Issue Management • M & A / Restructuring • Private Equity / QIPs • Block Deals & Bulk Deals • Delisting / Open Offers / Buyback • Business Sale / Disposals / Buy-outs • JVs / Strategic Alliances • Debt Raising / Syndication • SEBI & Stock Exchange Liaisioning • ESOP & ESOP Certification Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 7 www.mefcom.in Business Plan 2010-11

  8. Targets 2010…. • 50 Corporate / Institution clients for investment Banking Services. • 100 Active Branches / Business Partner outlets. • 500 clients for Portfolio Management with about Rs. 100 Crores corpus. • 5,000 clients giving us a minimum brokerage of Rs. 2,500/- per month. • 50,000 clients for opening D.P. account with us. • Starting of Online Trading, Commodities Trading & Depository Services. • Starting of Distribution of financial products esp. IPO marketing. • Resources of atleast Rs. 50 Crores to start fund based activities. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 8 Business Plan 2010-11

  9. Strategies for Business Development…. A) Preferred Selection Criteria • Client • Annual income above Rs. 5.00 lacs p.a. • Mobile No., PAN No. & Email ID is a must • Permanent House / Office address in their City / place of domicile. • Each client should atleast give a brokerage of Rs. 2,500/- per month. Note:- Point Nos. 2 & 3 above are also applicable to Business Partners. • Business Partner • Should be of reputed Financial Background. • Association preferably on brokerage sharing basis. • Business Partner to be responsible for dealings / debits of all his clients. (Monthly brokerage to be released only after settlement of all client debits.) • Each Business Partner should atleast give a brokerage of Rs. 25,000/- per month. B) Classification for Both Clients & Business Partners Platinum club : Income above Rs.5.00 Lacs p.a. Diamond Club : Income between Rs.2.50 lacs - Rs. 5.00 lacs p.a. Gold Club : Income between 1.00 lacs - Rs. 2.50 lacs p.a. Silver Club : Income between Rs. 0.50 lacs - Rs. 1.00 lacs p.a. Bronze Club : Income below Rs. 50,000 p.a Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 9 www.mefcom.in Business Plan 2010-11

  10. C) Type of Clients • HNIs (Small retail clients to be serviced preferably through Business Partners) • Corporates • Mutual Funds, Banks & Institutions • NRIs & Indians investing in Overseas Markets D) Type of Business Partners • Authorised Persons e.g. Mefcom Employees, Client-to-client ref. etc. • Remiciers (Incl. Arbitrageurs / Jobbers) • Franchisee/ Sub-Brokers (With their own set-up) • Capital Market Intermediaries (Brokers, Portfolio Managers, Law-firms, Ch. Accountants, Co. Secretaries, Management and other Consultants, etc.) Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 10 Business Plan 2010-11 www.mefcom.in

  11. E) Methods of Approaching Clients. • Renew contacts with existing clients. • Reference through personal and client contacts. • Regular appearance / coverage on TV News Channels, Newspapers etc. • Road-shows and local events to create awareness. Pamphlet distribution through newspaper vendors. Leaflet distribution through volunteers in ‘Mefcom’ T-shirts. • Sector Specific approach through membership directories of clubs, associations, colony RWAs, defence, professional bodies etc. and organise local Investor meet (preferably on weekends / holidays). • To popularise our website and post all ‘Mefcom’ news and happenings on the website including material for use of clients & sub-brokers. • To send regular SMSs, Emails, Weekly Newsletter etc. to investors ‘at Random’ and to ‘Clients’ in particular. • Regular personal Visits to all HNIs, Corporate and Institutional Clients. • Visibility with heads of various Industrial Groups like Chairman / MD / CEO / CFOs etc. • Organising / attending of Seminars / Workshops / Events organised by trade bodies like Stock Exchange, ICWA, CA, CS, CFA Institutes, Business schools, ANMI, BSE Brokers Forum, etc. as Sponsor, Co-sponsor, Speakers & Delegates. • Membership of various Industry & Trade Associations like CII, ASSOCHAM, FICCI, PHD Chamber etc. and our participation in their various programmes, tours etc. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 11 Business Plan 2010-11

  12. F) Action Plan • To send introduction letters to all clients mentioning ‘Mefcom’ activities & its attractive future plans. • To introduce new products on ongoing basis offering better return & services to clients. • Distribution of pamphlets / posters etc. in newspapers, market places, business districts, etc. • Advertisement / Public Relations campaign activities to be undertaken. • Initiate Cold Calls and interaction through new Data base procured through DPs & other market sources. (Database will contain contact name, address, telephone-mobile No(s) and email IDs). • Effective Communication: To talk to all existing clients personally over phone and brief them about our future activities and encourage them to give references of prospective clients. (Incentive scheme for referral of prospective clients by existing clients to be defined.) • To appoint Relationship Managers, Sales teams and BPO call centre for tele-marketing. • Website restructuring (In-house Website should provide details of all recent developments taking place in ‘Mefcom’ Group including all Research Reports & Recommendations) and Online trading. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 12 Business Plan 2010-11

  13. Marketing Team…. • Marketing team shall be responsible for client acquisition and servicing in coordination with dealers & back office team. • 20 Relationship Managers (RMs) and 2 Business Development Managers (BDMs) alongwith a Group Head In-charge to be appointed in the beginning (to be increased to 100 RMs & 10 BDMs in due course) for handling different client-groups, products and territories. • Complete team for marketing to be appointed on low salary (CTC) and high performance incentive. Conveyance, travelling and communication expenses shall be borne by the company and deductible before calculation of incentive. • Each RM shall be required to introduce a minimum of 10 active clients and one Business Partner every month (Alternately 20 active clients per month). Each BDM shall provide support to his team of RMs to complete their targets and shall be independently responsible to introduce atleast 20 active clients and 2 Business Partners every month. • Incentive payment shall start only after each RM and BDM has brought monthly brokerage income equivalent to 3 times of his salary (CTC) through the clients / Business Partners introduced by him. • In case of non achieving of the above mentioned target, the concerned RM / BDM shall be paid 1st month salary equivalent to the brokerage income brought by him, 2nd month salary equivalent to 50% of the brokerage income brought by him and from 3rd month onwards, 1/3rd of the brokerage income brought by him. • Incentive payable shall be calculated as follows: a) 5% of the brokerage brought over and above 3 times of his CTC upto Rs. 5 lacs of brokerage. b) 7.5% of the brokerage brought over and above 3 times of his CTC between Rs. 5-10 lacs of brokerage on incremental basis. c) 10% of the brokerage brought over and above 3 times of his CTC above Rs. 10 lacs of brokerage on incremental basis. For exceptional performers, additional higher incentive shall be awarded depending upon the style and time duration of performance. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 13 Business Plan 2010-11 www.mefcom.in

  14. Pan-India Zone specification…. • North – Delhi, Haryana, Punjab, HP, J & K, Uttranchal, Western UP • RGN : New Delhi, Chandigarh, Ludhiana, Jammu, Srinagar, Barely, Moradabad, Dehradun • East – Bihar, Eastern UP, WB, Jharkhand, Orissa • RGN : Patna, Gorakhpur, Varanasi, Ranchi, Jamshedpur, Kolkata • North East – North Bengal, WB, Orissa • RGN : Silliguri, Gauwhati, Bhubneshwar, Rourkela • Central – Chattisgarh, MP, Part of Rajasthan & UP • RGN : Raipur, Jabalpur, Bhopal, Indore, Kota, Jhansi, Gwalior • Western – Gujarat (Saurastra, Bhuj, Kutch) Rajasthan – Marwad • RGN : Ahmedabad, Surat, Rajkot, Bhilwara, Baroda, Bikaner, Jaipur, Jodhpur • South – Tamilnadu, Kerala, Karnataka, AP • RGN : Chennai, Coimbatore, Cochin, Bangalore, Vishakapattanam, Hyderabad. Note : There will be a Master / Super Franchisee in every Zone, who will develop Mefcom’s Franchisee network to the nearby regional areas or city at their expense. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 14 Business Plan 2010-11

  15. Present Mefcom Network…. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in Business Plan 2010-11 15

  16. In-house steps required for Business Development…. • Better trained & Motivated professional work-force. • Better Research & Portfolio Management techniques. • Better Website presentation with Online trading. • Back office services (including better KYC, Compliance procedures & legal formats of sub-broker and other agreements) & Online Risk Management. • Start of Advertisement, P.R. & Communication campaign. • Start of Commodities Trading (MCX & NMCE activation, NCDEX Membership, Commodities dealers & Back office), Depository Services (CDSL Membership) & IPO Marketing. • Strategic tie-up with NBFC for margin trading & overall leveraging etc. for additional funds requirements. • Team for liaisioning with NRIs, Corporates, Banks & Institutional brokerage / Investment Banking mandates. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 16 Business Plan 2010-11

  17. Brokerage, Deposit & other Charges.... Notes: 1) All Statutory (STT, Service tax, Stamp Duty, Exchange Transaction charges, SEBI turnover fee etc.) & Other charges (like Account Opening charges, Interest after T + 2, DP charges, Back-office charges (AMC), Courier / Postage charges, Stock Exchange Penalties etc.) shall be over and above the brokerage. 2) Brokerage on OPTIONS-TRADING shall be charged on the options premium only subject to a minimum of Rs. 75/- in Nifty options and Rs.150/- in Stock options from clients & Rs. 25/- in Nifty options and Rs.50/- in stock options from Business partners. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 17 Business Plan 2010-11 www.mefcom.in

  18. Brokerage Comparison with Online Brokers…. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 18 www.mefcom.in Business Plan 2010-11

  19. Business Terms & Conditions for Clients…. • Trading in a client account shall start only after submission of complete KYC documents (as per new SEBI guidelines) and allotment of code number (which should normally take between 24 to 48 hrs after submission of documents.) • Each client shall give interest free refundable security deposit of Rs. 5,000/- for each cash segment & Rs. 10,000/- for F & O Segment. • Broadband, Connectivity and I.D charges are payable by the client (In case of ONLINE Trading facility on Internet). • Security Deposit is payable in cash only. No shares can be accepted in security deposit as per stock exchange rules. • Margins can be paid in cash and shares. Shares are acceptable only to the extent of 50% of the total margin amount after 40% hair-cut. (Only those shares acceptable to the stock exchange shall be taken with minimum pledge period of at least 6 months) • MTM (mark to market) is payable on the same day in cash only. • No business shall be transacted for the client in case of insufficient margin in his account. • F&O transactions will be squared-off on the following day without any recourse to the client, in case his margin falls below the margin specified by the Exchange. • Intra-day transactions shall be squared off between 3.00 p.m. to 3.15 p.m unless requested for extension, in advance. • All transactions (both delivery and F&O) shall be squared off IMMEDIATELY, in case the losses on client account reaches 85% of the total security/ margin available with us. • Incase of delivery transactions, interest would be charged @21% p.a (calculated for the week) after T + 2 and the transaction would be squared off on T+7, incase of non-receipt of payment. • Intra-Day exposure equivalent to 8 times of the Margin Money and Delivery exposure equivalent to 2 times of the Margin money shall be allowed. No Intraday exposure shall be allowed against security deposit. • Additional Intraday trading limit can be given to a client against his cheque in case the client already has some margin amount in his account but he wants more exposure against submission of his cheque and that his cheques have never been ‘Returned Back Unpaid’ by his bankers earlier in our account. • Delivery funding shall be arranged for purchase of ONLY those shares which are in the Approved-List of the concerned lender (NBFC) and to clients who fulfil their eligibility criteria. (Generally, the approved list contains active stocks in Group I category of NSE & BSE). Upto a maximum of 50% of the value of the delivery transaction shall be funded. • All communication to clients shall deemed to be ‘COMPLETE’ when sent by SMS or email. It is the responsibility of the client to check at their end and call ‘Mefcom’ within 24 hrs. in case of any discrepancies. • Terms are liable to be changed at the sole discretion of ‘Mefcom’. Any deviation from the specified terms can only be done by written permission of the Head of Brokerage-business. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 19 www.mefcom.in Business Plan 2010-11

  20. Business Terms & Conditions for Business Partners…. • Trading Terminal shall be activated only after submission of complete Sub-broker Registration documents (as per SEBI guidelines) and completion of other formalities. Fees for Registration as sub-brokers shall be payable along with Registration documents. It would normally take about a week to start trading after submission of documents. • Each Business Partner shall give Interest free refundable security deposit of Rs. 50,000/- for each cash segment and Rs. 1,00,000/- for F & O Segment (Master Franchisee shall give interest free refundable security deposit of Rs. 5 lacs for both equities & commodities). • Broadband, Connectivity and I.D charges are payable by the Business Partner. • Security Deposit is payable in cash only. No shares can be accepted in security deposit as per stock exchange rules. • No Intra-day exposure to the clients of the Business Partner shall be allowed against the security deposit. • In case of brokerage sharing arrangement with the Business Partner, minimum brokerage chargeable from Retail-clients shall not be less than 0.30% (for delivery) and 0.03% (for F&O and Intra-day). Lower brokerage may be considered incase of High volume clients subject to the fact that minimum share of ‘Mefcom’ shall not be less than 0.10% (for delivery) and 0.01% (for F&O and Intra-day). • As per SEBI rules, A business Partner shall strictly follow KYC regulations while introducing clients and shall be fully responsible for their conduct and observance of SEBI guidelines. • Security Deposit and sub-brokerage shall liable to be adjusted in case of client debits or defaults. Sub brokerage shall be paid subject to his clients account being in order. • A valid NCFM Certificate for the concerned segment in the name of the Dealer shall have to be submitted to ‘Mefcom’ before start of the trading terminal. • Business Partner shall share the cost for local advertising & promotion in proportion to the Brokerage sharing formula. • As per SEBI regulations, a sub-broker shall need prior permission to transact business in his own account. • All communication to Business Partner shall deemed to be ‘COMPLETE’ when sent by SMS or email. It is the responsibility of the Business Partner to check at their end and call ‘Mefcom’ within 24 hrs. in case of discrepancies. • Terms are liable to be changed at the sole discretion of ‘Mefcom’. Any deviation from the specified terms can only be done by written permission of the Head of Brokerage-business. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 20 www.mefcom.in Business Plan 2010-11

  21. Business Terms & Conditions for Business Associates…. • A Business Associate (to be called Authorised Person (AP) or Remicier etc.) will be required to enter into a written agreement with Mefcom to work in this capacity. • Business Associate will introduce clients as per company policy and company will pay his incentive out of the brokerage earned from the clients introduced by him. • Security Deposit and sub-brokerage shall liable to be adjusted in case of client debits or defaults. Incentive shall be paid subject to his clients account being in order. • Business Associate shall be given 10% flat incentive on the brokerage earned from the clients introduced by the associate subject to a minimum brokerage of Rs. 7,500/- per client per quarter. No incentive shall be payable in case the above said target is not achieved in a particular quarter but the same shall carry forward to the next quarter to a maximum of 2 quarters and then lapse. First payment of brokerage to the Business Associate shall become due only after introduction of minimum 10 clients. • Higher incentive shall be considered in case of introduction of high volume clients and taking up of additional responsibility by the Business Associate in terms of client servicing. • Terms are liable to be changed at the sole discretion of ‘Mefcom’. Any deviation from the specified terms can only be done by written permission of the Head of Brokerage-business. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 21 www.mefcom.in Business Plan 2010-11

  22. Benefits available to ‘Mefcom’ Clients…. • Competitive brokerage rates. • Offline trading facility by placing orders on our dealers. • Online trading facility through Internet on ‘NOW’ by NSE • One-time review & restructuring of the client’s portfolio. • Daily SMS alerts for trading tips. • Weekly Newsletter containing overall review of the economy and the markets alongwith recommendations for short and medium term stocks for investment. • Monthly availability of atleast one Industry sector report. • Analysis of forthcoming IPOs. • Depository Service on ‘CDSL’. • Sauda confirmation and other communications through SMS. • Daily dispatch of contract-notes by email. Quarterly dispatch of account statement by email. • 24 x 7 Online Back office to view your Financial statements, Account reports, Demat holding etc. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 22 Business Plan 2010-11 www.mefcom.in

  23. Benefits available to ‘Mefcom’ Business Partners…. • Association through attractive revenue sharing schemes or Fixed brokerage rates. • Connectivity provided through Internet on Multi-user application (CTCL) system on ‘Omnesys’ trading platform. • Single screen trading provided on NSE, NSE F & O, BSE & MCX (for Commodities) • Technological setup and Software support • Low recurring cost of operations. • Fundamental and technical Research calls on Terminal, Email, SMS. Live chat with our technical Analysts. • Branding & Marketing support through advertising, Brochures and collaterals, Main signboard, Visiting cards, Corporate & Marketing Presentation material etc. • Dedicated team at corporate office for Business development and support. Help in organising of Investor get-togethers. • Training support by our professional trainers to assist you in starting operations. • Fully automated online 24 x 7 back office, DP and Risk Management system. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 23 Business Plan 2010-11 www.mefcom.in

  24. New Business Partner Start-up – Process Flow…. Note : No. of days may change. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 24 Business Plan 2010-11 www.mefcom.in

  25. Connectivity Investment Plan for Business Partners…. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 25 www.mefcom.in Business Plan 2010-11

  26. Support Provided by Mefcom…. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 26 Business Plan 2010-11

  27. Information required from the Business Partners.... • Mode of payment of refund: a) Fixed brokerage or b) % sharing basis if (a), then specify minimum brokerage for: - Delivery Trades - Jobbing Trades - F & O Trades if (b), then specify percentage of sharing of: - Delivery Trades Income - Jobbing Trades Income - F & O Trades Income - Depository Income • Amount of refundable Deposit: a) Cash Component b) Securities valued after 40% hair-cut (list of securities to be enclosed) • Minimum brokerage rates to end clients for percentage sharing: - Delivery Trades - Jobbing Trades - F & O Trades • Details of NCFM Certificate: To specify name of the Exchange, Segment, Certificate No., Holder’s name and validity period. • Type of Connectivity required: To specify name of Exchange, Segment, No. of terminals required and the address at which the terminals would be working. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 27 www.mefcom.in Business Plan 2010-11

  28. Enclosures required from the Business Partners…. • Cheque for security deposit and SEBI Sub-broker Registration fee. • Proofs of : Educational Qualification, Date of Birth (School-leaving Certificate or PAN), Identity (Voter ID Card, Ration Card, PAN, MAPIN), Latest Audited Annual Accounts (Balance Sheet and P & L A/c), latest IT Return. • Copy of NCFM Certificate. • Dealing Bank’s certificate of good conduct & last 6 months statement of Account. • Auditor’s certificate of Networth and financial capability. • Sub-broker Agreement. • Details of office size, facilities, etc. (To specify Hardware & Software specification). • 10 Account opening forms from clients. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory 28 www.mefcom.in Business Plan 2010-11

  29. Monthly MIS Details for Corporate office.... • List of new Direct Clients & Franchisee / their clients added. • List of clients who have not transacted any business in the last three months. • Branch / Franchisee-wise segment-wise turnover & brokerage earned. • Details of top 50 direct clients with their turnover & brokerage. • Client-wise details of margins received (and lying with different clg. Entities) & those having shortfall in margin. • List of debtors exceeding 1 week and 2 weeks & more. • List of shares being held in our DP- Beneficiary ( & other account) for more than one month along with name of the client & the reason thereof. • Details of charges received & paid (& overflow, if any) along with details of penalties, Auctions, wrong sauda etc. • Any other important matter (to be reported on a separate sheet). • Confirmation of receipt of contracts, bills, statement of account etc. by the client through email. • Confirmation that all KYC norms and other SEBI / stock exchange requirements have been complied. Equities Derivatives CommoditiesIPOs Depository Investment Banking Corporate Advisory www.mefcom.in 29 Business Plan 2010-11

  30. THANK YOU 30 Business Plan 2010-11 www.mefcom.in

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