NDA GROUP · Mr. Sanjay Agarwal with an object to provide Stock Broking services. We are a leading...

We Make Investment EasierWe Make Investment Easier

NDA GROUP

The Group comprises of the following companies: -

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NDA Securities Ltd

NDA Commodity Brokers (P) Ltd

NDA Share Brokers Ltd

Member: NSE, BSE & OTCEI

Member: NCDEX & MCX

Member: DSE

NDA GROUP


NDA Securities Ltd, the flag shipcompany, has a net worth of

Rs.842.56 lakh as on 31 March,2008. The promoters hold 71.47% ofits paid up capital. For the FinancialYear 2007-08, it achieved at turnoverof Rs.14,766.46 crore and earnedGross Brokerage of Rs.790.58 lakh.

The other group company - NDA Commodity Brokers (P) Ltdis a wholly owned subsidiary of NDASecurities Ltd.

The registered and corporate office located in Connaught Place,the heart of New Delhi and Mumbai Office located in Fort areaare owned by NDA Securities Ltd. Besides, it along withNDAShare Brokers Ltd, has made investments in Real Estate.

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FINANCIAL INFORMATION


NDASecurities Ltd is the flagship company of NDAGroup.It was established in the year 1992 by Mr. N.D. Agarwal andMr. Sanjay Agarwal with an object to provide Stock Brokingservices. We are a leading Stock Broking Company fromNorthern India.

We became member of National Stock Exchange as soon as itcame into existence in the year 1994, and held Category-1Merchant Banking license till 1998. We had the privilege tohandle as many as 60 Public Issues as Managers/Advisors toIssue.

In the year 1994, we came out with a public issue, which was agrand success. We are among the first broking houses ofNorthern India to go public. Our share is presently listed atBombay Stock Exchange.

INTRODUCTION


Mr. N.D. Agarwal is the founder and theforce behind the Group. He, qualified asB.A., L.L.B., CAIIB, has more than 25 yearsexperience in the stock broking business. Heobtained membership of Delhi StockExchange in April 1990 and started thebusiness under the name of N.D. Agarwal &Co. Within a short span of 4 years hetransformed this firm into a prominentprofessionally managed stock-brokingcorporate outfit. It was one of the fewmembers of Delhi Stock Exchangeempaneled with all the leading domesticFinancial Institutions. It enjoyed highdegree of credibility among its clients due tointegrity, professional approach and highquality of services. He resigned from theBoard of Directors as onApril 1, 2009.

MANAGEMENT

Mr. N.D.AgarwalFounder


Mr. SanjayAgarwalManaging Director

An MBA from Case Western ReserveUniversity, USA, Mr. Sanjay Agarwal is theco-founder of the Group. He wasinstrumental in diversifying Group'sactivities into Primary Market. Under his

dynamic leadership, we were ranked 1 in

Northern India and 9 on all India basisamong all the stockbrokers in 1994-95 interms of procurement in all the Public Issues,which entered the capital market during thatperiod, as per Prime report. He alsoestablished Merchant Banking Division(Category 1) with a view to provideinvestment banking services to several upcoming and expanding corporate entities. Ina short span, we successfully managed 60Public Issues as Managers/Advisors toIssues.

Due to his consistent efforts andfores ightedness , we acquired themembership of National Commodity andDerivatives Exchanges, NCDEX and MCXunder NDA Commodity Brokers Pvt.Ltd (a wholly owned subsidiary of flagshipNDA Securities Ltd.) thereby entering intoemerging, sun rise business of commodityand derivatives broking.

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Mrs. DeeptiAgarwalWhole time Director

Mr. U.S. GuptaIndependent Director

Mr. Lalit GuptaIndependent Director

An inspiring leader, with a great vision andn e v e r - s a y - d i e s p i r i t ,Mrs. Deepti Agarwal is responsible for theBusiness Development and InstitutionalBroking in the Group. As a result, we havebeen rapidly expanding our branch networkand adding new Institutional Clients.

Mr. U.S. Gupta is a practicing CharteredAccountant. He also has more than 13 yearsexperience in the activities related to stockmarket.

An Investment Consultant and Mutual FundAdvisor by profession, qualified as B.Com(Hons.), CAIIB (I), Mr. Lalit Gupta hasmore than 20 years experience in thedistribution of financial products viz. IPO,Mutual Funds, Bonds, Fixed Deposits etc.He is associated with the stock market formore than 20 years.


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We are empaneled with a number ofand

FinancialInstitutions, Banks Mutual Funds.

We have client base of and).

Besides, we also have a vast network of toserve a base of retail investors.

We have state of the art networking andcommunication links with all our branches viz. VSAT,leased lines, ISDN, LAN, WAN and VPN etc.

large corporate bodiesHigh Networth Individuals (HNIs

brancheshuge

SERVICES



SERVICES...

Equity Capital Markets

Future & Options Markets

Commodity Markets

Currency Derivative Markets

We offer them the following services: -

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Trading & Investment at NSE and BSE

Trading at NSE inderivative instruments, such as:

Trading & Invesmtne at NCDEX and MCX

Trading & Investment in Dollar at NSE and MCX

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Index Futures & OptionsStock Futures & Options

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Valued Endeavors:

Integrity, Honesty and Transparency:

Personalized Care:

Wide Network:

We value the trust reposed in by the clients andare committed to uphold it at all costs.

These are the underlying principles in all our dealings.

The care we give o our clients has been built over the years bygiving them personalized attention.

We have a vast and rapidly expanding network of branchesextended into 18 cities spread over 31 locations in the country.

Our 10,000 strong client base includes leading FinancialInstitutions, Banks, Mutual Funds, High Net wroth Individualsand retail investors.

APPROACH


FRONT OFFICE OPERATIONS

We provide Multiple trading options to our clients and branches:

User can log-in from any computer

The software is installed on User’s Computer

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Internet browser

Software Application

Direct V-SAT connectivity

VPN through:

Internet Trading based on:

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V-SATInternet BroadbandInternet Dial-upLAN



BACK-OFFICE OPERATIONS

We provide on-line access to account information viz.:-

The information is available client-wise/group-wise/branch wise.

The account information can be emailed on request.

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Transaction Status/Confirmation

Margin Status/Report

Mark - to - market Report

Demat Transfer Status/Report

Holding Statement

Account Balance etc.

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RESEARCH

SKILLED MANPOWER

We are having a technological savvy research wingequipped with experience and professionally qualifiedteam who use the latest technical tools to give rightadvice at the right time to its clients. It gives equalweight age to both fundamental and technical analysisas per clients' needs.

We give utmost importance to training and skill updating. As a result,our employees are well versed with their respective area of operationsrelated to equity, derivatives and commodity markets, as also withdepository services and with mutual funds and IPO distribution. Theyare well trained to provide high quality services to the client.

Similarly, we provide necessary training to our associates, enhance theirtechnical skills and make them aware of the latest developments of themarkets. We hold regular conferences and seminars to educate clients onvarious financial products and enable them to make superior returns ontheir investments.

INFRASTRUCTURE SUPPORT


We have an efficient, effective and workable Internal ControlProcedures commensurate with the size of the Group and the nature ofour businesses. For this purpose, working of the Group has been dividedinto 12 departments :-

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We have dedicated teams to handle institutional, corporate and HNIclients. All the departments are headed by well qualified professionalswho continuously monitor and manage the activities to ensure efficientand high quality services to our clients.

Client Registration

Finance &Accounts

Operations

Mutual Funds & IPO Distribution

Funds Control

Commodity Trading

Demat Delivery & Depository Services

Research & Advisory Services

Business Development

Systems & Communication

Inspection, Compliance & Internal Controls

Legal & Secretarial

INTERNAL CONTROLS


We have an effective, sophisticated, dedicated and real-timebased risk management system. The program workscontinuously on real time basis and calculates Margins, Mark-

to- Market profit/loss,Debit/Credit on everyorder/trade Client-wise,User-Id wise, Branch-wise and Scrip-wise. Itallows setting limits ofevery client or useraccording to his margindeposits/credit in hisaccount. A dedicatedteam headed by theSurveillance Manger atHO has been assignedt h e j o b o f r i s kmanagement.

RISK MANAGEMENT


BRANCH NETWORK


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