Capital 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 Market
&
Secondary Market
Primary Market
It is the market from where :

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

SOEs undergoing privatization or expansion seek Capital from the Public.

Any other agencies like Investment Trusts etc., raise capital

Price/Price Range is always decided by the Issuer

Secondary 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 Indias 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 ?
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

SettlementTransfer 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 site
Customer 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 customer
Deposit Cheque in any Bank at your location (Bank List appended below)
Update application details in FS Login->NSE BackOffice->Request/Authorization->Client Request
Send the application form and documents to AO NSE
AO 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 Brokerage
Zero Minimum Deposit
Free 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 Analysis
Web 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 / Voters 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 KYC
Proofs 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 Transfer
You 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 ORDER
If 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 ORDER
If 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 criterias.



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 criterias.


Trade Book
Click on Position Conversion button for converting your trades from MIS to CNC and
vice versa.
Limits/RMS SubLimits
In 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.

Settings
You 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).
Logout
Kindly 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
Its 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 knowledge
2. Unrealistic expectation
3. Listening to others
4. Getting in ego and sentiment
5. Trading only in one direction
6. Overtrading
7. 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 stock
2. Do not own more than 2-3 stocks in any industry
3. Buy your stocks over time, not all at once
4. Buy stocks with consistent and predictable earnings growth
5. Buy stocks with growth rates greater than inflation and interest rates
6. 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 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 shares
b. 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 Trading
Intraday - .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