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Capital Market


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Title: Capital Market

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
  • 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,
How do Stock Exchanges Function ?
  • Stock Exchanges function through its Broker
  • 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)
  • 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

  • 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.

  • 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

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.

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

Payout Amount transferred to Bank account
Transfer money as Margin/Payin for buying Shares
Selling shares in DP account
Bought shares are holding in Electronic Form
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-gtNSE
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
Application Form Equity Demat account
  • Filling assistance at
  • FS Site ? CC ? Ready Reconner ? Xtrade

DEMO on NOW Web platform
Login to and click on
Login to Trade and click on NOW image. It goes
to https// 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
Setting up market watch
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
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
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
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 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
Holdings You can view your stock balance
through Holdings(F9).
Logout Kindly use this menu to exit/close the NOW
Proof for Buying/Selling
a. Trading hours are from 0900 to 1530 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 T2 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 _at_ 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
Contract Note
- For viewing last 3 month contract
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
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

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

Tips to Lower your Risk1. 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
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.

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
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
What is Gold Fund?
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)

Advantages of Gold Fund
(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
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.
Gold ETF offered by SBI, UTI, Benchmark,
Reliance, Kotak, ICICI, HDFC, Birla, Religare and
  • We have
  • 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
Account opening charges Brokerage
  • A. Account Opening Charges Rs. 1000 /- B .
  • Brokerage slabsTerminal trading . 03 - .08
    For Intraday . 3 - .5 For
    DeliveryInternet TradingIntraday - .05
     Delivery - .4  
  • We can Waive Brokerage Slabs depends on the
    Volume of Trading..

NSE Sub Broker
  • 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.

  • Existing Sub Agents
  • Net cafe owners
  • Mutual Fund / Pan Card and LIC Agents
  • Experienced Share trading clients
  • Retired Bank / Govt Employees
  • Shop Owners etc..

  • Duly filled application along with ID and
  • Address Proof
  • Bank Proof of Sub Agent
  • Dealer should have NCFM certification

  • Min. 200 sq. feet of office space
  • Computer with latest configuration and Internet
  • Telephone lines preferably with voice logger
  • TV with Cable Connection
  • Branch of any of the following bank in the
  • for local clearing of cheques AXIS Bank/HDFC
  • IDBI Bank/Dhanalakshmi Bank/SBI/Federal Bank/
  • ING Vysya bank
  • Proof for the possession of office space in own

  • Income sharing - 60 of brokerage for the
    associate (6040) 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
  • 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 www.uaeexchange-et
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