DISSERTATION

Description
STUDY ON “DEMATE ACCOUNT AND ONLINE TRADING AT NIRMAL BANG SECURITIES PVT. LT

De-mate account and online trading

1.0 INTRODUCTION 1.1 DEPOSITORY SYSTEM IN INDIA:

Depository Act,1996: The concept of Depository is known to the world since 1949 when the first depository was set up in Germany. There were 112 depositories in operation by the year depository operates under a country‘s 2001. Every law and specific

regulation in order to ensure safety, liquidity, rights and liabilities to the security holders. Depository: A depository is an organization where the securities of an investor are held in electronic form. A depository can be compared to a bank. To avail of the services of a depository, an investor has to open an account with the depository through a depository participant, just as he opens an account with the bank. Holding shares in the account is a kin to holding money in the bank At present, India has only two depositories-National Securities Depository Ltd. (NSDL) and (CDSL). Central Depository Services Ltd

Page 1

De-mate account and online trading

BANK Holds funds in accounts Transfers funds Safekeeping of Money accounts

DEPOSITORY Holds securities in accounts without handling Safekeeping of securities securities between Transfers

1.2 DEPOSITORY SYSTEM Depository is an organization where securities of shareholder are held in the electronic form at the request of the shareholder through a medium of Depository Participant (DP). The principle function of Depository is to de-materialize securities and enable their transactions in the book entry from electronically. “A company formed and registered under the company’s act 1956 and which has been granted a certificate of registration under the sub section (1A) of office section 12 of the securities and Exchange Board of India Act 1992.”

DEPOSITORY

DP

BROKERS/INVESTORS

1.3 DEPOSITORY PARTICIPANT A depository participant is described as an agent of the depository. They are the intermediaries between the depository and the investors. The relationship between the DPs and the depository is governed by an agreement made between the two

Page 2

De-mate account and online trading

under the Depositories Act. In a strictly legal sense, a DP is an entity who is registered as search with SEBI under the provisions of the SEBI Act. As per the provisions of this act, a DP can offer the depository related services only after obtaining a certificate of registration from SEBI.

The person who holds a Demat account is a beneficiary owner. In case of a joint account, the account holders will be beneficiary holders of that joint account. The Demat account number of the beneficiary holder(s) is known as the BO Id. A DP id is the number of the depository participant allotted by the depository. FUNCTION OF DEPOSITORY In the depository system, securities are held in depository accounts, which is more or less similar to holding funds in bank account. risks Transfer of ownership of securities is done through hassles normally cost of associated transacting with in a paperwork. depository simple account transfers. This method does away with all the and Consequently, the

environment is considerably lower as compared to transacting in certificates. The depository system also allows distribution of dividends through the RBI‘s ECS system, whenever the company has agreed to such services. such as bonuses, split-ups are investor‘s Other also directly account. The participating entitlements effected

by the depository into the

Page 3

De-mate account and online trading

following

can be held in the depository (electronic) form:

Shares (listed or unlisted), Stocks, Bonds, Debenture, RBI Relief Bonds, Government Securities (through a primary Dealer), Units of Mutual Funds, Commercial Paper, Money Market Instruments etc.

1.4 FUNCTIONS OF DEPOSITORY PARTICIPANT • Dematerialization: Dematerialization is the process by which physical share of investors are converted to electronic form through investor’s depository participant (DP) and credited to the investor’s account with his DP. • Account Transfer: The depository gives effect to all transfers resulting from the settlement of trade and other transaction between various beneficial owners by recording entries in the accounts of such beneficial owners. • Transfer and Registration:

A transfer is legal change of ownership of securities in the records of the issuer. Transfer of securities under de-mat occur merely any passing book entries in the records of the depositories, in the instruction of beneficial owners.

Page 4

De-mate account and online trading



Linkages with Clearing System:

The clearing system performs the functions of ascertaining the pay in (sell) or pay-out (buy) of brokers who leave traded on Stock Exchange. Actual delivery of securities to the clearing system from the selling brokers and delivery of securities from the clearing system to the buying broker is done by depository. Benefits of Dematerialization: • No stamp duty for transfer of securities in the depository

system. In the case of physical shares, stamp duty of 0.5% of sale value is payable on transfer of shares. • Elimination of bad deliveries and all risks associated with

physical certificates such as loss in transit, theft, mutilation, damage, etc. • Just like a bank branch, the DP will give periodical statement

of account of holdings. In addition, can obtain a statement of holdings as and when required for a fee. • In case investor loses the statement of holdings, he can

inform his Dp and obtain a duplicate statement. Investor’s statement of holdings cannot be used by anybody else for trading in his account. • When an investor opens an account with a DP, he signs an

agreement with the DP in which the DP will indemnify the investor for any mis-use of his holdings. The depository will also ensure

Page 5

De-mate account and online trading

that the interests of the investors are protected. Grievances, if any, against his DP will be resolved by the depository. • Every transaction in investor’s account will have to be him

which ensures total control of the investor over his investment. 1.5 GOVERNING

BODIES

OF

DEPOSITORY

PARTICIPANTS 1. NATIONAL SECURITIES DEPOSITORY LTD (NSDL)

NSDL is the first depository to be set up in India. It was incorporated on Dec 12th 1995. The Industrial Bank of India (IDBI) the largest development bank of India, UTI the largest stock exchange in India, sponsored the setting up of NSDL and subscribed to the initial capital. NSDL commenced operations on Nov 8th 1996.

2. CENTRAL DEPOSITORY SERVICES LTD (CSDL)
The Stock Exchange, Mumbai and Bank of India (BOI) have jointly promoted them secondary depository in the country for dealing in securities with electronic form by name CSDL. Objectives • Accelerate the growth of scrip less trading. • To make a major trust in individual investors participation in the depository.

Page 6

De-mate account and online trading

• Create a comprehensive environment which will be responsive to the user’s interest and demand. • Enhance liquidity. 1.6 DEMAT PROCESS
INVESTOR DP DEPOSITORY

COMPANY

1. 2. 3. 4. 5. 6. 7.

Submit Demat Request Form and certificate to DP Intimate depository and generate Demat Request Number Transmit electronic request number to company Send the physical share certificates and DRF to the company Confirm the dematerialization to the depository Give credit to the investor account with DP Intimate the investor about the credit.

1.7 REMATERIALIZATION It is possible to re cover securities held in electronic form after demat, back to physical holding. ‘Rematerialization’ is the term used for converting electronic holdings back into physical certificates.

Page 7

De-mate account and online trading

Remat process:Submit RPF to DP 1. Intimate depository and generate RRN 2. Transmit electronic request number to company 3. Send the RRF to the company 4. Debit the Rematerialization to the depository 5. Inmate the investor about the debit 6. Send the physical share certificates to the investor.

1.8 OPENING A DEMATERIALIZATION ACCOUNT (DEMATE A/C)
Demat account allows you to buy, sell and transact shares without the endless paperwork and delays. It is also safe, secure and convenient. Let’s say our portfolio has 100 of Reliance, 50 of Suzlon, 20 of ICICI BANK, 50 of Tech Mahindra and 100 of TCS shares. All these will show in our demat account. So we don’t have to possess any physical certificates showing that us own these shares. They are all held electronically in our account. As we buy and sell the shares, they are adjusted in our account. Just like a bank passbook or statement, the DP will provide you with periodic statements of holdings and transactions.

A: Procedure for purchasing dematerialized securities

Page 8

De-mate account and online trading

The procedure for purchasing dematerialized securities is also similar to the procedure for buying physical securities. 1. Investor account time instructs DP to receive form. There credits may into be his one in the Prescribed instruction

standing

or Separate instruction each

time to receive credits. 2. Investor purchases securities in any of the stock exchanges linked to Depository through a broker. 3. Broker receives payment from investor and arranges payment to Clearing corporations. 4. Broker gives instructions to DP to debit clearing account and credit Client’s account. Investor receives shares into his account by way of book entry.

B : Procedure of selling dematerialized securities: 1. Investor sells securities in any of the stock exchange inked to depository through a 2. Investor with instructs his of DP to debit sold his the number securities broker. demat account the and credit

broker’s clearing account. 3. Before the pay-in-day, broker of the investor transfers the securities to clearing corporation. 4. The broker receives payment from the stock exchange. 5. The investor receives payment from the broker for

Page 9

De-mate account and online trading

sale of securities

in

the

same

manner

as

received

in

case of sale of physical securities. 1.9 BENEFITS ACCOUNT Primary benefits:
1.

OF

DEMATERIALIZATION

Safety:

If we are holding our shares, bonds etc in physical (paper) form, there are chances of its theft, mutilation, and loss. Moreover, we are also exposed to the risks of fake papers, bad-delivery or delays at the time of transfer of physical securities. However, in DEMAT accounts; we can preserve our long-term investments safely and securely.

2.Convenience: When we want to sell our dematerialized shares or redeem our debentures in DEMAT account; there are no hassles of filling up transfer forms, sending redemption requests or any other messy, costly and time-consuming paper work. We can conveniently transfer our securities through electronic transfers or just by signing one ‘Delivery Instruction Slip’, which is nothing but our chequebook for DEMAT Accounts.
2.

Other Benefits:

Apart from the safety and convenience, there are lot more

Page 10

De-mate account and online trading

advantages of opening DEMAT accounts. Here are few of the most necessary reasons for having a DEMAT account. We can park most of our investments including shares,

?

bonds, debentures, Gold Units, NSC and bonds in our DEMAT account. We might not immediately realize the benefits of having all the investments in DEMAT form. For instance, if we change our residence, (Depository we just have to write to the DP Participant), which automatically gets our new

address registered with all the companies where we have invested our money.
?

We receive all the dividends and interests directly in our linked bank account. Nowadays with the advent of online trading, we can

?

perform online all the activities associated with buy, sell and transfer of shares.
?

With a single nomination in your DEMAT account, we are Since most of the process of buying and selling

nominating our legal heirs to all the investments held by us.
?

dematerialized securities is electronic, there are no chances of signature mismatch.
?

Elimination of problems related to selling securities on behalf of a minor. Elimination of problems related to change of address of investor, transmission etc.

?

Page 11

De-mate account and online trading

1.10 ONLINE TRADING:
Change is man was the law of nature”. There were times when

a Wanderer or a normal. He himself had to go place

to place in search of food, water and now everything is available at your doorstep just at the click of the mouse. When Internet has affected all sectors he could “stock markets” the most important player of the economy, has remained far behind? Like all other sectors Internet has set its feet in the Stock Market system provides single, stock markets also. The

nation wide securities. It enables LAN investors in one part of the country to trade at the best quotes with an investor located in any other part of the country through the members of the stock exchange and subsequently clears and settle the trade in an efficient and cost effective manner. The primary objective of the Stock Market is to provide clear opportunity to the investors throughout the country to trade any security irrespective of the size of the order or the broker through whom the order is routed. This provides the facility to execute the buy order at the lowest price in the stock market located anywhere in the country without any extra cost to the investors. There will be no trading floor in the exchange. Instead, each trading member will have a computer at his own office anywhere in India which will be connected to the central computer system at the NSE & subsequently by through leased line or VSATs (very small aperture terminals), for an interim transition period of 6 months

Page 12

De-mate account and online trading

satellite link. VSATs are relatively smaller dishes similar to dish antenna for cable TV & have the benefit of not being very expensive. A satellite network makes it possible to connect almost all the parts of the nation quickly as it is easy to install, as against the ground lines such as dial up modems leased lines, which are prone to disruptions, satellite links, on the other hands ensure high speed, availability and quality of the connection. This mode of trading is known as "Online Trading"

Introduction of online trading in

India

Online trading started in India in February 2000 when a couple of brokers started offering an online trading platform for their customers.

1.11 ONLINE TRADING BY NSE & BSE
The central computer located at the Exchange is connected to the workstations of the Brokers through satellite using Very Small Aperture Terminals (VSATs). Orders placed at based on price and time priority. Both the exchanges have switched over from the open outcry trading system to a fully automated computerized mode of trading known as BOLT (BSE On Line Trading) and NEAT (National facilitates Exchange Automated more efficient Trading) System. It order processing, automatic

matching, faster execution of trades and transparency. The scrips traded on the BSE have been classified into 'A', 'B1', 'B2', 'C', 'F' and 'Z' groups.

Page 13

De-mate account and online trading

The 'A' group shares represent those, which are in the carry forward system (Badla). The 'F' group represents the debt market (fixed income securities) segment. The 'Z' group scrips are the blacklisted companies. The 'C' group covers the odd lot securities in 'A', 'B1' & 'B2' groups and Rights renunciations. key regulator governing Stock Exchanges, Brokers, Depositories, Depository participants, Mutual Funds, FIIs and other participants in Indian secondary and primary market is the Securities and Exchange Board of India (SEBI) Ltd.

Objectives of Present Trading

System:

?

Reduce and eliminate operational inefficiencies inherent in manual system Increased trading capacity in Stock Market Improve market transparency Promote fairness and speedy matching Smooth market

?

?

operations using technology while retaining the flexibility of conventional treading practices
? ?

Set up various limits, rules and controls centrally. Consolidate the trades data on electronic media to

Page 14

De-mate account and online trading

interface will the broker‘s back office system
?

Provide public information on scrip prices, indices for all users of the system

Features Of Online Trading The Online Trading is having many features which make it most suitable for the investors to go for. Some of these features are as follows: • FREEDOM OF INFORMATION The Internet can provide a new sense of control over your financial future. The amount of investment information available online is truly astounding. It's one of the best aspects of being a wired investor. For the first time in history, any individual with an Internet connection can:
• • • •

Know the price of any stock at any time Review the price history of any stock in chart format Follow market events in-depth Receive a wealth of free commentary and analysis about stock markets and the global economy Conduct extensive financial research on any company

• • •

Control our money:

One of the great appeals of using an online trading account is the fact that the account belongs to you, and is under your direct control. When you want to buy or sell stock, you no longer need

Page 15

De-mate account and online trading

to call your broker on the phone; hope that he is in the office to place your order; possibly argue with the broker about the order; and hope that the transaction is executed instantly • Access to the market At the most basic level, an online trading account gives you more agility in buying and selling stocks. This is through sophisticated information


streams,

dedicated

trading

platforms

and

sophisticated tools for accessing the markets. Offers greater transparency: Online trading offers you greater transparency by providing you with an audit trail. This involves a complete integrated electronic chain starting from order placement, to clearing and settlement and finally ending with a credit into your depository account. All these stages are subject to inspection, thus bringing in transparency into the system.


Reduces the settlement risk:

This method of trading reduces the settlement risk for the investor, as in this case all short sell orders are squared off at the specified cut-off time and not allowed to be carried forward.


Instant trade order confirmations: trade an is confirmed for immediately and you will trade on-screen confirmation your records. following every

Every receive

with full

details

This avoids costly errors

Page 16

De-mate account and online trading

that would have been discovered when it is too late.


Integrated Accounts: Bank, our Depository and Trading account are integrated convenience. Various broking houses provide access to

Our for

many of the popular banks.

1.12 BENEFITS OF ONLINE TRADING
1)

L E S S CO S T L Y :

The most significant advantage of the Online broking is the cost reduction in the brokerage. Due to the power of the Internet one has the privilege of becoming the clients benefits of of really large the brokerages low with the enjoying charges before

enjoyed only by the big players. As the DP account has got linked to the trading account most players do not charge a minimum transaction cost thus truly one to buy a single share and meaningful allowing achieve

rupee price averaging whatever be your

buying power. 2) PEACE OF MIND One can never have complete peace of mind but online investing does away with the hassles of filling up instruction slips, visits to the broker for handing over these slips and consequent costs.

Page 17

De-mate account and online trading

3) Keeping Records: The site one trades on keeps a record of all transactions down to unexecuted orders and cancelled orders thus keeping one abreast of all your transactions 24 hours a day. No paperwork means more time at one’s disposal for research and analysis.

4.) Ease of trade: It is the ease of doing the trade through net, with a click of mouse; one can buy or sell any share that is dematerialized. PROBLEMS
• • •

OF

ONLINE TRADING

Server not found: Connectivity of the Broker with NSE: Cyber attack: Non- availability of a seamless interface:Non- availability of personalized advice:




Recent Developments: The current recession in the economy is affecting the stock market which has triggered a slowdown in the opening of new account by the depository participants (DPs). Faced with the sudden dip in the number of new accounts being opened, the DPs are devising ways to attracts customers. On offer is Interactive Voice Response (IVR) for the latest update on Demat accounts and services through the Internet. There is a 42% decline in the

Page 18

De-mate account and online trading

number of new account opening. Perhaps the volatility in the market has made investors worry. Analysts said there was booms in Demat account opening as retail customers were riding high on the loans extended to pick up initial public offers. Most of these Demat accounts are now dormant. Several DPs are planning to launch Interactive Voice Response (IVR) units and Demat services on the Net, Through these IVR units , investor will be able to know the current value of their portfolio, current holdings, transaction list, etc. Some DPs are providing Demat services on the internet to enable customer to access their account and get the holding and transaction statement on a daily basis.

2.0

REVIEW

OF

LITEREATURE

AND

RESEARCH

DESIGN
2.1 Introduction This literature review explores the three dominant themes of the research questions: symbolic representation of concepts, impact on academic achievement, and student attitudes, behaviors, and interactions. While geometry is the academic subject area of this particular research project, the scope of this literature review is expanded to include research that examines the dominant

Page 19

De-mate account and online trading

themes of the research questions, regardless of the specific academic subject area.

2.2 Review of Literature
International Journal of Business and Management

Tomorrow Vol. 2 No. 3 ISSN: 2249-9962 March|2012 www.ijbmt.com

Published by SPIRI (Society For promoting Research And innovation) Customer Perception towards Secondary Market Trading In India by Jyoti Shankar Sahoo, MBA, This research is regarding the secondary market trading in India and its main objective is to the process towards stock trading. In the last decade, India’s GDP has raised from 414 billion dollar in 2001 to 1.3 trillion dollars in 2010. This growth in size of economy has been complimented by 8 fold increase in the market capitalization of the Indian companies. In the study conducted by Nidhi walia and Ravinder kumar (2007) examined the investor’s preference for traditional trading and online trading. The major findings of the study were that Indian investors are more conservative, they do not change easily and Indian traditional traders still choose brokers for trading. But

Page 20

De-mate account and online trading

Internet traders are more comfortable with online trading because of its transparency and complete control over the terminal. Another study by Sandeep Srivastava, Surendra, S. Yadav and P K Jain (2008) on “Derivative Trading in Indian Stock Market: Broker’s Perception” found that high net worth individuals and proprietary traders contribute to the major proportion of trading volumes in the derivative segment. The survey also revealed investors are using these securities for risk management, profit enhancement, speculation and arbitrage. It also emphasized to popularize option instruments because they may prove to be a useful medium for enhancing retail participation.

2.3 STATEMENT OF PROBLEM
The first step is any type of research is formulation of a research problem. It is the most important stage in applied research is to define problem. It is rightly said, A problem well defined is half solves” poorly defined problem cause confusion and do not allow the researcher to develop a good research design. The problem and objective of this research, the customer awareness and problem in brokerage charges as well as customer satisfaction with competitors.

Page 21

De-mate account and online trading

2.4 SCOPE OF

STUDY

It provides a complete knowledge of various fundamental concepts of share market and online trading. It will help in analyzing the behavior of consumers and help in Knowing the parameters of investment on which they would like to invest.. The market share of all the online share trading products is only for the city of Bangalore.

2.5 OBJECTIVE OF STUDY Following are the objectives behind the preparation of my project at Nirmal Bang Securities pvt. ltd.


To know the market potential of Nirmal Bang Securities Pvt.

Ltd.


To understand the company, its achievements and tasks,

products and services and also to collect information about its competitors, its products and services offered. • To find customer satisfaction level in stock trading from past experiences.

Page 22

De-mate account and online trading



To Study present online share trading of Nirmal Bang

Securities Pvt. Ltd. •


To understand the Indian stock market. To compare of Nirmal Bang Securities Pvt. Ltd. With big

players in market i.e., ICICI, Karvy, Relience as well with India Infoline

2.6 Operational Definition of Concept
Dematerialisation of Securities (Demat) Dematerialization is the process of converting the securities held in physical form (certificates) to an equivalent number of securities in electronic form and crediting the same to the investor's demat account. Dematerialised securities do not have any certificate numbers or distinctive numbers and are dealt only in quantity i.e. the securities are fungible. REMATERIALIZATION It is possible to re cover securities held in electronic form after demat, back to physical holding. ‘Rematerialization’ is the term used for converting electronic holdings back into physical certificates.

Page 23

De-mate account and online trading

ONLINE TRADING The central computer located at the Exchange is connected to the workstations of the Brokers through satellite using Very Small Aperture Terminals (VSATs). Orders placed at based on price and time priority.

2.7 RESEARCH ? Sample size - 100 ? Sampling method Data analysis

METHODOLOGY

- Random sampling

The investigation will be done by using questionnaire and direct interview method. The data collection will do in order to gain the first hand information from the workers for the study to be effective. After the data collection, data will be converted in to chart method like bar tables, pie table’s text.
1.

Primary Data: The required data was collected by way of

distribution of questionnaires to investors at random and by way of telephonic interviews and online distribution of questionnaire. Tools/Technique of data collection
• • •

Personal Interview Close observation Survey conduction Secondary :- already existing is called secondary data. I

2.

Page 24

De-mate account and online trading

collected them following method.
a. b.

Internet Books

Tool for data collection Following are the tools that will be used to collected the data • Questionnaire • Interview

2.8 LIMITATION OF STUDIES

?

This research might have some minor limitations because of

limited sample size and the environment in which data was collected.

?

The data analysis and findings are based on the knowledge

and experience of the respondents. It is assumed that at the time of undertaking survey the best available respondent group was chosen and the responses given by each one of them was

Page 25

De-mate account and online trading

genuine. The respondents who have not given any information are not

?

included in the sample but do come under the population. It was not possible to cover each and every client of stock

?

broking house and hence a sample of 100 people was taken. The market share of all the online share trading products is only for the city of Bangalore.

2.9 CHAPTER SCHEME The chapter scheme of this report is as follows

Chapter 1 – introduction

Page 26

De-mate account and online trading

This chapter consists of introduction to the Demate Account and Online Trading of the study

Chapter 2– Research design This chapter consists of the objectives of the study, statement of the problem, limitations etc.

Chapter 3 – Industrial profile and company profile This chapter consists of the profile of the Nirmal Bang Securities Pvt. Ltd.

Chapter 4- Result, analysis and Discussion This chapter consists of data analysis and interpretation relating the objectives of the study.

Chapter 5- Findings, conclusion and suggestion This chapter consists of the findings of the study. Conclusion made from the study .

3.0

PROFILE OF THE INDUSTRY/ COMPANY

Page 27

De-mate account and online trading

3.1 INDUSRTIAL OVERVIEW
Investment The money you earn is partly spent and the rest saved for meeting future expenses. Instead of keeping the savings idle you may like to use savings in order to get return on it in the future. This is called Investment. Various options available for investment Physical assets like real estate, gold/jewelers, commodities etc.
2.

1.

Financial assets such as fixed deposits with banks, small saving instruments with post offices, insurance/provident/pension fund etc. or securities market related instruments like shares, bonds, debentures etc. Various Short-term financial options available for

investment • savings bank account • money market/liquid funds • fixed deposits with banks Various investment • Post Office Savings


Long-term

financial

options

available

for

Public Provident Fund

• Company Fixed Deposits

Page 28

De-mate account and online trading

• Bonds • Mutual Funds

3.1 Stock Exchange
EVOLUTION OF STOCK EXCHANGES IN INDIA

The origin of the stock exchanges in India can be traced back to the latter half of 19th century. After the American Civil War ((1860-61) due to the share mania of the public, the number of brokers dealing in shares increased. The brokers organized an informal association in Mumbai named “The Native Stock and Share Brokers Association” in 1875. Increased activity in trade and commerce during the First World War resulted in an increase in the stock trading. Stock exchanges were established in different centers like Chennai, Delhi, Nagpur, Kanpur, Hyderabad and Bangalore. The growth of the stock exchanges suffered a setback after the end of World War. Worldwide depression affected them. Most of the stock exchanges in the early stages had a speculative nature of working without technical strength. Securities and Contract Regulation Act, 1956 gave powers to the central government to regulate the stock exchanges. The stock exchanges in Mumbai, Calcutta, Chennai, Ahmedabad, Delhi, Hyderabad and Indore were recognized by the SCR act. The Bangalore stock exchange was recognized only in 1963. At present we have 23 stock

Page 29

De-mate account and online trading

exchanges and 21 of them had hardware and software compliant to solve Y2K problem. The setting up of NSE and OTCEI with the screen based trading facility resulted in more and more stock exchanges turning towards the computer based trading. Bombay stock exchanges introduced the screen based trading system in 1995, which is known as BOLT (Bombay On-line Trading System).

FUNCTIONS OF STOCK EXCHANGES ? ? ? ? ? ? ? ? ? Safety of funds Liquidity and marketability of securities Supply of long-term fund Flow of capital to profitable ventures Motivation of improved performance Promotion of investment Reflection of business cycle Self regulating organization Maintain active trading Stock is an ownership in a company, with each share of stock representing a tiny piece of ownership. The more shares you own, the more of the company you own. The more shares

Page 30

De-mate account and online trading

you own, the more dividends you earn when the company makes a profit. In the financial world, ownership called equity.

THE OBJECTIVES OF THE STOCK EXCHANGES: ? To safeguard the interest of investing public having dealings on the exchange ? To establish and promote honorable and just practices in securities transactions ? To promote, develop, and maintain well-regulated market for dealing in securities. ? To promote industrial development in the country

through efficient resource mobilization by the way of investment in corporate secure

Page 31

De-mate account and online trading

COMPANIES ISSUE STOCK Businesses issue stock to raise money. They use this money to finance expansions, Pay for equipment and fund projects etc. Corporation issue stock when they may need additional capital to operate successfully. TYPE OF ISSUES ? Public issue ? Right issue ? Bonus issue ? Private issue STOCK EXCHANGES • Bombay Stock Exchange Bombay Stock Exchange is the oldest stock exchange in Asia with a rich heritage, now spanning three centuries in its 133 years of existence. What is now popularly known as BSE was established as "The Native Share & Stock Brokers' Association" in 1875. The origin of the BSE dates back to 1875.It was organized under the name of “The Native Stock and Share Brokers Associations” as voluntary and non-profit making association. It was recognized on a permanent basis in 1957. This premier stock exchange is the oldest stock exchange in Asia. • National Stock Exchange

Page 32

De-mate account and online trading

NSE of India became operational in the capital market segment on 3rd Nov, 1994 in Mumbai. The genesis of the NSE lies in the recommendations of the Pherwani Committee (1991). Apart from NSE, it had recommended for the establishment of National Stock Market System also. Committee pointed out five major defects in the Indian stock market. • Over the Counter Exchange of India OTCEI was started in 1992 after the role models of NASDAQ (National Association of Securities Dealers Automated Quotation) and JASDAQ (Japanese Association of Securities Dealers Automated Quotation). The OTCEI was started with the objective of providing a market for the smaller companies that could not afford the listing fees of the large exchanges and did not fulfill the minimum capital requirement for listing. It aimed at creating a fully decentralized and transparent market. Over the counter means trading across the counter in scripts. The counter refers to location of the members or dealer of the OTCEI where the investor can sell and buy. The members or dealers of OTCEI counters are linked to the central OTCEI computer. The member should have the computer and telecommunication facility. ‘Equity’/Share Total equity capital of a company is divided into equal units of small denominations, each called a share. For example, in a company the total equity capital of Rs 2,00,00,000 is divided into

Page 33

De-mate account and online trading

20,00,000 units of Rs 10 each. Each such unit of Rs 10 is called a Share. Thus, the company then is said to have 20,00,000 equity shares of Rs 10 each. The holders of such shares are members of the company and have voting rights.

‘Debt Instrument’ Debt instrument represents a contract whereby one party lends money to another on pre-determined terms with regards to rate and periodicity of interest, repayment of principal amount by the borrower to the lender. In the Indian securities markets, the term ‘bond’ is used for debt instruments issued by the Central and State governments and public sector organizations and the term ‘debenture’ is used for instruments issued by private corporate sector. Index An Index shows how a specified portfolio of share prices is moving in order to give an indication of market trends. It is a basket of securities and the average price movement of the basket of securities indicates the index movement, whether upwards or downwards. SECURITIES The definition of ‘Securities’ as per the Securities Contracts Regulation Act (SCRA), 1956, includes instruments such as shares, bonds, scrips, stocks or other marketable securities of

Page 34

De-mate account and online trading

similar nature in or of any incorporate company or body corporate, government securities, derivatives of securities, units of collective investment scheme, interest and rights in securities, security receipt or any other instruments so declared by the Central Government. Are the securities one can invest in • • •


Shares Government Securities Derivative products Units of Mutual Funds etc., are some of the securities investors in the securities market can invest in.

INDIAN FIANANCIAL MARKETS

INDIAN FIANANCIAL MARKETS

PRIMARY MARKET

SECONDARY MARKET

DERIVATIVES MARKET

I. PRIMARY MARKET Role of the ‘Primary Market’

Page 35

De-mate account and online trading

The primary market provides the channel for sale of new securities. Primary market provides opportunity to issuers of securities; Government as well as corporates, to raise resources to meet their requirements of investment and/or discharge some obligation. They may issue the securities at face value, or at a discount/premium and these securities may take a variety of forms such as equity, debt etc. They may issue the securities in domestic market and/or international market. II. SECONDARY MARKET Secondary market refers to a market where securities are traded after being initially offered to the public in the primary market and/or listed on the Stock Exchange. Majority of the trading is done in the secondary market. Secondary market comprises of equity markets and the debt markets. Role of the Secondary Market For the general investor, the secondary market provides an efficient platform for trading of his securities. For the management of the company, Secondary equity markets serve as a monitoring and control conduit—by facilitating value-enhancing control activities, enabling implementation of incentive-based management contracts, and aggregating information (via price discovery) that guides management decisions. Difference between the Primary Market and the Secondary Market

Page 36

De-mate account and online trading

In the primary market, securities are offered to public for subscription for the purpose of raising capital or fund. Secondary market is an equity trading venue in which already existing/preissued securities are traded among investors. Secondary market could be either auction or dealer market. While stock exchange is the part of an auction market, Over-the-Counter (OTC) is a part of the dealer market. III. DERIVATIVES Derivative is a product whose value is derived from the value of one or more basic variables, called underlying. The underlying asset can be equity, index, foreign exchange (forex), commodity or any other asset. Derivative products initially emerged as hedging devices against fluctuations in commodity prices and commodity-linked derivatives remained the sole form of such products for almost three hundred years. The financial derivatives came into spotlight in post-1970 period due to growing instability in the financial markets. However, since their emergence, these products products. have become very popular and by 1990s, they accounted for about two thirds of total transactions in derivative

Types of Derivatives

Page 37

De-mate account and online trading

Forwards: A forward contract is a customized contract between two entities, where settlement takes place on a specific date in the future at today’s pre-agreed price. Futures: A futures contract is an agreement between two parties to buy or sell an asset at a certain time in the future at a certain price. Futures contracts are special types of forward contracts in the sense that the former are standardized exchange-traded contracts, such as futures of the Nifty index. Options: An Option is a contract which gives the right, but not an obligation, to buy or sell the underlying at a stated date and at a stated price. While a buyer of an option pays the premium and buys the right to exercise his option, the writer of an option is the one who receives the option premium and therefore obliged to sell/buy the asset if the buyer exercises it on him. Options are of two types - Calls and Puts options: ‘Calls’ give the buyer the right but not the obligations to buy a given quantity of the underlying asset, at a given price on or before a given future date. ‘Puts’ give the buyer the right, but not the obligation to sell a given quantity of underlying asset at a given price on or before a given future date. Presently, at NSE futures and options are traded on the Nifty, CNX IT, BANK Nifty and 116 single stocks. ‘Commodity Exchange’

Page 38

De-mate account and online trading

A Commodity Exchange is an association, or a company of any other body corporate organizing futures trading in commodities. In a wider sense, it is taken to include any organized market place where trade is routed through one mechanism, allowing effective competition among buyers and among sellers – this would include auction-type exchanges, but not wholesale markets, where trade is localized, but effectively takes place through many non-related individual transactions between different permutations of buyers and sellers. Commodity derivatives market Commodity derivatives market trade contracts for which the underlying asset is commodity. It can be an agricultural commodity like wheat, soybeans, rapeseed, cotton, etc or precious metals like gold, silver, etc. Margins In the spot market, the buyer of a stock has to pay the entire transaction amount (for purchasing the stock) to the seller. For example, if Infosys is trading at Rs. 2000 a share and an investor wants to buy 100 Infosys shares, then he has to pay Rs. 2000 X 100 = Rs. 2,00,000 to the seller. The settlement will take place on T+2 basis; that is, two days after t he transaction date. MUTUAL FUNDS

Page 39

De-mate account and online trading

A Mutual Fund is a body corporate registered with SEBI (Securities Exchange Board of India) that pools money from individuals/corporate investors and invests the same in a variety of different financial instruments or securities such as equity shares, Government securities, Bonds, debentures etc. Mutual funds can thus be considered as financial intermediaries in the investment business that collect funds from the public and invest on behalf of the investors. Benefits of investing in Mutual Funds • Small investments • Professional Fund Management • Spreading Risk • Transparency NAV NAV or Net Asset Value of the fund is the cumulative market value of the assets of the fund net of its liabilities. NAV per unit is simply the net value of assets divided by the number of units outstanding. Buying and selling into funds is done on the basis of NAV-related prices. The NAV of a mutual fund are required to be published in newspapers. The NAV of an open end scheme should be disclosed on a daily basis and the NAV of a close end scheme should be disclosed at least on a weekly basis Different types of Mutual funds

Page 40

De-mate account and online trading

(a) On the basis of Objective • Equity Funds/ Growth Funds • Diversified funds • Sector funds • Index funds • Tax Saving Funds • Debt/Income Funds • Liquid Funds/Money Market Funds • Gilt Funds • Balanced Funds b) On the basis of Flexibility • Open-ended Funds • Close-ended Funds

Rolling Settlement Under rolling settlement all open positions at the end of the day mandatorily result in payment/ delivery ‘n’ days later. Currently trades in rolling settlement are settled on T+2 basis where T is the trade day. For example, a trade executed on Monday is mandatorily settled by Wednesday (considering two working days from the trade day). The funds and securities pay-in and pay-out are carried out on T+2 days.

Page 41

De-mate account and online trading

• Market Timing EXCHANG E NSE BSE MCX MCX-SE NCDEX Normal Open 09:30:00 09:30:00 10:00:00 10:00:00 09:00:00 Normal Close 15:30:00 15:30:00 23:30:00 23:30:00 23:35:00 16:00:00 16:00:00 16:00:00 00:00:00 00:00:00 00:00:00 00:00:00 00:00:00 00:00:00 00:00:00 AMO Open AMO Close

• • • •

NSE – NATIONAL STOCK EXCHANGE BSE – BOMBAY STOCK EXCHANGE MCX – MULTI-COMMODITY EXCHANGE MCX-SE – MULTI-COMMODITY EXCHANGE STOCK EXCHANGE LIMITED NCDEX – NATIONAL COMMODITY AND DERIVATIVES EXCHANGE LTD



3.2 COMPANY PROFILE

“THE

HAPPINESS

OF

YOUR

FAMILY

HAS

BEEN

YOUR

PRIORITY WE ARE ALWAYS THERE TO ENHANCE YOUR PROSPERITY

Page 42

De-mate account and online trading

Nirmal Bang is a stock broking office, established in 1989 in Mumbai. Company Overview Nirmal Bang Financial Services Pvt Ltd is a RBI registered Non Banking Finance Company which offers margin funding facility to its clients. Product Overview Margin funding allows the investors to take leverage positions in the stock market, client has to pay margin of 35 % to 50% depending upon the scrip and rest is funded by us. To put it simply, for example in case of scrip prescribed for 35% margin, if client pays cash margin of Rs.35,000/-, he can buy shares of Rs.100000/- and funding by us would be of Rs.65000/-Margin can be provided in cash as well as approved securities. Documents Requirement for opening an account at

NIRMAL BANG A) Individuals 1.Client has to open a bank account with Axis Bank and Demat account with Nirmal Bang Securities Pvt Ltd both under POA with us. 2.Loan agreement to be duly filled up and signed therein. 3.Copy of PAN card 4.Copy of Address Proof 5.Two passport sized photographs

Page 43

De-mate account and online trading

6.Copy of latest two years ITRs 7.Two Post dated cheques , one for principal & other for interest in the name of Nirmal Bang Financial Services Pvt Ltd 8.Cheque of Rs 600 towards the loan documentation charges 9.Cheque of Rs 6000/- in favour of Axis bank for maintaining minimum balance, this cheque will be credited in client’s Axis bank a/c only B) Company All documents as mentioned in point no 1 to 8 in case of individual are required. Additional documents to be collected are: 1.Copy of annual report of last two years 2.Memorandum and article of association 3.List of directors 4.Two photographs of all the directors. 5.Board resolution on letter head of the company 6.Cheque of Rs 11000/- in favour of Axis bank for maintaining minimum balance, this cheque will be credited in client’s Axis bank a/c only. Kindly note: 1.All documents should be self attested. 2.All Photographs and signatures should match with the proof given. 3. Additional documents need to be submitted in case of any discrepancy is noticed.

Page 44

De-mate account and online trading

To know in detail about margin funding : Call:- 91-022-3926 8061, Email:[email protected] Number of TERMINALS Total -------------------------------------------------------------790 MEMBERSHIP Cash Market :---------------------------------------- NSE, BSE Derivatives :------------------------------------------ NSE, BSE Commodities :--------------------------------------- NCDEX, MCX

MANAGEMENT Directors----------------------------------------------D M Bang, K M Bang Chief Executive Officer--------------------------- S V Chalapathi M Chief Compliance Officer--------------------------S Kamdar PRODUCTS & SERVICES 1) Trading (Equity/Derivative/Commodity) 2) IPOs 3) Depository Services 4) Arbitrage 5) Margin Financing 6) MUTUAL FUNDS 7) CURRENCY 8) INSURANCE 9) PMS

Page 45

De-mate account and online trading

Ownership Pattern It’s a partnership company , The Nirmal Bang group of companies were founded by Nirmal Bang, Dilip Bang and Kishore Bang, who bring forward industry expertise, Nirmal bang insight and most importantly, broking create an environment of unmatched commitment to clients. The is recognized as one of the largest retail houses in India, providing an array of financial products and services. The group always believed in developing retail client network and had wide network of clients all over India. It started up the DP services and also added broking into commodities and insurance advisory services to diversify into allied activities. Thus we are registered members of the Bombay Stock Exchange Limited (BSE), National Stock Exchange of India Limited (NSE), Multi Commodity Exchange of India Limited (MCX), National Commodity & Derivatives Exchange Limited (NCDEX), National Multi Commodity Exchange of India Limited (NMCE) and MCX Stock Exchange Limited and are also depository participants of NSDL and CDSL. Bang Equity Broking Private Limited was formed in the year 1997. This company also became the corporate member of the BSE with three membership rights in the year

Page 46

De-mate account and online trading

1999. The Group was thus the first in the history of the Bombay Stock Exchange Exchange. to acquire six membership rights of the

AREA OF OPERATION ( NATIONAL) Nirmal Bang caters to the need of customers across India through a network of offices encompassing almost every Indian states. You can locate branch near you... Website : www.nirmalbang.com Registration Number - NSE: INB 230939139, INF 230939139, BSE: INB 11072759, INF 11072759

Head Office 38-B/39, Khatau Bldg, 2nd Flr, Alkesh Dinesh Mody Marg Fort, Mumbai - 400 001 Tel. : 022 - 3926 8600 Fax. : 022 - 3926 8610. E-mail: [email protected]

Corporate office B-2, 301/302, Marathon Innova, Nr. Peninsula Corporate Park Lower Parel(W), Mumbai-400013, Board No. : 022 3926 8000, 3300 0033 Fax. : 022 3926 8010, E-mail: [email protected] Tech Support, Tel.: 91-022-3926 8300

Page 47

De-mate account and online trading

E-mail: [email protected] Customer Care Tel.: 91-022-3926 9300 E-mail: [email protected] OWNERSHIP PATTERN MANAGEMENT Directors D M Bang, K M Bang Chief Executive Officer S V Chalapathi M Chief Compliance Officer S Kamdar

AREA OF OPERATION ( NATIONAL) PRODUCT AND SERVICE PROFILE EQUITY COMMODITY SERVICES SERVICES

Page 48

De-mate account and online trading

PORTFOLIO

MANAGEMENT

SERVICE

MARGINAL

FUNDING

MISSION STATEMENT “TO WORK TOGETHER WITH INTEGRITY AND MAKE OUR CUSTOMER FEEL VALUED” VISION STATEMENT “TO CREAT VALUABLE RELATIONSHIPS AND PROVIDE BEST FINANCIAL SERVICE MOST PROFESSIONALLY”

Page 49

De-mate account and online trading

CORE VALUE “RESPECT OUR COLLEAGUES, AND THE BUSINESS ITSELF” NATURE OF THE BUSINESS CARRIED BY NIRMAL BANG Securities brokerage.

CHAPTER 4 4.0 RESULT, ANALYSIS AND DISCUSSION
Table No. 4.1 showing Top 15 broking companies in India Broking Companies No. Of Termin als 658 14436 2292 10371 7680 2992 5332 2198 2616 5293 2024 Sub Broke rs 1666 7031 3 1301 1950 490 668 2422 72 1278 431

Employees

1. India Infoline Ltd. 13711 2. Angel Broking Ltd. 6397 3. Indiabulls Securities 4884 Ltd. 4. Religare Securities Ltd. 4598 5. SMC Global Securities 3242 Ltd. 6. Karvy Stock Broking 3051 Ltd. 7. Anand Rathi Share 2806 Brokers Ltd. 8. Kotak Securities Ltd. 2547 9. Unicon Securities Ltd. 2498 10. Bonanza Portfolio 1827 Ltd. 11. Sharekhan Ltd. 1582

Page 50

De-mate account and online trading

12.

Motilal

Oswal Bang

Securities Ltd. 13. Nirmal

1232 1163 1160 1107

8300 2509 1518 2822

1517 750 -2943

Securities Ltd. 14. HDFC Securities Ltd. 15. Reliance Securities Ltd. (Source: www.dnb.co.in) Analysis :-

Nirmal bang securities pvt. Only able to get the as sub Brokers 750 in the above mentioned table

13th place

within employees of 1163 and with terminals of 2509 as well

Graph No.4.1 India

showing Top 15 broking companies in

Page 51

De-mate account and online trading

100 60 100 40 100 20 100 00 80 00 60 00 40 00 20 00 0

Ang B ingLtd. el rok India bulls S uritiesLtd. ec R a S elig re ecurities Ltd. S G MC loba l S uritiesLtd. ec K rvy S k a toc B rokingLtd. Ana R thi S re nd a ha B rokers Ltd. K kS urities ota ec Ltd. Unicon S urities ec Ltd. B nzaPortfolio ona Ltd. S rek n Ltd. ha ha Motila Os l l wa S uritiesLtd. ec Nirma B ng l a S uritiesLtd. ec H F S urities D C ec Ltd. R nc S urities elia e ec Ltd.

Term inals S B ub rokers

Interpretation According to D & B Website India inflow line lot the first place but, Nirmal bang securities pvt. Only able to get the 13th place within employees of 1163 and with terminals of 2509 as well as sub Brokers 750 in the above mentioned table. Indian India Infoline Ltd. Got the first place with employees of 13711 and with terminals of 658 as well as sub Brokers 1666.

Table No. 4.2

Showing Number of brokers and sub

brokers in stock exchanges

Page 52

De-mate account and online trading

Stock Exchange Ahmedabad Bangalore Bombay Bhubaneswar Calcutta Cochin Coimbatore Delhi Gauhati Hyderabad Inter Connected Jaipur Ludhiana Madhya

Brokers 317 256 840 219 962 434 135 375 110 304 788 507 293

Sub Brokers 119 156 10691 17 88 42 22 343 4 199 3 34 38

174 5 Pradesh Madras 182 115 Magadh 198 3 Mangalore 66 1 National SE 1014 11359 OTECI 769 19 Pune 192 161 UPSE 463 19 Vadodara 311 41 Total 9335 23479 Analysis :- Bangalore having 256 brokers as well as having subbrokers 156, Graph No.4.2 showing Number of brokers and sub brokers in stock exchanges

Page 53

De-mate account and online trading

12000
A edabad hm Bang alore Bom bay Bhubanesw ar C alcutta C ochin C batore oim Delhi Gauhati H yderabad Inter C onnected Jaipur L udhiana Madhya P radesh Madras Mag adh Mang alore N ational S E O I TEC P une UP E S V adodara

10000

8000

6000

4000

2000

0

B rokers

S B ub rokers

INTERPRETATION:Bangalore having 256 brokers as well as having sub-brokers 156, It shows stocking brokers developing as rapidly. Also Mangalore also running 66 brokers as well as 1 sub- brokers, in Karnataka. Totally in India having 9335 brokers and 23479 sub – brokers. It shows how rapidly developing stock brokering firms in India.

Table No. 4.3

Top 20 BSE listed companies return in

Page 54

De-mate account and online trading

last five years Company Close Price Close Price Change on 1. Jindal Steel 2. Bajaj Auto 25th on 24th in Rs. 586.04 1080.4 5 1576.9 2 1640.9 1194.1 5 446.27 825.8 710.9 1100.4 5 382.45 109.3 208.47 558.05 1010.9 Jun, 2006 47.91 302.25 Jun, 2011 633.95 1382.7 2288.15 2381.45 1739 666.95 1276.4 1136.2 1866.15 672.2 195.05 391.35 1065.25 1947.2 Return s% 1223. 21 357.4 7 221.7 2 221.5 8 219.1 7 202.2 2 183.2 7 167.1 5 143.7 2 131.9 9 127.4 6 113.9 9 110.0 3 107.9

3. State Bank of 711.23 India 4. HDFC Bank 5. Larsen Turbo 6. HDFC 7. Tata Co. 8. TCS 9. Hero 740.55 & 544.85 220.68 Power 450.6 425.3 Honda 765.7 289.75 85.75 182.88 507.2 936.28

Motors 10. M&M 11. 12. ITC Bharti

Airtel 13. ICICI Bank 14. BHEL

Page 55

De-mate account and online trading

15. 16.

Infosys Reliance

1494.78 503.4 115.15 101.46 52

2862.1 870.4 182.05 160.35 79.25

2 1367.3 2 367 66.9 58.89 27.25 138.24

7 91.47 72.90 58.10 58.04 52.40 48.47

Inds. 17. NTPC 18. Sterlite Inds. 19. JP

Associates 20. Wipro 285.21 423.45 (Source: Historical returns, 2011)

Analysis :- Jindal steel company had first place as Close Price on 25th Jun, 2006 is Rs. 47.91, it increased to 633.95 Graph No.4.3 shows Top 20 BSE listed companies return in last five years

Page 56

De-mate account and online trading

350 0 300 0 250 0 200 0 150 0 100 0 50 0 0 C e Price C e Price C los los hang in e on 25th Jun, on 24th Jun, R. s 200 6 20 11 R eturns%

Jindal S teel B ajaj Auto S tate B ank of India H F B D C ank L en & Turbo ars H F DC Tata Power C o. TC S H H ero onda Motors M &M ITC B harti Airtel IC I B IC ank BHE L Infos ys R eliance Inds . NTPC S terlite Inds . JP As ociates s Wipro

INTERPRETATION:As per BSE Top 20 BSE listed companies return in last five years, Jindal steel company had first place as Close Price on 25th Jun, 2006 is Rs. 47.91, it increased to 633.95. Bajaj Auto able to take second place. Wipro get 20th place it show how income is rapidly increasing of investing on equity share.

Table No. 4.4 Comparative Analysis Of Various Stock

Page 57

De-mate account and online trading

Broking Comparative In Bangalore On The Basis Of Activation Charges, Brokerage, Service,

Angel Broking

Criteria Demat a/c opening charges Brokerage intraday, delivery AMC(Annual Maintenance Charges) Trading funding intraday, delivery Transaction period(Debit period) Mode of trading Margin money Software installation charges

Angel stock broking 750 5 paise,50 paise Rs.300 6times,4 times(minimum stock Rs 50000) T+2 Days Both online and offline 5000 No extra charges

Page 58

De-mate account and online trading

India Infoline

Criteria Demat a/c opening charges Brokerage intraday, delivery

India infoline 550 5 paise,50 paise

AMC(Annual maintenance charges)

NIL

Trading funding, intraday, Delivery Transaction period(Debit period) Mode of trading Margin Money Software Installation charges

10 times, 4times T+2 Both online and offline 2000 No extra charges

Page 59

De-mate account and online trading

Religare Securities

Criteria Demat a/c opening charges Brokerage intraday, delivery 550

Religare Securities

4 paise,40 paise 6times,4 times (minimum stock Rs 50,000) T+2 Both online and offline No limit No Extra charges

AMC(Annual maintenance charges) 250 Trading funding, intraday, Delivery Transaction period(Debit period) Mode of trading Margin Money Software Installation charges

ICICI Direct

Page 60

De-mate account and online trading

Criteria

ICICI Direct Rs.975

Demat a/c opening charges

Brokerage intraday, delivery

50 Paise,75Paise

AMC(Annual maintenance charges) Rs.500 6times,4 times(minimum stock Rs 50,000) T+2

Trading funding, Intraday, Delivery Transaction period(Debit period) Mode of trading

Both online and offline

Margin Money

No limit

Software Installation charges

No Extra charges

Analysis :customer on

almost all broking firm providing free charges to opening of demat account, all Transaction

period(Debit period) is T + 2 (Transaction period pulse Two working Days)

Page 61

De-mate account and online trading

Table No. 4.5

showing people are known about stock

market Bangalore

Yes/ no No. of respondents

Yes 40

No 60

Analysis:As per above table respondent 40 mentioned are yes, 60 are mentioned as no.

Graph No.4.5 showing people are known about stock market Bangalore

Interpretation: -40% people are known share ex-change in Bangalore city

Page 62

De-mate account and online trading

Table No. 4.6 Age group

showing age wise investors in Bangalore 2030 31-40 41-50 51-60 61 above

No

of 20

30

28

14

8

respondents

Analysis :As per above table investors 20 respondents from 20-30 age group, investors 30 respondents from 21-40 age group, investors 8 respondents investors 28 respondents from 41-50 age group, investors 14 respondents from 51- 60 age group, age group from 61 above age group, investors 14 respondents from 51- 60

Page 63

De-mate account and online trading

Graph No.4.6 showing age wise investors in Bangalore

20-30

31-40

41-5 0

51-60

6 above 1

14%

8%

20%

28%

30%

Interpretation: Majority of investors age group from 31 to 40 as 30% Second majority of investors group from 41-50 as 28%, As well as age group from 20-30 as a 20%

Page 64

De-mate account and online trading

Age of investors from 51-60 as 14% And age of investors from above 61 age as 8%

Table No. 4.7 showing the influence factors which effect in investment decision making Safety Liquidity Returns Tax benefits Factors decision in 15 15 60 10

Analysis:- As per above table 15 respondents are making decision making by safety, 15 respondents are making decision making by Liquity, 60 respondents are making decision making by Returns and 10 respondents are making decision making on tax benefits. Graph No.4.7 showing the influence factors which effect in investment decision making

Page 65

De-mate account and online trading

Interpretation:

-

Majority

of

investors

age

make

the

investment decision on expecting more returns

Table No. 4.8 showing people stock market

do type of trading on in

Type trading No. people

of Intraday 26

Delivery 42

Both 32

Analysis:- as per mentioned above table 26 respondents are investors trading on Intraday, 42 respondents are both intraday as well as Delivery. investors trading on Delivery and 26 respondents are investors trading on

Graph No.4.8 showing people

do type of trading on in

Page 66

De-mate account and online trading

stock market

intraday

delivery

both

3% 2 4% 2

2% 6

Interpretation: - 26% people prefer intraday trading, 42. % prefer delivery and 32% do both type of trading.

Table No. 4.9 showing the investor Trading on duration of time period

Time period No. respondents

less

than

1 1-6 Month 45

more than 6 month 30

month 25

Analysis :- as per above table investor trading 25 respondents

Page 67

De-mate account and online trading

are within 1 month, 45 are 1-6 month, and 30 respondents trading on more than 6 months.

Graph No.4.9 showing the investor investing on duration of time period

Interpretation: - Maximum people prefer to invest for 1 to 6 months and amount of investment for majority of people was found to be between Rs. 20,000 to Rs. 1 lac.

Table No. 4.10 showing investors investing on various area of investment

Page 68

De-mate account and online trading

area investment No respondents

of Equity share of 52

debentu bonds re 15 10

derivative Others s 17 6

Analysis:- respondents are investing as 52 on equity share market, 15 respondents are on Debenture, 10 respondents are on bonds, 17 respondents are on Derivative market. And 6 respondents are on others Graph No.4.10 showing of investors investing on various area of investment

E quityshare debenture deriva s tive others 6% 17%

bonds

52% 15% 10%

Interpretation: - major investors are investing in equity share as 52

Page 69

De-mate account and online trading

Table No. 4.11.

showing investors opinion regarding

problem of uncertainty in trading Problems market No. respondents 24 60 24 on It's big It's an It's manageable

trading in stock challenge

opportunity

Analysis :24 respondents as mentioned it big opportunity , 60 are mentioned as it an opportunity and 24 are mentioned as it’s big challenge and 24 respondents as mentioned it manageable, Graph No.4.11 showing investors opinion regarding

problem of uncertainty in trading
it,sbigch lleng a e It'sm na ea a g ble It'sa opportunity n 1% 6

2% 4

6% 0

Interpretation: majority of people consider market uncertainty as a big problem, around 19% people consider it as an opportunity and

Page 70

De-mate account and online trading

rest says it is manageable. Table No. 4.12 showing regarding about customer

satisfaction in broking firm. Satisfaction/ dissatisfaction No. of respondents 55 20 25 Yes a little No

Analysis :As per above table 55 respondents are satisfied, 20 respondents area little satisfied and 25 respondents are dissatisfied Graph No.4.12 showing regarding about customer

satisfaction in broking firm.

yes

alittle

no

25%

20%

55%

Page 71

De-mate account and online trading

Interpretation :- 54.5% consider the Unsatisfactory services provided by the broking firm create problem in trading, 20.5% people consider it a little and 25% were not agreeing to that. Table No. 4.13. showing the investor investing by major broking firms Name of the share broking firms No. respondents 20 khan Nirmal pvt. Ltd 15 10 25 30 bang Religa karvy re Others

securities

Analysis:-

20 respondents are investing with share khan, 15

with Nirmal bang securities pvt. Ltd. 10 with Religare, with Karvy is 25 and others 30 Graph No.4.13 showing the investor investing in major broking firms

Page 72

De-mate account and online trading

sha kha re n relig re a others 3% 0

Nirm l bangsecuritiespvt.L a td k arvy 2% 0 1% 5 2% 5 1% 0

Interpretation: - Market share of Nirmal Bang Securities Pvt. Ltd. is around 20% in Banglore.

Table No. 4.14 showing the customer satisfaction with there’s broking firm . Satisfied/ dissatisfied No. respondents 45 Satisfied neither Satisfied 30 25 Dissatisfied

Analysis :As per above table 45 respondents are satisfied, 30 respondents area neither satisfied and 25 respondents are dissatisfied

Page 73

De-mate account and online trading

Graph No.4.14 showing the customer satisfaction with there’s broking firm.

sa tisfied

neitherS tisfied a

D issatisfied

25% 30%

45%

Interpretation: - Most of the people are satisfied with their broking firm as 45 %

Table No. 4.15 showing the customer satisfaction with Nirmal Bang securities Pvt. ltd. Satisfied/dissat Satisfied isfied No. 60 respondents neither satisfied 25 15 Dissatisfied

Analysis :-

Page 74

De-mate account and online trading

As per above table 60 respondents are satisfied, 25 respondents area little satisfied and 15 respondents are dissatisfied Graph NO.4.15 showing the customer satisfaction with Nirmal Bang securities Pvt. ltd.

satisfied

neither satisfie d
1% 5

dissatisfied

2% 5

6% 0

Interpretation: - Majority of people are satisfied with them as 60%

Page 75

Table No. 4.16 showing customer perception regarding Nirmal Bang securities pvt. Ltd.

Perception No. respondents

Good of 50

Average 33

Bad 17

Analysis :-

50 respondents are perception as good, 33

respondents are perception as Average, and 17 respondents are perception as bad,

Graph No.4.16 showing customer perception regarding Nirmal Bang securities pvt. Ltd.

Interpretation: - Except

17 people (17%) perceive positive

perception about Nirmal Bang Securities Pvt. Ltd..

Table No. 4.17 showing customers satisfied with firms current research (tips)

Satisfied/ dissatisfied No. respondents

Satisfied of 58

neither satisfied 30

Dissatisfied 12

Analysis :As per above table 58 respondents are satisfied, 30 respondents area little satisfied and 12 respondents are dissatisfied

Graph No. 4.17

showing customers satisfied with firms

current research (tips)

Interpretation: 58% of people are satisfied with Nirmal Bang Securities pvt. ltd. Research

Table No. 18

showing about customer go with Nirmal

Bang for this specific reason

s Specific reasons Good average Bad 45 35 20 30 47 23 Services brokerage manager's support 34 42 24 Transpare ncy 53 32 15

Analysis:As per above table no. respondents are mentioned in case Service Nirmal Bang good as 45, average as 35 and bad as 20 No. respondents are mentioned in case Brokerage of Nirmal Bang is good as 30, average as 47 and bad as 23 No. respondents are mentioned in case manager's support of Nirmal Bang is good as 34 , average as 42 and bad as 24 No. respondents are mentioned in case Transparency of Nirmal Bang is good as 53 , average as 32 and bad as 15.

Graph No.4.18 showing about customer go with Nirmal Bang for this specific reason

60 50 40 30 20 10 0 good average bad

*

Interpretation: In case of transparency and services Nirmal Bang Securities pvt. ltd. is considered good and average in case of brokerage and relationship manager's support.

Table No. 4.19 Evolution of stock exchanges in India

As on 31st December No. of Stock

194 196 6 7 1 7

197 1 8 159 9 283 8 181 2

1980

198 5 14

199 1 20

199 5 22 859 3 117 84 595 83

Exchanges No. of

9

Listed 112 120 5 3

Companies

2265

4344

6229

No. of Stock Issues of 150 211 Listed Companies Capital Rs.) (Source: Stock market of, 2009) of Listed (In Cr. 270 753 Companies 6 1

3697

6174

8967 3204 1

3973

9723

Analysis :As per above mentioned table rapidly developing from 1946 to 1995 No. of Stock Exchanges are 7 to 22, also No. of Listed Companies are increased from 1125 to 8593, No. of Stock Issues of Listed Companies is developed from 1506 to 11784 and Capital of Listed Companies (In Cr. Rs.) from 270 to 59583 in stock exchange in india

Graph No.4.19 shows Evolution of stock exchanges in India

7 00 00 6 00 00 5 00 00 4 00 00 3 00 00 2 00 00 1 00 00 0 194 6 19 71 1985 19 95 No. of Lis ted C panies om No. of S tock Is ues s of Lis C panies ted om C apital of L ted is C panies(In C om r. R .) s No. of S tock Ex chang es

Interpretation:a basis of above table shows rabidly developed of stock market in the years of 1985 as well as 1995

5.0

Summary

of

Finding,

Suggestion

and

Conclusion 5.1 Summary of Findings
40% people are known share ex-change in Bangalore

1.

city
2.

Majority of investors age group from 31 to 40 as 30%

Second majority of investors group from 41-50 as 28% 3. Brokerage chargers are not competitive
4.

Majority of investors make the investment decision on

expecting more returns 26%
5.

26% people prefer intraday trading, 42. % prefers delivery 58% of people are satisfied with Nirmal Bang Securities In case of transparency and services Nirmal Bang

and 32% do both type of trading.
6.

pvt. ltd. R
7.

Securities pvt. ltd. is considered good and average in case of brokerage and relationship manager's support. 8. 9. There not much relationship managers Lack of providing more training to new investors majority of people consider market uncertainty as a

10. More competition in broking firm
11.

big problem, around 19% people consider it as an opportunity and rest says it is manageable. 12. major investors are investing in equity share as 52 %
13.

Maximum people prefer to trading for 1 to 6 months No. respondents are mentioned in case manager's support

duration
14.

of Nirmal Bang is good as 34 , average as 42 and bad as 24

5.2 CONCLUSION

Most of the traders consider unsatisfactory services of broking firm as biggest problem in trading. Most of traders perceive Nirmal Bang Securities pvt. ltd. as a good broking firm. In case of transparency and services Nirmal Bang Securities pvt. ltd. Is

considered good and average in case, of brokerage and relationship manager's support. While compare to equity share market with commodity market, the commodity market is good. In derivative market, the call and put option is better for small investors while compare with future contract. -

5.3 SUGGESTIONS
Broking charges should revise to make them more

1.

competitive. 2. The brand image of Nirmsl Bang Pvt. Ltd. Is good in market but according to customer satisfaction the firm has to provide the better service.

3.

More relationship managers should be appointed to increase Relationship manager's support to the clients should be Facility to trade on commodity and BSE should be added. Nirmal Bang Securities pvt. Ltd. should conduct some kind

market share.
4.

improved.
5.

6.

of mock Classes for new Investors who even don’t know about share market. 7. They should proved proper guidance to their customer about demate.
8.

They should provide offers and facilities to their

customers to increase their attractiveness about demat. Nirmal Bang Securities pvt. ltd. Organize training Program

9.

for their existing clients once or twice in a year. More volatility in stock market. Hence long term investment The company should revise the advertising strategy to increase its be targeted. brand awareness. I suggest making advertisement on television so that maximum market can

10.

is better.
11.



doc_606349118.doc
 

Attachments

Back
Top