LETS CHECK WHO IS FASTER …

2. LETS CHECK WHO IS FASTER …

3. Questions to Compliance Officer • Can a Authorized person application for F&O market be given without the application of Cash Market as registered SB? • Is Stamp Duty Applicable on Proprietary Trades ?

4. Wait…. Are You Going to Follow these Steps!!! • Step 1: Call up a dear colleague of another broking firm. • Step 2: Log on to the internet • Step 3: Access respective SEBI/SEBI+BSE+NSE/ SEBI+BSE/ SEBI+ NSE/NSE/BSE websites • Step 4: Wait until the website opens • Step 5: Scramble through the search options or try finding the relevant links Result • Website Link Goes Down • Got The Answer Or Need To Refer To A Prior Circular • Spent So Much Time On One Query, Need Another Typical Working Day To Handle The Balance !!!!!!!!

5. OR

6. Lets TRY CRW… CLICK 1

7. CLICK 2 CLICK 3 Select Sub Module as Authorized Person CLICK 4 Refer to the latest Circular dated October 22, 2007 Answer to Your Query

8. Classification Further details on On using Search option the No of Circulars is reduced form >2500 to 13 Refer Website Link for Annexure (Submission of Documents to Exchange)

9. You Decide , Isn’t CRW A Better Choice ? • Website Link Does Not Go Down While Searching Relevant Circular* • Got The Answer Even If I Had To Refer To A Prior Circular • Don’t Need Another Typical Working Day To Handle Most Of The Queries!!!!!!!! • And be * Provided the Data Is Called from the Server

10. There is much more to CRW..

11. How are circulars selected for inclusion in compliance Reference Window • Compilation has been hand picked based on relevance and perceived importance • Circulars indicating policy decisions

12. How does Compliance Reference Window enhance my search refining capabilities? You Can Categorize Multiple Regulators • Categorization • Sorting • Word Phrase

13. Illustration on Word Search Query • Is Stamp Duty Applicable on Proprietary Trades ? How can CRW Resolve the Issues.. • Enter Stamp Duty in the Word Search

14. Illustration on Word Search Enter Key Word e.g. Stamp Duty Search reduces the Circular listing to 20 circulars across all regulators Your Query is Answered

15. SEBI Orders Search for Insider Trading cases Order filter available for with and w/o penalty You can also search the given regulation under Rules, Regulation, Bye laws window Gives the regulation under which the order is given Penalty specified for the case

16. LETSSEARCH FOR THE REGULATION OF THE SEBIODER (Reference to Previous Slide)

17. View of Rules Regulations and Byelaws Select Rules Regulations and Bye laws Tree View and filer view Select SEBI Regulator from Drop down for Insider Trading Regulations

18. Rule Regulations and Bye laws You can also have a word search Select Insider Trading Regulations 1992 You can view the Regulations Of Insider Trading- section 3 and 4 based on SEBI orders reference Select Directive No 3,3A,3B,4,4A

19. Navigate Compliance Calendar You can also have a word search Sort on frequency and listing based on frequency Reporting required to the exchange Deadline for reporting Click here to view circulars

20. A Little About Analyze N Control…… • Imparting professional expertise for over half a decade through wide range of services and management consulting to domestic and global clientele. • Our service offerings encompass Cash market, Derivatives, Depositories, Commodities, Portfolio Management and Primary Markets amongst others to help our clients achieve operational and processing efficiency alongwith risk management and ensuring compliance. • Niche proficiency in functional domain to scale value chain through meaningful process structure and Straight Through Processing. • Tailor made solutions in order to customize our offerings in line with the clients’ profile, expectation and competency. • Focus on providing services and output with meritocracy, pure professionalism and dedication so as to support our clients to evolve and grow competitively in the global scenario. • Facilitate organizations stay agile and respond better to changing market conditions by optimizing business processes ensuring faster results.

21. Services Offered - Process Vertical • Setting up of Broking Houses (Institutional/Retail) in Segments - Cash/ Derivatives/ Commodities, Depository Business, PMS, Margin Trading System - implementing effective change rather than just perceiving plans as written documents. • Process Study and Re-engineering of processes – Board Room thru shop floor approach in pursuit of excellence and discovering the power of change. • Risk Management Systems • Compliance Update and Risk Review - Identifying areas of unknown risk for upgrading the current management systems. • Standardized Operating Procedures and Manuals • Workflow management for Research and Investment Banking Services • CRM Implementation - Cover every stage of customer lifecycle from acquisition to servicing.

22. Services Offered - Product Vertical • Power Updates - Fortnightly compilation of critical circulars issued by the Exchanges/ SEBI/ RBI/ Depositories in a summary form alongwith perceived implications. • Compliance Reference Window - A compilation of important circulars 1992 onwards and regulations duly modularized with implication and hyper linking of circulars for Cash and Derivatives Segment. • Learning N Beyond Series including in house corporate training - A training program targeting new recruits and middle management to help them move up the learning curve and value chain

23. For any further Queries on Compliance Reference Window, please contact us at : • anc@analyzencontrol.com • Call us at -022 22702773 • Call at 9833407199/9820041642