smifs

SMIFS Limited

NIFTY 15,763.05 -15.40 (-0.10%)

SENSEX 52,586.84 -66.23 (-0.13%)

Attention Investors

As stated in the new circular from NSE, additional margins shall be made applicable for all equity derivatives in phases starting from 14th September 2018    |   Attention Investors: 1. KYC: KYC is one-time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (Broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.   |   2. Prevent Unauthorized Transactions in your Demat Account : Update your Mobile Number and Email address with your Depository Participant. Receive alerts on your Registered Mobile and Email address for all debit and other important transactions in your Demat Account directly from CDSL/ NSDL on the same day.... issued in the interest of investors.   |   3. Prevent Unauthorized Transactions in your Broking Account : For Stock Broking Transaction 'Prevent unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day...Issued in the interest of Investors.   |   4. "Rights & Obligations of Stock Broker and Client”: Uniform Risk Disclosure Documents (for all segments / exchanges) and Guidance Note detailing the Do’s and Don’ts for trading on exchanges in the vernacular languages are available on NSE website at https://www.nseindia.com/membership/content/complinc_trading_mem.htm and can be downloaded.   |   5. Caution towards unsolicited messages: Please Refer Exchange Circulars: BSE Notice 20171117-18 dated 17-11-2017, BSE Notice 20180515-39 dated 15-05-2018, NSE Circular- 0208/2017 dated, 17-11-2017 NSE Circular: 0080/2018 dated 15-05-2018. Beware about unsolicited messages and refer the List of symbols in which messages received, appearing on Exchange Website : https://www.nseindia.com/ and https://www.bseindia.com/. Investors should be cautious on unsolicited emails and SMS advising to buy, sell or hold securities and trade only on the basis of informed decision. Investors are advised to invest after conducting appropriate analysis of respective companies and not to blindly follow unfounded rumours, tips etc. Further, you are also requested to share your knowledge or evidence of unethical behaviour, systemic wrongdoing or potential frauds through the anonymous portal facility provided on BSE & NSE website.   |   6. IPO: No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign the application form to authorize you bank to make payment in case of allotment. No worries for refund as the money remain in investor's account.   |   7. “SMIFS Limited as a Broker does not guarantee any return on investment or trading as the return on Investment and/or trading are subject to Market Risk”.   |   8. SCORES: Filing complaints on SCORES - Easy & quick | a. Register on SCORES Portal | b. Mandatory details for filing Complaints on SCORES - Name, PAN, Address, Mobile Number, Email ID | c. Benefits - Effective Communication and Speedy Redressal of the Grievances. 9. a. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020. | b. Update your mobile number & email Id with your Stock Broker/Depository Participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. | c. Pay 20% upfront margin of the transaction value to trade in cash market segment. | d. Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard. | e. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

About Us

Rahul Kayan
Mr. Rahul Kayan Director & CEO

36 years, is a Director & CEO of the Company. He holds a Bachelors Degree of Science in Finance & Marketing from Leonard N. Stern School of Business, New York University. He has worked with Merrill Lynch –New York. He has above 12 years of experience in Prime Brokerage, Equity Research, Risk Management and Marketing of Equity, Mutual Fund and Debt Linked Product

AshiwiniKumar
Mr. Ashiwini Kumar Tripathi Managing Director

51 years, is the Managing Director of the Company. He has PGDM Degree with Specialization in Finance and has more than 28 years of experience in Capital Markets. He has worked with Wealth Management Advisory Services Limited, a once SEBI Registered Portfolio Manager and has played an instrumental role in providing Portfolio Management Services to HNI’s and Corporates.

Sudipto Datta
Mr. Sudipto DattaDesignated Director & Compliance Officer

52 years, is the Designated Director & Compliance Officer of the Company. Sudipto is a Graduate in Economics, Post Graduate in Business Management and Post Graduate in Law, having 30 years of diverse experience. His extensive career spans across all facets of financial services specially all functions ranging from the field of Stock Broking & Depository Operations, Compliance, Legal, Corporate Strategy, HR & Talent Acquisition, Research & Investments. Sudipto is associated with the Group over 27 years and had been the backbone to play an instrumental role in formulating structured systems for the Group Operations, HR Policies, Regulatory Compliance and to hold the Legal Fort.

Shivaji Roy
Mr. Shivaji Roy President - Business Development

47 years, a Post Graduate in Business Management from Indian Institute of Planning & Management, joined the Group as President - Business Developmentin August 2017. Shivaji has 23 years of experience in Capital Market with core focus on various business operational functions and also in the field of Telecom & FMCG.Prior to joining the Group, Shivaji was associated with Achievers Equities as a Director and prior to Achievers, he was with Axis Securities, MF Global Sify Securities, ICIC Securities Ltd. Shivaji had also been with Airtel and Nestle India. Shivaji also oversees the Administrative, Human Resource, Risk Management related affairs of the Company along with other Business Operations and managing all associated risk. Shivaji is gifted with excellent operational and client management skills to operate collaboratively with his team members to achieve a common goal.

Monal Desai
Mr. Monal Desai Vice President Institutional – Sales

54 years, a B. Com (H) and MBA (Finance) Philadelphia College of Textiles & Science, USA, joined the Group as Vice President Institutional - Sales on July 2017. A stock market expert, having experience of more than 30 years in Financial Markets. Having seen multiple Bull & Bear market phases, Monal has also witnessed significant transformation of markets in these years and is handling Foreign & Local Institutional Clients over the years. Prior to joining the Group, Monal was associated with Cogencis Information Services, Sunidhi Securities, Prabhudas Lilladher, ICICI Securities Ltd. Monal has been instrumental in crafting a client-need focused solutions approach for our Institutional Business Clients and predominantly looks after the entire Institutional Trading Desk of the Company.

Saurabh Ginodia
Mr. Saurabh Ginodia Vice President - Institutional Equities

35 years, a certified Chartered Financial Analyst (CFA), MS (Finance) from ICFAI University joined the Group on June 2010 as a Senior Research Analyst and is currently holding the position of Vice President-Institutional Equities of Company. Earlier worked with Wealth Management Advisory Services Limited, a once SEBI Registered Portfolio Manager. Saurabh has 13 years of immense experience in the Capital Market with focus on Equity Research, Wealth Management & dealing with Domestic Mutual Funds, FII’s, HNI’s and Family Offices. He has deep understanding of Equity Markets & is sector agnostic, keeps a close track on the companies in different sectors, currently coordinating with the Institutional Research and Sales Teams of the Company in various aspects of setting up research processes, product strategy, developing talent of the team and dealing with various FII’s, Fund Managers & Analysts of various Mutual Fund House(s).

Mission Statement

Endeavour at Stewart & Mackertich is Powering your Wealth through products, Systems and services for successful Investment & Financial planning with focus on You

Registration Numbers: Single SEBI Registration No.: NSE (Cash) NSE (F&O) NSE (CD) BSE (Cash)

BSE (F&O) BSE (CD); MCX; ICEX; :INZ000220635; CDSL & NSDL SEBI Registration No.: IN-DP-414-2019; AMFI: ARN-3080;

PMS: INP000004623: CIN-U51109WB1993PLC060987

RESEARCH ANALYST SEBI REGN. NO.: INH300001474

Regd. Office Address: 4, Lee Road, Vaibhav, 5th Floor, Kolkata – 700 020

West Bengal, India; Tel. No.: (91 33) 6634 5400, (91 33) 4011 5400; FAX: (91 33) 2289 3401

For any Grievance mail to Email: investors@smifs.com; Customer Care Email: helpdesk@smifs.com

Copyright © 2017 SMIFS Limited

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