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SMIFS Limited

NIFTY 17,026.45 -509.80 (-2.91%)

SENSEX 57,107.15 -1687.94 (-2.87%)

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.     World Investor Week 2021 | November 22-28, 2021 | Investing with Knowledge – Way to Financial Independence

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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

48 years, holds a Post Graduate in Business Management from Indian Institute of Planning & Management, joined the Group as President - Business Development in August 2017. He 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, he was associated with Achievers Equities as a Director and prior to Achievers, he was with Axis Securities, MF Global Sify Securities, ICIC Securities Ltd. and had also been with Airtel and Nestle India. He also oversees the Administrative, Human Resource, Risk Management related affairs of the Company along with other Business Operations and managing all associated risks. Shivaji is gifted with excellent operational and client management skills to operate collaboratively with his team members to achieve a common goal.

Awanish Chandra
Awanish Chandra Head – Institutional Equities

41 years, a B. Tech. Graduate from IIT Kharagpur and an MBA (Finance) from NMIMS University, joined the Group in July 2021. Awanish has rich professional experience of over 14 years in Equity Research of Corporates across different sectors, Fund Management, Portfolio Management Services, Research Publication, Digital Marketing, Techno-Commercial Operations in Automobiles, Auto & Auto Ancillary and Textiles. Awanish has worked with Centrum Broking, Securities Investment Management (SiMPL-PMS), National Stock Exchange of India Limited and Tata Motors. Prior to joining SMIFS, Awanish was associated with East India Securities as a Head of Institutional Equities (Research & Sales). Awanish is actively involved in increasing visibility of Brand - SMIFS in Public Domain.

Sharad Avasthi
Sharad Avasthi Head - Portfolio Management Services

43 years, a Bachelor of Commerce and Equity Research Professional since 2005 whose experience spans over 2 decades spanning across in the field of Capital Market Advisory, Equity Research and Mutual Fund Investments, joined the Group in July 2021 and brings to the table an unbiased approach and/or a holistic view on financial markets and/or various asset classes. In his erstwhile role, Sharad was the Head of Institutional Equity Research at SPA Securities for 10 years with coverage on sectors like Cement, Sugar, Automobile, Information Technology, Pharmaceuticals, BFSI, Chemicals, Infrastructure, Fertilisers, Paints, Logistics etc. Sharad had been a regular face on Business channels like CNBC Awaaz, Zee Business and NDTV Profit. He was also a visiting faculty at NISM, Patalganga.

CA Dhiraj Mehra
CA Dhiraj Mehra Chief Financial Officer

45 years, a Commerce Graduate in Accounts and Taxation Honors from Calcutta University and Chartered Accountant (ICAI), joined the Group as Vice President - Corporate Accounts Head in May 2021. FCA Dhiraj Mehra has 13 years of experience in Statutory Audit, Tax Audit, Bank Audit, Risk based Internal Audit, Finalization of Accounts, Fraud Investigation, Forensic Audit, Information System Audit and Handling Direct Tax and Indirect Tax appeals etc. Prior to joining the group, Dhiraj was a practicing Chartered Accountant and managed accounting, audit and compliance related assignments for the clients based out in India as well abroad.

Kallol Saha
Kallol Saha Chief Technology Officer

55 years, a B.Tech in Radio Physics and Electronics (Ranked First with First Class) from University of Calcutta and Master of Engineering in Electronics and Telecommunications from Jadavpur University, joined the Group joined the group in June' 2021. An Senior IT Professional with almost 27 years of leadership and technical experience in developing, deploying and managing technology-driven solutions. Prior to joining this group, Kallol has worked frontline corporates viz. Philips, Airtel and Aircel. Kallol has focused himself on strong compliance and service delivery through automation and innovation and transforming the Company into a modern technology driven Organization for achieving enhanced business objectives.

CMA Amit Roy
CMA Amit Roy Vice President-Operations

49 years, a Commerce Graduate from University of Burdwan and a Member of “Institute of Cost Accountants of India” is associated with the Group since 2006. Shri Amit is presently Handling Stock Broking and Portfolio Management Operations of the Company. Shri Roy has over 20 years of rich Experience in implementing the Policies and Procedures laid by the Stock Exchanges and Market Regulator for the compliant functioning of the Company.

Ekta Sheth
Ekta Sheth Company Secretary & Associate Compliance Officer

36 years, a Graduate in Commerce from University of Calcutta and a Member of “Institute of Company Secretaries of India” is associated with the Group since 2008. Ekta is having 13 years of experience in Stock Broking Operations and Compliance, Portfolio Management Operations, Secretarial and Membership Compliance of Stock Exchange. Ekta has contributed immensely in formulating the Policies and Procedures of the Company and ensuring Regulatory Compliance.

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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