SMIFS Limited

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    |    Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020.    |    Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.    |    Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month. .......... Issued in the interest of Investors"    |    All clients are requested to record their email id for electronic despatch of contract and statement. In case of electronic contract note, the link/login for the same is available on website for download.    |    Pay 20% upfront margin of the transaction value to trade in the cash market segment.    |    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.

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About Us

Key ManagerialPersonnel
Rahul Kayan
Mr. Rahul Kayan Director & CEO

Shri Rahul Kayan (38 years), is the Promoter, Director & CEO of SMIFS Limited. Shri Rahul holds a Bachelor’s Degree (BSc) in Finance & Marketing from Leonard N. Stern School of Business, New York University. He worked with Merrill Lynch – New York, before he took over the reins of the Company from his father Shri Ajay Kayan in 2009, to lead SMIFS Limited from the front into a Leading Full Scale Stock Broking House. Shri Rahul over the past 14 years has successfully transformed SMIFS Limited in one of the leading Stock Broking Entity operating from Eastern India, by successfully professionalizing the Retail Broking, Institutional Broking, Research, Fund Management and Distribution Desks.

AshiwiniKumar
Shri Ashiwini Kumar Tripathi Managing Director

Shri Ashiwini Kumar Tripathi (53 years), is the Managing Director of SMIFS Limited. Shri Tripathi is a Post Graduate in Management with specialization in in Finance and is associated with the Group since 1991 with vast expertise in the field of Accounts, Finance, Fund Management, Structured Products, Investment Banking and Merchant Banking. Shri Tripathi is steering the growth of the Company by leading the Business of SMIFS Limited through Retail, Institutional, Private Wealth, Portfolio Management, Financial Product Distribution Desks and array of multi flagellated investment ideas and opportunities.

Sudipto Datta
Shri Sudipto DattaDesignated Director, CFO & Compliance Officer

Shri Sudipto Datta (55 years), is the Designated Director, Chief Financial Officer & Compliance Officer of SMIFS Limited. Shri Sudipto is a Honours Graduate in Economics, Post Graduate in Business Management and Post Graduate in Law and associated with the Group since 1994, having 33 years of diverse experience in Stock Broking Business and Corporate Strategy. His extensive career spans across all facets of financial services ranging from the field of Stock Broking Operations, Depository Operations, PMS Operations, Regulatory Compliance, Secretarial Compliance, IT Systems Process & Compliance, Accounts & Finance, Legal, HR & Talent Acquisition, Research & Investments. Sudipto has played an instrumental role in structuring Operational and Compliance processes from the nascent stage of the Dictates of the Market Regulator, Stock Exchange and Depositories and have built up an efficient Team by formulating effective HR Policies, in the era of dynamic and effective Regulatory Compliance.

Ms. Kathakali De
Ms. Kathakali De Company Secretary

A B.Com (Hons.) Graduate from Goenka College of Commerce and Business Administration under Calcutta University, Master of Business Laws from National Law School of India University, Bangalore and a Member of the Institute of Company Secretaries of India.

Kathakali has 5 years of experience in the field of Compliance and Corporate Governance. She has been associated with the Group since 2021, shouldering the responsibilities with respect to Secretarial Compliances, Membership Compliances of Stock Exchanges and other Regulatory Bodies, including inspections, audits and other legal matters.

Shivaji Roy
Shri Shivaji Roy Executive Director (Retail Sales & Business Development)

Shivaji Roy, aged 50 +, holds a Post Graduate Degree in Planning & Business Management. He joined the Group in August 2017 and brings with him an extensive 27-years enriched professional background across various sectors ranging from FMCG to Telecom. He is associated with Capital Market, since 2003 with core focus on Sales & Marketing, Business Strategy along with overviewing various Operational Functions.

Before joining SMIFS Group, Shivaji held Senior Position at Axis Securities (Mumbai), ICICI Securities Ltd (Mumbai), Phillip Capital (Mumbai), Airtel, and Nestle India.

In his current role, Shivaji oversees the Retail, HNI & NRI Sales function (PAN India) across Equities & Insurance Business & oversees Trading Strategies, Risk Management, Revenue & Profit Maximization, alongside managing all other business operations and associated risks. Known for his exceptional operational and client management skills, Shivaji excels in working collaboratively with his team to achieve shared goals.

Awanish Chandra
Shri Awanish Chandra Executive Director (Institutional Equities, Research, PMS, IB & Advisory)

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
Shri Sharad Avasthi Vice President (PCG)

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.

Kallol Saha
Shri 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.

Ajay Agrawala
Shri Ajay Agrawala Head (Accounts & Taxation)

44 years, a Chartered Accountant from Institute of Chartered Accountant, joined the Group as Head of Accounts & Finance in July 2022. He has 17 years of experience in the field of Finance, Accounts & Taxation (Direct & Indirect). He is presently Handling Accounts, Taxation and Finance of the Company.

CMA Amit Roy
Shri Amit Roy Head (Risk & Compliance)

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.

Mission Statement

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

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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 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. “Stewart & Mackertich Wealth Management 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. |

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

Compliance Officer Telephone Number: 033-4011 5414, Email: compliance@smifs.com

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Welcome to Investor Risk Reduction Access (IRRA) platform.

Kindly note: -
  • The IRRA platform is currently not enabled for any Trading Member.
  • If you are a Trading Member impacted with any technical glitch and wish to submit a request for enablement of the IRRA platform, please write to us on irra@bsetech.in for further processing.
  • If you are an investor who is interested in IRRA, please get in touch with your trading member.
  • For general queries and feedback related to IRRA Platform, please write to us on support@irra.live or you may contact us on number 022-2272 8080.
  • A Trading Member is not required to register for the IRRA platform. Trading Member only needs to be submit a request for enablement of the IRRA platform.
  • Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from NSDL on the same day......................issued in the interest of investors.
  • 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.
  • No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.

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