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Capital Market

Capital Market

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Capital Market

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  1. Capital Market It is a common platform where attempts are being made to bring together the 2 basic participants : People who need Money & People who have Money

  2. Types of Markets Primary Market & Secondary Market

  3. Primary Market It is the market from where : New Companies or Business Enterprises raise Fresh Capital by Issuing New Shares. SOEs undergoing privatization or expansion seek Capital from the Public. Any other agencies like Investment Trusts etc., raise capital Price/Price Range is always decided by the Issuer

  4. Secondary Market It is the market where the transfer of shares takes place between an existing shareholder and a potential investor. Here, no fresh shares are issued, but the transfer of shares which are already issued is done. Price is decided between the buyer/seller depending on future prospects of the company.

  5. STOCK EXCHANGE Is a common forum for Buyers and Sellers to meet and negotiate before doing a trade, viz.,

  6. How do Stock Exchanges Function ? Stock Exchanges function through its Broker Members. Anybody can buy or sell shares in a Stock Exchange only through its Members. The issuer has to list its shares in order to enable the public to trade in it.

  7. NSE stands as the largest stock exchange in India and the third largest exchange in the world, in terms of volume after NASDAQ and the New York Stock Exchange NYSE. In India we have 23 Stock Exchanges of which NSE is the only National Exchange, all others are Regional Exchanges NSE is India’s one and only demutualised Exchange. Demutualisation refers to the legal structure of an exchange whereby the ownership, the management and the trading rights at the exchange are segregated from one another.

  8. Where do we stand ? is a Corporate Member of the National Stock Exchange of India Ltd. deal in the Cash Segment & Currency Derivative Segment is Depository Participant of CDSL

  9. National Stock Exchange (NSE) / Central Depository Services Ltd (CDSL) StockBroker/DepositoryParticipant Customer

  10. Customers Investors Speculators

  11. INVESTORS Any individual / institution who invest in securities with a view to retain them and earn profit. They study the shares and the markets. They retain the security for a long period of time

  12. SPECULATORS Is any person who trades without possessing any security, does not invest in security. They trade intra day only expecting profits from the usual market fluctuations. Above 70% of trades in India happens this way.

  13. Operations Trading – Buy or Sell Online Settlement–Transfer of Funds/Securities DepositoryParticipant– Holding shares in electronic form

  14. Trading – Day Squaring Buying and selling of the same scrip in the same quantity on the same day. No net position will be left at the end of the day.

  15. Trading - Delivery Purchase made by a client against which there is no corresponding sale. & Sale made by a client against which there is no corresponding purchase.

  16. BROKERAGE A fee charged by broking firm to facilitate transactions between buyers and sellers. The Main source of income of Broker The brokerage fee is charged while purchase and sale on the transaction. Brokerage fees will usually be based on either percentage of the transaction or a flat fee. They can also be a combination of the two.

  17. We Provide Trading through Terminals Customer tele calls/comes to our office where we have a live trading terminal and requests us to place the order on behalf of him E trading through our web site Customer logs into our website and does the trading himself Demat Account Customer can keep the shares in electronic form

  18. The 3 in one Account Savings Bank account – For Fund Transfer Trading Account – for Buy & Sell Shares ( With UAE Exchange) Demat Account – for keeping shares( With UAE Exchange) Payout Amount transferred to Bank account Transfer money as Margin/Payin for buying Shares Selling shares in DP account Bought shares are holding in Electronic Form

  19. Demat Plus Opening Procedure Collect cheque/DD in favor of UAE Exchange & Finance Ltd from the customer Deposit Cheque in any Bank at your location (Bank List appended below) Update application details in FS Login->NSE BackOffice->Request/Authorization->Client Request Send the application form and documents to AO NSE AO NSE will intimate the status of application to your end through mail BANK ACCOUNTS – UAE Exchange Finance Ltd State Bank of India, MG Road, Cochin A/C No- 30537605866 HDFC Bank, Ravipuram, MG Road, Cochin A/C No- 00202340000023 AXIS Bank, Rajaji Road, Cochin A/C No- 081010200011945 Dhana Lakshmi Bank, MG Road, Cochin A/C No- 0145053000001033 ING Vysya Bank, MG Road, Cochin A/C No- 501011015229 IDBI Bank, Panambilli Nagar, Cochin A/C No- 084103000002776 Federal Bank, MG Road, Cochin A/C No- 12380200017541 Payin / margin should be deposited only in above mentioned banks and details should be intimated via email

  20. Advantage of UAE Exchange Internet Trading Free Share Trading account Free Demat account Free Brokerage Zero Minimum Deposit Free Market Information and Analysis Trade anywhere from the world hassle free (Only requirement of Computer & Internet) Free SMS Updates (Live Script Quote, Ledger Balance) Free Portfolio Analysis Web based application - No Software Installation • For Trading in stock exchange customer require 3 types of accounts – • Demat Account to hold stocks which will be provided by UAE Exchange • Trading Account to take your order and communicate with stock exchange to trading which will be provided by UAE Exchange • Bank Account to transfer fund, for which UAE Exchange has developed interface with HDFC Bank, Axis Bank and Federal bank

  21. KYC Documents 2 Photos (Affix in application form and sign across) ID Proof - PAN Card (Mandatory) Address Proof - Passport / Driving Licence / Voter’s ID/ Telephone / Electricity Bill / Latest Bank Statement with Seal / Ration card. Bank Proof - Personalized Bank Cheque copy / Non personalized Cheque copy accompanied with bank passbook or bank Statement / Latest Statement with Bank Seal / Banker Verification letter Forward two copies each of KYC Proofs must be clear and self attested by customer and Declaration Signed staff

  22. Application Form – Equity & Demat account • Filling assistance at • GUIDANCE • FS Site  CC  Ready Reconner  Xtrade

  23. DEMO on NOW Web platform

  24. Login to and click on Login to Trade and click on NOW image. It goes to where following screen will appear.

  25. Enter Member ID as “06558” which is UAE Exchange & Finance Ltd Member ID. User ID will be “your client code – 06558”. For Eg, if your ‘client code’ is S1001 then your User ID will be “S1001-06558”. Then click on Sign In.

  26. Please confirm your Secure Access Image & enter the password. Then click on Login.

  27. As a part of 2 Factor Authentication(2FA), you need to answer two questions of which you answered while first login(Password & 2FA answers were case sensitive). Then click on Submit.

  28. On successful login, you will get last login date & time. Click on OK button.

  29. Following is the screenshot of NOW home page. Click on market Watch for lite version which has to be refreshed for rate updation, which is good for low bandwidth and JAVA not required. Select NOW Xpressfor live streaming , where live rates will be updated online.

  30. By clicking on market Watch,following screen will appear.

  31. By clicking on NOW Xpress,following screen will appear.

  32. Setting up market watch New market watch can be set by clicking SetMW Create MW Enter market Watch Name Click Create Button ____________________________________________________________________________________ Scrips can be add to market watch by clicking Add Scrip Select Exchange as NSE Settl.Type as EQ for Normal Segment and BE for Trade to Trade Segment Enter Company Name in the Search Text Column. Then click on GO button Select Company Name from the left column and Add to the right column Then click on Addto Market Watch, the scrip will be added to the market watch

  33. Setting up market watch

  34. Setting up market watch

  35. Setting up market watch

  36. Setting up market watch

  37. Setting up market watch

  38. Pay In or Fund Transfer You can transfer fund online from Bank A/c to Trading Account by clicking on Pay In. Select Bank , enter Amount & click on Submit. Itwill direct you net banking page.

  39. Order Entry BUY ORDER If you wish to buy any scrip then go to that scrip on the market watch Press “F1’ or RIGHT MOUSE CLICK and select BUY ORDER to buy, input desired quantity & price. Select Product Code CNC* or MIS*. Then click on Submit. It will ask for Transaction Password. Enter your Transaction Password, click on Submit and Confirm. You have to enter Transaction Password for first order of your each login. SELL ORDER If you wish to sell any scrip then go to that scrip on the market watch Press “F2’ or RIGHT MOUSE CLICK and select SELL ORDER to Sell, input desired quantity & price. Select Product Code CNC or MIS. Then click on Submit. It will ask for Transaction Password. Enter your Transaction Password, click on Submit and Confirm. You have to enter Transaction Password for first order of your each login. ……………………………………………………………………………………………………………………………………….. * CNC – Cash and Carry –Use this product code if you are placing order for delivery transactions. This product requires 100% margin. * MIS– Margin Intraday Square Off – Use this product code if you are placing order for intraday transactions. This product requires only 14% margin. All open positions in this product will be squared off automatically by system at 3.20 PM. Disclaimer : Company has absolute right to change margin criteria & auto square off time without any prior notice or intimation.

  40. Order Entry

  41. Order Entry

  42. Order Book In OrderBook , you can view all orders (open, rejected & executed). OrderBook can be invoked by pressing  ”F3”. You can modify or cancel the order through this window. You can also filter your orders as per different available criteria‘s.

  43. Click on Modify Order button for modify quantity or price of the pending order. Click on Cancel Order button for cancelling the pending order. Order Book

  44. Trade Book “F8” will allow you to view all executed orders during the day. This menu can also used for position conversion.(MIS to CNC or CNC to MIS). You can also filter your trades as per different available criteria‘s.

  45. Trade Book Click on Position Conversion button for converting your trades from MIS to CNC and vice versa.

  46. Limits/RMS SubLimits In this menu, you can view all your Margin/Exposure details. Amount shown in ‘Cash Margin Available’ includes your account balance +14% of market value of your security balance. You can click on Check Details button for details.

  47. Settings You can change your market watch column, background color, font style, size.. etc.

  48. AMO (After Market Orders) Through this window, you can place orders during non trading hours & such orders will be forwarded to the exchange on next trading day subject to your margin availability.

  49. Holdings You can view your stock balance through Holdings(F9).

  50. Logout Kindly use this menu to exit/close the NOW platform.