CHAPTER-1

INTRODUCTION OF ORGANISATION

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 1. ABOUT THE COMPANY

Adroit Financial Services Pvt. Ltd. (Adroit) is one of India's leading financial market services
company, providing a bouquet of capital market services including securities broking,
advisory, depository, equity research, derivative, commodity trading, currency futures and
IPO distribution. We offer the aforementioned services via our on-line and off-line
distribution channels. Our strong base of partnered business associates, arbitrageurs, and
online trading mechanism ensures premium quality service to our clients through various
branches spread across India.
Founded in 1994 by Mr. Ajay Kumar Gupta, the group focuses on staying relevant within an
industry that is constantly evolving. Under the guidance of its founder, the group rapidly
expanded its footprints across 250 locations in India with almost 1000 professionals serving
more than 50,000 clients, including HNIs, institutions, corporations, individuals, and
families.
The group's philosophy is entirely client centric, with a clear focus on providing long-term
value addition to its clients. We strongly believe in maintaining highest standards of
excellence, ethics, and professionalism along with research-based value investing and
implementation of cutting-edge technology. Adroit was among the top 10 volume drivers in
BSE cash segment in the year 2008-2009.
We currently hold membership of National Stock Exchange of India Ltd. (NSE), Bombay
Stock Exchange of India Ltd. (BSE), National Commodities and Derivatives Exchange Ltd.
(NCDEX), Multi Commodity Exchange of India Ltd. (MCX), NSE-SX, MCX-SX, National
Securities Depository Ltd. (NSDL), and Central Depository Services Ltd.

2. MANAGEMENT

2.1 Mr. Ajay Kumar Gupta founded Adroit Financial Services Pvt. Ltd. in 1994.His vision
was to create an independent stock broking house that offers solutions to its clients coupled
with unmatched customer support to achieve a high-level of customer satisfaction. He is
actively involved in managing the firm and keeps the focus firmly on taking the company
towards innovation and leadership excellence across its core businesses.

His extensive experience and diverse talent led Adroit to spread its footprints across India.
Mr. Gupta successfully established new standards of derivative and arbitrage business as well
as growth and development of the proprietary and asset management services in India. Under
his leadership, Adroit not only navigated admirably through the dotcom bust and one of the
worst stock market crashes but also grew from strength to strength. Often described as
ebullient, focused, passionate, sincere, hardworking and dynamic, he has infused Adroit with
his own brand of energetic leadership, vision and spirit. His keen business acumen and result
oriented approach has made him excel in executing challenging tasks. With an illustrious

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career spanning across 26 years, he holds an esteemed position amongst his other capital
market peers.

2.2 Mr. Atul Kumar Gupta is the Director of the Adroit Financial Services Pvt. Ltd. Backed
by over 24-years of experience; Mr. Gupta is a well-known name in the Indian financial
industry. He has a natural flair for nurturing and cultivating the culture of innovation and his
out of the box thinking helps him to pick the opportunities that are not visible to others.
Mr. Gupta is involved in taking strategic decisions and managing risks. He has also
successfully helped the company to wade through the turbulent times in the financial markets.
He has led several successful initiatives for the company in the past. Given his keen business
acumen, Mr. Gupta has been solely responsible for scaling the derivatives business at the
company.
An able and proficient multi-tasker with an eye for perfection, Mr. Gupta has not only lived
up to the expectations of his team as a leader but has also created high standards for everyone
at Adroit.

3. PRODUCT & SERVICES:

3.1 Equity Derivatives

Adroit is the member of NSE and BSE in Capital Market & Derivative Segment providing
their clients best-in-class service, whose function is beyond the simple execution of buying &
selling. Our deep understanding of the business and ability to provide clients with
personalized solutions drives our success. Our wide range of research reports with in-depth
market analysis undertaken by expert professionals helps to provide suitable trading solutions
and long-term value to our customers.
Our team provides ample advice and support to our clients to help them in informed
investment management. Our team identifies clients’ investment requirements, recognizes
suitable relevant investment opportunities, keeps clients informed of various business and
market developments, maintains a constant flow of information with our clients and transacts
buy and sell orders effectively & professionally.

3.2 Commodity Trading:

Adroit is a reputed name in the field of commodity trading. It is a member of both the leading
commodity exchanges of India: MCX and NCDEX.
Adroit helps both retail & corporate investors to expand their range and relish the paybacks
of commodity trading.

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 We strive for excellence and our sole aim is to satisfy and fulfill the needs of our customers.
As a trade enabler, we offer single window clearance for quick order execution. Adroit also
offers several customized products to help the clients make smart trading decisions.
At Adroit, we believe in our research abilities, based on technical and fundamental study of
all major commodities, and clients can rely on us to get a clear picture of the market.

We currently facilitate trading of following products:

MCX

 Bullion : Gold, Gold Guinea, Gold HNI, Gold M, i-gold, Silver, Silver HNI, Silver M,
Platinum
 Oil & Oil Seeds : Castor Oil, Castor Seeds, Coconut Cake, Coconut Oil, Cotton Seed, Crude
Palm Oil, Groundnut Oil, Kapasia Khalli, Mustard Oil, Mustard Seed (Jaipur), Mustard Seed
(Sirsa), RBD Palmolein, Refined Soy Oil, Refined Sunflower Oil, Rice Bran DOC, Rice Bran
Refined Oil, Sesame Seed, Soymeal, Soy Bean, Soy Seeds
 Spices : Cardamom, Coriander, Jeera, Pepper, Red Chilli, Turmeric
 Metal : Aluminium, Copper, Lead, Nickel, Sponge Iron, Steel Long (Bhavnagar), Steel Long
(Govindgarh), Steel Flat, Tin, Zinc
 Fiber : Cotton L Staple, Cotton M Staple, Cotton S Staple, Cotton Yarn, Kapas, Raw Jute
 Pulses: Chana, Masur, Yellow Peas
 Cereals : Maize
 Energy : ATF, Brent Crude Oil, Crude Oil, Furnace Oil, Natural Gas, M. E. Sour Crude Oil
 Plantations : Arecanut Jahaji, Cashew Kernel, Coffee (Robusta), Red Arecanut Raashi,
Rubber
 Petrochemicals : HDPE, Polypropylene(PP), PVC
 Weather : Carbon Credit, Carbon Credits – CER
 Others : Guargum, Guar Seed, Gurchaku, Mentha Oil, Potato (Agra), Potato (Tarkeshwar),
Sugar M-30, Sugar S-30

NCDEX

 Agro Products : Barley, Cashew, Castor Seed, Chana, Chilli, Coffee-Arabica, Coffee-Robusta
Cherry AB, Cotton Seed Oilcake, Crude Palm Oil, Coriander, Expeller Mustard Oil,
Groundnut (in shell), Groundnut Expeller Oil, Guar Gum, Guar Seeds, Gur, Indian Parboiled
Rice, Indian Pusa Basmati Rice, Indian Raw Rice, Indian Traditional Basmati Rice, Indian 28.5
mm Cotton, Indian 31 mm Cotton, Jeera, Jute Sacking Bags, Masoor Grain Bold, Medium
Staple Cotton, Mentha Oil, Mulberry Green Cocoons, Mulberry Raw Silk, Rapeseed - Mustard
Seed, Pepper, Potato, Raw Jute, Rapeseed - Mustard Seed Oilcake, RBD Palmolein, Refined
Soy Oil, Rubber, Sesame Seeds, Shankar Kapas, Soy Bean, Sugar, Tur, Turmeric, Urad Desi,
V -797 Kapas, Wheat, Yellow Peas, Yellow Red Maize, Yellow Soybean Meal
 Precious Metals : Gold, Gold (100 gms), Silver, Silver (5kg)
 Base Metals : Electrolytic Copper Cathode, Aluminium Ingot, Nickel Cathode, Zinc Ingot
 Ferrous Metals : Mild Steel Ingots, Sponge Iron
 Energy Products : Brent Crude Oil, Furnace Oil, Light Sweet Crude Oil, Thermal Coal
 Polymers : Linear Low Density Polyethylene, Polypropylene, Polyvinyl Chloride
 Carbon Credits

3.3 Mutual Fund and IPO’S

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 Mutual Funds and Initial Public Offerings (IPOs)offer an opportunity to invest in a
diversified, professionally managed basket of securities at a relatively low cost. They are an
excellent option for clients who are looking for a diversified investment portfolio offering
liquidity and transparency.
Adroit provides comprehensive transaction support to its clients for undertaking investments
in the primary markets via mutual funds & IPOs.
We, at Adroit offer personalized services for investments (including mutual funds of all
types: Equity funds, Growth and Value Funds, Large- Cap and Small-Cap Funds, Bond Fund,
Foreign Stocks Funds, Money Market Funds, Sector Funds & Asset Allocation Funds) &
IPOs.

3.4 Depositary Services:

Adroit is a Depository Participant (DP) of National Securities Depository Ltd. (NSDL) and
Central Depository Services Limited (CDSL).
Depository Services offered by Adroit presents a suitable and cost-effective way to manage
securities (shares, bonds, etc.) without worrying about handling any documents physically.
We take care of all your depository requirements like,

 Dematerialization
 Rematerialisation
 Shares relocation
 Pledging of shares
 Lending

With over 30,000 accounts in its DP division, Adroit is a leading player in the Demat
business. The company offers Demat services via all of its branches in India.

4. Portfolio Management Services:

4.1 WHAT IS PMS?

Portfolio Management Services (PMS) is an investment portfolio in stocks, fixed income,

debt, cash, structured products and other individual securities, managed by a professional
money manager that can potentially be tailored to meet specific investment objectives. When
one invests in PMS, investor owns individual securities. One has the freedom and flexibility
to tailor the portfolio to address personal preferences and financial goals. Although portfolio
managers may oversee hundreds of portfolios, individual account may be unique.

4.2 WHY PMS?

 Dedicated Portfolio Composition: Client’s portfolio is managed individually as per

investment goals.
 Monitoring/ Swift decision making: There is no need for investor to follow the market
fluctuations on continuous basis.
 Flexibility: Complete flexibility to Switch between equity or debt or liquid funds.
 Control & Transparency: Access to back office gives absolute information on the portfolio
and transactions.

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 Knowledge Sharing: Better interaction with fund management team provides regular
updates on the changing dynamics of the equity markets.
 Ownership: All transactions done in the client’s demat account so ownership remains with
client.

4.3 WHY ADROIT PMS?

 In-depth primary and secondary research including management meetings.

 Portfolios to suit your risk appetite and investment goals
 Highest levels of experience and expertise.
 Stock selection based on ROE, valuations, cash reserves & management pedigree
 24 *7 web access to the portfolio to maintain transparency