Impact of union budget 2010 on Financial Market.

COMPANY PROFILE

BACKGROUND

Anand Rathi Founded Anand Rathi Financial Services Ltd. Mr. Rathi served as President

of BSE. Mr. Rathi served several Senior Management positions with one of India's

largest industrial groups. He serves as Chairman of the Board of Anand Rathi Financial

Services Ltd. He served as Group Chairman of Anand Rathi Financial Services Ltd. He

has been an Independent Director of Zandu Pharmaceutical Works Ltd.(also known as

Zandu Realty Limited.)., since December 2008. He is a Chartered Accountant.

ANAND RATHI SECURITIES PVT LTD.

Anand Rathi (AR) is a leading full service securities firm providing the entire gamut of

financial services. The firm, founded in 1994 by Mr. Anand Rathi, today has a pan India

presence as well as an international presence through offices in Dubai and Bangkok. AR

provides a breadth of financial and advisory services including wealth

management, investment banking, corporate advisory, brokerage & distribution of

equities, commodities, mutual funds and insurance, structured products - all of which are

supported by powerful research teams. The entire firm activities are divided across

distinct client groups: Individuals, Private Clients, Corporate and Institutions and was

recently ranked by Asia Money 2006 poll amongst South Asia's top 5 wealth managers

for the ultra-rich. In year 2007 Citigroup Venture Capital International joined the group

as a financial partner.

VISION:

Providing integrated financial care driven by the relationship of

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Impact of union budget 2010 on Financial Market.

trust and confidence.

MISSION:

To be India's first Multinational providing complete financial

services solution across the globe

PHILOSOPHY:

AnandRathi tries and understands the financial needs; to offer personal advice and expert

analysis that one one needs for assets to go Xtra mile. The ability to think far ahead and

formulate long-term strategy coupled with long hours of practice and research are the key

drivers which make wealth work harder for you. The company believes that the key to

build wealth lies in allocating assets across various markets, financial instruments and

industry sectors. Keeping this in mind it leverages its expertise in scientific asset

allocation, to help you maximize returns and minimize risks.

SLOGAN:

“Behind every successful Investor”

The firm's philosophy is entirely client centric, with a clear focus on providing

long term value addition to clients, while maintaining the highest standards of excellence,

ethics and professionalism.

PRODUCT AND SERVICES:

  Wealth Management.

• Equities

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Impact of union budget 2010 on Financial Market.

– Stocks, PMS, Derivatives, Mutual Funds

• Fixed Income

– Bonds, Mutual Funds

• Commodities & Precious Metals

• Life & General Insurance

• Real Estate Private Equity Fund

• Currencies

• Structured Products & Capital-Guaranteed Notes

•Alternative & Non-correlated investments

  Investment Banking and Corporate Finance.

• Equity Capital Market

– IPO/Rights/Secondary issues

– Delisting & Open Offers

– Block Deals & Private Equity

– Management Buy-outs

• Advisory

– Business Sale/Disposal

– M&A / JVs / Strategic alliances

– Valuations

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Impact of union budget 2010 on Financial Market.

• Debt Advisory

– Rupee & Foreign Currency

– Debt Raising / Negotiation

– Debt Restructuring

– Creditor Settlement / OTS

  Distribution and Brokerage:

• Equities

• Derivatives

• Commodities

• IPO’s

• Mutual Funds

• Life & Non-Life Insurance

• Depository Services

• Bonds

• Value-add services

– backed by independent research teams

– real-time support to clients

AREA OF OPERATION

CLIENTS

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Impact of union budget 2010 on Financial Market.

Industrial groups:

Birla’s - Birla Sun life, Grasim, Hindalco, Indal, Indian Rayon, Indo Gulf,

Transworks;Vedanta- Balco, Hindustan Zinc, Sterlite, Vedanta; Tata’s- Tata Investments,

TISCO, Tata Motors, Trent, VSNL

Multinationals:

Bayer, Clariant, Color Chem, Datacraft, Godfrey Philips, Goodlass Nerolac,

Nestle,Grindwell Norton, HLL, Kuoni Travel, Quest International, Syngenta, Thomas

Cook, Wartsila

Banks / FIs:

Andhra Bank, BoI, BOB, BoM, Canara Bank, HDFC Ltd, IDFC, GIC, LIC, PNB, United

Bank

Corporates :

ACC, Berger, Boots Piramal, Century Textiles, Cosmo Films, CRISIL, Crompton

Greaves, Dabur, Datamatics, DCM, Deepak Fertilizers, DSL Software, East India Hotels,

Emami, GE Shipping, Globus, Godrej, Gokuldas Exports, Gujarat Ambuja, Gujarat

Pipavav, HCL group, Himat Singka Siede, ICICI Ventures, Infosys PF, ITC, Jet Airways,

Jindal Group, L&T, Mastek, M&M, NCDEX, Radico Khaitan, Raymonds, Sonata

Software, Varun Shipping, West Coast Paper, Wipro

Private Clients:

Individuals / Families across India, Middle East and SE Asia (with minimum relationship

size of USD 1 million+ / Rs 5 crores each)

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Impact of union budget 2010 on Financial Market.

Priority Clients:

Individuals / Families with minimum relationship size of Rs 50 lacs

OWNERSHIP PATTERN

Board of Directors

Anand Rathi, Founder & Chairman

A gold medalist Chartered Accountant and former President Bombay Stock Exchange

(BSE). Key Executive of the Birla Group. The driving force behind the setting up of the

Birla Group's Cement and Financial Services business among others. And in the setting

up of the Online trading system and the Central Depository Services Ltd in India. With

over 40 years in the industry

Pradeep Gupta, Co-founder & Vice chairman

With over twenty years experience in the securities market. Co-founder and key driver of

the Retail and Institutional Equities business of the group.

Amit Rathi, Managing Director

A rank holder Chartered Accountant and an MBA from Leonard N. Stern School of

Business, New York University joined the group in 1998. He was instrumental in

establishing the group's private wealth management and investment banking businesses.

Calling him a 'financial guru', the Times of India group, listed Amit in 2008 amongst the

top 51 young Marwaris in India (under the age of 40).

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Impact of union budget 2010 on Financial Market.

P G Kakodkar, Director

Former Chairman of State Bank of India. Director in Financial Technologies (India).

Director in Sesa Goa Ltd. Director in SBI Funds Management Pvt Ltd & the Multi

Commodity Exchange of India Ltd and a M. A. in Economics

Dr. S A Dave, Director

Former Chairman Securities & Exchange Board of India (SEBI) and Deputy Director of

the RBI. Former Chairman Unit Trust of India (UTI). Member of General Committees of

Government of India & Financial Reforms and Chairman CMIE 1998 till date. And a M.

A. (USA) with Ph D in Economics

C D Arha, Director

Formerly Secretary in the Union Ministry of Mines. Special Secretary & Additional

Secretary in the Ministry of Coal. Resident Chief Information Commissioner -AP (Right

to Information Act). Commissioner Civil Supplies (AP). Chairman & MD, APSEC. With

a M .A. (History) and diploma Management & Administration of Rural Development

(Birmingham, UK)

Ajit Bhushan, Director

Managing Director Citi Venture Capital London Over 17 years experience with Citi.

Joined CVC international in 2001. Worked on Strategy and business development for

Citibank in CEEMEA region and managed Cash Management Business for Citi in Poland

and India. B Tech (IIT Delhi) and an MBA (IIM Ahmedabad)

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Impact of union budget 2010 on Financial Market.

COMPETITORS:

In this field of financial services there are a whole lot of companies and a few keep

adding every year. To remain at the top of this sector is no mean task and there are a lot

of big companies which provide stiff competition to Anand Rathi Securities in this

regard. The list of competitors would include:

• Motilal Oswal

• India Infoline

• Indiabulls

• Geojit

• Sharekhan

Branches and Offices:

Corporate Office:

JK Somani Bldg,

British Hotel Lane,

Bombay Samachar Marg,

Mumbai 400 023

Tel: +91 22 663 77000 Fax: +91 22 663 77070

Brokerage and Retail Head Office:

B-2, Shubham Centre,

5th Floor, Cardinal Gracious Road,

Chakala, Andheri (E),

Mumbai 400 099

Tel: +91 22 4001 3700 Fax: +91 22 4001 3770

Key Locations:

New Delhi

Ahmadabad

Chennai

Kolkata

Bangalore

Hyderabad

Pune

Dubai

Bangkok

MILESTONES:

• 1994:

Started activities with consulting and institutional equity sales with staff of 15.

• 1995:

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Impact of union budget 2010 on Financial Market.

Set up a research desk and empanelled with major institutional investors

• 1997:

Introduced investment banking businesses Retail brokerage services launched

• 1999:

Lead managed first IPO and executed first M & A deal

• 2001:

Initiated Wealth Management Services

• 2002:

Retail business expansion recommences with ownership model

• 2003:

Wealth Management assets cross Rs1500 crores

Insurance broking launched

Launch of Wealth Management services in Dubai

Retail Branch network exceeds 50

• 2004:

Commodities brokerage and real estate services introduced

Wealth Management assets cross Rs3000crores

Institutional equities business relaunched and senior research team put in place

Retail Branch network expands across 100 locations within India

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Impact of union budget 2010 on Financial Market.

• 2005:

Real Estate Private Equity Fund Launched

Retail Branch network expands across 200 locations within India

• 2006:

AR Middle East, WOS acquires membership of Dubai Gold & Commodity

Exchange (DGCX)Ranked amongst South Asia's top 5 wealth managers for the ultra-rich

by Asia Money 2006 poll

Ranked 6th in FY2006 for All India Broker Performance in equity distribution in the

High Networth Individuals (HNI) Category

Ranked 9th in the Retail Category having more than 5% market share

Completes its presence in all States across the country with offices at 300+

locations within India

• 2007:

Citigroup Venture Capital International picks up 19.9% equity stake

Retail customer base crosses 100 thousand

Establishes presence in over 350 locations

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Impact of union budget 2010 on Financial Market.

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