NG RATHI INVESTRADES PVT LTD is one of the most renowned brokerage

houses in Pune. The promoters share 18 years of rich experience in the broking segment.
It is a fully integrated capital markets intermediary dedicated towards providing you with a
technology driven investment platform. Initially the promoters were sub-brokers of Pune Stock
Exchange were they recorded highest turnover for consecutive five years. Since then there was
no looking back, and hence promoters were of view to have their own company having member
ship of NSE
NGRIPL is a member of National Stock Exchange (NSE), Bombay Stock Exchange (BSE) as well as the leading
commodity exchange of India i.e. MCX. NGRIPL is also registered as a Depository Participant of CDSL. Now to enhance the reach
of its retail investors to forex, the company has become the trading member of MCX Stock Exchange (MCX-SX) and hence
approach you as a medium for its success.
Along with this NG Rathi Group consist of a sister concern private ltd company registered as a member of Multi
Commodity Exchange of India Ltd in name and Style NG Commodities Pvt Ltd. NG Commodities Pvt Ltd though registered in
year 2007 it started business in full fledge from last year and is imprinting its mark in the market steadily.
Considering our progress graph we would like to state that company is growing in right direction the company
started its business as member of NSE in 2005-2006 with say 100-200 clients, by 2010 the company become the member of
BSE thus opening to new segment .Before that to tap the commodity market we incorporated our sister concern in name of NG
Commodities Pvt Ltd (Preciously known as Dreams Commodities Pvt Ltd) in year 2007. From 2011 the company has started
Depository Services in affiliation to CDSL, thus opening another avenue to our customers, by Jan 2014 company has succeed to
maintain and serve more than 5500 clients across Pan India.










The management at NGRIPL is the CRUX of our foundation.
We boost of a versatile board with rich and varied experience. Each
member of the board is an eminent personality.

Nitin M Rathi (Chairman) Mr. Nitin M Rathi a man of substance, versatile in business. He is Bachelors of Electronics but
his interest brought him to this field and now he contributes his rich experience of more than 18 years in the capital
markets with a focus on the derivatives segment, to the growth of Dreams Investrades Pvt. Ltd.. He has evolved as a
catalyst in nurturing business for NG Rathi Investrades Pvt. Ltd. He is a Director of Dreams Capital Pvt. Ltd
Girish Madhukar Rathi (Managing Director) Mr. Girish Rathi has a rich and varied experience of more than 12 years in all
aspects of the Equity Capital Markets. Being the founder member of Dreams Group, he has nurtured the group as his
own child. He is one of the Board members of the Dreams Group. He is a former member of Pune Stock Exchange.
Neha Nitin Rathi (Director) Mrs. Neha Rathi has done her Masters in Commerce. She is a multifaceted personality with a
rich experience of more than 12 years in the capital markets. She gives credit for her knowledge in the markets to her
husband, Mr. Nitin Rathi.
Pushkar Phatak (Executive Director) Mr. Pushkar Phatak an MBA in finance having more than 12 years experience in
financial sector was inducted on the board of the company to strengthen the organisation but with his distinct abilities,
just in a short time span, he has mastered the skills of efficient and resourceful management. He is the one who
rekindles the spirit of NG Rathi Investrades Pvt. Ltd. to be the Best in the Industry.
Ramnaresh Pippal (Vice President/National Head) Mr. Ramnaresh, a conceptually strong man with strong principal and
ethics. He, is an MBA with rich and varied experience of 10 years in the Capital Markets.
Vinay Setia (Executive Director) Mr. Vinay has a rich and varied experience of more than 30 years in all aspects of the
Commodity Market, with huge experience he developed and maintained the commodity segment in NG Commodity
group of NG Rathi.









NG-FLEXI TRADE

We believe and provide customer with flexibility of trading through web based (NG- EASY TRADE),
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Heat Map
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APIs COM DLL interface, C++ Library, Fix 4.2 Interfaces
Scripting Interface to get real time streaming market data
Ability to store and replay tick by tick data
Multi Leased Line connectivity to exchange through single OMS
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It includes:
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Multiple Asset classes
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Basket Order Placement / Cover Order Placement
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Trade Modify/Cancel
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Historical
Comparative
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Entity Manager
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What is an Investment ?

The money you earn is partly spent and the rest saved for meeting
future expenses. Instead of keeping the savings idle you may like to
use savings in order to get return on it in the future. This is called
Investment.





What is an Equity/Share?

Total equity capital of a company is divided into equal units of small denominations, each
called a share.

For example, in a company the total equity capital of Rs 2,00,00,000 is divided into 20,00,000
units of Rs 10each. Each such unit of Rs 10 is called a Share.

Thus, the company then is said to have 20,00,000 equity shares of Rs 10 each. The
holders of such shares are members of the company and have voting rights.



What is meant by a Stock Exchange?

The Securities Contract (Regulation) Act, 1956 *SCRA+ defines Stock Exchange as any
body of individuals, whether incorporated or not, constituted for the purpose of assisting,
regulating or controlling the business of buying, selling or dealing in securities .

Stock Exchanges in India

Stock Exchange could be a Regional stock exchange whose operation /Jurisdiction is
specified at the time of its Recognition or National stock Exchange which are permitted to
have nationwide trading since inception e.g. NSE .

Bombay Stock Exchange ltd (BSE) Pune Stock Exchange ltd

Multi Commodity Exchange (MCX) Ahmadabad Stock Exchange Association ltd

MCX Stock Exchange (MCX-SX) Bangalore Stock Exchange ltd, etc

National Commodity and Derivatives Exchange (NCDEX)


Major Exchanges : NSE, BSE, MCX & MCX-SX






What is an Index?
An Index shows how a specified portfolio of share prices are moving in order to give an
indication of market trends.
It is a basket of securities and the average price movement of the basket of securities
indicates the index movement, whether upwards or downwards.

Example: NIFTY, SENSEX, MCX & MCX-SX

Exchange Market Segments
NSE Cash Future & Option
BSE Cash Future & Option
MCX -- Future Contract
MCX-SX -- Future & Option

Capital Market

The Market where investment instruments like bonds, equities and mortgages are traded is known as the Capital
market. The primal role of this market is to make investment from investor who have surplus funds to the ones who
are running a deficit.

Primary Markets
Is a part of Capital Markets that deals with issuance of new securities e.g. -
Companies, governments or public sector institutions can obtain funding through
the sale of a new stock or bond issue . Therefore, the primary market is also called NEW ISSUE MARKET
IPO (Initial Public Offering) Is the process of Issuing new stocks .

Secondary Markets
Investors purchase securities from another Investor rather than rather than the
issuer subsequent to original issuance in primary Market .

Market Regulators :
The responsibility of Regulating the Securities Market is shared by Department of
Economic Affairs (DEA) ,Department of Company Affairs(DCA) , Reserve Bank of
India (RBI) & Securities and Exchange board of India ( SEBI)







Risk in the Stock Market
The Stock prices keep fluctuating over a wide range unlike the bank deposits or government bonds. The efficient
market hypothesis shows the effect of fundamental factors in changing the prices of the stock market. The efficient
market hypothesis shows that all price movement are random whereas there are plenty of studies that reflect the
fact that there is a specific trend in the stock market prices over a period of time. Sometimes the market behave
illogically to any economic news, the stock market prices may be diverted in any direction in response to press
releases, rumors and mass panic. The stock market prices are also subject to speculation. In the short run stock
market prices may be very volatile due to the occurrences of the fast market changing events.

Risk in the bond Market
Capital market risk in the bond market arises due to interest rate changes. There is an inverse relationship existing
between the interest rate and the price of the bond. Hence the bond prices are sensitive to the monetary policy of
the country as well as economic changes.

Securities Markets do not work in vacuum , they require the services of a large number of Intermediaries who act as agents
to help the buyers and sellers in sale /purchase of securities for a commission . It is a risk less Intermediation where the risk
is borne by the buyer or seller .

Regulators (SEBI,DCA,DEA,RBI)


Stock Exchanges

Depository

Stock Brokers / Sub brokers Depository Participant (DP)

The evolution of the organized futures market in India Commenced in 1875 with the setting up of the Bombay Cotton Trade
Association Ltd. Following widespread discontent among leading cotton mill owners and merchants over the functioning of
the Bombay cotton Trade Association, a separate association, Bombay Cotton Exchange Ltd., was constituted in 1983. Future
trading in Oilseeds originated with the setting up of the Gujarati Vyapari Mandali in 1900, which carried out future trading
in ground nuts, castor seeds and cotton. The Calcutta Hessian Exchange Ltd., and the East India Jute Association Ltd. were set
up in 1919 and 1927 respectively for future trade in raw jute.
Future markets in Bullion began in Mumbai in 1920, and later, similar markets were established in Rajkot, Jaipur, Jamnagar,
Kanpur, Delhi and Calcutta. In due course , several other exchanges were established in the country, facilitating trade in
diverse commodities such as pepper, turmeric, potato, sugar and jaggery. The future trade in spices was first organized by the
India Pepper and Spices Trade Association (IPSTA) in Cochin in 1957. However in order to monitor the price movements of
several agricultural and essential commodities, future trade was completely banned by the government in 1966.
The commodity future traded in commodity exchange are regulated by the Government under the Forward Contracts
Regulations Act, 1952 and the Rules framed there under. The regulator for the commodities trading is the Forward Market
Commission, situated at Mumbai, which comes under the Ministry of Consumer Affairs Food and Public Distribution. It is
statutory institution set up in 1953 under Forward Contracts (Regulation) Act, 1952. Commission consists of minimum two
and maximum four members appointed by Central Govt. out of these members there is one nominated Chairman. All the
Exchanges have been set up under overall control of Forward Market Commission (FMC) of Government of India.



Are Intermediaries who are allowed to trade in securities on the exchange of which they are members they buy & sell
stock on their own behalf or on the behalf of their clients . They charge nominal fee / commission called brokerage from
their clients for both buying & selling activities.

All transactions carried out on exchange are done through brokers only . Brokers maintain basic information about their
clients like name , PAN ,contact Information, bank & demat account details etc .







Depositories act defines 1996 defines a depository to mean a A company formed &
registered under Companies Act ,1956 which has been granted a certificate of registration
Under subsection (IA) of the section12 of the Securities & Exchange Board of India Act 1992

It is like a bank wherein the deposits are securities (viz. shares, debentures, bonds,
government securities, units etc.) in electronic form.

Functions of a Depository

Dematerialization of Securities in depository form

Maintenance of ownerships of securities in book entry form electronically without making securities
move from one person to another

Making securities of Public limited companies freely transferable subject to certain restrictions





A Depository does not directly open accounts &provide service to the clients ,it opens such
accounts through its Depository participants (i.e. An agent of depository).

A Depository participant( DP) is an entity who is registered as such with SEBI under the provisions
of SEBI Act. As per provisions of this act a DP can offer depository related services to the clients
after obtaining certificate of Registration from SEBI






Dematerialization

Dematerialization is the process by which physical certificates of an investor are converted to
an equivalent number of securities in electronic form and credited to the investors account with
his Depository Participant (DP).

Trading Account :
Is a broker account through which an investor can buy or sell securities in the secondary market .

Demat Account :
Is a type of banking account which dematerializes paper-based physical stock shares in order to avoid
physical holding of shares .It is opened with the depository (NSDL/CDSL)through a registered Depository
participant .

Savings Bank Account :
For Inflow and outflow of funds .

NG Rathi Offers Intergradations of Trading, Demat and clients savings bank Account

Trading in derivatives of securities Commenced in June 2000

Derivative is a product whose value is derived from the value of one or more basic variables,
called underlying. The underlying asset can be equity, index, foreign exchange (forex), commodity or
any other asset.

Types of Derivatives

Forward contracts
Future contracts
Options & swap
Forwards contracts Futures Contract Options
Not traded on Exchange,
they are traded over the
counter (OTC)

One to one Bipartite
& very customized

Settlement takes place on
a specified date(i.e. Expiry
date) in future on todays
agreed price.

Poor Flexibility and
default risk


Traded on exchange

Standardized & organized

Have standard delivery time
and place

Very high liquidity

Clearing Corporation / House
of concerned exchange gives
the guarantee of settlement of
such contracts
E.g. Nifty Index




An Option is a contract which
gives the right, but not an obligation,
to buy or sell the underlying at a
stated date and at a stated
price. While a buyer of an option pays
the premium and buys the right to
exercise his option, the writer of an
option is the one who receives the
option premium and therefore obliged
to sell/buy the asset if the buyer
exercises it on him.

Call option:
Gives the buyer a right to buy the
underlying asset i.e. Index or a stock at
a specified price on or before a
specified date

Put Option :
Gives the Buyer a right to sell at a
specified price on or before a
specified date



Commodity Derivative

Financial Derivative

A commodity derivative is a product whose
value is derived from one or more underlying
assets or commodities in a contractual
manner .
Examples of underlying assets :Ferrous &Non
ferrous metal , spices ,sugar, pulses ,plantation
crops etc

Quality of underlying assets vary

E.g. - Commodity futures

A commodity derivative is a product whose
value is derived from one or more underlying
variables or assets in a contractual manner .

Examples of underlying assets :Equity ,forex or
shares .


Quality of underlying assets do not vary

E.g. - Equity futures & options
Currency futures

Cash

Future & options
(I) Intraday Transaction :

Mr. X buys 10 shares of Reliance Industries
on 03.07.2013 at price Rs 1800 per share
&sells all 10 shares on same day at price Rs
1804.9.
Intraday profit =(10*1804.9) ( 10* 1800)= Rs49*

(ii) Delivery Transaction :

Mr. X buys 10 shares of Reliance Industries
on 03.07.2013 at price Rs 1800 per share
&sell all 10 shares on 05.08.2013 at price Rs
1814.9

Delivery profit = (10*1814.9)-(10*1800)=Rs 140.9*

(I) Futures

Mr. X( A speculator) Buys one contract of Reliance
Industries on 03.07.2013 which is trading at Rs 1800
both on cash & derivative market on this date (
assumed for this example only ) . If the derivative
contract size being 1000 .

If he buys one contract ( having trading cycle of 3
months ) of Reliance Industries , he is buying Reliance
futures worth = 1000*1800= Rs 18,00,000

Say margin required for this contract = 20 %

For this he will have to pay a margin of 20% = 20% of Rs
18,00,000 = 3,60,000.

If he had invested Rs 3,60,00 in cash he would been
able to purchase only = 3,60,000/1800= 200 shares .


(continued..
* Brokerages and other charges need to be taken into consideration in each buy / sell
transaction



Future & options
Let us say after one month i.e. on 03.08.2013 the price of Reliance Industries Moves
up by Rs 14 , i.e. to Rs 1814 .

With Rs 3,60,000 investment , profits in cash & future Market would be :

(1814-1800)*1000 =Rs 14000 in case of futures Market
(1814-1800) * 200 = Rs 2800 in case of cash Market

( ii) Options

a) Call option - Suppose Mr. X buys a call option of 1000 shares of RIL at a strike
price of Rs 1800 per share at a premium of Rs 10 , it gives Mr. X the right(but not
obligation) to 1000 shares from the seller of option on before the expiry of the
option & the option seller has obligation to sell 1000 shares of RIL at Rs 1800 on or
before the expiry date

b) Put option - Suppose Mr. X has sold a put option of RIL of 1000 shares at
strike price of Rs 1800 & premium of Rs 10 , this gives Mr. X an obligation to buy
1000 shares of RIL at price of Rs 1800 on before the expiry date of the contract i.e.
as & when asked by the buyer of the put option,

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