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Unicon Investment Solutions

UNICON is a financial services company which has emerged as a one-stop


investment solutions provider. It was founded in 2004 by two visionary and
hard working entrepreneurs, Mr. Gajendra Nagpal and Mr. Ram M. Gupta,
who possess expertise in the field of Finance. The company is headquartered
in New Delhi, and has its corporate office in Mumbai with regional offices
in Kolkata, Chennai, Hyderabad and Noida

UNICON is a professionally managed company led by a team with


outstanding managerial acumen and cumulative experience of more than 400
man years in the financial markets The Company is supported by more than
4500 Uniconians and has a team of over 900 business offices in 235 cities
across India.
With a customer base of over 200,000 the Unicon Group has an eye for the
intricate financial needs of its clients and caters to both their short term
and long term financial needs through a comprehensive bouquet of
investment services. It has been founded with the aim of providing world
class investing experience to the investing community. These services range
from offline & online trading in equity, commodities and currency
derivatives to debt markets to corporate finance and portfolio management
services. The company has a sizable presence in the distribution of 3rd party
financial products like mutual funds, insurance products and property
broking.
It also provides expert Advisory on Life Insurance, General Insurance,
Mutual Funds and IPOs. The distribution network is backed by in-house
back office support to provide prompt and efficient customer service
The Equity broking arm UNICON Securities Pvt. Ltd offers personalized
premium services on the NSE, BSE & Derivatives market. The Commodity
broking arm Unicon Commodities Pvt. Ltd offers services in Commodity
trading on NCDEX and MCX. The UNICON group also has a PCG division
providing investments solutions for High Net worth Individuals. The
Corporate Advisory Services arm Unicon Capital Services (P) Ltd offers
entire gamut of Investment Banking services to corporate.
UNICON can boast of some of the most respected names in the private
equity space like Sequoia Capitals, Nexus India Capital and Subhkam
Ventures as its shareholders.

Mission & Vision

Mission :
To create long term value by empowering individual investors through
superior financial services supported by culture based on highest level of
teamwork, efficiency and integrity.

Vision :

To provide the most useful and ethical Investment Solutions - guided by


values driven approach to growth, client service and employee development.
Group Companies

Unicon
Capital
Services
Pvt.Ltd.

Unicon
Unicon
Insurances
Fincap
Advisors Pvt.
Pvt.Ltd.
Ltd.

Unicon
Financial
Intermediaries
Pvt.Ltd.

Unicon Unicon
Securities Commodities
Pvt.Ltd. Pvt. Ltd.

Unicon
Real Estates
Pvt.Ltd.
UNICON is operational out of more than 100 Branches

Founder & CEO

Mr. Gajendra Nagpal is the Founder and Chief Executive Officer of


Unicon Financial Intermediaries Pvt. Ltd. a financial services company
which has emerged as a one-stop investment solutions provider.
Under his dynamic leadership, Unicon has grown from strength to
strength and he has helped shape the company into one of the most
recognized names in the financial services space. With Unicon, Mr.
Nagpal has brought to life his vision of a company that provides the
most useful and ethical investment solutions and which will be guided
by values driven approach to growth, client service and employee
development.Mr. Nagpal brings with him over 16 years of experience
in the stock market including the rich experience of building a retail
broking network. He is well respected in the industry for his stock
broking experience. Prior to founding Unicon, Mr. Nagpal has held
senior positions at the regional and national levels with Kotak
Securities and Indiabulls. At Indiabulls, Mr. Nagpal was a member of
the core management team and played a leading role in the growth of
the companys network to 100 locations and employee strength of
1500.
Mr. Nagpal is a management graduate by qualification. In his spare
time he likes to swim and listen to old Hindi film

Co- Founder & President

Mr. Ram M. Gupta is the President and Co-Founder, Unicon Group and
a member of the core leadership team of the organisation. Mr.
Guptas key responsibility areas include driving sales for Equity (Online
and Offline), Commodity, PCG and the Business Alliances divisions. He
has over a decade of stock market experience behind him and has
worked with some of the most prominent names in the financial
services space.

He started his career with Karvy Stock broking and went on to hold
regional level positions with Indiabulls Securities. At UNICON, Mr.
Gupta has been instrumental in building the sales team from scratch to
its current strength of over 1000 relationship managers spread across
89 locations. With his aggression and dynamism, Mr. Gupta brings
energy to the team and he believes in leading by example. He holds a
Masters Degree in Business Management with specialization in
Finance. In his spare time he enjoys swimming, playing cricket and
spending time with his children.

Head-Fixed Income Group


Mr. Y.P. Narang is the Head, Fixed Income (Debt) Group at UNICON.
His areas of responsibility include looking after Money Market,
Government Securities and Bond Market and Merchant Banking. Mr.
Narang was instrumental in setting up and providing strategic direction
to the Fixed Income Vertical at UNICON. Under his aegis, the vertical
was converted into a profit centre within six months of its
establishment.
Mr. Narang, a qualified Cost Accountant and certified Financial Planner,
has a rich and varied professional experience spanning over 36 years.
His last assignment prior to joining the UNICON Group was as General
Manager & CFO, Punjab National Bank where he provided leadership
and direction for the overall financial management of the bank. Mr.
Narang had headed the Treasury department of Punjab National Bank
for almost two decades starting from 1986 and he pioneered the
banksinvestment in new investment products such as Interest Rate
Swaps, Floating Rate Notes, US Treasury Bonds etc. His areas of
responsibility also included handling public issues of the bank. He was
founder Managing Director of PNB Gilts Ltd. and held the position of
Senior Executive Vice President, PNB Capital Services Ltd. where he
handled Merchant Banking assignments, Inter-corporate Deposit &
Investments.

Mr. Narang possesses domain expertise in Dealing in Sovereign Paper,


Money market/ Fixed Income instruments and Merchant banking. He
has been a familiar presence at several prestigious Analysts meets
both in India & Abroad. His expertise has also been utilized in his
capacity as a member of various committees of IBA, NSE & FIMMDA.
In recognition of his manifold contributions, the Association of
Financial Planners (AFP) India awarded him CFP certification in
February, 2004. In his spare time, Mr. Narang likes to read
management books especially those pertaining to investing.

Chief Operating Officer


Mr. Sandeep Arora brings with him over 12 years of experience of
managing operations of stock broking company. Mr. Arora before
taking over as head of operations at Unicon was responsible for
managing the operations of Indiabulls Securities Ltd. Mr. Arora is
supported by his team of over 350 people helping him to give world
class service to the clients.
Chief Financial Officer,
Head-Distribution
Mr. Vikas Mallan is the Chief Financial Officer & Head Distribution,
Unicon Group. Mr. Mallan oversees all Finance and Accounting related
aspects and also heads the Distribution of Life Insurance, General
Insurance, Mutual Fund, IPO & Real Estate. He is supported by a team
of around 1800 dedicated employees nationwide. Mr. Mallan is a
qualified Chartered Accountant, Company Secretary and Cost
Accountant by profession. He has over 17 years of experience in the
area of finance. Prior to joining Unicon, Mr. Mallan has held senior level
positions with reputed companies like Rediff.com, Reliance Telecom
and Koshika Telecom. His extensive experience also includes the
NASDAQ listing of an Indian internet company and Head of Finance of
a leading Law firm. Mr. Mallan is fond of sports and listening to music.

Director Strategic
Planning & Implementation
Mr. Subhash Nagpal is the Director, Strategic Planning and
Implementation, Unicon Group. An engineer by profession, Mr. Nagpal
brings with him more than 18 years of experience in Sales & Marketing
in the automobile industry. He has worked with some of the most
respected names in the automobile sector including Honda, Yamaha
and New Holland. During his tenure in Honda and New Holland, he
was a member of the core management team and played a pivotal role
in establishing the companys growth in its early years in India. His
last assignment was with Honda Motorcycles and Scooters India,
where he was a Divisional Head of profit centre in Sales & Marketing
Division for more than eight years. Mr. Nagpal believes in the power of
teamwork towards achieving goals. He also believes in fostering a
democratic culture within teams wherein everyone has the freedom to
express their opinions in the spirit of promoting healthy discussion
before taking strategic decisions. Mr. Nagpal is fond of singing,
listening to old Hindi songs and watching movies. Kishore Kumar and
Dev Anand are amongst his favourite singers and actors respectively.
He likes to wind up his day by watching Mr. Beans and WWF-Smack
down with his son.

Country Head- Wealth Management

Mr.Rajev B Sharma is a noted Management professional and a


technocrat with 16 plus years of experience in Strategy planning,
Business Development, Operations, Man Management and Profit
Centre Management. He has worked in diverse industries like
Manufacturing, Consumer Durables, Consultancy, Education &
Training, HR and Financial Services.
He is currently with Unicon Financial Intermediaries P Ltd as Country
Head Wealth Management, Investment Banking & Business Strategy.
He is spearheading the Wealth Management, Investment Banking,
Corporate services, NRI and PMS businesses.

He also oversees the Research, Product Development, Equity


advisory, Investment Advisory and Business Strategy for the Unicon
India group of companies. He was earlier associated with Motilal
Oswal Securities Ltd. as Sr. Vice President & Head-BAG. Here hewas
spearheading the Business and Strategy of the Business Associate
group (BAG). BAG constituted the business and distribution of all the
financial products of the company i.e. Equity, Derivatives, Portfolio
Management Services, Mutual Fund, IPO, Commodity through four
distribution channel - Franchisee, e Franchisee, Remiser and IFAs.
Under his leadership Motilal Oswal Securities Ltd has been awarded the
Best Franchise In financial service sector for 2 consecutive years
2007 & 2008.
Till early 2006, he was associated with Adecco India Limited as VP-
Operations heading the SBU of Enterprise Learning business.
Rajev has done some serious work in retail business, franchising and
Institutional business for Aptech for 10 years. Here he was
instrumental in developing & nurturing well known brands like Aptech
Computer education, Asset International, Aptech Corporate
training, Aptech Plus and Aptech University & Distance
education.
His earlier assignments include Mirc Electronics (Brand ONIDA),
Crompton Greaves Ltd. and FAG Precision Bearings Ltd where he
performed key roles at middle management positions.
Rajev has been awarded the Best Franchise Professional of the year
by Franchise World magazine and Indian franchise association in
2008.

National Head-Business Alliances

Mr. Vijay Chopra is the National Head Business Alliances, UNICON


Group. Mr. Chopra along with his team handles a network of over 1000
business partners spread across the length and the breadth of the country.

An alumnus of the Indian Institute of Foreign Trade, specializing in


International business, Mr. Chopra brings with him over thirteen years of
experience spanning a cross section of industries including the FMCG,
Pharma and Consulting space. He has held senior level positions with some
of the most respected brands across these industries including Johnson and
Johnson Ltd., Dr. Reddy's Labs & U.S Vitamins Ltd. Mr. Chopra has
been associated with UNICON almost since the inception and has been
instrumental in developing a meticulous franchisee network along with his
team. Today, apart from the 600 franchisee locations, the company also
boasts of 2500 remisers across India. Apart from being a core member of the
management team, Mr. Chopra is also a key member of the UNICON
Groups Marketing and Communications group which actively focuses on
the enrichment of Brand Unicon and various marketing initiatives. Mr.
Chopras areas of expertise include Supply Chain Management,
Distribution, Sales & Marketing, New Product Launches & Product
Management. Additionally he is also an astute trainer. Mr. Chopra has
versatile interests and has won accolades in diverse areas ranging from
sports and outdoor activities to elocutions and dramatics. His first love
however is his family followed by traveling & photography.

Country Head Equity Sales


.
Mr. Manmohan Tiwari is the Country Head, Equity Sales.With more than 17
years of experience in various areas of banking and investment advisory, Mr.
Tiwari has played instrumental role in his previous organizations. In his past
assignment with India Infoline, prior to joining Unicon Financial
Intermediaries, Mr. Tiwari is credited with setting up the India Infoline
Wealth Management operations in North India.

Mr. Tiwari brings on board added proficiency and expertise in managing


HNI relationships. During his 7 years at HSBC, he managed the operations
and sales for high profile Private Banking Clients in Delhi and NCR. He has
also had extremely successful stints with JM Morgan Stanley (Debt
Division) and Kotak Mahindra Bank Wealth Management on the client
advisory and relationship front.Commenting on the appointment, Mr.
Gajendra Nagpal, CEO and Founder of Unicon Financial Intermediaries Pvt.
Ltd. said, I am delighted with Mr. Tiwaris appointment as the Country
Head of Equity Sales. Mr. Tiwari has strong leadership abilities and proven
experience in driving success in a complex and challenging market, which
we can leverage across our area of operations.
A vast experience in sales, equity advisory, client servicing and operations
makes Mr. Tiwari an industry veteran who has seen various market cycles
previously.

Chief Technology Officer


Mr. Anurag Nayar is the Chief Technology Officer, UNICON Group. His
key areas of responsibility include heading and overseeing all the IT
operations and innovations of the organization.
Mr. Nayar possesses over 9 years of experience in diverse fields of
application software development, maintenance, support & re-engineering
projects in client server environment. Prior to joining the UNICON Group,
Mr. Nayar has worked with leading corporates across a cross section of
industries. These include American Express, WNS Trinity and NIIT
Technologies Ltd. During his tenure at American Express, Mr. Nayars
considerable contributions towards streamlining the Project Office and
Financial Analysis processes and tools were recognized and awarded.
Additionally he was also the recipient of awards for developing the Process
Database and for supporting TAPS Application implementation across Japan
and Asia Pacific region. Mr. Nayars manifold contributions at NIIT were
also recognised through the prestigious Excellence and US Business Unit
Mercury Awards.

Mr. Nayar has an open and engaging style of leadership. He believes in the
importance of honesty, commitment, continuous learning and teamwork in
achieving goals. In his spare time he likes to watch Hollywood movies,
socialize with family and friends and spend time with his pets.

Chief Compliance Officer

Ms. Anjali Mukhija heads compliance. She brings with her 14 years of
experience in the stock markets.Her current job profile includes broking
operations,client relations & grievance redressal, coupled with Public
dealings.Prior to joining Unicon, she was with the National Stock
Exchange,Delhi Regional Office for 10 years and had held senior position
for a brief period in a reputed broking house.

Country Head - HR & Training


Ms. Divya Varma Kaur is Country Head - HR and Training. Ms. Divya
brings with her 17.5 years of experience in Human Resource and Training
and her core expertise are designing and implementing innovative HR
strategies for employees retention, establishing & stabilizing processes and
handling effective appraisal process linked with rewards & recognitions. Ms.
Divya is an effective communicator with strong leadership acumen. Her skill
set includes manpower budgeting, talent hirings, succession planning,
competency mapping, training/development planning, formulating employee
welfare programs and compensation benchmarking.
Prior to joining Unicon she was Vice President HR with Zee News for
almost 15 years. Ms. Divya is B.Com (Hons.) from Delhi University, PGDM
in Human Resource Management AIMA CME, Diploma in training &
development - ISTD and pursuing Masters in Psychology from ICFAI. She
is also a member of NHRD and certified on job evaluation methodology by
Hay Group which is a Global management consultancy.

Product & Services

Unicon customers have the advantage of trading in all the market segments
together in the same window, as we understand the need of transactions to
be executed with high speed and reduced time. At the same time, they have
the advantage of having all Advisory Services for Life Insurance, General
Insurance, Mutual Funds and IPOs also.
Unicon is a customer focused financial services organization providing a
range of investment solutions to our customers. We work with clients to
meet their overall investment objectives and achieve their financial goals.
Our clients have the opportunity to get personalized services depending on
their investment profiles. Our personalized approach enables clients to
achieve their Total Investment Objectives.

Key product offerings are as follows:

*Equity
* Commodity
* Depository
* Distribution
*Properties
* NRI Services
* Back Office
* Fixed Income
*Investment Banking
* Currency Derivatives
* Portfolio Management

Equity

UniconEasy

Browser based trading terminal that can be accessed by a unique ID and


password. This facility is available to all our online customers the moment
they get registered with us.

Features:

~ Trading at NSE, BSE and Derivatives on single screen.


~ Greater exposure for trading on the available margin.
~ Common window for order execution.
~ Real time updating of exposure and portfolio while trading.
~ Offline order placement facility (AMO).
~ Stop-loss feature.
~ Competitive Brokerages.

Banking integration with ICICI Bank, HDFC Bank & Axis Bank,& Bank of
India,& Corporation Bank, & Karnataka Bank, & Oriental bank of
Commerce, & South Indian Bank, & Vijaya Bank and Yes Bank.

UniconPlus

Browser based trading terminal that can be accessed by a unique ID and


password. This facility is available to all our online customers the moment
they get registered with us.

Features:

! Trading at NSE, BSE and Derivatives on single screen.


! Add multiple scrips on the market watch.
! Greater exposure for trading on the available margin.
! Common window for display of market watch and order execution.
! Real time updating of exposure and portfolio while trading.
! Offline order placement facility.
! Stop-loss feature.
! Competitive Brokerages.
! Banking integration with ICICI Bank, HDFC Bank & Axis Bank,& Bank
of India,& ! ! ! Corporation Bank, & Karnataka Bank, & Oriental bank of
Commerce, & South Indian Bank, & Vijaya Bank and Yes Bank.
! Proxy link to enable trading behind firewalls.
UniconSwift

Application based terminal for active traders. It provides better speed,


greater analytical features & priority access to Relationship Managers.

Features:

# Trading at NSE, BSE and Derivatives on single screen.


#Add any number of scrips in the Market Watch.
#Tick by tick live updation of Intraday chart.
# Greater exposure for trading on the margin available
# Common window for market watch and order execution.
# Key board driven short cuts for punching orders quickly.
# Real time updation of exposure and portfolio.
# Facility to customize any number of portfolios & watch lists.
# Market depth, i.e. Best 5 bids and offers, updated live for all scripts.
# Facility to cancel all pending orders with a single click.
# Instant trade confirmations.

# Banking integration with ICICI Bank, HDFC Bank & Axis Bank,& Bank
of India,& Corporation Bank, & Karnataka Bank, & Oriental bank of
Commerce, & South Indian Bank, & Vijaya Bank and Yes Bank.

Stop-loss feature.

Commodity
Unicon offers a unique feature of a single screen trading platform in MCX
and NCDEX.Unicon offers both Offline & Online trading platforms. You
can Walk in or place your orders through telephone at any of our branch
locations

Online Commodity Internet trading Platform through UniFlex.

* Live Market Watch for commodity market (NCDEX, MCX) in one


screen.
* Add any number of scrips in the Market Watch.
* Tick by tick live updation of Intraday chart.
* Greater exposure for trading on the margin available
* Common window for market watch and order execution.
* Key board driven short cuts for punching orders quickly.
*Real time updation of exposure and portfolio.
* Facility to customize any number of portfolios & watch lists.
* Market depth, i.e. Best 5 bids and offers, updated live for all scripts.
* Facility to cancel all pending orders with a single click.
* Instant trade confirmations.
* Stop-loss feature.

Depository

Unicon Depository Services offers dematerialization services as a


participant in Central Depository Services Limited (CDSL), through its
Depository operations. The company believes in efficient and cost-effective
and integrated service support to its brokerage business. Unicon Securities
Private Limited, as a depository participant, will offer depository accounts
for individual investors as well as corporates which will enable them to
transact in the dematerialized segment, without any hassles.
Depository offer a safe, convenient way to hold securities as compared to
holding securities in paper form. Our service provides an integrated single
platform for all our clients ensuring a risk free, efficient and prompt
depository process.

Facilities Offered by Unicon

De-materialization:

You can submit your physical shares at the Unicon branch for
dematerialization into electronic form.

Re-materialization:

You can also request for Re-materialization which enables you to convert
the dematerialized shares into physical form.

Transfer:

Inter and intra depository services are available through which you can
transfer shares.

IPO:

You can apply for IPO using your demat account details and on allotment
the securities are transferred directly to your demat account.

Corporate Actions:
While holding your stock in demat account, in case you are eligible for any
bonus and rights issues the allotment would be transferred to your demat
account.

. Easi:

You can view your demat account over the Internet and avail a host of
services. This facility empowers our clients to view, download, print
updated holdings with respective valuations.

. Estock Login Process:-

Enter your client id as your Demat account number.


The password would be your bank account number linked with your Demat
account.
Please change the password as soon as you login. This is in your own
interest and security.

Distribution

Unicon is fast emerging as a leader in the Insurance and Mutual Funds


distribution space. Unicon has over 100 branches and a huge number of
Business Development Executives who help to source and service the
customers throughout the country. Unicon is fast becoming the preferred
Vendor Independent distribution houses because of providing efficient
service like free pick-up of collection of cheques/DDs, Keeping track of the
premiums etc to its customers.

Unicon offers the following distribution products:-


-IPO's

-Mutual Funds

-Insurance

IPO

At Unicon you can invest in the Primary markets (Initial Public Offerings)
online without going through the hassles of filling up any IPO application
forms or any other paperwork.

We shall make sure that you do not miss the opportunity to subscribe/invest
in a good IPO issue by providing you an online IPO application form,
transfer of funds online through secured payment Gateways of leading banks
like ICICI, HDFC, and AXIS bank.

In addition to the above we shall provide you with the In-Depth analysis of
the IPO issues which shall be hitting the Indian Markets in near future, IPO
Calendar, analysis on the recent IPO listings, prospectus, offer documents
and other IPO research reports so as to help you take an informed decision to
invest in the IPO issues.

Online IPO facility is open to all our registered clients at no cost whatsoever.
All you need is the following to subscribe online to the IPO issues:

* A trading account with Unicon


* A Demat account with Unicon

An access to the net banking facility with the Banks through which Unicon
has operational Gateway facility (ICICI, HDFC and AXIS Bank).

*You must have signed a Power of Attorney (POA) agreement for applying
in IPOs online.

Mutual Fund

Unicon Provides expert advice to its clients for their investments in equity
& debt markets through Mutual Funds.

Our experts advice you the best investment solutions that suit you and help
you to reach your financial goals.
We help you ascertain your risk profile & guide you with the right product
mix which reduce your tax liability increase your savings & enhance your
wealth.

Whether you have a conservative, medium or aggressive investment risk


appetite, our experts would guide you to build a portfolio to optimize the
return of interest.

Classification of mutual fund:

1. by structure
Open-ended scheme
Closed-ended scheme
Interval schemes
2. by investment objective
Growth schemes
Income schemes
Balanced schemes
Money market schemes
3. by Other Schemes
Tax saving schemes
Special schemes
Index Schemes
Sector specific schemes

Insurance

Unicon offers all products of General Insurance under one umbrella.


Unicon comprises of a team of distinguished professionals from insurance,
finance and other management disciplines who have vast business &
managerial experience.

Unicon team evaluates the client's business environment and studies the risk
profile. Based on the results of these evaluations, Unicon team then suggests
the most cost effective, integrated insurance package that is perfectly suited
to the client's risk profile.

Unicon has a nationwide network of branches all over India, equipped with
top quality infrastructure facilities, to provide you prompt & efficient
service.

Life Insurance
Unicon offers you a Peace of Mind by offering various life insurance plans
for your unique & specific needs. Our philosophy is that for every financial
problem, there is a solution also. And we are here to give you complete
financial solutions. At the same time we offer you very Prompt & Reliable
Policy related service for enduring relationship.

We offer a very wide range of products to fulfill your particular


requirements. You can always have an access to our 83 Branch Offices
situated at prime locations of the city, or you can call our Relationship
Manager to guide on your Investments.

Following is the glimpse of Life Insurance Plans:

^ Protection Plans
^ Investment Plans
^ Child Plans
^ Retirement/Pension Plans
^ Saving Plans
^ NRI Plans
^ Health Plans

Properties

Unicon is a specialized property broking company. Our highly experienced


and professional teams present retail, office, industrial and residential
property opportunities to a broad base of clients. Whether it is a residential
or commercial development, Unicon offers a total solution to our clients
inclusive of market research, marketing strategy, interaction with the
professional teams and sales or leasing of the property.
We provide property buyers with an innovative real estate solution. By using
the efficiencies of the Internet, we have streamlined the real estate process
and are able to pass significant savings on to our clients. Our team of
consultants have years of experience in the areas they serve, helping you
save, without compromising on service.

We aim to be a delightfully smart partner when you are looking to buy a


property. The smart part should help you find your dream property (at least
the dream property within your budget) and arm you with data and
information about local real estate (without too much work). The delightful
part should make you smile and keep you coming back.

NRI Services

With India becoming the epicentre of growth the Global Indian feels the
need to be connected to the domestic growth story.

Unicon now offers a convenient and hassle-free way of Investing in the


Indian Securities Market to the people who are living outside India and wish
to participate in the Indian Growth story.

Procedure for NRI operations in Indian Capital Markets:-


The NRI can deal with only one bank at any point of time.
He is allowed to invest only 5% of the paid up capital of a company. The
aggregate paid up value of equity of any company purchased by all NRI's
and OCBs cannot exceed 10 percent of the paid up capital of the company
and in the case of convertible debentures, the aggregate paid up value of
each series of debentures purchased by all NRI's and OCBs cannot exceed
10 % of the paid up value of each series of convertible debentures.
He can enter only into delivery based trades, all deliveries must only be
routed through beneficiary accounts and not directly through the broker.
Shares bought by him cannot be sold unless the payout of the same is
received from exchange.
All purchase and sale transactions have to be reported to the RBI by the
designated bank.
Original brokers contract notes have to be submitted to the designated
Bank branch, within 24 hours of the transaction.
He will be required to make bill to bill payments/ settlements. No
adjustments of purchase against sale consideration should be done.
Shares cannot be bought against the shares sold in the same settlement.
All Purchase and Sales will be dealt separately for payments / receipts.
Sale proceeds of any transaction not reported/approved by the RBI is
allowed to be credited to the NRE/NRO savings/demat account. The
transaction will have to be reversed in the account and losses if any will be
borne by the client.
All tax liabilities arising out of buying and selling of securities will be
handled by the designated bank.

Back Office

Unicon through its online back-office aims to increase the transparency and
provides you the link to view the details of your account online anytime and
anywhere.

Here you have the advantage of viewing the following reports online:

. Sauda Details
. Financial Ledger
. Net position for the day
. Net position Detail (for the complete financial year)
. E-Contract Note

www.uniconproperty.com
Fixed Income

Offerings

The Fixed income vertical of UNICON Group deals in Sovereign Paper and
Money Market/Fixed Income Instruments Broadly, it undertakes following:

! Dealing in all types of money market instruments viz. Commercial paper


(Origination & Placement), Certificate of Deposit and Treasury Bills both in
Primary and Secondary market.

! Dealing in Government securities (including securities of Oil, Fertilizer &


Food Bonds) and other PSU/ Corporate bonds with counterparties like
Banks, Primary Dealers, Mutual Funds, Insurance Companies, Regional
Rural Banks, Cooperative Banks, Central & State PSUs, Housing Finance
Companies, NBFCs & Corporates.
! Retailing of Central, State Government Securities and Bonds to PF Trusts,
Universities
! Advisory Services to PF Trusts.
! Arrangers for Private placement of Bonds & placing it with Banks, Mutual
funds, Insurance Companies & Corporates.
Securitization of receivable portfolio of Housing Finance Companies, Banks
& NBFCs by way of Pass through certificates.
Investment Banking

Overview

The investment banking division caters to the funding requirements of


corporates. Our wide experience and market knowledge as a leading
securities firm ensures that clients requirements are met at optimum cost.
By constantly improving our knowledge capital and remaining focused on
client needs, we aim to create significant value for our clients by helping
them execute the right capitalization strategy. Unicon Capital Services is a
SEBI registered Category I merchant banker providing a bouquet of
corporate finance advisory and merchant banking services.
Offerings
Private Equity (PE) Syndication

We specialize in the syndication of the private equity for the Indian


companies in high-growth markets on their capitalization/re-capitalization
strategies, which helps them to achieve their growth targets. Our team of
professionals ensures complete confidentiality, strong focus on
implementation and quick turnaround time. Access to key decision makers
at PE funds gives us an edge in optimal structuring and efficient closure of
transactions. We service our clients through various stages of the PE deal
namely collateral preparation, investor shortlisting, commercial term sheet,
due diligence and final closure.
Mergers & Acquisitions(M&A) Advisory
We provide both buy-side and sell-side advisory services as part of our
M&A advisory offering. We advise clients during the entire transaction
process right from target identification to deal closure. We have an
experienced and highly qualified team with more than 40+ man-years of
experience which specializes in identification and short listing of potential
targets, strategic planning of an acquisition and arranging capital for the
transaction, if needed.
Debt Syndication
Our offerings include:
Project Finance / Term Loans for Expansion - Arranging Long-term loans
for setting up new projects from Financial Institutions and Banks
External Commercial Borrowings (ECBs) - Arranging LIBOR-linked loans
Foreign Currency Convertible Bonds (FCCB)-Arranging FCCB Loans
Working Capital Facilities - Arranging fund-based and non-fund based
limits for clients from Banks at competitive rates
Trade Finance - Arrangement of trade finance (Buyer's / Suppliers Credit)
Inter-Corporate Deposits Borrowing and Placement

Currency Derivatives

Currency Futures

Currently in India, futures contracts of 4 currencies are traded against the


Indian Rupee (INR). US Dollar Indian Rupee (USD INR) currency futures
were the first to be introduced in Aug 2008 and have seen a 1500% burst in
volume growth in this period.
On Feb 1, 2010 the trading of Euro () Rupee (EUR INR), Pound Sterling
() Rupee (GBP INR) and Yen () Rupee (YEN INR) was introduced in
India. As in the case of USD INR, trading happens on 2 exchanges NSE
and MCX-SX.
Unicon offers clients the opportunity to trade these products, either in online
or offline mode as per their needs. The products provide ample liquidity to
function both as a speculative tool and as a hedging instrument for exporters
and importers. The attractive features of the product are as follows:

Unlike currency forwards offered by banks, currency futures trading does


not have to be backed by an underlying merchant transaction exposure
Tight bid ask spreads; usually 0.25 paisa wide
Margin requirements less than 5% to take exposure on a lot size of $1000,
1000, 1000 and 1,00,000 respectively
New asset class for diversification for all resident individuals
Commodity traders can hedge against unfavourable movements since gold,
crude etc.
For exporters and importers, no credit line required from their Banker as is
the case with forwards
Ideal tool for those with smaller exposures, as in the case of travel needs,
educational payments etc.

Unicon Advantage
Online & Offline trading facility on all the bourses
Exclusive daily commentary and research reports by our Currency analyst
team
Regular updates on Dollar INR movement with calls to buy and sell
Special consultancy to Exporters, Importers & Corporate for their Forex
transactions

Receive education on the product through seminars/con-calls organized by


Unicon
Your Cash Margin with Unicon Securities can be used for either segment
Equity or Currency.

Other awaited products


Currency options are also expected to be added to the basket of products
soon.
Portfolio Management

Portfolio Management Services

Gone are the days when an investor could directly participate in the capital
markets, for they have not only become far more complex in terms of
compliances, methodologies, effects and analysis but also need a constant
tracking mechanism. As is the case globally, the Indian investor has also
realized the advantages of seeking professional advice in order to not only
manage but also augment his portfolio.

We at Unicon in our constant endeavor to bring to our esteemed clients


global methodology have developed a proprietary model that has enabled us
to outperform all major indices with a fair degree of consistency, over the
longer term. We continue to be positive of both our approach and the Indian
capital markets in general and especially so after UPAs landslide mandate
to guide the country over the next 5 years. However, we believe that the out-
performance is more stock-specific and the major indices only provide a
barometer for evaluation.

This view is expected to only be enhanced going forward, with larger


players entering the markets with globally fine-tuned analytical tools.
The Portfolio Management Schemes of the Company offer Discretionary
Schemes (Unicon Optimizer & Unicon Growth) for Individuals, Corporate
Bodies, Partnership firms, Proprietors, Non Resident Indians etc. The
Company is registered with SEBI enabling it to undertake Portfolio
Management activities under a specific license.

The Schemes, duly approved by SEBI, are managed by a highly competent


team comprising of portfolio managers and equity strategists, backed by a
team of fundamental, technical and derivatives analysts. The principle
objectives are to identify investment opportunities through globally
recognized analytical methodologies, given pre-defined risk parameters
construct portfolios to incorporate client objectives periodically review of
portfolios in order to consistently deliver returns surpassing the
benchmarked index and tailor-make portfolios to incorporate a judicious mix
of equity, quazi-equity, money market instruments and derivate products.

PMS is a very personalized service wherein each portfolio has to be


specifically constructed in order to reflect the objective and risk appetite of a
particular client. Our qualified managers are constantly evolving
methodologies and financial models that provide them with a composite mix
of:

1. Medium term comprising of value investing and other fundament tools


2. Short term comprising primarily of technical analysis and tools
3. Hedging strategies comprising of derivative products

Along with this water tight investment evaluation strategy we have up in


place an equally foolproof client servicing and feedback methodology. All
Investment advisors are hand picked and trained on a gamut of Wealth
product, this ensures that he is in a very good position to deliver a
wholesome wealth experience to the client.

UNICON PMS provides following benefits:

~ Strong Research Team


~ Profile based investment solution
~ Professional Fund Management
~ Strict Risk Management
~ Timely performance reporting
~ Periodic reviews & rebalancing
~ Dedicated relationship manager