BROKING INDUSTRY

QUESTIONNAIRES:

Q1) How long has your company been in broking business ?

0 – 4years 4 – 8 years 8 years & above

Q2) Which market segments do you operate in?

Equity cash market Equity derivative Commodity

Debt Currency futures Others

Q3) What are the products other than broking do you deal with?

Wealth Management Distribution Margin Financing & Loans

PMS Others

Q4) Which of the following parameters is considered the important for expanding the business?

New Branch expansion Sub-brokers

% of total revenue from own branch....... & sub-broker...............

Q5) What measures are taken to increase the profit?

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
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Q6) Which factor is most responsible in increasing your income components?

Fee & Commission Treasury Interest Others

Q7) Have you launched any schemes to increase sales?

Yes No

Q8) What measures have you taken for clients retention ?

Better service Advisory Others

Q9) What are the threats for your business?

Staff retention New Entrants Existing Competitors

Q10) Do you offer online trading service to your customers?

Yes No

Q11) The size of IT people since the start of business has

Increased Decreased Same

Q12) The size of staff people since the start of business has

Increased Decreased Same

Q13) Do you provide outside training to your staff?

Yes No

Name: Salil Jadhav____________________________________

Company details:_SV Broking____________________

Status: Broker Sub-broker

Exchanges: NSE BSE Commodity

Notes: How can you have 4 Hypothesis? There should be only one Hypothesis and multiple
SROs. ................................................................................................................................................
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OBJECTIVE:

1) To identify the effect of growth on brokers.

2) To identify the impact of competition in the broking industry.

3) To identify whether the profits is affected in the broking industry.

4) To identify the impact of employees in the broking industry.

HYPOTHESIS:

I) Hypothesis

H0 : There is no significant effect of growth on brokers.

H1 : There is a significant effect of growth on brokers.

II) Hypothesis

H0 : There is no significant impact of competition on broking industry.

H1: There is significant impact of competition on broking industry.

III) Hypothesis

H0 : There is no significant effect on the profits of the broking firms.

H1 : There is a significant effect on the profits of the broking firms.

IV) Hypothesis

H0 : There is no significant impact of employees on broking industry.

H1: There is significant impact of employees on broking industry.
ADDITIONAL QUESTIONNAIRES:

1. Challenges and Concerns

Kindly rank in the order of major areas of concerns/challenges

(1 being the most important and 10 being the least)

Particulars Rank Particulars Rank

Margining Shortage of Skilled Manpower
Volatility Infrastructural Issues
Competition from big domestic firms Decline in Investor Interest
Competition from foreign firms Rising Fixed costs
Declining volumes Rising Variable costs

2. Revenue Stream

Kindly rank in the order of major areas of revenue streams

(1 being the most important and 10 being the least)

Revenue Stream Rank Revenue Stream Rank

Trading in Equities Demat Services
Income from margin financing and
Trading in Derivatives
loans
Trading in Commodities Private Equity
Portfolio Management Services
Investment Banking
(PMS)
Distribution of financial Products Others