October 2021

Private & Conidential

 WHY ORBIS
Secure Investments
Use the Specialist for Specialised Services!

Optimize Beneits
Keep yourself dynamic, productive and focused on
important things!

Manage Costs
Enjoy longstanding protection against Transaction,
Compliance and Credit risks without bearing substantial
ABOUT ORBIS additional costs.

Orbis is a leading player in India providing Securities Services since 2009

Distinguished Features
to Domestic & Foreign Institutional Investors, Corporates and High - Net Orbis demonstrates sustained operational excellence
Worth Individuals amongst others. As a Custodian, Orbis is registered and ofers a diferentiated customer experience.
with SEBI as a Designated Depository Participant (for Foreign Portfolio
Investors), a Clearing Member on NSE, BSE and MSEI in a variety of
Outstanding Technology
segments as also being a Depositary Participant on the NSDL & CDSL.
Orbis adopts state of the art technology with customised
solutions enabling an ecient & efective transaction
Orbis has now added Trusteeship Services and Registrar & Transfer processing capability.
Agency (RTA) Services to its bouquet of ofering. Globally speaking, these
services are considered complementary in nature, making Orbis the only
Custodian in India ofering these related services under one umbrella.

Adopting a partnership approach, Orbis works closely with its clients, at

every step understanding their requirements and applying its domain
expertise ofering the most suited services with relatively least risks.

At every step, Orbis stays accessible, prompt, responsive and friendly

providing client focused services with an economical, accurate, efective
and innovative approach.
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BOARD OF DIRECTORS
ATUL GUPTA
Executive Chairman
A Chartered Accountant & SAP
Consultant, Atul has multi - faceted
experience including Management
Consulting, Corporate Finance, Treasury
& Financial Services Industry including
over 25 years in the Indian Financial
Markets.
SHYAM AGARWAL
Managing Director & CEO
Shyam, comes with over 18 years of
rich and diverse experience in Custody
& Capital Markets. He brings rich
domain expertise in these specialised
segments of the Capital Market. Prior to
joining Orbis, Shyam was heading the
Custody Division at ICICI Bank and was
responsible for custody business
development & product development.
R.C. JAIN
Roop did his B. Tech. (Hons) from IIT
Bombay followed by a double Masters
in Engineering & Business Management
from USA. His 40 year s of rich and diver
siied experience includes key positions
with large multi nationals and Indian
Companies.
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SHACHINDRA NATH
Shachindra is a qualiied lawyer and is a
University Rank holder from the Banaras
Hindu University. He has successfully guided
many promoter group businesses across
diversiied categories on strategic issues. He
was the Group CEO of Religare Enterprise
Ltd.
PRANAY KOTHARI
Pranay is a Chartered Accountant,
Company Secretary and a Cost &
Works Accountant with over 25 years of
corporate experience.
MICHAEL JAEGGI
Michael is a Banking and more speciically a
inancial markets expert in clearing derivatives
& trade settlement. He was a member of the
Group Executive Management of Clear
stream, Luxembourg. Michael is working as
an independent Custody domain specialist
advising inancial institutions across the
globe.
MANASI GUPTA
Manasi is a graduate in Law and Commerce
from the University of Melbourne. She has
rich litigation experience in the Delhi High
Court and Supreme Court through her
employments at Karanjawala & Co & Trilegal.
Abhimanyu Acharya
Mr.Acharya is a Phd holder. He is a renowned
and respected Corporate trainer and has
extensive experience as Corporate Trainer
and HR Consultant.
OUR MENTORS
DR. VIJAY L. KELKAR
Founder Chairman - Orbis Capital Ltd
(Now merged into Orbis Financial Corpn Ltd)
Dr. Kelkar holds a B.S. from University of
Pune, M.S. from University of Minnesota and
PhD from Berkeley. Key prior engagements
include former Chairman, Finance
Commission (2008- 09), Union Finance
Secretary to the Government of India (1998
– 99), Executive Director at IMF (1999-2002),
Chairman Tarif Commission (1997-98),
amongst others. In 2010, he was appointed
the Chairman of Forum of Federations
based out of Canada. Until recently he was
also the Non – Executive Chairman at NSE
and held Directorships at a host of other
private companies. Since the last couple of
years he has retired from active business
participation and is settled in Pune.
SB MATHUR
Ex-Chairman - Orbis Financial Corpn Ltd
A Chartered Accountant and former
Chairman, Life Insurance Corporation of
India. He is the Founding Secretary General
of the Life Insurance Council (think-tank
of their industry that recommends policy
matters to their Regulator). Until recently he
was also the Non – Executive Chairman at
NSE and alongwith being a Director at a host
of other private listed & unlisted companies.
He is settled in Delhi and continues to
mentor and guide us at Orbis.
EXECUTIVE MANAGEMENT TEAM
ATUL GUPTA
A Chartered Accountant & SAP Consultant, Atul has multi-
faceted experience including Management Consulting,
Corporate Finance, Treasury & Financial Services Industry
including over 25 years in the Indian Financial Markets.
VINEET PAREKH
Vineet has over 25 years of experience in capital market and
Financial services industry. He has rich experience with leading
capital market verticals. He has a Bachelor of Commerce from
Sagar University followed by a Master ’s in Business from
Nagpur University.
RISHAV BAGRECHA
Rishav with an experience of more than 13 years in the capital
markets joined us from SBI Funds Management Pvt. Ltd.
Before SBI Funds he had worked as team lead with ICICI Bank in
Capital Markets & Custody business. He also had worked with
JP Morgan. He completed his MBA from NMIMS and also holds
CFA from ICFAI University.
SHYAM AGARWAL
Shyam, comes with over 18 years of rich and diverse experience in
Custody & Capital Markets . He brings rich domain expertise in these
specialised segments of the Capital Market. Prior to joining Orbis,
Shyam was heading the Custody Division at ICICI Bank and was
responsible for custody business development & and product
development.
UPENDRA DUTT TRIPATHI
Upendra comes with over 12 years of diversiied experience in
Banking, Capital Markets & Technology. Before joining Orbis, he
worked with ICICI Bank as a Group Lead. He is an engineering
graduate & candidate of ICICI Bank Business Leadership Program -
MBA Finance.
SANDEEP ARORA
Sandeep has more than 25 years of rich work experience in capital
markets operations with large brokerages. He has a Bachelor’s degree
in Commerce from Delhi University.
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 SOLUTIONS OFFERED
Diversifying beyond Custody, Clearing & Settlement services, Orbis
has now added Trustee Services and Registrar and Transfer Agency
Services to its Portfolio. Globally speaking, these services are also
considered complementary in nature making Orbis the only Custodian
ofering these related services under one umbrella.

Orbis has been providing Securities Services to Foreign Institutional

Investors, Domestic Institutional Investors, Corporates and other
Investors including HNI’s and Trusts.

CUSTODY, CLEARING & SETTLEMENT SERVICES

- FOREIGN INVESTORS
Orbis is an Indian specialist in securities services for Foreign Investors.
Orbis can partner with foreign investors looking to expand their reach in
India, in pursuit of their business objectives.

We cater to the entire gamut of Foreign Investors including:

a) Foreign Portfolio Investors (FPIs) / Foreign Venture Capital
Investors (FVCIs) including their Foreign Direct Investments (FDIs)
b) Family Oces, Corporates and Trusts
c) Foreign Nationals

- PORTFOLIO MANAGERS
Orbis is an established and appreciated provider of Clearing, Settlement
and Custody services in India.

Orbis has customized its ofering for handling the unique needs of a
PMS provider! We are ofering a one stop solution comprising Custody,
Clearing, Fund Accounting and Derivatives Clearing Services to the
Portfolio Managers and their Ultimate Beneiciary Clients.

- ALTERNATE INVESTMENT FUNDS

Orbis has a host of high quality services and can provide cost-efective
solutions that create value, enhance efective management and allow
fund managers to make informed decisions.

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- MUTUAL FUNDS & INSURANCE COMPANIES
Orbis specialises in Custody, Clearing & Settlement
Services and Fund Accounting Services. With our
comprehensive understanding of regulations, risk and
technology platforms, we create and ofer innovative
securities services solutions.
To assist fund managers manage complex multi-asset
portfolios. We ofer a bouquet of value added services
that include well designed reporting tools such as
Unrealised / Realised Gains, NAV, Fee calculations,
Valuation and Investor reporting
- NRI’S, PIO’S & OCI’S
Orbis with its focussed approach, ofers specialized
services to NRI’s, PIO’s and OCI’s administering their
India investments without having any conlict of interest
with their Fund Advisors or Stockbrokers in India.
- FAMILY OFFICES
Given its very nature, a Family Oce may have multiple
entities within its umbrella and each would also be
segregated account like a PMS account!
- PRIVATE BANKERS / WEALTH
MANAGERS & FAMILY OFFICES
Orbis provides lexible solutions for Private Bankers
and Wealth Managers ofering comprehensive tailor-
made solutions linked to their needs.
- NBFC’S
Orbis with its client focussed approach, ofers
specialised services to NBFC’s that may also be
lending against the security of liquid inancial
securities such as listed equity shares, corporate
bonds and government securities.
In efect, Orbis complements the NBFC’s lending
operations by addressing counter party risk and
settling trades directly with Exchanges. Orbis
ofers to become your ecient back-end support
and deliver exceptional back-oce services and,
in particular, develop customized reports as per
your requirements
- BROKER DEALERS
Orbis specialises in services for Broker Dealers.
By taking over the Broker’s client account keeping
including their Cash & Securities positions,
Clearing, Settlement, Custody with extensive
reporting we free the Brokers Oce to focus on
their core competencies.
- RESIDENT HNI’S, NRI’S & PIO’S
Orbis with its focused approach, ofers essential
services to this category of Cosmopolitan Investors.
Such individuals given their hectic schedules;
time zone variations need ‘on-the- go support’ to
manage settlement timelines and keep a tab on
the inancial controls.
Orbis becomes the critical partner and provides
tailor made services for administering their India
investments without having any conlict of interest
with their Fund Advisors or Stock brokers in India
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TRUSTEE SERVICES
- CORPORATE TRUSTS
• Security Trustee-Term Loan & Credit Facilities
• Debenture/Bond Trustee-Debentures / bonds and deposits
• Securitisation and structured inance
• Escrow & securities monitoring
• Trust and retention account agent, and facility agent
• Structured Finance
• Administration of Trust & Legal Structure
• ESOP / EWT Trustee

- TRUSTEE FOR FUNDS

• Business trusts: Alternate Investment Funds
• Structuring from legal & taxation perspective
• Transfer of assets and listing assistance
• Regulatory compliance & reporting
• Setting up of operational framework & common platform for participants
• Convening meetings of unit holders and maintenance of records
• Annual administration during the life of the trust

- REITS & INVITS

• Structuring from legal and taxation perspective
• Assisting in Transferring assets and listing
• Adhering to regulatory compliances & reporting
• Ofering legal due diligence on assets and monitoring the low of funds
• Convening meetings of unit holders and maintenance of records

- CORPORATE SERVICES
• Consulting / identifying a suitable or other platform for setting up an entity in India
• Setting up of legal structures in line with business objectives
• Facilitating identiication & appointment of designated partner/ directors
• Facilitating annual regulatory compliance including tax ilings
• Assisting with payroll activities & book-keeping of documents
• Providing corporate secretarial & other support services

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REGISTRAR & SHARE TRANSFER AGENCY
SERVICES (RTA)

- LISTED COMPANIES
We perform a multitude of share administration tasks on behalf of issuers, including
administering shareholder registers, calculating and paying out dividends, and
aggregating shareholder voting results.

We provide services in a range of Corporate Actions and Capital Raisings, such

as Follow Public ofer (FPOs), Share Buy Backs, Rights Issues, Transfer and
Transmission, Consolidation, sub-division of securities and more. We also provide
printing and document formatting services, which means an end to end project
management.

- COMPANIES PROSPECTING TO GO PUBLIC

For corporate clients aiming for IPOs, we are equipped to undertake Registrar
to an Issue and Share Transfer Agency services which includes, Capital raisings,
Share administration, Corporate Actions and Capital Raisings, such as Initial Public
Oferings (IPOs), Share Buy Backs, Rights Issues, Share Purchase Plans and more

- UNLISTED COMPANIES
Orbis provides lexible solutions for Unlisted Companies ofering comprehensive
tailor-made solutions linked to their needs including:.

• Obtain ISIN code for securities and act as Registrar & Transfer Agent for your
companies.
• Convert all existing physical shares of their shareholders into electronic mode,
• Open demat account for your shareholders where so required,
• Electronic log – in for the company to extract relevant data at your convenience,
• Administer corporate actions

- MUTUAL FUND HOUSES

Orbis is a ‚Single-window solution’ to all the back- oce requirements of Mutual
Fund Houses! We ofer R&T, Custody, Clearing, Fund Accounting and Derivatives
Clearing Services to the Portfolio Managers and their Ultimate Beneiciary Clients.
Our solutions are cost-efective and simple.

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 PRODUCT OFFERINGS
Choose what’s right for you!

CUSTODY SERVICES
- DESIGNATED DEPOSITARY PARTICIPANT SERVICES
Orbis is a registered “Designated Depository Participant” (DDP) with Securities & Exchange Board of India. This authorises Orbis
to conduct the Investors due diligence right upto issuing the registration certiicate as Foreign Portfolio Investors.

- CUSTODY & DEPOSITARY SERVICES

Orbis entered the inancial markets to provide range of focused and forward looking services designed and customized to
equip the investors across segments to eciently manage their investing operations.

CLIENT DUE DILIGENCE, KYC & ONBOARDING SERVICES

Orbis provides a seamless and hassle-free Client-On Boarding experience to its clients.

ASSET SERVICING & SAFEKEEPING

Clearing & Trade Settlement Services are an integral part of Orbis’ Custody Services, be it for the Cash market or the Derivative
markets. Dynamic Regulatory requirements and new industry initiatives are creating unique demands for enhanced liquidity
management and operational eciencies across diferent segments.

CLEARING & SETTLEMENT OF TRADES

Clearing & Trade Settlement Services are an integral part of Orbis’ Custody Services, be it for the Cash market or the Derivative
markets. Dynamic Regulatory requirements and new industry initiatives are creating unique demands for enhanced liquidity
management and operational eciencies across diferent segments.

CORPORATE BENEFITS
Our Corporate Beneit services includes:
• Corporate Action Notiication: Provide client with details of a corporate action event along with possible actions & entitlements
available to them and take instruction on how the client wishes to proceed with a corporate action or proxy voting event;
• Corporate Action Conirmation: Conirm the client that securities and/or cash have been credited/debited to their account
as a result of the corporate event;
• Corporate Action Status: Inform the status or a change in the status, of a corporate action instruction that was executed on
behalf of the client.

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- DERIVATIVE CLEARING SERVICES
Orbis is registered as a Professional Clearing Member (PCM) with the various
exchanges namely:

• NSE: Equity and • BSE: Currency • MSEI: Currency

Currency segment segment segment

- FX EXECUTION
Orbis’s FX Execution service is a part of its bundled securities services. We
assist the foreign investors in currency conversion and repatriation of funds
through Authorised Dealers appointed by the client. Client has the option
to work with any of the AD banks in India which will be able to provide the
necessary information and report for providing prompt reporting to the
client.

- FUND ACCOUNTING & CLIENT REPORTING

Orbis ofers comprehensive fund accounting solutions including transaction,
valuations and proit reports supported by net asset value calculations.

Given our nimbleness with adaptations to changes and technological

capabilities, we are equipped to also provide ad-hoc support such as tax
reporting with built-in capabilities of servicing a wide array of investment
vehicles and fund structures.

Our Key Services include:

• Daily recorded proits & losses

• Timely Net Asset Value (NAV) calculations
• Trade, position & cash reconciliation
• Fund level and Beneiciary Level Accounting
• Preparing Annual Audit submissions for Auditors;
• Fee calculation - using various methodologies;
• Day-end valuations, corporate actions and income accruals processing
• Measurement of funds performance as per GIPS recommendations
• Delivery of elaborate reports and charts including customized reports
• Interface between the Fund Manager and the Investors
• Capabilities for multi-currency accounting

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- ORBIS ONLINE
Orbis Online is our very own customized platform for clients wherefrom they can
login and extract information / reports as per their requirements in their desired
formats too!

Some key features of Orbis Online:

• Customized Dashboards for faster decision making.
• Integrated Access Control System, based on login at various levels (e.g. PMS,
Schemes, Distributor & Family Levels).
• Option to export reports in multiple formats.
• Self-service selection based reporting for end user.
• Data available since inception to T-1.
• Password protection for automated reports.
• Reports available before markets opening for better decision- making
• Branding of client logo as per their requirements.

TRUSTEESHIP SERVICES
Orbis ofers Trustee services across a wide variety of clients including Equity Funds,
Alternative Investment Funds, NBFC’s, Corporates, Insurance & Banking Institutions
and Non – Proit Organisation. The inancial products include debentures, bonds
and term loans Our services are also directed towards corporate formation and
market entry services, due diligence and enforcement services to both domestic
and foreign entities.

CORPORATE TRUSTS

CORPORATE SERVICES TRUSTEE AIF’S

REAL ESTATE AND INFRASTRUCTURE

INVESTMENT TRUST

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REGISTRAR & SHARE TRANSFER AGENCY
SERVICES (RTA)
The complexity and demands of modern corporates and investment
portfolios; and the onerous regulatory environment make the need for
ecient registrar and transfer agents more relevant than ever

- SECURITIES REGISTRY MANAGEMENT

Orbis provides the most accurate and informative securities registration
services of the highest standards, customised to your speciic requirements,
acting as your Registrar or Transfer Agent.

- INITIAL PUBLIC OFFERING

When setting up your public issue, we make the process as smooth as
possible. Our dedicated team shall handle end to end public issue related
activities in the capacity of a ‚Registrar to Issue’ in compliance with Securities
and Exchange Board of India Regulations.

- CORPORATE ACTIONS
Orbis provides expert support for a full range of corporate actions whether
it be Cash Corporate Action or Non-Cash Corporate Actions.

- ESOP/WARRANTS ADMINISTRATION
Orbis ofers Employee Stock Option Plan (ESOP) /Warrants Administration
services for both Tradable and Non-Tradable ESOPs. As the administrator of
ESOP/Warrant/Grant, we provide fast and convenient services.

As an RTA, we are connected to both NSDL & CDSL and are providing
services to a number of companies across the country.

We also undertake procedures for transferring dividend/shares to IEPF

Authority under the IEPF Regulations.

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 OUR TECHNOLOGY PLATFORM

BUSINE E Setup

SECURITY SETUPS | ACCESS CONTROL S Masters Depositories

Client KYC & Masters

SWIFT ENABLED COMMUNICATION INTERFACE

Fund Manager’s Masters
Banks

Firewall
Security Switch
Back Up Server Exchanges

Rack Server
Storage
Transactions
Blade Server Brokers

Core ERP
Lines of Credit Trade Validations
Fund Accounting Fund Managers

On Line Reporting
Corporate Actions

UBO’s / Investors SS INTELLIGENC

Price Feed

Ongoing ISO /
System Audits Web Login

Business Continuity

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RECENT FELICITATION

ORBIS Out performed on nine out of ten parameters evaluated by

Global Custodian Survey for India-Domestic Survey 2017. This places us
much ahead of most other Domestic Custodians

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 CONTACT US

Shyam Agarwal Murlidhar Bakshi

Managing Director & CEO Vice President- Marketing & Sales
shyam.agarwal@orbisfinancial.in murlidhar.bakshi@orbisfinancial.in

Rishav Bagrecha Bankim Dalal

Chief Financial Officer Vice President- Marketing & Sales
rishav.bagrecha@orbisfinancial.in bankim.dalal@orbisfinancial.in

Vineet Parekh
EVP - Sales & Client Relations
vineet.parekh@orbisfinancial.in
Upendra Tripathi
Executive Vice President- Sales & Head HR
upendra.tripathi@orbisfinancial.in
FOR TRUSTEE & RTA SERVICES
Mayank Narang
mayank.narang@orbisifnancial.in
Prem Kumar
Manager- RTA Operations
prem.kumar@orbisfinancial.in

OUR OFFICES
MUMBAI OFFICE REGISTERED OFFICE
Vaibhav Chambers, 4A, Ocus Technopolis Sector 54,
Unit No.205 & 206, 2nd Floor, Golf Course Road,
Plot No.1, Bandra-Kurla Complex, Gurugram, Haryana 122 002
Bandra (East), Mumbai - 400051 T +91 124 454 6565
T +91 22 4077 6565 F +91 124 454 6500
F +91 22 4077 6500

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