Performance Summary. Highlights during the month. Did you know? Quote of the Month : December 2013

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1 December 2013 Win free goodies by answering a simple question For more details turn to page no. 12 Joint Awareness Programme with SEBI at Guntur, Andhra Pradesh in November 2013 Highlights during the month News Articles Companies Name Change Corporate Action Statistics Performance Summary Investor Accounts 13,004,661 Participants 280 Participant Service Centres 14,409 Demat Custody ` 82,03,236 Cr. Performance Summary Settlement ` 97,363 Cr. Securities Admitted For Dematerialisation Topic of Interest Calendar of Events Companies available for demat 11,657 Instruments Debentures/Bonds 9,086 Securitised Instruments 958 Commercial Paper 1,349 Certificates of Deposit 1,350 Did you know? Notes of `1000 denomination were demonetised w.e.f. January 16, 1978 and subsequently re-introduced in For the period from to , the amount for Rupee 1 coins also includes various commemorative Ten Rupee coins. From onwards for `1 coins Include Mahatma Gandhi Centenary Ten Rupee silver coin, World Food Agricultural Organisation Commemorative Ten Rupee silver coin and Independence Day Silver Jubliee Ten Rupee coin. Ten Rupee Coins are introduced from Quote of the Month : The single biggest difference between financial success and financial failure is how well you manage your money. It s simple: to master money, you must manage money.

2 2 News Articles Download of IDs to Issuers / RTAs A facility of flagging is being provided in the Client Maintenance Module to Clients who wishes that their details mentioned in its depository account should not be downloaded to the Issuer / RTA. In order to spread awareness about this facility, Participants are advised to incorporate the following footnote in the next Transaction Statement sent to Clients. 1. Clients will have the option to decide on how they want to receive their annual reports, notices, etc. from companies i.e. whether by or in paper form by post/courier. Clients can register their address in their demat account (if not already done) and choose whether to share the address with the companies/registrar & Transfer Agents. The default option would be to share the address with the companies/registrar and Transfer Agents. Clients who wish to receive the annual reports, notices, etc. from companies by as well as in paper form will have to make a request to <Participant Name> to enable the option No download of ID to Issuer/R&T Agent in their demat account. 2. Clients can simply make a written request (duly signed by all the holders) to <Participant Name> if their address is not updated in their demat account. 3. Clients will receive information pertaining to their demat account on their registered address faster and quicker in their inbox which is a smart and convenient way that offers the following benefits: a. Receive annual report, notices etc. from Issuer through b. Participate in voting through e-voting platform of NSDL c. Receive Transaction Statements and other communication from Participants in electronic mode d. Clients can intimate their Participant through about change in their demographic details such as Phone number, Fax number, Mobile number, ID and SMS facility as per the prescribed procedure e. Easier registration for IDeAS facility provided by NSDL to view their holdings and transactions on internet, if address is available in demat account f. Clients will receive alerts directly from NSDL via in case of change in address (Ref: Circular No. NSDL/POLICY/2013/0137 dated November 22, 2013) SEBI Circular on e-kyc service launched by Unique Identification Authority of India (UIDAI) SEBI vide Circular No. CIR/MIRSD/ 09 /2013 dated October 8, 2013 in consultation with Unique Identification Authority of India (UIDAI) and the market Participants has now decided to accept e-kyc service launched by UIDAI also, as a valid process for KYC verification. The information containing relevant client details and photograph made available from UIDAI as a result of e-kyc process shall be treated as sufficient proof of Identity and address of the client. However, client will have to authorize the intermediary to access his data through UIDAI system. (Ref: Circular No. NSDL/POLICY/2013/0130 dated November 6, 2013)

3 3 Amendments to Business Rules - Standardisation and Simplification of Procedures for Transmission of Securities SEBI vide Circular No. CIR/MIRSD/10/2013 dated October 28, 2013 has enhanced the existing threshold limit of `1,00,000 per beneficiary owner account to `5,00,000 for the purpose of simplification of documentation in case of transmission of securities in dematerialised mode, where the securities are held in single name without a nominee. However, if the legal heir(s) or the legal representative(s) express inability to produce the required documents and the market value of the securities held in each of the account of the deceased as on the date of application for transmission does not exceed `5,00,000 then Participant shall process the transmission request after the client has submitted the necessary documents to its Participant. Further, the timeline for processing the transmission request for securities in dematerialized mode shall be 7 days after receipt of the prescribed documents. Further details about this circular are posted on NSDL website (Ref: Circular No. NSDL/POLICY/2013/0131 dated November 6, 2013) SEBI Circular on Infrastructure Debt Fund (IDF) SEBI vide Circular no. CIR/IMD/DF/7/2013 dated April 23, 2013 had designated the following categories of FIIs as long term investors for the purpose of IDF: a) Foreign Central Banks b) Governmental Agencies c) Sovereign Wealth Funds d) International/Multilateral Organizations/ Agencies e) Insurance Funds f) Pension Funds Further, SEBI vide Circular No. CIR/IMD/DF/20/2013 dated November 29, 2013 has decided that regulated foreign feeder funds, having at all times, at least 20% of their assets under management held by investors belonging to one of more of the above categories of FIIs, shall also be categorized as FIIs which are long term investors, for the purpose of IDF. (Ref: Circular No. NSDL/POLICY/2013/0139 dated December 3, 2013) Closure of Ahmedabad Stock Exchange and Delhi Stock Exchange Participant Operations NSDL has informed all its Participants that Ahmedabad Stock Exchange (DP ID IN001094) and Delhi Stock Exchange (DP ID IN001035), Participants of NSDL, have informed NSDL about its decision to discontinue their depository operations. (Ref: Circular Nos. NSDL/PI/2013/2723 dated November 18, 2013 and NSDL/PI/2013/2786 dated November 22, 2013) Training Programmes for Participants: NCDO/NISM training / certification programmes for Participants To facilitate officials of Participants to prepare and appear for NISM-Series VI Depository Operations Certification Examination (DOCE), NSDL conducted five such training programmes in November 2013 at Chennai, Kolkata and Noida which were attended by 129 officials of various Participants.

4 4 CPE Training Programme for Participants NSDL, an approved NISM Accreditated Continuing Professional Education (CPE) Provider offers CPE training programmes for eligible associated persons of Participants. In November 2013, NSDL conducted 11 such training programmes at various locations viz., Ahmedabad, Bhopal, Chennai, Hyderabad, Indore, Kolkata, Mumbai, New Delhi and Pune which were attended by 292 officials of Participants. Investor Education initiatives undertaken by NSDL Investor Depository Meets (IDMs): NSDL interacts with investors throughout the country through a series of Investor Depository Meets. These programs are organised to spread awareness amongst the accountholders and others about the new facilities introduced by NSDL, the safety features and precautions to be taken by accountholders while operating in the depository environment. During November 2013, NSDL organised one such IDM at Godhra in Gujarat which were attended by around 42 investors. Joint Awareness Programmes with Securities and Exchange Board of India (SEBI): In order to reach out to masses spread across the country and to apprise them about the facilities available in NSDL depository system, NSDL conducted a Joint Awareness Programme with SEBI in November 2013 at Guntur in Andhra Pradesh which was attended by around 270 investors. Investor Awareness Programme with ICICI Securities : In order to reach out to investors that are spread across the country and to apprise them about the facilities available in NSDL depository system and the awareness on stock markets, NSDL conducted six Investor Awareness Programmes with ICICI Securities in November 2013 at Balasore & Rourkela in Odisha, Jabalpur in Madhya Pradesh, Chittorgarh in Rajasthan, Kalyani in West Bengal and Jammikunta in Andhra Pradesh which were attended by 238 investors. Events conducted by NSDL during November 2013: NSDL Brand Ambassador: NSDL had launched a new initiative called NSDL Brand Ambassador (NSDL BA) for student community education and to popularize demat products and related concepts amongst colleges. In November 2013, NSDL conducted a workshop on NSDL Brand Ambassador for students of Alkesh Dinesh Modi Institute of Management, Mumbai which was attended by around 45 students and faculties. Mr. Mitul Patel, Ms. Roshni Sharma and Ms. Saloni Dhanuka were selected as NSDL Brand Ambassadors after screening them through various rounds of this contest. List of Participant Service Centre: v For complete list of Participant Service Centres, kindly visit on NSDL website.

5 5 List of Companies that have changed Names (During November 2013) Sr. No. Old Name New Name 1 Dynamic Tradeserv Private Gretex Corporate Services Private 2 Mehta & Mehta Real Estate Private SGGD Projects Development Private 3 Halonix Phoenix Lamps 4 JM Financial Asset Management Private JM Financial Asset Management 5 Ratna Kamal Holdings Unishire Urban Infra 6 APW President Systems Schneider Electric President Systems 7 Interfit Techno Products National Fittings 8 Religare Wellness RWL Healthworld 9 P.L.Enterprise Matra Kaushal Enterprise 10 Amtek Crankshafts (India) ACIL 11 Amtek Ring Gears ARGL 12 Foodworld Supermarkets Foodworld Supermarkets Private 13 Tractor Engineers L&T Cutting Tools 14 Almondz Capital and Management Services Avonmore Capital And Management Services 15 Development Investment Trustee Company Private ISSL Market Services Corporate Action Statistics Sr. No. Description During November 2013 For F.Y (Upto November 2013) No. of Allottees No. of Securities No. of Allottees No. of Securities 1 Equity Shares 183,805 3,227,236,315 4,997,213 64,475,968,043 2 Preference Shares ,815, ,079 4,030,989,573 3 Bonds 41,375 52,656, ,105 1,008,823,855 4 Commercial Papers 526 1,262,560 4,037 9,153,941 5 Certificates of Deposit 400 5,329,906 3,681 39,130,430 6 Securitised Instruments 54 39,750, ,537,726 7 Mutual Fund Units 23, ,534, ,239 1,902,245,513 8 Government Securities ,080, ,080,400 9 Warrants 10 9,900, ,240, Commodities ,262, Mutual Fund Units (Trase) 9,856 72,147,746 89, ,167,248 Total 259,717 3,858,714,118 5,723,123 72,376,598,822

6 6 Performance Summary Investors Client Accounts No. of Accounts (lakh) No. of Participants Participants Service Centres Cities / Towns Nov Nov Nov Nov ,832 1,518 Nov ,406 1,562 Nov ,409 1,558 Dematerialisation No. of Dematerialised Securities (Cr.) Value of Dematerialised Securities ( ` Cr.) Settlement Quantity of shares settled in dematerialised form (Cr.) Value of shares settled in dematerialised form ( ` Cr.) Nov-11 54,867 64,91,906 Nov-12 63,543 78,01,981 Nov ,354 Nov ,322 Nov-13 74,154 82,03,236 Companies EQUITY Nov ,363 No. of Companies Operational Nov-11 9,366 Nov-12 10,397 Nov-13 11,657 (Single Side) Debentures / bonds No. of No. of active Issuers instruments Demat Value ( ` Cr.) Nov ,688 9,30,105 Nov ,523 11,70,464 Nov ,086 13,93,505 Securitised Instruments No. of No. of active Demat Value Issuers instruments ( ` Cr.) Nov ,409 Nov ,149 Nov ,543 Commercial Papers No. of No. of active Issuers instruments Demat Value ( ` Cr.) Nov ,081 1,80,548 Nov ,666 2,11,940 Nov ,349 1,76,972 Certificates of Deposit No. of No. of active Issuers instruments Demat Value ( ` Cr.) Nov ,345 4,00,704 Nov ,176 3,57,397 Nov ,350 3,43,079

7 7 Securities admitted for Dematerialisation during November 2013 Sr. No. COMPANY ISIN 1 3RD Rock Multimedia INE768P Aakash Educational Services INE763P Abhijay Developers Private INE686P Allied Strips INE739P Angel Power & Steel Private INE770P ASF Buildtech Private INE675P ASF Buildwell Private INE674P Auro Mira Biopower India Private INE654P Autoline Industrial Parks INE656P Bhaumik Shelters Private INE682P Coeus Education Management Private INE679P Concast Damoh Road Project Pvt. Ltd. INE741P Concast Dhaneta Road Projects Pvt. Ltd. INE740P Concast Jawasa Road Projects Pvt. Ltd. INE779P Concrete Techno Projects INE688P Dalmia Industrial Development INE642P DIA Exports Private INE652P DS Agri Estates Private INE712P DS Green Agrotech Private INE699P DS Realetors Private INE693P Ekdant India INE735P First American (India) Pvt Ltd INE724P Frank Lloyd Tech Management Services INE721P Galaxy Dwellers Private INE689P Ganges Internationale Private INE665P Goldline International Finvest INE204P Goriputra Metal INE723P Green Biofuels Farms Private INE666P Greentech Power Private INE708P Hans Buildcon Private INE716P01011 Sr. No. COMPANY ISIN 31 Health and Glow Retailing Pvt Ltd INE769P Helpage Finlease INE738P Hitech Dwellers Private INE696P Imperial Spirits INE653P Jabalpur Patan Shahpura Tollways INE710P James Warren Tea INE718P Jindal Combines Private INE746P Jyothy Fabricare Services INE756P Jyoti CNC Automation INE980O Kailash Dwellers Private INE695P Karnimata Cold Storage INE576P Kesarval Springs Distillers Private INE754P Keystone Realtors Private INE263M Krishiraj Trading INE749P KSH Distriparks Private INE843O Lord Krishna Dwellers Private INE764P Mahindra Logistics INE766P Manas Dwellers Private INE691P Meadows Buildtech Private INE773P Nangloi Water Services Private INE673P Naya Raipur Gems and Jewellery Sez 52 Neelkamal Realtors Tower Private INE737P01017 INE743P Nilay Infrastructure Private INE694P NSDL Database Management INE705P NV Realty Private INE727P Partani Appliances INE217P Patnaik Steels and Alloys INE742P Pokaran Solaire Energy Private INE781P Prag Distillery Private INE755P Precision Dwellers Private INE687P01014

8 8 Sr. No. COMPANY ISIN 61 Prime Infoinvest INE758P Quant Capital Advisors Private INE765P R.C. Nursery Private INE661P Raghuleela Builders Pvt. Ltd. INE747P Ramchandra Leasing and Finance INE516P Ramky Enclave INE672P Ramky Esco INE702P Ramky Food Park Chattisgarh INE670P Ramky Herbal and Medicinal Park Chattisgarh INE685P Ramky Towers INE671P Ramky-Midc Agro Processing Park INE669P Religare Infotech Private INE662P RSB Projects INE782P Sabhrant Estates Private INE692P Safenet India Private INE720P Safenet Infotech Private INE719P Sandarbh Buildcon Private INE701P Serco BPO Holdings Private INE928J Seven R Hotels Private INE690P Shakun Consumer Products Private INE657P Shape Builders Private INE681P Silverlake Realtors Private INE760P01019 Sr. No. COMPANY ISIN 83 Sindhudurg Hospitality Private INE714P SKR Properties Private INE715P Spiritual Dwellers Private INE698P Srijan Investments INE722P Sujana Finance and Trading Private INE759P Sunrise Dwellers Private INE700P Surya Marketing INE717P Tema India INE604P Tentiwal Wire Products INE486P United Drilling Tools INE961D Vachan Realtors Private INE711P Vahni Distilleries Private INE753P Vintage Builders Private INE713P Vipra Realtors Private INE683P Warden Engineering and Commercials Pvt Ltd INE668P Warden International (Agencies) Pvt Ltd INE667P Welspun Anjar SEZ INE748P Welspun Realty Private INE815N West Bengal Waste Management INE664P Xerox India INE034E Yalamanchili Finance and Trading Private INE761P Yukti Construction Private INE684P01011

9 9 Stress Buster To solve a Sudoku puzzle, every digit from one to nine must appear in each of the nine vertical columns, in each on the nine horizontal rows and in each of the nine boxes.

10 10 TOPIC OF INTEREST Know more about e-insurance Account (eia) 1. What is an Insurance Repository? Ans. Insurance Repository is a company formed and registered under the Companies Act, It has also been granted a certificate of registration under the Guidelines on Insurance repositories and electronic issuance of insurance policies by Insurance Regulatory and Development Authority (IRDA). NDML has named its Repository as National Insurance-policy Repository (NIR). 2. What is an eia (e-insurance Account)? Ans. e-insurance Account (eia) is the portfolio of insurance policies of a policy holder held in an electronic form with an Insurance Repository. It will help the eia holder to have his insurance policies under one umbrella, thus letting him keep a track of status in each policy that he holds. 3. Who is an Approved Person (AP)? Ans. An Approved Person is an entity appointed by Insurance Repository (IR) and will be working on behalf of Insurance Repository to extend the IR services. 4. Who can open an eia? Ans. As per the Guidelines on Insurance Repositories and electronic issuance of policies, a proposer who has policies on his own or who proposes to take insurance policies can open an eia. For Further details, please visit or get in touch with us at helpdesk. nir@nsdl.co.in / to be concluded in next issue

11 11 We sincerely thank our DPs for their presence and active participation in 28 th DP Conference Team NSDL (From L to R : Mr. Harsh Acharya, Mr. Pritesh Parikh, Mr. Yogesh Parve, Mr. Rakesh Mehta, Mr. Samar Banwat, Mr. G.V. Nageswara Rao, Mr. Rajesh Doshi, Mr. Prashant Vagal, Mr. Manoj Sathe, Mr. Marlon Correia, Ms. Candelina Rodrigues, Mr. Sameet Alegavi, Ms. Jayashree Bagul, Ms. Madhuri Kale) Note : NSDL will be publishing a special issue on NSDL Update titled NSDL Star Performer Awards 2013 National Insurance-policy Repository (NIR) Now, hold all your Insurance policies, be it life or non life in electronic records under a single e-insurance account (eia). For further details, please visit or get in touch with us at helpdesk.nir@nsdl.co.in /

12 12 NSDL Calendar of Events Compliance Requirement Sr.No. Particulars Reference Due date Mode of sending 1. Investor Grievance Report (Monthly) 2. Compliance Certificate (July - December) (i) Circular No. NSDL/PI/98/500 dated October 6, (ii) Circular No. NSDL/PI/2004/1688 dated September 16, Circular No. NSDL/ POLICY/2006/0023 dated July 6, By 10th of the following month. January 31st every year. By at dp_igreport@nsdl.co.in. Alternatively, by hard copy to the Investor Relationship Cell. Digitally signed compliance certificate by at nsdl-bp-inspection@nsdl.co.in. Alternatively, by hard copy to Business Partner Inspection Department. What is an eia (e-insurance account)? Send your replies providing your contact details (Name, address and contact number) with the subject Knowledge Wins Contest - December 2013 to info@nsdl.co.in NSDL Offices Head Office Mumbai 4th Floor, A Wing, Trade World, Kamala Mills Compound, Senapati Bapat Marg, Lower Parel, Mumbai Tel: (022) / Fax: (022) Ahmedabad Unit No. 407, 4th floor, 3rd Eye One Commercial Complex Co-op. Soc. Ltd., C. G. Road, Near Panchvati Circle, Ahmedabad Tel: (079) , Fax: (079) Kolkata 5th Floor, The Millenium, Flat No. 5W, 235 / 2A, Acharya Jagdish Chandra Bose Road, Kolkata Tel: (033) / 62, Fax: (033) Branch Offices Chennai 6A, 6th Floor, Kences Towers, #1 Ramkrishna Street, North Usman Road, T. Nagar, Chennai Tel: (044) / 18, Fax: (044) New Delhi 409 / 410, Ashoka Estate Building, 4th Floor, Barakhamba Road,Connaught Place, New Delhi Tel: (011) / 17, Fax: (011) Investor Relationship Cell Officer-In-Charge, National Securities Depository Ltd. 4th Floor, A Wing, Trade World, Kamala Mills Compound, Senapati Bapat Marg, Lower Parel, Mumbai Tel: (022) / Fax: (022) relations@nsdl.co.in For more information, us at info@nsdl.co.in NSDL Certification Programme Officer-In-Charge, National Securities Depository Ltd. 4th Floor, A Wing, Trade World, Kamala Mills Compound, Senapati Bapat Marg, Lower Parel, Mumbai Tel: (022) / Fax: (022) trainingdept@nsdl.co.in Printed & Published by Mr. Manoj Sathe on behalf of National Securities Depository and Printed at Printography Systems (India) Pvt. Ltd., 13/D, Kurla Ind. Estate, Nari Seva Sadan Road, Ghatkopar (West), Mumbai and Published from National Securities Depository, 4th Floor, A Wing, Trade World, Kamala Mills Compound, Senapati Bapat Marg, Lower Parel, Mumbai Editor: Mr. Manoj Sathe