5Bl Global Factors Ltd.

The C0l11Pi1l1Y Socretarv I~of. : I~O/CS/'S~

National Stock [XClliH1QO 01 India Limited Date: July 13, 2016 [~xchan~Jo Plaza (>1, 13 lock G, Bandt'a-l<ul-la Complex Bandra (East) Murnbai -- 400051

Dear Sir,

Your Circular CIR/CFD/CMD/5/2015 dated September 24,2015

Sub. : ComJ2liance Rep-art on Corp-orate Governance for the Quarter ended on Jun(1 30,2016

Please find attached herewith, duly filled in Compliance Heport on Corporate Governance for the Quarter ended on June 30, 2016, in 'Annexure - I' format, as prescribed by the Securities and Exchange Board of India (SEBI) vide its captioned Circular,

Thanking you,

Yours faithfully, For SBI Global Factors Limited

{j;;,f'X Amita Joshi Company Secretary & Compliance Officer

Encl. A/a

CIN U65929MH2001 PlC131203

6th flnor, The Metropolitan Building, Bandra Kurla Complex, Bandra (East), Mumbai - 400 051. India.

Tel. No. : 91 2266946000/30440300, Fax: 91 2266946098/99, E-mail: contact@sbiglobal.in, Website: www.sbiglobal.in

ANNEXURE I

Format to be submitted by listed entity on quarterly basis

1. Name of the Listed Entity: SBI GLOBAL FACTORS LIMITED 2. Quarter ending - June 30, 2016

I. Composition of Board of Directors

Title Name of the Director PANs & DIN Category Date of Tenure' N? of . I Number of.. I No of post of I (Mr. / (Chairperson/Exec Appointment ~Irectorshlp men:bershlps In I~hairperson Ms) utive/Non­ in the current In listed Audit! Stakeholder In AudiU

Executive/indepen term entities Committee(s) , Stakeholder denUNominee) & /cessation including including this Committee

this listed listed entity held in listed entity (Refer RegUlation entitles (Refer 26(1) of Listing including this Regulation Regulations) I listed entity 25(1) of (Refer Listing Regulation Regulations) 26(1) of

Listing Regulations)

Ms. Arundhati Bhattacharya PAN: Chairman-Non­ 07/10/2013 - 05 (Five) Nil I Nil AFXPB6907K Executive­ (Date of (Viz., 04

IDIN: G2011213 Nominee Director Appointment) Nationalised

Banks and 01 Listed Company) I

Mr. Vellur Gopalaraghavan Kannan PAN: Non-Executive­ 03/11/2014 - 05 (Five) 05 (Five) (Viz., 01 I Nil

AAOPK4265F Nominee Director (Date of (Viz., 04 Listed Company,

DIN: Appointment) Nationalised and 04 Non Listed

03443982 Banks and Companies) 01 Listed Company)

-~'-

1

I Titlere of the Director

Ms. Bharati Rao

Mr. I Arun Kumar Agarwal

Mr. Bhargava Kaushik Vatsaraj

PANs & DIN Category Date of I Tenure- I No of Number of

I 'sen/Exec 1­

ment urrent

:orship In listed

... _ ... _-,_. "r--­ ...

AudiU Stakeholder s/indepen entities Committee(s)

I linee) & on including this listed

including this listed entity

I entity (Refer Regulation •. (Refer 26(1) of Listing

Regulation Regulations) 25(1) of Listing

I Requlations) I

PAN: II Non-Executive­ 30/03/2015

I I Three Years from 30/03/2015 ; 07 (seven) I 07 (Seven) (viz.,

ABEPR3693M DIN: 01892516

Independent

rector

(Date of Appointment)

(Viz., one Bank and six Listed

one Bank and six listed Companies)

I Companies)

PAN: Executive ­ 03/03/2013 I - 01 (One) Nil

ADCPA4453E Nominee Director (Date of DIN: Appointment) I 06518822

PAN: Non-Executive ­ 16/01/2009 Tenure as Independent Director 01 (One) 01 (One)

ABLPV1613Q Independent (Date of under the Companies Act, 2013

DIN: Director Appointment

00144251 as Independent Director under the Companies Act, 1956)

Term I : One year from 16/02/2015 (i.e. upto 15/02/2016) Term II : Three Years From 16/02/2016 (i.e. upto 15/02/2019)

I 1

I

1

I No of t of 1 ...... _ .. r- ..... __ ..

in AudiU Stakeholder Committee held in listed entities including this listed entity (Refer Regulation 26(1) of Listing Regulations) Nil

Nil

I 1I01 (One)

II I I

I

, I .......-:-=-­

2

Title Name of the Director PANS & DIN Category Date of Tenure- No of Number of No of post of (Mr. 1 (Chairperson/Exec Appointment in Directorship memberships in Chairperson in Ms) utive/Non­ the current term in listed Audit! Audit!

Executivelindepend /cessation entities Stakeholder Stakeholder ent/Nominee) & including this Committee(s) Committee

listed entity including this held in listed (Refer listed entity entities Regulation (Refer Regulation including this 25(1) of 26(1) of Listing listed entity Listing Regulations) (Refer Regulations) Regulation

26(1) of Listing Regulations)

Mr. Krishna Iyer Mani PAN: I Non-Executive - , 23/08/2013 01(One) Nil Nil AFZPM2694E Nominee Director (Date of DIN: Appointment) 03063000

Mr. Ramesh Bansidhar Kshirsagar 04/03/2015PAN: I Non-Executive ­ 01 (One) Nil Nil ·ABPPK6687B Nominee Director (Date of /­

DIN: Appointment) I

I 07116343 Mr. Narayanan Raja I Non-Executive Three Years from 29/03/2016 01 (One) Nil Nil

I Independent (i.e. upto 28/03/2019) I Director

I Is.Cateqory of directors

seAN number of any directorwould not be displayed on the website of Stock Exchange moo" exe"Uve/ooo-"e"'lvol1odepeod,,VNomloee If' director fit, into more than ooe category write at cateqories ,ep,,,,U09 them witn hyphen

- to be filled only for IndependentDirector. Tenure would mean total period from which Independent director is servingon Board of directors of the listed entity in continuitywithout any coolingoff period. I

3

II. Composition of Committees Name of Committee Name of Committee members Category

1. Audit Committee

2. Nomination & Remuneration Committee

3. Risk Management Committee(if applicable)

4. Stakeholders Relationship Committee'

a) Dr. Bhargava Kaushik Vatsaraj

b) Shri Vellur Gopalaraghavan Kannan c) Smt. Bharati Rao

a) Shri Vel/ur Gopalaraghavan Kannan b) Smt. Bharati Rao c) Dr. Bhargava Kaushik Vatsaraj

a) Shri Arun Kumar Agarwal b) Dr. Bhargava Kaushik Vatsaraj c) Smt. Bharati Rao

(Chairperson/Executive/Non­Executive/independent/Nominee) $

Ia)Non-Executive-lndependent I

Director-Chairman (Audit Committee) b) Non-Executive-Nominee Director c) Non-Executive-Independent Director a)Non-Executive-Nominee Director b) Non-Executive-Independent

Director c) Non-Executive-Independent

Director a)Executive-Nominee Director b)Non-Executive-Independent

Director c)Non-Executive-Independent

Director

&Category of directors means executive/non-executive/independent/Nominee. if a director fits into more than one category write all categories separating them with hyphen 111. Meeting of Board of Directors Date(s) of Meeting (if any) in the previous quarter Date(s) of Meeting (if any) in the

.<. relevant quarter

29/01/2016 20104/2016

I Maximum gap between any two consecutive (in number of days)

I . 120 Days (as per Section 173 of the Companies Act, 2013). 81 Days (actual gap between two consecutive Meetings of the Company)

~~,

4

IV. Meeting of Committees Date(s) of meeting of the Whether requirement of Date(s) ofmeeting of the Maximum gap between any committee in the relevant quarter Quorum met (details) committee in the previous quarter two consecutive meetings in

number of deys:

As per 'Annexure II' I • This information has to be mandatorily be given for audit committee, for rest of the committees giving this information is optional

V. Related Party Transactions Subject Compliance status rYes/No/NA) refer note below Whether prior approval of audit committee obtained Yes ryJe report to the Audit Committeeof the Board, all the Related Party

Transactions which are within the Arm's lenqth). Whether shareholder approval obtained for material RPT No

Whether details of RPT entered into pursuant to omnibus approval have been reviewed by Audit Committee

N.A.

Note 1 In the column "Compliance Status", compliance or non-compliance may be indicated by Yes/No/N.A.For example, if the Board has been composed in accordance with the requirements of Listing Regulations, "Yes" may be indicated. Similarly, in case the Listed Entity has no related party transactions, the words "N.A." may be indicated. 2 If status is "No" details of non-compliance may be given here.

5

VI. Affirmations 1. The composition of Board of Directors is in terms of SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 2. The composition of the following committees is in terms of SEBI(Listing obligations and disclosure requirements) Regulations, 2015 a. Audit Committee b. Nomination & remuneration committee c. Stakeholders relationship committee d. Risk management committee (applicable to the top 100 listed entities) 3. The committee members have been made aware of their powers, role and responsibilities as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 4. The meetings of the board of directors and the above committees have been conducted in the manner as-specfied in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 5. This report and/or the report submitted in the previous quarter has been placed before Board of Directors. Any comments/observations/advice of Board of Directors may be mentioned here:

, 1l:4~' ~ I';';'';;-::-~o\: . . II~//' ~~\~~\\

Name & DesIgnation '~iN~~UM"'f"I' \"'), I Company Secretary / Compliance Officer / MaAa§ifl§ Direetor.' CEO ~/.\. ,:"''::, /' -s> .(­

'P"!on I L';- J G/L S' * ~~

Note: Information at Table I and II above need to be necessarily given in 1st quarter of each financial year. However if there is no change of information in subsequent quarter(s) of that financial year, this information may not be given by Listed entity and instead a statement "same as previous quarter" may be given.

6

'Annexure II'

IV. Meeting of Committees

I Date(s) ofmeeting ofthe IWhether requirement of Date(s) ofmeeting ofthe Maximum gap between any II'

committee in the relevant Quorum met (details) committee in the previous two consecutive meettngs In

quarter i ' quarter number ofdays* A. Audit Committee of the Board of Directors

I

20/04/2016 I Yes (two Members) 129/01/2016 I 81 Days (actual gapI between two consecutive

Meetings of the I Company)

B. Nomination and Remuneration Committee of the Board of Directors 20/04/2016 I Yes (two Members) Nil INot Applicable C. Risk Management Committee of the Board of Directors

Yes (Two Members, of which 20/04/2016 29/01/2016 [81 Days (actual gap at least one shall be a Non- between two consecutive Executive Director) I Meetings of the

Company) . This information has to be mandatorily be given for audit committee, for rest of the committees giving this information is optional

For SBI Global Factors Limited ~, ,1<c/~)-o~,/;/ -'-/ 1( 0 \;1:\\\

Ittt?tc~/t-, .~\~DIMllMl3A\l '..'i'l! . ,""" !/ ~ '.,.!Amita <Joshi

Company Secretary & Compliance Officer ~~

58I Global Factors Ltd.

The Company Secretary Ref. : RO/CS/ 2'7 ~ National Stock Exchange of India Limited Date: October 03, 2016 Exchange Plaza C-1, BlockG, Bandra-Kurla Complex Bandra (East) Mumbai - 400051

Dear Sir,

Your Circular CIRjCFD/CMD/5/2015 dated September 24,2015

Sub. : Compliance Report on Corporate Governance for the Quarter ended on September 30, 2016

Please find attached herewith, duly filled in Compliance Report on Corporate Governance for the Quarter ended on September 30, 2016, in 'Annexure :-- I' format, as prescribed by the Securities and Exchange Board of India (SEBI) vide its captioned Circular.

Thanking you,

Yours faithfully, For SBI Global Factors Limited

(}£/Amit~ Company Secretary & Compliance Officer

Encl. A/a

CIN U65929MH2001 PLC131203

6thfloor, The Metropolitan Building, Bandra Kurla Complex, Bandra (East), Mumbai - 400051. India.

Tel. No. : 91 226694 6000/3044 0300, Fax: 91 22 6694 6098/99, E-mail: contact@sbiglobal.in, Website: www.sbiglobal.in

ANNEXURE I

Format to be submitted by listed entity on quarterly basis

1. Name of the Listed Entity: SBI GLOBAL FACTORS LIMITED 2. Quarter ending - September 30,2016

I. Composition of Board of Directors Title Name of the Director PAN $& DIN Category I Date of Tenure' No of I Number of I No of post of (Mr. 1 (Chairperson/Exec I Appointment Directorship memberships in Chairperson Ms) utive/Non­ in the current in listed Audit/ Stakeholder in Audit/

Executive/indepen term entities Committee(s) Stakeholder Ident/Nominee) & Icessation including including this ICommittee

this listed listed entity held in listed entity (Refer Requlation entities (Refer 26(1) of Listing including this

I Regulation Regulations) listed entity 25(1) of I(ReferListing Regulation

IRegulations) 26(1) of Listing Requlations)

Ms. Arundhati Bhattacharya PAN: Chairman-Non­ 07/10/2013 - 05 (Five) Nil Nil AFXPB6907K Executive­ (Date of (Viz., 04 DIN: 02011213 Nominee Director Appointment) Nationalised

Banks and .. I01 Listed Company)

Mr. Vellur Gopalaraghavan Karman PAN: Non-Executive­ .30107/2016 - 05 (Five) 05 (Five) (Viz., 01 Nil AAOPK4265F Nominee Director (Date of (Viz., 04 Listed Company, DIN: Cessation) Nationalised and 04 Non Listed 03443982 Banks and Companies)

01 Listed Company)

-_/~'-:k~/', - .",-,.. ..,rr::« '0" i1~~~ -;.\\I! 5 h"iJi-\e;,.\; ;: lj 1

\{~, ~

Title Name of the Director PAN$ & DIN Category Date of Tenure- No of Number of No of post of (Mr. 1 (Chairperson/Exec Appointment Directorship memberships in Chairperson Ms) utive/Non­ in the current in listed Audit/ Stakeholder in AudiU

Executivelindepen term entities Committee(s) Stakeholder denUNominee) & Icessation including including this Committee

this listed listed entity held in listed entity (Refer Regulation entities (Refer 26(1) of Listing including this Regulation Regulations) listed entity 25(1) of (Refer Listing Regulation Regulations) 26(1) of

Listing

Ms. Bharati Rao PAN: Non-Executive­ 30103/2015 Three Years from 30103/2015 I 07 (seven) i 07 (Seven) (viz., Requlations)

I Nil ABEPR3693M Independent (Date of (Viz., one one Bank and six DIN: 01892516

Director Appointment) Bank and six Listed

listed Companies) , I I

Mr. Arun Kumar Agarwal PAN: Executive ­ 30106/2016 -Companies) 01 (One) Nil

!I Nil

ADCPA4453E Nominee Director (Date of I I

DIN: Cessation) 06518822

I Mr. Bhargava Kaushik Vatsaraj PAN: Non-Executive ­ 16/01/2009 Tenure as Independent Director 01 (One) 01 (One) 01 (One)

ABLPV1613Q Independent (Date of under the Companies Act, 2013 DIN: Director Appointment 00144251 as Term I : One year from

Independent 16/02/2015 Director under (i.e. upto 15/0212016) the Term II : Three Years From I Companies 16/0212016 Act, 1956) (i.e. upto 15/0212019) I

i

I I

2

--

Title (Mr. 1

Name of the Director PAN$ & DIN I Category(Chairperson/Execut

Date of Appointment in

Tenure* No of Directorship in

-­

Number of memberships in

No of post of Chairperson in

Ms) I ive/Non­ the current term listed entities Audit! Stakeholder Audit! Executive/independ Icessation including this Committee(s) Stakeholder ent!Nominee) & listed entity including this listed Committee

(Refer entity I held in listed Regulation (Refer Regulation entities 25(1) of listing 26(1) of listing including this Regulations) Regulations) listed entity

(Refer Regulation 26(1) of listing Requlatlons)

Mr. Krishna Iyer Mani PAN: Non-Executive - 23/08/2013 - 01(One) Nil ' Nil AFZPM2694E Nominee Director (Date of DIN: Appointment) 03063000

Mr. Ramesh Bansidhar Kshirsagar PAN: Non-Executive - 04/03/2015 - 01 (One) Nil Nil ABPPK6687B Nominee Director (Date of DIN: Appointment) 07116343

Mr. Narayanan Raja PAN: AAGPN9680B

Non-Executive Independent

- 29/03/2016 (Date of

Three Years from 29/03/2016 (l.e. upto 28/03/2019)

01 (One) Nil I Nil I

DIN: Director Appointment) 00503400

Mr. Tushar Kishorechandra Buch PAN: Executive - 01/07/2016 2 years w.e.f.01/07/2016 01 (One) Nil Nil ABYPB8903A Nominee Director (Date of DIN: Appointment)

Mr. Gajanan Ramakant Padalkar 07566371 PAN:

IAFOPP3710K

Non-Executive Nominee Director

- 22/07/2016 (Date of

- 01 (One) IN;I INil

DIN: 07516922

Appointment) [ I

$PAN number of any director would not be displayed on the website of Stock Exchange &Category of directors means executive/non-executivelindependent!Nominee. if a director fits into more than one category write all categories separating them with hyphen * to be filled only for Independent Director. Tenure would mean total period from which Independent director is serving on Board of directors of the listed entity in continuity without any cooling off period. !

3

~-

II. Composition of Committees Name of Committee Name of Committee members Category

(Chairperson/Executive/Non­Executive/independentiN ominee) s

1. Audit Committee a) Dr. Bhargava Kaushik Vatsaraj a)Non-Executive-lndependent Director-Chairman (Audit

!b) Smt. Bharati Rao Committee) b) Non-Executive-Independent Director

2. Nomination & Remuneration Committee a) Smt. Bharati Rao a) Non-Executive-Independent b) Dr. Bhargava Kaushik Vatsaraj Director

b)Non-Executive-Independent Director

3. Risk Management Committee(if applicable) a) Dr. Bhargava Kaushik Vatsaraj a)Non-Executive-lndependent b) Smt. Bharati Rao Director

b)Non-Executive-Independent Director

4. Stakeholders Relationship Committee' &Category of directors means executive/non-executive/independentiNominee. if a director fits into more than one category write all cateqories separatinq them with hyphen III. Meeting of Board of Directors Oate(s) of Meeting (if any) in the previous quarter Oate(s) of Meeting (if any) in the Maximum gap between any two

relevant quarter consecutive (in number of days)

20/04/2016 22/07/2016 • 120 Days (as per Section 173 of the Companies Act, 2013)

• 92 Days (actual gap between two consecutive Meetinqs of the Company)

4

!IV. Meeting of Committees I Date(s) of meeting of the Whether requirement of Date(s) of meeting of the Maximum gap between any

Quorum met (details) Icommittee in the previous quarter I committee in the relevant quarter two consecutive meetings in number of deys-

As per 'Annexure II' I * This information has to be mandatorily be given for audit committee, for rest of the committees giVing this information is optional

V. Related Party Transactions Subject Whether prior approval of audit committee obtained

Whether shareholder approval obtained for material RPT

Comoliance status (Yes/No/NA) refer note below Yes (We report to the Audit Committee of the Board, all the Related Party Transactions which are within the Arm's length). No

I I

Whether details of RPT entered into pursuant to omnibus approval have been reviewed by Audit Committee

N.A.

Note 1 In the column "Compliance Status", compliance or non-compliance may be indicated by Yes/No/NAFor example, if the Board has been composed in accordance with the requirements of Listing Regulations, "Yes" may be indicated. Similarly, in case the Listed Entity has no related party transactions, the words "N.A." may be indicated. 2 If status is "No" details of non-compliance may be given here.

VI. Affirmations 1. The composition of Board of Directors is in terms of SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 2. The composition of the following committees is in terms of SEBI(Listing obligations and disclosure requirements) Regulations, 2015 a. Audit Committee b. Nomination & remuneration committee c. Stakeholders relationship committee d. Risk management committee (applicable to the top 100 listed entities) 3. The committee members have been made aware of their powers, role and responsibilities as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 4. The meetings of the board of directors and the above committees have been conducted in the manner as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 5. This report ar:lcJlo~ the report submitted in the previous quarter has been placed before Board of Directors. Any comments/observations/advice of Board of Directors may be mentioned here: ­

.~ -:>. ~ Name &=on ff~~O~)' Company Secretary I Compliance Officer I Manaaino Dileetef" I eEG­ ~h7§f;IIM;C; .Jo4v '

Note: Information at Table I and II above need to be necessarily given in 1st quarter of each financial year. However if there is no change of information in subsequent quarter(s) of that financial year, this information may not be given by Listed entity and instead a statement "same as previous quarter" may be given.

6

'Annexure II'

IV. Meeting of Committees

Date(s) ofmeeting ofthe Whether requirement of Date(s) ofmeeting ofthe Maximum gap between any committee in the relevant Quorum met (details) committee in the previous two consecutive meetings in quarter quarter number ofdays* A. Audit Committee of the Board of Directors 22/07/2016 Yes (two Members) 20/04/2016 92 Days (actual gap

between two consecutive Meetings of the Company)

S. Nomination and Remuneration Committee of the Board of Directors 22/07/2016 Yes (two Members) 20/04/2016 92 Days (actual gap

between two consecutive Meetings of the Company)

C. Risk Management Committee of the Soard of Directors 22/07/2016 Yes (Two Members, of which 20/04/2016 92 Days (actual gap

at least one shall be a Non- between two consecutive Executive Director) Meetings of the

Company) • This information has to be mandatorily be given for audit committee, for rest of the committees giving this information is optional

For 5S1 Global Factors Limited

~f1f:. flOW·~td~Company Secretary & Compliance Officer

~

-,

5BI Global Factors Ltd.

The Company Secretary Ref. : RO/CS/36 J National Stock Exchange of India Limited Date: January 05, 2017 Exchange Plaza C-1, Block G, Bandra-Kurla Complex Bandra (East) Mumbai - 400051

Dear Sir,

Your Circular CIR/CFD/CMD/5/2015 dated September 24,2015

Sub. : Compliance Report on Corporate Governance for the Quarter ended on December 31, 2016

Please find attached herewith, duly filled in Compliance Report on Corporate Governance for the Quarter ended on December 31, 2016, in 'Annexure - I' format, as prescribed by the Securities and Exchange Board of India (SEBI) vide its captioned Circular.

Thanking you,

Yours faithfully, For SBI Global Factors Limited

g[j;:;L AmitaJ~---

Company Secretary & Compliance Officer

End. Na

CIN U65929MH2001 PLC131203

6th floor, The Metropolilan Building, Bandra Kurla Complex, Bandra (East), Mumbai -400 051. India.

Tel. No. : 91 226694 6000/30440300, Fax:91 226694 6098/99, E-mail: contacl@sbiglobal.in, Website: www.sbiillobal.in

ANNEXURE I

Fonnat to be submitted by listed entity on quarterly basis

1. Name of the Listed Entity: SBI GLOBAL FACTORS LIMITED 2. Quarter ending - December 31,2016

I. Composition of Board of Directors Title Name of the Director {Mr. I Ms)

Ms. Arundhati Bhattacharya

Mr. Dinesh Kumar Khara

PAN $& DIN

PAN: AFXPB6907K DIN: 02011213

PAN: AAAPK2070L DIN: 06737041

Category (Chairperson/Exec utive/Non­Executive/indepen dent/Nominee) &

Chairman-Non-Executive-Nominee Director

Non-Executive-Nominee Director

Date of Appointment in the current term Icessation

07/10/2013 (Date of Appointment)

01/11/2016 (Date of Appointment)

Tenure'

-

-

No of Directorship in listed entities including this listed entity (Refer Regulation 25(1) of Listing Regulations)

05 (Five) (Viz., 04 Nationalised Banks and 01 Listed Company) 05 (Five) (Viz., 04 Nationalised Banks and 01 Listed Company)

Number of memberships in Audit/ Stakeholder Committee(s) including this listed entity (Refer Regulation 26(1) of Listing Regulations)

Nil

06 (Six) (Viz., 01 Listed Company, and 05 Non Listed Companies)

No of post of I

Chairperson in Audit/ Stakeholder Committee held in listed entities including this listed entity (Refer Regulation 26(1) of Listing Reaulations) Nil

Nil

I

1

Title Name of the Director PAN$ & DIN Category Date of Tenure" No of Number of No of post of

(Mr. 1 (Chairperson/Exec Appointment Directorship memberships in Chairperson

Ms) utive/Non­ in the current in listed Audit/ Stakeholder in Audit/

Executive/indepen term entities Committee(s) Stakeholder

dent/Nominee) & Icessation including including this Committee this listed listed entity held in listed entity (Refer Regulation entities (Refer 26(1) of Listing including this Regulation Regulations) listed entity 25(1) of (Refer Listing Regulation Regulations) 26(1) of

Listing Reaulations)

Ms. Bharati Rao PAN: Non-Executive­ 30103/2015 Three Years from 30103/2015 07 (seven) 07 (Seven) (viz., Nil .

ABEPR3693M Independent (Date of (Viz., one one Bank and six

DIN: Director Appointment) Bank and listed Companies) six Listed01892516 Companies)

Mr. Bhargava Kaushik Vatsaraj PAN: Non-Executive ­ 16/01/2009 Tenure as Independent Director 01 (One) 01 (One) 01 (One)

ABLPV1613Q Independent (Date of under the Companies Act, 2013

DIN: Director Appointment

00144251 as Term I : One yearfrom Independent 16/0212015 Director under (i.e. upto 15/0212016) the Term II : Three Years From Companies 16/0212016 Act, 1956) (t.e. uoto 15/0212019)

--~.- -­ ----~.

2

Title (Mr. 1 Ms)

Name of the Director PAN$& DIN

Mr. Krishna Iyer Mani PAN: AFZPM2694E DIN: 03063000

Mr. Ramesh Bansidhar Kshirsagar PAN: ABPPK6687B DIN: 07116343

Mr. Narayanan Raja PAN: AAGPN9680B DIN: 00503400

Mr. Tushar Kishorechandra Buch PAN: ABYPB8903A DIN: 07566371

Mr. Gajanan Ramakant Padalkar PAN: AFOPP3710K DIN: 07516922

$PAN number of any director would not be displayed on the w

period.

ebsite of Stock Exchange

Category (Chairperson/Execut ive/Non-Executivelindepend ent!Nominee) &

Non-Executive ­Nominee Director

Non-Executive ­Nominee Director

Non-Executive ­Independent Director

Executive ­Nominee Director

Non-Executive ­Nominee Director

&Category of directors means executive/non-executive/independent!Nominee. if a director fits into more than one category write all categories separating them with hyphen * to be filled only for Independent Director. Tenure would mean total period from which Independent director is serving on Board of directors of the listed entity in continuity without any cooling off

Date of Tenure* No of Number of No of post of Appointment in Directorship in memberships in Chairperson in the current term listed entities Audit! Stakeholder Audit! lcessation including this Committee(s) Stakeholder

listed entity including this listed Committee (Refer entity held in listed Requlation (Refer Regulation entities 25(1) of Listing 26(1) of Listing including this Requlations) Regulations) listed entity

(Refer Regulation 26(1) of Listing Regulations)

23/08/2013 - 01(One) Nil Nil (Date of Appointment)

04/03/2015 - 01 (One) Nil Nil (Date of Appointment)

29/03/2016 Three Years from 29/03/2016 02 (Two) Nil Nil (Date of (Le. upto 28/03/2019) Appointment)

01/07/2016 2 years w.eJ.01/07/2016 01 (One) Nil Nil (Date of Appointment)

22107/2016 1-

01 (One) Nil Nil (Date of Appointment)

I

:?:~~\(~J\~~"

\:,~,'Pc~,:{ ',~, -' -

~........ _-_._.~..--,;._/

3

II. Composition of Committees Name of Committee Name of Committee members Category

(ChairpersonlExecutive/Non-ExecutivelindependenVNominee) $

1. Audit Committee a) Dr. Bhargava Kaushik Vatsaraj a)Non-Executive-lndependent Director-Chairman (Audit Committee)

b) Shri Dinesh Kumar Khara b) Non-Executive-Nominee Director c) Smt. Bharati Rao c) Non-Executive-Independent

Director 2. Nomination & Remuneration Committee a) Shri Dinesh Kumar Khara a) Non-Executive-Nominee Director

b) Smt. Bharati Rao b)Non-Executive-Independent Director

c) Dr. Bhargava Kaushik Vatsaraj c) Non-Executive-Independent Director

d) Shri Narayanan Raja d) Non-Executive-Independent Director

3. Risk Management Committee(if applicable) a) Shri Tushar Kishorechandra Buch a)Non-Executive-Nominee Director b) Dr. Bhargava Kaushik Vatsaraj b)Non-Executive-lndependent

Director c) Smt. Bharati Rao c)Non-Executive-Independent

Director d) Shri Narayanan Raja d)Non-Executive-lndependent

.. '" Director 4. Stakeholders Relationship Committee' &Category of directors means executive/non-executive/independenVNominee. if a director fits into more than one category write all categories separating them with hyphen III. Meeting of Board of Directors Date(s) of Meeting (if any) in the previous quarter Date(s) of Meeting (if any) in the Maximum gap between any two

relevant quarter consecutive (in number of days)

22/07/2016 10/10/2016 . 120 Days (as per Section 173 of the Companies Act, 2013)

• 81 Days (actual gap between two consecutive Meetinqs of the Company)

4

IV. Meeting of Committees Date(s) of meeting of the committee in the relevant quarter

Whether requirement of Quorum met (details)

Date(s) of meeting of the committee in the previous quarter

Maximum gap between any two consecutive meetings in number ofdays-

As per 'Annexure II' • This information has to be mandatorily be given for audit committee, for rest of the committees giving this information is optional

V. Related Party Transactions Subject Whether prior approval of audit committee obtained

Whether shareholder approval obtained for material RPT

Whether details of RPT entered into pursuant to omnibus approval have been reviewed by Audit Committee

Note

Compliance status NesiNoINA) refer note below Yes (yVe reportto the Audit Committee of the Board, all the Related Party Transactions whichare within the Arm's lenoth). No

N.A.

I 1 In the column "Compliance Status", compliance or non-compliance may be indicated by Yes/No/N.A.For example, if the Board has been composed in accordance with the requirements of Listing Regulations, "Yes" may be indicated. Similarly, in case the Listed Entity has no related party transactions, the words "N.A." may be indicated. 2 If status is "No" details of non-compliance may be given here.

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5

VI. Affirmations 1. The composition of Board of Directors is in terms of SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 2. The composition of the following committees is in terms of SEBI(Listing obligations and disclosure requirements) Regulations, 2015 a. Audit Committee b. Nomination & remuneration committee c. Stakeholders relationship committee d. Risk management committee (applicable to the top 100 listed entities) 3. The committee members have been made aware of their powers, role and responsibilities as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 4. The meetings of the board of directors and the above committees have been conducted in the manner as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. 5. T.his re~Q.rt and10r the report submitted in the previous quarter has been placed before Board of Directors. Any comments/observations/advice of Board of Directors may be mentioned here: ­

,L;;:L, Name ~~ignation Com~~my Secretary I Compliance Officer I MaollSgiog ')rec*QF I 61:00­

;{q I <94f.' Co_£~"""fi'1/Y ~~

-' , Ct£u.0~ ce: Note: / -, .

Information at Table I and II above need to be necessarily given in 1st quarter of each financial year. However if there is no change of information in subsequent quarter(s) of that financial year, this information may not be given by Listed entity and instead a statement "same as previous quarter" may be given.

6

'Annexure I/'

IV. Meeting of Committees

Date(s) ofmeeting ofthe Whether requirement 0/ Date(s) ofmeeting ofthe Maximum gap between any committee in the relevant Quorum met (details) committee in the previous two consecutive meetings in quarter quarter number 0/days" A. Audit Committee of the Board of Directors 10/10/2016 Yes (two Members) 22/07/2016 81 Days (actual gap

between two consecutive Meetings of the Company)

B. Nomination and Remuneration Committee of the Board of Directors -Nil - 22107/2016 -C. Risk Management Committee of the Board of Directors 10/10/2016 Yes {Two Members, of which

at least one shall be an I 22107/2016I 81 Days (actual gap

between two consecutive Independent Director) . Meetings of the

Company) • This information has to be mandatorily be given for audit committee, for rest of the committees giving this information is optional

For SBI Global Factors Limited

~~?7Amita J hi Comp y Secretary & Compliance Officer

I

/ \ I \ \ \ \' i (\ ( , ..

SBI Global Factors Ltd.

S 8IGFL/Tl~EASU RY/2016-17/25-/ January 04, 2017

National Stock Exchange of India Limited Head - Listing (Equity & Debt), Exchange Plaza, Plot No. C/1, G-Slock, Sandra Kurla Complex, Sandra (E), Mumbai 400051.

Kind Attn: Mr. Yogesh Deshmukh

Grievance Report for the Quarter ended 31.12.2016

We, hereby, confirm that, we have NIL report to be submitted with regards to the number of investor complaints pending at the beginning of the said quarter, those received during the quarter, disposed of during the quarter and those remaining unresolved atthe quarter ending 31.12.2016.

Yours sincerely, .

ForSBI Global Factors Limited,

MS~Shi vomp~ny Secretary & Compliance Office,~ ": ,."

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fith floor, Tile Metropolitan Building, Bandra Kurla Complex, Bandra (East), Mumbai ·-400 051. India.

Tel. N~. : 91 22 6694 6000 / 3044 (J30(J, Fax: 91 22 66946096/99, E-mail: colltact@sbiglobal.in, Website: www.sblglobal.in

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6months ended Corresponding Year toDate finures ,Sr. Particulars 6 months ended No.

(30.09.2016) for Current Period in the, previousyear Ended (31/03/2016)

(30.09.2015)

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