Report on depository system

SUMMER TRAINING REPORT ON

ldquoDEPOSITORY SYSTEM IN INDIArdquo

AT

LUDHIANA STOCK EXCHANGE

Submitted to Punjab University Chandigarh

in the partial fulfillment of the requirements for the award of the degree of

MASTERS OF COMMERECE

SESSION ndash 2012-14

Internal Guide Submitted by

Prof AK Singla Bharti Verma

(HOD Department of commerce) Uni Roll no 2804

College Roll no 2220

ARYA COLLEGE LUDHIANA

DECLARATION

I here by declare that the project report entitled ldquoDEPOSITORY

SYSTEM IN INDIArdquo submitted to Punjab University Chandigarh in

partial fulfillment of the requirement for the award of degree of MCom

is a record of bonafide project work carried out by me under the

guidance of Mr Sadhu Ram I further declare that all the particulars

given herein are true to best of my knowledge and belief The assistance

and help during the execution of the project has been fully

acknowledged

Bharti Verma

PREFACE

The successful completion of this project was a unique experience for me because

by visiting many place and interacting various person I achieved a better

knowledge about this system The experience which I gained by doing this project

was essential at this turning point of my carrier this project is being submitted

which content detailed analysis of the research under taken by me

The research is on the topic ldquoDepositary systemrdquo

ACKNOWLEDGEMENT

Behind this successful undertaking is the blessing and guidance of many This

formal piece of acknowledgement may not be sufficient to express my feeIings of

gratitude and deep respect that have experienced during my learning process at

Ludhiana stock exchange

I am extremely thankful to Mrs Pooja M Kohli executive director

(officiating)Ludhiana stock exchange for assigning me the project ldquoDepositoryldquo

and also taking a keen interest and rendering valuable help that ultimately proved

to be very helpful in the successful completion of my project

I am also very thankful to MrSadhu Ram coordinator of the training programme

for the knowledge and experience that I have gained from him during the course of

training which I can easily look at my most rewarding phase the course of my

study He in spite of his busy schedule provided me valuable guidance and has

shown utmost interest in imparting this training

CONTENTS

Sr No Topics Page No

1 Chapter-1 About Ludhiana Stock

Exchange

Governance amp management

Strengths of LSE group

Subsidary of LSE

Listing companies at LSE

Investor related services

Educational Initiatives of Exchange

1

3

5

6

7

8

9

2 Chapter-2 Introduction to Depository 12

3 Chapter-3 Review of literature 15

4 Chapter-4 Depository system

Depository Players

Legal Framework

Depository

Depository Participant

Functions

18

22

24

28

31

5 Chapter-5 Depositories in India

NSDL

CDSL

41

42

6 Chapter-6 Role of Depository in capital

market

45

Comparison between Physical

Shares and Demat shares 54

7 Chapter-7 Objectives of the study

Research Methodology

60

61

8 Chapter-8 Analysis and Interpretation

Findings

Limitations of the study

Suggestions and Recommendations

Conclusion

69

78

79

80

81

9 Chapter-9 Bibliography 83

10 Annexure 84

CHAPTER-1

LUDHIANA STOCK EXCHANGE DEPOSITORY SYSTEM

ABOUT LUDHIANA STOCK EXCHANGE

The Ludhiana Stock Exchange Limited was established in 1981 by Sh SP Oswal

of Vardhman Group and Sh BM Lal Munjal of Hero Group leading industrial

luminaries to fulfill a vital need of having a Stock Exchange in the region of

Punjab Himachal Pradesh Jammu amp Kashmir and Union Territory of Chandigarh

Since its inception the Stock Exchange has grown phenomenally The Stock

Exchange has played an important role in channelizing savings into capital for the

various industrial and commercial units of the State of Punjab and other parts of

the country The Exchange has facilitated the mobilization of funds by

entrepreneurs from the public and thereby contributed in the overall economic

industrial and social development of the States under its jurisdiction

Ludhiana Stock Exchange is one of the leading Regional Stock Exchange and has

been in the forefront of other Stock Exchange in every spheres whether it is

formation of subsidiary for providing the platform of trading to investors for

brokers etc in the era of Screen based trading introduced by National Stock

1

Exchange and Bombay Stock Exchange entering into the field of Commodities

trading or imparting education to the Public at large by way of starting

Certification Programmes in Capital Market

The vision and mission of Stock Exchange is

Reaching small investors by providing services relating to Capital Market

including Trading Depository Operations etc and creating Mass Awareness

by way of education and training in the field of Capital Market

To create educated investors and fulfilling the gap of skilled work force in the

domain in Capital Market

Further the Exchange has 295 members out of which 171 are registered with

National Stock Exchange as Sub-brokers and 124 with Bombay Stock Exchange as

sub-brokers through its subsidiary

LIST OF BOARD OF DIRECTORS OF THE EXCHANGE AS ON

05032012

Name of member Designation

Sh VP Gaur Chairperson

Dr R L Behl Public Interest Director

Sh Jasminder Singh Public Interest Director

Sh Ashwani Kumar Public Interest Director

2

Dr Raj Singh ROC Public Interest Director

Sh Anup Kumar Jain Shareholder Director

Sh Ashok Kumar Shareholder Director

Sh Rajinder Mohan Singla Shareholder Director

Sh Padam Parkash Kansal Shareholder Director

Sh Vikas Batra Shareholder Director

Governance and management

LSE has a strong governance and administration which encompasses a right

balance of Industry Experts with highest level educational background practicing

professionals and independent experts in various fields of Financial Sector The

administration is presently headed by Sr General Manager CUM Company

Secretary and team of persons having in-depth knowledge of Secretarial Legal

and Education amp Training

The Governing Board of the Exchange comprises of eleven members out of which

two are Public Interest Directors who are eminent persons in the fields of Finance

and Accounts Education Law Capital Markets and other related fields Six are

Shareholder Directors and Three are Broker Member Director and the Exchange

has four Statutory Committees namely Disciplinary Committee Arbitration

3

Committee Defaults Committee and Investor Services Committee In addition it

has advisory and standing committees to assist the administration

LSE has a Code of Conduct in place that governs the elected Board Members and

the Senior Management Team The same is monitored through periodic disclosure

procedures The Exchange has an Ethics Committee which looks into any issue of

conflict of interest and has in place general code of conduct for the Senior

Officials

Composition of the Governing Board

Sr No Name of Director Category

1 Prof Padam Parkash Kansal Chairman

(Shareholder Director)

2 Sh Joginder Kumar Vice Chairman

3 Sh Rajinder Mohan Singla Shareholder Director

4 Sh Satish Nagpal Shareholder Director

5 Sh Vikas Batra Shareholder Director

6 Sh Varun Chhabra Shareholder Director

7 Dr Raj Singh Registrar of Companies (Public

Interest Director)

8 Sh Ashwani Kumar Public Interest Director

4

9 Sh VP Gaur Public Interest Director

10 Sh Jaspal Singh Trading member Director

11 Sh Sunil Gupta Trading Member Director

12 Sh Sanjay Anand Trading member Director

1 ldquoLSErdquo brand is popular among masses The brand image of LSE can

be capitalized

2 It has requisite infrastructure for the Capital Market activities which

includes a multi-storeyed centrally air conditioned building situated in

the financial hub of the city ie Feroze Gandhi Market

3 LSE have well experienced staff handling operations of Stock

Exchange

4 LSE have competent Board and professional management

5 LSE have much needed networking of sub brokers in the entire

region who are having rich experience in Stock Market operations for

the last 25 years

5

6 LSE have more than 40000 clients spread across Punjab Himachal

Pardesh Jammu amp Kashmir and adjoining areas of Haryana and

Rajasthan

7 The turnover of ITS subsidiary is the highest amongst all subsidiaries

of Regional Stock Exchanges in India

Status of subsidiary ndash LSE Securities Limited

Due to Nation-wide reach of bigger Stock Exchanges the trading volumes at

Ludhiana Stock Exchange declined and ultimately the trading stopped in

February 2002 but the Stock Exchange converted the threat of bigger Exchanges

into opportunities and acquired the corporate membership of these exchanges

through its subsidiary company ie LSE Securities Limited

Stock exchange have now been providing Trading Platforms of Bigger Stock

Exchanges to the Investors of the region The vast network of Brokers of the

Exchange is servicing millions of Investors The subsidiary company is also

providing depository services in the State of Punjab and Himachal Pradesh The

allied services like PAN Service Centre Investor Service Centres are also being

provided at major locations of the region

The turnover of subsidiary is highest amongst all the subsidiaries of Regional

Stock Exchanges The growth of subsidiary is swift and it has been providing a

range of services to the public at large such as Trading Depository and IPO

bidding collection Centre

6

The Company in its continuous endevour to provide qualitative services to its

valued clients has started e-broking trading services for its clients thereby

increasing the geographical reach of the company

L isting of securities of companies at ludhiana stock

exchange

At present Ludhiana Stock Exchange has 330 listed companies out of which 214

are regional and 116 are Non-regional The total listed capital of aforesaid

companies is Rs 316891 Crores approx The market capitalization of the said

companies is more than Rs 337234 crores The Stock Exchange is covering the

vast investor base through the listing of above said companies which are situated

in the region comprising of Punjab Himachal Pardesh Jammu amp Kashmir and

Chandigarh

Despite the fact the implementation of SEBI (Delisting of Securities) guidelines

2003 has resulted into the Delisting of good companies listed at Exchange

however still there are leading Companies listed with our Exchange notable

among them are United Breweries Limited Vardhman Acrylics Limited SMC

global securities limited Himachal Futuristic Communications Limited etc

Ludhiana Stock Exchange has facilitated the capital generation for agro based

industries as Punjab is an agricultural led economy It will continue to do so once

it gets approval for a tie up with bigger Exchanges for commencing trading

operations

7

The Exchange has been providing a variety of services for the benefit of investing

public The services include Investor Service Centres Investor Protection fund

and Investor Educational Seminars

(i) Investor Service Centres

The Exchange has set-up Investor Service Centres at various DP branches of its

subsidiary for providing information relating to Capital Market to the general

public The Centres subscribe to leading economic financial dailies and

periodicals They also store the Annual Reports of the companies listed at the

Stock Exchange The Investor Service Centres are also equipped with a Terminal

for providing ldquoliverdquo rates of trading at NSE and BSE A large number of the

investors visit the centres to utilize the services being provided by the Exchange

(ii) Investor Awareness Seminars

The Exchange has been organizing Investor Awareness Seminars for the benefit of

Investors of the region comprising State of Punjab Himachal Pradesh Jammu amp

Kashmir Chandigarh and adjoining areas of Haryana and Rajasthan This massive

exercise of organizing Investor Awareness Seminars has been launched as a part

of Securities Market Awareness Campaign launched by SEBI in January 2003

The Exchange apprises the investors about Dorsquos and Donrsquots to be observed while

dealing in Securities Market Till date Exchange has organized more than 200

workshops in the region mentioned above

(iii) Website of the Exchange wwwlsecoin

The Exchange has its own website with the domain name wwwlsecoin The

website provides valuable information about the latest market commentary

research reports about companies daily status of International markets a separate

8

module for Internet trading information about listed companies and brokers and

sub-brokers of the Exchange and its subsidiary The website also contains many

useful links on portfolio management investor education frequently asked

questions about various topics relating to Primary and Secondary Market

information about Mutual Funds Financials of the Company including Quarterly

Results Share Prices Profit and Loss Accounts Balance Sheet and Many More

The website also contains daily Technical Charts of various scripts being traded in

BSE and NSE

Educational initiatives of exchange

LSE has carved out its unique position among the Stock Exchanges of the country

for the Knowledge Management It has set up an Education and Training Cell and

the same has emerged as a leading facility in various Financial Services in India

The Exchange has been conducting a unique certification programme in Capital

Market in association with Centre for Industry Institute Partnership Programme

Punjab University Chandigarh for the last three year This programme has

widened the horizons of participants vis-agrave-vis Capital Market Operations as

practical skill based knowledge is provided by Stock Brokers Stock Exchange

Officials Professors of Finance and Business Management and above all

Professionals working in different areas of Capital Market We have completed

series of batches of this programme and we now want to scale up this programme

and are planning to launch various other programmes on areas relating to

Securities Market

Stock exchange have edge over others as far as Education and Training in

Financial Services is concerned due to following factors

9

a Directly connected with the Industry as Regional Stock Exchange

b Connected with large base of Investors as they use the Stock Exchange as a

Trading Platform for their liquidity needs

c Presence in the region of Punjab Himachal Pradesh Jammu amp Kashmir and

Chandigarh through our branches Network and the area being under the

jurisdiction of our Exchange

d Already running Certification programmes in Capital Market successfully

e Continuously holding Investor Awareness Programmes for Investors amp Investor

Groups through association with Brokers Sub-brokers Colleges Universities and

Consumer Groups

10

CHAPTER-2

11

INTRODUCTION TO DEPOSITORY

The advent of online automated trading in India brought with it several associated

benefits such as transparency in trading and equal opportunity for market players

all over the country but the problems related to settlement of trades such as high

instances of bad deliveries and long settlement cycles continued The earlier

settlement system on Indian stock exchanges was very inefficient as it was unable

to take care of the transfer of securities in a quickspeedy manner Since the

securities were in the form of physical certificates their quick movement was

again difficult This led to settlement delays theft forgery mutilation and bad

deliveries and also to added costs To wipeout these problems the Depositories

Act 1996 was passed It was formed with the purpose of ensuring free

transferability of securities with speed accuracy amp security SEBI notified

Regulations in order to provide the regulatory framework for the depositories

Depositories gave a new dimension and a new scope for conducting transactions in

capital market- primary as well as secondary in a more efficient and effective

manner in a paperless form on an electronic book entry basis It provided

electronic solution to the aforementioned problems of bad deliveries and long

settlement cycle

A Depository is an organization where the securities of share holders are held in

the electronic format the request of the share holder through the medium of a

depository participant In September 1995 the Government have accepted in

principle the proposed law for settling up of depositories and of a central

depository for immobilization of physical certificates The central depository is to

be set up as trust to hold the physical custody of shared and effect transfers by

12

book entries without the need to deal and transfer the physical certificates between

parties This is to be sponsored by public financial institutions and banks and will

have a minimum net worth of Rs 50-100 crores as proposed by the SEBI This

central depository can be connected to a number of share depositories for effecting

transfer in book entries The guidelines and regulations in aspect of the operations

of depository participants will help smooth operations among participants and their

operations with the central depository A national securities depository corporation

was set up in November 1996

History

The first depository was set up way back in 1947 in Germany In India it is a

relatively new concept introduced in 1996 with the enactment of Depositories Act

1996 Their operations are carried out in accordance with regulations made by

SEBI bye-laws and rules of Depositories Act and SEBI (Depositories and

Participants) Regulations Act 1996

13

CHAPTER-3

14

REVIEW OF LITERATURE

MT Raja and Varsha marathe conducted study on Transaction cost

for equity shares in India The main objectives of the study was to

analyse the cost of equity shares transaction in physical mode and demat

mode He found that the average cost for the FII in India is lower than

stock market like Singapore china and Thailand Due to

dematerialization the transaction cost of FII have comedown by 60

and for mutual funds

by 75

Malabika deo conducted a study on depository ordinance a new

dimension of capital market reform The objective of the study deals

with operations functions and benefits of depository system She

concluded that introduction of depository system would take away

of the ailments facing the present style making the trading in scriprsquos

fool proof would serve as a panacea and will ultimately pave the way

for emergence of highly efficient capital market However improved

banking system adequate infrastructure and fast information technology

are all going to play a crucial role in the success of depository

system in India

Chikodikar studies undertaking dematerialization and the

objectives framed was demat process and have detailed discussion on

demat system-its meaning advantages demat charges (price) depository

15

and depository participants He found that the electronic trading and

trading of securities is a step in the right direction paperless trading will

prove to be boon to the stock market in the years to come

CR Ramana conducted study on join in band of electronic

trading in securities He puts vision at the electronic system of security

demat and remat its features and protocol He explained the procedure to

sell and buy technique of securities in the demat form

16

CHAPTER-4

17

DEPOSITORY SYSTEM

The rapid growth in number volume of value of securities in the Indian capital

market exposed the limitation of handling securities in the physical paper mode

The shortcomings of the market became manifest is terms of bad deliveries delays

in the transfer and irregular settlement etc The result is a in line with the

developments in the securities industry worldwide and is the wake of the

increasing trading volume as the local bourse there emerged the need to replace

the existing settlement and clearing system with depository system or a scrip less

trading system Technology is revolutionizing every field of human endeavor and

activity Electronic medium of trading it was introduced by NSE followed by BSE

in 1995 which inducted efficiency in trading system but physical mode of delivery

also continue to be a drag Depositary system providing for dematerialization of

securities custody and trading in electronic book entry form became the

unavailable answer to the capital market played by aforesaid ills

Bank for international settlements define depositary as ldquoA depositary is a

facility for holding securities enables Securities transaction to be processed by

book entry Physical securities may be immobilized by the depository or securities

may be dematerialized (to that they exist only as electronic records)rdquo

Depositary means a company formed and registered under companies act 1956

and which has been granted to certificate of registration under section 12 (1 n) of

the Security Exchange Board of India Act 1992

To obviate these problems the Depositories Act 1996 was passed It provides for

the establishment of depositories in securities with the objective of ensuring free

18

transferability of securities with speed accuracy and security It does so by- a)

making securities of public limited companies freely transferable subject to certain

exceptions (b) dematerialising the securities in the depository mode and (c)

providing for maintenance of ownership records in a book entry form

In any stock exchange trades or transactions have to be settled by either

squaring up the carrying forward positions or settling by payment of net cash or net

delivery of securities This account settlement period if it is long leads to several

price distortions and allows for market manipulation It increases the chances of

speculation resulting in volatility which hurts the small investors With the

application of IT in the securities market - screen-based trading and trading

through the Internet - it has been possible to reduce this settlement period

Concept of a depository system

Depository system essentially aims at eliminating voluminous and cumbersome

paper work involved in the script-based system and offers scope for lsquopaperlessrsquo

trading through state of-the-art technology Depository system enables conversion

of physical securities in the electronic form through a process of

lsquodematerializationrsquo (also known as lsquodematrsquo) of share certificates and facilitates

share transactions and transfers electronically without involving any share

certificate or transfer deed Depository system offers option for converting the

shares from electronic form to physical or paper from through a process of

lsquodematerializationrsquo (also known as lsquorematrsquo)

Need for depository system

At present the Indian stock exchanges are following screen based trading and

electronic settlement system The market width are also enlarged quantity of

investors scattered to various distance places from trading and settlement

19

place There are some problems arising in the settlement and transfer system in

stock and share trading In this circumstance there are a limited number of studies

in this area There is a need for evaluation o f depository system with in the area of

investors prospers The present study is in this direction of research analysis and

testing by Parasuraman (1988) have condensed these into five dimensions of

service quality and applied in Depository Participants as follows

1Tangibility Physical facilities equipment appearance of personal

2 Reliability Ability to perform the promised service dependably and accurately

3Responsiveness Willingness to help customers and provide prompt service

4Assurance Knowledge and Courtesy of employees and their ability to convey

trust and confidence

5Empathy Caring individualized attention the company provides to its

customers

The first depository set up in India is National Securities Depository Limited

(NSDL) and is promoted by IDBI UTI and NSE

How depository system is beneficial

1 This system will eliminate paper work as the book entry system does not

need physical movement of certificates for transfer process

2 The risk of bad deliveries fraud and misplaced mutilated and lost share

certificates will not exist

3 The electronic media will shorten settlement time and hence the investor can

save time and increase the velocity of security movement

4 Investors will be able to change portfolio more frequently

20

5 The capital market will be more transparent as the trading clearing and

settlement mechanism have to be highly automated and interlinked with the

depository among themselves

6 The market will be highly automated and efficient due to the usage of

computing and telecommunication technology for the back office activities for all

the capital market players

Safety features in the depository system

To ensure safety to the investors the following measures exist-

Strict norms for becoming depository participant- Net worth criteria SEBI

approval etc is mandatory

DP cannot effect ant debit or credit in the demat account of the investor

without the valid authorization of the investor

Regulation reconciliation between DP and the depositories

Periodic inspection by Depositories of the office of the DP and Registrar

All investors have a right to receive their statements of accounts periodically

from the DP

In the depository system the depository holds the investor accounts on trust

Therefore if the DP goes bankrupt the creditors of the DP will have no

access to the holdings in the name of the clients of the DP

Compulsory internal audit of operations of DP by practicing company

secretary of the chartered accountant every quarter

Various procedures for backup and safe keeping of data at all the levels

SEBI has made compulsory trading of shares of all the companies listed in

Stock Exchange in demat form wef 2 January 2002 Hence if the investor wants

21

to trade in respect of the companies which have established connectivity with

NSDL amp CDSL he may have to open a beneficiary account

The main depository players are

a) Depository (new NSDL and CDSL)

b) Issuer companiesRegistrars of transfer agent (RTA)

c) Depository participant

d) Investors

e) Brokers (clearing members (CM)

LEGAL FRAMEWORK

Depositories Act 1996 and is regulated by SEBI The depository business in India

is regulated by-

The depositories Act 1996

The SEBI (Depositories and Participants) Regulations 1996

Bye-laws of Depository

Business rules of Depository

Apart from the above Depositories are also governed by certain provisions of-

The Companies Act 1956

The Indian Stamp Act 1899

Securities and Exchange Board of India Act 1992

Securities Contracts (Regulation) Act 1956

Income Tax Act 1961

Bankerrsquos Books Evidence Act 1891

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

DEPOSITORY PARTICIPANT

INVESTOR

STD LEGAL AGREEMENT

A depository is a centralized warehouse of securities (like shares debentures

bonds government securities mutual fund units etc) in dematerialized form The

eligible securities are warehoused in the depository in computerized form to enable

securities trading and other transactions in electronic mode Thus the recordings

are done in the form of a book-entry and securities are not issued or exchanged in

physical form The depository system offers an efficient transfer mechanism by

interfacing with the stock market related clearing operations

ldquoDepository means a company formed and registered under Companies Act

1996 and which has been granted a certificate of registration under section 12(1A)

of the Securities and Exchange Board of India Act 1992rdquo

It is system whereby it transfer and settlement of scriprsquos take place not

through the traditional method of transfer deeds and physical delivery of scriprsquos

through the modern system of effective transfer takes of ownership of securities by

means of book entry on the ledgers of the depository without physical movement

of scriprsquos

Depositories Act 1996

The Depositories Act 1996 provides for the establishment of depositories in

securities with the objective of ensuring free transferability of securities with

speed accuracy and security by

(a) making securities freely transferable subject to certain exceptions

(b) dematerialization of the securities in the depository mode and

(c) providing for maintenance of ownership records in a book entry form

Role of depository

24

Depository is an organization where the securities of an investor are held in

electronic form through the medium of Depository Participants (DPs) It enables

surrender and withdrawal of securities to and from the depository through the

process of demats and remats Maintains investorrsquos holdings in electronic form

Effect settlement of securities traded in depository made on the stock exchanges

Carries out settlement of traders not done on the stoc k exchanges (off-market

trades)

Difference between depository and custodian

Custodian is a person who keeps custody of securities and carry out certain other

custodial activities Both depository and custodian are different Following

differences can be enumerated between the two-

Depository Custodian

Function It a part from keeping the

shares in e-form manages

the shares on behalf of

investor

It function is merely lsquosafe

keepingrsquo of shares It handle

Huge ndash paper work

Position It is a institution or can be

called as an organization

itself

It is an in term diary

ACT There is a separate Act ie

Depositories Act ndash 1956 a

part from SEBI (depositories

and participant ) Reg 1996

There is no separate Act and

it is regulated by SEBI

(Custodian of Securities)

Reg 1996

25

Models of Depository

1 Dematerialization It is a process of conversion of physical share

ndash certificate into electronic ndash form So when a shareholder uses the

dematerialization facility company takes back the shares through depository ndash

system and equal numbers of shares are credited in his account in e-form

2 Immobilisation It is a process of storing of physical share certificates with

depository for safe custody In this model the original share certificates can be

withdrawn as it is lodged in depository method

Comparison between Bank account and Demat account

S

NoBASIS OF SIMILARITY PARTICULARS

1 Security and ConvenienceBoth are very safe and convenient means of

holding depositssecurities

2 Number of accountsNo legal barrier on the number of bank or

demat accounts that can be opened

3Transfer of deposits (funds

or securities)

Fundssecurities are transferred only at the

instruction of the account holder

4Physical transfer of

moneysecurities

Physical transfer of moneysecurities is not

involved

5 Nomination Facility Available

26

Bank Account Vs Demat Account

S

No

Basis Of

DifferentiationBank Account Demat Account

1Form of

HoldingsDepositsFunds Securities

2 Used for Safekeeping of money Safekeeping of shares

3 Facilitates

Transfer of money

(without actually handling

money)

Transfer of shares

shares)

4 Where to open A bank of choiceA DP of choice (can be a

bank)

5Requirement of PAN

NumberNot Mandatory

Mandatory (effective from

April 01 2006)

6Interest accrual on

holdings

Interest income is subject

to the applicable rate of

interest

No interest accruals on

securities held in demat

account

7Minimum balance

requirement

AQB maintainance is

specified for certain bank

accounts

No such requirement

8Either or Survivor

facilityAvailable Not available

27

Depository Participant just as a brokers act an agent of the investor at the stock

exchange a Depository Participant (DP) is the representative (agent) of the

investor in the depository system providing the link between the company and

investor through the Depository The depository participant maintains securities

account balances and intimate the status of holding to the account holder from time

to time According to the SEBI guidelines financial institutions like banks

custodians stockbrokers etc can become participants in the Depository

A DP is one with whom an investor needs to open an account to deal in

shares in electronic form While the depository can compare to bank with which an

account can be opened The main characteristics and role of depository participant

are as under

Acts as an Agent of Depository

Customer interface of Depository

Functions like Securities Bank

Account opening

Facilities dematerialization

Instant transfer on pay-out

Credits to investor in IPO rights bonus

Settles trades in electronic segment

Facilitates pledge or hypothecation of securities held in demat account

Criteria of eligibility of depository participants

28

SEBI regulations have selected various categories of market participants who are

eligible to become depository participants These categories already have a well-

established customer interface network and are therefore the ideal choice to

become the agents of depository These categories are

Public Financial Institutions

Scheduled Banks

RBI approved foreign banks operating in India

State Financial Corporations

Certified custodian of securities

Clearing corporations of stock exchanges

Registered stock brokers

Non-Banking Financial Companies

Registrars and transfer agents

The regulations specify certain net worth requirements for certain categories Also

NBFCs are allowed to hold securities on their own behalf only and not clients

STEPS INVOLVED IN JOINING DEPOSITORY SYSTEM

There are 3 steps in which an investor can covert his physical certificate into

electronic form

1 Open an account with one of the participants of NSDL (A participant is a market

intermediary through whom NSDL interacts with the investors)

2 Sign an Agreement with the participant

3 Submit Dematerialisation Request form along with share certificate to the Issuer

ROLE OF DEPOSITORY PARTICIPANTS

29

A depository participant is a representative in the depository system of an investor

As per the SEBI guidelines financial institutionsbankscustodiansstock brokers

etc can become depository participants provided they meet the necessary

requirements prescribed by SEBI A depository participant is a first point of

contact with the investor The depository participant serves a link between the

investor and the company through the depository in dematerialization of shares and

other electronic transactions

BENEFITS OF PARTICIPATION IN DEPOSITORY

1 Immediate transfer of securities

2 No stamp duty on transfer of securities

3 Elimination of risk associated with physical certificate such as bad delivery fake

securities etc

4 Reduction in paper work involved in transfer of securities

5 Reduction in transactions cost

6 Nomination facility

7 Change in address recorded with DP get registered electronically with all

companies in which investors hold securities eliminating the need to correspond

with each of them separately

8 Transmission of securities is done by DP eliminating correspond companies

9 Convenient method of consolidation of accounts

10 Holding investment in equities debt instrument and government securities in

single account

Functions of depository

1 SERVICES OFFERED BY NSDL

30

The following services are offered by NSDL to the investors through its agents

viz Depository Participants

Holding the investors securities in electronic form

Dematerialization and rematerialization of securities

Settlement of trades in electronic form

Electronic credit of public offerings and non-cash corporate actions such as

rights bonus etc

2 ACCOUNT OPENING

Opening a depository account is as simple as opening a bank account You can

open a depository account with any DP convenient to you There is no restriction

on the number of depository accounts a person can open However if your existing

physical shares are in joint names you have to open the account in the same order

of names before you submit your share certificates for demat

3 DEMATERIALIZATION

Dematerialisation and trading in the demat mode is the safer and faster alternative

to the physical existence of securities Demat as a parallel solution offers freedom

from delays thefts forgeries settlement risks and paper work This system works

through depository participants (DPs) who offer demat services and the securities

are held in the electronic form for the investor directly by the Depository

4 REMATERIALIZATION

31

Remat means converting electronic form into physical form During a

rematerialization process the request goes from the DP to the rampt agent via NSDL

The rampt agent after processing the request will print and dispatch the share

certificate directly to you No transfer duty will be charged to you when you

rematerialize your shares You have the option of rematerializing your total

holdings or part of it In addition to this you have the option to get the certificates

in market lot

5 TRADING amp SETTLEMENTS

32

At present the facility of trading and settlement in dematerialised shares is

available in The Stock Exchange Mumbai (BSE) National Stock Exchange

(NSE) Bangalore Stock Exchange (BSE) The Calcutta Stock Exchange Ltd

(CSE) The Delhi Stock Exchange Association Ltd (DSE) Ludhiana Stock

Exchange (LSE) and the Over The Counter Exchange of India (OTCEI)

These Stock Exchanges have distinct trading segments viz the unified (physical)

and depository (dematerialised) In the unified segment investor has the option of

delivering physical or dematerialised shares However with effect from 4th

January 1999 shares included in the list of select list of companies (including of

RELIANCE ENERGY) can be delivered only in the dematerialised form in all

stock exchanges linked to NSDL The other stock exchanges at present have only

the physical segment However in times to come other stock exchanges too may

be providing depository segments

The settlement of trades done in the exclusive dematerialised segments at

BSE DSE NSE BSE CSE DSE and OTCEI follow the rolling settlement

concept where trade done on each day is settled after a fixed number of days

Right now the dematerialized segments follow T+5 rolling settlement which

means that trades are settled on the fifth working day from the date of the trade

Current Scenario

SEBI has since introduced T+2 rolling settlements from April 1 2003 T+2

settlement cycle means that the final settlement of transactions done on T ie

trade day by exchange of monies and securities between the buyers and sellers

respectively occurs on second business day after the trade day excluding

Saturdays Sundays bank holidays and exchange holidays

33

DAY ACTIVITY

T 1048707 Trading and daily downloading of statements showing details of transactions

and margins at the end of each trading day

T+1 1048707 Confirmation of 6A7A data by the custodians up to a specified deadline

time Downloading of securities and funds obligation statements by members

T+2 1048707 Pay-in of funds and securities and pay-out of funds and securities by pre

specified deadline times The members are required to submit the pay-in

instructions for funds and securities to banks and depositories respectively

T+3 1048707 Auction for shortages in delivery of securities

T+4 1048707 Auction pay-in and pay-out of funds and securities

6 CORPORATE ACTIONS

When any corporate event such as rights or bonus or dividend is announced for a

particular security NSDL will give the details of all the clients having electronic

holdings in that security as of the record date to the registrar or share transfer

agent The registrar will then calculate the corporate benefits due to all the

shareholders The disbursement of cash benefits such as dividendinterest will be

done by the registrar whereas NSDL will do the distribution of securities

entitlements (Rights or Bonus) based on the information provided by the registrar

to all those clients who have opted for electronic allotment

7 NOMINATION

The investors have an option of nominating persons who would be entitled to

receive shares outstanding in their names in the event of their death While opening

the account with the DP the investor is required to fill up an application form for

operating the Account wherein the investor has an option to fill in the names of

34

their nominees Shareholders have an option to hold securities in joint names with

or without nomination or in single name with nomination which is optional Such a

facility has been recently introduced under the Companies (Amendment)

Ordinance 1998 for shares held in physical form As far as concerned the nominee

entered by the investor while opening the demat account will be the beneficiary

and shall be deemed to be the member of the Company

8 ACCOUNT TRANSFER INSTRUCTIONS

An account holder can transfer his account from one DP to another DP account in

the prescribed format given by the SEBI

9 INTERDEPOSITORY INSTRUCTIONS

There are two depository ie NSDL and CSDL For eg if my depository account

is with NSDL can I receive my securities from an account holder having account

with some other depository in India

10 FREEZING DEFREEZING

A depository account holder (beneficiary account) may freeze securities lying in

the account for as long as the account holder wants it By freezing the account

holder can prevent unexpected debits or credits or both creeping into its account

The following types of freeze facility available in the NSDL the system may BE

availed of by submitting freeze instructions to the DP in a prescribed form

Defreezing is vice versa to freeze

11 ACCOUNT CLOSING

35

An account holder can close his account by just filling the closing form which is

available with the entire depository participant

12 TRANSMISSION

Transmission of securities due to death lunacy bankruptcy and insolvency or by

any other lawful means other than transfer is also possible in the depository

system In the case of transmission the claimant will have to fill in a transmission

request form (which is available with the DP) supported by valid documents The

DP after ensuring that the application is genuine will transfer securities to the

account of the claimant For this the claimant must have a depository account The

major advantage in transmission of dematerialized holdings is that the transmission

formalities for all securities held with a DP can be completed in one go unlike in

the case of share certificates where the claimant will have to interact with each

issuing company or its RampT Agent In case where the deceased was one of the

joint holders in the Client account the surviving client(s) shall be the person(s)

recognized by depository as having title to the securities held in that joint Client

account

16 PLEDGING

The Depositories Act permits the creation of pledge against securities Securities

held in depository mode can be pledged against a loan or credit or such other

facility availed by beneficial owner of such securities

Procedure

1 Pledgor gives a pledge creation request to DP who enters it in the system

2 The request reaches the pledgeersquos DP through the NSDL system Pledgee is

intimated by his DP

36

3 Pledgee gibes a pledge creation confirmation to his DP who enters it in the

system

4Securities are transferred from lsquofree balancesrsquo head to lsquopledged balancesrsquo head

5 Loan is given by pledgee to pledgor outside the NSDL system

Registered Owner Beneficial Owner - In the depository system the ownership

of securities dematerialised is bifurcated between Registered Owner and Beneficial

Owner For the securities dematerialised NSDL is the Registered Owner in the

books of the issuer but ownership rights and liabilities rest with Beneficial Owner

All the rights duties and liabilities underlying the security are on the beneficial

owner of the security

Free Transferability of shares Transfer of shares held in dematerialised form

takes place freely through electronic book-entry system

Issuing company and registrar and transfer agent

The issuing company is that organization which issues the securities The issuing

company sends a list of the shareholders to the depositories An Issuer of share is

the company which had launched its shares in the market via IPO

Registrar and Transfer Agents(RTA) are appointed by Issuer companies to act

on their behalfRampT Agents form an important link between the investors and

issuers in the securities market A company whose securities are issued and traded

in the market is known as the Issuer The RampT Agent is appointed by the Issuer to

act on its behalf to service the investors in respect of all corporate actions like

sending out notices and other communications to the investors as well as dispatch

of dividends and other non-cash benefits RampT Agents perform an equally

37

important role in the depository system as well RTA is a trust company bank or

similar financial institution assigned by a corporation to maintain records of

investors and account balances and transactions to cancel and issue certificates to

process investor mailings and to deal with any associated problems

Clearing corporations

Clearing corporation is an entity who takes the responsibility of every trade which

is being dealt on the floor of stock exchange It acts as a central mechanism for

consolidating and settling transactions instead of the member firms settling each

trade individually amongst themselves The members of Clearing Corporation are

called as clearing members

Stock bokers stock exchange

Stockbrokers are the intermediaries who are allowed to trade in securities on the

exchange of which they are members They buy and sell on their own behalf as

well as on behalf of their clients Traditionally in India partnership firms with

unlimited liabilities and individually owned firms provided brokerage services

There were therefore restrictions on the amount of funds they could raise by way

of debt With increasing volumes in trading as well as in the number of small

investors lack of adequate capitalisation of these firms exposed investors to the

risks of these firms going bust and the investors would have no recourse to

recovering their dues

Stock Exchange (SE) is an organised market for dealings in securities commonly

referred as secondary market One of its main functions is price discovery ie to

cause prices to reflect currently available information about a security

38

Investor

He is a person who wants to deal in shares and whose name is recorded with a

depository The investor is the real owner of the shares who has lodged them with

the depository through book entry till the day he sells them

39

CHAPTER-5

40

DEPOSITORIES IN INDIA

1 National Securities Depository Limited (NSDL)

National Securities Depository Limited is the first depository to be set-up in India

It was incorporated on December 12 1995 The Industrial Development Bank of

India (IDBI) - the largest development bank in India Unit Trust of India (UTI) -

the largest Indian mutual fund and the National Stock Exchange (NSE) - the largest

stock exchange in India sponsored the setting up of NSDL and subscribed to the

initial capital NSDL commenced operations on November 8 1996 The aim is to

provide facilities for holding and handling securities in electronic form

Ownership

NSDL is a public limited company incorporated under the Companies Act 1956

NSDL had a paidup equity capital of Rs 105 crore The paid up capital has been

reduced to Rs 80 crore since NSDL has bought back its shares of the face value of

Rs 25 crore in the year 2000 However its net worth is above the Rs 100 crore as

required by SEBI regulations

The following organisations are shareholders of NSDL as on December 31 2009

1 Industrial Development Bank of India

2 Unit Trust of India

3 National Stock Exchange of India Limited

4 State Bank of India

5 Oriental Bank of Commerce

6 Citibank NA

7 Standard Chartered Bank

41

8 HDFC Bank Limited

9 The Hongkong and Shanghai Banking Corporation Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

13 Union Bank of India

Management of NSDL

NSDL is a public limited company managed by a professional Board of Directors

The day-today operations are conducted by the Managing Director and CEO To

assist the MD and CEO in his functions the Board appoints an Executive

Committee (EC) of not more than 15 members The eligibility criteria and period

of nomination etc are governed by the Bye-Laws of NSDL in this regard

2 CENTRAL DEPOSITORY SERVICES (INDIA) LTD (CDSL)

Bombay Stock Exchange Limited (BSE) promoted CDSL jointly with

leading banks such as State Bank of India Bank of India Bank of Baroda HDFC

Bank Standard Chartered Bank and Union Bank of India and Centurion Bank

CDSL was set up with the objective of providing convenient dependable and

secure depository services at affordable cost to all market participants CDSL

received the certificate of commencement of business from SEBI in February

1999 All leading stock exchanges like the National Stock Exchange Calcutta

Stock Exchange Delhi Stock Exchange The Stock Exchange Ahmadabad etc

have established connectivity with CDSL

42

NSDL CDSL

Year operation started 1996 1999

Promoters IDBI UTI and NSE BSE SBI BOB HDFC

Standard chartered Bank

Union Bank etc

Number of Accounts 12688865 8327482

Value of demat securities

(Rs Cr)

7679027 973908

Number of companies 10843 12801

DP service centres 14641 12601

43

CHAPTER-6

44

ROLE OF DEPOSITORY IN CAPITAL MARKET

Introduction to capital market

The capital market consists of primary and secondary markets The primary market

deals with the issue of new instruments by the corporate sector such as equity

shares preference shares and debt instruments Central and State governments

various public sector industrial units (PSUs) statutory and other authorities such as

state electricity boards and port trusts also issue bondsdebt instruments

The primary market in which public issue of securities is made through a

prospectus is a retail market and there is no physical location Offer for

subscription to securities is made to investing community The secondary market

or stock exchange is a market for trading and settlement of securities that have

already been issued The investors holding securities sell securities through

registered brokerssub-brokers of the stock exchange Investors who are desirous of

buying securities purchase securities through registered brokersub-broker of the

stock exchange It may have a physical location like a stock exchange or a trading

floor Since 1995 trading in securities is screen-based and Internet-based trading

has also made an appearance in India The secondary market consists of 22 stock

exchanges The secondary market provides a trading place for the securities

already issued to be bought and sold It also provides liquidity to the initial buyers

in the primary market to re-offer the securities to any interested buyer at any price

if mutually accepted An active secondary market actually promotes the growth of

the primary market and capital formation because investors in the primary market

are assured of a continuous market and they can liquidate their investments

45

Capital Market Participants

There are several major players in the primary market These include the merchant

bankers mutual funds financial institutions foreign institutional investors (FIIs)

and individual investors In the secondary market there are the stock exchanges

stock brokers (who are members of the stock exchanges) the mutual funds

financial institutions foreign institutional investors (FIIs) and individual investors

Registrars and Transfer Agents Custodians and Depositories are capital market

intermediaries that provide important infrastructure services for both primary and

secondary markets

Market Regulation

It is important to ensure smooth working of capital market as it is the arena for the

players associated with the economic growth of the country Various laws have

been passed from time to time to meet this objective

The financial market in India was highly segmented until the initiation of reforms

in 1992-93 on account of a variety of regulations and administered prices including

barriers to entry The reform process was initiated with the establishment of

Securities and Exchange Board of India (SEBI)

The legislative framework before SEBI came into being consisted of three major

Acts governing the capital markets

1 The Capital Issues Control Act 1947 which restricted access to the securities

market and controlled the pricing of issues

2 The Companies Act 1956 which sets out the code of conduct for the corporate

sector in relation to issue allotment and transfer of securities and disclosures to be

made in public issues

46

3 The Securities Contracts (Regulation) Act 1956 SC(R)A which regulates

transactions in securities through control over stock exchanges In addition a

number of other Acts eg the Public Debt Act 1942 the Income Tax Act 1961

the Banking Regulation Act 1949 have substantial bearing on the working of the

securities market

Indian Capital Market has been linked to the International Financial Market

and the standard has been increased in terms of efficiency and transparency

through Dematerialization of the Indian Capital Market Considering the

limitations exposed by the Indian Capital Market in terms of handling and dealing

in securities in paper mode the main objective of this study is to analyse trends in

growth of dematerialization process in the Indian Capital Market

Datarsquos were collected from the website of Bombay Stock Exchange during

the period of 1998 to 2000 and statistical tools like average percentage and

regression analysis were used

The findings clearly revealed that the growth in the Dematerialization

process was not keeping pace with the Indian Capital Market due to

unpopularity of Demat lack of information short direction after the

inception of the scheme or the earliest time taken to evaluate its popularity

Dematerialization is the process of conversion of physical certificate in to

electronic balances maintained with the depository participants

The securities held in dematerialized form are fungible ie they do not bear

any distinguishing features In investor should first open an account with a

DP and than request for a dematerialization of his certificates by submitting

the same to the participant

Dematerialization is a process by which physical certificates are converted

into electronic form The certificates are returned to issuer registrar by the

47

Beneficial owner (BO) through his depository participant (DP) and one then

defaced destroyed and an equitant number of securities are credited in the

Bos securities account maintained by the depository Indian has opted for

dematerialization route which is a better option is view of the given the huge

paper work involved

An investor makes a dematerialization request along with the investorrsquos

physical certificates of securities to the issuer or its registrar through a depository

participant After prescribed verification and confirmation their registrar

substitutes in its records NSDL as registered owner is respect of the securities and

informs NSDL accordingly NSDL then enters the name of the investor as the

beneficial owner of securities credits the investorrsquos accounts and informs the

investors depository participantThe introduction of demat system is made on

December 1996 But the effective trading on demat commenced only on January

1998 Therefore the investors have converted their physical holding into demat

segment to enjoy the benefits of available in demat segment

According to regulation 28 of the SEBI (Depositories and Participants)

Regulation 1996 the following securities shall be eligible for being held in

Dematerialized form in depository

a Shares scrip stocks bonds debentures debentures stock or other marketable

securities of any incorporated company or other body corporate

b Units of Mutual Funds Rights under collective Investment Schemes and

Venture Capital Funds Commercial paper Certificate of Deposit Securities Debt

Money Market Instruments and unlisted form in a Depository

48

WHAT IS DEPOSITORY SYSTEM IN CAPITAL MARKET

The Depositories Act 1996 defines a depository to mean a company formed and

registered under the Companies Act 1956 and which has been granted a certificate

of registration under sub-section (IA) of section 12 of the Securities and Exchange

BoardofIndiaAct1992 The principal function of a depository is to dematerialise

securities and enable their transactions in book-entry form The securities are

transferred by debiting the transferors depository account and

crediting the transferees depository account A depository is very much like a bank

in many of its operations We can draw an analogy between the two in order to get

a better understanding of the depository system

In a bank the medium of exchange is money whereas a depository deals in

securities In a bank money is given for safe-keeping In a depository securities

are kept safely Banks hold and transfer funds depositories perform the same

function with securities Banks can transfer funds from one account to another

without handling cash a depository can do the same with physical securities Just

as in a bank an account is opened to avail of the banking services an account has

to be opened with a DP for holding scrips in the depository segment

Either of holders can sign instructions

All joint holders to sign instructions

Minimum balance to be maintained

No minimum balance required

Entitled for interest

49

Interest can be earned only by participating in Stock Lending Scheme

Uses balances in accounts

Does not move balances in account without account holderrsquos authorization

Nomination is kept confidential

Signature and photograph of nominee to be provided

In case of transactions in a bank account any one of the joint holders can sign the

instructions (cheques) whereas in the depository all joint holders are required to

sign all the instructions Minimum funds balance prescribed by the bank has to be

maintained in the bank account no minimum balance of securities is required to be

maintained in a depository account A bank uses the funds held in a bank account

for lending purposes The securities maintained in a depository account by an

investor can be moved from the account only on basis of a proper

authorisation from the account holder A depository cannot use the clients security

balances

Nomination is kept confidential in case of bank accounts The photograph and

signature of the nominee is required to be affixed on the nomination form for

registering the nomination for a depository account

The model for Dematerialization of NSDL

50

(a) Investor surrender certificates for dematerialization to depositary participant

(b) Depositary participant intimates NSDL of the request through the system

(c) Depositary participantrsquos submits the certificate to the registers

(d) Registrar confirms the dematerialization request from NSDL

(e) NSDL up dates its account of informs the depositary participant

(f) Depositary participant up dates its accounts and inform the investor

The entire process of dematerialization may take about 15 days An Investor makes

a dematerialization request along with the investor physical certificates of

securities to the issuer or its registrar through a depositary participant After

prescribed verification and confirmation their registrar substitutes in its records

NSDL as registered owner in respect of the securities and inform NSDL

accordingly NSDL then enters the name of the investor as the beneficial owner of

the securities credits the investorrsquos account and informs the investorrsquos depositary

participant accordingly

Statement of the problem

51

investor depository participant

NSDL Register

The studies have explored the various aspects in the depository system like cost

aspects difficulties faced by the investor and others of the benefits available to the

investor The Indian capital market has witnessed numerous changes in the recent

past as seen earlier Traditionally stock market booms and decline have resulted in

a number of problems for the lay investor A close introspection of these problems

will reveal that most of them are due to intrinsic nature of the paper based trading

and settlement system The capital market exposed the limitation of handling and

dealing in securities in physicalpaper

mode The short learningrsquos of the market became manifest in terms of bad

deliveries delays in transfer and irregular settlement etc The remedial measure

for this may be the system of dematerialization (also called demat) under

depositary system Hence it is an attempt to study about the trends in the growth of

the demat process its popularity the

parties involved in the depository system the location and mechanism in trading

and settlement in demat mode

Indian capital market has been linked to the International Financial Market

through Dematerialization of the Indian Capital Market In this context

dematerialization is one of the right steps taken by the Government to make the

share transfer process easier and on other hand the earlier demerits of the paper

transfer process can be rectified Dematerialization is a process in which the

company takes the physical certificates of an investor back and equivalent number

of shares is credited in the electronic holdings of the investor

The Indian Capital Market has been showing rapid grow the in the recent

part this can be observed from the key indicators of the capital market But this

growth has not matched with the supporting infrastructure to handle the growing

52

volume of paper that has flooded the market choking in our existing system this

has caused a lot of problems like delay in transfer of shares settlement of claims

high level of failed trade bad deliveries and high systematic risk exposure etc

The problem of Indian Capital Market is not its size but the lack of infrastructure

services to handle its present size and potential growth in the future with the entry

of foreign investors and the institutionalization of markets

There had been tremendous pressure on the stock market For its smooth

operations the capital market regulator SEBI mandated that stock exchanges must

begin the phased introduction of compulsory trading in dematerialized shares by all

investors

53

COMPARISON BETWEEN PHYSICAL AND

DEMAT SHARES

Meaning of physical shares

In the past shareholders received a physical paper stock certificate that indicated

that they owned x shares in a company Today brokerages have electronic

records that show ownership details Owning a paperless share makes conducting

trades a simpler and more streamlined process

While shares are often used to refer to the stock of a corporation shares can also

represent ownership of other classes of financial assets such as mutual funds

At present some shares are still held in physical form as India is still going

through the process of popularising the demat format A time will come when

physical shares are finally retired

Over the last 20 years India has seen boom in the capital market There has been

tremendous increase in the number of companies and the shares issued by these

companies Many investors are participating in the share market today Earlier

when companies sold their shares to public share certificates were issued to

investors in paper format and the owner of the shares to physically hold the

certificates However keeping shares in physical form is now leading to a series of

problems

Currently many investorsmdashespecially senior citizensmdashwho have physical shares

are finding it difficult to convert them into demat form These investors are also

struggling to claim their bonus shares and split shares issued by their respective

companies A large number of investors still hold shares in physical form

54

Most of these shares were purchased by investors as long term investment Also

they didnrsquot intend to trade or sell their shares Hence these investors didnrsquot convert

their shares to demat form and pay for demat or annual maintenance charges of

depository participants

What is demat

Dematerialisation is the process of converting physical shares into electronic

format An investor who wants to dematerialise his shares needs to open a demat

account with Depository Participant Investor surrenders his physical shares and in

turn gets electronic shares in his demat account

In order to mitigate the risks associated with share trading in paper

format dematerialisation concept was introduced in Indian Financial Market

Dematerialisation or Demat in short is the process through which an investorrsquos

physical share certificate gets converted to electronic format which is maintained

in an account with the Depository Participant

India adopted the demat System successfully and there are plans to facilitate

trading of almost all financial assets in demat format in future Through this article

we will try to understand the demat process and its benefits from common

investorrsquos perspective

Storage of Dematerialised Shares ndash Depository

Depository is the body which is responsible for storing and maintaining investors

securities in demat or electronic format In India there are two depositories ie

NSDL and CDSL

55

Process of dematerialisation

Advantages of Demat

56

Dematerialisation process

1 Investor surrenders the physical certificates to the DP for dematerialisation

2 DP informs the Depository about the request

3 DP submits the certificates to the registrar of the issuer company

4 Registrar communicates with the Depository to confirm the request

5 Dematerialisation of the certificates is done by the registrar

6 Accounts are updated by the Registrar amp the depository is informed about the completion of dematerialisation

7 Accounts are updated by the Depository amp DP is informed about the same

8 Demat account of the investor is updated by DP

Dealing in demat format is beneficial for investors brokers and companies alike It

reduces the risk of holding shares in physical format from investorrsquos perspective

Itrsquos beneficial for brokers as it reduces the risk of delayed settlement and enhances

profit because of increased participation From share issuing companyrsquos

perspective issuance in demat format reduces the cost of new issue as papers are

not involved Efficiency and timeliness of the issue is also maintained while

companies deal in demat format

There are a lot of other benefits but letrsquos focus on benefits with respect to

common investor and the same are listed below

bull Demat format reduces the risk of bad deliveries

bull Time and money is saved as you are not dealing in paper now You need not go

to the notary broker for taking delivery or submitting the share certificate

bull Liquidity is very high in case of demat format as whole process in automated

bull All the benefits of corporate action like bonus stock split rights etc are

managed through the depository leading to elimination of transit losses

bull Interest on loan against demat shares are less as compared to physical shares

bull Investors save stamp duty while transferring shares in demat format

bull One needs to pay less brokerage in case of demat shares

Demat Conversion

Most of the trading in shares are done in demat format now a day but there are few

investors who still hold shares in paper format You cannot deal in paper shares

now so you need to dematerialise them first In order to dematerialise

physicalpaper shares investors need to fill Demat Request Form (DRF) and

submit the same along with physical shares DRF is available with the DP and you

57

simply need to raise a request for demat conversion with the DP

Their representative will come and get the DRF form signed So the complete

process of dematerialisation involves

1 Investor surrenders the physical certificates for dematerialisation to the DP

along with DRF

2 DP updates the account of the investor and shares are allocated in investor

demat holding

58

CHAPTER-7

59

OBJECTIVES OF THE STUDY

At Present the Indian stock exchanges are following screen based trading and

electronic settlement system But investors scattered at various distant places from

trading and settlement place So there are some problems arising in the settlement

and transfer system Thus there is a need to evaluate the effectiveness of Indian

Depository system

The Main objectives of the study are

1) To evaluate the performance of the Depository system in India with

reference to NSDL

2) To study the Organizational frame work Operational policies Problems

and Prospects and financial performance of NSDL

3) To present legislative measures of dematerialization and to understand the

present status of dematerialization in India

4) To analyze services rendered and quality among the DPs and opinions of

investors with regard to the functioning of NSDL

5) To identify the Investors expectations from the DP companies and to exhibit

the Investorrsquos perceptions on the services offered by the DP companies

6) To make appropriate and relevant recommendations to the management of

the organization under study

60

RESEARCH METHDOLOGY

Although India adopted multi-depository system model to provide competitive and

healthy depository system for surpass services to Investors There is a chance to

various entities to enter into Depository system but only two organizations

National Securities Depository Ltd (NSDL) and Central Depository Services Ltd

(CDSL) are providing depository services presently

The data has been collected from the following sources-

1 Primary data

2 Secondary data

Primary data

In this study the questionnaire method have been used to collect primary data

Secondary data

Secondary data is collected from the website of NSDL (wwwnsdlcoin) and

CDSL (wwwcdslacin) website of Indian central depository system (CDS)

published reports of NSDL and Govt of India Depository Act-1996 SEBI Act-

1992 and Capital Market Services published books and printed material on

financial services or Intermediaries

Sampling Plan

a Sampling units ndash it consist of investors

b Sampling size ndash 50 investors were questioned

61

CHAPTER-8

62

ANALYSIS AND INTERPRETATION

Q1 Are you aware of the services of Depository

Particulars Respondents Percentage

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

The above table shows the opinion of the investors about the Depository services 90 of the respondents are aware of the Depository services but only 10 are not aware about the Depository services So the majority of the investors are aware of the Depository Services

63

Q2 How do you come to know about Demat

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

Brokers Friends Newspaper Others0

5

10

15

20

25

30

24

56

20

0

Interpretation-

The above data represents that 56 of the respondents came to know about the

demat from their friends 24 from the brokers and 20 from newspaper So

most of the investors are aware of it from their friends

64

Q3 In which Depository do you hold an account

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

From the above table it has been observed that about 30 of the respondents hold their Depository account in LSE 20 in Indian Bulls 24 in karvyi 16 in Master Trust and 10 of the respondents hold their Depository account in othersQ4 What is your opinion about the Depository System

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

The above table enlists the investorrsquos opinion about the Depository 40 of the respondents commented that the Depository organization is excellent and another 30 gave their opinion as very good 18 of the respondents claimed the Depository system as good and another 12 respondents gave their opinion as average

Q5 Since how long have you been operating Demat

66

Less than 1 years 10 20

1-2 years 8 16

2-3 years 14 28

More than 3years 18 36

Total 50 100

Less than 1 years

1-2 years 2-3 years More than 3years

02468

1012141618

2016

28

36

Interpretation-

It is clear from the above data that 30 of the investors are operating their demat

for more than 3 years 28 bw 2-3 years 20 less than 1 year and 16 are

operating bw 1-2 years The majority investors are operating their demat for more

than 3 years

67

Q6 Are the Depository participants service center are assessable to the

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

The above table shows the accessibility of the depository services center to the

common investor 84 of the total respondents disclosed the essay accessibility of

depository participantsrsquo service center to the common investor and only 16 has

negative opinion So it can be concluded that majority of the participants are

positive with accept of accessibility of the depository service centers

68

Q7 Do you receive regular statements about your Demat account

Particulars Frequency Percentage

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

The above table shows that 80 out of the total respondents receive regular statement about their demat account and only 20 of the respondents did not receive regular statement about their demat account So majority of the investors are aware of it

69

Q8 Are you satisfied with the existing fee structure of Depository system

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

The above data shows the opinion of the investors on the existing fee structure of Depository 60 of the respondents declared their favourism towards the present fee structure and 40 of the respondents turned negatively So the majority investors have positive opinion

Q9 Did you know that how to open a Demat account

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

The table represents that 84 of the investors are aware of the procedure of the demat account and only 16 of the total investors donrsquot know about the demat procedure Therefore majority investors are aware of the procedure of demat

71

Q10 What is your opinion on the security of the new transferring and

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

The above table shows the opinion on the security of new transfer and settlement system It can be clearly inference that all the respondents unanimously voted positively in favour of the new transfer and settlement system which can be termed as the total positive approach

Q11 Are you aware about capital markets

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

The above data depicts that about 76 of the total respondents are aware of capital

market and only 24 of the investors are not aware of capital market

Q12 What is your usual mode of trading

73

Online Trading 8 16

Trading through Brokers 30 60

Both 12 24

Total 50 100

Online Trading Trading through Brokers Both0

5

10

15

20

25

30

16

60

24

Interpretation-

The above data represents that 60 of the total respondents usually prefers trading through brokers 16 prefers online trading and 24 respondents prefers both So the majority investors prefers trading through brokers and the brokers charge commission from such investorsQ13 What are the most frequent defaults in the service of the DP

74

Insufficient information 16 32

Enquiry problems 23 46

Delay in statement delivery 6 12

Delay in transactions 5 10

Total 50 100

Insufficient in-formation

32

Enquiry problems46

Delay in statement de-

livery12

Delay in transactions10

Interpretation-

The above diagram shows that 46 of the total investors think that there is enquiry problem in the services of DP 32 think it provide insufficient information 12 investors say that there is delay in statement delivery amp 10 says there is delay in transactions

Q14 Are you aware of the working of CDSL and NSDL

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

The above figure depicts that 60 of the total investors are aware of the working

of NSDL and CDSL but 40 of the investors donrsquot know that how NSDL amp

CDSL perform its work

Q15 According to you which one is the most important factor for a trading

company to enhance the loyalty and customers

76

Provide maximum profit 20 40

Provide tips from time to time 15 30

No hidden charges 10 20

Other factors 5 10

Maximum Profits Time to time tips No hidden charges Other factors0

5

10

15

20

25

40

30

20

10

Interpretation-

The above data represents that 40 of the total investors think that Profit maximization is the most important factor for the company to enhance loyality amp customers 30 thinks that company should provide time to time tips to the customers 20 says there should not be any hidden charges charged by the company and 10 goes for other than the above factors

FINDINGS

77

Majority of the investors are aware of the services provided by the

Depository system

Most of the respondents are aware of the basic functions of DEMAT AC

(like procedure of account opening transaction statement of DEMAT

Account nomination facility Re-materialization of DEMAT Securities etc)

but most of them do not have any knowledge about NSDL CDSL and

Depositaries Act 1996

There are more number of male respondents as compare to female

respondents

The investors are satisfied with the fee structure of Depository System

Investors believes that Demat form is better than the physical form of

shares

Mostly investors wants to get regular statements of their Demat account

Investors are aware of the Capital market They required full information

about the plans before investment

Investors invest large amount of their income in order to earn maximum

profits but mostly investors believes that it is very risky to invest in the stock

market

LIMITATIONS OF THE STUDY

78

The study suffered from certain limitations which are as under-

Whole area is not covered in this project so only 50 respondents are

representative for complete area

The overall sample was restricted to respondents of Ludhiana

It was difficult to convince the investors that information provided by them

was to be used for study purpose only

79

SUGGESTIONS AND RECOMMENDATIONS

1 Since dematerialization has a great bearing on the creation and protection of

wealth and investment earnings of an investor DPs must increase their

efforts in promoting enhanced services in general and in those involving

security and safety in particular

2 To encourage the existing and prospective shareholders all efforts should be

made to ensure good returns in addition to providing greater security and

safety

3 Since the investors expect better service form depository participants it

should provide them value-added services

4 The processing of the DEMAT account opening should be made fast and

non-tedious

5 The DEMAT ac holder should be given basic information about NSDL

CDSL and Depositaries Act 1996

6 Clear picture of the deductions made by depository participant or the charges

levied on the customers should be provided in black and white

7 Bank should expand its network by opening its more branches and franchise

and there should be easy accessibility of services rendered by this system

8 The processing of the demat account opening should be made fast

80

CONCLUSION

To conclude it can be said that the demat account opening is same as bank

account ie single or joint accounts or with nominee The growth rates of demat

account holder in increasing over years The Indian system of capital market is a

two tire system Indian government allows holding securities in any form ie either

in physical securities or in demat form The transaction of securities is completely

done through electronic form Investors are not aware of the services offered by

depositories Most of the speculators do no utilize demat account in day-to-day

online trading They trade through broker pool account Dematerialization process

can be done through online trading by utilizing computers

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

Dematerialisation in the Indian Capital Market

By PV Nishanth

Security analysis and portfolio management

By Prasanna Chandra

Securities Laws and Compliances

By Institute of Company Secretaries of India

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

3 Gender Male ( ) Female ( )

4Current status Student ( ) Serviceman ( )

Professional ( ) Businessman ( )

5 Monthly Income(Rs) Below 5000 ( ) 5001-15000 ( )

15001-25000 ( ) Above 250000 ( )

Q1 Are you aware of the services of Depository Yes ( ) No ( )

Q2 How do you come to know about demat

Brokers ( ) Friends ( )

Newspaper ( ) Others ( )

LSE ( ) India Bulls ( )

Karvy ( ) Master Trust ( )

Others ( )

Q4 What is your opinion about Depository system

85

Excellent ( ) Very Good ( )

Good ( ) Average ( )

Less than year ( ) 1-2 years ( )

2-3 years ( ) More than 3 years ( )

Q6 Are the DP Service centre are assessable to the common investors

Yes ( ) No ( )

Q8 Do you know how to open a Demat account

Yes ( ) No ( )

Q9 What is your opinion on the Security of new transferring and settlement system

Positive ( ) Negative ( )

Online Trading ( ) Trading through brokers ( )

Both ( )

Yes ( ) No ( )

Q13 What are the most frequent defaults in the service of the DP

86

Insufficient information ( ) Enquiry problem ( )

Delay in statement delivery ( ) Delay in transactions ( )

Q14 Are you aware of the working of CDSL and NSDL Yes ( ) No ( )

Provide maximum profits ( )Provide tips from time to time ( )No hidden charges ( )Other factors ( )

ldquoThanks for your co-operationrdquo

87

Sh Anup Kumar Jain
- The first depository set up in India is National Securities Depository Limited (NSDL) and is promoted by IDBI UTI and NSE
- Bank Account Vs Demat Account
- 3 Elimination of risk associated with physical certificate such as bad delivery fake securities etc
- WHAT IS DEPOSITORY SYSTEM IN CAPITAL MARKET
- The Depositories Act 1996 defines a depository to mean a company formed and registered under the Companies Act 1956 and which has been granted a certificate of registration under sub-section (IA) of section 12 of the Securities and Exchange BoardofIndiaAct1992 The principal function of a depository is to dematerialise securities and enable their transactions in book-entry form The securities are transferred by debiting the transferors depository account andcrediting the transferees depository account A depository is very much like a bank in many of its operations We can draw an analogy between the two in order to get a better understanding of the depository system
- In a bank the medium of exchange is money whereas a depository deals in securities In a bank money is given for safe-keeping In a depository securities are kept safely Banks hold and transfer funds depositories perform the same function with securities Banks can transfer funds from one account to another without handling cash a depository can do the same with physical securities Just as in a bank an account is opened to avail of the banking services an account has to be opened with a DP for holding scrips in the depository segment
- Either of holders can sign instructions
- All joint holders to sign instructions
- Minimum balance to be maintained
- No minimum balance required
- Entitled for interest
- Interest can be earned only by participating in Stock Lending Scheme
- Uses balances in accounts
- Does not move balances in account without account holderrsquos authorization
- Nomination is kept confidential
- Signature and photograph of nominee to be provided
- In case of transactions in a bank account any one of the joint holders can sign the instructions (cheques) whereas in the depository all joint holders are required to sign all the instructions Minimum funds balance prescribed by the bank has to be maintained in the bank account no minimum balance of securities is required to be maintained in a depository account A bank uses the funds held in a bank account for lending purposes The securities maintained in a depository account by an investor can be moved from the account only on basis of a proper authorisation from the account holder A depository cannot use the clients security balances
- Nomination is kept confidential in case of bank accounts The photograph and signature of the nominee is required to be affixed on the nomination form for registering the nomination for a depository account
- ANALYSIS AND INTERPRETATION

DECLARATION

I here by declare that the project report entitled ldquoDEPOSITORY

SYSTEM IN INDIArdquo submitted to Punjab University Chandigarh in

partial fulfillment of the requirement for the award of degree of MCom

is a record of bonafide project work carried out by me under the

guidance of Mr Sadhu Ram I further declare that all the particulars

given herein are true to best of my knowledge and belief The assistance

and help during the execution of the project has been fully

acknowledged

Bharti Verma

PREFACE

ACKNOWLEDGEMENT

CONTENTS

Exchange

Subsidary of LSE

1

3

5

6

7

8

9

Depository Players

Legal Framework

Depository

Functions

18

22

24

28

31

NSDL

CDSL

41

42

market

45

60

61

Findings

Conclusion

69

78

79

80

81

10 Annexure 84

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

PREFACE

ACKNOWLEDGEMENT

CONTENTS

Exchange

Subsidary of LSE

1

3

5

6

7

8

9

Depository Players

Legal Framework

Depository

Functions

18

22

24

28

31

NSDL

CDSL

41

42

market

45

60

61

Findings

Conclusion

69

78

79

80

81

10 Annexure 84

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

ACKNOWLEDGEMENT

CONTENTS

Exchange

Subsidary of LSE

1

3

5

6

7

8

9

Depository Players

Legal Framework

Depository

Functions

18

22

24

28

31

NSDL

CDSL

41

42

market

45

60

61

Findings

Conclusion

69

78

79

80

81

10 Annexure 84

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CONTENTS

Exchange

Subsidary of LSE

1

3

5

6

7

8

9

Depository Players

Legal Framework

Depository

Functions

18

22

24

28

31

NSDL

CDSL

41

42

market

45

60

61

Findings

Conclusion

69

78

79

80

81

10 Annexure 84

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

60

61

Findings

Conclusion

69

78

79

80

81

10 Annexure 84

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-1

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

1

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

05032012

2

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

3

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Officials

Interest Director)

4

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

be capitalized

Exchange

the last 25 years

5

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Rajasthan

6

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

exchange

Chandigarh

operations

7

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

8

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

BSE and NSE

Securities Market

9

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Consumer Groups

10

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-2

11

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

settlement cycle

12

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

History

13

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-3

14

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

by 75

system in India

15

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

16

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-4

17

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

DEPOSITORY SYSTEM

18

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

19

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

customers

20

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

from the DP

21

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

d) Investors

LEGAL FRAMEWORK

is regulated by-

Income Tax Act 1961

22

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Legal Linkage

DEPOSITORY

23

ISSUER

DEPOSITORY

INVESTOR

STD LEGAL AGREEMENT

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

of scriprsquos

Role of depository

24

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

trades)

investor

itself

Reg 1996

25

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

S

or securities)

moneysecurities

involved

26

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

S

No

Basis Of

1Form of

3 Facilitates

Transfer of money

money)

Transfer of shares

shares)

bank)

5Requirement of PAN

NumberNot Mandatory

April 01 2006)

holdings

interest

account

7Minimum balance

requirement

AQB maintainance is

accounts

No such requirement

8Either or Survivor

27

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

are as under

Account opening

28

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Scheduled Banks

electronic form

29

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

securities etc

single account

30

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

rights bonus etc

2 ACCOUNT OPENING

3 DEMATERIALIZATION

4 REMATERIALIZATION

31

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

in market lot

32

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Current Scenario

33

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

DAY ACTIVITY

6 CORPORATE ACTIONS

7 NOMINATION

34

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

11 ACCOUNT CLOSING

35

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

12 TRANSMISSION

account

16 PLEDGING

Procedure

intimated by his DP

36

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

system

37

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

38

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Investor

39

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-5

40

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Ownership

6 Citibank NA

41

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

8 HDFC Bank Limited

10 Deutsche Bank AG

11 Dena Bank

12 Canara Bank

Management of NSDL

42

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

NSDL CDSL

Union Bank etc

(Rs Cr)

7679027 973908

43

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-6

44

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

45

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

secondary markets

Market Regulation

46

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

securities market

47

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

paper work involved

48

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

49

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

balances

50

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

51

NSDL Register

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

52

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

investors

53

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

DEMAT SHARES

problems

54

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

What is demat

NSDL and CDSL

55

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Advantages of Demat

56

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Demat Conversion

57

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

along with DRF

demat holding

58

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-7

59

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Depository system

reference to NSDL

60

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

RESEARCH METHDOLOGY

1 Primary data

2 Secondary data

Primary data

Secondary data

Sampling Plan

61

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-8

62

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 45 90

No 5 10

Total 50 100

Yes90

No10

Interpretation-

63

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Brokers 12 24

Friends 28 56

Newspaper 10 20

Others 0 0

Total 50 100

5

10

15

20

25

30

24

56

20

0

Interpretation-

64

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

LSE 15 30

India Bulls 10 20

Karvy 12 24

Master Trust 8 16

Others 5 10

Total 50 100

LSE30

India Bulls20

Karvy24

Master Trust16

Others10

Interpretation-

65

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Excellent 20 40

Very Good 15 30

Good 9 18

Average 6 12

Total 50 100

Excel-lent

Very Good

Good Average0

2

4

6

8

10

12

Interpretation-

66

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

1-2 years 8 16

2-3 years 14 28

Total 50 100

Less than 1 years

02468

1012141618

2016

28

36

Interpretation-

than 3 years

67

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

common investors

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

Interpretation-

68

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 40 80

No 10 20

Total 50 100

Yes80

No20

Interpretation-

69

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

3560

40

Interpretation-

70

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 42 84

No 8 16

Total 50 100

Yes84

No16

YesNo

Interpretation-

71

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

settlement system

Positive 50 100

Negative 0 0

Total 50 100

Positive100

PositiveNegative

Interpretation-

72

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 38 76

No 12 24

Total 50 100

Yes76

No24

Interpretation-

73

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Online Trading 8 16

Both 12 24

Total 50 100

5

10

15

20

25

30

16

60

24

Interpretation-

74

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Total 50 100

32

Enquiry problems46

livery12

Interpretation-

75

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes 30 60

No 20 40

Total 50 100

Yes No0

5

10

15

20

25

30

35

60

40

Interpretation-

76

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Other factors 5 10

5

10

15

20

25

40

30

20

10

Interpretation-

FINDINGS

77

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Depository system

respondents

shares

market

78

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

79

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

safety

non-tedious

80

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CONCLUSION

81

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

CHAPTER-9

82

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

BIBLIOGRAPHY

1 BOOKS

By PV Nishanth

By Prasanna Chandra

2 WEBSITES

wwwindiabullscom

wwwmoneycontrolcom

wwwnseindiacom

wwwbseindiacom

wwwwikipediacom

wwwsebicom

wwwgooglecom

83

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

ANNEXURE

84

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

QUESTIONNAIRE

1 Name

2 Age

15001-25000 ( ) Above 250000 ( )

Others ( )

85

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

Yes ( ) No ( )

Both ( )

Yes ( ) No ( )

86

87

Sh Anup Kumar Jain

87

Sh Anup Kumar Jain

Date post:	09-May-2015
Category:	Business
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