Attaining customer satisfaction by setting highest standards of financial servicesthrough research & logistic oriented customer centric approach

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Company Profile

Promoted by Mr. Kamal Somani and Mr. Sandeep Parwal, Chartered Accountants in 1994.

Customer-centric approach to provide fee-based value added financial services.

Composite financial services provider & one stop destination for financial solutions.

Senior & Middle level team of over 200 dedicated professionals comprising of Bankers, CA’s, CS’s, MBAs, B.E. and other Technocrats among total employee strength of over 1000.

Wide presence through 4 Regional offices at all Metro cities in India & more than 45 branches across the Country.

Group Net Worth over Rs. 31 Crores as on 31-03-2009.

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SPA Group

SPA Capital Services Ltd. Investment, Corporate Finance & Mutual Funds advisory Services

SPA Securities Ltd. Equities & Debt Securities Broking, Currency Derivatives & DP Operations Member – NSE (CM, F&O,WDM & CD), BSE (CM,WDM & CD), MCX-SX (CD) Depository Participant – CDSL , NSDL SEBI Regd. Portfolio Management Service (PMS) Provider

SPA Merchant Bankers Ltd. SEBI Registered Category – I Merchant Banker Pre-Post Equity & Debt Issue Management Services

SPA Insurance Broking Services Ltd. IRDA Registered Life & General Insurance Advisory Services

SPA Com-Trade Pvt. Ltd. Exchange Listed Commodities Broking House Member – NCDEX & MCX

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Services Offered

Mutual Funds

Mobilized more than Rs. 1,50,000 crores for various Mutual Funds during the last 5 years As of now, Assets under Management (AUM) over Rs. 20000 crores with apprx. 90000

folios and more than 15000 HNIs & Corporate investors. Won the Chairman’s Award for best performance from Prudential ICICI Mutual Fund

continuously for 5 years. Won the Best Performance award from Standard Chartered Grindlays Mutual Fund, Birla

Mutual Fund and various other Mutual Funds.

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Services Offered

Securities Broking – Debt Member of NSE & BSE for wholesale debt market segment. Primary Placement & Secondary market broking in SLR & Non-SLR Securities viz.; Bonds, CDs, CPs, Corporate & PSUs Debentures and other structured products. Ranked No.2 in the short term debt placement segment consecutively for the last three

financial years, source PRIME. Empanelled with more than 125 Institutions/Banks/Mutual Funds/ Insurance Cos

Securities Broking - PF Desk Retirement Fund Advisors for more than Rs.1500 Crores. Empanelled with Major PSUs/Insurance Companies/ Nationalised Bank and their

Retirement Funds

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Services Offered

Securities Broking – Equity Member of NSE (Cash & F&O) and BSE (Cash). Net-worth more than Rs. 18

Cr (As on March’2009) Separate secondary market Equities, Futures & Options and SLB broking

operations for Institutions and Retail. Syndicate & Sub-syndication services in IPOs, Broking Services for Open

Market Buy-Backs Empanelled with more than 80 domestic institutions

Currency Derivatives Members of NSE, MCS – SX and BSE for its Currency Derivatives segment

since commencement. Directional, Arbitrage & Hedging option for all corporation having exposure to

Foreign Exchange.

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Services Offered

Merchant Banking SEBI Registered Category I Merchant Banker Takeovers, Mergers, Listing & Delisting, FCCBs, ESOPs, private placement and public

issue of equity, Total handling of Buy back of shares of Corporate, QIP, Private placement of debt, corporate finance, Enterprise Valuation and investment advisory.

Placement of corporate short-term papers, mobilization in various PSU/SU bond issues. Syndicated more than Rs.60,000 cr. in private placement of debt since 2004. Successfully syndicated more than Rs. 1,00,000 Crores during last five financial years

(source PRIME) Successful execution of long term bonds, amounting to more than Rs.26,000 Crores

during 2008-2009 (source PRIME). Ranked number 1 during (2005-2006) : Largest mobiliser in capital gains bonds (54 EC of

Income Tax Act) Rs. 2133.55 Crs being 54% of the market share. Placed among top 10 Merchant Bankers in Ranking by PRIME database for Financial Year

2004-05/ 2005-06/2006-07/2007-08/2008-09

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Services Offered

Insurance Broking IRDA licensed Composite Insurance Broker since 2005 Risk Management Services Life Insurance Advisory Services General Insurance Advisory Services

On-site FMS Services On-site Financial Management Services involve setting up of a specialized desk to offer

variety of services to employees at their work-site such as:

• Taxation – Tax planning, filing of returns, PAN Card Application

• Investment Advisory – Mutual Funds, IPO, Government Bonds, ELSS etc.

• Insurance – Life and General Insurance

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Key Deals

Have done notable key debt placements for government institutions like Allahabad Bank, Union Bank, Bank Of India, SIDBI, UCO Bank, HDFC etc.

Key Debt placements of Private institution and clients such as CITI Corp, Blue Dart, GE Capital, Onida, Ranbaxy, Kinetic, etc.

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Securities Broking – Equity Empanelment

Nationalized Banks 1. Allahabad Bank 2. Andhra Bank 3. Bank of Baroda 4. Bank of India 5. Bank of Maharashtra 6. Canara Bank 7. Central Bank of India 8. Dena Bank etc…

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Mutual Fund 1. Birla Sunlife Mutual Fund 2. Benchmark Mutual Fund 3. Can Robeco Mutual Fund 4. DBS Chola Mutual Fund 5. DSP Blackrock Mutual Fund 6. DWS Mutual Fund 7. HSBC Mutual Fund 8. HDFC Mutual Fund etc…

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Private Sector 1. The Bank of Rajasthan 2. Catholic Syrian Bank 3. HDFC Bank Ltd 4. Jammu & Kashmir Bank 5. Karnataka Bank Ltd. 6. Tamil Nadu Mercantile Bank 7. Axis Bank Ltd 8. The Federal Bank Ltd etc…

Thank You

For further Details visit: www.spasecurities.com