HSL

Our Business

Important Information

Leaders @ HSL

Our Values

Work Systems

About Us

AN INTRODUCTIONHDFC securities Ltd.

Incorporated in the year 2000, HDFC securities is a trusted financial services intermediary.

Having completed over a decade in operation, we serve a diverse customer base of retail and institutional investors.

ProductsServices

Equity & IPO Mutual Funds Derivative National Pension System Insurance Fixed Deposit & Bonds Loans

Trading & Broking NRI Offerings Research Financial Planning Wealth Management

Introduction

VISION

To be a trusted, full service Financial Intermediary.

MISSIONTo offer superlative service experience to our customer

To deliver well researched, technology driven services.

To consistently enhance value for our all our stakeholders.

To be a great place to work, where people are inspired to excel.

Our Vision & Mission

Our CORE VALUE is

COMMITMENT TO EXCELLENCE

Our Core Value expresses the manner in which, both individually and collectively, we

pursue our goals.

When we are challenged in fulfilling our purpose, our Core Values sustain us and guide us in

meeting the challenge.

Our Value

COMMITMENT TO EXCELLENCE

At HDFC securities, Excellence is defined as;

Doing it right the first time, every time.

The key attributes on which we measure Excellence are:

• Have we made our solution SIMPLER•Are we responding FASTER •Are we getting BETTER

Our Value

How do you make it SIMPLER, BETTER, FASTER

Simpler, Faster, Better

REDUCEORGANIZETIMELEARN

Reduce: The simplest way to achieve simplicity is through thoughtful reduction.Organize: Organization makes a system of many appear fewer.Time: Delivering Faster, feels like simplicity.Learn: Knowledge makes everything simpler.Small Changes: Make small changes to improve.Respond: Quick & Correct Response= Satisfied Customer

Our Business

Trading & Distribution of Financial Products

Branch Sales

Financial Planning & Wealth Management

Retail Sales

Customer Care & Call Center Operations

Customer Care

SALES FUNCTION

The Retail Sales Team additionally is also responsible for CUSTOMER ACQUISTION for HSL

Our Business

SUPPORT FUNCTION

Support Function

New Initiatives

HSL PAD

Retail Research

Human ResourcesFinance & OperationsRisk & Compliance

Administration & Secretarial

IT & Projects

Online Marketing

OUR LEADERSHDFC securities Ltd.

Our Leaders

Mr. Aseem Dhru, Managing Director and CEO of HDFC securities, brings with him over 17 years of experience. His association started with the HDFC Group in the year 1997.

Prior to joining HDFC securities in 2008, Aseem was heading business for Business Banking, Mortgages, Commercial Transportation, Infrastructure and Healthcare Finance units with HDFC Bank

A CA, CWA professional, Aseem has completed his Bachelor in Commerce from Gujrat Unviersity.

Mr. Aseem Dhru

Managing Director HDFC securities

HDFC securities | Our Leaders

Mr. Siddharth Shah , heads the Branch Sales, FPS and HNI Department at HDFC securities.He brings with him 28 years of rich experience across several domains including Broking, Research and Wealth Management. He has been with HDFC Bank for the last ten years and worked across Capital Markets, Retail Assets, Business Banking - Liabilities.

Mr. Jyotheesh Kumar heads the Retail Loans, NRI & Private Banking, Online Business & Marketing departments, at HDFC securities.A Mechanical Engineer and an MBA, Jyotheesh brings with him with more than 15 years of experience across a wide spectrum of industries, such as the Automobile industry, Telecom industry, Banking and broking industry.

Mr. Uday Singh , heads the Retail Sales department, at HDFC securities.An MBA, Uday brings with him with over 14 years of Sales experience in the Financial Sector across organizations such as ICICI Prudential Life Insurance Company Ltd, XEROX India Ltd (Modi Xerox ltd)

Our Leaders

Ms. Reynu Bhat , heads the Customer Care and Call Center Operations at HDFC securities.A Bachelor in Science Reynu, brings with her over 17 years of experience in setting up and operating tele-business & tele-servicing across different industries such as Logistics, Telecom and Financial Services.

Mr. Vinod Kumar Sharma , heads the Private Broking & Wealth Management Department at HDFC securities.An MBA in Marketing and Finance, Vinod brings with him an overall experience of over 20 years.

Mr. Santosh Haldankar , heads the Administration, Secretarial & Legal Department at HDFC securities. A CS & whole time director of the company, Santosh ings with him over 18 years of experience spanning across a spectrum of industries.

Mr. Deepak Jasnani, heads the Retail Research Department at HDFC securities.A CA, CFA, LLB by qualification, Deepak has over 23 years of experience across industries. Prior to establishing extensively as a Equity/Debt research professional he was a practicing CA.

Mr. C V Ganesh – Chief Financial Officer & Operations Head, at HDFC securities.Cost Accountant and a Chartered Accountant, Ganesh brings with him over 18 years of cross-functional experience spanning Finance, Business Planning and analysis, Regulatory liaison & reporting, Treasury Operations, Risk, Institutional sales, Credit Analytics and finance technology.

Mr. Homi Tarapore, heads the Human Resource Department at HDFC securities.An MBA, Homi brings with him over 17 years of experience spanning across several industries, with organizations such as Aditya Birla Retail Ltd, India Infoline, WNS, SCMS & Mafoi

Our Leaders

Mr. Dipen Seth, heads research for the Institutional Desk at HDFC securities. An MBA from IIM – Calcutta, Dipen brings with him over 12 Years of experience in the capital markets.

Mr. Ashish Rathi , heads the Risk & Compliance Department at HDFC securities. A CA, Ashish brings with him over 10 years of experience .

Our Leaders

Mr. Parag Thakkar, heads Sales for the Institutional Desk at HDFC securities. A commerce graduate, Parag brings with him over 8 years of experience in institutional research and sales.

Mr. Pinaki Panda , heads the New Initiatives Department at HDFC securities. An MBA from IIM –Kozhikode, Pinaki brings with him over 7 years of experience, worked with organizations such as Marico and Infosys and also holds an entrepreneur experience in Oyeweekend.

IMPORTANT INFORMATIONHDFC securities Ltd.

Important Information

We trade in the securities market on behalf of our customers and offer other financial products to suit customer needs. To ensure that we all adhere to the defined compliance standards, we follow some essential codes, to conduct our behavior and decisions.

Code of Conduct.Anti-Money Laundering Policy.Important Information for Dealers.

We have discussed few very important elements of the codes and guidelines during the orientation, for a detailed study of these documents please refer to the bulieten board or connect with our Compliance team at [email protected]

Code of ConductThe Code of Conduct at HDFC securities is guideline as per the SEBI acts framework for Prevention of Insider Trading.

SCOPE

• Applicable to all secondary market dealings in securities/units of Mutual fund & debentures which are listed.

• The policy covers all employees and his/her financially dependent relatives.

Key Elements of the Code of Conduct

• Route all transactions including those of financial dependent relatives through HSL only• Mandatory holding period of 30 days for secondary market dealings.• Prior approval need to be obtained if you wish to trade above Rs. 2 lakh (Gross Buy/Sell Amount per

day - Form A to be submitted)• Employee and his/her financially dependent relatives are restricted to trade in F&O segment • Half yearly submission of statement of transactions - (Form B) before 15th April & 15th Oct• Yearly submission of statement of holdings as on 31st Mar - (Form C) before 15th April

The Anti- Money Laundering Policy is guided by the PMLA Act 2002. Money Laundering refers to conversion of money illegally obtained to make it appear as if it originated from a legitimate source.

Key Elements of the Policy

• Main aspects of the Policy - Customer Acceptance, Customer Identification & Customer Due Diligence • Customer Acceptance & Identification will include ensuring adequate KYC documentation of client on record & checks like whether client is having any

criminal background, Banned by Regulators/Other Authority etc. • Customer Due Diligence will include client transaction monitoring. E.g. Increase in client turnover in dormant account without apparent cause, client

holding Multiple PANs, Inquiries received from Income Tax/CBI for client related information, client name appearing in the media for any wrong doings. • Appointment of Principal Officer.

What is our role

• Ensure high engagement with and awareness about the customer and his background• Ensure process adherence during customer acceptance• escalate in case of any abnormal transactions by clients.• We should report in Suspicious Transaction to Financial Intelligence Unit (FIU) -India.

Anti- Money Laundering Policy

Some Important DO’s & Don'ts for all Dealers;

Information for Dealers

Do’s

• Do execute orders only on the instruction of the client on the recorded line or any other acceptable mode.• Do fill up a deal sheet incase of walk in client. • Do escalate errors to the Branch Manager and inform the same in writing.• Do give order / trade confirmation to the client which is clear and unambiguous.

Don’ts

• Don’t accept orders on mobile.• Don’t share User ID and password with anyone.• Don’t allow unauthorized persons in the dealing room.• Don’t enter orders at unrealistic / unjustified prices.• Don’t indulge in communication of price-sensitive information or excessive speculation or spreading rumor.• Don’t enter into any personal dealing with the customer on profit sharing / otherwise.• Don’t make any promises of assured returns to any of the customers.• Don’t match or synchronize trades with any other person.• Don’t try to hide any loss if incurred by the customer on account of transactions undertaken.

WORK SYSTEMHDFC securities Ltd.

Monday – Saturday 8:30 a.m. – 5:30 p.m.

Work Systems

Attendance is to be signed-in online @ http://10.226.17.213/HSL_Eatt/login.aspx.1st & 3rd Saturday are additional weekly offFor new employees attendance has to be signed in at muster available at reception.Sign-in after ten minutes of the work timings is marked as late3 Late sign-in a month, shall be considered as a Half Day Leave Attendance for the purpose of payroll input is considered from of the 16th of last month to 15th of the

current month.Salary is credited on the Last working day of the month.

Leaves

Leaves shall be allotted on a pro-rata basis, depending on the date of joining.Employees on Probation are only eligible for 4 days of Casual/Sick Leave (pro-rated for 6 months)

Type of Leave Eligibility No. of Leavesfor a year (April- March) Leave Accrual & Accumulation Limit

Privilege Leave All Confirmed Employees 30

1. Only a maximum of 15 days of leave per year can be carry-forwarded.

2. Accumulation of leave can be to a maximum of 90 days.

Casual/ Sick Leave

All Confirmed Employees 8

1. The actual leaves balance at the end of the year can be carry-forwarded, and accumulated to a maximum limit of 30 days

How to apply for leave

Application of Leave for approval is made through Cynergies – Employee Self Service Portal. It is mandatory to record all leaves on Cynergies.

MY_Space – https://www.cnergyis.com/OldESS/HSL/

is our employee self service portal, where employees can view and download their pay-slips, tax computation and HR Policies.

Online Attendance - http://10.226.17.213/HSL_Eatt/login.aspx.

is our online attendance portal, where employees sign-in their daily attendance, for the purpose of payroll processing.

Systems @ HSL

MY_Space – https://ess.cnergyis.com/elcmv4/pages/essLogin.aspx

is our employee self service portal, where employees can view and download their pay-slips, tax computation and HR Policies.

Systems @ HSL

Enter Company Code - HSL

Enter Employee Code

First Time Password – Date of Birth (ddmmyyyy)

Online Attendance - http://10.226.17.213/HSL_Eatt/login.aspx.

is our online attendance portal, where employees sign-in their daily attendance, for the purpose of payroll processing.

Enter code used to sign-in system - hsl + your employee code; e.g. hslh1111

First Time Password – Date of Joining (ddmmyyyy)

Systems @ HSL

The Inputs are automated, click on confirm attendance to record sign-in time. If sign in time is beyond 8:40 a.m. the system will ask

for reasons, which mandatorily should be recorded.

Systems @ HSL

Mediclaim

All employees are covered as per the mediclaim policy at HDFC securities.

Coverage: Employee + Spouse + 2 Children (less than 21 years of age) + 2 Dependant Parents(up to 80 years of age). Female Employees have the option to add Parents or Parent-in-laws (upto 80 years of age)

Claims: Cashless in the network hospitals and reimbursement in others.

Employee Entitlements

Mediclaim Eligibility

Sum Assured (Hospitalization)

Officer to Vice PresidentVice President & above

Rs. 4 LacsRs. 6 Lacs Self & Family

Sum Assured(Death due to accident)

Officer to Vice PresidentVice President & above

Rs. 3 LacsRs. 5 Lacs Self

Manage Mediclaim online; login at https://www.medimanage.com/mainlogin.aspx

Employee Entitlements

Login: Employee code_ddmmyyyy

(h1111_22061986)(DOB)

Password: ddmmyyyy (22061986)(DOB)

Interest Subsidy

The subsidy is a benefit offered to the employee to support an employee for interest on loans that he/she has availed/will avail from recognized financial institutions.

It will be a reimbursement to the extent of interest actually paid, subject to a maximum of the assigned limit.

Employee Entitlements

Interest Subsidy EligibilityGrade Interest Subsidy Loan Type

Senior Vice President Rs. 2.4 Lacs

Housing Loan (applicable for one house only)

Vice President Rs. 1.8 LacsDeputy Vice President Rs. 1.5 LacsAssistant Vice President Rs. 1.2 LacsSenior Manager Rs. 1.05 LacsManager Rs. 85 ThousandDeputy Manager Rs. 55 ThousandAssistant Manager Rs. 5 Thousand

Personal LoanExecutive Rs. 5 Thousand

Leave Travel Assistance

All employees are eligible to claim the entitlement for leave travel assistance, after completion of 1 year from DOJ. LTA can be availed every year or once in two years, i.e. LTA can be accumulated for a maximum period of two years. If LTA is not claimed once in two years, at the end of the second year the said amount will be paid to the employee net of taxes.

Employee Entitlements

LTA EligibilityGrade LTA eligibility

Senior Vice President Rs. 20 ThousandVice President Rs. 18 Thousand

Deputy Vice President Rs. 15 ThousandAssistant Vice President Rs. 12 Thousand

Senior Manager Rs. 10 ThousandManager Rs. 8 Thousand

Deputy Manager Rs. 6 ThousandAssistant Manager Rs. 6 Thousand

Reimbursements

The reimbursements for expenses incurred for official work, shall be reimbursed on submission of Reimbursement Voucher and the original invoice.

Employee Entitlements

DRESS CODE & PERSONAL GROOMINGHDFC securities Ltd.

Dress Code & Personal Grooming

You never get a second chance to make the first impression

First Impression Guidelines - Colors That Work

First Impression Guidelines - The Attire

First Impression Guidelines - Grooming

Dark to medium range blues Navy Blue Gray Camel/Beige Black

Dark Brown Burgundy Rust

Hair – clean and neat Details – no missing buttons, lint or tags Hands – clean, manicured fingernails Fit – clean, pressed and proper fit

Smell – little or no cologne; no cigarette odor Breath – fresh, clean breath; use a breath mint

Wear Clean and fresh Clothes Wear Well-fitting clothes Wear Neatly ironed clothes Avoid sheer clothing material

Avoid loud colors and prints Wear polished closed shoes

Dress Code

You never get a second chance to make the first impression

Dress Code

You never get a second chance to make the first impression

WHY WORK WITH US?HDFC securities Ltd.

Employee Value Proposition

‘A World of Opportunities’At HDFC securities we work towards offering our employees a world of opportunities for

professional growth with human care. Our people vision is based on four Key Pillars :

Career: Opportunities to build and fulfill career aspirations.

Learning & Development: Opportunities to learn, develop and grow as a professional

Rewards & Recognition: Opportunities to get rewarded and recognized for commitment and contribution

Enrich Your Life: Opportunities to fulfill responsibilities and lead a healthy balanced life.

For any queries/suggestion/feedback please contact [email protected]

Welcome to a ‘world of opportunities’HDFC securities Ltd.