In this part.

1. CASH MANAGEMENT WITH VARIOUS
OPERATIONS AND INVESTMENT DECISIONS
INVOLVING INFORMATION TECHNOLOGY
MODULES

2. ABOUT BROKERAGE FIRM
• WHAT IS A BROKERAGE FIRM?
• WHAT IS A BROKERAGE?
• FUNCTIONING OF BROKERAGE FIRM
a) Investment advisors
b) Client representatives

3. ABOUT KOTAK SECURITIES
Kotak Securities Limited, a subsidiary of Kotak
Mahindra Bank, is the stock broking and distribution
arm of the Kotak Mahindra Group.
It is a corporate member of both BSE and NSE.
Kotak Securities was founded in 1994
Headquartered in Mumbai, India.

4. MAIN SERVICES OFFERED BY
KOTAK SECURITIES
• Equity
• Derivatives: Futures & Options, Foreign Indices
• Mutual Funds
• Currency Derivatives
• Initial Public Offering (IPO)

5. TREASURY
Treasury management (or treasury operations)
includes management of an enterprise's holdings,
with the ultimate goal of maximizing the firm's liquidity
and mitigating its operational, financial and
reputational risk.
FUNCTION
1. To maintain the liquidity of business
2. To provide quick finance to Company

6. PROCESS & PROCEDURES
A
B
C
D E
A = Payout activities, B = Monitoring activities, C = Order Executing
Operations, D = Funds Planning, E = Investment decisions

7. PAYOUT OPERATION
Include payments to clients and exchange.
FUNCTIONING OF PAYOUT
A. URGENT LOT
B. 1st LOT
C. 2nd LOT
D. 3rd LOT

8. FINANCIAL INSTRUMENT INVOLVED
FOR CLIENT PAYOUT
• DD
• Manager Cheque
• RTGS/NEFT
• Fund transfer
• E-net/ HDFC payout.

9. FUND PLANNING
Morning plan
 Planning of main bank account
Short Term Planning (STP)

10. INVESTMENT PLANNING
• Fixed Deposit (FD)
• Mutual Fund *
*Mainly Invest in Zero Debt fund.

11. EXCHANGE TRADED FUND(ETF)
• An exchange traded fund is an investment fund
traded on stock exchanges, much like stocks.
• An ETF holds assets such as stock, commodities, or
bonds and traded close to its net assets value over
the course of trading day.
KOTAK ETFs PRODUCTS
A. Gold ETF
B. Sensex ETF
C. Nifty ETF
D. PSU Bank ETF

12. MONTH END ACTIVITY
SEBI PAYOUT
“According to SEBI guideline that the investor
trading account needs to be cleared in monthly,
quarterly, or yearly basis depending on the
requirement of the client.”
For this, broking firm needs to take a feedback from
all the clients who are having the trading account
with the firm.
* Mandatory to follow

13. IT MODULE
• CENTRALISED RECEIPT AND PAYMENT SYSTEM(CRPS) is a
system where all the transaction records are
processed, stored, authorized, updated etc.
• Whatever activity is performed, for that an entry is
passed in the CRPS.
• As it is a centralized system whole Firm group uses this
system, therefore anybody can track any record
unless and until the concerned person has the rights
to access that.

15. THANK YOU