The document discusses investors' education and grievance redressal mechanisms at the Ludhiana Stock Exchange (LSE) in India. It provides details about LSE such as its establishment, vision, mission, organizational structure, subsidiaries, departments, and board of directors. It also discusses investors' rights and responsibilities, types of grievances faced, and the procedures for filing complaints. Statistical data from a survey of 100 LSE investors is presented on their awareness of rights, preferred education methods, problems faced, complaint filing actions, and satisfaction with the redressal process. Suggestions to improve the process are provided.

1. Presentation on “ Investors education and redressal mechanism- A Study on LSE Presented By Lakhvir Singh MBA 2A

9. Work Profile of LSE Board of Directors 6 Shareholding Director 6 Public interest Director 3 Trading Member Director 1 Executive Director

10. Board of Director of LSE Executive Director (Officiating) Ms. Pooja M. Kohli 13 Public Interest Director Sh. Ved Prakash Gaur 12 Public Interest Director Dr. Raj Singh 11 Public Interest Director Sh. Ashwani Kumar 10 Shareholder Director Sh. Varun Chabra 9 Shareholder Director Sh. Satish Nagpal 8 Shareholder Director Sh. Ashok Kumar 7 Shareholder Director Dr. Ravinder Nath Sethi 6 Trading Member Director Sh. Sunil Gupta 5 Trading Member Director Sh. T.S. Thapar 4 Trading Member Director Sh. Sanjay Anand 3 Vice-Chairman and Shareholder Director Sh. Joginder Kumar 2 Chairman and Shareholder Director Sh. Padam Prakash Kansal 1 Designation Name of the Director Sr. No.

11. ORGANIZATIONAL CHART OF LUDHIANA STOCK EXCHANGE Board of Director Chairman CEO Department Legal Department Secretarial Department Tech & Maintaince Department Listing Department Membership Department Account Department Training & Education Department

15. Work profile of the LSE Security Ltd. Board of Directors 1 Chairman 1 vice Chairman 3 From Broker Member 5 Public interest Director 1 from LSE 1 CEO cum Director

16. Board of Director of LSE Security ltd. CEO Cum Director Mr. Rajesh K. Sharma 12 LSE Representative Director Ms. Pooja M. Kohli 11 Public Representative Director Sh. Pawan K. Garg 10 Public Representative Director Dr. Anil Angrish 9 Public Representative Director Dr. Prem Kumar 8 Public Representative Director Sh. Vijay K. Bansal 7 Public Representative Director Sh. Susheel Bhakoo 6 Member Director Sh. Lalit Kishore 5 Member Director Sh. M.S. Sarna 4 Member Director Sh. Jatinder Garg 3 Vice-Chairman Sh. Vishal Goomber 2 Chairman Sh. Anurag Arora 1 Designation Name of the Director Sr. No.

17. DEPARTMENT OF LUDHIANA STOCK EXCHANGE Ms. Pooja Sharma Personnel Department Mr. Madhur Gupta IT Department Ms. Paramjeet Kaur Surveillance Department Mr. Ravinder Saini Account 2 Department Mr. Ram Ji Account 1 Department Mr. Rajinder Pal Singh Margin Department Mr. Vipun Goyal Clearing Department Ms. Sonia Makkar KYC Department Mr. Viney Mahajan Depositary Department HOD Departments

18. Financial analysis Current Ratio = Current Assets/Current Liabilities 1.33 1.49 1.52 1.60 Current Ratio 102615218 85510697 88057900 90056374 Current Liabilities 136653178 127256429 133627992 144212436 Current Asset March 2006 March 2007 March 2008 March 2009

19. Liquid Ratio=Liquid Assets/Current Liabilities Liquid Assets= Current Assets – Inventory – Prepaid Expenses 1.33 1.48 1.51 1.59 Liquid Ratio 102615218 85510697 88057900 90056374 Current Liabilities 136596413 127214660 133118958 143995929 Liquid Asset March 2006 March 2007 March 2008 March 2009

20. Absolute Liquid Ratio= Absolute Liquid Assets/Current Liabilities Absolute Liquid Assets= Cash + Bank + Short Term Investments 1.05 1.18 1.21 1.26 102615218 85510697 88057900 90056374 Current Liabilities 108499165 110577976 106628810 113940009 Absolute Liquid Asset March 2006 March 2007 March 2008 March 2009

21. Proprietary Ratio= (Shareholder Funds/Total Assets)*100 Solvency Ratio= (Total Outside Liability/Total Assets)*100 62.28 66.50 66.07 66.14 Proprietary Ratio 272061926 255229047 259570906 265961529 Total Assets 169446708 169718351 171513006 175905155 Shareholder Funds March 2006 March 2007 March 2008 March 2009 37.72 33.50 33.92 33.86 Solvency Ratio 272061926 255229047 259570906 265961529 Total Assets 102615218 85510696 88057900 90056374 Total Debt March 2009 March 2009 March 2009 March 2009

22. Fixed Assets to Net-worth Ratio= (Net Fixed Assets/Shareholder Funds)*100 ROSF= (Net Profit after tax/ Shareholder Funds)*100 55.87 54.68 53.68 51.01 Ratio 169446708 169718351 171513006 175905155 Shareholder Funds 94679869 92804243 92072811 89734809 Net Fixed Assets March 06 March 07 March 08 March 09 (2.44) 4.22 2.25 3.96 ROSF 169446708 169718351 171513006 175905155 SH Fund  4132544) 7170142 3855982 6966926 EAT March 2006 March 2007 March 2008 March 2009

23. Trend analysis of Net Profit

24. Trend Analysis of Earning Per share

25. Introduction of the Project Investors Education

41. DATA ANALYSIS AND INTERPRETATION

42. Duration of activity of respondents in the stock exchange (N=100) Graph 4.1

43. Instrument of investment (N=100) GRAPH 4.2

44. Awareness about their rights (N=100) Graph 4.3

45. Rights aware about (N=88) Graph 4.4

46. Investors Education Programmes (N=100) Graph 4.5

47. Mode of education regarding rights (N=100) Graph 4.6

48. Problems faced by Investor (N=100) Graph 4.7

49. Types of Problem faced (N=44) Graph 4.8

50. Any action followed against the complaint (N=44) Graph 4.9

51. Filling of complaint with the departments (N=36) Graph 4.10

52. Support provided to the investor in their complaints (N=36) Graph 4.11

53. Satisfaction level of grievance settlement procedure (N=36) Graph 4.12

57. Querry

58. Thanx