SMCGLOBALNSE11 December 2023

Smc Global Securities Limited has informed the Exchange about Investor Presentation

SMC Global Securities Limited

Date: 11th December, 2023

To,

Listing Operations BSE Limited, P J Towers, Dalal Street, Mumbai -400001, India

Listing Department National Stock Exchange of India Limited Exchange Plaza, C-1, Block G, Bandra Kurla Complex, Bandra (E) Mumbai – 400051

Scrip Code: 543263

Symbol: SMCGLOBAL

Subject: Revised Investor Presentation, November, 2023.

Dear Sir(s)/Ma’am

In compliance with Regulation 30(2) of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 read with Part A (15) of Schedule III, please find enclosed copy of the Investor Presentation of the November, 2023.

The same shall be available at the Company’s website i.e. www.smcindiaonline.com

This is for your information and records. Thanking you,

For SMC Global Securities Limited

Suman Kumar E.V.P. (Corporate Affairs & Legal), Company Secretary & General Counsel (Membership No. F5824)

SMC Global Securities Ltd. Investor Presentation November 2023

SMC at a Glance

Branches Across India 180 Including 1 in Dubai

Cities Covered 455

Employees 4,134

Sub-brokers / Authorised Persons 2,485

Network of Financial Distributors 7,077

Client Demat A/Cs 10,04,344

Clearing & Settlement trading members 288

Cumulative AUM/AUA under Mutual Funds INR 33.49 Bn

Running SIPs 67,465

Insurance Policies sold 4,47,639

Insurance Premium INR 12,568 Mn

NBFC AUM INR 10,156 Mn

Ratings: Short Term- ICRA A1+ Long Term- ICRA A (STABLE)

Investor Presentation

Consolidated Net worth

INR 9,907 Mn

5 Year Revenue CAGR* 13.43%

5 Year PAT CAGR* 18.79%

Net D/E 1.02x

• •

All numbers as of Q2-FY24 *Numbers as of FY23

2

SMC Group Overview

SMC Global Securities Ltd was established in 1994 by founders Mr. Subhash C. Aggarwal and Mr. Mahesh C. Gupta.

• Over the years, the company has grown into a diversified financial services company offering brokerage services, investment banking, wealth management, distribution of financial products, financing, insurance broking, clearing & depository services, fixed income securities, financial advisory services to corporates, institutions, high net worth individuals and other retail clients.

The company has capabilities and best-in-class products and services.

launched various

innovative digital technology-enabled

Through a strong network of approx. 2,485 Sub Brokers and Authorized Persons the company’s footprint spreads over 455 cities across India.

The company is governed by strong board including 10 independent directors and is run by a highly qualified and experienced management team.

SMC has had a consistent growth track record and is well poised to get larger share of the ever-growing capital markets in India.

The company’s vision is to be a global organization having a dominant position in financial & investment services through customer centric approach.

Consolidated Revenue (INR Mn) & EBITDA (%)

11,169

26.42%

12,116

22.28%

24.63%

7,009

9,013

21.67%

FY21

FY22

FY23

H1-FY24

H1-FY24 Revenue Pie (%)

12%

27%

61%

Broking, Distribution & Trading

Insurance

NBFC

Investor Presentation

3

Business Structure

SMC Global Securities Ltd.

Insurance Broking

Broking, Distribution & Trading

Financing

Life Insurance

Equity, Commodity, Currency & Full-Service Broking, MTF

Clearing Services

Financial Products Distribution

Wealth Management

SME – Loan Against Property (LAP)

SME – Working Capital Term Loan (WCTL)

Proprietary Trading

Fixed Income

Discount Broking

Portfolio Management

SME-Asset Finance

Supply Chain Financing

General Insurance

Investment Banking

Real Estate / Mortgage Advisory

Institutional Broking

Research Services

Onward Lending

Capital Market Funding (CMF)

Gift City (IFSC)

Gold Loan

Investor Presentation

4

India INX

NSE IX

IIBX

Board of Directors

Mr. Subhash C. Aggarwal Chairman & Managing Director, SMC Group He is the promoter and co-founder of SMC Group and an active contributor to the good governance. He is a fellow member of the Institute of Chartered Accountants of India (ICAI). He is senior member of management committee of ASSOCHAM.

Mr. Ajay Garg Director & CEO – SMC Global Securities Ltd. MD-SMC Global IFSC Pvt. Ltd. Director - SMC Insurance Brokers Pvt. Ltd., Moneywise Financial Services Pvt. Ltd. He is a Fellow Member and rank holder of ICAI. With a wide and rich experience of about 26 years in Securities market, he heads the core businesses of Broking & Clearing services at SMC. He was awarded the most promising Business leader of ASIA 2019 by Economic Times.

Mr. Himanshu Gupta Director & CEO-Moneywise Financial Services Private Ltd. Director-SMC Global Securities Ltd., Director-SMC Comtrade Ltd. He is a Fellow Member of the Institute of Chartered Accountants of India (ICAI) having a rich experience of around 13 years in Financing & Securities market along with a strong hold into the intricacies of the capital market.

Mr. Kundan M. Agarwal Independent & Non-Executive Director He serves as Independent and Non-Executive Director of SMC Global. He is a fellow member of Institute of Chartered Accountants of India (ICAI) and has experience and professional expertise of more than four decades in financial services industry.

Dr. Madhu Vij Independent & Non-Executive Director She holds a Master degree in Commerce and a doctorate degree. She has an experience and exposure of over three decades as a Professor of Finance at the Faculty of Management Studies, University of Delhi. She had been appointed as Central Government nominee in central council of Institute of Company Secretaries of India.

Mr. Mahesh C. Gupta Vice Chairman and Managing Director, SMC Group He is the promoter and co-founder of SMC Group and has been associated with the Company as the backbone since its inception which makes him a pivotal pillar of SMC. He is a fellow member of the Institute of Chartered Accountants of India (ICAI). He is recognised by CEO Insight magazine in list of “Top 10 leaders in Investment company”.

Mr. Anurag Bansal Whole Time Director-SMC Global Securities Ltd., Director-SMC Capitals Ltd., Director and CFO-SMC Global IFSC Pvt. Ltd. He is a rank holder and fellow member of the Institute of Chartered Accountants of India (ICAI) with a wide and rich experience of about 25 years in financial markets. He is also a member of Institute of Cost Accountants of India (ICMAI).

Ms. Shruti Aggarwal Whole Time Director- SMC Global Securities Limited, Director- SMC Global IFSC Private Limited She is an MBA from London Business School, a member of (ICAI) and has cleared all three levels of CFA from the CFA Institute, USA. She is currently also leading the Corporate Finance function at SMC Investments & Advisors Ltd.

Mr. Hari D. Khunteta Independent & Non-Executive Director He is a fellow member of ICAI and is a commerce graduate from University of Rajasthan with experience of over 48 years in the field of financial management, Investor services, Corporate Governance & Resource mobilization from Domestic as well as International market. He had been MD and Finance Director of REC Ltd.

Mr. Chandra Wadhwa Independent & Non-Executive Director He is the fellow member ICMAI & ICSI. He holds Bachelors of Law as well M. Com Degree from Delhi University and has exposure of over 41 Years in the field of Financial cost management accounting as well as in cost management auditing sector. He is the former president of the Institute of Cost Accountants of India.

Investor Presentation

5

Group Company Chairman/ Directors & Key Management Personnel

Mr. Naveen ND Gupta Independent & Non-Executive Director He has been a chartered accountant for around 26 years and is widely known for his role in making the income disclosure Scheme, 2016 a success. He is the former president of the Institute of Chartered Accountants of India and Director in various companies.

Mr. Gobind Ram Choudhary Independent & Non-Executive Director He is commerce graduate from University of Calcutta. He is Executive Director at Anmol Industries Ltd., also an active member at Bharat Lok Shiksha Parishad, Delhi. A council member with western UP council of CII, Executive member of Indian Industries Association of Greater Noida and member of PHD chamber.

Mr. Dinesh Kumar Saraf Independent & Non-Executive Director He is member of the Institute of Cost Accountants of India and Institute of Company Secretaries of India, graduate [B.com(Hons)] from Shri Ram Collage of Commence from Delhi University and he has cleared examination of Valuer (Securities & Financial Assets) conducted by IBBI. He has held major positions like Chairperson of Petroleum and Natural Gas Regulatory Board, Chairman & Managing Director of Oil and Natural Gas Corporation Limited & Chairman of ONGC group companies, various positions in Oil India Limited and DCM Shri Ram Group. Currently he is associated with Indian Institute of Petroleum of CSIR as Chairman- Research Council.

Mr. Narender Kumar Independent & Non Executive Director He is a retired IAS and Ex- Labour Commissioner. He has more than 34 years experience.

Mr. Hemant Bhargava Independent & Non-Executive Director

He is a Post Graduate in Economics, Masters in Financial Management and a Graduate [B.Com (Hons)] from Shri Ram College of Commerce. He has more than 39 year’s professional experience with expertise in finance and insurance. He is adept at establishing new strategic initiates with multiple stakeholders, designing innovative marketing & sales campaigns.

Dr. D. K. Aggarwal CMD-SMC Investments and Advisors Ltd. CMD-SMC Capitals Ltd. Chairman & Director-SMC Real Estate Advisors Private Ltd. Chairman & Director-SMC Comtrade Ltd. He is the Fellow Member of The Institute of Chartered Accountants of India (ICAI) with over two decades of experience in the securities market & financial services. He is the former chairman of capital market committee of PHD chamber of commerce.

Mr. Pravin K. Agarwal Whole-Time Director- SMC Insurance Brokers Pvt. Ltd. He actively handles the development and operations of our insurance broking business. He is a man of alternative skills and solutions that has led to SMC’s substantial expansion and diversification. He has more than a decade of pivotal work experience in Insurance and Financial Industry.

Mr. Pranay Agarwal Director & CEO - Moneywise Finvest Ltd. Director - Moneywise Financial Services Pvt. Ltd. He is a qualified Chartered Accountant from the Institute of Chartered Accountants of India (ICAI) and a commerce graduate from the University of Delhi. He is playing a leading role in StoxKart (Discount brokerage platform).

Investor Presentation

6

Group Company Chairman/ Directors & Key Management Personnel

Mr. Ayush Agarwal Director - SMC Real Estate Advisors Private Ltd. Director - Moneywise Finvest Ltd. CIO - SMC Private wealth He is an MBA (PGP-FMB) from SP Jain Institute of Management and Research, Mumbai, and a graduate from University of Delhi. He is the Chief Investment Officer of SMC Private wealth Vertical at SMC Global Securities Ltd. managing and handling portfolio management activities.

Ms. Anshika Aggarwal Director- SMC Investment and Advisors Ltd., Whole Time Director- SMC Real Estate Advisors Pvt. Ltd. A qualified Chartered Accountant, holding a B.Com (Hons.) degree from Delhi University, she is also a member of Young Business Leaders Forum – PHD CCI. She carries with her entrepreneurial experience, running a fashion social commerce startup, Modestreet Fashion as Co-Promoter and Director for 1 year. Prior to which, she was with Ernst & Young for nearly 4 years in business tax and regulatory consultancy.

Ms. Akanksha Gupta Whole Time Director - SMC Insurance Brokers Pvt. Ltd., Director- SMC Global IFSC Pvt. Ltd., Director- SMC Comtrade Limited She is a member of the ICAI Institute and is also a Chartered Financial Analyst (CFA). She is an experienced and confident lady who inspires everyone with her innovative ideas, conviction and new perspectives. Her ability to see the matters of the company and unfailingly rise to meet the challenges boosts the effectiveness of the group.

Mr. Rajendra P Mahipal Independent & Non-Executive Director - SMC Insurance Brokers Pvt. Ltd. He holds M. Com degree from Rajasthan University and is also a fellow member of the Institute of Chartered Accountants of India. He is a promoter and director of Pink city Electronics Pvt. Ltd. and has over 41 years of experience in import Export, Finance, Administration and Capital Market.

Ms. Shweta Aggarwal Director – SMC Capitals Ltd. She is a member of the ICAI and has also cleared all levels of Chartered Financial Analyst (CFA) Program from U.S.A. She is responsible for the formation of the business, and spearheads the growth plans and business strategy of the investment banking division.

Ms. Reema Garg Chief Human Resource Officer, Director-SMC Global Securities Ltd. Director-Moneywise Finvest Ltd. She holds B.Sc. (Computer Science) from University of Delhi and Masters in Computer Applications (MCA).

Mr. Vinod Kumar Jamar President & Group CFO He is responsible for managing financial reporting, audit, compliance of tax laws (direct and indirect), planning and capital structure. He is also a fellow member of Institute of Chartered Accountants of India (ICAI).

Mr. Suman Kumar E.V.P (Corporate Affairs & Legal), CS & General Counsel He leads the Corporate Affairs & legal matters of the SMC Group. He serves as the Executive Vice President (Corporate affairs) & Company Secretary of the SMC Group. He is fellow member of ICSI & a law graduate from University of Delhi.

Investor Presentation

7

Key Milestones

SMC Global took membership of NSE and started broking business

Insurance Broking

Wealth Management Investment Banking Online Trading Currency Broking Financing Business (NBFC)

Corporate Hedging Desk

Trading cum clearing member of India INX & NSE- IFSC, GIFT City, Gujarat

Discount Broking - StoxKart

Became Clearing and Trading Member of India International Bullion Exchange IFSC and also incorporated Category III (AIF)

1995

2006

2008

2010

2016

2019

2021 2022

2003

2007

2009

2014

2017

2021

Commodity Broking launched

NRI Business Institutional Desk

Received BSE membership as SAM Global Securities amalgamated into SMC Global Securities

Real Estate Advisory Fixed Income Broking Mortgage and Loan Advisory

Point of Sale Persons (POS) – Approved by IRDAI

Listed on NSE and BSE, Launched SMC Gold Coins

Investor Presentation

8

Geographical Reach

Srinagar

Jammu

SMC Branch Offices 180 Branches in India including Dubai 455 Cities covered across India 2,485 Sub Brokers/ Authorised Persons

Dubai

Jodhpur

Kota

Udaipur

Amritsar

Jalandhar

Patiala

Bhatinda

Sirsa

Kangra

Ludhiana

Chandigarh Yamuna Nagar

Karnal

Dehradun

Hisar

Noida

Sri Ganganagar

Rohtak

Gurugram

Faridabad

Delhi New Delhi

Greater Noida

Moradabad

Bareilly Ghaziabad

Jaipur

Agra

Saharanpur

Gangtok

Jorhat

Aligarh

Ayodhya

Gorakhpur Kanpur

Varanasi

Lucknow

Muzaffarpur

Meerut

Sultanpur

Patna

Sonbhadra

Gaya

Guwahati

Shillong

Silchar

Agartala

Bhagalpur

Kolkata

Jamshedpur Burdwan

Durgapur Malda

Dhanbad Bokaro Ranchi Uttar Dinajpur Alipurduar

Asansol

Dakshin Dinajpur

Behrampore

Raigarh

Bilaspur

Raipur

Bhilai

Sambhalpur

Bhubaneswar

Visakhapatnam

Kakinada Bhimavaram

Vijayawada

Siliguri

Corporate Office Broking Insurance Real Estate Overseas Financing Distribution

Ahmedabad

Vadodara

Indore

Rajkot

Bhopal

Surat

Jalgaon

Nagpur

Akola

Nashik

Aurangabad

Ahmednagar

Thane

Mumbai

Pune

Hyderabad

Secundarabad

Godavari

Guntur

Nellore

Chennai

Mangalore

Bengaluru

Kochi

Coimbatore

Madurai

Investor Presentation

9

Awards & Accolades

2023 Member Partner – New Initiatives & Market Outreach Commodity

2022 MCX Awards Leading Member- Bullion Segment

2022 Significant Contribution To The Commodities Market

2022 MCX Awards Leading Member- Options

2021 KRISHI Award for developing Retail Segment Participation

2019 Premier Depository Participant in Gold Category

2019 Fastest Growing MFI North in Best Star MF Online- BSE

2019 Business Excellence Award (Order of Merit)

2018 Best Fastest Growing Commercial NBFC

2018 Best Financial Service Provider

2019 Broking House Non-Agricultural Commodities of The Year

2018 “Regional Retail Member of the Year (North)”

2017 Best Broker with In-House Research In Bullion Industry

2017 Krishi Pragati Award, 2017

2016 NBFC of the year (Northern region)

2015 Property Consultant of the Year - Residential

2017 Commodity Broker of the Year

2015 Best Financial Service Provider

2017 Best Performing Retail Broker of Northern Region

2017 Best Online Trading Services Broker

2016 Order of Merit- Achieving Market Leadership

2015 Corporate Broker of the year – National & Best Real Estate Broker of the year

2014 Best Commodity Broking House

2014 Best Merchant Banker – Capital Restructuring services

Investor Presentation

10

Key Strengths

Top Management of SMC has Over 30 Years of experience in industry

• Well established and deeply penetrated national brand with strong reputation and good recall

Group has extensive corporate relationships

An ever-growing database of corporate and retail clients

Innovative use of digital technology-enabled capabilities, best-in-class products and services

Strong network of approx. 2,485 Authorized persons and Sub-brokers, with a footprint covering over 455 cities across India

• Wide range of financial products under one roof

SMC has earned trust that cements “One Transaction Lifetime Relationship,” the belief that centers on managing, growing and protecting the investment of our clients for generations

Investor Presentation

11

Broking, Distribution & Trading

12

Broking, Distribution & Trading

Broking business comprises of brokerage, including discount brokerage “Stoxkart,” dealing in equities, commodities, currency derivatives and other securities on behalf of customers, clearing services across all major stock exchanges and depository services.

Distribution business encompasses distributing third-party financial products like Mutual Funds, IPOs, FPOs, Corporate FD’s and Bonds and various other capital market products.

6,075

Segment Revenue* (INR Mn)

7,719

7,678

4,451

This segment also covers wealth and portfolio management services along with providing investment banking services and advisory in real estate and mortgage / loan advisory.

The company also houses proprietary arbitrage trading through a new generation algorithmic trading/HFT.

Procurement and placements of debt instruments like G-Secs for various corporate clients is carried out under the fixed income desk.

SMC has banking tie ups with leading institutions like Punjab National Bank, Union Bank of India, Indian Overseas Bank, Karur Vysya Bank, Dhanlaxmi Bank, Ujjivan Small Finance Bank as execution partners for broking services and also has “Discount Brokerage” tie up with PNB, Union Bank of India, Indian Overseas Bank and Ujjivan Small Finance Bank.

Increasing Online Penetration

Authorised Persons / Sub-Brokers

50%

50%

FY21

Investor Presentation

43%

57%

41%

59%

47%

53%

2,574

2,513

2,548

2,485

FY22

Online

FY23 Offline

H1-FY24

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

*includes other income

H1-FY24 Revenue Pie (%)

39%

61%

Broking & Trading

Others

13

Broking

Equity, Commodity & Currency Broking:

• SMC is serving more than 10 lakh clients under the broking segment, including more than 2,28,000 clients under Stoxkart.

• Equity segment under broking has been successful in generating a combined turnover of approx. INR 176.51 Tn* in Q2-FY24 as compared to a turnover of INR 175.59 Tn* in Q1-FY24.

• Recorded our trading volume of INR 0.88 Tn* in commodity segment and INR 1.64 Tn* under currency segment for Q2-FY24.

• Total approx. market share of 0.86% in equity, 1.30% in commodity and 1.51% in currency markets.

Clearing Services:

• SMC is a leading name in clearing services whereby it provides clearing & Settlement services to 288 trading members across multiple stock exchanges.

• Member of NSE, BSE, India INX, NSE IFSC Exchange at GIFT City, MCX, NCDEX & MSEI in India and DGCX (Dubai Gold & Commodity Exchange) in UAE.

• SMC is one of the few clearing service providers having a PAN – India reach.

Broking Clients (INR Thousands)**

Broking DP AUA (INR Bn)

930

1,002

779

647

673

495

527

Average Daily Turnover in Broking (INR Bn)

2,911

2,910

248

1,410

627

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

*Includes turnover from proprietary and clearing services from cash and derivative segments **Includes broking clients under Stoxkart

Investor Presentation

14

Discount Broking – StoxKart

SMC has successfully launched a Discount broking platform in 2019 under the brand name StoxKart. It’s a first-of-its-kind in the broking industry where customers are charged only for profitable transactions.

• Optimal usage of existing infrastructure is being leveraged to great cost savings targeting industry

competitive prices. StoxKart is one of the very few brokers to offer API based trading services which enables the clients to write their own software programs for professional trading. StoxKart has added more than 2,28,000 clients till September 2023, and this has the potential to show exponential levels of growth. (StoxKart clients are unique from traditional broking clients) Launched new trading app, which will further increase the market share of SMC. It is rated 4 plus on play store and app store and getting good response. Key Features:

• •

Big Saving in Brokerage- INR 15 flat on intraday trade. Brokerage per executed order regardless of the trade size or time and that too only on the profitable trades. Free Delivery Trades- Zero brokerage on delivery trades. Advanced Charting Facility- Advanced and cutting-edge charting tools with 80+ technical indicators on real-time basis. Advanced Trading Terminal- Seamless user-experience on mobile, browser & desktop trading platforms to help the customers trade on the move.

• Quick Trigger Alert- Get quick trigger alerts for price movements, pending orders, executed

orders etc. Real Time Support- A dedicated team of experienced professionals ready to offer any kind of assistance regarding customer queries.

Investor Presentation

StoxKart Clients

228,239

194,243

105,843

44,934

FY21

FY22

FY23

H1-FY24

15

Digital Ecosystem for Broking

Client Engagement Developing research reports in HTML5 (Mobile Responsive Format). Creating campaigns using Social Media, Investor websites like Moneycontrol.com, Web banners, etc with an objective of adding value during prospect’s awareness.

ACE API It is a powerful REST API, which to resquests uses HTTP fetch live/historical automate data, trading strategies and monitor portfolio in real time.

Market Mojo SMC has entered into an agreement with Markets Mojo, which is in the business of providing Market Data & Research Support of Services distribution and is also a SEBI registered Investment.

channels

various

across

Quantitative Trading Desk(HFT) • trading Specialize strategies across multiple asset classes through cutting edge in- house trading platform.

in automated

• Next generation advance mobile trading platform ‘ SMC ACE’

• Provides Robo Advisory

to the clients

Innovative Trading Tools • Availability of next generation tools for trading such as SMC ACE, SMC Easy Invest, SMC Algotrader, SMC Autotrender, Algo and HFT Trading.

• Customized automated trading platform based on Algorithms

• Platform

online for trading through website and Mobile App

• Online App for investing in mutual funds, FDs and various other financial instruments

Digital Presence • Active social media presence on including platforms Twitter,

various Facebook, LinkedIn, Youtube and Quora.

Instagram,

Investor Presentation

• An In house automated software which is totally unique to the system. • Our team of software develop professionals and various statistical strategies for trading.

technical

Faster processing with better UI/UX and provides expert trading suggestions.

• Discover the power of

intelligent investing with Trading View and ChartIQ. Easy-to-use and lightning – fast mobile App, also enables to make thematic investments.

Investment Advisory Portfolio

SMC has tie up with Narnolia, has created one of the best Process -Driven BUY-side Research teams in the country with capabilities spread across asset classes and investment strategies.

SMC joins hands with Dynamic Equities Private Limited, brining research backed advisory baskets that aims to deliver superior risk adjusted returns absolutely, relatively & consistently.

Website Traffic (In Mn)

3.90

3.69

3.32

1.18

FY21

FY22

FY23

H1-FY24

Application Installations

507,295

328,000

176,793

89,575

FY21

FY22

FY23

H1-FY24

16

Distribution

SMC offers distribution services of financial products including IPO’s, Mutual Funds, Company Fixed Deposits, Bonds, through its network of branches and channel partners across India.

Mutual Funds AUM (INR Bn)

33

SMC also provides retail financing through NBFC division in IPO's , FPO's & Bonds.

Pan-India network of 7,077 independent financial distributors.

SMC is ranked amongst top 20 syndicators in most of the Debt & Equity Issuances in retail segment.

Distributing Mutual Fund schemes for all AMCs and has built a cumulative Asset under Management (AUM) of above INR 33.49 Bn with 67,465 active SIPs for clients.

30

31

30

Total Distributors

6,941

6,928

7,077

6,335

GOI Taxable & Capital Gain Bonds Procurement (INR Mn)

34,527

38,467

35,668

FY21

FY22

FY23

H1-FY24

Corporate FD Procurement (INR Bn)

56

59

36

15,729

30

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

Investor Presentation

17

Proprietary Trading & Fixed Income

High-Frequency Trading (HFT):

HFT is a method of trading that uses powerful computer programs to transact a large number of orders in fractions of a second. It uses complex algorithms to analyze multiple markets and execute orders based on market conditions.

• We have an in-house team of software professionals, developing various alpha generating HFT strategies.

Arbitrage/ Algorithm Trading:

SMC deploys its surplus funds into generating income from proprietary arbitrager business.

• Under arbitrage we use Algo trading and high frequency trading infra to capitalize on the market inefficiencies in equity, commodities and currency

segment of various exchanges.

• We are using state of the art hardware /software both outscored and

in house and also low latency network for running our various arbitrage

strategies written by in house software team as well as outsource team vendors.

SMC also has very talented Quant team which makes number of alpha generating strategies to give market neutral absolute return .

Fixed Income:

The fixed income desk executes the procurement and placements of a wide range of debt instruments.

Served more than 900 clients in H1-FY24.

SMC’s total turnover upto September, 2023 stood at INR 19.23 Bn and INR 4.93 Bn in WDM section.

At this desk, SMC deals with Government securities (G-Sec), State Development Loans (SDLs), Debentures (PSUs, Corporates, NBFCs, Banks), Tax-Free Bonds, Money Market Instruments, Certificate of Deposits, Commercial Papers, Treasury Bills, Perpetual Bonds, Other Debt Market Instruments.

Serving a broadly diversified client profile consisting of State Electricity Boards, Private & PSU Corporate PFs, Gratuity Trusts, Schools / Universities / Education Institutes, Charitable Trusts, Banks/ Mutual Funds/ Insurance Companies, Debt Brokers, Corporate Treasuries, HNIs, etc.

Investor Presentation

18

Advisory

Wealth Management:

Total Clients served under wealth management are 11,134 with AUM/ AUA of INR 7,969 Mn.

• • We have our direct sales branches/ regional offices at Delhi, Mumbai, Bangalore and Pune. • Portfolio Management:

Awarded Best Wealth Management company of India by Business Sphere.

Under our PMS desk, we focus on buying fundamentally sustainable growing businesses and outperform the benchmark indices by investing in equity and equity related instruments including mutual funds. Investment Banking:

SMC Capitals Ltd. is a Category I Merchant Banker registered with SEBI providing a full spectrum of equity capital markets services, using an Industry-focused and Knowledge-driven approach. SMC Capitals, since 2008 has been part of more than 50 deals in the Public Issue Management, M&A Advisory, Private Equity & Debt Advisory Services and process management for consolidation products.

Real Estate:

• • •

Fully Integrated real-estate solution provider for end-users, investors & developers, one of the major source of lead generation is Digital Marketing (Google, Facebook,etc.) Supported by 1,200+ exclusive Real Estate sub-brokers and dedicated team of 300+ Employees 7,539 transactions done since 2015 and value of property sold amounting to INR 41.57 Bn. Tie-ups with leading developers like VTP Realty, Vilas Javdekar, Firefox, NDLC, Ekana, Jhamtani, Saheel, Godrej, Lodha, Kohinoor, Shapoorji, TATA Housing, Shobha, Mantra, Kolte Patil, Marathon, Hiranandani, Adani, ATS, Wave City and many more. Focused Locations: Delhi NCR, Mumbai, Lucknow, Pune.

• Mortgage Advisory: •

Advice on a variety of secured and unsecured mortgage products including home loans, property loans, business loans, working capital loans, project & construction finance. Presence in 7 major cities with 1,282+ mortgage distribution sub-brokers. 40+ Tie-ups with major foreign banks, Private Banks and NBFCs, also launched online sourcing platform: indiakaloan.com

Investor Presentation

Wealth AUM/AUA (INR Mn)

5,400

6,097

4,400

7,969

FY21

FY22

FY23

H1-FY24

Marquee Investment Banking Deals

BSE Limited

Coromandel International Limited

IPO - BRLM

M&A Advisory

VRL Logistics

Private Equity Advisory

Muthoot Fincorp Limited Debt Public Issue – Lead Manager

L&T Infrastructure Finance Limited Long Term Infrastructure Bonds – Co Lead Manager

Shriram Transport Finance Company Limited Debt Public Issue – Lead Manager

Kosamattam Finance Limited

Debt Public Issue – Lead Manager

IDFC Limited Long Term Infrastructure Bonds – Co Lead Manager

Venus Pipes & Tubes Limited

IPO – Sole BRLM

19

Broking Industry Outlook

Equity Broking industry is likely to clock a total revenue of ~INR 28,000-30,000 crore in FY 2023, registering a year-on-year (YoY) growth of 10%, the revenue growth rate is expected to be flattish in FY24.

• High investor awareness, increased retail interest across market segments, easier and faster means to access the markets and continuing FII inflows will continue to boost these numbers.

In FY 2022, full-service brokers accounted for a significant share (46.23%) of the broking industry in India, followed by discount brokers (42.46%) and hybrid brokers (11.31%).

Rising Penetration of Demat Accounts in India

6.50%

2.10%

2.40%

2.70%

4.10%

3.10%

• Value added service offering becomes a key differentiator amid rising competitive

FY17

FY18

FY19

FY20

FY21

FY22

pressure and decreasing interest rates.

Steady increase in trading activity can be seen with the trading volumes peaking every quarter.

The industry witnessed a deceleration in the pace of client accretion. In 11 months of FY23, client addition was at ~2.3 crore compared to ~3.46 crore in FY22.

• Recently, government hiked STT on sale of futures and options to an extent of ~25%. This rise will result in higher cost for participants impacting robust momentum seen in volumes.

Increasing regulatory compliance and associated cost, larger brokerages are expected to gradually garner market share while consolidation is expected to continue with the alignment of small brokers with larger established player.

Industry ADTO - Equity Retail (INR Tn)

8.1

6.2

6.8

2.9

3.2

3.6

FY17

FY18

FY19

FY20

FY21

FY22

Source:- IBEF, ResearchAndMarkets.com, business standard & ICICI Direct: Indian Brokerage Report

Investor Presentation

20

Insurance Broking

21

Insurance Broking

SMC Insurance Brokers Pvt. Ltd. which is a Direct Insurance Broker registered with IRDAI (Insurance Regulatory and Development Authority of India) provides a complete array of services in Life Insurance and General Insurance Category including consulting, risk analysis, policy serving and claim settlement assistance.

SMC is one of the largest players in India in the General Insurance Retail Broking as well as for Life Insurance in India.

It provides these services through 8 branches across the country with 551 employees, 14,565 Point of Sales (POSs) and 298 Motor insurance Service Providers (MISPs) servicing a retail customer base of more than 9,50,000 a year.

The company operates independently of insurance companies, representing clients and rendering impartial advice to protect client’s interests.

Customers taking insurance through SMC benefit by lower premium and/or better quality of insurance cover, expert consultancy, practical pre-sale advice and efficient post-sale services.

Investor Presentation

Segment Revenue* (INR Mn.)

3,482

2,760

2,452

2,008

FY21

FY22

FY23

H1-FY24

*Revenue recognition changed from net to gross basis from FY18.

No. of Policies (In Thousands)

739

802

958

448

FY21

FY22

FY23

H1-FY24

22

Insurance Broking

General Insurance (GI)

Non-Life/ General Insurance contributes around 94.69% of the total revenues of the Company.

• Within this segment, sales primarily happen through MISP (Motor Insurance Service

Provider), POS (Point of Sales person), direct sales channel-foot on the street model.

SMC had 2.78% of Industry market share for Insurance Motor premiums as on 31st March, 2022.

The General Insurance business segment has following sub verticals under which policies are sold:

Insurance Gross Premium (INR Mn)

27,166

20,840

17,364

12,568

• MISP: Motor Insurance Service Provider

FY21

FY22

FY23

H1-FY24

GI Retail: Personal Line Products offered i.e. Motor, Health, Travel, Home Insurance etc.

GI Corporate: Marine insurance, Fire insurance etc. to corporate, institutional and government bodies.

Life Insurance (LI)

This segment contributed around 5.31% of the total revenue in insurance broking.

• We have a tie up with major Life Insurance Companies for procuring business with an

overall range of 40- 45 products to offer to our clients.

• Our offerings include varied products viz Term Plans, Market Linked Investment Plans,

Endowment plans promising guaranteed returns for varied client requirements.

Industry data source: IRDAI Annual report FY 21-22

Investor Presentation

H1-FY24 Revenue Pie (%)

5%

95%

General Insurance

Life Insurance

23

Insurance Broking - Scalable Business Model

Distribution

• Deep and wide national coverage • Strong presence in Tier-1 and Tier-2 cities • Leveraging SMC Global’s (Parent) franchisee network

Processes

• Best in industry quality processes • 100% verification of all leads to ensure no mis-selling • Emphasis on employee training and development • Complying to data confidentiality, regulatory complianceand IRDA guidelines

Technology Platform

• www.smcinsurance.com online portal has developed for catering to B2B and

B2C network

• The portal has Artificial Intelligence features • Average Monthly spend of INR 50 lakhs (approx.) on technology development

POS Model

• Point of Sale, an individual authorized by IRDA for sales/ servicing of

the

Insurance policies on behalf of the Company

• Post online training & certification the individual sources pre underwritten

Insurance policies (Motor, Travel, Personal accident & home insurance)

• MISP guidelines effective Nov 2017 have paved way for large business

opportunities through OEM dealers

• First broker in OEM insurance program to successfully launch entire insurance

MISP model

program compliant with MISP guidelines

• First online portal for MISP enrollment – training, examination and registration • First insurer evaluation for Automotive Insurance Program through online RFP

by insurers & dealer rating of insurers

Investor Presentation

Point Of Sales (POS)

13,672

14,565

11,100

12,000

FY21

FY22

FY23

H1-FY24

Motor Insurance Service Providers (MISP)

370

282

294

298

FY21

FY22

FY23

H1-FY24

24

Insurance Industry Outlook

• The Insurance industry in India is expected to reach USD 280 Bn by 2025 with a CAGR of 12-15%. Life insurance industry in the country is expected to grow 5.3% annually from 2019 to 2023. India’s general insurance market is expected to grow at a compound annual growth rate of 6.2% during 2019-2023.

Insurance Premium as a % of GDP

0.80%

0.90%

1.00%

0.90%

0.90%

1.00%

Insurance reach is still low in India. Overall insurance penetration (premiums as % of GDP) in India was 4.2% in FY22, providing a huge underserved market; with life insurance penetration at 3.2% and non-life insurance penetration at 1.00%.

Investment corpus in Indian insurance sector might rise to USD 1 Tn by 2025.

2.70%

2.80%

2.70%

2.80%

3.30%

3.20%

In FY23, premiums from new businesses of life insurance companies in India stood at USD 44.85 Bn.

FY17

FY18

FY19

FY20

FY21

FY22

Life

Non-Life

LIC alone contributed over 60% to the total new business premium collection. The insurer received close to US$ 27.93 billion as premium in FY23 compared to US$ 24.06 billion in FY22.

• Premiums from India’s life insurance industry is expected to reach US$ 317.98 billion

by FY31.

In India, gross direct premiums written of non-life insurers reached INR 2,569 Bn in FY23 from INR 2,208 Bn in FY22, driven by strong growth from general insurance companies.

• Higher personal disposable incomes would result in higher household savings that will be channeled into different financial savings instruments like insurance and pension policies.

Source: IBEF, Care edge Rating

Investor Presentation

Insurance Premiums Per Capita (In USD)

18

55

19

55

19

58

19

59

22

69

13.2

46.5

FY17

FY18

FY19

Life

FY20

FY21

FY22

Non-Life

25

Financing (NBFC)

26

H1-FY24 NBFC Business in numbers

93 Channel Partners 22 Branches

Employees 329

Number of Lenders 23

Collection Efficiency Approx. 99%

Net Worth INR 4,092 Mn

Loan AUM INR 10,156 Mn

Cumulative Loans Disbursed INR 26 Bn+

NNPA % 1.30%

ROTA % 4.62%

Total Income INR 894 Mn

Total Borrowings/Leverage Ratio INR 6,789 Mn / 1.66x

Secured Loans % 54%

OPEX to AUM 4.68%

Cost of Borrowing % * / Spread 9.70% / 4.61%

Credit Cost-ANR / PCR 1.78% / 44.29%

Investor Presentation

* Includes borrowing from Banks, F.I. and NCDs

27 27

NBFC – Middle Layer

In the year 2008, SMC started providing financing services through its wholly owned subsidiary, Moneywise Financial Services Pvt. Ltd. (SMC Finance).

• The company is dealing in wide spectrum of financial products like SME- LAP (Loan against property), SME-Onward-lending (to NBFC/MFI), SME Equipment finance (Medical & Industrial equipment’s), SMEWCTL (Unsecured business loans), Gold Loans, Loan against securities and Supply Chain financing.

• The company has further expanded Gold Loan business by opening three more dedicated Gold

Loan branches in Delhi in Q2-FY24

SME WCTL

SME LAP

Onward Lending

SME Assets

CMF

Gold Loan

Supply Chain Financing

Consumer Durables

Total

AUM (INR Mn)

4,528

3,024

1,564

36

120

24

568

60

129

3

191

6

146

12

10,156

5

6

Tenure (Months)

Rate of Interest (Range) (%)

18-20

10-15

14.5-16.5

13-15

18-20

10-18

18-20

18-20

No. of Clients

2,904

147

73

38

146

1,687

6

3,766

8,767

* All numbers as of Q2-FY24

Investor Presentation

Segment Revenue (INR Mn)

1,319

985

827

894

FY21

FY22

FY23

H1-FY24

H1-FY24 Lending Portfolio

2%

6%1%

30%

15%

1%

45%

SME-Loan Against Property (LAP) Consumer Durable Loans Onward Lending Supply Chain Financing

SME-Working Capital Term Loan (WCTL) Capial Market Funding (CMF) SME-Asset Finance Gold Loan

28

Borrowing Mix Diversification

• Increasing diversity in borrowing profile with borrowing from bank & financial institutions. • Continued plan to raise additional funds through diversified sources and through various

instruments.

• Cumulative Asset/ Liability mismatch, surplus of INR 804.4 Mn in 30 days bucket which is well

under control as per RBI guidelines.

Lending Institutions

Investor Presentation

Diversified Borrowing Mix

42%

13%

45%

FY21

49%

16% 7%

27%

FY22

78%

9% 14%

FY23

65%

11% 12% 12%

H1-FY24

NCD

Corporate Borrowing

NBFC & FI

Bank

Borrowing Program Supported By Superior Ratings

Rating Type

Rating

Rating Agency

Long term bank loans

CARE A- (stable)

Long term bank loans

ICRA A- (stable)

NCD

PP-MLD

CARE A- (stable)

ICRA A- (stable)

CARE

ICRA

CARE

ICRA

29

H1-FY24 Key Business Trends - NBFC

Lending Portfolio 2% 6%1%

30%

15%

1%

45%

Disbursements (INR Mn)

8,583

4,310

4,449

2,810

NII (INR Mn) & NIM (%)

939

750

11.8%

11.8%

578

12.1%

1,000

900

800

700

600

500

400

300

200

100

618

11.4%

SME-Loan Against Property (LAP) Consumer Durable Loans Onward Lending Supply Chain Financing

SME-Working Capital Term Loan (WCTL) Capial Market Funding (CMF) SME-Asset Finance Gold Loan

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

GNPA % & NNPA %

CRAR %

PAT (INR Mn)

361

6.17%

3.66%

2.83%

1.99%

2.27%

2.32%

1.44%

1.30%

FY21

FY22

GNPA%

FY23

NNPA %

H1-FY24

58%

51%

40%

37%

169

224

221

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

Investor Presentation

30

NBFC Industry Outlook

• Non-Banking Finance Companies (NBFCs) have played an important role in the Indian financial system by complementing and competing with banks, and by bringing in efficiency and diversity into financial intermediation.

• NBFCs have evolved considerably in terms of operations, heterogeneity, asset quality and profitability, and regulatory architecture. Going forward, the growing systemic importance and interconnectedness of this sector calls for regulatory vigil.

• The regulatory approach of the Reserve Bank has adapted to the increase in complexity of the entities within the NBFC sector as well as the growing significance of NBFCs within the financial sector.

• The number of registered MSMEs has grown to 63 Mn units at a growth rate of 18.5% from the previous year with the launch of Udyog Aadhaar Memorandum policy promoting business activities in the country.

India has a large unmet SME credit as less than 14% of these SMEs have access to credit facilities which brings the potential addressable market of USD 819 Mn under this credit gap.

• Availability of good credit borrowers supported with rising income levels as demand is being fuelled by economic growth. Total disbursements in MSME have increased YoY by ~24% in Q2- FY23.

• Government polices like “Atmanirbhar Bharat”, and “Make in India” promote the facilitating of

credit to MSME organizations.

MSME Credit Market – India

Market Size: USD 819 Mn

4%

31%

65%

Credit Gap: USD 530 Mn

Banks

Credit Gap

NBFC

FY 23* Disbursement

Small, 39.81%

Medium, 33.80%

Sources: SIDBI, IBEF,MSME, Avendus: MSME Lending Report

Investor Presentation

*As of Q2 of FY 23

Micro, 26.39%

31

Financial Overview

32

Historical Consolidated Income Statement

Particulars (INR Mn)

Operational Income

Total Expenses

EBITDA

EBITDA Margins (%)

Other Income

Depreciation

Interest

Profit (Loss) from Joint Venture

PBT

Tax

Profit After tax

PAT Margins (%)

Other Comprehensive Income

Total Comprehensive Income

Basic & Diluted EPS (INR)

Investor Presentation

FY21

9,013

7,060

1,953

21.67%

69

180

424

7

1,425

375

1,050

11.65%

27

1,077

9.28

FY22

11,169

8,218

2,951

26.42%

39

201

575

-

2,214

468

1,746

15.63%

16

1,762

15.43

FY23

12,116

9,417

2,699

22.28%

41

227

893

-

1,620

416

1,204

9.94%

50

1,254

11.25

H1-FY24

7,009

5,283

1,726

24.63%

30

160

677

0

919

219

700

9.99%

10

710

6.69

33

Historical Consolidated Balance Sheet

Particulars (INR Mn) ASSETS

Non-Financial Assets

Inventories

Current tax assets (net)

Deferred tax assets (net)

Assets held for sale

Property, plant and equipment

Capital work - in - progress

Right of use assets

Other intangible assets

Intangible assets under development

Other non-financial assets

Sub-Total Non-Financial Assets

Financial Assets Cash and cash equivalents (incl. Other Bank balance) Receivables

Loans

Investments

Other financial assets

Sub-Total Financial Assets TOTAL ASSETS

Investor Presentation

FY22

FY23

H1-FY24

345

365

223

40

790

-

330

18

12

276

2,399

12,819

3,460

7,798

1,706

1,243

27,026 29,425

52

290

304

42

895

89

355

29

11

217

2,284

14,599

3,904

10,882

570

831

30,786 33,070

49

349

312

52

882

166

478

27

10

199

2,524

16,927

5,042

11,895

457

6,711

41,032 43,556

Particulars (INR Mn)

EQUITY AND LIABILITIES

Equity

Share Capital

Other Equity

Non-controlling interest

Total Equity

Non-Financial Liabilities

Current tax liabilities (net)

Provisions

Other non-financial liabilities

Sub-Total Non-Financial Liabilities

Financial Liabilities

Trade Payables

Lease Liabilities

Debt Securities

Borrowings

Other Financial Liabilities

Sub-Total Financial Liabilities

Sub-Total Liabilities

TOTAL EQUITY AND LIABILITIES

FY22

FY23

H1-FY24

226

9,035

16

9,277

-

268

262

530

209

9,118

24

9,351

43

293

295

631

209

9,698

21

9,928

74

329

324

727

7,108

4,740

9,562

329

702

3,939

7,540

19,618

20,148

29,425

362

637

8,440

8,909

23,088

23,719

33,070

501

761

10,283

11,794

32,901

33,628

43,556

34

Historical Standalone Income Statement

Particulars (INR Mn)

Operational Income

Total Expenses

EBITDA

EBITDA Margins (%)

Other Income

Depreciation

Interest

PBT

Tax

Profit After tax

PAT Margins (%)

Other Comprehensive Income

Total Comprehensive Income

Basic & Diluted EPS (INR)

Investor Presentation

FY21

5,013

3,760

1,253

FY22

6,699

4,503

2,196

FY23

6,792

4,972

1,820

25.00%

32.78%

26.80%

197

118

280

1,052

303

749

142

144

372

1,822

376

1,446

137

170

588

1,199

265

934

H1-FY24

3,872

2,770

1,102

28.46%

243

123

404

818

148

670

14.94%

21.59%

13.75%

17.30%

26

775

6.62

(2)

1,444

12.78

(3)

931

8.72

(1)

669

6.40

35

Historical Standalone Balance Sheet

Particulars (INR Mn) ASSETS

Non-Financial Assets

Inventories

Current tax assets (net)

Deferred tax assets (net)

Property, plant and equipment

Right of use assets

Capital work - in - progress

Other intangible assets

Intangible assets under development

Other non-financial assets

Sub-Total Non-financial Assets

Financial Assets

Cash and cash equivalent (incl. Other Bank balance)

Receivables

Loans

Investments

Other financial assets

Sub-Total Financial Assets

TOTAL ASSETS

Investor Presentation

FY22

FY23

H1-FY24

237

212

21

741

246

-

8

8

2

106

104

807

254

89

13

11

6

86

116

798

356

165

14

10

125

1,598

139

1,525

118

1,669

11,933

13,678

15,995

2,725

1,091

5,527

842

22,118

23,716

3,106

1,887

4,202

675

23,548

25,073

4,002

1,780

4,033

6,386

32,196

33,865

Particulars (INR Mn)

EQUITY AND LIABILITIES

Equity

Share Capital

Other Equity

Total Equity

Non-Financial Liabilities

Current tax liabilities (net)

Provisions

Other non-financial liabilities

Sub-Total Non-Financial Liabilities

Financial Liabilities

Trade Payables

Lease Liabilities

Debt Securities

Borrowings

Other Financial Liabilities

Sub-Total Financial Liabilities

Sub-Total Liabilities

TOTAL EQUITY AND LIABILITIES

FY22

FY23

H1-FY24

226

7,706

7,932

-

158

123

281

209

7,471

7,680

16

193

193

402

209

8,014

8,223

31

222

225

478

6,356

3,766

8,255

237

-

1,510

7,400

15,503

15,784

23,716

252

-

3,846

9,127

16,991

17,393

25,073

365

-

4,537

12,007

25,164

25,642

33,865

36

Historical Consolidated Financial Performance

Revenue (INR Mn)

11,169

12,116

9,013

7,009

EBITDA (INR Mn) & EBITDA Margin (%)

PAT (INR Mn) & PAT MARGIN (%)

2,951

2,699

1,953

21.67%

26.42%

22.28%

1,726

24.63%

3,200

2,900

2,600

2,300

2,000

1,700

1,400

1,100

800

500

200

1,746

15.63%

1,050

11.65%

1,204

9.94%

700

9.99%

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

H1-FY24

Net Worth (INR Mn)

9,261

9,327

9,907

7,727

ROE %

18.82%

ROCE % 19.74%

13.56%

12.88%

14.90%

13.61%

FY21

FY22

FY23

H1-FY24

FY21

FY22

FY23

FY21

FY22

FY23

Investor Presentation

35.00%

30.00%

25.00%

20.00%

15.00%

10.00%

5.00%

0.00%

37

Capital Market Highlights

1 Year Stock Performance (as on 30th September, 2023)

SMC

SENSEX

25%

20%

15%

10%

5%

0%

-5%

-10%

-15%

Oct-22

Nov-22

Dec-22

Jan-23

Feb-23

Mar-23

Apr-23

May-23

Jun-23

Jul-23

Aug-23

Sep-23

Price Data (As on 30th September, 2023)

Shareholding Pattern (As on 30th September, 2023)

Face Value

Book Value per Share

CMP

52 Week H/L

Market Cap (INR Mn)

No. of Share outstanding (Mn)

Avg. Trading Volume ('000)

Avg. Net Turnover (INR Mn)

Investor Presentation

2.00

94.63

78.12

88.80/61.00

8,179.16

104.70

63.95

4.98

Promoters 67.37%

Public 31.57%

FII 1.06%

38

Disclaimer

SMC Global Securities Disclaimer:

No representation or warranty, express or implied, is made as to, and no reliance should be placed on, the fairness, accuracy, completeness or correctness of the information or opinions contained in this presentation. Such information and opinions are in all events not current after the date of this presentation. Certain statements made in this presentation may not be based on historical information or facts and may be "forward looking statements" based on the currently held beliefs and assumptions of the management of SMC Global Securities Limited, which are expressed in good faith and in their opinion reasonable, including those relating to the Company’s general business plans and strategy, its future financial condition and growth prospects and future developments in its industry and its competitive and regulatory environment.

Forward-looking statements involve known and unknown risks, uncertainties and other factors, which may cause the actual results, financial condition, performance or achievements of the Company or industry results to differ materially from the results, financial condition, performance or achievements expressed or implied by such forward-looking statements, including future changes or developments in the Company’s business, its competitive environment and political, economic, legal and social conditions. Further, past performance is not necessarily indicative of future results. Given these risks, uncertainties and other factors, viewers of this presentation are cautioned not to place undue reliance on these forward-looking statements. The Company disclaims any obligation to update these forward-looking statements to reflect future events or developments.

This presentation is for general information purposes only, without regard to any specific objectives, financial situations or informational needs of any particular person. This presentation does not constitute an offer or invitation to purchase or subscribe for any securities in any jurisdiction, including the United States. No part of it should form the basis of or be relied upon in connection with any investment decision or any contract or commitment to purchase or subscribe for any securities. None of our securities may be offered or sold in the United States, without registration under the U.S. Securities Act of 1933, as amended, or pursuant to an exemption from registration there from.

This presentation is confidential and may not be copied or disseminated, in whole or in part, and in any manner.

Investor Presentation

39

Thank You

40

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