Sarthi Advisory Services

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Corporate Presentation

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About Us

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Sarthi was formed in 2009 by a set of experienced professionals, with an view to provide a

complete range of Customized Financial Solutions to Individuals and Corporate under one

roof. We offer best in the class services in the financial domain Investment Banking,

Merchant Banking, Corporate & Treasury Advisory.

The rich & diverse experience of the core team, in-depth knowledge, in house research and

personalized services are the pillars of the organization, enabling us to constantly innovate

and deliver unique solution to meet diversified needs of the customers.

Although the future holds a variety of opportunities, we constantly remain focused on

measuring success by the satisfaction of our clients.

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Our Strengths

Rich Experience and Expertise Sarthi has been formed by individuals who has rich experience, sincere commitment & strong domain expertise. Individually each has a successful track record to leverage each other strength across all verticals.

Comprehensive Offering Our multidisciplinary team comprises of people from different backgrounds to provides our clients fully integrated and a professionally managed solutions for their end to end needs.

Research Driven Advisory On course our advisory is backed with extensive research. Our dedicated team provides insights with deeper understanding in creating a plethora of opportunities for our clients.

Networking We believe that financial markets have no borders. Sarthi with its extensive network of relationship with corporate, banks, fund houses, HNI’s offers you a bespoke palate of services.

Personalized Approach We provide senior level attention to each & every client. We invest time in understanding your business, objectives & work closely with you to make a difference.

Result Oriented Approach We measure our efforts with success. Our proactive risk management process combined with investment expertise has the ability to deliver strategic solutions .

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Private & Confidential

Sarthi Advisory Services

Sarthi Advisors Pvt. Ltd.

Investment Banking

Corporate & Trade Finance

Treasury & Risk Advisory

Wealth Management

Sarthi Capital Advisors Pvt.

Ltd.

Capital Market Services

Listing

Delisting

Dilution

Corporate Advisory Services

Transaction Advisory Services

Corporate Restructuring

Corporate Compliance and

Governance

Valuation Services

Knowledge Management

Support

Legal Due Diligence

CLB/ SEBI/ SAT Litigation

Advisory to Asset Managers

The Service Basket

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Investment Banking Services

We understand the role of Investment Banker as the crucial link between providers and users of

Capital and the ability to add value and create opportunities for businesses through in-organic routes.

Sarthi has reputation of consistently delivering innovative solutions to businesses through deep

insights, and perfect reach. Over the years, we have developed specialized verticals in the sectors

including Manufacturing, Healthcare, Logistics, E-Commerce, Entertainment, Education, and many

more.

Mergers and Acquisitions Private Equity/ Venture Capital

Buy side and Sell side Sourcing

Hostile Takeovers

Seed Fund / Venture Capital

Early Stage /Growth Capital

Large/ Mid Cap Private Capital

Co-investing

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Our Investment Banking services include…

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Corporate and Trade Finance

We work with the management to undertake a complete diagnostic review of the business to identify

current and potential scope and opportunities for the efficient use of resources. We strive to reduce

the debt cost for the businesses. We work closely with our clients to ensure effective negotiation and

implementation of the transactions. Competitive pricing with speedy response is the key for our trade

finance offerings.

Structured Debt Trade Finance

ECB/ FCCB

Private placement of Debt

Asset/ Equipment Finance

Promoter Funding

Bridge Finance

Acquisition Finance

Pre export Finance

Transit Finance

Warehouse Finance

Financing of receivables

Any combination thereof

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Our Corporate and Trade Finance services include…

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Treasury & Risk Advisory Services

We provide Banks and Financial institutions with a wide range of corporate treasury solutions with

special focus on risk management designed enabling us to foster clients by providing provide

competitive advantage in an already highly serviced market.

Our Treasury services provide functionality to cover the full breadth of corporate

treasury management solutions. Our web based automated solution provide a more efficient and

transparent service to clients, fully integrated with capital markets, which leads to increased repeat

business and client retention, as well as having a service differentiator when pitching new business.

Our Treasury & Risk Advisory services include…

Reserve Management & Investment

Cash Management

Liquidity and Fund Management

Focused Risk Management

Asset Liability Management

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Wealth Management Services

An investment strategy is combination of expertise, perception, complex market dynamics and innate

planning. With the variety and complexity of investment options available in today's market place, it is

important to have disciplined, experienced professionals to provide advice and one stop solution at

every stage in your life.

Keeping this in mind, we have designed our Wealth Management services for Corporate and Ultra

High Net Worth Individuals (UHNI’s) to offer a comprehensive suite of services that match the needs

and helps to achieve the pinnacle of financial success.

Trading Services – Equity/ Commodities/

Derivatives

Depository Services

Mutual Funds Advisory

Fixed Income products

Structured Products

Real Estate investments

Capital market lending

On shore & offshore investment services

IPO Funding

Discretionary & Non discretionary Portfolio

management

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Our wealth management services include…

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Transaction Advisory Services

Managing Capital and transactions in a rapidly changing world needs better informed decisions and

strategies. The capital agenda puts your capital needs at the heart of our strategy and focuses on the

issue that matters most to you.

Our understanding of the market, and continuous analysis makes possible the difficult tasks of

preserving, optimizing, raising, and investing capital easy.

Lead Advisory

Operational Transactional Services

Transactional Support Services

Acquisition and Alliance

Creating Cost and Tax Efficient Structures

Our Transaction Advisory Services include…

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Corporate Restructuring

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We believe that the potential available within the companies are mostly left unexploited. Corporate

restructuring has been one of the most constructive tools enabling corporate to enjoy the benefits of

economies of scale and size and to deploy the available resources in the best possible manner.

In the scenario of globalised economies wherein entities around the globe are haunting towards

creation of business synergies and integrations both in-house and outside the local boundaries, our

corporate restructuring service is an attempt to serve such orientation .

Business Reconstruction/ Deconstruction

Spin offs/ Split offs/ Carve outs

Hostile Takeover

Risk Modeling

Working Capital Optimization

BIFR/ Sick companies revival

Our Restructuring Advisory services include…

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Corporate Compliance & Governance

Globally, the recent economic crisis with its high-profile corporate failures has turned the spotlight on

corporate governance. While on one hand, regulators are strengthening regulations and making it

more prescriptive, companies are revisiting their governance structures, disclosure practices, risk

management practices in an effort to regain investor confidence and counter increasing shareholder

activism. Companies are looking at improving their corporate governance practices not just to achieve

compliance but to help them improve their businesses and position them for competitive

advantage. We also have the experience of working with corporate boards to undertake meaningful

self assessments and improve their oversight processes.

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Our Corporate Compliance and Governance services include…

Board Process and Structures

Holding & Subsidiary Management

Integrity, and Business Ethic Analysis

Legal and Regulatory Compliances, e.g. Clause 49,

Board and Audit Committee effectiveness &

assessment

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Valuation/Certification

As a financial consulting firm, we specialize in valuing, and had been providing valuation services to

various corporate across industries. The Team consists of very senior professional from Industry,

Chartered Accountants, CFAs, and Company Secretaries.

Top of the line resources and industry know how make us the most sought after valuation companies

in India. With our network of financial and business analysts, appraisers working for you. You can rest

assured that your most important financial decisions are in expert hands. Our wide range of services

vary across Business, Intangible, and ESOP related valuations.

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Our valuation , and certification services include…

Business Valuation Intangible Asset Valuation ESOP Valuation

Acquisition/ Merger Swap,

Fairness Opinion,

Business segments, spin off,

restructuring,

Share Purchase, Investment, etc,

Impairment testing,

Valuation for regulatory purposes,

Brand Valuation,

Intellectual Property valuation,

Purchase Prices allocation in

business combination,

Carried interest Valuation,

Derivative valuation,

Equity share/ perquisite taxation,

Sweat Equity,

Stock options through Black

Scholes, binomial, etc,

Share based payment awards.

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Knowledge Management Support

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In today’s competitive and dynamic business environment, one of the most important and

determining assets for a company is “Knowledge”. Most traditional company policies and controls

focus on the existing tangible assets of the company and leave unmanaged the important knowledge

assets.

We offer companies an efficient knowledge management solutions backed by our strong and in-depth

research. Our solutions help organisations respond swiftly to this constantly changing

macroeconomic, regulatory and business environment in order to sustain its competitive position, tap

growth opportunities and minimize damage.

Tracking Regulatory and Business Environment,

Identifying, and analyzing available required knowledge assets,

Appraising the value and usability of a knowledge asset,

Studying effect of incorporation of knowledge into an organizational goals,

Planning. Monitoring, and execution.

Our knowledge management services include…

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Legal Due Diligence

Any business proposal is underlined by a need for thorough due diligence be it a takeover, merger,

acquisitions, amalgamations, joint ventures or collaborations. Investment process requires

comprehensive assessment of possible legal risks related to the corporate status, assets, contracts,

securities, intellectual property for the concerned business transaction.

Our due diligence procedures are so structured that it facilitates an organisation in an assessment of the

main risks or issues involved and provide potential solutions for our client that become an integral

component of their decision-making and negotiation processes.

Target Company, Asset evaluation,

Legal and Structural Analysis,

Intellectual Property research,

Legal/ Business Contact details,

Share/ Registry Information

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Our Legal Due Diligence services include…

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Litigation Support

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We have experience in all aspects of litigation, and provide pragmatic council, making strategic

decisions, and advise clients realistically on cases that have won clients trust and confidence.

We consider the utmost importance of senior level involvement at every stage of the case to be of great

importance and ensure that all cases are handled with utmost integrity and energy. Our specialization

lies in litigation matter involving SEBI/ SAT/ CLB.

Our Litigation services include…

Legal Research, including citations,

Case pulls, appellate records and brief searches,

Preparing briefs, memoranda, motions,

Pleading for trial work and formal presentation,

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Advisory Service To Asset Managers

Sarthi is a pioneer in providing advisory services to asset managers of funds. This is our niche

segment, which helps asset managers in quick closure of complex transactions. Our firm has very

deep understanding of its chosen sectors, which it leverages to advise fund managers from different

aspect related to fund launch, investment analysis, market research, regulatory issues & many more.

We partner with the fund houses from the very onset of idea formulation and provide the following

services to the Asset managers and fund houses in the form of:

Industry Analytics

Product Viability

Market Research

Marketing strategy plan

Marketing operation plan

Financial plan & budget

Execution & Expertise

Launch monitoring and adjustment

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Our Advisory Services to Asset Managers offerings include…

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Listing Services

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Our Listing services include…

We believe in offering pragmatic advise to its clients on various listing related capital market services

enabling the companies to derive economic benefits in the long run. We advice the clients to select the

right launch pad to achieve high growth potential, and the benefits of capital markets.

Our strength has been deep knowledge of capital markets and understanding of financial markets,

earned over years of experience.

IPO /FPO SME Exchange,

Rights Issue,

Preferential allotments,

QIPs,

FCCB,

AIF Listing.

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We have devised a full spectrum of services designed to facilitate and ease the entire process of de-

listing/ dilution of equity shares of a company from any one or all of the stock exchanges on which it

is listed. With our, in-built knowledge, and innovative skills, we have developed a niche in the

securities and stock exchange arena, thus paving a growth path for the companies across industries.

Delisting/ Dilution

Our Delisting/ Dilution services include…

Planning, Opinion, and Advisory,

Comprehensive Delisting Management,

Procurement of Consent orders from SEBI,

Adjudication of Violations,

Exit offer Services,

Dilution of stake by promoters,

Buyback/ Open offers

Compulsory/ Voluntary Delisting Services

Relisting of Delisted Companies

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Our Resources- Knowledge Incubators

Mr. Deepak Sharma Over 15 years of experience in financial services, During the tenure had served as COO & Head Wealth Business for IL&FS Investsmart, and

has also been instrumental in winning the prestigious ‘CNBC TV18 Best National Financial Advisor-Retail’ for 3 consecutive years for the company, and served as CEO for SPA Cap Ltd.

Education: B.Com, CWA (Institute of Cost and Works Accountant of India)

Mr. Anand Lakhotia Over 17 years of experience in Financial services, During the tenure has served as a senior tax consultant in taxation, audit, and corporate

affairs to corporate like CASIO, TATA Group, SWAROVSKI India, etc Education: B.Com, CA (Institute of Chartered Accountant of India) from S.R. Batliboi & Co.

(Ernst & Young)

Mr. Mahavir Lunawat Over 11 years of experience in corporate advisory and secretarial services. During the tenure has served in RIL, ITC and PWC in various areas like corporate advisory,

corporate compliance & governance and knowledge management. Education: B.Com (H), FCS, CFA, LLB, PGDSL, DEM.

Mr. Raman Mangla Over 2 decades of experience as practicing Chartered Accountant. During the tenure has handled several critical assignments in financial service sector. Served

as former Chairman of NIRC of ICAI, Education: B.Com (H), FCA (Institute of Chartered Accountant of India)

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Illustrative Clients

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Our Premium clients in Advisory to Asset Managers Portfolio

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Get in Touch

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Sarthi Advisory Services Corporate Headquarters 159/11, Amar Brass Compound, Vidhya Nagari Marg, Kalina, Santacruz(E), Mumbai-400098 Landline: (022) 26528671-72 I Fax: (022) 26528673 Regional Office Flat No. 610, Deepali Building, 6th Floor, Nehru Place, New Delhi-110019 Landline: (011) 26419815-16 I Fax: (011) 26419818 advisors@sarthiwm.in www.sarthiwm.in