5paisa Capital Limited · MlDC, Thane Industrial Area. Wa le Estate, Thane -400 604. 6 Correspondence Address IIFL House. Sun Infotech Park, Road o. l 6V. i Plot No.B 23. MIDC

5paisa Capital Limited Corporate Identity Number: L67190MH2007PLC289249

Corporate Office/ Regd. Office: IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate, Thane – 400604. E-mail: [email protected] • Website: www.5paisa.com

January 14, 2019 The Manager, Listing Department, BSE Limited, Phiroze Jeejeebhoy Tower, Dalal Street, Mumbai 400 001. Telno.: 22721233 Fax No.: 22723719/ 22723121/ 22722037/ 22722041/ 22722061 BSE Scrip Code: 540776

The Manager, Listing Department, The National Stock Exchange of India Ltd., Exchange Plaza, 5 th Floor, Plot C/1, G Block, Bandra - Kurla Complex, Bandra (E), Mumbai 400 051. Tel No.: 2659 8235 Fax No.: 26598237/ 26598238 NSE Symbol: 5PAISA

Dear Sir, Sub: Submission of Reconciliation of Share Capital Audit Certificate under Regulation 55A of SEBI

(Depositories and Participants) Regulation, 1996 for the quarter ended December 31, 2018. Please find enclosed herewith Reconciliation of Share Capital Audit Certificate in terms of Regulation 55A of SEBI (Depositories & Participants) Regulations. Kindly take the same on record and oblige. Thanking you, Yours faithfully, For 5paisa Capital Limited

Roshan Dave Company Secretary Encl: a/a

/

Ref

NILESH G. SHAH i.C-.. Ul lQJ, F.C.S.

Company Secretaries

To. The Board of Directors. Spaisa Capital Limited

JIFL House, Sun lnfotech

Park. Road No. 16V. Plot No.8-23. MIDC, Thane Industrial Area, Wagle Estate, Thane- 400 604.

Dear Sir(s).

SUB: Reconciliation of Share Capital Audit Certificate in terms of Regulation SSA of SE Bl ( Depositor-ies & Participants) Regulations, 1996.

I have examined the Register of Members. Beneficiary details furnished hy the depositories :1nd other records I documen ts maintained by M/s. Spaisa Capital Limited (hen.:inatier referred to as "the Company") and Mis. Link In time India Pvt. Ltd .. the Registrar and Transfer Agent of the Company, for issuing this Certificate in accordance with circular D & CC /FITTC/C I R-16/ 2002 dated December 31, 2002 issued by the Securities and F.,changc l3oard of India read \\ ith Regulation 55A of SEBI (Depositories & Participants) Regulations. l 996.

In my opinion and to the best of my information and according to the explanations given to me and based on such verification as considered necessary. I hereby ccrtif) that:

For Quarter Ended 2 ISIN 3 Face\t;1lue 4 Name of the Com an

31.12.2018 INE618LO 1018

5 Registered Office Address IIFL House, Sun lnfotech Park, Road No. 16V, Plot No.B 23. MlDC, Thane Industrial Area. Wa le Estate, Thane - 400 604.

6 Correspondence Address IIFL House. Sun Infotech Park, Road o. l 6V. iPlot No.B 23. MIDC. Thane Industrial Area.

t---+-----------------+-W___,a ..... l_e _E_s _ta_te. Thane - 400 604 I 7 Tele hone & Fax Nos. 8 Email Address

Tel. Nos.: 4249 9000. Fax No.: 268504ll._j cstcamtcl":5paisa.com

9 Names of the Stock Exchanges where the BSE Limited ( BSE) -�C_ o_m�a_n�' 's_se _c _u _ri_ti_e_s _ar_e _l_is_te_d ______ N_a_ti _o_n _al _ S_ t_o_ck Exchangeof India Ltd ( :--i SE)

Number of Sha res 1 t---.------------------+----10 Issued Ca ital 12739022 11 Listed Capital (Exchange-wise) BSE 12739022

'Y., of Total Issued Capital

(as er com an records) NSE 12739022 f---1-''--..__ _ ___.�.,,__ __ _,_ __ _._ ______________ 4-____ --

12 Held in dematerialized form in CDSL 1111829 13 Held in dematerialized form in NSDL I 1615884 14 Ph sical 11309 15 Total No. of shares (12+13+14) 12739022

16 Reasons for difference if any, between N.AIO& I I ), (IO& 15 , I I & I 5)

08.73

91.18 00.09

100.00

211-B (Back Side) 2nd Floor, Building No. 1, Sona Udyog, Parsi Panchayat Road, Extn. of Old Nagardas Road. And eri (Ea:.. \ �\:_Mumbai - 400 069. Tel. : 2820 7824 I 2820 3582 E-mail : [email protected] �

304-A, Poonam Sagar, Poonam Nagar, Off. Mahakali Caves Road, Andheri (East), Mumbai - 400 093.Tel.: 2836 3419 Email: [email protected]

Ref

NILESH G. SHAH K.C-., UE <QJ, F.C S

Company Secretaries

17 Certifying the details of changes in share capital during the quaiter under consideration as per I · Table Below:

Particulars No. of Applied/ Listed on Whether Whether ln-prin.

*** Shares Not Applied Stock Intimated Intimate Approval

For Listing Exchanges to CDSL d to Pending for

(Names) NSOL SI:: (Names)

NA

*** Rights, Bonus, Preferential Issue. ESOPs, Amalgamation. Conversion. l:3u) back, Capital Reduction, Forfeiture, ani: other (to s12ecifi'.2-18 Register of Members is updated (Yes/No), If not. updated up to which date I Yes

19 Reference of previous quarter with regard to excess dematerialized shares,_if any. N.A.

20 Has the Company resolved the matter mentioned in Point No. 19 above in the N.A.

current quarter? If not, reason why? 21 Mentioned the total no. of requests, if any, confirmed after 21 days and the total no. of

requests pending beyond 21 days with the reasons for delay Total No. of Demat request No. of Request No. of Reasons for

shares delay I

Confirmed after 21 Days (From the date of --- --- ---

receipt of ORF by RTA) Pending for more than 21 days (From the date --- --- ---

of receipt of ORF by RTA) 22 Name. Telephone & Fa, No. of the Mr. Roshan Dave (ACS - 26472)

Compliance Officer of the Con.pany Tel. Nos.: 4249 9000 Fa, No.: 4060 9049 .... -------

23 Name. Address, Tel. & Fax No .. Nilesh G. Shah (C.S.) - FCS-4554. C.P. No 2631 Registration no. of the Auditor 404/8. Poonam Sal!ar. Poonam Nagar. Off

Ivtahakali Caves Road. Andhcri (E). \t1un1ba1

24 Appointment of common agency share registry work If yes ( name & address)

for 400 093. Tel. 2820 3582 / 7824 1

-· Link lntime India Private Limited C-10 I, I st Floor. 24 7 Park, Lal Bahadur Shastri Marg, Yikroli (West), Mumbai - 400083.

25 Any other details that the auditor may like to provide. (e.g. BJFR company, delisting from SE, company changed its name etc.) NIL

Place Date

: Mumbai

: \t).\� �\,°)

�)9SHAH '.'HLESll G. Company Secretary FCS �o. �554 C.P. No. 2631

211-B (Back Side) 2nd Floor, Building No. 1, Sona Udyog, Parsi Panchayat Road, Extn. of Old Nagardas Road. Andhen (EaMumbai - 400 069. Tel. 2820 7824 I 2820 3582 E-mail : [email protected]

304-A, Poonam Sagar, Poonam Nagar, Off. Mahakali Caves Road, Andheri (East), Mumbai - 400 093.Tel.: 2836 3419 Email: [email protected]

Ref

NI LE s H G. SHAH ll!-. Ill ({;J, F.l!S.

------

Company Secretaries

Certificate for Dematerialisation of Shares of Mis. SPAISA CAPITAL LIMITED

I have examined all relevant Books, Registers. Forms, Documents and papers in the office of registrar and transfer agents of the Company Mis. Link Intime India Private Limited, in respect of dematerialisation of valid application of the shares favoring CDSL in respect of Mis. Spaisa Capital Limited, between 1st October, 2018 to 31st D�ccmber, 2018.

The above documents are examined for the purpose of issuing Certificate as requested b) the Company in connection with the relevant provisions of the regulation 54 (5) or the SF.Bl (Depositories & Participants) Regulation, I 996 and to meet the requirements as imrosetl b: relevant Depositories and in this connection and to the best of the informatiPn and explanation produced before me and hased on the test checking carried llllt. I umkrst:111d th:11 the Company has followed the procedure mentioned in the SF.Ol guitkli1H.>, fl1r

dematerialtsation of shares and

1. The Register of members of the Company was accordingly amended and the shareswere transferred in favour of the transferee.

2. The Company has adequate procedures and has satisfied itself that the transferee (ur

their authorised representative) and the entity requesting the dematerialisation arc oneand the same before confirming the dematerialisation request the Company has furtheramended its register of members to indicate the transfer from the transferee to CDSL.

3. The share certificates in respect of the shares sent for dematerialisation have been dulydefaced, mutilated and cancelled and the name of CDSL has been duly substituted as the registered owner.

4. The Company has adequate systems to ensure that tlK in,l·,;i,,r ,h,l·, 111,t l,•,l· Iii,corporate benefits on account of the transfer entries made in favour or CDSI ..

The above certificate has been given based on the information rroduced heforL' me h: Mis. Link In time India Private Limited, Registrar and Transfer Agent of the Com pan).

SHAH NILESH G. 't I

Company Secretary, C.P. No:2631

211-8 (Back Side) 2nd Floor, Building No. 1, Sona Udyog, Parsi Panchayat Road, Extn of Old Nagardas Road Andhen (Ea ).Mumbai. 400 069. Tel. : 2820 7824 / 2820 3582 E-mail · [email protected]

304-A. Poonam Sagar. Poonam Nagar, Off. Mahakali Caves Road, Andheri (East). Mumbai - 400 093Tel.: 2836 3419 Email· ngshah.cs@gmait com

Ref.

NILESH G. SHAH

------

Company Secretaries

Certificate for Dematerialisation of Shares of M/s. 5PAISA CAPITAL LIMITED

C.C-. Ul ((;), F.C.5.

I have examined all relevant Books. Registers, Forms, Documents and pap1.::rs in the olfo:c u!' registrar and transfer agents of the Company M/s. Link Intime India Private Limited (formerly known as M/s. Intime Spectrum Registry Limited), in respect of dematerialisation of valid application of the shares favoring NSDL in respect of M/s. Spaisa Capital Limited, between I st October, 2018 to 3 I st Dccem ber. 2018.

The above documents are examined for the purpose of issuing Certificate as requested b) the Company in connection with the relevant provisions of the regulation �4 (.:'i) of the SI .Bl (Depositories & Participants) Regulation, 1996 and to meet the req u i rem en ts as i 111 posed h: relevant Depositories and in this connection and to the best of the inti.,rmatinn and explanation produced before me and based on the test checking carried out. I u11dnsla11d that the Company has followed the procedure mentioned in the SEBI guidelines !'or dematerial i.sation of shares and

I. The Register of members of the Company was accordingly amended and the share�were transferred in favour of the transferee.

2. The Company has adequate procedures and has satisfied itself that the transkrcc (ortheir authorised representative) and the entity requesting the dematerialisation are oneand the same before confirming the dematerialisation request, the Company has furtheramended its register of members to indicate the transfer from the transferee to NSDL.

3. The share certificates in respect of the shares sent for dematerialisation have been dulydefaced, mutilated and cancelled and the name of NSDL has been duly substituted asthe registered owner.

4. The Company has adequate systems to ensure that the ime�tor doc:- 11,11 lu"c hi"corporate benefits on account of the transfer cntric) 111ade in Li,,uur ul i\SUl..

The above certificate has been given based on the information produced before rnc h: ,11s. Link lntime India Private Limited, Registrar and Transfer /\gent of the Con1pa11::,.

SHAH� Company Secretary,

C.P. No:2631

211-8 (Back Side) 2nd Floor, Building No. 1, Sona Udyog, Parsi Panchayat Road. Extn of Old Nagardas Road. Andhen (Ea t),Mumbai. 400 069. Tel. : 2820 7824 / 2820 3582 E-mail · [email protected]

304-A, Poonam Sagar. Poonam Nagar. Off. Mahakali Caves Road, Andhen (East), Mumbai - 400 093Tel.: 2836 3419 [email protected]