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Director's Report


Change Company Name
LKP Securities Ltd
Finance & Investments
BSE Code 540192 ISIN Demat INE341H01023 Book Value 10.57 NSE Symbol N.A Div & Yield % 0.73 Market Cap ( Cr.) 166.85 P/E 10.28 EPS 1.98 Face Value 2

Your Directors are pleased to present the thirtieth Annual Report of the Company together with the Audited Financial Statements for the financial year ended March 31, 2024. The consolidated performance of the Company and its subsidiaries has been referred to wherever required.

FINANCIAL HIGHLIGHTS

A summary of the Consolidated and Standalone financial performance

31, 2024, is as under:

(Rs. in Lakhs)

Particulars

Standalone

Consolidated

Financial Year

Financial Year

Financial Year

Financial Year

2023-24

2022-23

2023-24

2022-23

Revenue from Operations

9617.96

7642.61

9735.06

7769.30

Other Income

109.88

147.03

109.10

147.59

Total Revenue

9727.84

7789.64

9844.16

7916.89

Profit before Tax

1323.71

444.41

1339.48

523.73

Less: Tax expense

373.78

127.97

389.28

150.36

Profit after Tax

949.92

316.44

950.20

373.38

Other Comprehensive loss for the year

59.18

10.70

59.18

10.71

Total Comprehensive Income for the year

1009.10

327.14

1009.38

384.09

Earnings per share on equity shares of Rs. 2 each
- Basic (in Rs.)

1.19

0.42

1.19

0.50

- Diluted (in Rs.)

1.19

0.42

1.19

0.49

STATE OF THE COMPANY'S AFFAIRS

On a consolidated basis, the Revenue from operation for Financial Year 2023-24 was Rs. 9735.06 Lakhs, higher by 25.30% percent over the previous year's revenue of Rs. 7769.30 Lakhs. The profit after tax (PAT) attributable to shareholders for

Financial Year 2023-24 and Financial Year 2022-23 was Rs. 950.20 Lakhs and Rs. 373.38 Lakhs, respectively.

On a standalone basis, the revenue from operation for Financial Year 2023-24 was Rs.9617.96 Lakhs, higher by 25.85% percent over the previous year's revenue of Rs. 7642.61 Lakhs. The profit after tax (PAT) attributable to shareholders for

Financial Year 2023-24 and Financial Year 2022-23 was Rs. 949.92 Lakhs and Rs. 316.44 Lakhs, respectively.

DIVIDEND

Your Directors are pleased to recommend a Dividend of Rs. 0.15/- (7.5%) per equity share of Rs. 2/- each for the financial year

2023-24, which is subject to consideration and approval of the Shareholders at the ensuing Annual General Meeting of the Company, and shall be paid within the statutory period to those members whose names appear in the Register of Members as on the cut off date.

The total outflow on account of the proposed dividend shall amount to Rs. 122.51 Lakhs.

RESERVES

There is no amount proposed to be transferred to Reserves out of profits of the financial year 2023-24.

WARRANTS

The Board of Directors in their meeting held on May 20, 2022 proposed to raise funds through Issue of warrants on preferential basis to Promoter & Promoter Group Entity. The said proposal was duly approved by the Members at the 28th Annual General Meeting held on June 20, 2022. On June 27, 2023 798,403 Equity Shares of face value of Rs. 2/- each fully paid up were approved and allotted to Mr. Mahendra Vasantrai Doshi, Promoter, pursuant to conversion of 798,403 Warrants.

On November 22, 2023, 11,97,605 and 9,98,004 Equity Shares of face value of Rs. 2/- each fully paid up were approved and allotted to Bhavana Holdings Private Limited, Promoter Group and Mr. Mahendra Vasantrai Doshi, Promoter respectively, pursuant to conversion of entire balance of 21,95,609 Warrants.

Each warrant was convertible into one equity share of face value of Rs. 2/- each at an issue price of Rs.16.70/- [inclusive of a premium of Rs.14.70/-]. Equity Shares have been allotted pursuant to receipt of the balance 75% of the warrant issue price @ Rs. 12.525/- per warrant.

EMPLOYEES STOCK OPTIONS PLAN

The Members of the Company had passed the resolutions at its Annual General Meeting held on May 24, 2017 and approved the LKP Securities Limited's Employees' Stock Option Scheme 2017 ("LKPS ESOP - 2017") and also approved to offer, issue and allot at any time or to acquire by way of secondary acquisition, to or for the benefit of eligible employees under LKPS ESOP

- 2017, not exceeding 50,00,000 Equity Shares of Rs. 2 each, in one or more tranches, at such price and on such terms and conditions as may be fixed or determined by the Nomination and Remuneration Committee. The Members of the Company had verified, modified and amended LKPS ESOP 2017 by way of postal ballot dated October 16, 2020, the result of which was declared on November 27, 2020 and, subsequently the Company has granted 4,67,000 stock options on February 03, 2021 and 11,75,580 stock options on October 21, 2021 to its employees under the modified LKPS ESOP 2017. The scheme was furtherverified,modified General Meeting held on June 20, 2022, subsequently the Company has granted 3,50,000 stock options on July 27, 2022 and 1,50,000 stock options on October 31, 2023 under the modified scheme.

The Members of the Company at its Annual General Meeting held on July 05, 2019 had approved the LKP Securities Limited's Employees' Stock Option Scheme 2019 ("LKPS ESOP - 2019") and also approved to offer, issue and allot at any time, to or for the benefit of eligible employees including the employees of its subsidiaries under LKPS ESOP - 2019, not exceeding

35,00,000 Equity Shares of Rs. 2 each, in one or more tranches, at such price and on such terms and conditions as may be fixed or determined by the Nomination and Remuneration Committee.

Pursuant to the applicable provisions of the Companies Act, 2013 ("the Act") and Securities and Exchange Board of India

(Share Based Employee Benefits and Sweat Equity) Regulations, 2021 ("SBEB Regulations"), the scheme is administered by the Nomination and Remuneration Committee of the Company.

MGB & TheCompanyhasreceived Co. LLP, Chartered Accountants, certificate that the Scheme has been implemented in accordance with the SBEB Regulations and the resolutions passed by the Members.

During year under review, the Company has allotted 2,91,675 equity shares of Rs. 2/- each pursuant to exercise of stock options under the LKP Securities Limited's Employees' Stock Option Scheme 2017.

The applicable disclosures as stipulated under SBEB Regulations as on March 31, 2024 with regard to the LKPS ESOP – 2017 are provided in Annexure - I to this Report.

DEBT SECURITIES

The Company has issued and allotted 815 unrated, unlisted, secured, redeemable, taxable, transferable, non-convertible debentures of face value of Rs. 1,00,000/- per debenture. IDBI Trusteeship Services Limited is the Debenture Trustee for same.

SHARE CAPITAL

The paid up equity share capital of the Company as on March 31, 2024 was Rs. 16,33,43,058/- consisting of 8,16,71,529 Equity Shares of Rs.2/- each. During the year under review, the Company has made following allotments during Financial Year 2023-24 –

Sr No

Date

No. of shares

Remarks

1.

27-06-2023

798,403

Equity Shares pursuant to exercise of conversion of warrants on preferential basis

2.

22-11-2023

21,95,609

Equity Shares pursuant to exercise of conversion of warrants on preferential basis

3.

27-03-2024

2,91,675

Fresh allotment of fully paid-up equity shares was made to an employees under LKPS Employee Stock Option Scheme - 2017 (LKPS ESOP - 2017)

SUBSIDIARIES AND ASSOCIATE

During the year under review, the Board has reviewed the affairs of LKP Wealth Advisory Limited & LKP IFSC Private Limited, subsidiaries. LKP Wealth Advisory Limited has income from operations amounting to Rs. 174.68 Lakhs and its net profit stood at Rs. 51.65 Lakhs. There has been no material change in the nature of the business of the subsidiary. intends to offer an option to its customers for trading in US stocks under Withaview toofferdiversified its subsidiary ‘LKP IFSC Private Limited'. Further the required SEBI & IFSC approval for commencement of IFSC business is obtained. The company is yet to commenced its business and generate income from operations.

Wise Tech Platforms Private Limited is an associate company of your Company. Wise Tech Platforms Private Limited is also a newly incorporated company, thereby is yet to start its business and generate income from operations.

Pursuant to the provisions of Section 129(3) of the Act, a statement containing salient features of the financial statements of the subsidiaries as on March 31, 2024 in the prescribed Form AOC-1 is attached to the financial statementsas Annexure - II, which forms part of this Annual Report.

There are no joint venture companies within the meaning of Section 2(6) of the Act.

CONSOLIDATED FINANCIAL STATEMENTS

The Consolidated Financial Statements of the Company prepared in accordance with the Act and applicable Indian Accounting Standards along with the relevant documents and Auditors' Report is also presented to you and form part of this Annual Report. In accordance with the provisions of Section 136(1) of the Act, the Annual Report of the Company containing therein the audited standalone and consolidated financial statements and the audited financial statement of the subsidiary will be available for inspection to any member of the Company and has been placed on the website of the Company at www.lkpsec.com.

PARTICULARS OF LOANS, GUARANTEES AND INVESTMENTS

Details of loans granted, guarantee provided and investment made by the Company which are covered under the provisions of Section 186 of the Act, is provided in Notes forming part of Financial Statements.

MANAGEMENT DISCUSSION AND ANALYSIS

The Management Discussion and Analysis in accordance with Regulation 34 read with Schedule V of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 ("SEBI Listing Regulations") forms part of this Annual Report as Annexure - III.

CORPORATE GOVERNANCE

Pursuant to the SEBI Listing Regulations, Company's Corporate Governance Report forms part of this Annual Report along with the reports on Management Discussion and Analysis and General Shareholder Information.

Further all the Board members and Senior Management personnel have affirmed compliance with the Code of Conduct for the financial year 2023-24. A declaration to this effect signed by the Managing Director of the Company also forms part of this

Annual Report.

ACertificate the compliance with the conditions of Corporate Governance as stipulated under Regulation 34 read with Schedule V of the SEBI Listing Regulations is annexed to this Report as Annexure - IV.

DIRECTORS AND KEY MANAGERIAL PERSONNEL(S)

In terms of Section 152 of the Act, Mr. Pratik Doshi (DIN: 00131122), Executive Chairman & Managing Director of the Company is liable to retire by rotation at the forthcoming Annual General Meeting ("AGM") and being eligible, offers himself for reappointment. Your Directors have recommended his appointment for approval of the shareholders, in the ensuing AGM of your Company.

The Company has received necessary disclosures and confirmations from concerned Director(s) in connection with their appointment / re-appointment. Additional information on appointment / re-appointment of Directors as required under Regulation 36 of SEBI Listing Regulations is given in the Notice convening the ensuing AGM.

Pursuant to section 134(3)(d) of the Act, the Company has received necessary declarations from all the Independent Directors under Section 149(7) of the Act that they meet the criteria of independence laid down in Section 149(6) of the Act, Regulation 16(1)(b) and Regulation 25 of SEBI Listing Regulations. None of the Independent Directors held any equity shares of your

Company during the financial year ended March 31, 2024. Further, in the opinion of the Board of Directors of the Company, all Independent Directors possess requisite integrity,expertiseandexperienceincludingtheproficiencyrequired to discharge the duties and responsibilities as Directors of the Company.

During the year under review, the Company did not have any pecuniary relationship or transactions with any of its Directors, other than payment of remuneration and payment of sitting fees and reimbursement of expenses incurred by them for the purpose of attending meetings of the Company.

In terms of Section 203 of the Act, the Company has the following Key Managerial Personnel: Mr. Pratik M. Doshi, Chairman and Managing Director, Mr. Girish Majrekar, Chief Financial Officer and Mr. Sahil Gurav, Company Secretary.

During the year under review, the Nomination and Remuneration Committee meeting and Board of Directors at its meeting held on October 31, 2023, re-appointed Mrs. Anjali Suresh (DIN: 02545317) as Non-Executive, Independent Directors of the Company for a second term of 5 consecutive years w.e.f. December 18, 2023 upto December 17, 2028 and same is also approved by the members through postal ballot. Mrs. Anjali Suresh fulfils the criteria and conditions specified in the Companies

Act, 2013 for such appointment.

As per Regulation 17(1)(a) of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2018, no listed company shall appoint or continue the directorship of any person as a Non-Executive

Director who has attained the age of seventy five years unless the of Special Resolution. The requisite consent of the members was accorded to continue the holding of office of Director (Non-Executive) by Mr. Mahendra V. Doshi (DIN: 00123243), despite his age crossing 75 years and whose office shall be liable to retire by rotation and on the same terms as passed by the members at the 27th Annual General Meeting held on July 15, 2021.

During the year under review, Ms. Akshata Vengurlekar resigned from the office of Company Secretary & Compliance Officer the Company w.e.f June 30, 2023 and Ms. Sneha Lohogaonkar was appointed as Company Secretary and Compliance Officer of the Company with effect from July 24, 2023 and resigned w.e.f October 31, 2023. Further, Ms. Heta Raval was appointed as Company Secretary and Compliance Officer of the Company with effect from January 20, 2024 and resigned w.e.f April 2024. Thereafter, Mr. Sahil Gurav was appointed as Company Secretary and Compliance Officer of the Company with effect from April 23, 2024.

The composition of the Board of Directors of the Company is in accordance with the provisions of Section 149 of the Act and Regulation 17 of the SEBI Listing Regulations, with an appropriate combination of Executive, Non-Executive and Independent Directors.

COMMITTEES OF THE BOARD

Details of Committees of the Board of Directors of the Company along with their terms of reference, composition and meetings held during the year, are provided in the Corporate Governance Report, which forms part of this Annual Report.

NUMBER OF MEETINGS OF THE BOARD

The Board meetings are normally held on a quarterly basis, during the year under review, Five (5) meetings of the Board of Directors were held. Meetings of Board of Directors were held on April 26, 2023, July 24, 2023, October 31, 2023, January 20, 2024 and February 27, 2024. The necessary quorum was present for all the meetings. The details of date of above meeting including the attendance of the Directors are given in the Corporate Governance Report that forms part of this Annual Report.

PERFORMANCE EVALUATION OF BOARD

Pursuant to the provisions of the Companies Act, 2013 and the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, the Board has carried out an annual evaluation of performance of its own, the Committees thereof and the Directors individually.

At the meeting of the Board all the relevant factors that are material for evaluating the performance of the Committees and of the Board were discussed in detail.

A separate exercise was carried out to evaluate the performance of individual Directors including the Chairman of the Board, who were inter-alia evaluated on parameters such as level of engagement, contribution, independence of judgment, safeguarding the interest of the Company and its minority shareholders, etc. The performance evaluation of the Independent Directors was carried out by the entire Board except the Director being evaluated. The performance evaluation of the Chairman and Non-Independent Directors was carried out by the Independent Directors.

The Directors expressed their satisfaction with the evaluation process.

The Board has, on the recommendation of the Nomination & Remuneration Committee framed a policy for selection and appointment of Directors, Senior Management and their remuneration. The Remuneration Policy is stated in the Corporate Governance Report.

POLICY ON DIRECTORS' APPOINTMENT AND REMUNERATION

Company's policy is to have an appropriate mix of executive, non-executive and independent directors to maintain the independence of the Board, and separate its functions of governance and management. As on March 31, 2024, the Board had six members, one of whom is an executive managing director, two non-executive non-independent director and three independent directors. One of whom is a woman independent director. The Company's policy on Directors' appointment and remuneration and other matters provided in Section 178(3) of the Act, has been disclosed in the Corporate Governance Report, which forms part of this Annual Report.

VIGIL MECHANISM/ WHISTLE BLOWER

In accordance with Section 177(9) of the Act read with Rule 7 of the Companies (Meetings of Board and its Powers) Rules, 2014 and Regulation 22 of the SEBI Listing Regulations, the Company has established a vigil mechanism to provide a framework to promote responsible and secure whistle blowing and to provide a channel to the employee(s) and Directors to report to the management, concerns about unethical behaviour, actual or suspected fraud or violation of the code of conduct or policy/ies of the Company, as adopted/framed from time to time. The mechanism provides for adequate safeguards against victimisation of employee(s) and also provides for direct access to the Chairperson of the Audit Committee in exceptional cases. No personnel have been denied access to the Chairman or members of the Audit Committee. The said Policy is placed on the Company's website at www.lkpsec.com.

During the financial year 2023-24, no cases under this mechanism were reported to the Company.

PREVENTION OF INSIDER TRADING

The Company has adopted a Code of Conduct for Prevention of Insider Trading as amended from time to time with a view to regulate trading in securities by the Directors and designated employees of the Company. The Code requires pre-clearance for dealing in the Company's shares and prohibits the purchase or sale of Company shares by the Directors and the designated employees while in possession of unpublished price sensitive information in relation to the Company and during the period when the Trading Window is closed. The Board is responsible for implementation of the Code.

All Board Directors and the designated employees have confirmed compliance with the Code.

PARTICULARS OF CONTRACTS OR ARRANGEMENTS WITH RELATED PARTIES

The Company has put in place a policy for Related Party Transactions (‘RPT'), which has been approved by the Board of Directors. The policy provides for identification of RPTs, necessary approvals by the Audit Committee/Board/Members, reporting and disclosure requirements in compliance with the Act and provisions of SEBI Listing Regulations. During the year under review, all contracts/ arrangement/ transactions entered by the Company with related parties were in compliance with the applicable provisions of the Act and SEBI Listing Regulations. Requisite approval of the Audit Committee was obtained for all related party transactions. All related party transactions entered during the year were on arm's length basis and in the ordinary course of business of the Company. The details of transactions with related parties are provided in the

Company's financial statements in accordance with the Indian Accounting Standards.

The particulars of contract or arrangement in Form AOC-2 as required under Section 134(3)(h) of the Companies Act, 2013 and Rule 8(2) of the Companies (Accounts) Rules, 2014 is annexed to this Report as Annexure - V. The details of other loans and advances are mentioned in notes to accounts and are not repeated here.

The Company's policy on materiality of and dealing with related party transactions, as approved by the Board, is uploaded on the website of the Company and can be accessed at www.lkpsec.com.

DIRECTORS' RESPONSIBILITY STATEMENT

The Board of Directors acknowledges the responsibility for ensuring compliance with the provisions of section 134(3)(c) read with section 134(5) of the Companies Act, 2013 in the preparation of the annual accounts for the year ended on March 31, 2024 and state that: i. in the preparation of the annual accounts for the financial year ended March 31, 2024, the applicable accounting standards have been followed along with proper explanation relating to material departures; ii. they have selected such accounting policies and applied them consistently and made judgments and estimates that are reasonable and prudent so as to give a true and fair view of the state of affairs of the Company at the end of the financial year and of the profit of the Company for the year ended March 31, 2024; iii. they have taken proper and sufficient care for the the provisions of the Act for safeguarding the assets of the Company and for preventing and detecting fraud and other irregularities; iv. they have prepared the annual accounts for the financial year ended March 31, 2024 on a going concern basis; v. they have laid down Internal Financial Controls tobefollowedbytheCompanyandthatsuchinternalfinancialcontrols are adequate and are operating effectively; and vi. they have devised proper systems to ensure compliance with the provisions of all applicable laws and that such systems were adequate and operating effectively.

AUDIT COMMITTEE

The Audit Committee of the Company comprises of Mr. Ganesh Malhotra, Independent Director as Chairperson of the Committee, Mr. Sajid Mohamed and Mrs. Anjali Suresh, Independent Directors and Mr. Pratik M. Doshi, Managing Director are other Members of the Audit Committee. The said composition is as per Section 177 of the Companies Act, 2013 and Regulation 18 of the Listing Regulations. There are no instances where the Board did not accept the recommendations of the Audit Committee. The terms of reference, powers and roles of the Committee are disclosed in the Corporate Governance Report, which forms part of this Annual Report.

PARTICULARS OF EMPLOYEES

Disclosures pertaining to remuneration and other details, as required under Section 197(12) of the Act read with Rule 5(1) of the Companies (Appointment and Remuneration of Managerial Personnel) Rules, 2014, regarding remuneration of Directors, Key Managerial Personnel and other related disclosure is given as Annexure - VI to the Board's Report. Further, a statement showing the names and other particulars of employees drawing remuneration in excess of the limits as set out in the Rule 5(2) and 5(3) of the aforesaid Rules, forms part of this report. However, in terms of first proviso to Section

136(1) of the Act, the Annual Report and Accounts are being sent to the members and others entitled thereto, excluding the aforesaid information. The said information is available for inspection by the Members at the Registered Office of the Company during business hours on working days and through electronic means. Further in terms of proviso to said Rule 5(3), such particulars shall be available to any shareholder on specific request made by him in writing or e- mail to Company Secretary, at ho_compliance@lkpsec.com.

INTERNAL CONTROL SYSTEMS AND THEIR ADEQUACY

The Company has an Internal Control System, commensurate with the size, scale and complexity of its operations. The scope and authority of the Internal Auditors' function is defined in their letter of engagement. To maintain its objectivity and independence, the Internal Auditor reports to the Chairperson of the Audit Committee of the Board and to the Managing Director.

The Internal Auditor monitors and evaluates the efficacy and adequacy of internal control system in the Company, its compliance with operating systems, accountingproceduresandpoliciesoftheCompany.Significantaudit observations and recommendations along with corrective actions thereon are presented to the Audit Committee of the Board.

RISK MANAGEMENT

Your Company recognizes that risk is an integral part of business and is committed to managing the risks in a proactive and efficient manner. The Board of the Company at regular intervals monitors the financial, operational, legal risk to the Company.

There is no risk, which in the opinion of the Board which may threaten the existence of the Company.

Pursuant to Section 134 (3) (n) of the Act it is stated that at present the company has not identified any element of risk which may threaten the existence of the Company.

STATUTORY AUDITORS

The term of the existing Statutory Auditors M/s MGB & Co. LLP, Chartered Accountants is coming to an end at the ensuing

AGM. The Board of Directors have recommended re-appointment office M/sMGB&Co.LLPtohold this AGM till the conclusion of the thirty-first AGM. The Company has received a written confirmation from the Statutory Auditors confirmingthat their continued appointment shall be in accordance with the applicable provisions of the Act. The Statutory Auditors have confirmed that they satisfy the criteria of independence, as required under the provisions of the Companies Act,2013andthattheyareholding certificateissued valid by the Peer Review Board of the Institute of Chartered Accountants of India.

AUDITORS' REPORT

There are no qualifications, reservations or adverse remarks for the financial year ended March 31, 2024.

Pursuant to provisions of the Section 143(12) of the Act, the Statutory Auditors have not reported any incident of fraud to the Audit Committee or the Board during the year under review.

SECRETARIAL AUDITOR

As required under provisions of Section 204 of the Act and read with Rule 9 of the Companies (Appointment and Remuneration of Managerial Personnel) Rules, 2014 made thereunder, Mr. V. Ramachandran (Membership No: A-7731 / CP No. 4731) Proprietor of M/s. V. R. Associates, Practicing Company Secretaries was appointed as Secretarial Auditor to conduct the

Secretarial Audit of the Company for the financial year 2023-24.

The Secretarial Audit Report for the financial year 2023-24 is appended as Annexure - VII, which forms part of this Report. There are no qualifications, reservations or adverse remarks made by M/s V. R. Associates, Practicing Company Secretaries, in their report for the financial year ended March 31, 2024.

In addition to the above and pursuant to SEBI circular dated February 08, 2019, a report on secretarial compliance by M/s.

V. R. Associates, Practicing Company Secretaries for the financial year ended March 31, 2024 is being submitted to stock exchanges.

COMPLIANCE WITH SECRETARIAL STANDARDS

The Board of Directors states that the Company has complied with Secretarial Standards on meetings of the Board of Directors ("SS-1") and on General Meetings ("SS-2") as amended and issued from time to time by the Institute of Company Secretaries of India in terms of Section 118(10) of the Act.

EXTRACT OF ANNUAL RETURN

In accordance with Section 92(3) of the Act, a copy of the Annual Return is available on the website of the Company at www.lkpsec.com.

CORPORATE SOCIAL RESPONSIBILITY STATEMENT (CSR)

During the financial year ended March 31, 2024 pursuant to the provisions of Section 135(1) of the Act, read with the Companies

(Corporate Social Responsibility Policy) Rules 2014, CSR provisions are not applicable to the Company.

TRANSFER OF UNCLAIMED/UNPAID AMOUNTS TO THE INVESTOR EDUCATION AND PROTECTION FUND (‘IEPF')

In terms of the provisions of Section 124, 125 and other applicable provisions, if any, of the Act, read with provisions of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016 and other applicable provisions, all unpaid or unclaimed dividends are required to be transferred by the Company to the Investor Education and Protection Fund ("IEPF") established by the Central Government, after completion of seven years from the date the dividend. Further, in terms of Section 124(6) of the Act, read with the IEPF Rules, all the shares in respect of which dividend has remained unpaid/unclaimed for seven consecutive years or more from the date of transfer to the unpaid dividend account are required to be transferred to the demat account of the Investor Education and Protection Fund Authority (‘IEPFA'). The details of unpaid/ unclaimed dividend and equity shares so transferred are uploaded on the website of the Company at https://www.lkpsec.com as well as that of the Ministry of Corporate Affairs, Government of India athttp://www.mca.gov.in. The Members/Claimants whose shares and unclaimed dividend have been transferred to IEPF may claim the shares or apply for refund by making an application to IEPF Authority in Form IEPF 5 (available on www.iepf.gov.in). The Member/Claimant can file only one consolidated claim FinancialYear as per the IEPF Rules.

CONSERVATION OF ENERGY

The operations of the Company are not energy intensive. However, the Company has taken various measures for conservation of energy, like switching from conventional lighting systems to LED lights etc. All efforts are made to use more natural lights in office premises to optimize the consumption of energy.

TECHNOLOGY ABSORPTION

The Company, primarily being a securities broking company and not involved in any industrial or manufacturing activities, has no particulars to report regarding technology absorption as required under Section 134 of the Act and Rules made thereunder.

FOREIGN EXCHANGE EARNINGS AND OUTGO

The Company did not enter into any foreign currency transactions except for investment in LKP IFSC Private Limited upto $ 1,79,992.8.

DISCLOSURES WITH RESPECT TO DEMAT SUSPENSE ACCOUNT/ UNCLAIMED SUSPENSE ACCOUNT

Aggregate number of

Number of shareholders

Number of shareholders

Aggregate number of

shareholders and the

who approached listed entity

to whom shares were

shareholders and the

outstanding shares in the

for transfer of shares from

transferred from suspense

outstanding shares in the

suspense account lying at the

suspense account during the

account during the year

suspense account lying at

beginning of the year

year

the end of the year

NIL

NIL

NIL

NIL

Declaration that the voting rights on shares in the suspense account shall remain frozen till the rightful owner of such shares claims the shares – Not Applicable

DISCLOSURE UNDER THE SEXUAL HARASSMENT OF WOMEN AT WORKPLACE (PREVENTION, PROHIBITION AND REDRESSAL) ACT, 2013

Providing a safe working environment for all genders, free from sexual harassment and discrimination is among the key priorities of the Company. In compliance with the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013, the Company has put in place a policy on Prevention of Sexual Harassment of Women at the workplace. The policy includes the scope, consequence of non-compliance and redressal mechanism along with contact details of the Committee members for raising any grievance/complaint under the said policy. The Company has constituted Internal Complaints Committee under the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013. Adequate workshops and awareness programs are conducted across the organization. No. of complaints received: 0 No. of complaints disposed of: 0 No. of cases pending for more than 90 days: 0

DISCLOSURES l The Company has not accepted any fixed deposits during of principal or interest on deposits from public and/or Members were outstanding as at March 31, 2024. by the regulators or l Therearenosignificant courts or tribunals impacting the going concern status and the Company's operations in future.

l No material changes and commitments have taken place that could have an impact on the financial position of the Company from the date of closure of financial year under review till the date of signing ofAccounts. l There is no change in the nature of business of the Company. l The Managing Director, as per the terms of his appointment, does not draw any commission or remuneration from subsidiaries. Thereby, no disclosure is required under Section 197(14) of the Act. l Maintenance of cost records and requirement of cost Audit as prescribed under the provisions of Section 148(1) of the Act are not applicable to the business activities carried out by the Company. l During the year under review, no application was made or any proceeding was pending by or against the Company under the insolvency and bankruptcy code, 2016.

ACKNOWLEDGEMENT

Your Board of Directors would like to express its gratitude and its appreciation for the continued valuable support and cooperation provided to your Company by its Members, and in particular the customers, regulatory authorities and its banks and financial institutions. Your Directors would also like to

Management and the employees of the Company.

For and on behalf of the Board of Directors

Pratik M. Doshi

Place: Mumbai

Chairman & Managing Director

Date : April 23, 2024

DIN: 00131122