Description
Taxmann Publications Registrars to an Issue and Share Transfer Agents Corporate Edition July 2022 by NISM
Registrars to an Issue and Share Transfer Agents – Corporate seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations performing the following functions for listed companies:
Dealing/Interacting with Investors/Issuers
Dealing/Collecting/Processing Applications from Applicants
Dealing with matters related to the following:
Corporate Actions
Refunds
Redemptions
Repurchase of Securities
Handling Redressal of Investors’ Grievances
Responsible for Internal Control & Risk Management
Responsible for Compliance with Securities Law
Responsible for any activity performed under SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993
The Present Publication is the November 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination II-A [Registrars to an Issue and Share Transfer Agents – Corporate], with the following noteworthy features:
[Know the Basics] of securities and securities markets
[Understand] broadly the role and functions of R&T Agents in the corporate securities issuance & transaction process
[Know the Regulatory Environment] in which R&T Agents operate in India
The detailed contents of the book are as follows:
Introduction to Securities
Characteristics of Equity Shares
Characteristics of Debt Securities
Characteristics of Other Securities
Basics of Mutual Funds
SEBI – Role and Regulations
Public Offer of Securities
Modes of Allotment of Share other than Public Offers
Process related to Public Offering of Shares
Roles and Responsibilities in a Public Issue
Depository Services
Process related to Depositories
Investor Interface with the R&T Agent
Secondary Market Transactions
Client Servicing
About NISM
The National Institute of Securities Markets (NISM) is a public trust established in 2006 by the Securities and Exchange Board of India (SEBI), the regulator of the securities markets in India. he institute carries out a wide range of capacity building activities at various levels aimed at enhancing the quality standards in securities markets. The institute’s six schools of excellence work in synergy towards professionalized securities markets.
The Six Schools of Excellence:
School for Securities Education (SSE)
School for Certification of Intermediaries (SCI)
School for Regulatory Studies and Supervision (SRSS)
School for Investor Education and Financial Literacy (SIEFL)
School for Corporate Governance (SCG)
School for Securities Information and Research (SSIR)