Description
Taxmann Securities Operations And Risk Management 2021 Edition by NISM
·
Client
On-Boarding·
Trade Life
Cycle
·
Compliance
Requirements related to Report Submission
·
Redressal
of Investor Grievances
This book will be helpful for
those who want to learn about the various functions of a broker’s operations
and risk management in the securities market.
The Present Publication is the
March 2021 workbook version, published exclusively by Taxmann for NISM
Certification Examination VII [Securities Operations and Risk Management], with
the following noteworthy features:
·
[Know
the Basics of the Indian Securities Market], the different products traded
and the various market participants and the respective roles they play in the
Indian securities market
·
[Understand
the Regulatory Framework] and the role of the Securities Exchange Board of
India
·
[Understand
the Trade Life Cycle], the steps and participants involved in the trade
life cycle
·
[Know
the Various Functions] of the Front Office, Middle Office and Back Office
in a Securities Broking Firm
·
[Understand
How the Risks are Managed] in a securities broking firm, the clearing and
settlement process
·
[Understand
the Various Procedures] for redressal of investor grievances.
The contents of the book are as
follows:
·
Introduction
to Securities Markets
·
Market
Participants in the Securities Market
·
Introduction
to Securities Broking Operations
·
Risk
Management
·
Clearing
Process
·
Settlement
Process
·
Investor
Grievances and Arbitration
·
Other
Services Provided by Brokers
About NISM Certifications:
NISM is a leading provider of
high-end professional education, certifications, training and research in
financial markets. NISM Certification programs aim to enhance the quality and
standards of professionals employees in various segments of financial services
sector. NISM’s School of Certification of Intermediaries (SCI) develops and
conducts certification examinations and Continuous Professional Education (CPE)
programs that aim to ensure that professional meet the defined minimum common
knowledge benchmark for various critical market functions like:
·
Mutual
Funds
·
Equities
·
Derivatives
·
Securities
Operations
·
Compliance
·
Research
Analysis
·
Investment
Advice
These Certifications and CPE
Programs are being developed and administered by NISM as mandated under
‘Securities and Exchange Board of India (Certification of Associated Persons in
the Securities Market) Regulations, 2007’. The Certifications creates quality
market professionals and catalyzes greater investor participating in the
markets. Certifications also provides structured career paths to students and
job aspirants in the securities market.
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Securities Operations and Risk
Management covers all important aspects related to the stockbroking
operations, starting from the following:
·
Client
On-Boarding
·
Trade Life
Cycle
·
Compliance
Requirements related to Report Submission
·
Redressal
of Investor Grievances
This book will be helpful for
those who want to learn about the various functions of a broker’s operations
and risk management in the securities market.
The Present Publication is the
March 2021 workbook version, published exclusively by Taxmann for NISM
Certification Examination VII [Securities Operations and Risk Management], with
the following noteworthy features:
·
[Know
the Basics of the Indian Securities Market], the different products traded
and the various market participants and the respective roles they play in the
Indian securities market
·
[Understand
the Regulatory Framework] and the role of the Securities Exchange Board of
India
·
[Understand
the Trade Life Cycle], the steps and participants involved in the trade
life cycle
·
[Know
the Various Functions] of the Front Office, Middle Office and Back Office
in a Securities Broking Firm
·
[Understand
How the Risks are Managed] in a securities broking firm, the clearing and
settlement process
·
[Understand
the Various Procedures] for redressal of investor grievances.
The contents of the book are as
follows:
·
Introduction
to Securities Markets
·
Market
Participants in the Securities Market
·
Introduction
to Securities Broking Operations
·
Risk
Management
·
Clearing
Process
·
Settlement
Process
·
Investor
Grievances and Arbitration
·
Other
Services Provided by Brokers
About NISM Certifications:
NISM is a leading provider of
high-end professional education, certifications, training and research in
financial markets. NISM Certification programs aim to enhance the quality and
standards of professionals employees in various segments of financial services
sector. NISM’s School of Certification of Intermediaries (SCI) develops and
conducts certification examinations and Continuous Professional Education (CPE)
programs that aim to ensure that professional meet the defined minimum common
knowledge benchmark for various critical market functions like:
·
Mutual
Funds
·
Equities
·
Derivatives
·
Securities
Operations
·
Compliance
·
Research
Analysis
·
Investment
Advice
These Certifications and CPE
Programs are being developed and administered by NISM as mandated under
‘Securities and Exchange Board of India (Certification of Associated Persons in
the Securities Market) Regulations, 2007’. The Certifications creates quality
market professionals and catalyzes greater investor participating in the
markets. Certifications also provides structured career paths to students and
job aspirants in the securities market.