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Taxmann’S Securities Operations And Risk Management at Meripustak

Taxmann’S Securities Operations And Risk Management by Nism, Taxmann Publications

Books from same Author: Nism

Books from same Publisher: Taxmann Publications

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  • General Information  
    PublisherTaxmann Publications
    Publish YearOctober 2022


    Taxmann Publications Taxmann’S Securities Operations And Risk Management by Nism

    This book covers all important aspects related to stockbroking operations, starting from the following:Client OnboardingTrade Life CycleCompliance Requirements related to Report SubmissionRedressal of Investor GrievancesThis 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 August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features:Know the following in detail:[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[Various Functions] of the Front Office, Middle Office and Back Office in a Securities Broking FirmUnderstanding of the following:[Regulatory Framework] and the role of the Securities Exchange Board of India[Trade Life Cycle], the steps and participants involved in the trade life cycle[How the Risks are Managed] in a securities broking firm, the clearing and settlement process[Various Procedures] for redressal of investor grievances.The contents of the book are as follows:Introduction to Securities MarketsMarket Participants in the Securities MarketIntroduction to Securities Broking OperationsRisk ManagementClearing ProcessSettlement ProcessInvestor Grievances and ArbitrationOther Services Provided by Brokers

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