Description
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