Securities Operations and Risk Management-NiSM-TAXMANN

This book aims to create a common minimum knowledge benchmark for all associated persons of a registered stockbroker/trading member/clearing member in recognized stock exchanges involved in

• Assets or Funds of Investors or Clients
• Redressal of Investor Grievances
• Internal Control or Risk Management
• Activities having a Bearing on Operational Risk

The key features of this book are as follows:

• Know the basics of the Indian securities market, the different products traded and the various market participants & the respective roles they play in the Indian securities market
• Understand the regulatory framework and role of Securities Exchange Board of India (‘SEBI’)
• Understand the trade life cycle, the steps and participants involved in trade life cycle
• Know the various functions of Front Office, Middle Office and Back Office in Securities Broking Firms
• Understand how the risks are managed in securities broking firm, the clearing and settlement process
• Understand the various procedures for redressal of investor grievances
• Coverage of this book includes:
• Introduction to the Securities Market
• Market Participants in the Securities Market
• Introduction to Securities Broking Operations
• Risk Management
• Settlement Process
• Investor Grievances and Arbitration
• Other Services Provided by Brokers