Securities Operations and Risk Management -NISM BOOK
Description
This comprehensive book offers an in-depth analysis of the operational facets of stock brokerage, catering to individuals keen on mastering broker operations and risk management within the securities markets. It is structured to enhance understanding through a detailed examination of various critical areas, such as:
- Client Onboarding
- Trade Life Cycle
- Compliance Requirements Related to Report Submission
- Redressal of Investor Grievances
Upon completing this book, readers will gain a foundational understanding of the Indian securities market, including its products, participants, and the roles they play. The book aims to establish a minimum knowledge benchmark for associated persons of registered stock brokers, trading members, and clearing members, focusing on managing assets or funds, investor grievance redressal, internal control, risk management, and operational risk aspects.
The Present Publication is the January 2024 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 – Explores the basics of securities, the money market, products traded in the Indian securities market, and the concept of International Financial Services Centres (IFSC)
- Market Participants – Details the roles of investors, issuers, the market structure, participants, and regulators in the securities market
- Securities Trade Life Cycle – Offers insights into front office, middle office, and back office operations, outlining their functions and significance
