Securities Intermediaries Compliance (Non-Fund) NISM BOOK- TAXMAN PUBLICATION
Description
This book is a comprehensive guide covering all significant regulations pertinent to the securities markets, encompassing the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, and more.
It seeks to create a common minimum knowledge benchmark for persons engaged in the compliance function with any intermediary registered with SEBI, such as:
- Stock Broker
- Depository Participant
- Merchant Bankers
- Underwriters
- Bankers to the Issue
- Debenture Trustee
- Credit Rating Agencies
This book is an invaluable resource for anyone involved in the compliance sector of the securities markets, offering in-depth knowledge and a comprehensive overview of the regulatory landscape.
The Present Publication is the January 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination III-A [Securities Intermediaries Compliance (Non-Fund)]. This book is divided into two parts:
- [Financial and Regulatory Structure in India] is dealt with in Part A
- [
