Securities Intermediaries Compliance (Non-Fund)

Securities Intermediaries Compliance (Non-Fund)
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Securities Intermediaries Compliance (Non-Fund)

Description

This book aims to create a common minimum knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI, including:

  • Stockbrokers
  • Depository Participants
  • Merchant Bankers
  • Underwriters
  • Bankers to the Issue
  • Debenture Trustees
  • Credit Rating Agencies.

This book covers all important regulations related to the securities markets including the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, etc. This book is a compendium of the important regulations, which the Compliance Officers working with various intermediaries in the securities markets refers to. The key objectives of this book are as follows:

  • Understand the financial structure in India; know the financial intermediaries and the types of products available in the Indian market.
  • Understand the regulatory framework and the role of the various regulators in the financial system.
  • Understand the importance of compliance activity and the scope and role of the compliance officer in the Indian securities market.
  • Understand the various regulations and rules of the Indian securities market.
  • Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.

The Present Publication is the April 2020 workbook version, published exclusively by Taxmann for NISM Certification Examination III-A | Securities Intermediaries Compliance (Non-Fund), with the following contents:

  • Understanding Financial Structure in India
    • Introduction to the Financial System
    • Regulatory Framework – General View
    • Introduction to Compliance
    • Securities Exchange Board of India Act, 1992
    • Securities Contracts (Regulation) Act, 1956 & Securities Contract (Regulation) Rules, 1957
    • SEBI (Intermediaries) Regulations, 2008
    • SEBI (Prohibition of Insider Trading) Regulations, 2015
    • SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003
    • Prevention of Money Laundering Act, 2002
    • SEBI (KYC Registration Agency) Regulations, 2011
  • Understanding Intermediary Specific Regulations
    • SEBI (Foreign Portfolio Investors) Regulations, 2019
    • SEBI (Stock Brokers) Regulations, 1992
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About the author

National Institute of Securities Markets | An Educational Initiative of SEBI

NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of financial services sector. NISM’s School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professional meet the defined minimum common knowledge benchmark for various critical market functions like:

  • Mutual Funds
  • Equities
  • Derivatives
  • Securities Operations
  • Compliance
  • Research Analysis
  • Investment Advice

These Certifications and CPE Programs are being developed and administered by NISM as mandated under ‘Securities and Exchange Board of India (Certification of Associated Persons in the Securities Market) Regulations, 2007’. The Certifications creates quality market professionals and catalyzes greater investor participating in the markets. Certifications also provides structured career paths to students and job aspirants in the securities market.

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  • Views: 986
  • Author: NiSM-Taxmann publications
  • Product Code: NISM 10
  • HSN Code: 4109
  • Publication Year: 2020
  • Publication Date:
  • Availability: In Stock
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  • Rs. 515
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