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NISM Depository Operations Workbook


The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India.

ISBN: 9789357781206 SKU: NISMDOWB Category: Tags: ,

About NISM Depository Operations Workbook:

The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India.

This NISM Depository Operations workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Depository Operations. NISM Series VI : Depository Operations Certification Examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in:
(a) dealing or interacting with clients;
(b) dealing with securities of clients;
(c) handling redressal of investor grievances;
(d) internal control or risk management;
(e) activities having a bearing on operational risk;
(f) maintenance of books and records pertaining to the above activities.

The key features of this book are as follows:

This book will be immensely useful to all those who want to learn about the functions of Depositories and Depositories Participants. This book explains the following topics:

  • Know the basics of the Indian securities market and the depository system, the need for depository and the key features of the depository system in India
  • Understand the institutional structure of the depository system in India and the business partners of a depository
  • Understand the regulatory framework in which the depositories and its DPs function, their eligibility criteria, registration procedure, rights and obligations etc.
  • Know the various functions of the Depository and its Depository Participants (DPs) such as dematerialization, trading and settlement, pledging and hypothecation
  • Understand how a demat account is opened, documents required to open an account and significance of Power of Attorney (POA).

Coverage of this book includes:

The Present Publication is the October 2019 workbook version, published exclusively by Taxmann for NISM Certification Examination VI | Depository Operations, with the following contents:

  • Introduction to the Indian Capital Market
  • Introduction to Depository
  • Depository and its Business Partners
  • Functions of Depository Participant – Account Opening
  • Functions of Depository Participant – Account Operations
  • Functions of Depository Participant – Transmission and Nomination
  • Functions of Depository Participant – Dematerialization
  • Functions of Depository Participant – Trading and Settlement
  • Special Services – Pledge & Hypothecation
  • Special Services – Public Offering/Corporate Actions
  • Special Services – Debt Instruments & Government Securities

All the above topics are thoroughly covered in the NISM Depository Operations Workbook (NISM Series VI Depository Operations Workbook). Order Now.

Or, if you wish to download a soft copy of the NISM Depository Operations Workbook, please visit our NISM Workbooks section. Free Download NISM Depository Operations Workbook PDF

About NISM Certifications:

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.

For more details about NISM Certifications, visit the official NISM website.

Order Now! Buy NISM Series VI: Depository Operations Workbook now and get guaranteed delivery in 72 hours*

Publication Details:

Edition: December 2022 Edition
Date of Publication: June 2023
No. of Pages: 280
Weight (Kgs) : 0.335
ISBN No.: 9789357781206

Publication: Taxmann

*Guaranteed 72 hrs delivery is available only in major cities in India.

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Weight0.335 kg


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