Please Enable JavaScript in your Browser to visit this site

NISM Issuers Compliance Workbook

330.00

The book covers the role and responsibilities of a Compliance officer of a listed company; discusses the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same and discusses laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements and the penalties for non-compliance.

About NISM Issuers Compliance Workbook:

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination Issuers Compliance. NISM Series IIIB Issuers Compliance Certification Examination seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and also companies which are proposed to be listed on the stock exchanges.

The book covers the role and responsibilities of a Compliance officer of a listed company; discusses the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same and discusses laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements and the penalties for non-compliance.

The key features of this book are as follows:

The key objectives of the NISM Issuers Compliance Workbook are as follows:

    • Understand the role and responsibilities of a Compliance officer of a listed company
    • Understand the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same
    • Understand the laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day-to-day compliance requirements.
    • Understand the various penalties for non-compliance with regulations and requirements as specified in various Regulations

Coverage of this book includes:

The Present Publication is the November 2019 workbook version, published exclusively by Taxmann for NISM Series IIIB Issuers Compliance Certification Examination with the following contents:

  • Introduction to Indian Capital Market
  • Capital Market Regulations
  • Compliance Officer
  • Raising Capital from the market
  • Role of Compliance Officer in a Public Issue
  • Role of Compliance Officer in other Issues
  • Raising money from foreign market
  • Corporate Actions
  • Ongoing Compliance Requirements
  • Ethical Practices by Compliance Officers
  • Penalties

All the above topics are thoroughly covered in the NISM Issuers Compliance Workbook (NISM Series IIIB Issuers Compliance Workbook). Order Now.

Or, if you wish to download a soft copy of the NISM Issuers Compliance Workbook, please visit our NISM Workbooks section. Free Download NISM Issuers Compliance 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 IIIB: Issuers Compliance Workbook now and get guaranteed delivery in 72 hours*

Publication Details:

Edition: July 2019 Edition
Date of Publication: November 2019
No. of Pages: 280
Weight (Kgs) : 0.345
ISBN: 9789389368956
Publication: Taxmann

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

To Buy Now, click the “Add to Cart” button above.

Weight0.345 kg

Reviews

There are no reviews yet.

Be the first to review “NISM Issuers Compliance Workbook”
Shopping Cart
Scroll to Top

Log in

Or Register