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NISM RTA Corporate Workbook

330.00

The book covers basics of securities and securities markets role and functions of the Registrar and Share Transfer Agents in the corporate securities issuance and transaction process and the regulatory environment in which the R&T Agents (RTA) operate in India.

About NISM RTA Corporate Workbook:

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets – NISM RTA Corporate Certification Examination.

NISM Series IIA: Registrar and Share Transfer Agents – Corporate (RTA Corporate) Certification Examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies:

(a) dealing or interacting with the investors or issuers;

(b) dealing, collecting or processing applications from the applicants;

(c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc;

(d) handling redressal of investors’ grievances;

(e) responsible for internal control and risk management;

(f) responsible for any compliance of securities laws;

(g) responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.

The book covers basics of securities and securities markets role and functions of the R&T Agents in the corporate securities issuance and transaction process and the regulatory environment in which the R&T Agents operate in India.

Order Now! Buy NISM Series IIA : Registrars to an Issue and Share Transfer Agents (Corporate) Workbook (RTA-Corporate Workbook) now and get guaranteed delivery in 72 hours*

The key features of this book are as follows:

  1. Introduction to Securities
  2. Characteristics of Equity Shares
  3. Characteristics of Debt Securities
  4. Characteristics of Other Securities
  5. Basics of Mutual Funds
  6. SEBI – Role and Regulations
  7. Public Offer of Securities
  8. Modes of allotment of shares other than Public Offers
  9. Processes related to Public Offering of Shares
  10. Roles and Responsibilities in a Public Issue
  11. Depository Services
  12. Processes Related to Depositories
  13. Investor Interface with the R&T Agent
  14. Secondary Market Transactions
  15. Client Servicing

All the above topics are thoroughly covered in the NISM RTA Corporate Workbook. Order Now.

Or, if you wish to download a soft copy of the NISM RTA Corporate Workbook, please visit our NISM Workbooks section. Free Download NISM RTA Corporate 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 National Institute of Securities Markets (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 II: RTA Corporate Workbook now and get guaranteed delivery in 72 hours*

Publication Details:

Edition: 2019 Edition
Date of Publication: April 2019
No. of Pages: 180
Weight (Kgs) : 0.225
ISBN: 9789388983242
Publication: Taxmann

*Guaranteed 72 hrs delivery is available only in major cities in India. Our shipping partners are BlueDart, FedEx and Speed Post.

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Tags: nism series iia registrar and share transfer agents corporate workbook, nism series iia workbook, nism rta corporate workbook

Weight0.225 kg

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