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NISM Securities Intermediaries Compliance Non-Fund Workbook

515.00

The NISM SIC Non-Fund Workbook covers financial and regulatory structure in India, the different regulations which the intermediaries should be aware, specific rules and regulations governing the Stock Brokers, Sub-Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. It also focuses on the importance of compliance activity and the scope and role of the compliance officer in the Indian securities market.

About NISM Securities Intermediaries Compliance Non-Fund Workbook:

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination Securities Intermediaries Compliance (Non-Fund). NISM Series IIIA: Securities Intermediaries Compliance (Non-Fund) Certification Examination seeks to create a common minimum knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI as Stock Brokers, Sub-Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.

The book covers financial and regulatory structure in India, the different regulations which the intermediaries should be aware, specific rules and regulations governing various entities mentioned below.

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

It also focuses on the importance of compliance activity and the scope and role of the compliance officer in the Indian securities market.

The key features of this book are as follows:

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.

Coverage of this book includes:

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

All the above topics are thoroughly covered in the NISM Securities Intermediaries Compliance Non-Fund Workbook (NISM SIC Non-Fund Workbook). Order Now.

Or, if you wish to download a soft copy of the NISM Securities Intermediaries Compliance Workbook (NISM SIC Non-Fund Workbook), please visit our NISM Workbooks section. Free Download NISM Securities Intermediaries 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 IIIA: Securities Intermediaries Compliance (Non-Fund) Workbook now and get guaranteed delivery in 72 hours*

Publication Details:

Edition: April 2020 Edition
Date of Publication: April 2021
No. of Pages: 448
Weight (Kgs) : 0.555
ISBN: 9789390831531
Publication: Taxmann

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

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Weight0.555 kg

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