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NISM Internal Auditors for Stock Brokers Workbook

410.00

The book covers the various operations of stock brokers, regulatory framework under which the stock brokers perform their various activities and various compliance and reporting requirements from audit perspective.

About NISM Internal Auditors for Stock Brokers Workbook:

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Internal Auditors for Stock Brokers. NISM Series XIV: Internal Auditors for Stock Brokers Certification Examination seeks to create a common minimum knowledge benchmark for Independent Chartered Accountants, Company Secretaries and Management Accountants, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members.

The NISM Internal Auditors workbook covers the various operations of stock brokers, regulatory framework under which the stock brokers perform their various activities and various compliance and reporting requirements from audit perspective.

The key features of this book are as follows:

The Present Publication of the workbook version, published exclusively by Taxmann for NISM Series XIV Internal Auditors for Stock Brokers Certification Examination, with the following contents:

  • Introduction to Internal Audit
  • Understand the financial system and the regulatory framework
  • SEBI Act, SCRA and SCRR
  • SEBI (Prohibition of Insider Trading) Regulations
  • SEBI (Fraudulent and Unfair Trade Practices) Regulations
  • The Prevention of Money Laundering Act, 2002 (PMLA)
  • SEBI Stock Brokers and Sub-Brokers Regulations
  • Introduction to Stock Broking Operations
  • Risk Management
  • Clearing and Settlement Process
  • Investor Grievance Redressal

Coverage of this book includes:

  • Introduction to Internal Audit
  • Understand the financial system and the regulatory framework
  • SEBI Act, SCRA and SCRR
  • SEBI (Prohibition of Insider Trading) Regulations
  • SEBI (Fraudulent and Unfair Trade Practices) Regulations
  • The Prevention of Money Laundering Act, 2002 (PMLA)
  • SEBI Stock Brokers Regulations
  • Introduction to Stock Broking Operations
  • Risk Management
  • Clearing and Settlement Process
  • Investor Grievance Redressal
  • Forensic Audit

All the above topics are thoroughly covered in the NISM Internal Auditors Workbook (NISM Series XIV Internal Auditors for Stock Brokers Workbook). Order Now.

Or, if you wish to download a soft copy of the NISM Internal Auditors Workbook, please visit our NISM Workbooks section. Free Download NISM Internal Auditors for Stock Brokers Workbook PDF

To download all NISM Study Material in PDF format, visit our NISM Study Material section.

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 XIV Internal Auditors for Stock Brokers Workbook now and get guaranteed delivery in 72 hours*

Publication Details:

Edition: Workbook Version June 2020 Edition
Date of Publication: August 2021
No. of Pages: 360
Weight (Kgs) : 0.385
ISBN: 9789390712243
Publication: Taxmann

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

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Weight0.385 kg

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