NISM Securities Intermediaries Compliance (Non-Fund) Workbook

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The book covers all important topics to impart basic knowledge of the mutual funds, their role and structure, various types of mutual fund schemes and their features, distribution of mutual funds, evaluation of specified schemes and rules and regulations related to distribution of specified products. It also covers basics of financial planning as an approach to investing in mutual funds and ways of recommending suitable schemes by this cadre of distributors to prospective investors.
Description
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-III-A: 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 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.

Edition: 2015
Date of Publication: September 2015
No. of Pages: 288
Weight (Kgs) : 0.36
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