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NISM Securities Operations and Risk Management Workbook

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The NISM Securities Operations and Risk Management workbook covers basics of the Indian securities market, the different products traded and the various market participants and the respective roles they play in the Indian securities market. It also deals with the trade life cycle (TLC), the steps and participants involved in the TLC, the functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm, the Risk management practices, clearing and settlement of trades.

About NISM Securities Operations and Risk Management Workbook:

The book covers basics of the Indian securities market, the different products traded and the various market participants and the respective roles they play in the Indian securities market. It also deals with the trade life cycle (TLC), the steps and participants involved in the TLC, the functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm, the Risk management practices, clearing and settlement of trades.

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Securities Operations and Risk Management. NISM-Series-VII: Securities Operations and Risk Management Certification Examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker/trading member/clearing member in recognized stock exchanges, involved in:
(a) assets or funds of investor or clients
(b) redressal of investor grievances
(c) internal control or risk management and
(d) activities having a bearing on operational risk.

The key features of this book are as follows:

The key features of this NISM Securities Operations and Risk Management workbook are as follows:

  • Know the basics of the Indian securities market, the different products traded and the various market participants & the respective roles they play in the Indian securities market
  • Understand the regulatory framework and role of Securities Exchange Board of India (‘SEBI’)
  • Understand the trade life cycle, the steps and participants involved in trade life cycle
  • Know the various functions of Front Office, Middle Office and Back Office in Securities Broking Firms
  • Understand how the risks are managed in securities broking firm, the clearing and settlement process
  • Understand the various procedures for redressal of investor grievances

Coverage of this book includes:

The Present Publication is the January 2024 workbook version, published exclusively by Taxmann for NISM Series VII Securities Operations and Risk Management Certification Examination, with the following contents:

  • Introduction to the Securities Market
  • Market Participants in the Securities Market
  • Introduction to Securities Broking Operations
  • Risk Management
  • Settlement Process
  • Investor Grievances and Arbitration
  • Other Services Provided by Brokers

All the above topics are thoroughly covered in the NISM Securities Operations and Risk Management Workbook (NISM Series VII Securities Operations and Risk Management Workbook). Order Now.

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

Publication Details:

Edition: 2024 Edition
Date of Publication: February 2024
No. of Pages: 298
Weight (Kgs) : 0.37
ISBN: 9789357785563
Publication: Taxmann

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

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Weight0.37 kg

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