Home > Business & Economics > Finance & accounting > Finance > Investment & securities > NISM's Securities Intermediaries Compliance (Non�Fund) | Examination Workbook III-A | Workbook Version � April 2020 | An Educational Initiative of SEBI [Paperback] NISM (An Educational Initiative of SEBI)
NISM's Securities Intermediaries Compliance (Non�Fund) | Examination Workbook III-A | Workbook Version � April 2020 | An Educational Initiative of SEBI [Paperback] NISM (An Educational Initiative of SEBI)

NISM's Securities Intermediaries Compliance (Non�Fund) | Examination Workbook III-A | Workbook Version � April 2020 | An Educational Initiative of SEBI [Paperback] NISM (An Educational Initiative of SEBI)

          
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About the Book

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. 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.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 > About the Author National Institute of Securities Markets (NISM) is an educational institution established by the Securities and Exchange Board of India (SEBI), the securities market regulator, in 2006. The Institute was established in pursuant to the Union Finance Minister’s proposal, in his 2005-06 Budget Speech, to set up an institution ’for teaching and training intermediaries in the securities markets and promoting research’. NISM is committed to its vision to lead, catalyze and deliver educational initiatives to enhance the quality of securities markets’. The Institute conducts a wide range of capacity building programmes in securities markets from basic financial literacy to full-time post-graduation programmes. The Institute’s six Schools of Excellence, viz., School for Certification of Intermediaries, School for Securities Education, School for Investor Education and Financial Literacy, School for Regulatory Studies and Supervision, School for Corporate Governance and School for Securities Information and Research upholds NISM’s vision and works in synergy towards professionalizing the markets. . NISM is mandated by SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007 to conduct certification examinations and continuing professional education programs for associated persons engaged by an intermediary. NISM also conducts certification examinations for other regulators like IBBI and PFRDA. NISM’s certifications establish a single market-wide knowledge benchmark for different functions in the Indian securities market and enable the associated persons to advance their knowledge and skills.


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Product Details
  • ISBN-13: 9789390831531
  • Publisher: Taxmann
  • Binding: Paperback
  • Height: 254 mm
  • No of Pages: 448
  • Width: 25 mm
  • ISBN-10: 9390831539
  • Publisher Date: 04 Apr 2021
  • Edition: Workbook Version - April 2020
  • Language: English
  • Weight: 555 gr


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NISM's Securities Intermediaries Compliance (Non�Fund) | Examination Workbook III-A | Workbook Version � April 2020 | An Educational Initiative of SEBI [Paperback] NISM (An Educational Initiative of SEBI)
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NISM's Securities Intermediaries Compliance (Non�Fund) | Examination Workbook III-A | Workbook Version � April 2020 | An Educational Initiative of SEBI [Paperback] NISM (An Educational Initiative of SEBI)

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