Taxmann Securities Operations and Risk Management By National Institute of Securities Markets Edition October 2022

Taxmann Securities Operations and Risk Management By NISM

Taxmann Securities Operations and Risk Management By NISM

This book covers all important aspects related to stockbroking operations, starting from the following:

• Client Onboarding
• Trade Life Cycle
• Compliance Requirements related to Report Submission
• Redressal of Investor Grievances

This book will be helpful for those who want to learn about the various functions of a broker’s operations and risk management in the securities market.

The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features:

• Know the following in detail:
  • [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
  • [Various Functions] of the Front Office, Middle Office and Back Office in a Securities Broking Firm
• Understanding of the following:
  • [Regulatory Framework] and the role of the Securities Exchange Board of India
  • [Trade Life Cycle], the steps and participants involved in the trade life cycle
  • [How the Risks are Managed] in a securities broking firm, the clearing and settlement process
  • [Various Procedures] for redressal of investor grievances.

The contents of the book are as follows:

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

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.