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NISM (National Institute of Securities Markets)

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  1. nism-depository-operations-9789350717615-by-nism nism-depository-operations-9789350717615-by-nism

    Nism : Depository Operations (9789350717615) BY NISM

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    Nism : Depository Operations (9789350717615) By - NISM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Depository Operations. NISM-Series-VI: Depository Operations Certification Examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in (a) dealing or interacting with clients; (b) dealing with securities of clients; (c) handling redressal of investor grievances; (d) internal control or risk management; (e) activities having a bearing on operational risk; (f) maintenance of books and records pertaining to the above activities. The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India. Learn More
  2. nism-securities-intermediaries-compliance-non-fund-9789350717547-by-nism nism-securities-intermediaries-compliance-non-fund-9789350717547-by-nism

    NiSM : Securities Intermediaries Compliance (Non-Fund) 9789350717547 BY NiSM

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    NiSM : Securities Intermediaries Compliance (Non-Fund) 9789350717547 By - NiSM 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. Learn More
  3. nism-equity-sales-9789350717783-by-nism nism-equity-sales-9789350717783-by-nism

    NiSM : Equity Sales (9789350717783) by NiSM

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    NiSM : Equity Sales (9789350717783) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Equity Sales Certification Examination. NISM-Series-XI: Equity Sales Certification Examination seeks to create common minimum knowledge benchmark for all persons involved in the sale of equity products in order to enable a better understanding of equity markets, better quality investor service, operational process efficiency and risk controls. The book covers basics of the Indian equity markets, risk, return and taxation aspects of equity, clearing, settlement and risk management as well as the regulatory environment in which the equity markets operate in India. Learn More
  4. nism-registrars-to-an-issue-and-share-transfer-agents-corporate-9789350717622-by-nism nism-registrars-to-an-issue-and-share-transfer-agents-corporate-9789350717622-by-nism

    NiSM : Registrars to an Issue and Share Transfer Agents - Corporate (9789350717622) BY NiSM

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    NiSM : Registrars to an Issue and Share Transfer Agents - Corporate (9789350717622) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Registrars to an Issue and Share Transfer Agents-Corporate. NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: (a) dealing or interacting with the investors or issuers; (b) dealing, collecting or processing applications from the applicants; (c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; (d) handling redressal of investors’ grievances; (e) responsible for internal control and risk management; (f) responsible for any compliance of securities laws; (g) responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993. The book covers basics of securities and securities markets role and functions of the R&T Agents in the corporate securities issuance and transaction process and the regulatory environment in which the R&T Agents operate in India. Learn More
  5. nism-research-analyst-9789350717578-by-nism nism-research-analyst-9789350717578-by-nism

    NiSM : Research Analyst (9789350717578) BY NiSM

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    NiSM : Research Analyst (9789350717578) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Research Analyst. NISM-Series-XV: Research Analyst Certification Examination seeks to create a common minimum knowledge benchmark for all associated persons registered as Research Analyst under SEBI (Research Analyst) Regulations, 2014, individuals employed as research analyst and partners of a Research Analyst. The book covers all important topics required to perform research on companies. These include the basics of Indian Securities Markets, various terminologies used in the equity and debt markets; top down and bottom up approach to fundamental research; basic principles for micro and macro-economic analysis and key industry drivers; qualitative and quantitative dimensions with respect to Company Analysis; Fundamentals of Risk and Return; Valuation Principles and the philosophy of various Corporate Actions. The book also covers the essential aspects of writing a good research report. Learn More
  6. nism-interest-rate-derivatives-9789350717790-by-nism nism-interest-rate-derivatives-9789350717790-by-nism

    NiSM : Interest Rate Derivatives (9789350717790) BY NiSM

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    NiSM : Interest Rate Derivatives (9789350717790) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Interest Rate Derivatives Certification Examination. NISM-Series-IV: Interest Rate Derivatives Certification Examination seeks to create a common minimum knowledge benchmark for the approved users and sales personnel of the ’Trading Members’ who are registered as such in the Currency Derivatives Segment of a recognized stock exchange and trading in Interest Rate Derivatives. The book covers basics of the interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management as well as the regulatory environment in which the interest rate derivatives markets operate in India. Learn More
  7. nism-internal-auditors-for-stock-brokers-9789350717585-by-nism nism-internal-auditors-for-stock-brokers-9789350717585-by-nism

    NiSM : Internal Auditors For Stock Brokers (9789350717585) BY NiSM

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    NiSM : Internal Auditors For Stock Brokers (9789350717585) By - NiSM 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 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. Learn More
  8. nism-equity-derivatives-9789350717776-by-nism nism-equity-derivatives-9789350717776-by-nism

    NiSM : Equity Derivatives (9789350717776) BY NiSM

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    NiSM : Equity Derivatives (9789350717776) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Equity Derivatives Certification Examination. NISM-Series-VIII: Equity Derivatives Certification Examination seeks to create common minimum knowledge benchmark for associated persons functioning as approved users and sales personnel of the trading member of an equity derivatives exchange or equity derivative segment of a recognized stock exchange. The book covers basics of the equity derivatives, trading strategies using equity futures and equity options, clearing, settlement and risk management as well as the regulatory environment in which the equity derivatives markets operate in India. Learn More
  9. nism-securities-markets-foundation-9789350717660-by-nism nism-securities-markets-foundation-9789350717660-by-nism

    NiSM : Securities Markets Foundation (9789350717660) BY NiSM

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    NiSM : Securities Markets Foundation (9789350717660) By - NiSM This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Securities Markets Foundation. NISM-Series-XII: Securities Markets Foundation Certification Examination is for entry level professionals, who wish to make a career in the securities markets. The book covers all important topics to impart basic knowledge of the Indian securities markets to the participants and the related rules and regulations. These include the basics of the Indian Securities Markets, processes involved in Primary and Secondary Markets and the schemes and products in Mutual Funds and Derivatives Markets in India. The book also covers the essential steps in financial planning process. Learn More
  10. nism-securities-operations-and-risk-management-9789350717677-by-nism nism-securities-operations-and-risk-management-9789350717677-by-nism

    NiSM : Securities Operations and Risk Management (9789350717677) BY NiSM

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    Regular Price: ₹250.00

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    NiSM : Securities Operations and Risk Management (9789350717677) By - NiSM 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 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. Learn More

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