Description
Description
This book aims to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in:
- Dealing or interacting with clients
- Dealing with securities of clients
- Handling redressal of investor grievances
- Internal control or risk management
- Activities having a bearing on operational risk
- Maintenance of books and records pertaining to the above activities.
This book will be immensely useful to all those who want to learn about the functions of Depositories and Depositories Participants.
This book explains the following topics:
- Know the basics of the Indian securities market and the depository system, the need for depository and the key features of the depository system in India
- Understand the institutional structure of the depository system in India and the business partners of a depository
- Understand the regulatory framework in which the depositories and its DPs function, their eligibility criteria, registration procedure, rights and obligations etc.
- Know the various functions of the Depository and its Depository Participants (DPs) such as dematerialisation, trading and settlement, pledging and hypothecation
- Understand how a demat account is opened, documents required to open an account and significance of Power of Attorney (POA).
The Present Publication is the October 2019 workbook version, published exclusively by Taxmann for NISM Certification Examination VI | Depository Operations, with the following contents:
- Introduction to the Indian Capital Market
- Introduction to Depository
- Depository and its Business Partners
- Functions of Depository Participant – Account Opening
- Functions of Depository Participant – Account Operations
- Functions of Depository Participant – Transmission and Nomination
- Functions of Depository Participant – Dematerialisation
- Functions of Depository Participant – Trading and Settlement
- Special Services – Pledge & Hypothecation
- Special Services – Public Offering/Corporate Actions
- Special Services – Debt Instruments & Government Securities
Author: NISM
Publisher: Taxmann Publications
ISBN-13: 9.78939E+12
Language: ENGLISH
Binding: PAPERBACK
No. Of Pages: 224
Country of Origin: India
International Shipping: Yes
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