Securities Operations And Risk Management NISM (9789392211287)

Description

Description

Securities Operations and Risk Management covers all important aspects related to the stockbroking operations, starting from the following:

• Client On-Boarding
• 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 March 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features:

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

 

---

Author: NISM
Publisher: NISM
ISBN-13: 9.78939E+12
Language: ENGLISH
Binding: PAPERBACK
No. Of Pages: 210
Country of Origin: India