Taxmann: Internal Auditors For Stock Brokers (XIV) By NISM (9789390712243)

Description

Internal Auditors for Stock Brokers seeks to create a common minimum knowledge benchmark for the following persons and/or its employees or partners, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members or Sign the Internal Audit Report (as per SEBI Circular No. MRD/DMS/Cir-29/2008 dated October 21, 2008)

• Chartered Accountants
• Company Secretaries
• Cost and Management Accountants

This book covers knowledge competencies that are related to audit functions of stockbrokers, including:

• Regulatory Structure & Operational Knowledge
• The Risk Management Practices
• The Clearing and Settlement Process for a trade executed in the secondary market

The Present Publication is the June 2020 workbook version, published exclusively by Taxmann for NISM Certification Examination XIV [Internal Auditors for Stock Brokers], with the following noteworthy features:

• [Know Regulatory Framework] under which the stock brokers perform their various activities
• [Understand the Various Operations] performed by the Stockbrokers
• [Understand the Various Compliances] and reporting requirements from an audit perspective

The detailed contents of the book are as follows:

• Introduction to Internal Audit
• Financial System and Regulatory Framework
• SEBI Act, 1992; SCRA, 1956; SCRR, 1956
• SEBI (Prohibition of Insider Trading) Regulations, 2015
• SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003
• The Prevention of Money Laundering Act, 2002 (PMLA)
• SEBI (Stock Brokers) Regulations, 1992
• Introduction to Stock Broking Operations
• Risk Management
• Clearing and Settlement Process
• Investor Grievance Redressal
• Forensic Audit

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