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Description
This workbook has been developed to assist candidates in preparing for the NISME 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&TAgents operate in India.
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Table of Contents
o Chapter 1 : Introduction to Securities
o Chapter 2 : Characteristics of Equity Shares
o Chapter 3 : Other Securities
o Chapter 4 : Debt Securities
o Chapter 5 : Mutual Funds
o Chapter 6 : SEBI – Role and Regulation
o Chapter 7 : Public Offer of Securities
o Chapter 8 : Private Placement of Shares
o Chapter 9 : Public Offering of Shares
o Chapter 10 : Roles and Responsibilities in a Public Issue
o Chapter 11 : Depository Services
o Chapter 12 : Processes Related to Depositories
o Chapter 13 : Investor Interface with the R&T Agent
o Chapter 14 : Secondary Market Transactions
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Author Details
National Institute of Securities Markets | An Educational Initiative of SEBI NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of financial services sector. NISMs School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professional meet the defined minimum common knowledge benchmark for various critical market functions like:
Mutual Funds
Equities
Derivatives
Securities Operations
Compliance
Research Analysis
Investment Advice
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.