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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-Mutual Fund. NISM- Series-11-B: Registrars to an issue and Share Transfer Agents-Mutual Fund Certification Examination create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations in the mutual fund R&T function, in order to enable better quality investor service, operational process efficiency and risk controls. The book covers basics of securities and securities markets role and functions of the RTAs in the mutual fund issuance and transaction process and the regulatory environment in which the RTAs operate in India.
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Table of Contents
Chapter 1 : Introduction to Securities
Chapter 2 : Characteristics of Equity Shares
Chapter 3 : Characteristics of Debt Securities
Chapter 4 : Characteristics of Other Securities
Chapter 5 : SEBI – Role and Functions
Chapter 6 : Basics of Registrars and Transfer Agents
Chapter 7 : Registrar and Transfer Agent Regulations
Chapter 8 : Basics of Mutual Funds
Chapter 9 : Mutual Fund Structure and Constituents
Chapter 10 : Mutual Fund Products
Chapter 11 : Operational Concepts of Mutual Funds
Chapter 12 : Investors in Mutual Funds
Chapter 13 : Banking Operations in Mutual Funds
Chapter 14 : Financial Transactions
Chapter 15 : Non-Financial 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.