Securities Intermediaries Compliance (Non - Fund) (NISM Certification Examination Work Book (III - A))

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Description
This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination Securities Intermediaries Compliance (Non-Fund). NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination seeks to create a common minimum knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI as Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.
The book covers financial and regulatory structure in India, the different regulations which the intermediaries should be aware of, specific rules and regulations governing the Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. It also focuses on the importance of compliance activity and the scope and role of the compliance officer in the Indian securities market
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Table of Contents
Part A – Understanding Financial Structure in India
1.  Introduction to the Financial System
2. Regulatory Framework
3. Introduction to Compliance
4.  Securities and Exchange Board of India Act, 1992 –
5. Securities Contracts Regulation
6. SEBI (Intermediaries) Regulations, 2008
7. SEBI (Prohibition of Insider Trading) Regulations, 2015
8. Prevention of Fraudulent and Unfair Trade Practices
9. Prevention of Money Laundering Act, 2002
10. SEBI (KYC Registration Agency) Regulations, 2011
Part B – Understanding Intermediary-Specific Regulations
11. SEBI (Foreign Portfolio Investors) Regulations, 2019
12. SEBI (Stock Brokers) Regulations, 1992
13. SEBI (Merchant Bankers) Regulations, 1992
14. SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018
15. Depositories Act, 1996
16. SEBI (Depositories and Participants) Regulations, 2018
17. SEBI (Registrar to an Issue and Share Transfer Agents) Regulations, 1993
18. SEBI (Research Analyst) Regulations, 2014
19. SEBI (Investment Advisers) Regulations, 2013
20. SEBI (Debenture Trustees) Regulations, 1993
21. SEBI (Credit Rating Agencies) Regulations, 1999
22. SEBI (Custodian) Regulations, 1996
23. Proxy Advisors