This workbook has been developed to assist candidates in preparing for
the National Institute of Securities Markets (NISM) Certification Examination Issuers
Compliance. NISM-Series-III-B: Issuers Compliance
Certification Examination seeks to create a common minimum knowledge
benchmark for Compliance Officers of listed companies and also companies which
are proposed to be listed on the stock exchanges.
The book covers the role and responsibilities of a Compliance
officer of a listed company; discusses
the various avenues for raising funds from the Indian and global
market and the various compliance requirements for the same and discusses laws
and regulations that need to be adhered to by a public company with respect to
issues, corporate actions, and day to day compliance requirements and the
penalties for non-compliance.