This workbook has been developed to assist candidates in preparing for
the 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&T Agents operate in India.