Securities Operations And Risk Management

National Institute of Securities Markets Certification Examination Workbook VII
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This book aims to create a common minimum knowledge benchmark for all associated persons of a registered stock-broker/trading member/clearing member in recognized stock exchanges involved in

·      Assets or Funds of Investors or Clients

·      Redressal of Investor Grievances

·      Internal Control or Risk Management

·      Activities having a Bearing on Operational Risk

The key features of this book are as follows:

·      Know the basics of the Indian securities market, the different products traded and the various market participants & the respective roles they play in the Indian securities market

·      Understand the regulatory framework and role of Securities Exchange Board of India (‘SEBI’)

·      Understand the trade life cycle, the steps and participants involved in trade life cycle

·      Know the various functions of Front Office, Middle Office and Back Office in Securities Broking Firms

·      Understand how the risks are managed in securities broking firm, the clearing and settlement process

·      Understand the various procedures for redressal of investor grievances

·      Coverage of this book includes:

o   Introduction to the Securities Market

o   Market Participants in the Securities Market

o   Introduction to Securities Broking Operations

o   Risk Management

o   Settlement Process

o   Investor Grievances and Arbitration

o   Other Services Provided by Brokers


About NISM Certifications:


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. NISM’s 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.

To Know More Click Here

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