MARC details
| 000 -LEADER |
|---|
| fixed length control field |
02761nam a2200157 4500 |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION |
|---|
| fixed length control field |
170920b xxu||||| |||| 00| 0 eng d |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER |
|---|
| International Standard Book Number |
9789350717547 |
| 082 ## - DEWEY DECIMAL CLASSIFICATION NUMBER |
|---|
| Edition number |
23 |
| Classification number |
332.64 |
| Item number |
NIS |
| 100 ## - MAIN ENTRY--PERSONAL NAME |
|---|
| Personal name |
National Institute of Securities Market |
| 245 ## - TITLE STATEMENT |
|---|
| Title |
Securities Intermediaries Compliance (non-funds) / |
| Statement of responsibility, etc. |
National Institute of Securities Market |
| 260 ## - PUBLICATION, DISTRIBUTION, ETC. (IMPRINT) |
|---|
| Place of publication, distribution, etc. |
Mumbai; |
| Name of publisher, distributor, etc. |
Taxmann publications ltd, |
| Date of publication, distribution, etc. |
2015. |
| 300 ## - PHYSICAL DESCRIPTION |
|---|
| Extent |
269 p. ; |
| 505 ## - FORMATTED CONTENTS NOTE |
|---|
| FORMATTED CONTENTS NOTE |
PART-A: UNDERSTANDING STRUCTURE OF INDIA :<br/><br/>CHAPTER 1- Introduction to the financial system;<br/>CHAPTER 2- Regulatory framework- general view;<br/>CHAPTER 3- Introduction of compliance;<br/>CHAPTER 4- securities and exchange board of India act, 1992;<br/>CHAPTER 5- Securities contracts (regulation) act, 1956 and Securities contracts (regulation) act,1957;<br/>CHAPTER 6- SEBI( intermediaries) regulations, 2008;<br/>CHAPTER 7- SEBI ( prohibition of insider trading) regulation, 1992;<br/>CHAPTER 8- SEBI (prohibition of fraudulent and unfair trade practices relating to securities market) regulations, 2003;<br/>CHAPTER 9- Prevention of money;<br/>CHAPTER 10- SEBI ( KYC registration agency) regulations, 2011;<br/><br/>PART-B: UNDERSTANDING INTERMEDIARY SPECIFIC REGULATIONS:<br/><br/>CHAPTER- 11 SEBI ( stock brokers and sub-brokers ) regulations, 1992;<br/>CHAPTER 12- SEBI ( merchant bankers) regulations, 1992, SEBI ( delisting of equity share ) regulations ,2009, SEBI ( substantial acquisition of share & takeovers ) regulations , 2011 & SEBI ( buyback of securities) regulations , 1998.<br/><br/>CHAPTER 13- SEBI ( issue of capital disclosure requirements ) regulations, 2009;<br/>CHAPTER 14- deposition aCT, 1996;<br/>CHAPTER 15- SEBI ( depositories and participants ) regulations. 1996;<br/>CHAPTER 16- SEBI ( bankers to an issue) regulation, 1994;<br/>CHAPTER 17- SEBI ( underwriters) regulations , 1993;<br/>CHAPTER 18- SEBI ( debenture trustees) regulations , 1993;<br/>CHAPTER 19- SEBI ( credit rating agencies) regulations, 1999. |
| 520 ## - SUMMARY, ETC. |
|---|
| Summary, etc. |
this book has been developed to assist candidates in preparing for the NISM certificate examination. this books seeks to create a common minimum knowledge benchmark for person engaged in compliance function with any intermediary registered with SEBI as a stock brokers , sub-brokers, depository, participates, merchant bankers , undereriters , bankers ton the issue , and credit ranking agency.<br/>the book covers financial and regulatory structure in India the different regulation which the intermediaries should be aware , specific rules governing the stock brokers , sub-brokers, depository, participates, merchant bankers , underwriters , bankers ton the issue , and credit ranking agency.<br/>. it is also focuses on the importance of compliance officers in the Indian securities market. |
| 942 ## - ADDED ENTRY ELEMENTS (KOHA) |
|---|
| Source of classification or shelving scheme |
Dewey Decimal Classification |
| Koha item type |
Books |