Securities Intermediaries Compliance (non-funds) / National Institute of Securities Market

PART-A: UNDERSTANDING STRUCTURE OF INDIA :

CHAPTER 1- Introduction to the financial system;
CHAPTER 2- Regulatory framework- general view;
CHAPTER 3- Introduction of compliance;
CHAPTER 4- securities and exchange board of India act, 1992;
CHAPTER 5- Securities contracts (regulation) act, 1956 and Securities contracts (regulation) act,1957;
CHAPTER 6- SEBI( intermediaries) regulations, 2008;
CHAPTER 7- SEBI ( prohibition of insider trading) regulation, 1992;
CHAPTER 8- SEBI (prohibition of fraudulent and unfair trade practices relating to securities market) regulations, 2003;
CHAPTER 9- Prevention of money;
CHAPTER 10- SEBI ( KYC registration agency) regulations, 2011;

PART-B: UNDERSTANDING INTERMEDIARY SPECIFIC REGULATIONS:

CHAPTER- 11 SEBI ( stock brokers and sub-brokers ) regulations, 1992;
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.

CHAPTER 13- SEBI ( issue of capital disclosure requirements ) regulations, 2009;
CHAPTER 14- deposition aCT, 1996;
CHAPTER 15- SEBI ( depositories and participants ) regulations. 1996;
CHAPTER 16- SEBI ( bankers to an issue) regulation, 1994;
CHAPTER 17- SEBI ( underwriters) regulations , 1993;
CHAPTER 18- SEBI ( debenture trustees) regulations , 1993;
CHAPTER 19- SEBI ( credit rating agencies) regulations, 1999.

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.
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.
. it is also focuses on the importance of compliance officers in the Indian securities market.