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  • Foreword Acknowledgement About NISM Certifications About The NISM-Series-XI: Equity Sales Certification Examination

    Încărcat de

    Monica Saini
    13 vizualizări4 pagini
    This document contains a table of contents for a book on the NISM-Series-XI: Equity Sales Certification Examination. The table of contents lists 9 chapters that will be covered in the book, including overviews of the Indian securities market and regulatory framework, primary and secondary markets, market indicators, trading and risk management, clearing and settlement, market surveillance, and client management. It provides the chapter and section titles and page numbers for the material that will be discussed.

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    This document contains a table of contents for a book on the NISM-Series-XI: Equity Sales Certification Examination. The table of contents lists 9 chapters that will be covered in the book, including overviews of the Indian securities market and regulatory framework, primary and secondary markets, market indicators, trading and risk management, clearing and settlement, market surveillance, and client management. It provides the chapter and section titles and page numbers for the material that will be discussed.

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    © All Rights Reserved
    Descărcați ca PDF, TXT sau citiți online pe Scribd
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    13 vizualizări4 pagini

    Foreword Acknowledgement About NISM Certifications About The NISM-Series-XI: Equity Sales Certification Examination

    Încărcat de

    Monica Saini
    This document contains a table of contents for a book on the NISM-Series-XI: Equity Sales Certification Examination. The table of contents lists 9 chapters that will be covered in the book, including overviews of the Indian securities market and regulatory framework, primary and secondary markets, market indicators, trading and risk management, clearing and settlement, market surveillance, and client management. It provides the chapter and section titles and page numbers for the material that will be discussed.

    Drepturi de autor:

    © All Rights Reserved
    Descărcați ca PDF, TXT sau citiți online pe Scribd
    Indicator pentru conținut neadecvat
    din 4

    Contents

    PAGE
    Foreword I-3
    Acknowledgement I-5
    About NISM Certifications I-7
    About the NISM-Series-XI: Equity Sales Certification Examination I-9

    CHAPTER 1
    Overview of Indian Securities Market
    1.1 Introduction 1
    1.2 Market Regulators 4
    1.3 Market Segments 8
    1.4 Market Participants 11
    1.5 Types of Investors 15
    1.6 Some Key Concepts 18

    CHAPTER 2
    Regulatory Framework
    2.1 Securities Contracts (Regulation) Act, 1956 24
    2.2 Securities Contracts (Regulation) Rules, 1957 24

    I-11
    Contents

    PAGE
    2.3 Securities Contracts (Regulation) (Stock Exchanges and Clearing 26
    Corporations) Regulations, 2012
    2.4 Securities and Exchange Board of India Act, 1992 28
    2.5 The Depositories Act, 1996 30
    2.6 The Companies Act 31
    2.7 Prevention of Money Laundering Act, 2002 32
    2.8 SEBI (Stock Brokers & Sub-brokers) Regulations, 1992 35
    2.9 SEBI (Prohibition of Insider Trading) Regulations, 2015 42
    2.10 SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating 45
    to Securities Markets) Regulations, 2003
    2.11 Authorised Persons 47

    CHAPTER 3
    Primary Market
    3.1 Introduction 51
    3.2 Issue of Shares 53
    3.3 Public Issue 60

    CHAPTER 4
    secondary market
    4.1 Introduction 71
    4.2 Functioning of the Secondary Market 72
    4.3 Market Phases 76

    CHAPTER 5
    Understanding Market Indicators
    5.1 Index and its Significance 79
    5.2 Types of Indices based on Calculation Methodology 82
    5.3 Major Indices in India 86

    I-12
    Contents

    PAGE
    5.4 Impact cost - A Measure of Market Liquidity 89
    5.5 Risk and Beta 90
    5.6 Market Capitalization Ratio 91
    5.7 Turnover Ratio 92
    5.8 Fundamental Analysis 93
    5.9 Technical Analysis 95

    CHAPTER 6
    Trading and Risk Management
    6.1 Trading Systems in India 99
    6.2 Orders 102
    6.3 Trade Life Cycle 104
    6.4 Mechanism of Circuit Breakers 106
    6.5 Transaction Charges 107
    6.6 Capital Adequacy Requirements of Trading Members 109
    6.7 Risk Management System 110
    6.8 Margin Trading 118

    CHAPTER 7
    Clearing and Settlement
    7.1 Types of Accounts 122
    7.2 Clearing Process 123

    CHAPTER 8
    Market Surveillance
    8.1 Introduction 131
    8.2 Market Surveillance Mechanism in Exchanges 132
    8.3 Market Surveillance Mechanism 138

    I-13
    Contents

    PAGE

    CHAPTER 9
    Client Management
    9.1 Introduction 145
    9.2 Types of Risks 146
    9.3 Risk Profiling of Investors 148
    9.4 Financial Planning 148
    9.5 Product Suitability 155
    9.6 Review of Client’s Portfolio 156
    9.7 Client Account 156
    9.8 Taxation 159
    9.9 Investor Grievance Mechanism 161

    I-14

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