About Product
These books are for the NISM (An Educational Initiative of SEBI) Certification Examination, exclusively published by Taxmann. The key features of these books are as follows: Examination Workbook for Securities Intermediaries Compliance (Non-Fund) This book aims to create a common minimum knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI, including: Stockbrokers Depository Participants Merchant Bankers Underwriters Bankers to the Issue Debenture Trustees Credit Rating Agencies. This book covers all important regulations related to the securities markets including the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, etc. This book is a compendium of the important regulations, which the Compliance Officers working with various intermediaries in the securities markets refers to. The key features of this book are as follows: Understand the financial structure in India; know the financial intermediaries and the types of products available in the Indian market. Understand the regulatory framework and the role of the various regulators in the financial system. Understand the importance of compliance activity and the scope and role of the compliance officer in the
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Banking;
Finance;
