About Product
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: Introduction to the Securities Market Market Participants in the Securities Market Introduction to Securities Broking Operations Risk Management Settlement Process Investor Grievances and Arbitration Other Services Provided by Brokers
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