Nism X Taxmanns Securities Markets Foundation Covering All Important Topics To Impart The Basic Knowledge Of The Indian Securities Markets Suitable For Entry Level Professionals PDF Download

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NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals

NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals
Author: NISM (An Educational Initiative of SEBI)
Publisher: Taxmann Publications Private Limited
Total Pages: 21
Release: 2024-01-17
Genre: Education
ISBN: 9357785558
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Download NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals Book in PDF, ePub and Kindle

This book is a comprehensive guide to the Indian securities markets, designed to provide basic knowledge and understanding of the subject. It covers key topics such as: • Basics of Indian Securities Markets • Processes involved in Primary & Secondary markets • Schemes and products in Mutual Funds and Derivatives Markets in India • Financial Planning Process The book is particularly tailored for entry-level professionals aiming for a career in securities markets and individuals from various backgrounds, such as employees in securities, other professionals, students, homemakers, and teachers, who are keen on acquiring a basic understanding of the Indian Securities markets. The Present Publication is the November 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination XII | Securities Markets Foundation, with the following noteworthy features: • [Know] the following: o Basics of the Indian Securities Market o Various Processes Involved in Primary and Secondary Markets • [Understand] the Schemes and Products in Mutual Funds and Derivatives Markets The detailed contents of the book are as follows: • Understanding Securities Markets and Performance o This chapter introduces the concept of securities markets, detailing their structure and the various participants involved o It explores the role of securities markets in the financial ecosystem o A special focus is given to the technological advancements that have impacted the securities market • Securities: Types, Features and Concepts of Asset Allocation and Investing o An extensive overview of the different types of securities available in the market o It discusses the choices between equity and debt financing for issuers and the characteristics and roles of each o The chapter delves into hybrid instruments, commodities as an asset class, and derivatives o It also covers asset allocation, diversification, and the investment process in both equity and debt securities • Primary Markets o This chapter defines primary markets and their functions, comparing them with secondary markets o It outlines the various intermediaries, types of issues, issuers, and investors in the primary market o Regulatory frameworks, public issue processes for equities and debt securities, and private placements are also discussed • Secondary Markets o Focuses on the role and function of secondary markets and the different types available for various securities o Details the market structure, participants, brokers, trade execution, clearing, and settlement of trades o It also touches upon market information and regulation, risk management systems, and trading and reporting for debt securities • Mutual Funds o Provides a detailed explanation of mutual funds, their types, and related terms and concepts o Differentiates between open-ended and closed-ended mutual fund schemes o Discusses investment approaches, processes for investing in mutual funds, and systematic transactions o It also includes information on the benefits, costs, regulations, and investor service standards in mutual funds • Derivatives Markets o Covers the basics of derivatives, underlying concepts, and the various types of derivative products o Explores the structure of derivative markets, trading and settlement processes, and risk management o Concludes with the application of derivatives in risk management and market indicators

NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets

NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets
Author: NISM (An Educational Initiative of SEBI)
Publisher: Taxmann Publications Private Limited
Total Pages: 23
Release: 2024-01-31
Genre: Law
ISBN: 9357785779
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Download NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets Book in PDF, ePub and Kindle

This book is a comprehensive guide covering all significant regulations pertinent to the securities markets, encompassing the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, and more. It seeks to create a common minimum knowledge benchmark for persons engaged in the compliance function with any intermediary registered with SEBI, such as: • Stock Broker • Depository Participant • Merchant Bankers • Underwriters • Bankers to the Issue • Debenture Trustee • Credit Rating Agencies This book is an invaluable resource for anyone involved in the compliance sector of the securities markets, offering in-depth knowledge and a comprehensive overview of the regulatory landscape. The Present Publication is the January 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination III-A [Securities Intermediaries Compliance (Non-Fund)]. This book is divided into two parts: • [Financial and Regulatory Structure in India] is dealt with in Part A • [Specific Rules & Regulations] governing the intermediaries registered with SEBI are dealt with in Part B The noteworthy features of this book are as follows: • [Understand the Financial Structure in India] including: o Knowledge of the Financial Intermediaries o Types of Products available in the Indian markets • [Understand the Regulatory Framework] and the role of various Regulators in the Financial System • [Importance of Compliance Activity] and the scope and role of Compliance Officers • [Understand the various Rules & Regulations] of the Indian Securities Market • [Understand the Penal Actions] that are initiated in case of default or failure The detailed contents of the book are as follows: • Part A – Understanding Financial Structure in India o Introduction to the Financial System – Explores the essential elements of the financial system, including financial intermediaries, securities, and their roles o Regulatory Framework | General View – Discusses the overall regulatory system governing the financial markets in India, including the role of financial market regulators, other financial agencies, appellate authorities, the legislative framework, and the International Financial Services Centre (IFSC) o Introduction to Compliance – Covers the basics of compliance, specifically focusing on compliance requirements under the SEBI (CAPSM) Regulations, 2007 o Securities and Exchange Board of India Act, 1992 – Details the salient features of the SEBI Act, 1992 o Securities Contracts Regulation – Examines the Securities Contracts (Regulation) Act, 1956, and the Securities Contracts (Regulation) Rules, 1957 o SEBI (Intermediaries) Regulations, 2008 – Provides insights into the general obligations of intermediaries, inspection and disciplinary proceedings, actions in case of default, and the code of conduct o SEBI (Prohibition of Insider Trading) Regulations, 2015 – Focuses on insider trading regulations, including the role of the compliance officer and the code of conduct o Prevention of Fraudulent and Unfair Trade Practices – Discusses regulations related to preventing fraudulent and unfair practices in the securities market and includes topics on investigation methods o Prevention of Money Laundering Act, 2002 – Highlights the main points of the PMLA, 2002, and SEBI's circular on Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) o SEBI (KYC Registration Agency) Regulations, 2011 – Discusses the registration and obligations of KYC Registration Agencies (KRAs), including guidelines for intermediaries and in-person verification • Part B – Understanding Intermediary-Specific Regulations o SEBI (Foreign Portfolio Investors) Regulations, 2019 – Details regulations pertaining to foreign portfolio investors, including eligibility criteria, investment conditions, and code of conduct o SEBI (Stock Brokers) Regulations, 1992 – Covers various aspects of stock brokerage regulations, including direct market access, algorithmic trading, margin trading, and underwriting activities o SEBI (Merchant Bankers) Regulations, 1992 – Focuses on merchant banking regulations, substantial acquisition of shares, and takeovers o SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 – Discusses the applicability of ICDR regulations, IPOs, rights issues, and the roles and responsibilities of merchant bankers o Depositories Act, 1996 – Covers the introduction, rights and obligations of depositories, enquiry and inspection procedures, and miscellaneous issues o SEBI (Depositories and Participants) Regulations, 2018 – Details registration, rights, obligations, and the code of conduct for depository participants o SEBI (Registrar to an Issue and Share Transfer Agents) Regulations, 1993 – Focuses on the roles, general obligations, and code of conduct for registrars to an issue and share transfer agents o SEBI (Research Analyst) Regulations, 2014 – Highlights the responsibilities, record maintenance, and role of the compliance officer for research analysts o SEBI (Investment Advisers) Regulations, 2013 – Discusses the general responsibilities, risk profiling, client-level segregation, and code of conduct for investment advisers o SEBI (Debenture Trustees) Regulations, 1993 – Details registration, responsibilities, code of conduct, and monitoring requirements for debenture trustees o SEBI (Credit Rating Agencies) Regulations, 1999 – Covers the registration, general obligations, appointment of compliance officers, and code of conduct for credit rating agencies o SEBI (Custodian) Regulations, 1996 – Discusses custodian services, registration, obligations, and the code of conduct for custodians. o Proxy Advisors – Provides an overview of the impact of proxy advisors on corporate governance, internal controls, procedural guidelines, and grievance redressal mechanisms

NISM-Series-XII: Securities Markets Foundation Certification Exam Preparation Guide with 1500+ Question Bank

NISM-Series-XII: Securities Markets Foundation Certification Exam Preparation Guide with 1500+ Question Bank
Author: P. Anshu
Publisher: P. Anshu
Total Pages: 560
Release: 2024-02-17
Genre: Young Adult Nonfiction
ISBN:
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Download NISM-Series-XII: Securities Markets Foundation Certification Exam Preparation Guide with 1500+ Question Bank Book in PDF, ePub and Kindle

Prepare for success in the NISM-Series-XII: Securities Markets Foundation Certification Examination with our meticulously crafted question bank guide. This comprehensive resource is designed to enhance your understanding of key concepts and ensure thorough preparation for each chapter of the examination. Within the pages of this book, readers will find comprehensive 1500+ question bank, as A. Chapter Wise Practice Test (900+ Question Bank) B. 6 Mock Tests (Learning Outcome & Test Objective Wise) 600+ Question Bank C. Questions on Glossary of Financial Terms (100+ Questions) Each question comes with a hint for learners to recall the concept, which will help them master each topic, Learning Outcome, & Test Objective. At end of each test the correct answers along with explanations are given. Various Types of Tests in this book: Chapter Wise Practice Test (900+ Questions): Specially designed chapter wise test along with hints for learners. This test will help in Confidence Building & Familiarization of each concepts chapter wise. Mock Tests (600+ Questions): There are six Mock Tests (100 Questions Each) To help individuals gauge their current level of knowledge and further enhancement of confidence for real NISM exam. Mock Tests in this book are specially designed Learning Outcome wise & Test Objective wise as outlined by NISM for each chapter. This guide aims to equip learners with a comprehensive understanding of Currency Derivatives and the relevant expertise needed for success in NISM-Series-XII: Securities Markets Foundation Certification Exam Key Features: Chapter-wise MCQs aligned with learning outcomes. In-depth coverage of key topics, including securities markets, asset allocation, primary and secondary markets, mutual funds, and derivatives markets Comprehensive Mock Test to simulate the real exam environment. Detailed explanations and rationale for each answer to enhance understanding. User-friendly format for easy navigation and efficient study sessions This Guide is available in both Print Version and eBook Version NOTE: This publication, dated February 2024, represents the concepts covered under the NISM workbook Version: March 2022 edition available on NISM website. All questions, explanations used in this guide are taking reference from the Workbook Version: March 2022.

NISM X Taxmann's Alternative Investment Funds Managers – Foundation knowledge of the AIF ecosystem in India with insights on fund management, regulatory & taxation frameworks, best practices, etc.

NISM X Taxmann's Alternative Investment Funds Managers – Foundation knowledge of the AIF ecosystem in India with insights on fund management, regulatory & taxation frameworks, best practices, etc.
Author: NISM (An Educational Initiative of SEBI)
Publisher: Taxmann Publications Private Limited
Total Pages: 26
Release: 2024-03-28
Genre: Law
ISBN: 9357787593
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Download NISM X Taxmann's Alternative Investment Funds Managers – Foundation knowledge of the AIF ecosystem in India with insights on fund management, regulatory & taxation frameworks, best practices, etc. Book in PDF, ePub and Kindle

This comprehensive guide discusses the intricacies of Alternative Investment Funds (AIFs) in India, offering: • Foundational understanding of the investment landscape • Alternative asset classes • Role and functions of key stakeholders within the AIF ecosystem The key learning outcomes of the book are as follows: • Equip readers with a basic understanding of the diverse investment landscape and the nuances of alternative asset classes • Foster a deep comprehension of the key theories underpinning investment decisions and fund management • Enable thorough knowledge of managing AIFs, focusing on product suitability, ecosystem roles, fund governance, and strategic investment approaches • Enable the readers to understand the complex regulatory and taxation landscape affecting AIFs in India, promoting best practices in fund management and compliance This book is designed for AIF Managers, investment team members, finance professionals, and anyone interested in deepening their understanding of alternative investment funds management in India. The Present Publication is the December 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination XIX-C | Alternative Investment Funds Managers, with the following noteworthy features: • [Foundation of Investment] Introduces the investment landscape, distinguishing between traditional and alternative investments, and elucidates the basics of portfolio theory • [AIF in India] Offers an in-depth analysis of AIFs in India, including their evolution, regulatory environment, and the suitability of various AIF products for portfolio diversification • [Fund Management] Discusses the critical role of investment managers and their teams in fund management duties, emphasising governance, conflict of interest management, and the importance of a robust governance structure • [Valuation and Performance] Explains valuation techniques, investment strategies, and the process of performance evaluation, including benchmarking policies • [Regulatory and Taxation Aspects] Covers the essential regulatory framework and taxation aspects relevant to AIFs in India, ensuring compliance and understanding of legal obligations The detailed contents of the book are as follows: • Investment Landscape o Introduction to various investment types and their distinctions from speculation o Discussion on investment objectives and the process of estimating the required rate of return • Types of Investments o Comparison between traditional and alternative investments, including their types and roles in portfolio management o Examination of the channels for making investments and the historical growth of alternative investments • Concept of Informational Efficiency o Exploration of informational versus operational efficiency, efficient capital markets, and the Random Walk Theory o Analysis of the Efficient Market Hypotheses (EMH), market anomalies, and their implications on valuation and portfolio management • Introduction to Modern Portfolio Theory o Detailed framework for constructing portfolios, assumptions of the theory, and the definition of investor risk profiles o Discussion on expected rates of return, variance, portfolio optimisation, and the Efficient Frontier • Introduction to Capital Market Theory o Overview of Capital Market Theory, its assumptions, the Capital Market Line, and the diversification of risk o Insights into CAPM, empirical tests, and multi-factor models of risk and return • Alternative Investment Funds in India and its Suitability o Detailed analysis of the evolution, growth, and current market of AIFs in India o Comparison of AIFs with traditional investments and their role in portfolio diversification and risk management • Alternative Investment Fund Ecosystem o Comprehensive understanding of the concepts prevalent in the AIF industry • Alternative Investment Fund Structuring o Insights into the principle of 'Pooling', buy-out transactions, AIF constitution, and common fund structures • Fee Structure and Fund Performance o Examination of management fees, hurdle rate, high-water mark, types of risks, risk measures, and return measures in AIFs • Indices and Benchmarking o Detailed exploration of indices, their uses, methodologies, and performance benchmarking • Investment Strategies, Investment Process and Governance of Funds o Insight into investment strategies, deal sourcing, investor due diligence, and governance structures in AIFs • Funds Due Diligence | Investor Perspective o Comprehensive guide to fund due diligence, manager evaluation, and selection from an investor's perspective • Legal Documentation and Negotiations o Overview of essential legal documents and negotiations in the AIF landscape • Valuation o Detailed discussion on valuation basics, approaches, and techniques for AIF portfolio investments • Fund Monitoring, Reporting and Exit o Insights into the regulatory framework for fund monitoring, reporting, exit options, and liquidation schemes • Taxation o Detailed examination of taxation related to AIFs, including surcharge rates, GAAR, and other applicable taxes • Regulatory Framework o Comprehensive overview of the regulatory framework governing AIFs, including SEBI regulations and other related laws

NISM's Interest Rate Derivatives – Covering the basics of interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management, etc.

NISM's Interest Rate Derivatives – Covering the basics of interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management, etc.
Author: NISM (An Educational Initiative of SEBI)
Publisher: Taxmann Publications Private Limited
Total Pages: 21
Release: 2022-08-18
Genre: Law
ISBN: 9356223270
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Download NISM's Interest Rate Derivatives – Covering the basics of interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management, etc. Book in PDF, ePub and Kindle

This book covers the basics of interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management, and the regulatory environment in which the interest rate derivatives markets operate in India. This book aims to create a common minimum knowledge benchmark for the approved users and sales personnel of the ‘Trading Members’ registered in the Currency Derivatives Segment of a recognised stock exchange and trading in Interest Rate Derivatives. It will also be helpful to those who want to have a better understanding of various products available in the exchange-traded interest rate derivatives markets in India. The Present Publication is the March 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination IV [Interest Rate Derivatives], with the following noteworthy features: • [Know the Basics] of fixed income securities markets and specifically interest rate derivative market in India and the developed world • [Understand] the following: o The analytical framework required for the Bond Futures market in India, along with trading and hedging strategies involved o The clearing, settlement and risk management as well as the operational mechanism related to interest rate derivatives markets • [Know the Regulatory Environment] in which the interest rate derivative markets operate in India • [Sample Questions] This book also features sample questions with answers Coverage of this book includes: • Introduction to Interest Rate, Interest Rate Instruments and Fixed Income Market • Interest Rate Derivatives • Exchange Traded Interest Rate Futures • Exchange Traded Interest Rate Options • Strategies using Exchange Traded Interest Rate Derivatives • Trading Mechanism in Exchange Traded Interest Rate Derivatives • Clearing, Settlement and Risk Management in Exchanged Traded Interest Rate Derivatives • Regulatory Framework for Exchange Traded Interest Rate Derivatives • Accounting and Taxation • Code of Conduct and Investor Protection Measure

NISM's Registrars to an Issue and Share Transfer Agents – Mutual Funds | Covering the roles, functions & regulatory environment of RTAs in mutual fund issuance and transaction processes

NISM's Registrars to an Issue and Share Transfer Agents – Mutual Funds | Covering the roles, functions & regulatory environment of RTAs in mutual fund issuance and transaction processes
Author: NISM (An Educational Initiative of SEBI)
Publisher: Taxmann Publications Private Limited
Total Pages: 20
Release: 2023-07-07
Genre: Law
ISBN: 9357781765
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Download NISM's Registrars to an Issue and Share Transfer Agents – Mutual Funds | Covering the roles, functions & regulatory environment of RTAs in mutual fund issuance and transaction processes Book in PDF, ePub and Kindle

Registrars to an Issue and Share Transfer Agents – Mutual Funds seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function to enable better quality investor service, operational process efficiency and risk controls. It also aims to enhance sales and distribution quality and enable better investor services. The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination II-B [Registrars to an Issue and Share Transfer Agents – Mutual Funds], with the following noteworthy features: • [Know the Basics] of securities and securities markets • [Understand] the role and functions of RTA in the mutual fund issuance & transaction process • [Know the Regulatory Environment] in which RTAs operate in India The detailed contents of the book are as follows: • Introduction to Securities • Characteristics of Equity Shares • Characteristics of Debt Securities • Characteristics of Other Securities • SEBI – Role and Regulations • Basics of Registrars and Transfer Agents • Registrar and Transfer Agent Regulations • Basics of Mutual Funds • Mutual Fund Structure and Constituents • Mutual Fund Products • Operational Concepts of Mutual Funds • Investors in Mutual Funds • Banking Operations in Mutual Funds • Financial Transactions • Non-Financial Transactions

Go where the Money is

Go where the Money is
Author: Lawrence R. Rosen
Publisher: Lawrence R Rosen
Total Pages: 338
Release: 1974
Genre: Business & Economics
ISBN: 9780870940682
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This book is indispensable to people who wish to take FINRA or NASD examinations. I is also extremely useful to bankers, brokers, registered securities or insurance representatives, and indeed, anyone who is interested in the stock market and how it works. One important feature is that it contains over 500 multiple choice questions and answers similar to those encountered in security licensing exams. Among topics covered are: corporations, partnerships, methods of analysis, Federal Reserve System, mutual funds, methods of trading securities, and much more.

The Securities Markets

The Securities Markets
Author: Sidney M. Robbins
Publisher:
Total Pages: 328
Release: 1966
Genre: Securities
ISBN:
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Securities Markets

Securities Markets
Author: Kenneth D. Garbade
Publisher: McGraw-Hill Companies
Total Pages: 552
Release: 1982
Genre: Business & Economics
ISBN:
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Trading in Commodity Futures

Trading in Commodity Futures
Author: United States. Commodity Exchange Administration
Publisher:
Total Pages: 94
Release: 1937
Genre: Commodity exchanges
ISBN:
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