NISM-Series-VII: Securities Operations and Risk Management offered by National Institute of Securities Markets
4.8 /5- Private Institute
- Estd. 2006
NISM-Series-VII: Securities Operations and Risk Management at NISM Overview
Duration | 2 hours |
Total fee | ₹1,500 |
Mode of learning | Online |
Official Website | Go to Website  |
Credential | Certificate |
NISM-Series-VII: Securities Operations and Risk Management at NISM Highlights
- Earn a certificate of completion from NISM
NISM-Series-VII: Securities Operations and Risk Management at NISM Course details
- Know the basics of the Indian securities market, the different products traded, and the various market participants and the respective roles they play in the Indian securities market
- Understand the regulatory framework and the role of the Securities Exchange Board of India
- Know the various functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm
- Understand the trade life cycle, the steps and participants involved in the trade life cycle and the role of the back office in a securities broking firm
- Understand how the risks are managed in a securities broking firm, the clearing and settlement process
- Understand the process of investor grievances redressal
- The examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk
NISM-Series-VII: Securities Operations and Risk Management at NISM Curriculum
Introduction to the Securities Market
Indian securities markets and its role in Indian economy
Structure of Securities market
Money market and its key features
Products traded in the securities market
Market Participants in the Securities Market
Types of investors
Issuers
Intermediaries
Regulators and regulatory framework
Introduction to the Securities Broking Operations
Trade life cycle
Front office operations
Risk management practices
Surveillance mechanism
Back-office operations
Risk Management
Risk Management practices
Capital adequacy requirements
Client account control
Margin requirements
Compliances and regulatory reporting
Clearing Process
Clearing process
Role of clearing agency in clearing of trades
Role of clearing banks in clearing of trades
Role of clearing members / Custodians in clearing of trades
Role of depositories and depository participants in clearing of trades
Clearing process for equities trading
Clearing process for derivatives trading
Settlement Process
Settlement cycle
Settlement of Internet based trading and order placed on phone
Settlement of funds
Settlement of securities
Corporate actions adjustment
Auction of securities
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NISM-Series-VII: Securities Operations and Risk Management at NISM Contact Information
Plot No. IS 1 and IS 2,
Patalganga Industrial Area,
Village Mohopada (Wasambe),
Rasayani
Raigad ( Maharashtra)
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