Depository Operations
Note : The book "Depository Operations" consists of 14 chapters.The book is courseware for the certification.
Description
This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Depository Operations. NISM-Series-VI: Depository Operations Certification Examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in (a) dealing or interacting with clients; (b) dealing with securities of clients; (c) handling redressal of investor grievances; (d) internal control or risk management; (e) activities having a bearing on operational risk; (f) maintenance of books and records pertaining to the above activities.
The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India.
| Chapter No | Chapter name |
|---|---|
| Chapter: 1 | Introduction to the Indian Capital Market |
| Chapter: 2 | Introduction to Depository |
| Chapter: 3 | Depository and its Business Partners |
| Chapter: 4 | Functions of Depository Participant- Account Opening |
| Chapter: 5 | Functions of Depository Participant - Transmission and Nomination |
| Chapter: 6 | Functions of Depository Participant - Dematerialisation |
| Chapter: 7 | Functions of Depository Participant - Trading And Settlement |
| Chapter: 8 | Special Services – Pledge & Hypothecation |
| Chapter: 9 | Special Services – Corporate Actions |
| Chapter: 10 | Special Services- Public Issues |
| Chapter: 11 | SPECIAL SERVICES - DEBT INSTRUMENTS & GOVERNMENT SECURITIES |
| Chapter: 12 | FOREIGN PORTFOLIO INVESTORS (FPI) |
| Chapter: 13 | Additional Services - Rajiv Gandhi Equity Savings Scheme, 2012 (RGESS) |
| Chapter: 14 | Additional Services - Basic Services Demat Account (BSDA) |
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