Securities Operations And Risk Management

This book covers all important aspects related to stockbroking operations, starting from the following:

Client Onboarding
Trade Life Cycle
Compliance Requirements related to Report Submission
Redressal of Investor Grievances
This book will be helpful for those who want to learn about the various functions of a broker's operations and risk management in the securities market.
The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features:

Know the following in detail:
[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
[Various Functions] of the Front Office, Middle Office and Back Office in a Securities Broking Firm
Understanding of the following:
[Regulatory Framework] and the role of the Securities Exchange Board of India
[Trade Life Cycle], the steps and participants involved in the trade life cycle
[How the Risks are Managed] in a securities broking firm, the clearing and settlement process
[Various Procedures] for redressal of investor grievances.