NISM X Taxmanns Securities Intermediaries Compliance (NonFund) Compendium of Important Regulations for the Compliance Offic

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 Agenciesthis Book Is An Invaluable Resource For Anyone Involved In The Compliance Sector Of The Securities Markets, Offering InDepth 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 IiiA [Securities Intermediaries Compliance (NonFund)]. 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 Bthe Noteworthy Features Of This Book Are As Follows: [Understand The Financial Structure In India] Including:O Knowledge Of The Financial Intermediarieso 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 Failurethe Detailed Contents Of The Book Are As Follows: Part A Understanding Financial Structure In Indiao Introduction To The Financial System Explores The Essential Elements Of The Financial System, Including Financial Intermediaries, Securities, And Their Roleso 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, 2007O Securities And Exchange Board Of India Act, 1992 Details The Salient Features Of The Sebi Act, 1992O Securities Contracts Regulation Examines The Securities Contracts (Regulation) Act, 1956, And The Securities Contracts (Regulation) Rules, 1957O 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 Conducto Sebi (Prohibition Of Insider Trading) Regulations, 2015 Focuses On Insider Trading Regulations, Including The Role Of The Compliance Officer And The Code Of Conducto 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 Methodso Prevention Of Money Laundering Act, 2002 Highlights The Main Points Of The Pmla, 2002, And SebiS Circular On AntiMoney 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 InPerson Verification Part B Understanding IntermediarySpecific Regulationso Sebi (Foreign Portfolio Investors) Regulations, 2019 Details Regulations Pertaining To Foreign Portfolio Investors, Including Eligibility Criteria, Investment Conditions, And Code Of Conducto Sebi (Stock Brokers) Regulations, 1992 Covers Various Aspects Of Stock Brokerage Regulations, Including Direct Market Access, Algorithmic Trading, Margin Trading, And Underwriting Activitieso Sebi (Merchant Bankers) Regulations, 1992 Focuses On Merchant Banking Regulations, Substantial Acquisition Of Shares, And Takeoverso 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 Bankerso Depositories Act, 1996 Covers The Introduction, Rights And Obligations Of Depositories, Enquiry And Inspection Procedures, And Miscellaneous Issueso Sebi (Depositories And Participants) Regulations, 2018 Details Registration, Rights, Obligations, And The Code Of Conduct For Depository Participantso 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 Agentso Sebi (Research Analyst) Regulations, 2014 Highlights The Responsibilities, Record Maintenance, And Role Of The Compliance Officer For Research Analystso Sebi (Investment Advisers)