Issuers Compliance

Author:

National Institute Of Securities Markets

Publisher:

Taxmann Publications Private Limited

Rs330

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Publisher	Taxmann Publications Private Limited
ISBN-13	9789389368956
ISBN-10	9389368952
Binding	Paperback
Number of Pages	280 Pages
Language	(English)
Weight (grms)	345

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination Securities Intermediaries Compliance (Non-Fund). NISM-Series-III-B: Issuers Compliance Certification Examination seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and also companies which are proposed to be listed on the stock exchanges. The book covers the role and responsibilities of a Compliance officer of a listed company; discusses the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same and discusses laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements and the penalties for non-compliance.

National Institute Of Securities Markets

National Institute of Securities Markets (NISM) is an educational institution established by the Securities and Exchange Board of India (SEBI), the securities market regulator, in 2006. The Institute was established in pursuant to the Union Finance Minister’s proposal, in his 2005-06 Budget Speech, to set up an institution ’for teaching and training intermediaries in the securities markets and promoting research’. NISM is committed to its vision to lead, catalyze and deliver educational initiatives to enhance the quality of securities markets’. The Institute conducts a wide range of capacity building programmes in securities markets from basic financial literacy to full-time post-graduation programmes. The Institute’s six Schools of Excellence, viz., School for Certification of Intermediaries, School for Securities Education, School for Investor Education and Financial Literacy, School for Regulatory Studies and Supervision, School for Corporate Governance and School for Securities Information and Research upholds NISM’s vision and works in synergy towards professionalizing the markets. . NISM is mandated by SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007 to conduct certification examinations and continuing professional education programs for associated persons engaged by an intermediary. NISM also conducts certification examinations for other regulators like IBBI and PFRDA. NISM’s certifications establish a single market-wide knowledge benchmark for different functions in the Indian securities market and enable the associated persons to advance their knowledge and skills.