| Publisher |
Taxmann Publications Private Limited |
| ISBN-13 |
9789388983242 |
| ISBN-10 |
9789388983242 |
| Binding |
Paperback |
| Number of Pages |
180 Pages |
| Language |
(English) |
| Weight (grms) |
225 |
This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Registrars to an Issue and Share Transfer Agents-Corporate. NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: (a) dealing or interacting with the investors or issuers; (b) dealing, collecting or processing applications from the applicants; (c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; (d) handling redressal of investors’ grievances; (e) responsible for internal control and risk management; (f) responsible for any compliance of securities laws; (g) responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.
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.
National Institute Of Securities Markets
Taxmann Publications Private Limited