000			01672 a2200169 4500
008			160404b xxu||||| |||| 00| 0 eng d
020			_a978-93-5071-754-7
082			_a332.632 _bNis
110			_aNational Institute of Securities Markets _921312
245			_aSecurities Intermediaries Compliance (Non-Fund) _cNational Institute of Securities Markets
260			_bTaxmann Publications (P.) Ltd _c2015 _aMumbai
300			_a267 p. _bPaper
520			_aThis 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-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination seeks to create a common minimum knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI as Stock Brokers, Sub-Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. The book covers financial and regulatory structure in India, the different regulations which the intermediaries should be aware, specific rules and regulations governing the Stock Brokers, Sub-Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. It also focuses on the importance of compliance activity and the scope and role of the compliance officer in the Indian securities market.
650			_aInvestments _xSecurities Market _921313
942			_2ddc _cBK
999			_c42029 _d42029