Taxmann Securities Operations and Risk Management By National Institute of Securities Markets Edition September 2021


The book covers knowledge competencies related to the basics of the securities market, the trade life cycle, knowledge about the functioning of the front office, middle office and back office in a broking firm. The risk management practices and the clearing and settlement process for a trade executed in the secondary market.

SKU: NISM02 Category: Tag:

Taxmann Securities Operations and Risk Management By NISM

Taxmann Securities Operations and Risk Management By NISM

Securities Operations and Risk Management covers all important aspects related to the stockbroking operations, starting from the following:

  • Client On-Boarding
  • 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 March 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features:

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

The contents of the book are as follows:

  • Introduction to Securities Markets
  • Market Participants in the Securities Market
  • Introduction to Securities Broking Operations
  • Risk Management
  • Clearing Process
  • Settlement Process
  • Investor Grievances and Arbitration
  • Other Services Provided by Brokers

About the author

National Institute of Securities Markets | An Educational Initiative of SEBI

NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of the financial services sector. NISM’s School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professionals meet the defined minimum common knowledge benchmark for various critical market functions like:

  • Mutual Funds
  • Equities
  • Derivatives
  • Securities Operations
  • Compliance
  • Research Analysis
  • Investment Advice

These Certifications and CPE Programs are being developed and administered by NISM as mandated under ‘Securities and Exchange Board of India (Certification of Associated Persons in the Securities Market) Regulations, 2007’. The Certifications creates quality market professionals and catalyzes greater investor participating in the markets. Certifications also provides structured career paths to students and job aspirants in the securities market.









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