Nism X Taxmann S Registrars To An Issue And Share Transfer Agents Corporate Comprehensive Guide For Rta Professionals With Practical Sops Best Practices For Efficient And Compliant Operations

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Nism X Taxmann S Registrars To An Issue And Share Transfer Agents Corporate Comprehensive Guide For Rta Professionals With Practical Sops Best Practices For Efficient And Compliant Operations

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Author : NISM (An Educational Initiative of SEBI)
language : en
Publisher: Taxmann Publications Private Limited
Release Date : 2024-10-24

Nism X Taxmann S Registrars To An Issue And Share Transfer Agents Corporate Comprehensive Guide For Rta Professionals With Practical Sops Best Practices For Efficient And Compliant Operations written by NISM (An Educational Initiative of SEBI) and has been published by Taxmann Publications Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-10-24 with Law categories.

Registrars to an Issue and Share Transfer Agents – Corporate is an all-encompassing guide that thoroughly analyses the vital role of Registrars and Transfer Agents (RTAs) in managing corporate securities and ensuring regulatory compliance for listed companies. This book is designed to establish a standardised knowledge benchmark for professionals working within RTAs, enabling them to handle a wide array of functions, including investor relations, corporate actions, and compliance management, all within the framework of SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993. The book provides a detailed examination of key operational processes such as handling applications for securities, managing redemptions, repurchasing shares, processing transfers and transmissions, and ensuring timely resolution of investor grievances. It also covers internal controls and risk management that RTAs must adhere to while operating in a highly regulated environment. Tailored for professionals in RTA organisations, compliance officers, corporate secretaries, and legal practitioners, this book also serves as a valuable resource for students, academicians, and anyone seeking to enhance their understanding of RTA operations and the regulatory landscape in India. The Present Publication is the February 2024 workbook version, developed in collaboration with the Certification Team of NISM and industry expert Mr Haresh Hinduja, and published exclusively by Taxmann, with the following noteworthy features: • [Comprehensive Knowledge Benchmark] Establishes a solid knowledge base for professionals working in RTAs, focusing on core responsibilities such as investor servicing, corporate actions, and managing complex compliance requirements • [Regulatory Insights] Provides a deep understanding of the legal framework governing RTAs, including SEBI regulations and investor protection measures. This ensures that professionals stay compliant while also proactively managing risks • [Practical Application] Includes practical examples and Standard Operating Procedures (SOPs) for essential tasks like share transfers, issuing duplicate certificates, and resolving investor grievances. The book serves as a day-to-day reference for RTA operations, making it highly relevant for real-world applications • [Client Servicing] Offers guidance on best practices for client servicing, with a focus on maintaining service etiquette, achieving First Time Right (FTR) standards, and implementing effective complaint resolution strategies • [Step-by-Step Guidance on Securities Issuance] Walks readers through the entire lifecycle of securities issuance, covering IPOs, buybacks, and rights issues, ensuring clarity on both pre-issue and post-issue responsibilities of RTAs • [Insights into Depository Services] Explains the critical role RTAs play in managing dematerialisation, rematerialisation, and corporate actions through depository systems, facilitating efficient and compliant operations The coverage of the book is as follows: • Introduction to Securities Markets o This chapter introduces the basics of equity and debt markets, explaining the characteristics of various securities and hybrid structures, such as convertible bonds and preference shares. It provides a solid foundation for understanding the broader securities landscape • Equity Shares and Corporate Actions o This chapter delves into the mechanics of corporate actions, including rights issues, preferential allotments, and reductions in share capital. It also covers shareholder rights, risks involved in equity investing, and the critical role RTAs play in facilitating these transactions • Debt Securities and Fixed-Income Instruments o This chapter details debt securities, detailing their features, market valuation, and yield calculations. It also discusses the broader debt market and money market instruments, providing comprehensive insights into fixed-income securities • SEBI Regulations and Investor Protection o This chapter thoroughly explores SEBI regulations related to RTAs, with special attention to the Investor Education and Protection Fund (IEPF) and SEBI's investor protection initiatives • Public Offer of Securities o This chapter covers the entire process of issuing equity capital, from IPOs and further public offers to buyback mechanisms. It also explains the critical pre-issue and post-issue processes managed by RTAs to ensure compliance and smooth operations • Depository Services and Corporate Actions o This chapter explains the functions of depository services, including dematerialisation, rematerialisation, and how RTAs manage various corporate actions like dividends and share buybacks • Investor Services and Grievance Redressal o This chapter provides a step-by-step guide to managing investor services, including the standard operating procedures (SOPs) for share transfers, issuing duplicate certificates, and handling investor grievances. It emphasises the importance of maintaining timelines and regulatory compliance • Client Servicing and Compliance Management o This chapter highlights best practices in client servicing, focusing on service etiquette, digital processing of investor requests, and timely complaint resolution. It underscores the importance of maintaining First Time Right (FTR) standards in RTA operations

Nism X Taxmann S Securities Intermediaries Compliance Non Fund Compendium Of Important Regulations For The Compliance Officers Working With Various Intermediaries In The Securities Markets

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Author : NISM (An Educational Initiative of SEBI)
language : en
Publisher: Taxmann Publications Private Limited
Release Date : 2024-01-31

Nism X Taxmann S Securities Intermediaries Compliance Non Fund Compendium Of Important Regulations For The Compliance Officers Working With Various Intermediaries In The Securities Markets written by NISM (An Educational Initiative of SEBI) and has been published by Taxmann Publications Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-01-31 with Law categories.

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 Agencies This book is an invaluable resource for anyone involved in the compliance sector of the securities markets, offering in-depth 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 III-A [Securities Intermediaries Compliance (Non-Fund)]. 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 B The noteworthy features of this book are as follows: • [Understand the Financial Structure in India] including: o Knowledge of the Financial Intermediaries o 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 failure The detailed contents of the book are as follows: • Part A – Understanding Financial Structure in India o Introduction to the Financial System – Explores the essential elements of the financial system, including financial intermediaries, securities, and their roles o 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, 2007 o Securities and Exchange Board of India Act, 1992 – Details the salient features of the SEBI Act, 1992 o Securities Contracts Regulation – Examines the Securities Contracts (Regulation) Act, 1956, and the Securities Contracts (Regulation) Rules, 1957 o 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 conduct o SEBI (Prohibition of Insider Trading) Regulations, 2015 – Focuses on insider trading regulations, including the role of the compliance officer and the code of conduct o 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 methods o Prevention of Money Laundering Act, 2002 – Highlights the main points of the PMLA, 2002, and SEBI's circular on Anti-Money 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 in-person verification • Part B – Understanding Intermediary-Specific Regulations o SEBI (Foreign Portfolio Investors) Regulations, 2019 – Details regulations pertaining to foreign portfolio investors, including eligibility criteria, investment conditions, and code of conduct o SEBI (Stock Brokers) Regulations, 1992 – Covers various aspects of stock brokerage regulations, including direct market access, algorithmic trading, margin trading, and underwriting activities o SEBI (Merchant Bankers) Regulations, 1992 – Focuses on merchant banking regulations, substantial acquisition of shares, and takeovers o 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 bankers o Depositories Act, 1996 – Covers the introduction, rights and obligations of depositories, enquiry and inspection procedures, and miscellaneous issues o SEBI (Depositories and Participants) Regulations, 2018 – Details registration, rights, obligations, and the code of conduct for depository participants o 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 agents o SEBI (Research Analyst) Regulations, 2014 – Highlights the responsibilities, record maintenance, and role of the compliance officer for research analysts o SEBI (Investment Advisers) Regulations, 2013 – Discusses the general responsibilities, risk profiling, client-level segregation, and code of conduct for investment advisers o SEBI (Debenture Trustees) Regulations, 1993 – Details registration, responsibilities, code of conduct, and monitoring requirements for debenture trustees o SEBI (Credit Rating Agencies) Regulations, 1999 – Covers the registration, general obligations, appointment of compliance officers, and code of conduct for credit rating agencies o SEBI (Custodian) Regulations, 1996 – Discusses custodian services, registration, obligations, and the code of conduct for custodians. o Proxy Advisors – Provides an overview of the impact of proxy advisors on corporate governance, internal controls, procedural guidelines, and grievance redressal mechanisms

Nism S Registrars To An Issue And Share Transfer Agents Mutual Funds Covering The Roles Functions Regulatory Environment Of Rtas In Mutual Fund Issuance And Transaction Processes

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Author : NISM (An Educational Initiative of SEBI)
language : en
Publisher: Taxmann Publications Private Limited
Release Date : 2023-07-07

Nism S Registrars To An Issue And Share Transfer Agents Mutual Funds Covering The Roles Functions Regulatory Environment Of Rtas In Mutual Fund Issuance And Transaction Processes written by NISM (An Educational Initiative of SEBI) and has been published by Taxmann Publications Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-07-07 with Law categories.

Registrars to an Issue and Share Transfer Agents – Mutual Funds seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function to enable better quality investor service, operational process efficiency and risk controls. It also aims to enhance sales and distribution quality and enable better investor services. The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination II-B [Registrars to an Issue and Share Transfer Agents – Mutual Funds], with the following noteworthy features: • [Know the Basics] of securities and securities markets • [Understand] the role and functions of RTA in the mutual fund issuance & transaction process • [Know the Regulatory Environment] in which RTAs operate in India The detailed contents of the book are as follows: • Introduction to Securities • Characteristics of Equity Shares • Characteristics of Debt Securities • Characteristics of Other Securities • SEBI – Role and Regulations • Basics of Registrars and Transfer Agents • Registrar and Transfer Agent Regulations • Basics of Mutual Funds • Mutual Fund Structure and Constituents • Mutual Fund Products • Operational Concepts of Mutual Funds • Investors in Mutual Funds • Banking Operations in Mutual Funds • Financial Transactions • Non-Financial Transactions

Nism X Taxmann S Securities Operations And Risk Management Covering All Important Aspects Related To The Stock Broker Operations Starting From The Client Onboarding To The Trade Life Cycle

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Author : NISM (An Educational Initiative of SEBI)
language : en
Publisher: Taxmann Publications Private Limited
Release Date : 2024-03-04

Nism X Taxmann S Securities Operations And Risk Management Covering All Important Aspects Related To The Stock Broker Operations Starting From The Client Onboarding To The Trade Life Cycle written by NISM (An Educational Initiative of SEBI) and has been published by Taxmann Publications Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-03-04 with Law categories.

This comprehensive book offers an in-depth analysis of the operational facets of stock brokerage, catering to individuals keen on mastering broker operations and risk management within the securities markets. It is structured to enhance understanding through a detailed examination of various critical areas, such as: • Client Onboarding • Trade Life Cycle • Compliance Requirements Related to Report Submission • Redressal of Investor Grievances Upon completing this book, readers will gain a foundational understanding of the Indian securities market, including its products, participants, and the roles they play. The book aims to establish a minimum knowledge benchmark for associated persons of registered stock brokers, trading members, and clearing members, focusing on managing assets or funds, investor grievance redressal, internal control, risk management, and operational risk aspects. The Present Publication is the January 2024 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features: • [Know] the following in detail: o Basics of the Indian Securities Market – Explores the basics of securities, the money market, products traded in the Indian securities market, and the concept of International Financial Services Centres (IFSC) o Market Participants – Details the roles of investors, issuers, the market structure, participants, and regulators in the securities market o Securities Trade Life Cycle – Offers insights into front office, middle office, and back office operations, outlining their functions and significance • [Understanding] of the following: o Clearing Process – Explains the role of clearing corporations, clearing banks, clearing members, custodians, depositories, and the clearing process itself o Settlement Process – Covers the determination of settlement obligations, settlement of funds and securities, auction of securities, and corporate actions adjustment o Risk Management – Discusses risk management strategies, compliance, regulatory reporting, and the Core Settlement Guarantee Fund o Investor Grievances and Arbitration – Focuses on investor grievance mechanisms, online dispute resolution, and investor protection funds o Other Services Provided by Brokers – Explores IPO applications, trading of mutual fund units, portfolio management service, research reports, depository services, margin trading, and internet-based trading technologies The contents of the book are as follows: • Introduction to the Securities Market o Overview of the securities market o Insights into the money market o Exploration of products traded in the Indian securities market o Discussion on International Financial Services Centres (IFSC) • Market Participants in the Securities Market o Detailed introduction to different market participants o Roles and perspectives of investors and issuers o Overview of market structure and key participants o An in-depth look at regulators in the securities market • Introduction to the Securities Broking Operations o Detailed stages of the securities trade life cycle o Examination of front office, middle office, and back office operations • Risk Management o A comprehensive exploration of risk management strategies and practices o Discussion on compliances and regulatory reporting o Insight into the Core Settlement Guarantee Fund • Clearing Process o Introduction to the clearing process o Roles and functions of the Clearing Corporation, clearing banks, clearing members, custodians, depositories, and depository participants o Detailed explanation of the clearing process • Settlement Process o Overview of the Settlement process in securities trading o Determination and settlement of obligations, both in funds and securities o Procedures for auction and corporate actions adjustment • Investor Grievances and Arbitration o Introduction to investor grievances and arbitration mechanisms o Online resolution of disputes in the Indian securities market o Overview of the Investor Protection Fund • Other Services Provided by Brokers o Range of services offered by brokers, including IPO applications, trading of mutual fund units, and portfolio management services o Discussion on research reports, depository services, margin trading, and internet-based trading technologies

Nism X Taxmann S Aml And Cft Provisions In Securities Markets Comprehensively Covers Aml Cft Concepts In Securities Market Offering In Depth Analysis Of Pmla Sebi Guidelines Case Studies

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Author : NISM (An Educational Initiative of SEBI)
language : en
Publisher: Taxmann Publicaions Private Limited
Release Date : 2025-05-06

Nism X Taxmann S Aml And Cft Provisions In Securities Markets Comprehensively Covers Aml Cft Concepts In Securities Market Offering In Depth Analysis Of Pmla Sebi Guidelines Case Studies written by NISM (An Educational Initiative of SEBI) and has been published by Taxmann Publicaions Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2025-05-06 with Law categories.

AML and CFT Provisions in Securities Markets is an authoritative guide that lays down the foundational and advanced concepts around Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) provisions in the Indian securities market. This workbook facilitates a deep understanding of the prevention of money laundering, regulatory compliance, and the broader legal framework governing securities intermediaries. It is a core study resource for individuals preparing for the NISM Certification Examination on AML and CFT Provisions while acting as a practical reference guide for industry professionals. This book is intended for the following audience: • Aspiring Professionals and Students – Those seeking to enter the securities market industry and looking to clear the NISM AML–CFT Certification Examination • Industry Practitioners – Employees of stock exchanges, brokerages, mutual fund houses, compliance teams, and other financial intermediaries who require an in-depth understanding of AML and CFT guidelines • Compliance and Legal Teams – Legal and compliance personnel responsible for creating, implementing, or auditing AML–CFT policies within their organisations • Academicians and Researchers – Educators and researchers examining the evolving landscape of financial crime prevention and risk management in securities markets The Present Publication is the January 2025 Workbook Version, developed in collaboration with the Certification Team of NISM and Ms Monica Sachdeva & reviewed by Dr Shreyas Vyas. It is published exclusively by Taxmann, with the following noteworthy features: • [Official NISM Resource] Authored and reviewed by domain experts, ensuring alignment with the standards and requirements of the NISM certification examination • [Comprehensive Coverage] Explains key legislation, rules, and guidelines, including the Prevention of Money Laundering Act (PMLA), SEBI regulations, and related case studies • [Lucid Explanation of Concepts] Simplifies complex statutory provisions, enabling easy comprehension by readers with varying levels of familiarity with financial regulations • [Practical Guidance] Examples and case discussions illustrate how AML, CFT, and Proliferation Financing (PF) regulations apply in the daily operations of intermediaries • [Exam-focused Learning] Includes a structured syllabus outline to help readers focus on examination-specific content and prepare strategically The coverage of the book is as follows: • Foundational Concepts o Introduces AML, CFT, and Proliferation Financing (PF), their global and Indian initiatives, and the processes of money laundering • Prevention of Money Laundering Act (PMLA) o In-depth exploration of the Act's provisions, reporting obligations, and the roles of regulatory authorities such as FIU-IND and SEBI • Maintenance of Records Rules o Detailed discussion on the Prevention of Money-laundering (Maintenance of Records) Rules 2005, covering the record-keeping process and digital KYC norms • Scheduled Offences o Examination of relevant offences under various laws, including the SEBI Act and the Companies Act, highlighting how they relate to AML/CFT • Guidelines & Regulatory Framework o Anti-Money Laundering (AML) and CFT Standards o Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) o SEBI Guidelines – A comprehensive look at SEBI's frameworks for AML–CFT compliance, written AML procedures, and operational guidelines for intermediaries • Know Your Client (KYC) Norms o A step-by-step outline of KYC procedures, including online KYC apps, SARAL account opening forms, and KYC Registration Agencies • Case Studies o Practical precedents and regulatory actions (e.g., FIU-IND vs. Way2Wealth Brokers, SEBI vs. SKSE Securities, Paytm Payments Bank, etc.) providing insight into enforcement and compliance lapses The structure of the book is as follows: • Eight Thematic Chapters – Organised into Parts A and B, each delving into a specific facet of AML–CFT regulations. The chapters progress logically from foundational overviews (Chapter 1) to detailed rule-based coverage (Chapters 2 and 3), scheduled offences (Chapter 4), guidelines (Chapters 5 and 6), and KYC-specific mandates (Chapter 7). The final chapter (Chapter 8) focuses on practical case studies • Practice-oriented Approach – Flowcharts, practical examples, and recommended best practices are integrated throughout to guide practical implementation and examination readiness • Syllabus Outline & Assessment – Concludes with detailed chapter-wise weightage, ensuring learners can align their study strategy with exam requirements

Taxmann S Analysis Dematerialization Now Mandatory For Private Companies Except Small Companies

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Author : Taxmann
language : en
Publisher: Taxmann Publications Private Limited
Release Date : 2023-10-31

Taxmann S Analysis Dematerialization Now Mandatory For Private Companies Except Small Companies written by Taxmann and has been published by Taxmann Publications Private Limited this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-10-31 with Law categories.

This article explores the provisions concerning private companies' mandatory issuance of dematerialized securities. It discusses the requirements for dematerializing holdings of promoters, directors, and KMP before offering buyback of securities and mandatory dematerialization for security holders subscribing to securities through private placement, bonus shares, or rights offers. Additionally, it covers private company responsibilities towards depositories and registrars to an issue and share transfer agents. The article also addresses compliance requirements for share warrants issued by a public company before the commencement of the Companies Act 2013 and the impact of these amendments.