NISM SECURITIES INTERMEDIARIES COMPLIANCE COURSE

Introduction to the Financial System

Chapter 2 Regulatory Framework – General View

Chapter 3 Introduction to Compliance

Chapter 4 SEBI Act, 1992

Chapter 5 Securities Contracts (Regulation) Act, 1956

Chapter 6 SEBI (Intermediaries) Regulations, 1992

 

Chapter 7 SEBI (Prohibition of Insider Trading) Regulations, 1992

Chapter 8 SEBI Prohibition of Fraudulent and Unfair Trade Practices

Chapter 9 Prevention of Money Laundering Act 2002

Chapter 10: SEBI (KYC Registration Agency) Regulations, 2011

Part B – Understanding Intermediary Specific Regulations

 

Chapter 11 SEBI (Stock Brokers and Sub-brokers) Regulations, 1992,

 Chapter 12 SEBI (Merchant Bankers) Regulations, 1992

Chapter 13 SEBI (Issue of Capital Disclosure and Requirements) Regulations, 2009

Chapter 14 SEBI (Depositories) Regulations, 1996

Chapter 15 SEBI (Depositories and Participants) Regulations

Chapter 16 SEBI (Bankers to an Issue) Regulations, 1994

 

Chapter 17 SEBI (Underwriters) Regulations, 1993

Chapter 18 SEBI (Debenture Trustees) Regulations, 1993

Chapter 19 SEBI (Credit Rating Agencies) Regulations, 1999

Chapter 20 SEBI (Custodian of Securities) Regulations, 1996

Leave a Reply

Your email address will not be published. Required fields are marked *