📘 Securities Operations & Risk Management | NISM Series-VII Certification Workbook
🗓️ January 2024 Edition | Published by Taxmann

This comprehensive guide is crafted for professionals and aspirants in the Indian securities market, aiming to establish a minimum knowledge benchmark for associated persons of stock brokers, trading members, and clearing members. Aligned with the NISM Series-VII Certification, this book equips readers with essential skills in brokerage operations, risk management, and regulatory compliance.

🔍 Key Highlights:
✅ Client Onboarding to Trade Lifecycle – From initial client registration to order execution, clearing & settlement
✅ Risk Management – Core Settlement Guarantee Fund, compliance obligations, and regulatory reporting
✅ Investor Grievance Redressal – Arbitration procedures, dispute resolution mechanisms, and Investor Protection Fund
✅ Clearing & Settlement Processes – Explained with roles of clearing corporations, banks, depositories, custodians
✅ Market Participants & Structure – Roles of issuers, investors, intermediaries, and regulators
✅ Broker Services – IPO facilitation, mutual funds, PMS, depository services, margin trading, online trading tech

🎯 Who Should Use This Book?

• 📈 Stockbrokers & Trading Professionals

• 👨‍⚖️ Compliance Officers & Risk Managers

• 🎓 NISM Certification Aspirants

• 🧑‍💼 Back-office & Front-office Executives

• 📚 Law, Finance & Commerce Students

🧠 Master the back-end and compliance side of securities markets with practical clarity and operational know-how—your must-have workbook for certification and real-world application.