📘 Securities Intermediaries Compliance (Non-Fund) | NISM Series-III A | January 2023 Edition
📚 Published by Taxmann | Comprehensive Guide for NISM Certification

This authoritative workbook is your one-stop reference for mastering compliance regulations in the securities market, tailored for professionals handling compliance functions with SEBI-registered intermediaries such as stock brokers, depository participants, merchant bankers, underwriters, CRAs, and more.

🔍 Key Highlights:
✅ Complete Regulatory Framework – Covers SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, AML/CFT, and KYC
✅ Two-Part Structure:
 • Part A – Financial Structure & Regulatory Overview
 • Part B – Intermediary-Specific Regulations & SEBI Guidelines
✅ Practical Focus on Compliance – Understand the role, scope, and responsibilities of Compliance Officers and the implications of non-compliance
✅ Includes Intermediary Codes of Conduct – Across all SEBI-regulated entities
✅ Ideal for:
 ▪️ Compliance Officers & Legal Teams
 ▪️ Market Intermediaries & SEBI Registrants
 ▪️ NISM Certification Aspirants (Series III-A)
 ▪️ Financial Regulators & Advisors
✅ Enables proficiency in:
 ✔ Regulatory inspection procedures
 ✔ SEBI enforcement mechanisms
 ✔ Compliance for IPOs, Mutual Funds, Depositories, M&A, Takeovers, etc.
 ✔ Reporting obligations & grievance redressal mechanisms

🎯 Your essential resource to ensure legal and regulatory compliance across all SEBI-registered financial intermediaries.