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Surveillance Rev

Surveillance Rev

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Published by Amit Kumar

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Published by: Amit Kumar on Nov 15, 2013
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Surveillance in Stock Exchanges ModuleWork Book
NATIONAL STOCK EXCHANGE OF INDIA LIMITED
 
Test Details:
Sr. No.Name of ModuleFees (Rs.)Test Duration (in minutes)No. of QuestionsMaximum MarksPass Marks (%)
Certicate
Validity
1Financial Markets: A BeginnersModule *1500120601005052Mutual Funds : A Beginners' Module1500120601005053Currency Derivatives: A Beginners Module1500120601005054Equity Derivatives: A Beginners Module1500120601005055Interest Rate Derivatives: A Beginners Module1500120601005056Commercial Banking in India: A Beginner’s Module1500120601005057Securities Market (Basic) Module1500105601006058Capital Market (Dealers) Module *1500105601005059Derivatives Market (Dealers) Module *15001206010060310FIMMDA-NSE Debt Market (Basic) Module15001206010060511Investment Analysis and Portfolio Management Module15001206010060512Fundamental Analysis Module15001206010060513Securities Market (Advanced) Module15001206010060514Mutual Fund (Advanced) Module15001206010060515Banking Sector Module15001206010060516Insurance Module15001206010060517Macroeconomics for Financial Markets Module15001206010060518NISM-Series-I: Currency Derivatives
Certication Examination
10001206010060319NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents – Corporate
Certication Examination
100012010010050320NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents – Mutual Fund
Certication Examination
100012010010050321NISM-Series-IV: Interest Rate Derivatives
Certication Examination
100012010010060322NISM-Series-V-A: Mutual Fund Distributors
Certication Examination *
100012010010050323NISM-Series-VI: Depository Operations
Certication Examination
100012010010060324NISM Series VII: Securities Operations and
Risk Management Certication Examination
100012010010050325
Certied Personal Financial Advisor (CPFA) Examination
40001208010060326NSDLDepository Operations Module1500756010060 #527Commodities Market Module18001206010050328
Surveillance in Stock Exchanges Module
15001205010060529Corporate Governance Module15009010010060530
Compliance Ofcers (Brokers) Module
15001206010060531
Compliance Ofcers (Corporates) Module
150012060100605Information Security Auditors Module (Part-1)22501209010060232Information Security Auditors Module (Part-2)2250120901006033Options Trading Strategies Module15001206010060534
FPSB India Exam 1 to 4**
2000 per
exam
1207514060NA35
Examination 5/Advanced Financial Planning **
50002403010050NA36Equity Research Module ##15001206510055237Issue Management Module ##15001208010055238Market Risk Module ##15001205010055239Financial Modeling Module ###1000150507550NA* Candidates have the option to take the tests in English, Gujarati or Hindi languages.
# Candidates securing 80% or more marks in NSDL-Depository Operations Module ONLY will be certied as ‘Trainers’.** Following are the modules of Financial Planning Standards Board India (Certied Financial Planner Certication) - FPSB India Exam 1 to 4 i.e. (i) Risk Analysis & Insurance Planning (ii) Retirement Planning & Employee Benets (iii) Investment Planning and (iv) Tax Planning & Estate Planning - Examination 5/Advanced Financial Planning
## Modules of Finitiatives Learning India Pvt. Ltd. (FLIP)### Module of IMS Proschool
The curriculum for each of the modules (except Modules of Financial Planning Standards Board India, Finitiatives Learning India Pvt. Ltd. and IMS Proschool) is available on our website: www.nseindia.com > Education > Certications.
 
1
CONTENTS
Chapter 1: Surveillance – An Introduction ..............................................................5
1.1 Importance Of Surveillance ...............................................................................51.2 Market Surveillance Mechanism .........................................................................5
Chapter 2: Surveillance Of Market Activities ........................................................13
2.1 Introduction ..................................................................................................132.2 Surveillance System .......................................................................................142.3 Surveillance Actions .......................................................................................15
Chapter 3: Risk Management ...............................................................................25
3.1 Introduction ..................................................................................................253.2 Risk Containment Measures ............................................................................25
 3.2.1 Settlement Guarantee Mechanism .........................................................27  3.2.2 Asset/ Capital Adequacy ......................................................................28 3.2.3 Margins .............................................................................................33 3.2.4 Inspection Of Books And Investigation ...................................................43 3.2.5 Penal Charges ....................................................................................43 3.2.6 On-line Monitoring ..............................................................................45 
Chapter 4: Rules And Regulations .......................................................................46
4.1 Securities Contracts (Regulations) Act, 1956 .....................................................464.2 Securities Contracts (Regulation) Rules, 1957 ....................................................50
4.3 Securities And Exchange Board of India Act, 1992
 ..............................................504.4 SEBI
 (Stock Brokers & Sub-brokers) Regulations, 1992
 .......................................544.5 SEBI Issue of Capital and Disclosure Requirements (ICDR) Regulations 2009 .........634.6 SEBI (Prohibition of Insider Trading) Regulations, 1992 .......................................71

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