NISM Securities Operations and Risk Management Exam Series VII Course

Module-1 Navigating the Indian Securities Market Structures Products

Section-1 Navigating the Indian Securities Market Structures Products

Module-2 Mastering the Indian Securities Market Derivatives Focus

Section-2 Mastering the Indian Securities Market Derivatives Focus

Module-3 Navigating the Securities Market Debt REITs and InvITs

Section-3 Navigating the Securities Market Debt REITs and InvITs

Module-4 Navigating the Securities Market A Focus on International Financial Services Centres IFSC

Section-4 Navigating the Securities Market A Focus on International Financial Services Centres IFSC

Module-5 Navigating the Securities Market Issuers Accredited Investors and Market Makers

Section-5 Navigating the Securities Market Issuers Accredited Investors and Market Makers

Module-6 Market Participants in the Securities Market Structure Regulations

Section-6 Market Participants in the Securities Market Structure Regulations

Module-7 Market Participants Membership Eligibility and Fit Proper Criteria

Section-7 Market Participants Membership Eligibility and Fit Proper Criteria

Module-8 Guardians of Assets Understanding Custodians in the Securities Market

Section-8 Guardians of Assets Understanding Custodians in the Securities Market

Module-9 Regulators and Regulatory Framework of the Indian Securities Market

Section-9 Regulators and Regulatory Framework of the Indian Securities Market

Module-10 Market Participants Regulatory Framework in Securities Market

Section-10 Market Participants Regulatory Framework in Securities Market

Module-11 Market Regulations Unpacked SCRR 1957 SECC 2018

Section-11 Market Regulations Unpacked SCRR 1957 SECC 2018

Module-12 Market Participants Regulatory Framework AML Compliance

Section-12 Market Participants Regulatory Framework AML Compliance

Module-13 Decoding SEBI Prohibition of Insider Trading Regulations 2015

Section-13 Decoding SEBI Prohibition of Insider Trading Regulations 2015

Module-14 Market Integrity Mastering SEBI PFUTP Regulations 2003

Section-14 Market Integrity Mastering SEBI PFUTP Regulations 2003

Module-15 The Shadow Market Understanding Dabba Trading and its Consequences

Section-15 The Shadow Market Understanding Dabba Trading and its Consequences

Module-16 Key Regulations SEBI Custodian KRA Regulations

Section-16 Key Regulations SEBI Custodian KRA Regulations

Module-17 Mastering Market Regulations Intermediaries and Depositories

Section-17 Mastering Market Regulations Intermediaries and Depositories

Module-18 The Pulse of the Market Mastering the Securities Trade Life Cycle

Section-18 The Pulse of the Market Mastering the Securities Trade Life Cycle

Module-19 Securities Broking Operations Order Life Cycle Risk Management

Section-19 Securities Broking Operations Order Life Cycle Risk Management

Module-20 Securities Broking Operations Order Matching to Trade Confirmation

Section-20 Securities Broking Operations Order Matching to Trade Confirmation

Module-21 Securities Broking Operations Contract Notes to Settlement

Section-21 Securities Broking Operations Contract Notes to Settlement

Module-22 Front Office Operations The Gateway to Securities Broking

Section-22 Front Office Operations The Gateway to Securities Broking

Module-23 Securities Broking Operations IPV Beneficial Ownership

Section-23 Securities Broking Operations IPV Beneficial Ownership

Module-24 Securities Broking Operations Mastering KRA and CKYC

Section-24 Securities Broking Operations Mastering KRA and CKYC

Module-25 Securities Broking Operations Mastering the Unique Client Code UCC

Section-25 Securities Broking Operations Mastering the Unique Client Code UCC

Module-26 Demystifying Power of Attorney PoA DDPI in Stock Broking

Section-26 Demystifying Power of Attorney PoA DDPI in Stock Broking

Module-27 Mastering DDPI The New Standard for Securities Transfer Pledging

Section-27 Mastering DDPI The New Standard for Securities Transfer Pledging

Module-28 Front Office Operations Order Management Brokerage

Section-28 Front Office Operations Order Management Brokerage

Module-29 Front Office Operations Order Types in Securities Broking

Section-29 Front Office Operations Order Types in Securities Broking

Module-30 Securities Broking Operations Front Middle and Risk Management

Section-30 Securities Broking Operations Front Middle and Risk Management

Module-31 Securities Broking Risk Management Back Office Operations

Section-31 Securities Broking Risk Management Back Office Operations

Module-32 The Backbone of Broking Back Office Operations IT Infrastructure

Section-32 The Backbone of Broking Back Office Operations IT Infrastructure

Module-33 Operational Resilience Managing Glitches and Cyber Security in Broking

Section-33 Operational Resilience Managing Glitches and Cyber Security in Broking

Module-34 Operational Resilience Managing Software Vendor Risks in Broking

Section-34 Operational Resilience Managing Software Vendor Risks in Broking

Module-35 SEBIs Framework for Cloud Adoption by Regulated Entities

Section-35 SEBIs Framework for Cloud Adoption by Regulated Entities

Module-36 Statutory Levies Securities Transaction Tax STT and Stamp Duty

Section-36 Statutory Levies Securities Transaction Tax STT and Stamp Duty

Module-37 Demystifying Large Trades Bulk Deals Block Deals

Section-37 Demystifying Large Trades Bulk Deals Block Deals

Module-38 Risk Management Framework in the Capital Market Protecting the System

Section-38 Risk Management Framework in the Capital Market Protecting the System

Module-39 Risk Management in Securities Mastering VaR ELM and Collection Mechanisms

Section-39 Risk Management in Securities Mastering VaR ELM and Collection Mechanisms

Module-40 Mastering Risk Management MTM Losses and Volatility Margins

Section-40 Mastering Risk Management MTM Losses and Volatility Margins

Module-41 Risk Management Margin Caps on Buy Transactions

Section-41 Risk Management Margin Caps on Buy Transactions

Module-42 Risk Management Liquid Assets Security Categorization and Institutional Margining

Section-42 Risk Management Liquid Assets Security Categorization and Institutional Margining

Module-43 Risk Management Shortfalls BMC and Early Pay-in

Section-43 Risk Management Shortfalls BMC and Early Pay-in

Module-44 Risk Management Pre-trade Controls Dynamic Price Bands

Section-44 Risk Management Pre-trade Controls Dynamic Price Bands

Module-45 Risk Management in Derivatives Frameworks Risk Reduction Mode

Section-45 Risk Management in Derivatives Frameworks Risk Reduction Mode

Module-46 Risk Management Initial Margin MPOR Explained

Section-46 Risk Management Initial Margin MPOR Explained

Module-47 Advanced Risk Management Volatility Spreads and Expiry Protocols

Section-47 Advanced Risk Management Volatility Spreads and Expiry Protocols

Module-48 Advanced Risk Management Crystallized Obligations Net Option Value

Section-48 Advanced Risk Management Crystallized Obligations Net Option Value

Module-49 Advanced Risk Management Premiums Delivery Extreme Loss Margins

Section-49 Advanced Risk Management Premiums Delivery Extreme Loss Margins

Module-50 Risk Management Tail Risk Volatility Controls

Section-50 Risk Management Tail Risk Volatility Controls

Module-51 Advanced Risk Management Margins Assets Net Worth

Section-51 Advanced Risk Management Margins Assets Net Worth

Module-52 Risk Management Pre-Trade Controls RRM and Position Limits

Section-52 Risk Management Pre-Trade Controls RRM and Position Limits

Module-54 Client Margin Management Capital Market FO and Currency Segments

Section-54 Client Margin Management Capital Market FO and Currency Segments

Module-55 Client Margin Monitoring Mechanisms Penalties

Section-55 Client Margin Monitoring Mechanisms Penalties

Module-56 Safeguarding Client Assets Collateral Mechanism and Margin Reporting

Section-56 Safeguarding Client Assets Collateral Mechanism and Margin Reporting

Module-57 Enhanced Supervision Surveillance Strengthening Market Integrity 1

Section-57 Enhanced Supervision Surveillance Strengthening Market Integrity 1

Module-58 Risk Management Compliances Reporting Penalties under SEBI Act

Section-58 Risk Management Compliances Reporting Penalties under SEBI Act

Module-59 Risk Management Compliance Agreements and Book Maintenance

Section-59 Risk Management Compliance Agreements and Book Maintenance

Module-60 Risk Management Regulatory Reporting and Account Settlement

Section-60 Risk Management Regulatory Reporting and Account Settlement

Module-61 Risk Management Client Reporting Risk Based Supervision

Section-61 Risk Management Client Reporting Risk Based Supervision

Module-62 Risk Management STR Compliance Voluntary Account Blocking

Section-62 Risk Management STR Compliance Voluntary Account Blocking

Module-63 Risk Management Qualified Stock Brokers Core SGF

Section-63 Risk Management Qualified Stock Brokers Core SGF

Module-64 Risk Management The Core Settlement Guarantee Fund Core SGF

Section-64 Risk Management The Core Settlement Guarantee Fund Core SGF

Module-65 Risk Management Default Waterfall Stress Testing Protocols

Section-65 Risk Management Default Waterfall Stress Testing Protocols

Module-66 Clearing Process The Core Role Interoperability

Section-66 Clearing Process The Core Role Interoperability

Module-67 The Clearing Process Banks Members and Custodians

Section-67 The Clearing Process Banks Members and Custodians

Module-68 Clearing Process The Role of Depositories DPs

Section-68 Clearing Process The Role of Depositories DPs

Module-69 Clearing Process Institutional Settlements Block Mechanism

Section-69 Clearing Process Institutional Settlements Block Mechanism

Module-70 Clearing Process Pay-In Validation Settlement Mechanics

Section-70 Clearing Process Pay-In Validation Settlement Mechanics

Module-71 Clearing Process Derivatives and Net Settlement Benefits

Section-71 Clearing Process Derivatives and Net Settlement Benefits

Module-72 Mastering the Clearing Process Netting and Obligations

Section-72 Mastering the Clearing Process Netting and Obligations

Module-72 Mastering the Clearing Process Netting and Obligations 1

Section-72 Mastering the Clearing Process Netting and Obligations 1

Module-73 The T0 Settlement Revolution Beta Version Operational Mechanics

Section-73 The T0 Settlement Revolution Beta Version Operational Mechanics

Module-74 Mastering the Settlement Process Obligations and Mechanisms

Section-74 Mastering the Settlement Process Obligations and Mechanisms

Module-75 The Settlement Process Funds Obligations

Section-75 The Settlement Process Funds Obligations

Module-76 Mastering the Settlement Process Funds Margins and Dues

Section-76 Mastering the Settlement Process Funds Margins and Dues

Module-76 Mastering the Settlement Process Funds Margins and Dues 1

Section-76 Mastering the Settlement Process Funds Margins and Dues 1

Module-77 Mastering the Settlement Process Funds Securities and Shortages

Section-77 Mastering the Settlement Process Funds Securities and Shortages

Module-78 Settlement Process Depository System Holiday Management

Section-78 Settlement Process Depository System Holiday Management

Module-79 Settlement Process Auctions and Close Out Procedures

Section-79 Settlement Process Auctions and Close Out Procedures

Module-81 Settlement Process Corporate Action Adjustments

Section-81 Settlement Process Corporate Action Adjustments

Module-82 Settlement Process Mergers Demergers Corporate Actions

Section-82 Settlement Process Mergers Demergers Corporate Actions

Module-83 Investor Grievance Redressal Arbitration Mechanism

Section-83 Investor Grievance Redressal Arbitration Mechanism

Module-84 Investor Grievances ISCs and Online Dispute Resolution ODR

Section-84 Investor Grievances ISCs and Online Dispute Resolution ODR

Module-85 Investor Grievances ODR Empanelment Dispute Initiation

Section-85 Investor Grievances ODR Empanelment Dispute Initiation

Module-86 Mastering Investor Grievances The ODR Arbitration Mechanism

Section-86 Mastering Investor Grievances The ODR Arbitration Mechanism

Module-87 Investor Grievance Redressal ODR Proceedings Fees

Section-87 Investor Grievance Redressal ODR Proceedings Fees

Module-88 Investor Protection ODR Responsibilities The Investor Protection Fund

Section-88 Investor Protection ODR Responsibilities The Investor Protection Fund

Module-89 Investor Grievances The Investor Services Fund ISF

Section-89 Investor Grievances The Investor Services Fund ISF

Module-90 Broker Services IPOs Mutual Funds and PMS Operations

Section-90 Broker Services IPOs Mutual Funds and PMS Operations

Module-91 Beyond Execution Value-Added Services by Stock Brokers

Section-91 Beyond Execution Value-Added Services by Stock Brokers

Module-92 Digital Frontiers Internet Based Trading IBT Wireless Technology STWT

Section-92 Digital Frontiers Internet Based Trading IBT Wireless Technology STWT

Module-93 Code of Conduct for Stock Brokers Ethics Compliance

Section-93 Code of Conduct for Stock Brokers Ethics Compliance

Module-94 Code of Conduct Mastering the Duty Towards the Investor

Section-94 Code of Conduct Mastering the Duty Towards the Investor

Module-95 Code of Conduct Duty Towards Other Stock-Brokers

Section-95 Code of Conduct Duty Towards Other Stock-Brokers

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NISM Securities Operations and Risk Management Exam Series VII

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