View Contents: Depositories_Operation_Content.pdf

The examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in:

• Dealing or interacting with clients;
• Dealing with securities of clients;
• Handling redressal of investor grievances;
• Internal control or risk management;
• Activities having a bearing on operational risk;
• Maintenance of books and records pertaining to the above activities

This book will be beneficial to all those interested to learn about the functions of Depositories and Depositories Participants

The Present Publication is the December 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination VI [Depository Operations], with the following noteworthy features:

• [Know the Basics] of the Indian securities market and the following:
• Depository system
• Need for depository
• Key features of the depository system in India
• [Understand] the following in detail:
• The institutional structure of the depository system in India
• Business partners of a depository
• The regulatory framework in which the depositories & their depository participants function, their eligibility criteria, registration procedure, rights & obligations, etc.
• How Demat account is opened, documents required & significance of Power of Attorney
• [Know the Various Functions] of Depository & Depository Participants, such as:
• Dematerialisation
• Trading & Settlement
• Pledging & Hypothecation

The detailed contents of the book are as follows:

• Introduction to the Indian Capital Market
• Introduction to Depository
• Depository and its Business Partners
• Functions of Depository Participant – Account Opening
• Functions of Depository Participant – Account Operations
• Functions of Depository Participant – Transmission and Nomination
• Functions of Depository Participant – Dematerialisation
• Functions of Depository Participant – Trading and Settlement
• Special Services – Pledge & Hypothecation
• Special Services – Public Offering/Corporate Actions
• Special Services – Debt Instruments & Government Securities
• Foreign Portfolio Investors (FPI)
• Investor Services