Registrars to an Issue and Share Transfer Agents – Mutual Funds.pdf

Registrars to an Issue and Share Transfer Agents – Mutual Funds seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function to enable better quality investor service, operational process efficiency and risk controls.

It also aims to enhance sales and distribution quality and enable better investor services.

The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination II-B [Registrars to an Issue and Share Transfer Agents – Mutual Funds], with the following noteworthy features:

• [Know the Basics] of securities and securities markets
• [Understand] the role and functions of RTA in the mutual fund issuance & transaction process
• [Know the Regulatory Environment] in which RTAs operate in India

The detailed contents of the book are as follows:

• Introduction to Securities
• Characteristics of Equity Shares
• Characteristics of Debt Securities
• Characteristics of Other Securities
• SEBI – Role and Regulations
• Basics of Registrars and Transfer Agents
• Registrar and Transfer Agent Regulations
• Basics of Mutual Funds
• Mutual Fund Structure and Constituents
• Mutual Fund Products
• Operational Concepts of Mutual Funds
• Investors in Mutual Funds
• Banking Operations in Mutual Funds
• Financial Transactions
• Non-Financial Transactions