Registrars to an Issue and Share Transfer Agents – Corporate

Registrars to an Issue and Share Transfer Agents – Corporate seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations performing the following functions for listed companies:

• Dealing/Interacting with Investors/Issuers
• Dealing/Collecting/Processing Applications from Applicants
• Dealing with matters related to the following:
• Corporate Actions
• Refunds
• Redemptions
• Repurchase of Securities
• Handling Redressal of Investors' Grievances
• Responsible for Internal Control & Risk Management
• Responsible for Compliance with Securities Law
• Responsible for any activity performed under SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993

The Present Publication is the November 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination II-A [Registrars to an Issue and Share Transfer Agents – Corporate], with the following noteworthy features:

• [Know the Basics] of securities and securities markets
• [Understand] broadly the role and functions of R&T Agents in the corporate securities issuance & transaction process
• [Know the Regulatory Environment] in which R&T Agents 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
• Basics of Mutual Funds
• SEBI – Role and Regulations
• Public Offer of Securities
• Modes of Allotment of Share other than Public Offers
• Process related to Public Offering of Shares
• Roles and Responsibilities in a Public Issue
• Depository Services
• Process related to Depositories
• Investor Interface with the R&T Agent
• Secondary Market Transactions
• Client Servicing