Securities Operations & Risk Management - Course Contents

Introduction to Securities Market

• Meaning of securities market and its role in the Indian Economy

• The different segments of securities market

• Products traded in Indian securities market

• Concept of International Financial Services Centres (IFSC)

Securities Market Participants

• Different types of securities market participants

• Different types of investors based on their investment objectives

• Issuer and regulations related to issuer

• Role of different kinds of intermediaries in the securities market

• Regulatory framework of securities and some key regulations

Introduction to Securities Broking Operations

• Concept of securities trade life cycle

• Front Office, Middle Office and Back Office Operations of a stock broking firm

• Information Technology and Business Continuity Plan of a stock broking firm

Risk Management

• Risk management framework for capital market and derivatives segment

• Compliances and Regulatory Reporting by the Stock Brokers

• Core Settlement Guarantee Fund

Clearing Process

• Role of Clearing Corporation

• Role of Clearing Members and Custodians

• Role of Depositories and Depository Participant

• Clearing Process

Settlement Process

• Determining of Settlement of obligations

• Settlement of Funds

• Settlement of Securities

• Corporate Actions adjustment

• Methodology for adjustment in Equity F&O

• Auction of securities

Investor Grievances & Arbitration

• Investor Grievance

• Online Resolution of Disputes

• Investor Protection Fund

• Arbitration process

Anciliary services by the stock brokers

• IPO Applications

• Trading of Mutual Fund Units

• Portfolio Management Service

• Research Reports

• Depository Services

• Margin Trading

• Internet Based Trading etc.