3 Review(s)

Securities Operations and Risk Management covers all important aspects related to the stockbroking operations, starting from the following: (1) Client On-Boarding (2) Trade Life Cycle (3) Compliance Requirements related to Report Submission (4) Redressal of Investor Grievances This book will be helpful for those who want to learn about the various functions of a broker's operations and risk management in the securities market. The Present Publication is the March 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features: (1) [Know the Basics of the Indian Securities Market], the different products traded and the various market participants and the respective roles they play in the Indian securities market (2) [Understand the Regulatory Framework] and the role of the Securities Exchange Board of India (3) [Understand the Trade Life Cycle], the steps and participants involved in the trade life cycle (4) [Know the Various Functions] of the Front Office, Middle Office and Back Office in a Securities Broking Firm (5) [Understand How the Risks are Managed] in a securities broking firm, the clearing and settlement process (6) [Understand the Various Procedures] for redressal of investor grievances. The contents of the book are as follows: (1) Introduction to Securities Markets (2) Market Participants in the Securities Market (3) Introduction to Securities Broking Operations (4) Risk Management (5) Clearing Process (6) Settlement Process (7) Investor Grievances and Arbitration (8) Other Services Provided by Brokers 9789391596378 Taxation in Securities Markets provides complete information about the Income-tax & GST implications arising from the securities market transactions, covering 30+ securities transactions. This book is divided into three sections, covering provisions applicable to traders/brokers & investors: (1) Introduction to Securities Markets and Securities (2) Provisions in respect of Investors (3) Provisions in respect of Traders This book also will be beneficial to all those who want to learn about the taxation concepts and aspects relating to the products and intermediaries of the Securities Markets. The Present Publication is the June 2021 workbook version, authored & published exclusively by Taxmann for NISM Certification Examination XX [Taxation in Securities Market], with the following noteworthy features: (1) [Know the Basics] of the Indian Securities Market-Structure, Participants, Products and Features (2) [Know the Basic Concepts] in Taxation, Capital Gains, Sources of Income etc. (3) [Understand the Taxation of Products] available in the market viz., Equity, Debt, ESOPs, Exchange Traded Funds, Alternate Investment Funds, Real Estate Investment Trusts, Infrastructure Investment Trust and Derivative products (4) Taxation in the hands of the Intermediaries, Foreign Portfolio Investors, IFSC etc. (5) The contents of the book are as follows: (6) Introduction to Securities Markets and Securities (a) Concepts in Taxation (b) Capital Gains (c) Income from other Sources (7) Provisions in respect of Investors (a) Taxation of Debt Products (b) Taxation of Equity Products (c) Taxation of other Products (8) Provisions in respect of Traders (a) Business Income (b) Taxation in the hands of the Intermediaries (c) Taxation – In the hands of the Foreign Portfolio Investor (FPIS) (d) Tax Implications of IFSC (e) Tax Provisions for Special Cases (f) Indirect Taxes in Securities Markets (9) Annexures (a) Maintenance of Accounts (b) Due Date for Filing of Income-tax Return (c) Penalty for Non-Compliance (d) Summarized Tax Table – Product-wise (e) Tax Rates for Assessment Year 2021-22 (f) Deductions under Income-tax Act (g) Exemptions under Income-tax Act (h) Tax on Transfer of Securities (i) Cost Inflation Index