CHAPTER 2: MARKET PARTICIPANTS IN THE SECURITIES MARKET
INTRODUCTION
INVESTORS
ISSUERS
INTERMEDIARIES
REGULATORS

CHAPTER 3: INTRODUCTION TO SECURITIES BROKING OPERATIONS
INTRODUCTION TO THE TRADE LIFE CYCLE
FRONT OFFICE OPERATIONS
MIDDLE OFFICE OPERATIONS
BACK OFFICE OPERATIONS

CHAPTER 4: RISK MANAGEMENT
RISK MANAGEMENT
COMPLIANCES AND REGULATORY REPORTING
CORE SETTLEMENT GUARANTEE FUND

CHAPTER 5: CLEARING PROCESS
INTRODUCTION
ROLE OF THE CLEARING AGENCY
CLEARING BANKS AND THEIR FUNCTION
CLEARING MEMBERS /CUSTODIANS
DEPOSITORIES & DEPOSITORY PARTICIPANTS
CLEARING PROCESS

CHAPTER 6: SETTLEMENT PROCESS
INTRODUCTION
DETERMINATION OF SETTLEMENT OBLIGATIONS- EQUITY SEGMENT
SETTLEMENT OF FUNDS
SETTLEMENT OF SECURITIES
CORPORATE ACTIONS ADJUSTMENT
AUCTION OF SECURITIES

CHAPTER 7: INVESTOR GRIEVANCES AND ARBITRATION
INTRODUCTION
INVESTOR GRIEVANCE
INVESTOR PROTECTION FUND
ARBITRATION

CHAPTER 8: OTHER SERVICES PROVIDED BY BROKERS
INTRODUCTION
IPO APPLICATIONS
TRADING OF MUTUAL FUND UNITS