Program

Programme in Securities Operations and Risk Management

12 weeks English

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Program Description



    • To learn about the Functioning of Securities Market In India

    • Know about the different Market Participants, Types of Instruments, Intermediaries and the role of SEBI as a regulator

    • Understanding the process of Trade Life Cycle viz., Custodial Transaction execution, Order Management, Operations Management, Risk Disclosure & Clearing and Settlement

    • To know how the Risk Management Framework, encompassing Compliance and Regulatory Reporting works.

    • Explaining the role of key Participants like the Clearing House, Clearing Banks, Custodians, Depositaries & Brokers

    • Understanding the Settlement Process, Margin Payments and how Auction is carried out

    • Learn about Investor Grievances, Arbitration & Customer Protection Fund

    • Services offered by Brokers



 

Program Fee

  • 4720 (inclusive of tax)

Educational Qualification

A bachelor's degree from a recognized Indian university or Students pursuing Graduation

Suggested Prerequisites

Basic understanding on Indian Stock Market

Duration

12 weeks

Certificate

Certificate of Course Completion by IIT-MADRAS

Teaching Hours

15 Hours of Theory and 2 hours of Case Study

Lead Faculty

  • Mrs. S. Supritha
    A Senior academician with more than 20 years of experience in Teaching

Course offered by

Learning Schedule

S.No Modules
1

CHAPTER 1: INTRODUCTION TO THE SECURITIES MARKET
INTRODUCTION
SECURITIES MARKET
MONEY MARKETS
PRODUCTS TRADED IN THE INDIAN SECURITIES MARKET
2

CHAPTER 2: MARKET PARTICIPANTS IN THE SECURITIES MARKET
INTRODUCTION
INVESTORS
ISSUERS
INTERMEDIARIES
REGULATORS
3

CHAPTER 3: INTRODUCTION TO SECURITIES BROKING OPERATIONS
INTRODUCTION TO THE TRADE LIFE CYCLE
FRONT OFFICE OPERATIONS
MIDDLE OFFICE OPERATIONS
BACK OFFICE OPERATIONS
4

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


 


 


 


 


 


 


 
5

CHAPTER 5: CLEARING PROCESS
INTRODUCTION
ROLE OF THE CLEARING AGENCY
CLEARING BANKS AND THEIR FUNCTION
CLEARING MEMBERS /CUSTODIANS
DEPOSITORIES & DEPOSITORY PARTICIPANTS
CLEARING PROCESS
6

CHAPTER 6: SETTLEMENT PROCESS
INTRODUCTION
DETERMINATION OF SETTLEMENT OBLIGATIONS- EQUITY SEGMENT
SETTLEMENT OF FUNDS
SETTLEMENT OF SECURITIES
CORPORATE ACTIONS ADJUSTMENT
AUCTION OF SECURITIES
7

CHAPTER 7: INVESTOR GRIEVANCES AND ARBITRATION
INTRODUCTION
INVESTOR GRIEVANCE
INVESTOR PROTECTION FUND
ARBITRATION
8

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

Terms & Conditions

To avail 1000 + Additional Learning Hours
60000+ Self Assessment Tests and Quiz Bank
To attend plenty of Live Classes by experts in Banking and Finance every day
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