Taxmann’s Internal Auditors for Stock Brokers by NISM – Edition August 2021
₹410.00
Taxmann’s Internal Auditors for Stock Brokers by National Institute of Securities Markets (NISM) – Edition August 2021. Covering Knowledge Competencies related to Audit Functions of Stockbrokers, including, Regulatory Structure & Operational Knowledge, the Risk Management Practices, the Clearing and Settlement Process for a trade executed in the secondary market.
10 in stock
Taxmann’s Internal Auditors for Stock Brokers by National Institute of Securities Markets (NISM) – Edition August 2021.
Taxmann’s Internal Auditors for Stock Brokers by National Institute of Securities Markets (NISM) – Edition August 2021.
Description
Internal Auditors for Stock Brokers seeks to create a common minimum knowledge benchmark for the following persons and/or its employees or partners, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members or Sign the Internal Audit Report (as per SEBI Circular No. MRD/DMS/Cir-29/2008 dated October 21, 2008)
- Chartered Accountants
- Company Secretaries
- Cost and Management Accountants
This book covers knowledge competencies that are related to audit functions of stockbrokers, including:
- Regulatory Structure & Operational Knowledge
- The Risk Management Practices
- The Clearing and Settlement Process for a trade executed in the secondary market
The Present Publication is the June 2020 workbook version, published exclusively by Taxmann for NISM Certification Examination XIV [Internal Auditors for Stock Brokers], with the following noteworthy features:
- [Know Regulatory Framework] under which the stock brokers perform their various activities
- [Understand the Various Operations] performed by the Stockbrokers
- [Understand the Various Compliances] and reporting requirements from an audit perspective
The detailed contents of the book are as follows:
- Introduction to Internal Audit
- Financial System and Regulatory Framework
- SEBI Act, 1992; SCRA, 1956; SCRR, 1956
- SEBI (Prohibition of Insider Trading) Regulations, 2015
- SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003
- The Prevention of Money Laundering Act, 2002 (PMLA)
- SEBI (Stock Brokers) Regulations, 1992
- Introduction to Stock Broking Operations
- Risk Management
- Clearing and Settlement Process
- Investor Grievance Redressal
- Forensic Audit
NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of financial services sector. NISM’s School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professional meet the defined minimum common knowledge benchmark for various critical market functions like:
- Mutual Funds
- Equities
- Derivatives
- Securities Operations
- Compliance
- Research Analysis
- Investment Advice
These Certifications and CPE Programs are being developed and administered by NISM as mandated under ‘Securities and Exchange Board of India (Certification of Associated Persons in the Securities Market) Regulations, 2007’. The Certifications creates quality market professionals and catalyzes greater investor participating in the markets. Certifications also provides structured career paths to students and job aspirants in the securities market.
Details :
Only logged in customers who have purchased this product may leave a review.
Related products
Taxmann’s Mutual Fund Distributors by NISM
Taxmann's Mutual Fund Distributors by National Institute of Securities Markets (NISM) - June 2026. First, this Taxmann publication provides the exact text on the legal, structural, and financial operations of collective investment schemes in India. Specifically, developed by the National Institute of Securities Markets (NISM), it details the strict rules for selling, distributing, and evaluating asset portfolios. Furthermore, this June 2026 edition covers all fundamental SEBI regulatory adjustments and operational updates perfectly.
Taxmann’s Currency Derivatives by NISM
Taxmann's Currency Derivatives by National Institute of Securities Markets (NISM) - Edition December 2025. Currency Derivatives is a rigorously structured NISM-aligned workbook that establishes the essential knowledge benchmark for professionals in India's exchange-traded currency derivatives market. It demystifies complex concepts in FX markets, derivative instruments, pricing models, trading systems, clearing and settlement processes, and regulatory frameworks through clear explanations and practical illustrations. Designed with an exam-focused approach, it equips learners with theoretical depth and functional skills in hedging, risk management, trading behaviour, and compliance. Spanning ten comprehensive chapters, the workbook offers a progressive, application-oriented learning pathway from fundamentals to advanced strategies and investor protection mechanisms. Developed and reviewed by NISM experts and published exclusively by Taxmann, the September 2025 Edition serves as an indispensable reference for students, market intermediaries, and financial professionals.
Taxmann’s Investment Adviser (Level 2) by NISM – Edition November 2025
Taxmann's Investment Adviser (Level 2) by National Institute of Securities Markets (NISM) - Edition November 2025. Investment Adviser (Level 2) is an advanced workbook by NISM that builds the specialised knowledge required of investment advisers under SEBI's regulatory framework. It offers comprehensive coverage of insurance planning, retirement strategies, estate planning, taxation, behavioural finance, and risk profiling, reinforced with caselets and practical examples for real-world application. Designed for SEBI-registered advisers, wealth managers, compliance professionals, and NISM Level 2 aspirants, the workbook provides updated, expert-reviewed content mapped to the official syllabus. With structured modules, MCQs, and case-based assessments, it ensures progressive learning and equips candidates with the analytical skills essential for client-centric advisory practice.
Taxmann’s Alternative Investment Fund Managers (Categories III) by NISM
Taxmann's Alternative Investment Fund Managers (Categories III) by National Institute of Securities Markets (NISM) - August 2025. Category III Alternative Investment Fund Managers Workbook, developed by NISM and published by Taxmann, is a comprehensive guide for understanding the Category III AIF management and clearing the NISM-Series-XIX-E Certification Exam. It covers the full spectrum of investment theory, AIF structuring, strategies, valuation, governance, taxation, and regulatory compliance, with a strong exam focus. Designed for fund managers, compliance/risk professionals, valuation and reporting teams, lawyers, and aspirants, the workbook blends clear explanations with caselets, MCQs, and syllabus weightages to ensure structured, practice-oriented preparation.
Taxmann’s AML and CFT Provisions in Securities Markets by NISM
Taxmann's AML and CFT Provisions in Securities Markets by National Institute of Securities Markets (NISM) - Edition April 2025. AML and CFT Provisions in Securities Markets is an authoritative NISM workbook comprehensively addressing foundational and advanced AML/CFT concepts in India's securities market. Authored by experts and published by Taxmann, it provides an in-depth analysis of the Prevention of Money Laundering Act (PMLA), SEBI regulations, and case studies. Ideal for NISM exam aspirants, industry practitioners, compliance professionals, and researchers, it delivers structured content, practice-oriented insights, and recommended best practices.
Taxmann’s Registrars to an Issue and Share Transfer Agents – Corporate by NISM
Taxmann's Registrars to an Issue and Share Transfer Agents - Corporate by National Institute of Securities Markets (NISM) - Edition October 2024. This book is a complete guide designed for RTA professionals, providing a solid foundation in key areas such as investor servicing, corporate actions, and regulatory compliance. It analyses SEBI regulations, investor protection measures, and practical SOPs for managing tasks like share transfers and grievance resolution. The book includes step-by-step guidance on securities issuance, covering IPOs, buybacks, and rights issues, and highlights best practices for client servicing. Focusing on dematerialisation and rematerialisation processes, this book is an essential practical reference for ensuring efficient and compliant RTA operations.
Taxmann’s Merchant Banking by NISM – May 2023
Taxmann's Merchant Banking by National Institute of Securities Markets (NISM) - May 2023. This comprehensive book offers insights into the role and responsibilities of merchant bankers, with a special focus on the Indian financial structure and securities market. It is ideal for investors, intermediaries, and individuals managing operational risks.
Taxmann’s Issuers Compliance by NISM – November 2022
Taxmann's Issuers Compliance by National Institute of Securities Markets (NISM) - Edition November 2022. This book covers all important aspects related role and responsibilities of a Compliance officer of a listed company. It also covers the various avenues for raising funds from the Indian and global markets & the rules & regulations governing public companies.
Reviews
There are no reviews yet.