This book seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and companies proposed to be listed on the stock exchanges.

This book aims to enhance the knowledge of these Compliance Officers ensuring continuous updation.

The Present Publication is the March 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination III-B [Issuers Compliance], with the following noteworthy features:

• [Know] the following:
  • Role and responsibilities of a Compliance officer of a listed company
  • Laws and regulations that need to be adhered to by a public company for issues, corporate actions, and day-to-day compliance requirements
  • Various penalties for non-compliance with regulations and requirements as specified in various Regulations
• [Understand] the various avenues for raising funds from the Indian and global markets and the various compliance requirements for the same

Coverage of this book includes:

• Introduction to the Indian Capital Market
• Capital Market Regulations
• Compliance Officer
• Raising Capital from the Market
• Role of Compliance Officer in a Public Issue
• Role of Compliance Officer in Other Issues
• Raising Money from Foreign Market
• Corporate Actions
• Ongoing Compliance Requirements
• Ethical Practices by Compliance Officers
• Penalties

The National Institute of Securities Markets (NISM) is a public trust established in 2006 by the Securities and Exchange Board of India (SEBI), the regulator of the securities markets in India. he institute carries out a wide range of capacity building activities at various levels aimed at enhancing the quality standards in securities markets. The institute’s six schools of excellence work in synergy towards professionalized securities markets.

The Six Schools of Excellence:

School for Securities Education (SSE)
School for Certification of Intermediaries (SCI)
School for Regulatory Studies and Supervision (SRSS)
School for Investor Education and Financial Literacy (SIEFL)
School for Corporate Governance (SCG)
School for Securities Information and Research (SSIR)