Depository Operations Certification Examination: Benefits, Syllabus, Study Plan

NISM-Series-VI: Depository Operations Certification Examination BENEFITS AFTER CERTIFICATION SYLLABUS STUDY PLAN MOCK TEST

NISM NISM- -Series Series- -VI: Depository Operations Certification Examination VI: Depository Operations Certification Examination Revised Revised Launch Launch of of NISM NISM- -Series Series- -VI VI: : Depository Certification Certification Examination Examination w w. .e e. .f f. . July July 15 The The examination examination seeks seeks to to create knowledge knowledge benchmark benchmark for for associated associated persons employed employed by by a a registered registered depository depository participant interacting interacting with with clients, clients, (b) (b) dealing dealing with handling handling redressal redressal of of investor investor grievances, grievances, (d) risk risk management, management, (e) (e) activities activities having risk, risk, or or (f) (f) maintenance maintenance of of books books and above above activities activities. . Depository Operations 15, , 2021 2021. . create a a common common minimum persons engaged participant in in (a) with securities securities of of clients, (d) internal internal control having a a bearing bearing on and records records pertaining pertaining to to the Operations minimum engaged or or (a) dealing dealing or or clients, (c) control or or on operational operational (c) the

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UNIT NAME Introduction to Securities Market Introduction to Securities Market Introduction to Depository Introduction to Depository Depository and its business partners Depository and its business partners Functions of DP Functions of DP - - Account Opening Account Opening Functions of DP Functions of DP- - Account Operations Account Operations Functions of DP Functions of DP - - Transmission & Nomination Transmission & Nomination Functions of DP Functions of DP - - Dematerialisation Dematerialisation Functions of DP Functions of DP - - Trading and Settlement Trading and Settlement Functions of DP Functions of DP - - Pledge and Hypothecation Pledge and Hypothecation Functions of DP Functions of DP - - Corporate Action & Public Issues Corporate Action & Public Issues Functions of DP Functions of DP - - Debt and Government Securities Debt and Government Securities Additional Services Additional Services Foreign Portfolio Investor Foreign Portfolio Investor Investor Services Investor Services WEIGHTAGE 5% 10% 12% 12% 3% 5% 9% 13% 10% 7% 10% 2% 2%

SYLLABUS SYLLABUS I I. . Introduction Introduction to to the A A. . Introduction Introduction to to the B B. . Explain Explain the the security C C. . Understand Understand the market market D D. . Know Know the the Regulators the Securities Securities Market the Security Security market market security Market Market the regulatory regulatory environment Market environment in in Indian Indian security security Regulators in in the the Indian Indian security security market market

II II. . Introduction Introduction to to Depository A A. . Explain Explain the the need need for B B. . Explain Explain the the meaning meaning of of Depository C C. . Understand Understand the the legal function function in in India India D D. . Explain Explain the the functions functions of of a a depository Depository for a a depository depository system Depository legal framework framework in in which system which the the depositories depositories depository

III III. . Depository Depository and A A. . Understand Understand depository B B. . Understand Understand the C C. . Explain Explain the the Issuers and its depository participants participants (DPs) the Clearing Clearing Corporation Corporation (CC) Issuers and and Registrar Registrar and its Business Business Partners Partners (DPs) (CC) and Transfer Transfer Agents Agents

IV IV. . Functions Functions of of Depository A A. . Introduction Introduction to to the Opening Opening B B. . Understand Understand the the types C C. . Define Define and and discuss discuss what D D. .Define Define the the Clearing Clearing Member E E. . Explain Explain the the Closure Closure of of account F F. . Understand Understand the the Freezing G G. . Know Know the the Changes Changes in in client H H. . Know Know the the Accreditation Accreditation of of Investors Innovators Innovators Growth Growth Platform Platform Depository Participant the Functions Functions of of Depository Participant - -Account Depository Participant Account Opening Participant - -Account Opening Account types of of account what is is a a Beneficiary Member Account account Freezing of of account account client details details account a a person Beneficiary Account Account person can can open open with Account with a a DP DP Investors for for the the purpose purpose of of

V V. . Functions Functions of of Depository A A. . Introduction Introduction to to the B B. . Explain Explain the the operation C C. . Know Know the the Internet Internet Based D D. . Know Know the the Internet Internet Based Depository Participant the Basic Basic Services operation of of a a Joint Based Depository Based Depository Participant Account Services Demat Demat Account Joint Account Account Depository Operations Operations of of NSDL Depository Operations Operations of of CDSL Account Operations Operations Account (BSDA) (BSDA) NSDL CDSL

VI VI. . Functions Functions of of Depository Nomination Nomination A A. . Understand Understand the the concept B B. . Explain Explain the the concept concept of of Nomination C C. . Explain Explain the the Transmission Transmission of of Securities Depository Participant Participant Transmission Transmission and and concept of of Transmission Transmission of of Securities Nomination of of Securities Securities Securities Securities

VII VII. . Functions Functions of of Depository A A. . Introduction Introduction to to the Dematerialization Dematerialization B B. . Explain Explain the the International International Securities C C. . Explain Explain the the Dematerialization Dematerialization Process D D. . Explain Explain the the Rematerialisation Rematerialisation process E E. . Understand Understand Destatementization Destatementization process F F. . Understand Understand Restatementization Restatementization process Depository Participant the Functions Functions of of Depository Participant - -Dematerialization Dematerialization Depository Participant Participant Securities Identification Identification Number Process process process process Number ( (ISIN ISIN) )

VIII VIII. . Functions Functions of of Depository Settlement Settlement A A. . Introduction Introduction to to the the Functions Settlement Settlement B B. . Understand Understand the the process market market transaction transaction C C. . Explain Explain the the Settlement Settlement of of Market D D. . Learn Learn about about Interoperability Interoperability E E. . Procedure Procedure for for Subscription Subscription and F F. . Explain Explain the the Handling Members Members/Clearing /Clearing Members Depository Participant Participant - -Trading Trading and and Functions of of Depository Depository Participant Participant - -Trading Trading and and process flow flow of of securities securities (settlement) (settlement) in in an an off off- - Market Transactions Transactions and Redemption Redemption of of Mutual Handling of of Clients Clients Securities Members Mutual Fund Securities by Fund Units by Units Trading Trading

IX IX. . Special Special Services A A. . Introduce Introduce the B B. . Procedure Procedure for C C. . Explain Explain the Depository Depository System Services- - Pledge the concept concept of of pledge for pledge pledge and the Recording Recording of of Non System Pledge and pledge and and hypothecation hypothecation Non Disposal and Hypothecation Hypothecation and hypothecation hypothecation Disposal Undertaking Undertaking (NDU) (NDU) in in the the

X X. . Special Special Services A A. . Learn Learn about about the B B. . Know Know the the Important C C. . Understand Understand the D D. . Know Know the the Public Services- - Public the concept concept of of corporate Important terms terms the Procedure Procedure for Public Issue Issue Public Offering Offering and corporate actions and Corporate Corporate Action actions Action for Corporate Corporate Action Action

XI XI. . Special Special Services Securities Securities A A. . Introduction Introduction to to Debt B B. . Explain Explain the the Certificate C C. . Explain Explain the the Commercial D D. . Discuss Discuss the the Government Services- - Debt Debt Instruments Instruments and and Government Government Debt Instruments Instruments and Certificate of of Deposit Commercial Paper Paper Government Securities and Government Government Securities Deposit (CDs) (CDs) Securities Securities

XII XII. . Foreign Foreign Portfolio A A. . Introduction Introduction to to the B B. . Know Know the the Eligibility Portfolio Portfolio Investor Investor Portfolio Investor the Foreign Foreign Portfolio Eligibility Criteria Criteria and Investor Portfolio Investor and the the various Investor various categories categories of of Foreign Foreign

XIII XIII. . Investor Investor Services A A. . Introduction Introduction to to Redressal B B. . Introduction Introduction to to Transfer Authority Authority Services Redressal of of Complaints Transfer of of Shares Shares to to Demat Complaints through Demat Account through Scores Account of of IEPF Scores IEPF