Training Class Registration

Kochi BD
NISM-Series-VII: Securities Operations and Risk Management [SORM] for Certification Examination
Certificate Examination Mandatory for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk; Helps you to Know the basics of the Indian securities market, the different products traded and the various market participants and the respective roles they play in the Indian securities market; Understand the regulatory framework and the role of the Securities Exchange Board of India; Know the various functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm. Understand the trade lifecycle, the steps and participants involved in the trade life cycle and the role of the back office in a securities broking firm. Understand how the risks are managed in a securities broking firm, the clearing, and settlement process. Understand the process of investor grievances redressal;
ACUMEN Capital Market (I) Ltd.
2nd Floor
S.T. Reddiar Building
Veekshanam Road
Kerala 682035
10:00AM - To 01:00PM

Important Notice: "Prevent Unauthorised transactions in your Trading /demat account --> Update your mobile numbers/email IDs with your stock brokers / Depository participants. Receive information/alerts of your all debits and other important transactions directly from Exchange /Depository on your mobile/email at the end of the day .......... Issued in the interest of investors"                           KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary."                          “No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor’s account.”