NCFM CERTIFICATION OF CAPITAL MARKET (DEALERS) MODULE
Course Highlights
Interactive
Classes
Doubt
Sessions
Supplementary
Study Materials
Practical
Sessions
Life Time
Assistance
What is Capital Market?
The capital market/secondary market is the market where investors connect to buy and sell investments most commonly stocks.It allows you to own a share of a publicly listed company .It is a designated market where various kinds of securities are traded under secure and managed environment. The securities are traded, cleared and settled within the regulatory framework prescribed by the Exchanges and the Securities and Exchange Board of India (SEBI).
Objective
This course aims at providing a basic insight about operations of capital market and provide knowledge about various processes like clearing, settlement and risk management. This course also provide glimpse of eligibility criteria of membership at NSE and other important regulatory aspects of capital market.
Benefits
After completion of the course, an individual will have complete information about all the terminologies of capital market.An individual will have a true and clear picture regarding the process of capital market like clearing and settlement, risk management etc.The syllabus covers all the topics with interactive sessions . Moreover the contents of the course covers all the topics for NCFM ( NSE ACADEMY’S Certification in Financial Markets ) Capital Dealers Module Examination and makes every student capable of cracking it.You will be well prepared for the NCFM examination.
Intended Participants
Anybody (Retail Traders,New Investors ,Students , Researchers ,Financial Service Professionals or any individual) having interest in the Capital market and its operation and want to enhance his/her knowledge,overall productivity or want to build their career in this market are welcome. As not only we provide theoretical knowledge, but also practical application, mentoring and training guidance, to help each student achieve their goals for investing or trading.
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AN OVERVIEW OF THE INDIAN SECURITIES MARKET
- Market Segments
Primary Market
Secondary Market - Key Indicators of Securities Market
Index
Market Capitalisation
Market Capitalisation Ratio
Turnover
Turnover Ratio - Products and Participants
Products
Participants - Market Segments and their Products
- Reforms in Indian Securities Markets
TRADING MEMBERSHIP
- Stock Brokers
- NSE Membership
New Membership
Eligibility Criteria for Membership at NSE
Admission Procedure for New Membership - Surrender of Trading membership
- Suspension & Expulsion of Membership
Basis of Suspension of Membership
Suspension of Business
Removal of Suspension
Consequences of Suspension
Consequences of Expulsion - Declaration of Defaulter
- Authorised Persons
- Sub-Brokers
Eligibility
Registration
Cancellation of Registration - Broker-Clients Relations
Client Registration Documents
Unique Client Code (UCC)
Margins from the Clients & Execution of Orders
Contract Note & Brokerage
Payments/Delivery of Securities to the Clients
Segregation of Bank Accounts
Segregation of Demat (Beneficiary) Accounts - Sub-Broker-Clients Relations
Relationship with clients
Contract notes
Securities/ Funds - Investor Service Cell and Arbitration
- Code of Advertisement
TRADING
- Introduction
- NEAT System
- Market Types
- Trading System Users Hierarchy
- Local Database
- Market Phases
- Logging On
- Log Off/Exit from the Application
- NEAT Screen
- Invoking an Inquiry Screen
Market Watch , Security Descriptor & Market by Price
Previous Trades , Outstanding Orders & Activity Log
Order Status , Snap Quote & Market Movement
Market Inquiry & Auction Inquiry
Security/Portfolio List & Multiple Index Broadcast and Graph
Online Backup & Basket Trading
Buy Back Trades & Supplementary Functions - Order Management
Entering Orders
Order Modification
Order Cancellation
Order Matching - Trade Management
Trade Cancellation - Auction
Entering Auction Orders
Auction Order Modification
Auction Order Cancellation
Auction Order Matching - Limited Physical Market
Salient Features of Limited Physical Market - Block Trading Session
- Retail Debt Market (RDM)
Members eligible for trading in RDM segment
Trading Parameters
Market Timings and Market Holidays
Trading System
Trading Cycle - Trading information downloaded to Members
- Internet Broking
- Co-location
- Wireless Application Protocol (WAP)
CLEARING, SETTLEMENT AND RISK MANAGEMENT
- Introduction
- Key terminologies used in Clearing and Settlement Process
- Transaction Cycle
- Settlement Agencies
- Clearing and Settlement Process
Clearing Process
Settlement Process
Settlement Cycle - Securities and Funds Settlement
Securities Settlement
Funds Settlement - Shortages Handling
Valuation Prices
Close-out Procedures - Risks in Settlement
- Risk Management
Capital Adequacy Requirements
Margins
On-Line Exposure Monitoring
Off-line Monitoring
Index-based Market-wide Circuit Breakers/ Price Bands for Securities
Settlement Guarantee Mechanism - International Securities Identification Number
- Data and Report Downloads
Obligation Reports
Custodial Trade Reports
Deliveries Reports
Funds Reports
Auction Reports
Margin Reports
Miscellaneous Report
LEGAL FRAMEWORK
- SEBI (Intermediaries) Regulations, 2008
- SEBI (Prohibition of Insider Trading) Regulations, 1992
Prohibition on Dealing, Communicating or Counseling (Chapter II)147
Investigation (Chapter III)
Disclosures and Internal Procedure for Prevention of Insider Trading (Chapter IV) - SEBI (Prohibition of fraudulent and Unfair Trade Practices relating to securities market) Regulations, 2003
Prohibition of Certain Dealings in Securities
Prohibition of Manipulative, Fraudulent and Unfair Trade Practices - The Depositories Act, 1996
- Indian Contract Act, 1872
- Income Tax Act, 1961
FUNDAMENTAL VALUATION CONCEPTS
- Time Value of Money
Future Value of a Single Cash Flow
Future Value of an Annuity
Present Value of a Single Cash Flow
Present Value of an Annuity - Understanding Financial Statement
Comparative Financial Statements
Common Size Statements
Ratio Analysis