Nism X Taxmanns Securities Operations And Risk Management Covering All Important Aspects Related To The Stock Broker Operations Starting From The Client Onboarding To The Trade Life Cycle

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NISM X Taxmann's Securities Operations and Risk Management – Covering all important aspects related to the stock broker operations, starting from the client onboarding to the trade life cycle

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357785566
Total Pages : 19 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis NISM X Taxmann's Securities Operations and Risk Management – Covering all important aspects related to the stock broker operations, starting from the client onboarding to the trade life cycle by : NISM (An Educational Initiative of SEBI)

Download or read book NISM X Taxmann's Securities Operations and Risk Management – Covering all important aspects related to the stock broker operations, starting from the client onboarding to the trade life cycle written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2024-03-04 with total page 19 pages. Available in PDF, EPUB and Kindle. Book excerpt: This comprehensive book offers an in-depth analysis of the operational facets of stock brokerage, catering to individuals keen on mastering broker operations and risk management within the securities markets. It is structured to enhance understanding through a detailed examination of various critical areas, such as: • Client Onboarding • Trade Life Cycle • Compliance Requirements Related to Report Submission • Redressal of Investor Grievances Upon completing this book, readers will gain a foundational understanding of the Indian securities market, including its products, participants, and the roles they play. The book aims to establish a minimum knowledge benchmark for associated persons of registered stock brokers, trading members, and clearing members, focusing on managing assets or funds, investor grievance redressal, internal control, risk management, and operational risk aspects. The Present Publication is the January 2024 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features: • [Know] the following in detail: o Basics of the Indian Securities Market – Explores the basics of securities, the money market, products traded in the Indian securities market, and the concept of International Financial Services Centres (IFSC) o Market Participants – Details the roles of investors, issuers, the market structure, participants, and regulators in the securities market o Securities Trade Life Cycle – Offers insights into front office, middle office, and back office operations, outlining their functions and significance • [Understanding] of the following: o Clearing Process – Explains the role of clearing corporations, clearing banks, clearing members, custodians, depositories, and the clearing process itself o Settlement Process – Covers the determination of settlement obligations, settlement of funds and securities, auction of securities, and corporate actions adjustment o Risk Management – Discusses risk management strategies, compliance, regulatory reporting, and the Core Settlement Guarantee Fund o Investor Grievances and Arbitration – Focuses on investor grievance mechanisms, online dispute resolution, and investor protection funds o Other Services Provided by Brokers – Explores IPO applications, trading of mutual fund units, portfolio management service, research reports, depository services, margin trading, and internet-based trading technologies The contents of the book are as follows: • Introduction to the Securities Market o Overview of the securities market o Insights into the money market o Exploration of products traded in the Indian securities market o Discussion on International Financial Services Centres (IFSC) • Market Participants in the Securities Market o Detailed introduction to different market participants o Roles and perspectives of investors and issuers o Overview of market structure and key participants o An in-depth look at regulators in the securities market • Introduction to the Securities Broking Operations o Detailed stages of the securities trade life cycle o Examination of front office, middle office, and back office operations • Risk Management o A comprehensive exploration of risk management strategies and practices o Discussion on compliances and regulatory reporting o Insight into the Core Settlement Guarantee Fund • Clearing Process o Introduction to the clearing process o Roles and functions of the Clearing Corporation, clearing banks, clearing members, custodians, depositories, and depository participants o Detailed explanation of the clearing process • Settlement Process o Overview of the Settlement process in securities trading o Determination and settlement of obligations, both in funds and securities o Procedures for auction and corporate actions adjustment • Investor Grievances and Arbitration o Introduction to investor grievances and arbitration mechanisms o Online resolution of disputes in the Indian securities market o Overview of the Investor Protection Fund • Other Services Provided by Brokers o Range of services offered by brokers, including IPO applications, trading of mutual fund units, and portfolio management services o Discussion on research reports, depository services, margin trading, and internet-based trading technologies

NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets

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Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357785779
Total Pages : 23 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets by : NISM (An Educational Initiative of SEBI)

Download or read book NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2024-01-31 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a comprehensive guide covering all significant regulations pertinent to the securities markets, encompassing the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, and more. It seeks to create a common minimum knowledge benchmark for persons engaged in the compliance function with any intermediary registered with SEBI, such as: • Stock Broker • Depository Participant • Merchant Bankers • Underwriters • Bankers to the Issue • Debenture Trustee • Credit Rating Agencies This book is an invaluable resource for anyone involved in the compliance sector of the securities markets, offering in-depth knowledge and a comprehensive overview of the regulatory landscape. The Present Publication is the January 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination III-A [Securities Intermediaries Compliance (Non-Fund)]. This book is divided into two parts: • [Financial and Regulatory Structure in India] is dealt with in Part A • [Specific Rules & Regulations] governing the intermediaries registered with SEBI are dealt with in Part B The noteworthy features of this book are as follows: • [Understand the Financial Structure in India] including: o Knowledge of the Financial Intermediaries o Types of Products available in the Indian markets • [Understand the Regulatory Framework] and the role of various Regulators in the Financial System • [Importance of Compliance Activity] and the scope and role of Compliance Officers • [Understand the various Rules & Regulations] of the Indian Securities Market • [Understand the Penal Actions] that are initiated in case of default or failure The detailed contents of the book are as follows: • Part A – Understanding Financial Structure in India o Introduction to the Financial System – Explores the essential elements of the financial system, including financial intermediaries, securities, and their roles o Regulatory Framework | General View – Discusses the overall regulatory system governing the financial markets in India, including the role of financial market regulators, other financial agencies, appellate authorities, the legislative framework, and the International Financial Services Centre (IFSC) o Introduction to Compliance – Covers the basics of compliance, specifically focusing on compliance requirements under the SEBI (CAPSM) Regulations, 2007 o Securities and Exchange Board of India Act, 1992 – Details the salient features of the SEBI Act, 1992 o Securities Contracts Regulation – Examines the Securities Contracts (Regulation) Act, 1956, and the Securities Contracts (Regulation) Rules, 1957 o SEBI (Intermediaries) Regulations, 2008 – Provides insights into the general obligations of intermediaries, inspection and disciplinary proceedings, actions in case of default, and the code of conduct o SEBI (Prohibition of Insider Trading) Regulations, 2015 – Focuses on insider trading regulations, including the role of the compliance officer and the code of conduct o Prevention of Fraudulent and Unfair Trade Practices – Discusses regulations related to preventing fraudulent and unfair practices in the securities market and includes topics on investigation methods o Prevention of Money Laundering Act, 2002 – Highlights the main points of the PMLA, 2002, and SEBI's circular on Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) o SEBI (KYC Registration Agency) Regulations, 2011 – Discusses the registration and obligations of KYC Registration Agencies (KRAs), including guidelines for intermediaries and in-person verification • Part B – Understanding Intermediary-Specific Regulations o SEBI (Foreign Portfolio Investors) Regulations, 2019 – Details regulations pertaining to foreign portfolio investors, including eligibility criteria, investment conditions, and code of conduct o SEBI (Stock Brokers) Regulations, 1992 – Covers various aspects of stock brokerage regulations, including direct market access, algorithmic trading, margin trading, and underwriting activities o SEBI (Merchant Bankers) Regulations, 1992 – Focuses on merchant banking regulations, substantial acquisition of shares, and takeovers o SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 – Discusses the applicability of ICDR regulations, IPOs, rights issues, and the roles and responsibilities of merchant bankers o Depositories Act, 1996 – Covers the introduction, rights and obligations of depositories, enquiry and inspection procedures, and miscellaneous issues o SEBI (Depositories and Participants) Regulations, 2018 – Details registration, rights, obligations, and the code of conduct for depository participants o SEBI (Registrar to an Issue and Share Transfer Agents) Regulations, 1993 – Focuses on the roles, general obligations, and code of conduct for registrars to an issue and share transfer agents o SEBI (Research Analyst) Regulations, 2014 – Highlights the responsibilities, record maintenance, and role of the compliance officer for research analysts o SEBI (Investment Advisers) Regulations, 2013 – Discusses the general responsibilities, risk profiling, client-level segregation, and code of conduct for investment advisers o SEBI (Debenture Trustees) Regulations, 1993 – Details registration, responsibilities, code of conduct, and monitoring requirements for debenture trustees o SEBI (Credit Rating Agencies) Regulations, 1999 – Covers the registration, general obligations, appointment of compliance officers, and code of conduct for credit rating agencies o SEBI (Custodian) Regulations, 1996 – Discusses custodian services, registration, obligations, and the code of conduct for custodians. o Proxy Advisors – Provides an overview of the impact of proxy advisors on corporate governance, internal controls, procedural guidelines, and grievance redressal mechanisms

NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services

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Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357787666
Total Pages : 26 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services by : NISM (An Educational Initiative of SEBI)

Download or read book NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2023-12-21 with total page 26 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book aims to create a common minimum knowledge benchmark for all individual investment advisers or principal officers of a non-individual investment adviser and persons associated with investment advice under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services. This book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the following: • [Know the Basics] of the following: o Personal Financial Planning o Time Value of Money o Evaluating the Financial Position of Clients o Debt Management & Loans • [Understand the Indian Markets] for Finance and Securities segments. • [Get Oriented to Different Investment Products] such as: o Equity o Debt o Derivatives o Managed Portfolios such as mutual funds, portfolio management services and alternative investment funds • [Knowledge] about the portfolio construction, performance monitoring and evaluation • [Understand] about the operational aspects of investment management, key regulations, ethical issues of investment advisers and grievance redressal system The Present Publication is the August 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination X-A | Investment Adviser (Level 1), with the following contents: • Personal Financial Planning o Introduction to Personal Financial Planning o Time Value of Money o Evaluating the Financial Position of Clients o Debt Management and Loans • Indian Financial Markets o Introduction to the Indian Financial Markets o Securities Market Segments • Investment Products o Introduction to Investment o Investing in Stocks o Investing in Fixed Income Securities o Understanding Derivatives • Investment Through Managed Portfolios o Mutual Funds o Portfolio Manager o Overview of Alternative Investment Funds (AIFs) • Portfolio Construction, Performance Monitoring and Evaluation o Introduction to Modern Portfolio Theory o Portfolio Construction Process o Portfolio Performance Measurement and Evaluation • Operations, Regulatory Environment, Compliance and Ethics o Operational Aspects of Investment Management o Key Regulations o Ethical Issues o Grievance Redress Mechanism

NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals

Download NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals PDF Online Free

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357785558
Total Pages : 21 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals by : NISM (An Educational Initiative of SEBI)

Download or read book NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2024-01-17 with total page 21 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a comprehensive guide to the Indian securities markets, designed to provide basic knowledge and understanding of the subject. It covers key topics such as: • Basics of Indian Securities Markets • Processes involved in Primary & Secondary markets • Schemes and products in Mutual Funds and Derivatives Markets in India • Financial Planning Process The book is particularly tailored for entry-level professionals aiming for a career in securities markets and individuals from various backgrounds, such as employees in securities, other professionals, students, homemakers, and teachers, who are keen on acquiring a basic understanding of the Indian Securities markets. The Present Publication is the November 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination XII | Securities Markets Foundation, with the following noteworthy features: • [Know] the following: o Basics of the Indian Securities Market o Various Processes Involved in Primary and Secondary Markets • [Understand] the Schemes and Products in Mutual Funds and Derivatives Markets The detailed contents of the book are as follows: • Understanding Securities Markets and Performance o This chapter introduces the concept of securities markets, detailing their structure and the various participants involved o It explores the role of securities markets in the financial ecosystem o A special focus is given to the technological advancements that have impacted the securities market • Securities: Types, Features and Concepts of Asset Allocation and Investing o An extensive overview of the different types of securities available in the market o It discusses the choices between equity and debt financing for issuers and the characteristics and roles of each o The chapter delves into hybrid instruments, commodities as an asset class, and derivatives o It also covers asset allocation, diversification, and the investment process in both equity and debt securities • Primary Markets o This chapter defines primary markets and their functions, comparing them with secondary markets o It outlines the various intermediaries, types of issues, issuers, and investors in the primary market o Regulatory frameworks, public issue processes for equities and debt securities, and private placements are also discussed • Secondary Markets o Focuses on the role and function of secondary markets and the different types available for various securities o Details the market structure, participants, brokers, trade execution, clearing, and settlement of trades o It also touches upon market information and regulation, risk management systems, and trading and reporting for debt securities • Mutual Funds o Provides a detailed explanation of mutual funds, their types, and related terms and concepts o Differentiates between open-ended and closed-ended mutual fund schemes o Discusses investment approaches, processes for investing in mutual funds, and systematic transactions o It also includes information on the benefits, costs, regulations, and investor service standards in mutual funds • Derivatives Markets o Covers the basics of derivatives, underlying concepts, and the various types of derivative products o Explores the structure of derivative markets, trading and settlement processes, and risk management o Concludes with the application of derivatives in risk management and market indicators

Securities Operations

Author : Michael T. Reddy
Publisher : Prentice Hall Press
ISBN 13 :
Total Pages : 662 pages
Book Rating : 4.3/5 (97 download)

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Book Synopsis Securities Operations by : Michael T. Reddy

Download or read book Securities Operations written by Michael T. Reddy and published by Prentice Hall Press. This book was released on 1995 with total page 662 pages. Available in PDF, EPUB and Kindle. Book excerpt: As the industry-altering shift from Trade Date +5 to Trade Date +3 grows ever closer, securities operations executives and managers are looking for facts, figures and updates on new technology that will enable them to meet the new 3-day settlement periods. This text ties together much-needed information on the back office (operations) and the data processing (information systems) functions of international securities industries.

Securities Operations

Author : Michael Simmons
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (114 download)

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Book Synopsis Securities Operations by : Michael Simmons

Download or read book Securities Operations written by Michael Simmons and published by . This book was released on 2002 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The only comprehensive account of operational risk in securities settlements Securities Operations focuses on the settlement aspects of a securities transaction. As financial analysts make a greater effort toward quantifying and managing operational risk, they are paying more attention to securities transactions in general and to the settlement phase in particular. While describing the practical issues, this book enumerates the different "back office" related risks potentially encountered throughout the settlement. Simmons also covers more advanced topics such as derivatives, trade compensation, internal allocation of funding costs, and operational performance measurement. Michael Simmons (London, UK) is currently Head of Business Consultancy at Wilco International, a major software systems provider to the financial markets. Over the years, financial professionals around the world have looked to the Wiley Finance series and its wide array of bestselling books for the knowledge, insights, and techniques that are essential to success in financial markets. As the pace of change in financial markets and instruments quickens, Wiley Finance continues to respond. With critically acclaimed books by leading thinkers on value investing, risk management, asset allocation, and many other critical subjects, the Wiley Finance series provides the financial community with information they want. Written to provide professionals and individuals with the most current thinking from the best minds in the industry, it is no wonder that the Wiley Finance series is the first and last stop for financial professionals looking to increase their financial expertise.

Smart Money Moves

Author : Vinod Desai
Publisher : Jaico Publishing House
ISBN 13 : 9388423941
Total Pages : 189 pages
Book Rating : 4.3/5 (884 download)

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Book Synopsis Smart Money Moves by : Vinod Desai

Download or read book Smart Money Moves written by Vinod Desai and published by Jaico Publishing House. This book was released on 2019-02-03 with total page 189 pages. Available in PDF, EPUB and Kindle. Book excerpt: FOR GROWN UPS a.k.a. Kids with Money The most comprehensive, ruthlessly unbiased and easy-to-read guide on personal finance Who doesn’t want to save money! It is not as difficult as you think it is; you just need to understand the basics. Unfortunately, most books on personal finance are either too heavy or too dry, and intimidate even those who are keen to learn about investing. This is what drove Vinod Desai to write about investing in a way that is easy for anyone to understand. Smart Money Moves is a comprehensive but easy-to-read guide that will teach you everything you need to know about saving and multiplying your money using basic math. Starting from the fundamentals and all the way to step-by-step processes, you can now truly get started on your investing journey. IN THIS BOOK YOU WILL LEARN ABOUT: • Fundamentals of investing in stocks, mutual funds, real estate, debt instruments and gold • Salary structure, saving tax, annual tax to-dos • Insurance policies and loans • Goal-based investing and retirement saving • Most common mistakes and tips to avoid them VINOD DESAI is a seasoned investor and conducts a highly-acclaimed financial wellness educational workshop called ‘The Moneyplanting Program.’ He is also an entrepreneur, educator and speaker. You can find out more about him at desaivinod.com.

Introduction to Brokerage Operations Department Procedures

Author : New York Institute of Finance
Publisher : Prentice Hall
ISBN 13 :
Total Pages : 276 pages
Book Rating : 4.4/5 (91 download)

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Book Synopsis Introduction to Brokerage Operations Department Procedures by : New York Institute of Finance

Download or read book Introduction to Brokerage Operations Department Procedures written by New York Institute of Finance and published by Prentice Hall. This book was released on 1988 with total page 276 pages. Available in PDF, EPUB and Kindle. Book excerpt: Explains the staff's workload to give an understanding of the steps and procedures in the operations function in the brokerage environment.

Project Manager's Spotlight on Risk Management

Author : Kim Heldman
Publisher : Wiley + ORM
ISBN 13 : 1118000226
Total Pages : 183 pages
Book Rating : 4.1/5 (18 download)

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Book Synopsis Project Manager's Spotlight on Risk Management by : Kim Heldman

Download or read book Project Manager's Spotlight on Risk Management written by Kim Heldman and published by Wiley + ORM. This book was released on 2010-10-01 with total page 183 pages. Available in PDF, EPUB and Kindle. Book excerpt: Clear-Cut Ways to Manage Project Risk If you're a typical project manager, you're probably aware of the importance of risk management but may not have the time or expertise to develop a full-blown plan. This book is a quick and practical guide to applying the disciplines of proven risk management practices without the rigor of complex processes. Part of the Project Manager's Spotlight series from Harbor Light Press, this straightforward book offers solutions to real-life risk scenarios. Inside, best-selling author Kim Heldman highlights critical components of risk management and equips you with tools, techniques, checklists, and templates you can put to use immediately. By following a realistic case study from start to finish, you'll see how a project manager deals with each concept. Ultimately, this book will help you anticipate, prevent, and alleviate major project risks. Project Manager's Spotlight on Risk Management teaches you how to Look for and document risk Anticipate why projects fail Prevent scope and schedule risks Analyze and prioritize risks Develop, implement, and monitor risk response plans And much more!

Derivatives and Risk Management:

Author : Madhumathi
Publisher : Pearson Education India
ISBN 13 : 9332506817
Total Pages : 542 pages
Book Rating : 4.3/5 (325 download)

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Book Synopsis Derivatives and Risk Management: by : Madhumathi

Download or read book Derivatives and Risk Management: written by Madhumathi and published by Pearson Education India. This book was released on 2011 with total page 542 pages. Available in PDF, EPUB and Kindle. Book excerpt: Through the incorporation of real-life examples from Indian organizations, Derivatives and Risk Management provides cutting-edge material comprising new and unique study tools and fresh, thought-provoking content. The organization of the text is designed to conceptually link a firm’s actions to its value as determined in the derivatives market. It addresses the specific needs of Indian students and managers by successfully blending the best global derivatives and risk management practices with an in-depth coverage of the Indian environment.

The Ultimate Trading Risk Management Guide

Author : Holly Burns
Publisher : Independently Published
ISBN 13 : 9781797050423
Total Pages : 84 pages
Book Rating : 4.0/5 (54 download)

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Book Synopsis The Ultimate Trading Risk Management Guide by : Holly Burns

Download or read book The Ultimate Trading Risk Management Guide written by Holly Burns and published by Independently Published. This book was released on 2019-02-16 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt: The best trades usually reward you by showing that the trade will be a winner from the start. The worst trades usually go against you immediately, and this is especially true for traders on shorter time frames. The only reason to trade is in the pursuit of profits. If you're not making money in a system over a long period of time, what's the point?Are you ready to learn some of the best risk management strategies in trading? Join thousands of other traders and learn from Steve Burns from New Trader U, with more than 25 years of trading success.In this book you'll learn the importance of risk management and how you can't survive without it!

Risk Management

Author : Sorin Dumitrascu
Publisher :
ISBN 13 : 9781977026682
Total Pages : 173 pages
Book Rating : 4.0/5 (266 download)

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Book Synopsis Risk Management by : Sorin Dumitrascu

Download or read book Risk Management written by Sorin Dumitrascu and published by . This book was released on 2018-01-28 with total page 173 pages. Available in PDF, EPUB and Kindle. Book excerpt: As a manager, it can be a challenge to ensure your team's project is finished on time and within budget. Risks such as rising costs, new regulations, and volatile markets can all affect your project's goals. But what exactly is risk? A risk can be described as the combination of the likelihood and consequences of an event occurring. To mitigate or avoid these consequences, your organization needs to have an effective risk management strategy in place.Risk management enables you to highlight the risks that your project is exposed to. It also allows you to develop a contingency plan to overcome them. Some of its main aims are to secure an organization's cash flow, to protect its reputation and resources, and to ensure projects stay within budget.Risk management consists of a three-step process. First, you identify the potential risks to your project. Second, you assess the risks in terms of their probability and severity, and prioritize them accordingly. And third, you deal with the biggest risks to your project by creating an effective plan of action.This course describes how to carry out the first step, identifying risks. You'll learn about the different risk identification techniques involved, such as root cause analysis and documentation reviews, and you'll find out when they should be used. You'll then examine one specific technique, brainstorming, in further detail. You'll learn how to prepare and conduct your session and manage group dynamics. You'll then have an opportunity to practice facilitating a brainstorming session in a simulated situation.At the end of this course, you should be better able to identify risks to your project. And you should find it easier to overcome some of the challenges of conducting a brainstorming session.There are four questions you must ask when assessing opportunities for your department or individual project.The first question is, "What events would increase the probability of the opportunity occurring?" There are many variables you may be able to change with regard to an opportunity's likelihood.The second question is, "How can we encourage those events to occur?" This involves deciding what actions to take to improve the chances an opportunity will come about.Once an opportunity presents itself the third question is, "How can we capitalize on an opportunity that occurs?" Make sure you have the right resources in place to get the most benefit from the opportunity.The fourth and final question is, "How will we know when the opportunity has occurred?" Set out triggers and a timeline to measure the opportunity's progress.As a manager, you probably have to deal with risks from time to time in your organization. Some risks are negative and may pose a threat to your plans. Others have an upside and offer positive opportunities. Whatever type of risk you encounter, it's important to deal with both threats and opportunities in an effective way.To help deal with risk effectively, you need to put a risk management - or RM - process in place. The first stage in this process is to identify the risks you're dealing with. Stage two is to assess the risks you've identified. And at stage three you deal with the risks. This course focuses on stage three of the risk management process - dealing with risk.When dealing with risks, it's important to choose the most efficient and cost-effective response in each case.This course describes various ways of responding to threats effectively. So, you'll be better equipped to manage threats when they do occur.The course also outlines various responses you could consider when you encounter an opportunity. This should help you to seize opportunities and make the most of them.In addition, the course describes the importance of contingency planning. This involves planning responses in case risk events actually occur. It also involves assigning reserves so that the responses can be implemented when necessary.

The Smart Money Method

Author : Stephen Clapham
Publisher : Harriman House Limited
ISBN 13 : 0857197037
Total Pages : 226 pages
Book Rating : 4.8/5 (571 download)

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Book Synopsis The Smart Money Method by : Stephen Clapham

Download or read book The Smart Money Method written by Stephen Clapham and published by Harriman House Limited. This book was released on 2020-11-24 with total page 226 pages. Available in PDF, EPUB and Kindle. Book excerpt: In The Smart Money Method, the stock-picking techniques used by top industry professionals are laid bare for investors. This is the inside track on how top hedge funds pick stocks and build portfolios to make outsize returns. Stephen Clapham is a retired hedge fund partner who now trains stock analysts at some of the world’s largest and most successful institutional investors. He explains step-by-step his research process for picking stocks and testing their market-beating potential. His methodology provides the tools and techniques to research new stock ideas, as well as maintain and eventually sell an investment. From testing your thesis and making investment decisions, to managing your portfolio and deciding when to buy and sell, The Smart Money Method covers everything you need to know to avoid common pitfalls and invest with confidence. Unique insight is presented in several specific areas, including how to: • Find stock ideas • Assess the quality of any business • Judge management’s ability • Identify shady accounting and avoid dying companies • Value any business to find bargain shares • Navigate the consequences of COVID-19 And throughout, there are real-life investing examples and war stories from a 25-year career in stock markets. The message is clear – you can beat the market. To do so, you need to learn and apply the insider secrets contained within this book.

A Profile of Indian Capital Market

Author : N. Vinayakam
Publisher :
ISBN 13 :
Total Pages : 260 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis A Profile of Indian Capital Market by : N. Vinayakam

Download or read book A Profile of Indian Capital Market written by N. Vinayakam and published by . This book was released on 1994 with total page 260 pages. Available in PDF, EPUB and Kindle. Book excerpt: Contributed articles.

Zero EMI

Author : Ra Ma Palaniappan
Publisher : Notion Press
ISBN 13 : 1648999484
Total Pages : 64 pages
Book Rating : 4.6/5 (489 download)

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Book Synopsis Zero EMI by : Ra Ma Palaniappan

Download or read book Zero EMI written by Ra Ma Palaniappan and published by Notion Press. This book was released on 2020-10-05 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt: Are you happy with the way you are handling your finances? Research says that 90% of the people work for EMI and not for anything else. People stick to their job because of the EMIs they must pay. Are you one among them and want to get rid of your EMIs? Are you looking for ways to achieve Financial Freedom? Do you want to be organized and manage your finances better? Zero EMI has the answers to all your questions and will help you control your finances, instead of being controlled by them. The author explains the concepts in simple English with the use of his personal stories and the stories of his friends. The book offers practical personal finance tips for salaried people in the age group of 22 to 50 years. Grab a copy if you want to learn how to reduce your loans, avoid taking loans and lead a stress-free life financially.

Operations Management

Author : B. Mahadevan
Publisher : Pearson Education India
ISBN 13 : 9788131730706
Total Pages : 676 pages
Book Rating : 4.7/5 (37 download)

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Book Synopsis Operations Management by : B. Mahadevan

Download or read book Operations Management written by B. Mahadevan and published by Pearson Education India. This book was released on 2010 with total page 676 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Covers the core concepts and theories of production and operations management in the global as well as Indian context. Includes boxes, solved numerical examples, real-world examples and case studies, practice problems, and videos. Focuses on strategic decision making, design, planning, and operational control"--Provided by publisher.

Shareholder Democracy

Author : Mieke Olaerts
Publisher : Eleven International Publishing
ISBN 13 : 9789490947552
Total Pages : 0 pages
Book Rating : 4.9/5 (475 download)

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Book Synopsis Shareholder Democracy by : Mieke Olaerts

Download or read book Shareholder Democracy written by Mieke Olaerts and published by Eleven International Publishing. This book was released on 2012-04-30 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Shareholders have important rights, which they can exercise democratically at a company's general meeting, such as the power to control and supervise management of the company. The term 'shareholder democracy' relates to the different ways in which shareholders can influence or even determine a company's course of life. One of the disadvantages of shareholder democracy is a risk that most democratic systems face - it can lead to opportunistic behavior of, in this case, influential shareholders with personal interests which are not in line with the interest of the company. Globalizing financial markets call for a general debate of this topic in an international context. Shareholder democracy does not only play a part in takeover situations, it touches the very core of every company law system. The position of shareholders within the company model, for example, influences the corporate interest definition, which in turn has significant consequences for the position of the board of directors. This book places the topic of shareholder democracy in an international context and deals with the topic from a comparative point of view. It contains contributions from authors from various legal systems discussing the issue of shareholder democracy within their own jurisdiction. The book covers, among other topics, the power of shareholders in Germany, the UK, South Africa, Belgium, and the Netherlands.