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Download or read book Regulation of Registrars and Share Transfer Agents written by and published by . This book was released on 1999* with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357781765
Total Pages : 20 pages
Book Rating : 4.3/5 (577 download)
Download or read book NISM's Registrars to an Issue and Share Transfer Agents – Mutual Funds | Covering the roles, functions & regulatory environment of RTAs in mutual fund issuance and transaction processes written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2023-07-07 with total page 20 pages. Available in PDF, EPUB and Kindle. Book excerpt: Registrars to an Issue and Share Transfer Agents – Mutual Funds seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function to enable better quality investor service, operational process efficiency and risk controls. It also aims to enhance sales and distribution quality and enable better investor services. The Present Publication is the August 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination II-B [Registrars to an Issue and Share Transfer Agents – Mutual Funds], with the following noteworthy features: • [Know the Basics] of securities and securities markets • [Understand] the role and functions of RTA in the mutual fund issuance & transaction process • [Know the Regulatory Environment] in which RTAs operate in India The detailed contents of the book are as follows: • Introduction to Securities • Characteristics of Equity Shares • Characteristics of Debt Securities • Characteristics of Other Securities • SEBI – Role and Regulations • Basics of Registrars and Transfer Agents • Registrar and Transfer Agent Regulations • Basics of Mutual Funds • Mutual Fund Structure and Constituents • Mutual Fund Products • Operational Concepts of Mutual Funds • Investors in Mutual Funds • Banking Operations in Mutual Funds • Financial Transactions • Non-Financial Transactions
Author : William Dunnell Eaton
Publisher :
ISBN 13 :
Total Pages : 80 pages
Book Rating : 4.3/5 (9 download)
Download or read book Explanatory Outline of the Functions and Requirements of Bankers, Trustees, Registrars, Transfer Agents and Lawyers written by William Dunnell Eaton and published by . This book was released on 1928 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Gaurav Pingle
Publisher : Bloomsbury Publishing
ISBN 13 : 9354351158
Total Pages : 644 pages
Book Rating : 4.3/5 (543 download)
Download or read book Handbook on Securities Laws written by Gaurav Pingle and published by Bloomsbury Publishing. This book was released on 2021-06-10 with total page 644 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the Book 'Securities Law' is not independent topic in itself and to understand the subject, the student or professional should be aware of some basic and important corporate law concepts e.g. company, types of companies (private company / public company), members /shareholders, shares, debentures, voting rights, listing of shares, prospectus, stock exchange, rights and obligations of shareholders and directors, etc. Handbook on Securities Laws cover these concepts in detail along with discussion on every section/clause of some important legislations like SEBI Act, 1992, Depositories Act, 1996 and Securities (Contract) Regulation Act, 1956. Wherever necessary, reference to the relevant provisions of the Companies Act and Rules, Rules and Regulations made under respective Acts and also SEBI's Annual Report has been given. Some of the key points and issues like powers of SEBI, penalty and adjudication under SEBI Act, UPSI and its materiality, etc. are discussed in the light of latest judgments of the Court or Tribunals.
Author : Dr. K. R. Chandratre
Publisher : Bloomsbury Publishing
ISBN 13 : 9390252024
Total Pages : 1432 pages
Book Rating : 4.3/5 (92 download)
Download or read book SEBI Listing Obligations and Disclosure Requirements – A Handbook, 1e written by Dr. K. R. Chandratre and published by Bloomsbury Publishing. This book was released on 2021-03-15 with total page 1432 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the book The book provides detailed analysis of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 which replaced the Listing Agreement and were notified on 2nd September 2015. These Regulations impose considerable volume of compliance obligations on listed entities and every listed entity is obligated to comply with them. The volume of the Regulations and the pace at which they have been undergoing frequent changes makes the task of compliance a hard one for the compliance officers. This book attempts to simplify the complex mass of the Regulations and bring in the relevant provisions of the Companies Act, 2013 so as to assist the compliance officers in their task of compliance. These Regulations apply to the listed entity who has listed any of the following designated securities on recognised stock exchange(s): (a) Specified securities listed on main board or SME exchange or institutional trading platform; (b) Non-convertible debt securities, non-convertible redeemable preference shares, perpetual debt instrument, perpetual non-cumulative preference shares; (c) Indian depository receipts; (d) Securitised debt instruments; (e) Security receipts; (f) Units issued by mutual funds; (g) Any other securities as may be specified by the Board. It would be immensely useful for Company Secretaries, Law professionals & Chartered Accountants. Key highlights Covering detailed analysis of provisions applicable for listing of specified securities on recognized stock exchange(s). Topics have been thoroughly explained using judicial pronouncements.
Author : Editor : Sona Kapila
Publisher : Academic Foundation
ISBN 13 : 9788171883295
Total Pages : 356 pages
Book Rating : 4.8/5 (832 download)
Download or read book Academic Foundation`S Bulletin On Money, Banking And Finance Volume -44 Analysis, Reports, Policy Documents written by Editor : Sona Kapila and published by Academic Foundation. This book was released on 2003 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Dr. F. C. Sharma
Publisher : SBPD Publications
ISBN 13 :
Total Pages : 431 pages
Book Rating : 4./5 ( download)
Download or read book Financial Markets, Institutions and Services - SBPD Publications written by Dr. F. C. Sharma and published by SBPD Publications. This book was released on 2021-10-16 with total page 431 pages. Available in PDF, EPUB and Kindle. Book excerpt: 1.Financial System and its Components, 2 .Financial System and Economic Development, 3 .Indian Financial System—An Overview, 4 .Money Market, 5 .Capital Market, 6 .Risk and Return—Concept and Analysis, 7 .Primary Market, 8 .Primary Market Intermediaries, 9 .Secondary Market, 10 . Government Securities Market, 11 .Recent Reforms in Indian Capital Market, 12 .Role of SEBI—An Overview, 13 .Reserve Bank of India, 14. Commercial Banks, 15. Life and Non-Life Insurance Companies—LIC, GIC, 16. Mutual Funds, 17. Non-Banking Financial Compaines (NBFCs), 18. Merchant Banking, 19. Leasing, Hire Purchase and Housing Finance : Factoring Services and Financial Counseling etc., 20. Venture Capital Financing, 21. Credit Rating, 22.Indian Financial Institutions/Development Bank.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
ISBN 13 :
Total Pages : 542 pages
Book Rating : 4.0/5 (9 download)
Download or read book Regulation of Clearing Agencies and Transfer Agents written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1973 with total page 542 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1688 pages
Book Rating : 4.:/5 (31 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1985 with total page 1688 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 1038 pages
Book Rating : 4.:/5 (311 download)
Download or read book Federal Register written by and published by . This book was released on 1977 with total page 1038 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 660 pages
Book Rating : 4.F/5 ( download)
Download or read book Regulation of Clearing Agencies and Transfer Agents, Hearings Before the Subcommittee on Securities of ..., 93-1 on S.2058 ..., July 11 and 12, 1973 written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 1973 with total page 660 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Shilpa Dixit
Publisher : Bloomsbury Publishing
ISBN 13 : 9354353428
Total Pages : 900 pages
Book Rating : 4.3/5 (543 download)
Download or read book Secretarial Audits under Corporate Laws and Annual Return Certification written by Shilpa Dixit and published by Bloomsbury Publishing. This book was released on 2021-09-27 with total page 900 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the Book This book is a one-stop comprehensive referencer and is a must have for conducting Secretarial Audits and Annual Return Certification. The Audit checklists included in the book are flexible enough to be tailored to suit the need of any voluntary audit for all types of companies. The primary aim of the book is to serve the need of a Company Secretary in practice conducting all these audits. However, the book is also useful for the auditee listed or public companies along with the private companies to ensure that they are in full compliance with the law and ready to face any audit or regulatory action. A Company Secretary employed in any company may use this book as a guide to effectively discharge his duties under the section 205 of the Companies Act, 2013 or implement systems in his organisation. Key Highlights Contains ready-to-use and easy-to-use tabular format for Audit checklists for conducting following Audits of Listed/ Unlisted Public/ Private Companies: – Annual Return Certification. – Secretarial Audit under section 204 of the Companies Act, 2013. – Audit report and Compliance Report as per Regulation 24A of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015. Covers the applicable provisions of: – the Companies Act, 2013, – the Securities and Exchange Board of India Act,1992, – the Foreign Exchange Management Act, 1999, – the Securities Contracts (Regulation) Act, 1956, and – the Depositories Act, 1996. together with the rules and regulations relevant for the audit purpose. Contains Annual Compliance Calendar for all companies as well as Periodic Returns for NBFCs. Contains ancillary audit documents like Balance Sheet Scrutiny form, Lists of documents required for conducting Audits, Format of Management Representation Letter. Includes list of industry-wise applicable laws.
Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher :
ISBN 13 :
Total Pages : 218 pages
Book Rating : 4.0/5 (13 download)
Download or read book Providing for Control and Regulation of Bank Holding Companies written by United States. Congress. Senate. Committee on Banking and Currency and published by . This book was released on 1947 with total page 218 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Dr. Srinivasa Rao Kasisomayajula, Dr. Srinivasa Rao Seethalapu
Publisher : Archers & Elevators Publishing House
ISBN 13 : 9383241020
Total Pages : pages
Book Rating : 4.3/5 (832 download)
Download or read book Merchant Banking and Financial Services written by Dr. Srinivasa Rao Kasisomayajula, Dr. Srinivasa Rao Seethalapu and published by Archers & Elevators Publishing House. This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 2076 pages
Book Rating : 4.F/5 ( download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2005-02 with total page 2076 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Banking and Currency Committee
Publisher :
ISBN 13 :
Total Pages : 192 pages
Book Rating : 4.F/5 ( download)
Download or read book Providing for Control and Regulation of Bank Holding Companies, Hearings Before ..., 80-1 on S. 829 ..., May 26, June 2 and 11, 1947 written by United States. Congress. Senate. Banking and Currency Committee and published by . This book was released on 1947 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Canada
Publisher :
ISBN 13 :
Total Pages : 600 pages
Book Rating : 4.:/5 (28 download)
Download or read book Statutory Orders and Regulations written by Canada and published by . This book was released on 1945 with total page 600 pages. Available in PDF, EPUB and Kindle. Book excerpt:
