(as of [price_update_date] – Details)
- The investors, issuers or clients of intermediaries
- Assets or funds of investors or clients
- Redressal of investor grievances
- Internal control or risk management
- Activities having a bearing on operational risk
- Maintain books and records pertaining to above activities.
The book covers various aspects of capital market functions, the importance of the different rules and regulations governing the Indian securities market and the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.