NISM’s Merchant Banking | Examination Workbook IX | Workbook Version – November 2020 | An Educational Initiative of SEBI


Price: ₹ 300.00
(as of Jun 25,2021 00:43:27 UTC – Details)


This book aims to create a common minimum knowledge benchmark for employees working with SEBI registered Merchant Bankers and performing various SEBI regulated functions such as those relating to IPO, FPO, Open offer, Buy-back, Delisting, etc. and are involved in, or deal with any of the following:

  • 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

This book ensures basic understanding of various aspects of capital market function, the process involved in various function of registered Merchant Bankers, and the regulatory environment in which it operates. This book will be immensely useful to all those who want to learn about the various functional aspects of Merchant Bankers.The Present Publication is the November 2020 workbook version, published exclusively by Taxmann for NISM Certification Examination IX [Merchant Banking], with the following noteworthy features:

  • Know the basics of the Merchant Banking in India
  • Understand the functioning of Merchant Bankers related to Issue Management Process, Substantial Acquisition of Equity Shares, Buyback of Equity Shares and Delisting of Shares
  • Know the regulatory environment in which the Merchant Banker operates in India
  • Coverage of this book includes:
    o Introduction to Capital Markets
    o Introduction to the Merchant Banking
    o Registration, Code of Conduct & General Obligations of Merchant Bankers in India
    o Issue Management – Important Terms
    o Issue Management – Process and Underwriting
    o ssue Management – General Obligations of Merchant Bankers and Due Diligence
    o Other Merchant Banking Activities – Mergers, Acquisitions & Takeovers
    o Other Merchant Banking Activities – Disinvestment, Buyback of Equity Shares

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