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    Foreword I-3 Acknowledgement I-5 About NISM Certifications I-7 About The Certification Examination For Depository Participants I-9

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    ABC 123
    This document provides an overview of the contents of a book about depository participants in the Indian capital market. It includes 15 chapters that cover topics such as the introduction to depositories and their business partners; functions of depository participants related to account opening, operations, transmission, dematerialization, trading and settlement; special services for pledge/hypothecation and corporate actions; debt instruments and government securities; foreign portfolio investors; and investor services. The table of contents lists the chapter titles and page numbers for each section.

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    Foreword I-3 Acknowledgement I-5 About NISM Certifications I-7 About The Certification Examination For Depository Participants I-9

    Uploaded by

    ABC 123
    37 views5 pages
    This document provides an overview of the contents of a book about depository participants in the Indian capital market. It includes 15 chapters that cover topics such as the introduction to depositories and their business partners; functions of depository participants related to account opening, operations, transmission, dematerialization, trading and settlement; special services for pledge/hypothecation and corporate actions; debt instruments and government securities; foreign portfolio investors; and investor services. The table of contents lists the chapter titles and page numbers for each section.

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    9789389546682_contents

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    This document provides an overview of the contents of a book about depository participants in the Indian capital market. It includes 15 chapters that cover topics such as the introduction to depositories and their business partners; functions of depository participants related to account opening, operations, transmission, dematerialization, trading and settlement; special services for pledge/hypothecation and corporate actions; debt instruments and government securities; foreign portfolio investors; and investor services. The table of contents lists the chapter titles and page numbers for each section.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    37 views5 pages

    Foreword I-3 Acknowledgement I-5 About NISM Certifications I-7 About The Certification Examination For Depository Participants I-9

    Uploaded by

    ABC 123
    This document provides an overview of the contents of a book about depository participants in the Indian capital market. It includes 15 chapters that cover topics such as the introduction to depositories and their business partners; functions of depository participants related to account opening, operations, transmission, dematerialization, trading and settlement; special services for pledge/hypothecation and corporate actions; debt instruments and government securities; foreign portfolio investors; and investor services. The table of contents lists the chapter titles and page numbers for each section.

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    You are on page 1of 5

    CONTENTS

    Page
    Foreword I-3
    Acknowledgement I-5
    About NISM Certifications I-7
    About the Certification Examination for Depository Participants I-9

    CHAPTER 1
    INTRODUCTION TO THE INDIAN
    CAPITAL MARKET
    1.1 Introduction 1
    1.2 Capital Market 1
    1.3 Regulatory Environment 2
    1.4 Regulators 4

    CHAPTER 2
    INTRODUCTION TO DEPOSITORY
    2.1 Need for a Depository System 7
    2.2 What is a Depository? 9
    2.3 Legal Framework 10
    2.4 Functions of a Depository 17

    I-11
    CONTENTS

    Page

    CHAPTER 3
    DEPOSITORY AND ITS BUSINESS
    PARTNERS
    3.1 Depository Participants 21
    3.2 Clearing Corporation (CC) 38
    3.3 Issuers and Registrar and Transfer Agents 39

    CHAPTER 4
    FUNCTIONS OF DEPOSITORY PARTICIPANT-
    ACCOUNT OPENING
    4.1 Introduction 51
    4.2 Types of Account 52
    4.3 Beneficial Owner Account 52
    4.4 Clearing Member Account 89
    4.5 Closure of Account 90
    4.6 Freezing of Accounts 96
    4.7 Changes in Client Details 97
    4.8 Accreditation of Investors for the purpose of Innovators Growth 103
    Platform

    CHAPTER 5
    FUNCTIONS OF DEPOSITORY PARTICIPANT-
    ACCOUNT OPERATIONS
    5.1 Introduction to Basic Services Demat Account (BSDA) 109
    5.2 Operations of a Joint Account 112
    5.3 Internet Based Depository Operations of NSDL 114
    5.4 Internet Based Depository Operations of CDSL 117

    I-12
    CONTENTS

    Page

    CHAPTER 6
    FUNCTIONS OF DEPOSITORY PARTICIPANT-
    TRANSMISSION AND NOMINATION
    6.1 Transmission of Securities 119
    6.2 Nomination for Securities 120
    6.3 Procedure for Transmission of Securities 121

    CHAPTER 7
    FUNCTIONS OF DEPOSITORY PARTICIPANT-
    DEMATERIALISATION
    7.1 Introduction 129
    7.2 International Securities Identification Number (ISIN) 130
    7.3 Dematerialisation Process 132
    7.4 Rematerialisation 146
    7.5 Conversion of Mutual Fund units represented by Statement 149
    Of Account (SOA) into dematerialized form through a DP/
    Destatementization
    7.6 Reconversion of Mutual Fund Units into Statement Of Account 152
    Form (SOA Form)/Restatementization

    CHAPTER 8
    FUNCTIONS OF DEPOSITORY PARTICIPANT-
    TRADING AND SETTLEMENT
    8.1 Introduction 155
    8.2 Settlement of Off-Market Transactions 156
    8.3 Settlement of Market Transactions 158
    8.4 Interoperability 167
    8.5 Procedure for Subscription and Redemption of Mutual Fund Units 167

    I-13
    CONTENTS

    Page
    8.6 Handling of Clients’ Securities by Trading Members/Clearing 169
    Members

    CHAPTER 9
    SPECIAL SERVICES - PLEDGE &
    HYPOTHECATION
    9.1 Introduction 173
    9.2 Procedure for Pledge/Hypothecation 174
    9.3 Recording of Non-Disposal Undertaking (NDU) in the Depository 183
    System

    CHAPTER 10
    SPECIAL SERVICES - PUBLIC OFFERING/
    CORPORATE ACTIONS
    10.1 Concept of Corporate Actions 185
    10.2 Important Terms 186
    10.3 Procedure for Corporate Actions 186
    10.4 Public Issue 191
    CHAPTER 11
    SPECIAL SERVICES - DEBT INSTRUMENTS &
    GOVERNMENT SECURITIES
    11.1 Introduction 197
    11.2 Certificate of Deposit (CD) 200
    11.3 Commercial Paper (CP) 201
    11.4 Government Securities 203

    I-14
    CONTENTS

    Page

    CHAPTER 12
    FOREIGN PORTFOLIO INVESTORS (FPI)
    12.1 Introduction 213
    12.2 Eligibility criteria of FPI applying for a Depository Participant 214

    CHAPTER 13
    INVESTOR SERVICES
    13.1 Introduction to Redressal of complaints through (SCORES) 219
    13.2 Introduction to Transfer of Shares to Demat Account of IEPF 222
    Authority

    I-15

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