Taxmann Registrars to an Issue and Share Transfer Agents – Corporate by NISM – Edition December 2021

Registrar to an Issue and Share Transfer Agents – Corporate seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations performing the following functions for listed companies:

• Dealing/Interacting with Investors/Issuers
• Dealing/Collecting/Processing Applications from Applicants
• Dealing with matters related to the following:
  • Corporate Actions
  • Refunds
  • Redemptions
  • Repurchase of Securities
• Handling Redressal of Investors’ Grievances
• Responsible for Internal Control & Risk Management
• Responsible for Compliance of Securities Law
• Responsible for any activity performed under SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993

The Present Publication is the September 2021 workbook version, published exclusively by Taxmann for NISM Certification Examination II-A [Registrar to an Issue and Share Transfer Agents – Corporate], with the following noteworthy features:

• [Know the Basics] of securities and securities markets
• [Understand] the role and functions of R&T Agents in the corporate securities issuance & transaction process
• [Know the Regulatory Environment] in which R&T Agents 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
• Basics of Mutual Funds
• SEBI – Role and Functions
• Public Offer of Securities
• Modes of Allotment of Share other than Public Offers
• Process Related to Public Offering of Shares
• Roles and Responsibilities in a Public Issue
• Depository Services
• Process Related to Depositories
• Investor Interface with the R&T Agent
• Secondary Market Transactions
• Client Servicing

The National Institute of Securities Markets (NISM) is a public trust established in 2006 by the Securities and Exchange Board of India (SEBI), the regulator of the securities markets in India. he institute carries out a wide range of capacity building activities at various levels aimed at enhancing the quality standards in securities markets. The institute’s six schools of excellence work in synergy towards professionalized securities markets.

The Six Schools of Excellence:

School for Securities Education (SSE)
School for Certification of Intermediaries (SCI)
School for Regulatory Studies and Supervision (SRSS)
School for Investor Education and Financial Literacy (SIEFL)
School for Corporate Governance (SCG)
School for Securities Information and Research (SSIR)