NISM Campus (Patalganga) | January 03-31, 2018

NISM has conducted 4 week long residential induction programme for SEBI Grade “A” officers at NISM campus (Patalganga) from January 3-31, 2018.

The programme was inaugurated by Mr. Sandip Ghose Director, NISM.

The programme was attended by 32 SEBI Grade “A” officers. In all 65 sessions and 4 visists to stock exchanges and depositories were conducted and following areas were covered in detail during the programme:

• SEBI Act, 1992 -Powers and Functions of SEBI

• Ice Breaking Session

• Roles & Functions of other financial market regulators.

• Financial markets- Types & Instruments.

• Insurance & Pension sector in India.

• Introduction to fixed income securities.

• Corporate Finance – I,II,III

• Micro – Economics

• Theoretical underpinnings of regulations.

• How to read financial statements-I ,II,III basic accounting concepts, balance sheet,P&L and cash flow statements.

• Basic Economics – Macro-economic indicators I,II

• National income accounting (GDP)

• Economy in the long run

• Role of banks & their regulations

• Noting & Drafting –Communication at workplace.

• Excel Training

• Provisions of the company Act -2013

• SCRR & SCRA

• Primary Markets –Initial public offering, provisions of ICDR & ILDS.

• Creative Thinking

• Stock Picking , Credit Evaluation and Risk management in Asset management .

• Primary Markets-Post listing obligations of listed companies

• Identifying colluding behaviour in market.

• Market Surveillance

• Portfolio Theory

• Provisions of Insider trading Regulations.

• Prevention of Fraudulent and unlawful trade practices regulations, trade and order log analysis & use of dataware house and other softwares in investigation.

• Alternative investment funds & portfolio management .

• Depositories and their functioning

• Secondary Markets – Role of stock brokers,sub brokers and trading mechanism .

• Supervision of intermediaries & market infrastructure institutions.

• RTI Act.

• Visit to BSE, NSE,SEBI, MCX.

• Introduction to mutual funds industry- structure , types of schemes , valuation

• Rajbhasha

• Machine Learning – Application in Finance

• Pooled Investment Vehicles :PMS, AIF, REITS and INVIT .

• Surveillance of commodity market.

• Role of investment advisor & research analyst

• Market Microstructure.

• Takeovers

• Functioning and regulations of commodity Exchanges

• Emerging trends in commodity markets and risks and challenges for SEBI.

• Investor Education and financial literacy Initiatives of SEBI.

• Fiscal policy of Union Budget.

• Management games – Team Building

• Leadership & communication

• SCORES-Investor Grievance Redressal & Arbitration Mechanism.

• Illegal money mobilisation through Collective Investment Schemes and Deemed Public Issues.

• Trading Simulation lab

• Leadership & Communication.

• Derivatives – Basic

• NCFE

• Search & Seizure and Recovery

• Enquiry and Adjudication,

• Emerging areas in Finance

• Risk management in equities market

The sessions were taken by:

NISM –

Mr. Sandip Ghose, Director, NISM , Mr.G.P Garg Registrar NISM, 1`, Mr. K Sukumaran, Dean, NISM, Dr. Nitin Tike, Senior Vice President – Certification, Test and CPE Administration & E-Learning Department, Dr. Latha Chari, Professor, Dr. Akhlaque Ahmad, Associate Professor, NISM, Dr. Rachana Baid , Mr. Suneel Saraswat, Lecturer, NISM.

Mr. Vishal Shukla, Member of Faculty, NISM, Mr. Jainendra Shandilya, Faculty Member, SSE, Mr. Jitendra Kumar, Member of Faculty, NISM, Mr. M. Krishnamoorthy Member of Faculty, NISM, Mr.Ritesh Nandwani, Faculty Member,(SSE), Mr S.Venugopal ,Faculty Member,(SSE).

Trading Simulation Lab (NISM)–

Mr. Meraj Inamdar, Lecturer, NISM, Mr. Pradiptarthi Panda, Lecturer ,NISM.

SEBI –

Shri.P.K Bindlish ,CGM,SEBI; Dr. Prabhakar R Patil (CGM,SEBI); Shri Manoj Kumar, CGM, SEBI, Shri .S.Biju ,CGM ,SEBI , Shri .Ram Mohanrao , GM, SEBI , Shri D.V .Shekhar ,GM,SEBI, Shri Sarvanan, GM, SEBI, Shri Sanjay Purao, GM, SEBI, Shri. Lakhaya Chawla (Manager).Mr. Naveen Khanna

Exchanges Visit-

SEBI-coordinated by Mr. Lakshay Chawla

BSE-coordinated by Mr. Ashvin Lalchandani

NSE-coordinated by Mr. Abhijit

MCX-Mr. Shrikant Koundinya

CDSL-Mr. Ashish Bhatt

Corporate Professionals-

Ms. Geetika Anand, Aditya Birla Group Mr. Raghuvir Mukherji,CRO, IIFL, Mr. K.R.Ravi , External Expert ,Mrs. Savithri Parekh , V.P Legal ,Pidilite ,Mr. Prabhat Bharadwaj , Consultant , Mr. Zubair Qureshi , Mr. Murali Radhakrishnan, Ex-RD,RBI., Mr. Mahavir Lonawat , Ms.Garima Chaudhary .

Entry & Exit Quiz was conducted for all the participants in order to assess level of learning achieved during Induction Programme. The performance graph for each of the individual participant is as given below.

The programme concluded on January 31, 2018 with the presentation by participants on following topics:

• Responsible for shift of investors to securities market

• Changing shape of financial instruments.

• Digitalization of Finance.

• Menace of illegal money mobilization.

• Law& compliance in securities markets.

• Commodity Market instruments for smoothening prices.

Due to prior engagements of the senior officials of SEBI and NISM, the valedictory session was held a day earlier on January 30, 2018 and was presided over by Sh Amarjeet Singh (ED-SEBI). Prof. Sundaram Korvi (Dean, SSE, NISM) welcomed Sh Amarjeet Singh and also proposed a Vote of Thanks.

The participants were handed over the completion certificate and NISM memorabilia.