Notifications 7
NISM has conducted Train the Trainers Programme for Authorized Persons in two batches at NISM Campus, Patalganga.
The first and second batch sessions were conducted during December 6-7, 2019 and December 13-14, 2019 respectively. Total 30 officers from SEBI, NSE and MCX have attended the training programme. Out of 30 officers, 14 officers were in first batch while rest 16 were in second batch. The first batch programme was inaugurated by Mr. Parag Basu, CGM – SEBI and second batch programme was inaugurated by Mr. Rajesh Kumar Dungeti, GM – SEBI. Dr. V. R. Narasimhan, Dean – SRSS had discussed the role of authorized person in market and how they should conduct training programmes in various local offices of SEBI & Exchanges for brokers. Following sessions were conducted in this batch:
Following sessions were conducted during the programme.
| Topics | Faculty |
| Aspects related to Know your Client (KYC): Client identification, In person verification, client suitability, client registration, and other client on boarding aspects of KYC process. | Mr. Krishnan Vishwanathan, CEO – Kris Konsulting |
| Types of orders order transmission, managing broker client communication: Different types of order, transmission of order to broker system and further by broker to exchange and managing broker client communication –transmission of contract notes on time, bill to bill settlement, provision of daily margin statement, communication regarding settlement and running account settlement. | Mr. Trivikram Kamath, Financial Services Professional |
| How to bid in an IPO | |
| Sensitizing clients about risks of trading in securities market: Risk disclosure document, risk of higher volatility, risk of lower liquidity, higher spreads, effects of leverage, risk of news announcements, systemic risk, system congestion, risk of trading in derivatives, currency specific risk, risks of trading through wireless technology, SMART Order Routing Systems etc. | Mr. Rohan Raut, Chief Manager, NSE &Mr. Pranav R Tanna, Chief Manager – NSE |
| Understanding Margins: Types of margins & margin computation Handling of Investor Grievances – problems of Unauthorized Trading | |
| Handling of Physical Shares & transfer and transmission of shares and reclaiming shares and dividends from IPEF | Ms. Swati Uchil, Head Corporate Registry – Link Intime |
All the participants were awarded the Certificate of Participation and NISM memento. The training programme was appreciated by all.
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