Back Office Operations

This module has been prepared with a view to provide a comprehensive and in depth knowledge about the back office operations in the securities markets.

Why should one enroll in this course?
  • To have a comprehensive and broad based knowledge about back office operations.
  • To know the various types of primary issues and the activities that drive the primary market.
  • To get an overview of various operational activities and gain insights on post-trade activities in the markets.
Who will benefit from this course?
  • Students who are interested in this subject
  • Investors & Traders Lobby
  • Financial Planners & Advisors
  • House-wife’s
  • Analysts
  • Equity Research professionals
  • Bankers & its Employee’s
  • Teachers & Professionals
  • Employees of Stock Broking & Mutual Fund Company
Course Details

Duration: 30 hours (15 days)

Fees: Please contact the admissions department.

Second attempt for examination additional: Rs. 2100/-

Contents Of This Course

Day 1 – KYC, AML & CFT
  • Principles
  • Client Due Diligence
  • Customer Acceptance Policy
  • Clients of Special Category (CSC)
  • Client Identification Procedure (CIP)
  • Client Registration
    1. Proof of Identity (POI)
    2. Proof of Address (POA)
    3. PAN Card
    4. Additional Requirements for non-individuals
    5. Unique Client Code
    6. Nomination
  • Changes in Client Information
    1. Change of Address
    2. Change in Bank Details
    3. Change in Signatory
  • KYC Registration Agencies (KRA)
  • Suspicious Transactions Reporting (STR)
  • Designated Individuals & Entities
  • Record Keeping
Day 2 – Primary Market
  • Types of Issues
    1. Public Issue - IPO
    2. Public Issue – Follow-on Offering
    3. Public Issue – Offer for Sale
    4. Rights Issue
    5. Bonus Issue
    6. Private Placement
    7. GDR / ADR Issues
    8. Sponsored GDR / ADR Issues
    9. Foreign Currency Convertible Bond (FCCB) Issues
    10. India Depository Receipts
  • Public Issue Process
  • Time-line for Public Issue
  • Common Bid-cum-Application Form
  • ASBA
  • Buy Back of Securities
Day 3 – Secondary Market (Trading In Shares)
  • National Stock Exchange
  • Trading Members & Clearing Members
  • Authorised Persons & Sub-brokers
  • Trading Member’s Responsibilities for Trades
  • Uniform Documentation for Opening Trading Account
  • Screen-based Trading System (SBTS)
  • Trade Management
  • Market Types
    1. Normal Market
    2. Auction Market
    3. Odd Lot Market
    4. Retail Debt Market
  • Margin Trading
  • Exchange Margins
  • Settlement
    1. Clearing House
    2. Other Agencies Involved in Settlement
    3. Clearing Mechanism
    4. Clearing Process
    5. Settlement Process
    6. Transaction Cycle
    7. T+ Rolling Settlement Calendar
    8. Delivery Versus Payment (DVP) / Hand Delivery
    9. Auction Settlement
    10. F&O Settlement
    11. Books of Accounts
    12. Straight Through Processing (STP)
Day 4 – Depository Operations
  • Depository and Issuer
  • Depository Participant
  • Transactions
    1. Account Opening
    2. De-materialisation
    3. Re-materialisation
    4. Secondary Market Purchases
    5. Secondary Market Sales
    6. Standing Instructions
    7. Power of Attorney (PoA)
    8. Transposition
    9. Transmission of Securities
    10. Dividends
    11. Pledging Securities
    12. Freezing of Accounts
    13. SMS Alerts
    Day 5 – Registrar & Transfer Agent
    • Role & Responsibilities
    • Voting Rights in Companies
    • Dividend Payments in Companies
    • Physical Shares
      1. Transfer Deed
      2. Delays in Transfer of Shares by Companies
      3. Good and Bad Delivery Norms
    Day 6 – Mutual Fund: Amc Operations
    • Legal Structure
    • Net Asset Value (NAV)
    • Expenses
    • Load
    • Offer Documents
    • Investor Transactions (Normal Physical Mode)
      1. Acquisition of Units by Investor from the Scheme
      2. Sale of Units by Investor to Scheme
      3. Secondary Market Transactions in Units by Investor
      4. Redemption of Units on closure of scheme
      5. Additional Purchase by Investor
      6. Switch by Investor
      7. Systematic Investment Plan
      8. Systematic Withdrawal Plan
      9. Systematic Transfer Plan
    • Investor Transactions (Through the Internet)
    • Investor Transactions (NSE MFSS Channel)
    • Dividend Options
      1. Dividend Payout Option
      2. Growth Option
      3. Dividend Re-investment Option
    • Dividend Mechanics
    • Income Distribution Tax
    • Securities Transaction Tax (STT)
    • Cut-off Time Regulations
      1. Liquid Schemes & Plans - Subscriptions
      2. Liquid Schemes & Plans – Re-Purchases
      3. Other than Liquid Schemes & Plans - Subscriptions
      4. Other than Liquid Schemes & Plans – Re-purchases
    • Official Points of Acceptance (PoA)
    • Time Stamping
    • RTA Role
    • Distributors’ Commission
    • Bank Accounts
    • Other Back Office Activities
    Day 7 – Mutual Fund Transactions Through Nse
    • Listed Schemes
    • Exchange Traded Funds (ETFs)
    • Mutual Fund Service System (MFSS)
      1. Subscription (Physical mode)
      2. Subscription (Demat mode)
      3. Redemption (Physical mode)
      4. Redemption (Demat mode)
    Day 8 – Qualified Foreign Investors – Equity Shares
    • Background
    • Permitted Transactions
    • Investment Restrictions
    • Administration of Investment Limit
    • Other Conditions
    • Transaction Flow
    Day 9 – Qualified Foreign Investors – Mutual Funds
    • Background
    • Investment Limit
    • Transaction Flow
    • Direct Route (Demat)
    • Indirect Route (Unit Confirmation Receipts – UCR)
    • Other Conditions
    Day 10 – Recap & Revision
    Day 11 – Recap & Revision
    Day 12 – Recap & Revision
    Day 13 – Recap & Revision
    Day 14 – Recap & Revision
    Day 15 – Recap & Revision

    FAQ's

    1. 1. You are eligible for a refund until the course / specialization launches on the platform however kindly note 25% reduction will be done on the amount paid if applied for cancellation.

    2. You are not eligible for a refund after earning a Course Certificate, even if you complete a course in a short period.

    3. Rs.5000/- will be refunded as a token of reward if examination is cleared in first attempt.

    Yes—to enroll in an individual course, search for the course title in the catalog.

    Yes, kindly contact Nathani Finance

    15 Days Classroom Training

    1 Day for Examination

    New Batch admission will start every month.

    No specific background is required for this course, anybody can join having interest in this Industry.

    Although you can take the courses in any order, however we do recommend that you follow the suggested sequence of courses

    Yes, Successful candidates will be rewarded the Certificate by the below mentioned organisations post clearing the exams.

    Nathani Institute Pvt. Ltd.

    National Stock Exchange Ltd.