Securities Intermediaries Compliance (Non-Fund)

This module seeks to create a knowledge benchmark for persons engaged in compliance function with any intermediary registered with SEBI as Stock Brokers, Sub-Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustee and Credit Rating Agencies. This module aims to enhance the quality of services as rendered by those engaged in compliance activities. It also aims at ensuring that the compliance officers are aware of the different regulations which govern the Securities Market.

Why should one enroll in this course?
  • Understand the financial structure in India; know the financial intermediaries and the types of products available in the Indian Market.
  • Understand the regulatory framework and the role of the various regulators in the financial system.
  • Understand the importance of compliance activity and the scope and the role of compliance officer in the Indian Securities Market.
  • Understand the various regulations and rules of the Indian Securities Market.
  • Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.
Who will benefit from this course?
  • Students who are interested in this subject
  • Bankers & its Employee’s
  • Teachers & Professionals
  • Employees of Stock Broking Company
  • Employees of Depository Participants
  • Employees of Merchant Bankers
  • Employees of Credit Rating Agencies
Course Details

Duration: 40 hours (20 days)

Fees: Rs. 17500/-

Second attempt for examination additional: Rs. 2100/-

Contents Of This Course

Day 1 – Introduction To Financial System
  • Financial System
  • Financial Intermediaries
  • Financial Securities
Day 2 – Regulatory Framework – General View
  • Regulatory System
  • Financial Markets Regulators
  • Role of the other Regulators in the Financial Market
  • Appellate Authority
  • Legislative Framework Governing the Financial Market
Day 3 – Introduction To Compliance
  • Compliance – Introduction
  • Role and Reporting Structure
  • Responsibilities of COs towards Stakeholders
  • Appellate Authority
  • Compliance requirements under the SEBI
Day 4 – Sebi Act 1992
  • Salient features of SEBI Act 1992.
Day 5 – Securities Contracts Act 1956 And Securities Contract Rules 1957
  • Securities Contract (Regulation) Act 1956
  • Securities Contract (Regulation) Rule 1957
Day 6 – Sebi (Intermediaries) Regulations 2008
  • Introduction
  • General Obligations of Intermediaries
  • Inspection and Disciplinary Proceedings
  • Action in Case of Default and Manner of Suspension and Cancellation of Certificate
  • Code of Conduct
Day 7 – Sebi (Prohibition Of Insider Trading) Regulations 1992
  • Introduction
  • Prohibition on Dealing, Communicating or Counselling
  • Disclosures and Internal Procedure for Prevention of Insider Trading
Day 8 – Sebi (Prohibition Of Fradulent And Unfair Trade Practices) Regulations 2003
  • Introduction
  • Prohibition of fraudulent and unfair trade practices
  • Investigation
Day 9 – Prevention Of Money Laundering Act 2002
  • Introduction
  • Highlights of PMLA 2002
  • Highlights of SEBI
  • SEBI (Foreign Portfolio Investors) Regulations 2014
Day 10 – Sebi (Kyc Registration Agency) Regulations 2011
  • Introduction
  • Registration as a KRA (Initial and Permanent)
  • Obligations on Surrendering Certificate of Registration
  • Functions and Obligations of KRA and Intermediary
  • Code of Conduct of KRA
  • Guidelines for Intermediaries, KRA and In-person Verification
Day 11 – Sebi (Stock Brokers And Sub Brokers Regulations 1992
  • Introduction to SEBI (Stock Brokers and Sub Brokers) Regulations 1992
  • SEBI (Alternate Investment Funds) Regulations 2012
Day 12 – Sebi (Merchant Bankers) Regulations 1992,
Sebi (deliisting of equity shares) regulations 2009,
Sebi (Substantial Acquisition Of Shares & Taveovers) Regulations 2011, &
Sebi (Buyback Of Securities) Regulations 1998
  • Introduction
  • SEBI (Merchant Bankers) Regulations 1992
  • SEBI (Substantial Acquisition of Shares & Takeovers) Regulations 2011
  • SEBI (Delisting of Equity Shares) Regulations 2009
  • Obligations under the SEBI (Buyback of Securities) Regulations 1998
Day 13 – Sebi (Issue Of Capital And Disclosure Requirements) Regulations 2009
  • Introduction
  • Allocation of Responsibilities
  • Role of Advisors
  • Due Diligence and Compliances
  • Role of Underwriter
  • General Obligations of Merchant Bankers with respect to Public and Right Issue
Day 14 – Depositories Act 1996
  • Introduction
  • Rights and Obligations of Depositories
  • Enquiry and Inspection
  • Miscellaneous Issues
Day 15 – Sebi (Depositories And Participants) Regulations 1996
  • Registration of a Depository Participants
  • Rights and Obligations
  • Action in case of Default
  • Code of Conduct for Participants
Day 16 – Sebi (Bankers To An Issue) Regulations 1994
  • Registration as Banker to an Issue
  • General Obligations and Responsibilities of Banker to an Issue
  • Code of Conduct for Bankers to an Issue
  • Obligations of Banker to an Issue in Case of Inspection by RBI
Day 17 – Sebi (Underwriters) Regulations 1993
  • Registration as Underwriter
  • General Obligations and Responsibilities
  • Code of Conduct
Day 18 – Sebi (Debenture Trustees) Regulations 1993
  • Registration as a Debenture Trustee
  • Capital Adequacy Requirements
  • Responsibilities and Obligations of Debenture Trustees
  • Code of Conduct for the Debenture Trustees
  • Dissemination of Information
Day 19 – Sebi (Credit Rating Agencies) Regulations 1999
  • Registration as a Credit Rating Agency
  • General Obligations of Credit Rating Agencies
  • Restrictions on Rating of Securities issues by Promoters
  • Code of Conduct of the Credit Rating Agencies
  • Guidelines for Credit Rating Agencies
Day 20 – Sebi (Custodian Of Securities) Regulations 1996
  • Custodian and Custodial Services
  • Registration and Eligibility
  • General Obligations and Responsibilities of Custodians
  • Code of Conduct


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

20 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.