Capital Markets


Product Description

The course is specially designed with an aim of developing skills and competency in Capital markets. It is a detailed program on Capital Markets suggested to be completed in the period of One month. Special care is taken is to keep the lessons in easy language for better understanding. It is an endeavour which promises to impart a strong understanding of trading securities in Indian markets. The course begins with the basics and takes you through trading and operational procedures, regulations and other aspects of capital markets. It is an ideal choice for students aspiring to become Capital market professionals or investors who are looking forward to better their return on investments.

The course coves basics of capital markets, products traded, functions of various intermediaries especially brokers, regulations governing capital markets, risk management, Clearing and settlement process, and various other related topics, thus making it a vast course. This course may also be used for preparing for NISM SORM (Securities Operations & Risk Management) Series VII certifications.


What’s inside :

Course contains Video lessons with explanation in easy language for various aspects of Capital Markets. The audio visual approach keeps the learning curve high. It also contains Question bank with about 150 questions and 3 mock tests

Suitable for :

Students aspiring to become financial markets professionals, Dealers, traders, investors, Sub brokers etc.


CM Unit 1 : Introduction to the Securities Market

  • Topics covered : Introduction, Securities Market, Money markets, Products Traded in the Indian Market


CM Unit 2 : Market Participants in the Securities Market

  • Topics covered : Introduction, Investors, Issuers, Intermediaries, Regulators


CM Unit 3 : Introduction to Securities Broking Operations

  • Topics covered : Introduction to the Trade Life Cycle, Front Office Operations, Middle Office Operations, Back Office Operations


CM Unit 4 : Risk Management

  • Topics covered : Introduction to Risk Management, Compliances and Regulatory Reporting


CM Unit 5 : Clearing Process

  • Topics covered : Introduction, Role of the Clearing Corporation, Clearing Banks and their function, Clearing members /Custodians,
  • Depositories & Depository Participants, Clearing Process


CM Unit 6 : Settlement Process

  • Topics covered : Settlement Cycle, Settlement of Internet based trading & order placed on phone , Settlement of Funds, Settlement of Securities, Corporate Actions Adjustment, Auction of Securities


CM Unit 7 : Investor Grievances and Arbitration

  • Topics covered : Introduction, Investor Grievances, Arbitration


CM Unit 8 : Other Services provided by Brokers

  • Topics covered : IPO Applications, Trading of Mutual Fund Units, Portfolio Management Service, Research Reports, Depository Services, Margin Trading


CM Unit 9 : Question Bank


Assessment Test

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