October 2019

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Depository Operations.

NISM-Series-VI: Depository Operations Certification Examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in (a) dealing or interacting with clients; (b) dealing with securities of clients; (c) handling redressal of investor grievances; (d) internal control or risk management; (e) activities having a bearing on operational risk; (f) maintenance of books and records pertaining to the above activities. 

The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India.