This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination Securities Intermediaries Compliance (Non-Fund).

NISM-Series-III-B: Issuers Compliance Certification Examination seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and also companies which are proposed to be listed on the stock exchanges.

The book covers the role and responsibilities of a Compliance officer of a listed company; discusses the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same and discusses laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements and the penalties for non-compliance.