Cmcapital Markets View
CAPITAL MARKET (DEALERS) MODULE
CURRICULUM
1. Trading ➢ Introduction ➢ Neat System ➢ Market Types – Normal Market, Odd Lot Market, Retail Debt Market, Auction Market ➢ Corporate Hierarchy ➢ Local Database ➢ Market Phases - Opening, Open Phase, Market Close, Surcon ➢ Logging on ➢ Log Off/Exit from the Application ➢ Neat Screen ➢ Invoking An Inquiry Screen - Market Watch, Security Descriptor, Market by Price, Previous Trades, Outstanding Orders, Activity Log, Order Status, Snap Quote, Market Movement, Market Inquiry, Auction Inquiry, Security/Portfolio List, Multiple Index Broadcast and Graph, Online Backup, Basket trading, Buy Back Trades, Supplementary Functions ➢ Order Management - Entering Orders, Order Modification, Order Cancellation, Order Matching ➢ Trade Management – Trade Modification, Trade Cancellation ➢ Auction - Entering Auction Orders, Auction Order Modification, Auction Order Cancellation, Auction Order Matching ➢ Limited Physical Market ➢ Retail Debt Market (RDM) ➢ Trading Information Downloaded to Members ➢ Internet Broking ➢ Wireless Application Protocol
2. Clearing and Settlement ➢ Introduction - Transaction Cycle, Settlement Process, Settlement Agencies, Risks in Settlement ➢ Settlement Cycle ➢ Securities Settlement ➢ Funds Settlement ➢ Shortages Handling ➢ Risk Containment Measures - Capital Adequacy Requirements, Margins, Settlement Guarantee, No-Delivery Period ➢ International Securities Identification Number ➢ Dematerialisation And Electronic Transfer of Securities ➢ Investor Protection Fund ➢ Clearing Software – Reports ➢ File Transfer Protocol
3. Trading Membership ➢ Stock Brokers – Introduction, Membership in NSE ➢ Sub-Brokers o Broker-Clients Relations - Know Your Client, Unique Client Code, Margins from the Clients, Execution of Orders, Accumulation of
CURRICULUM
1. Trading ➢ Introduction ➢ Neat System ➢ Market Types – Normal Market, Odd Lot Market, Retail Debt Market, Auction Market ➢ Corporate Hierarchy ➢ Local Database ➢ Market Phases - Opening, Open Phase, Market Close, Surcon ➢ Logging on ➢ Log Off/Exit from the Application ➢ Neat Screen ➢ Invoking An Inquiry Screen - Market Watch, Security Descriptor, Market by Price, Previous Trades, Outstanding Orders, Activity Log, Order Status, Snap Quote, Market Movement, Market Inquiry, Auction Inquiry, Security/Portfolio List, Multiple Index Broadcast and Graph, Online Backup, Basket trading, Buy Back Trades, Supplementary Functions ➢ Order Management - Entering Orders, Order Modification, Order Cancellation, Order Matching ➢ Trade Management – Trade Modification, Trade Cancellation ➢ Auction - Entering Auction Orders, Auction Order Modification, Auction Order Cancellation, Auction Order Matching ➢ Limited Physical Market ➢ Retail Debt Market (RDM) ➢ Trading Information Downloaded to Members ➢ Internet Broking ➢ Wireless Application Protocol
2. Clearing and Settlement ➢ Introduction - Transaction Cycle, Settlement Process, Settlement Agencies, Risks in Settlement ➢ Settlement Cycle ➢ Securities Settlement ➢ Funds Settlement ➢ Shortages Handling ➢ Risk Containment Measures - Capital Adequacy Requirements, Margins, Settlement Guarantee, No-Delivery Period ➢ International Securities Identification Number ➢ Dematerialisation And Electronic Transfer of Securities ➢ Investor Protection Fund ➢ Clearing Software – Reports ➢ File Transfer Protocol
3. Trading Membership ➢ Stock Brokers – Introduction, Membership in NSE ➢ Sub-Brokers o Broker-Clients Relations - Know Your Client, Unique Client Code, Margins from the Clients, Execution of Orders, Accumulation of