Commerce CBCS Syllabus

UNIT I: Introduction & Liquid Asset About NSCCL, Segments, Clearing Members, Custodial Participants, Clearing Accounts, Systems and Interfaces Acceptable Forms, Minimum Deposit Requirement, Procedure for Submission of Collaterals, Procedure for Release of Collaterals, Procedure for Transfer of Collaterals, Deposited Collateral Information UNIT II: Capital Market Over View, Clearing, Settlement, Margins, Action for Shortages and Penalties UNIT III: Securities Lending and Borrowing Scheme & New Debt Segment Over View, Clearing, Settlement, Adjustments for Corporate Actions, Margins, Position Limits, Dealings with Clients Overview, Clearing, Settlement, Margins, Action for Shortages and Penalties UNIT IV: Equity Derivatives Segment & Currency Derivatives Segment Overview, Clearing, Settlement, Margins, Position Limits, Action for Shortages and Penalties Overview, Clearing, Settlement, Margins, Position Limits, Action for Shortages and Penalties UNIT V: Services Connect2nse Margins, Information via SMS, Margins and Collateral Information on Member Portal Text Books: 1. NSE Academy, NCFM- Clearing, Settlement & Risk Management Module, Mumbai: NSE , Annual 2. Dr.J. Dhankhar (2009), “The Indian Capital Market Operation”. New Delhi, Skylark Publication Reference Books: 1. Jagadish R. Raiyani (2011). Financial Derivatives in India, Chennai: New Century Publication 2. M.Y. Khan, P.K. Jain (2017), Financial Management. Bangalore: McGraw Hill Education 3. JoydeepSen, Abhishek Apte (2013), Fixed Income Markets in India. Mumbai: Shroff Publishers & Distributors Pvt Ltd 20BC2046 BACK OFFICE & DEPOSITORY OPERATIONS Credits: 3: 0: 0 Course Objectives: 1. To have a comprehensive and broad based knowledge about back office operations.

2. To know the various types of primary issues and the activities that drive the primary market 3. To know about the services provided by a depository.

Course Outcomes: After completing this course, they should be able to: 1. Remember the various types of Issues in Primary and Secondary Market 2. Understand the various operational activities and gain insights on post-trade activities in the markets.

3. Analysis the processes involved in a depository's functioning.

4. Apply and understand the NSDL application software.

5. Evaluate the listed schemes and special services offered for Mutual Funds 6. Develop suitable mix of portfolio through NSE UNIT I: Know Your Client, Anti-Money Laundering & Combating Financing of Terrorism & Overview of the Capital Market Principles, Client Due Diligence, Customer Policy, Clients of Acceptance Special Category (CSC), Client Identification Procedure (CIP), Client Registration, Changes in Client Information, KYC Registration Agencies (KRA), Suspicious Transactions Reporting (STR), Designated Individuals & Entities K. Record Keeping Overview of relevant laws and regulations; the primary and the secondary market and the capital market intermediaries.

COMMERCE AND INTERNATIONAL TRADE (2020)