Securities Intermediaries Compliance (Non-Fund) – NISM Series III-A Certification Examination

Securities Intermediaries Compliance (Non-Fund) is the official courseware prescribed for the NISM Series III-A Certification Examination. Authored by the National Institute of Securities Markets (NISM), an educational initiative of SEBI, and published by Taxmann Publications, this book equips readers with the essential knowledge required to understand the regulatory and compliance obligations of securities intermediaries operating in India’s capital markets.The book comprehensively explains the legal and regulatory framework applicable to brokers, depository participants, investment advisers, research analysts, and other securities market intermediaries. It covers important topics such as SEBI regulations, compliance responsibilities, governance standards, investor protection measures, code of conduct, anti-money laundering (AML) guidelines, KYC requirements, internal controls, inspection procedures, and risk management practices.Designed according to the latest NISM certification syllabus, the book combines conceptual clarity with practical insights, enabling readers to understand real-world compliance requirements in the securities industry. The structured presentation, examination-oriented approach, and updated regulatory content make it an indispensable resource for candidates preparing for the NISM certification as well as professionals working in compliance, legal, audit, and financial services.This book is highly recommended for NISM certification aspirants, compliance officers, stock brokers, securities intermediaries, finance professionals, and students pursuing careers in capital markets.