Cmcapital Markets View

Topics: Financial markets, Stock exchange, Stock market Pages: 3 (455 words) Published: August 11, 2013
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 Orders,...
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