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The Institute promoted by Cochin Stock Exchange Ltd., aims to reach
the investors by conducting educational and awareness programmes on
basics and fundamentals of investment, Capital Market operations,
mechanisms to minimize risks and loss, dematerialization of shares
and operations of Depositories, margin systems, and investor
protection etc. As the only recognized functional Stock Exchange in
the State it is incumbent on CSE to educate the existing and
potential investors to remove their apprehensions about the Capital
Market investment.
SEBI
has made it mandatory to have qualified and certified staff to
conduct respective operations in Capital Market, Depository and
Derivatives in each of the Broker’s/Intermediaries’ offices.
Faculty:
Fortunately,
CSE has a wealth of qualified professionals to take these challenges
and the Institute exploits the services of these Members. The
Institute also seeks the help of other professionals who are experts
in relevant subjects and fields of operations.
Certificate
Programmes:
The
Institute offers the following Certificate Programmes of NSE.
CURRICULUM
1.
Trading
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Introduction
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Neat System
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Market Types – Normal Market, Auction Market
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Corporate Hierarchy
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Local Database
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Market Phases
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Pre-Open Phase, Opening, Open Phase, Market Close, Surcon
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Logging on
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Log Off/Exit from the Application
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Major Segments of the Neat Screen
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Invoking An Inquiry Screen
Market Watch, Security Descriptor, Market by Price, Previous Trades,
Outstanding Order Activity Log, Order Status, Snap Quote, Market
Movement, Market Inquiry, Auction Inquiry, Security/Portfolio List,
Multiple Index Broadcast and Graph, Online Backup, Supplementary
Functions
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Order
Management
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Entering Orders, Order Types and Conditions , Order
Modification, Order
Cancellation, Order matching
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Trade Management – Trade Modification, Trade
Cancellation
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Auction
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Entering Auction Orders, Auction Order Modification,
Auction Order, Cancellation,
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Auction Order Matching
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Trading Information Downloaded to Members
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Internet Broking
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Wireless Application Protocol
2.
Clearing and Settlement
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Introduction
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Transaction
Cycle, Settlement Process, Settlement Agencies, Risks in
Settlement
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Rolling Settlement
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Introduction,
Settlement Cycle, Pay-in and Pay-out of Funds, Pay-in and
Pay-out of Securities
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Risk Containment Measures
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Capital
Adequacy Requirements, Trading And Exposure Limits, Margin
Requirements, Index-Based
Circuit Filters, Settlement Guarantee, Direct Pay-out of
Securities, Gross Margining,
No-Delivery Period, Penalty Points and Penal Interest, Indemnity
Insurance
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International Securities Identification Number
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Dematerialization And Electronic Transfer of Securities
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Investor Protection Fund
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Clearing Software – Reports
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Obligation
Reports, Trade Reports, Deliveries Reports, Receipts Reports, Bad
Deliveries Reports, Funds Reports, Auction Reports, Objections
Reports, Margin Reports, Securities Reports, Miscellaneous Reports
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File Transfer Protocol
3.
Trading Membership
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Stock Brokers – Introduction, Membership in NSE
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Sub-Brokers
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Broker-Clients Relations - Know Your Client, Unique
Client Code, Margins from the Clients, Execution of Orders,
Accumulation of Orders, Contract Note, Payments/Delivery of
Securities to the Clients, Brokerage, Payment of Stamp Duty,
Segregation of Bank Accounts
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Sub-Broker-Client Relations - Know Your Client, Orders,
Purchase/Sale Note, Payments/Delivery of Securities,
Sub-Brokerage
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Dispute, Arbitration and Appeal and code of advertisement
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Code of Conduct – Stock Brokers, Sub-Brokers
Legal
Framework
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Securities Contracts (Regulation) Act, 1956
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Securities Contracts (Regulation) Rules, 1957
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Securities and Exchange Board of India Act, 1992
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SEBI (Stock Brokers & Sub-Brokers) Rules, 1992
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SEBI (Stock Brokers & Sub-Brokers) Regulations, 1992
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SEBI (Insider Trading) Regulations, 1992
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SEBI (Prohibition of Fraudulent And Unfair Trade
Practices Relating to Securities Markets Regulations, 1995
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The Depositories Act, 1996
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Indian Contract Act, 1872
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The Companies Act, 1956
5.
An Overview of the Indian Securities Market
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Introduction
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Market
Segments, Products and Participants
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A Profile
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Dependence
on Securities Market, Investor Population
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Primary Market
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Secondary
Market, Derivatives Market
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Market Design
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Primary
Market, Secondary Market, Derivatives Market
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Regulatory Framework
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Research in Securities Market
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Testing and Certification
6.
Fundamental Valuation Concepts
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Elementary Statistical Concepts
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Mean, Geometric Mean, Variance, Standard Deviation,
Coefficient of Variation,
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Covariance, Correlation Coefficient, Normal Distribution
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Time Value of Money
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Future Value of A Single Cash Flow, Future Value of an
Annuity, Present Value of a
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Single Cash Flow, Present Value of an Annuity
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Understanding Financial Statements
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Comparative Financial Statements, Common Size Statements,
Ratio Analysis
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Equity Research
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Bhav Copy Database, Index Database, Order Book Snapshots,
Database, Trades
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Database
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