Trading and Broking Operations Level 3: Risk management and Compliance for Trading Members

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Learn the essentials of risk management, margin requirements, and regulatory compliance in the Indian securities market. This course covers SEBI regulations, client communication, staff certifications, investor grievance handling, and good practices for brokers—equipping you to operate responsibly and efficiently.

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500/-
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This course includes:

2 Hours of learning content

30 days

Completion Certificate

English

Who Should Take This Course?

This course is designed for:

Students pursuing finance, commerce, or business administration

Back-office Executives, Trading Desk Associates, and Operations Analysts

Employees in depositories, clearing corporations, or RTAs

Professionals working in stockbroking, wealth management, or retail trading arms of banks or NBFCs

Offered by: NISM

Assessment Test: No

Pass Percentage - NA

What’s In It For You?

Risk Management

Rules and Compliance

Securities and Exchange Board of India (SEBI)

Different Types of Accounts and Records

Certifications of Staff

Regulatory Submissions

Mail/SMS Communication/Alerts to Clients

Familiarity with Inspections of SEBI/Exchanges and Depositories

Non-Compliance Penalties

Sales Practices

Understanding Risk Profile of Clients

Managing Investor Grievances

Information on SCORES

Good Practices for Brokers

Looking for Help?

Helpdesk

02192-668492/8493

Timings: Monday to Friday 9:30 AM till 5:30 PM

(Helpdesk will remain closed on public holidays).

elearning@nism.ac.in