This book seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and companies proposed to be listed on the stock exchanges.

This book aims to enhance the knowledge of these Compliance Officers ensuring continuous updation.

The Present Publication is the March 2022 workbook version, published exclusively by Taxmann for NISM Certification Examination III-B [Issuers Compliance], with the following noteworthy features:

[Know] the following:
Role and responsibilities of a Compliance officer of a listed company
Laws and regulations that need to be adhered to by a public company for issues, corporate actions, and day-to-day compliance requirements
Various penalties for non-compliance with regulations and requirements as specified in various Regulations
[Understand] the various avenues for raising funds from the Indian and global markets and the various compliance requirements for the same
Coverage of this book includes:

Introduction to the Indian Capital Market
Capital Market Regulations
Compliance Officer
Raising Capital from the Market
Role of Compliance Officer in a Public Issue
Role of Compliance Officer in Other Issues
Raising Money from Foreign Market
Corporate Actions
Ongoing Compliance Requirements
Ethical Practices by Compliance Officers
Penalties