I. Introduction to the Capital Market

  • Introduction to the capital market
  • Structure of capital market
  • Regulatory environment in Indian capital market
  • Regulators in the Indian capital market

II. Introduction to Depository

  • Need for a depository system
  • Depository as a market participant
  • Legal framework in which the depositories function in India
  • Functions of a depository

III. Depository and its Business Partners

  • Depository participants (DPs)
  • Clearing corporation/Clearing house
  • Issuers and RTAs

IV. Functions of Depository Participant -Account Opening

  • Types of demat account a person can open with a DP
  • Beneficiary account
  • Clearing member account
  • Closure of account
  • Freezing of account
  • Procedure and documentation for changes in client details

V. Functions of Depository Participant – Transmission and Nomination

  • Transmission of shares
  • Nomination of shares
  • Process of transmission of securities held with or without nomination and jointly

VI. Functions of Depository Participant -Dematerialization

  • International Securities Identification Number (ISIN)
  • Process of dematerialization
  • Process of rematerialisation

VII. Functions of Depository Participant -Trading and Settlement

  • Role of DP in facilitating the transfer of securities
  • Off-Market transactions
  • Market transactions
  • Inter-Depository transfers

VIII. Pledge and Hypothecation

  • Concept of pledge and hypothecation
  • Procedure for pledge and hypothecation

IX. Corporate Action

  • Corporate Actions
  • Procedure for Corporate Action w.r.t monetary benefits
  • Procedure for Corporate Action w.r.t non-monetary benefits
  • Procedure for Corporate Action w.r.t rights issue
  • Procedure for Corporate Action w.r.t mergers and amalgamations
  • Procedure for Corporate Action w.r.t monetary benefits
  • Procedure for Corporate Action w.r.t interest payment on debt securities

X. Public Issues

  • Role of DP in the process of public issues

XI. Debt Instruments and Government Securities

  • Debt instruments and government securities
  • Certificate of deposit (CDs)
  • Commercial paper
  • Government securities

XII. Foreign Portfolio Investor

  • Eligibility Criteria of Foreign Portfolio Investors (FPI)
  • Categories of FPI
  • Eligibility Criteria and Engagement of Designated Depository Participant (DPP)

XIII. Rajiv Gandhi Equity Saving Schemes

  • Procedure for opening an account to invest in RGESS

XIV. Basic Services Demat Account (BSDA)

  • Features of BSDA
  • Eligibility conditions required for opening BSDA