Taxmann’s Depository Operations, Edition: 2022

Description

The examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in:

• Dealing or interacting with clients;
• Dealing with securities of clients;
• Handling redressal of investor grievances;
• Internal control or risk management;
• Activities having a bearing on operational risk;
• Maintenance of books and records pertaining to the above activities