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About the BookThis workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Merchant Banking. NISM-Series-IX: Merchant Banking Certification Examination seeks to create a common minimum knowledge benchmark for employees working with SEBI registered Merchant Bankers and performing various SEBI regulated functions such as those relating to IPO, FPO, Open offer, Buy-back, Delisting etc., and are involved in, or deal with any of the following:The investors, issuers or clients of intermediaries,Assets or funds of investors or clients,Redressal of investor grievances,Internal control or risk management,Activities having a bearing on operational risk ,Maintain books and records pertaining to above activities. The book covers various aspects of capital market functions, the importance of the different rules and regulations governing the Indian securities markets and the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.

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