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| Program Name: |
Comprehensive Program on Broking Operation
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| Objectives: |
For Broker members who wish to broaden the scope of their business and provide their clients with a wider range of financing options.
This course provides a balance between theory, industry-based case studies and practical skills to deliver results that can be immediately applied in the competitive marketplace.
This is what makes our course different from the rest - it's more than just academic, it provides the practical tools for success in the broking industry.
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| Content: |
- Broking House Set up Essentials:
Tales and Facts from India (Evolution of Indian Capital Markets and Broking Firms)
- Past reflections
- Present status
- Future prospects
- Market Dynamics and Undertaking risk identification and Risk assessment:
- Type of players / Risk Profile
- Develop risk evaluation criteria
- Assess current exposure
- Comparison of exposure to guidelines
- Preparation of probability assessments
- Communication of risk assessments to internal and external stakeholders
- Identifying and developing complex broking options for clients:
- Product differentiation (Essential markets in India)
- Identify complex broking needs of clients
- Research and consider broking solutions based on client needs
- Select and gather appropriate options and information for client review
- Presenting broking options to clients with complex needs (Aspects of Behavioural Skills in Financial Industry):
- Traits of a successful broker
- Developing a rapport with clients
- Present broking options to the client
- Negotiate effectively
- Complete and maintain necessary documentation
- Compliance requirements for Member Brokers:
- Member-brokers Compliance – (Stock Brokers and Sub Brokers) Rules
- Bye-laws & Regulations of the exchange, Notices, Circulars
- Areas covered during an inspection audit
- Norms for imposition of fines and penalties
- Compliance with other allied requirements of the Inspection Department. viz., Submission of Audit Report, Annual Accounts, Net worth Certificate, Margin Certificate and Unique Client Code
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| Target Audience: |
Broker members, Sub Broker, Students and other related financial intermediaries |
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| Duration & Timing: |
4 days
10.00 am to 5.30 pm |
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| Fees: |
Rs. 12,000.00 + 12.36% (Service Tax + Education Cess) per participant inclusive of tuition fees, reference material and (morning / evening) refreshments only.
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Program
Coordinator
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Nadeem Alam
For further details regarding contents,
E-mail: training@bseindia.com |
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