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Financial Marketing Management- XII
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SAKHARAM DAGDE
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CHAPTER - 1
Understanding Neat System
1.1 Introduction
1.2 Trading Network of NSE
1.3 NEAT System
1.4 Corporate hierarchy
1.5 Logging on to the neat system
1.5.1 User ID:
1.5.2 Trading Member ID
1.5.3 Password:
1.5.4 New Password
1.6 How to login
1.7 Exit from the system (Alt + F4)
Let’s revise - New Terms
Multiple Choice Questions – Time your efforts
CHAPTER - 2
Getting Familiar to NEAT Screen
2.1 Introduction
2.2 NEAT Screen
2.2.1 Title Bar
2.2.2 Sub Title Bar
2.2.3 Second Sub Title Bar
2.2.4 Tool Bar
2.2.5 Market Watch
2.2.6 System Message Window
2.3 Types of Orders
2.3.1 Regular Lot (RL) Orders
2.3.2 Special Trade (ST) Orders
2.3.3 Stop Loss (SL) Orders
2.3.4 Negotiated Trade (NT) Orders
2.3.5 Odd Lot (OL) Orders
2.3.6 Retail Debt (RD) Orders
2.3.7 Auction Market (AU) Orders
2.4 Key Functions
2.4.1 Outstanding Order (F3)
2.4.2 Market Watch (F4)
2.4.3 Market By Order (F5)
2.4.4 Market By Price (F6)
2.4.5 Activity Log (F7)
2.4.6 Previous Trades (F8)
2.4.7 Snap Quote (F9)
2.4.8 Market Enquiry (F11)
2.5 Other Functions
2.5.1 Market Movement (Shift + F10)
2.5.2 Online Backup (Alt + F7)
2.5.3 Basket Trading (Ctrl + F6)
2.5.4 Security List (Shift + F7)
2.5.5 Security Descriptor (Shift + F8)
2.5.6 Auction Enquiry (Shift + F11)
2.5.7 Order Status (Shift + F12)
2.5.8 Online Backup (Alt + F7)
2.6 Supplementry Menu For Specific Features
First five functions
Next five functions
Next five functions
Next five functions
2.7 Buy Back Shares (Ctrl + F5)
Summary/Recapitulation
Let’s revise - New Terms
Multiple Choice Questions – Time your efforts
CHAPTER - 3
Order and Trade Management
3.1 Introduction
3.2 Order Management
3.2.1 Entering Orders
3.2.1.1 Order Types and Conditions
3.2.2 Order Modification
3.2.3 Order Cancellation
3.2.4 Order Matching
3.3 Trade Management
3.3.1 Trade Modification
3.3.2 Trade Cancellation
3.4 Auction
3.5 Limited Physical Market
3.6 RETDEBT Market (RDM)
Multiple Choice Questions – Time your efforts
CHAPTER - 4
Trading Reports Downloads
4.1 Introduction
4.2 Trading information downloaded to trading members
4.2.1 On-line backup
4.2.2 Trader messages in full message display
4.2.3 Bhav copy
4.2.4 Security information
4.2.5 Circulars
4.2.6 Order / Trade slips
4.2.7 Reports
4.2.8 Trade verification
4.3 Internet Broking
4.4 Wireless Application Protocol (WAP)
CHAPTER - 5
Introducing and Understanding Transaction cycle
5.1 Introduction
5.2 Transaction Cycle
5.3 Settlement Agencie
5.3.1 National Securities Clearing Corporation Limited (NSCCL)
5.3.2 Clearing Members
5.3.3 Custodians
5.3.4 Clearing Banks
5.3.5 Depositories
5.3.6 Professional Clearing Members (PCM’s)
5.4 Settlement Process
5.5 Risks in Settlement
5.5.1 Counterparty Risk
5.5.1.1 Replacement Cost Risk
5.5.1.2 Principal Risk
5.5.1.3 Liquidity Risk
5.5.1.4 Third Party Risk
5.5.2 System Risk
5.5.2.1 Operational Risk
5.5.2.2 Legal Risk
5.5.2.3 Systemic Risk
CHAPTER - 6
Understanding the Rolling Settlement
6.1 Introduction
6.2 Trading Activities (T day)
6.2.1 Opening of Trading Account
6.2.2 Placing the Order to Buy/Sell
6.2.3 Collecting Charges
6.3 Clearing Activities (T+1 day)
6.3.1 Unilateral Netting
6.3.2 Multi lateral Netting
6.4 Settlement Activities (T+2 day)
6.4.1 Pay-in and Pay-out of Funds
6.4.2 Pay-in and Pay-out of Securities
6.4.3 Direct Pay-out to Investors
6.5 Post Settlement Activities (T+3 to T+9 day)
6.5.1 Auction
6.5.2 Close-out Procedures
CHAPTER - 7
Risk Containment Measures
7.1 Introduction
7.2 Capital Adequacy Requirement
7.3 Base Minimum Capital (BMC) and Additional Base Capital (ABC)
7.4 Trading and Exposure Limits
7.4.1 Determination of Gross Exposure
7.4.2 Early Pay-in of Funds/Securities
7.4.3 On line Exposure Monitoring
7.4.4 Violation of Exposure Limits
7.5 Grouping of Securities
7.6 Margin Requirements
7.6.1 Value at Risk Margin
7.6.2 Mark to Market Margin
7.6.3 Extreme Loss Margin
7.6.4 Margin Payment and Payout
7.6.5 Margin Shortfall
7.7 Settlement Guarantee
7.8 Penalty Points and Penal Interest
7.9 Indemnity Insurance
7.10 Inspection and Investigation
7.11 Investor Protection Fund (IPF)
7.12 No-delivery Period
CHAPTER - 8
Operations of Depository Participants
8.1 Introduction – Depository System
8.2 International Securities Identification Number
8.2.1 Securities that can be dematerialised
8.3 Dematerialization
8.3.1 Meaning
8.3.2 Process of Dematerialization
8.3.3 Benefits of having a demat account
8.4 Trading and Settlement of dematted shares
8.4.1 Meaning of transfer of shares
8.4.2 Settlement of off-market Trades
8.4.3 Settlement of Market Trades
8.5 Rematerialization
CHAPTER - 9
9.1 Introduction
9.2 Obligation Reports
9.2.1 Daily Obligation Statement
9.2.2 Daily Obligation Statement of No-Delivery Securities
9.2.3 Daily Obligation Statement of Custodial Trades
9.2.4 Daily Obligation Statement of No-Delivery Custodial Trades
9.2.5 Final Settlement Obligations Statement
9.2.6 Final Settlement Obligations Statement of Custodial Trades
9.3 File Transfer Protocol
9.4 Annexure: Sample Reports
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