Capital Market and Custodian Practice Exam
Capital Market and Custodian Practice Exam
About Capital Market and Custodian Exam
The Capital Market and Custodian Certification validates your knowledge of stock markets, trading systems, settlement processes, and custodial services. It is ideal for job seekers aiming for roles in banks, brokerage firms, depositories, and financial service companies. This certification proves that you understand how securities are traded, held, and transferred securely. It boosts your profile in a competitive finance job market. It helps freshers and working professionals qualify for roles like capital market executive, back-office analyst, or custodian associate. It builds trust with employers and opens up career growth in the capital market operations and securities services domain.
Who should take the Exam?
This exam is ideal for:
- Finance Graduates and B.Com/MBA students
- Capital Market Operations Staff
- Back-office and Settlement Executives
- Custodian and Depository Assistants
- Freshers looking to enter stock markets
- Mutual fund and brokerage firm employees
- Investment and trade support professionals
- Job seekers in securities services
- People preparing for BFSI roles
- Compliance or middle office team members
Skills Required
- Capital market structure and instruments
- Trade life cycle and transaction flow
- Clearing and settlement process
- Custodial services and role of custodians
- NSDL/CDSL and depository operations
- Investor protection and regulations
- Market participants and risk controls
- Matching, confirmation, and reconciliation
Knowledge Gained
- Basics of stock exchanges and securities
- Trade execution to post-trade processes
- How clearinghouses work in settlement
- Importance and process of custodianship
- Role of depositories like NSDL, CDSL
- Risk mitigation in capital markets
- Documentation and regulatory compliance
- Understanding back-office and support systems
Course Outline
The Capital Market and Custodian Exam covers the following topics -
Domain 1 - Overview of Capital Markets
- Primary and secondary markets
- Market instruments (equity, debt, derivatives)
Domain 2 - Trade Life Cycle
- Order flow
- Matching and confirmation
- Clearing and settlement
Domain 3 - Role of Custodians
- Asset safekeeping
- Corporate actions and income processing
- Client reporting and securities lending
Domain 4 - Depositories and Clearing Corporations
- NSDL, CDSL, and their operations
- Clearing corporations and risk management
Domain 5 - Regulatory Framework
- SEBI regulations
- KYC and AML basics
- Investor grievance redressal
Domain 6 - Risk and Control
- Reconciliation
- Operational and settlement risks
- Best practices in compliance
Domain 7 - Global Custody Concepts
- Cross-border securities
- Role of global custodians
- Settlement cycles and SWIFT messaging
