Most professionals struggle to understand capital markets not because they lack intelligence, but because:
- They do not follow a structured framework while studying securities markets
- Concepts such as issuance, trading, clearing and settlement are learned in isolation
- Regulatory requirements, market institutions and transaction processes remain fragmented
- Investment products, risk management and investor protection are not connected through a guided learning path
How We Help You Succeed:
This course addresses these challenges by providing an organised, concept-driven learning journey that explains how capital markets function, how securities transactions are executed, how regulations shape market conduct, and how participants operate across the complete trade lifecycle—from issuance and order placement to clearing, settlement and investor protection.
Today’s capital markets require professionals who can understand market structures, interpret regulations and manage transactions with accuracy. The Capital Markets, Securities Regulation & Transaction Frameworks course is designed to help you build practical knowledge of how securities markets operate—from capital formation and public issues to trading, clearing, settlement and investor protection.
This course provides a structured learning journey across market participants, financial instruments, transaction processes and regulatory requirements. You will know how exchanges, intermediaries, clearing corporations, depository and regulators contribute to the transparent, efficient and secure markets.
- Capital Market Ecosystem: Identify the roles of issuers, investors, intermediaries, exchanges, depositories and regulators.
- Securities and Market Instruments: Understanding about equities, preference shares, bonds, debentures, government securities, futures and options.
- Transaction Lifecycle: Understand Order Placement, Trade Execution, Margining, Clearing, Settlement, Reporting and Reconciliation.
- Regulation and Investor Protection: Discuss SEBI regulations, Market Conduct, Disclosures, Grievance redressal, fraud prevention and Cyber awareness.
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- Post-Graduate Students
Our Alumni(s) Placed at
Knowledge You Will Gain
- Understanding of the capital-market structure, economic function, market participants and regulatory frameworks.
- Practical knowledge of Equities, Bonds, Government Securities, Derivatives and Public Issues like IPOs, FPOs, Rights and QIPs etc.
- Full knowledge of order placement, trade execution, margining, clearing, settlement, reporting and reconciliation.
- Understand how yields work, how credit ratings are assigned, trading methods, corporate action and risk-management strategies.
- Understanding of KYC, SEBI regulations, disclosures, compliance and ethics in the market.
- Knowledge of investor rights, suitability, redressal of grievances, fraud prevention and cyber security practices.
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Talk to an Expert- Capital Market Operations: Understand the process of securities issuance, trading, clearing and settlement within regulated markets.
- Securities Analysis: Analyze securities including equities, bonds, government securities, yield and credit ratings and corporate actions.
- Trading & Risk Management: Use a practical understanding of derivatives, hedging, speculation, arbitrage and margining.
- Regulatory Compliance: Comply with KYC, SEBI Rules, Disclosures, Market Conduct and Investor Protection Rules.
- Graduation is mandatory.
Trusted by Industry Professionals
Subhradip Bhowmick
Founder
Esbee Sharpe Investment Service
Rohit Khatri
Manager
Motilal Oswal Financial Services Ltd
Mohit Chaudhary
Assistant Manager
IIFL Wealth Management Limited
Vishal Ahuja
Vice President
HDFC Bank
Laksh Vaish
Assistant Vice President
Axis Bank
Payal Maheshwari
Assistant Vice President
Anand Rathi Group
Deep Rakesh Gandhi
Business Consultant
Infosys Consulting
Girirajsinh Zala
Assistant Manager
HDFC Bank
AAFM® India: A Global Leader in Professional Education
AAFM® India represents a global legacy in financial education, supported by international standards and global recognition. It is a Standard Setting Body in India with the objective to promote Financial Advisory & Wealth Management in the country.
Learners choose AAFM® India because of:
- Strong focus on career-oriented education
- Industry-relevant curriculum
- Professional credibility
- Practical learning approach
- Commitment to learner success
- 1st Choice for Finance Professionals Seeking Global Credentials
- Among India's Top-Ranked Financial Education Institutions
- 10+ Industry recognised certifications (CWM®, CTEP®, Ch.E®, and more)
- Featured in 3+ National Media and Education Platforms
- 300,000+ Certificants
- 21st Century Curriculum
- 8000+ Finance Professionals Empowered
- Certifications issued directly from USA
- 94% of our Students Say Training Helped Advance their Careers
- 74% of Our Faculty Holds International Financial Designation
- 35+ Industry Mentors and Trainers from Across the Globe
- 64% of AAFM® Certified Members See Career Growth Within a Year
- Develop a solid knowledge of capital markets, securities and regulatory structures.
- Understand the process of issue, trading, clearing and settlement of securities on regulated markets.
- Know the functions of exchanges and depositories, intermediaries, SEBI and RBI.
- Learn about equities, bonds, derivatives, and public-market activities in a hands-on fashion.
- Improve career opportunities in Broking, Investment, Compliance & Market Operations.
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