From Product Names to Product Structure
Understand how equity, bonds and derivatives differ in rights, risk and market use.
Why professionals choose AAFM® India
The American Academy of Financial Management® has set standards in financial certification since 1996. AAFM® India brings these international standards to Indian professionals, with a curriculum built for Indian markets, regulation, and clients.
Recognized in 151 countries
Conferred under AAFM® international standards, with certification issued from the USA.
300,000+ global alumni
Join a worldwide community of certified wealth managers, planners, and private bankers.
Faculty who practice
Instructors hold CA, CFA, FRM, CFP, and CWM® designations with current industry experience.
A curriculum for this decade
AI in portfolio management, alternative funds, international tax, behavioral finance - updated continuously.
Who This Is For
Designed for Market and Finance Professionals
Understand what happens before, during and after a securities transaction.
Finance Students and Graduates
Build a structured understanding of capital-market products, participants and transactions.
Brokerage and Market Operations Teams
Connect order handling, clearing, settlement and investor servicing to the full trade lifecycle.
Compliance and Risk Professionals
Strengthen awareness of disclosures, conduct controls, documentation and investor protection.
Advisory and Investment Professionals
Explain securities, market infrastructure and transaction risks more clearly to clients.
Why choose AAFM India?
Understand Capital Markets. With AAFM India.
Develop a structured view of securities markets by connecting products, participants, transaction processes and regulatory safeguards in one learning journey.
Structured Market Understanding
Connect issuers, investors, intermediaries, exchanges, clearing corporations and depositories within the securities ecosystem.
Transaction-Focused Learning
Follow the transaction lifecycle from KYC and order placement through execution, clearing, settlement and reconciliation.
Product and Issuance Coverage
Build understanding across equity, public issues, debt securities, derivatives and primary-market transaction frameworks.
Regulation and Investor Protection
Connect disclosures, market conduct, operating controls, fraud prevention and cyber awareness with day-to-day market processes.
Your Learning Goal
Connect Products, Processes and Regulation
Build the ability to trace a securities transaction and identify the responsibilities and risks at each stage.
The Market
See how issuers, investors and intermediaries support capital formation, liquidity and price discovery.
The Products
Compare equity, public issues, debt securities and derivatives.
The Transaction
Trace an order from KYC and execution through clearing, settlement and reconciliation.
The Safeguards
Recognise disclosure, market conduct and investor-protection responsibilities.
Program Overview
See How the Entire Securities Market Connects
A capital-market transaction involves more than a buyer and a seller. Products, intermediaries, infrastructure, operating controls and regulation all influence how it works.
Based on AAFM India’s 20-chapter study material, this course covers the flow of funds, market participants, exchanges, clearing corporations and depositories; equity, public issues, debt and derivatives; and the transaction lifecycle from KYC and order placement to settlement and investor service. It also examines disclosures, market conduct and investor protection.
Trace a Transaction from Issue to Investor Service
Start with the role of capital markets, participants and infrastructure. Study equity, public issues, debt securities and derivatives. Then follow KYC, orders, execution, margining, clearing, settlement, contract notes, corporate actions and reconciliation.
Complete the picture with regulation, disclosures, market conduct, investor rights, fraud prevention and cyber awareness.
Faculty
◆Learn from practitioners, not presenters
AAFM INDIA
From Familiar Terms to Working Knowledge
Move Beyond Knowing What a Security Is
See how a product is issued, traded, held, settled and serviced within a regulated market.
From an Order to a Settled Trade
Follow execution, margining, clearing, settlement, reporting and reconciliation.
From a Rule to an Operating Control
Relate disclosure and conduct expectations to the work intermediaries perform.
From a Transaction to Investor Trust
Make suitability, risk communication, grievances and cyber awareness part of the process.
Industry-relevant skills
Skills You Will Build
Regulatory & Statutory Fluency
Understand domestic securities laws, reporting obligations, licensing expectations and governance frameworks for market participants.
Primary Market Transaction Execution
Learn the lifecycle of IPOs, QIPs, rights issues and hybrid instruments, including structuring, offer documents, due diligence and coordination.
Debt & Cross-Border Financing Frameworks
Navigate debt issuance, listing rules, private placements, IFSC/GIFT City structures, foreign currency bonds and FPI flows.
FinTech & Emerging Market Trends
Analyse regulatory responses to algorithmic trading, digital assets, blockchain and ESG disclosure mandates.
Career Relevance
Apply Market Knowledge Across Financial Services
The course supports work that involves securities, transactions, compliance and investor service.
Securities Operations
Support trade processing, settlement and reconciliation.
Brokerage Services
Handle market and client workflows with stronger product awareness.
Compliance Support
Assist with disclosures, documentation and conduct controls.
Investment Advisory Support
Explain product features, transactions and risk disclosures.
Note: Roles and hiring requirements vary by employer. Completing the course does not guarantee employment or a separate regulatory authorisation.
The curriculum: 20 units
Capital Markets, Securities Regulation & Transaction Frameworks
Capital Markets, Securities Regulation & Transaction Frameworks 60 Lessons 00:00:00
Chapter 1: The Role of Capital Markets in the Economy
3 Lessons
00:00:00 Hours
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E-book The Role of Capital Markets in the Economy
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Chapter 2: Market Participants: Issuers, Investors, Intermediaries and Regulators
3 Lessons
00:00:00 Hours
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E-book Market Participants - Issuers, Investors, Intermediaries and Regulators
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Market-Participants-Issuers-Investors-Intermediaries-and-Regulators
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Chapter 3: Liquidity, Capital Formation and Market Efficiency
3 Lessons
00:00:00 Hours
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E-book Liquidity, Capital Formation and Market Efficiency
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Liquidity Capital Formation and Market Efficiency
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Chapter 4: Exchanges, Clearing Corporations and Depositories
3 Lessons
00:00:00 Hours
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E-Book Exchanges, Clearing Corporations and Depositories
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Exchanges Clearing Corporations and Depositories
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Chapter 5: Brokers, Merchant Bankers, RTAs and Custodians
3 Lessons
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E-book Brokers, Merchant Bankers, RTAs and Custodians
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Brokers, Merchant Bankers, RTAs and Custodians
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Chapter 6: Credit Rating Agencies, Investment Advisors, Research Analysts and Portfolio Managers
3 Lessons
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E-book Credit Rating Agencies, Investment Advisors, Research Analysts and Portfolio Managers
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Chapter 7: Equity and Preference Shares: Features and Corporate Actions
3 Lessons
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E-book Equity and Preference Shares - Features and Corporate Actions
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Equity-and-Preference-Shares-Features-and-Corporate-Actions
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Chapter 8: Public Issuances: IPOs, FPOs, Rights Issues and QIPs
3 Lessons
00:00:00 Hours
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E-book Public Issuances - IPOs, FPOs, Rights Issues and QIPs
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Public Issuances IPOs, FPOs, Rights Issues and QIPs
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Chapter 9: Bonds, Debentures and Government Securities
3 Lessons
00:00:00 Hours
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E-book Bonds, Debentures and Government Securities
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Chapter 10: Yield, Credit Rating and Trading Mechanics
3 Lessons
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E-book Yield, Credit Rating and Trading Mechanics
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Yield, Credit Rating and Trading Mechanics
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Chapter 11: Futures and Options: Structure and Types
3 Lessons
00:00:00 Hours
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E-book Futures and Options - Structure and Types
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Chapter 12: Hedging, Speculation, Arbitrage and Margining
3 Lessons
00:00:00 Hours
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E-book Hedging, Speculation, Arbitrage and Margining
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Hedging-Speculation-Arbitrage-and-Margining
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Chapter 13: KYC, Order Placement and Trade Execution
3 Lessons
00:00:00 Hours
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E-book KYC, Order Placement and Trade Execution
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Chapter 14: Clearing, Margining and Settlement
3 Lessons
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E-book Clearing, Margining and Settlement
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Chapter 15: Contract Notes, Reporting, Corporate Actions and Reconciliation
3 Lessons
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E-book Contract Notes, Reporting, Corporate Actions and Reconciliation
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Chapter 16: SEBI, Stock Exchanges and the RBI Interface
3 Lessons
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E-book SEBI, Stock Exchanges and the RBI Interface
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Chapter17: Disclosures, Insider Trading and Unfair Trade Practices
3 Lessons
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E-book Disclosures, Insider Trading and Unfair Trade Practices
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Disclosures-Insider-Trading-and-Unfair-Trade-Practices
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Chapter 18: Grievance Redressal, Compliance Culture and Market Conduct
3 Lessons
00:00:00 Hours
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E-book Grievance Redressal, Compliance Culture and Market Conduct
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Grievance-Redressal-Compliance-Culture-and-Market-Conduct
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Chapter 19: Investor Rights, Risk Disclosures and Suitability
3 Lessons
00:00:00 Hours
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E-book Investor Rights, Risk Disclosures and Suitability
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Chapter 20: Investor Education, Fraud Prevention and Cyber Awareness
3 Lessons
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E-book Investor Education, Fraud Prevention and Cyber Awareness
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Investor Education Fraud Prevention and Cyber Awareness
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Course FAQs
Frequently Asked Questions
Based on AAFM India's 20-chapter study material, the course covers market participants, exchanges, clearing corporations and depositories, equity, debt and derivatives products, the full transaction lifecycle from KYC to settlement, and disclosure, conduct and investor protection rules.
No, this is AAFM India study material for the Capital Markets, Securities Regulation & Transaction Frameworks certification; it does not follow a NISM exam pattern or a specified NISM passing score.
Yes, it explains capital raising through public issues and other issuance routes as well as secondary-market trading and post-trade processes.
It traces KYC, order placement, execution, margining, clearing, settlement, contract notes, corporate actions and reconciliation, showing how a trade moves from instruction to completion.
Yes, the material introduces futures and options, hedging, speculation, arbitrage, margining and the risks of leveraged positions.
Yes, the course addresses disclosures, market conduct, grievances, suitability, fraud prevention and cyber awareness, alongside a reminder to check current rules with official sources for a specific transaction
It suits finance students and graduates, brokerage and market operations teams, compliance and risk professionals, and advisory or investment professionals who need to explain securities and transactions to clients.
Self-paced or live
◆Choose your Study Mode
Choose the study mode that works best for Capital Markets, Securities Regulation & Transaction Frameworks. Your selected course access and applicable fees are shown below.
Study on your own schedule
₹11000
+ 18% GST
₹12980 payable today
- Capital-market ecosystem
- Equity, debt and derivatives
- Primary and secondary markets
- Trade lifecycle and settlement
- Securities regulation and conduct
- Investor protection and cyber awareness
Ready to Understand How Markets Work?
Know the product. Follow the trade. Apply the safeguards.
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