Develop a solid understanding of capital markets, securities and regulatory structures.
Industry-relevant skills
Operational and regulatory skills you will build
Capital Market Operations
Understand issuance, trading, clearing and settlement within regulated markets.
Securities Analysis
Analyse equities, bonds, government securities, yields, credit ratings and corporate actions.
Trading & Risk Management
Understand derivatives, hedging, speculation, arbitrage and margining.
Regulatory Compliance
Work with KYC, SEBI rules, disclosures, market conduct and investor-protection requirements.
Industry-Relevant Skills – Operational & Regulatory Capabilities
Who it is for
Designed for postgraduate learners entering regulated market environments
Post-Graduate Students
Learners who want a practical understanding of capital markets, securities, market operations and regulatory frameworks.
Knowledge you will gain
What you will understand and apply
Market Structure
Capital-market structure, economic function, participants and regulatory framework.
Securities & Public Issues
Equities, bonds, government securities, derivatives, IPOs, FPOs, rights issues and QIPs.
Trade Lifecycle
Order placement, execution, margining, clearing, settlement, reporting and reconciliation.
Yield & Credit
Yields, credit ratings, trading methods, corporate actions and risk-management strategies.
Compliance
KYC, SEBI regulations, disclosures, compliance and ethics.
Investor Protection
Investor rights, grievance redressal, fraud prevention and cyber-security practices.
Knowledge You Will Gain – Capital Markets & Investor Protection
Understand how regulated securities markets work end to end
This
program builds practical knowledge of market structures, securities
transactions and regulatory requirements—from capital formation and public
issues to trading, clearing, settlement and investor protection.
Capital
Market Ecosystem
Roles of issuers,
investors, intermediaries, exchanges, depositories and regulators.
Securities
& Market Instruments
Equities, preference
shares, bonds, debentures, government securities, futures and options.
Transaction
Lifecycle
Order placement,
trade execution, margining, clearing, settlement, reporting and reconciliation.
Regulation
& Investor Protection
SEBI regulations,
market conduct, disclosures, grievance redressal, fraud prevention and cyber
awareness.
Capital markets become clearer when
the full transaction lifecycle is connected
Professionals often study issuance, trading, clearing,
settlement, regulation and investor protection separately, which makes the
market ecosystem feel fragmented.
- Follow a
structured framework for securities markets.
- Connect
issuance, trading, clearing and settlement as one lifecycle.
- Understand how
regulations, institutions and transaction processes fit together.
- Link financial
instruments, risk management and investor protection through one guided
learning path.
How we help you succeed: The course
explains how capital markets function, how securities transactions are
executed, how regulation shapes market conduct, and how participants operate
from issuance and order placement through clearing, settlement and investor
protection.
Learning journey
No uncertainty after payment
01
Understand the ecosystem
Map issuers, investors, intermediaries, exchanges, depositories and regulators.
02
Study the instruments
Understand equities, bonds, government securities and derivatives.
03
Learn public-market issuance
Build knowledge of IPOs, FPOs, rights issues, QIPs and related activities.
04
Follow the trade Live tier
Understand order placement, execution and margining.
05
Complete the transaction
Study clearing, settlement, reporting and reconciliation.
06
Apply regulation
Connect KYC, SEBI rules, market conduct, disclosures and investor protection.
Why it matters
Why this certification matters
Understand issuance, trading, clearing and settlement of securities in regulated markets.
Know the functions of exchanges, depositories, intermediaries, SEBI and RBI.
Note: Build practical knowledge of equities, bonds, derivatives and public-market activities.
Improve professional readiness for broking, investment, compliance and market-operations roles.
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
-
E-book The Role of Capital Markets in the Economy
.
-
The-Role-of-Capital-Markets-in-the-Economy
.
Chapter 2: Market Participants: Issuers, Investors, Intermediaries and Regulators
3 Lessons
00:00:00 Hours
-
E-book Market Participants - Issuers, Investors, Intermediaries and Regulators
.
-
Market-Participants-Issuers-Investors-Intermediaries-and-Regulators
.
Chapter 3: Liquidity, Capital Formation and Market Efficiency
3 Lessons
00:00:00 Hours
-
E-book Liquidity, Capital Formation and Market Efficiency
.
-
Liquidity Capital Formation and Market Efficiency
.
Chapter 4: Exchanges, Clearing Corporations and Depositories
3 Lessons
00:00:00 Hours
-
E-Book Exchanges, Clearing Corporations and Depositories
.
-
Exchanges Clearing Corporations and Depositories
.
Chapter 5: Brokers, Merchant Bankers, RTAs and Custodians
3 Lessons
00:00:00 Hours
-
E-book Brokers, Merchant Bankers, RTAs and Custodians
.
-
Brokers, Merchant Bankers, RTAs and Custodians
.
Chapter 6: Credit Rating Agencies, Investment Advisors, Research Analysts and Portfolio Managers
3 Lessons
00:00:00 Hours
-
E-book Credit Rating Agencies, Investment Advisors, Research Analysts and Portfolio Managers
.
-
Credit-Rating-Agencies-Investment-Advisers-Research-Analysts-and-Portfolio-Managers
.
Chapter 7: Equity and Preference Shares: Features and Corporate Actions
3 Lessons
00:00:00 Hours
-
E-book Equity and Preference Shares - Features and Corporate Actions
.
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Equity-and-Preference-Shares-Features-and-Corporate-Actions
.
Chapter 8: Public Issuances: IPOs, FPOs, Rights Issues and QIPs
3 Lessons
00:00:00 Hours
-
E-book Public Issuances - IPOs, FPOs, Rights Issues and QIPs
.
-
Public Issuances IPOs, FPOs, Rights Issues and QIPs
.
Chapter 9: Bonds, Debentures and Government Securities
3 Lessons
00:00:00 Hours
-
E-book Bonds, Debentures and Government Securities
.
-
Bonds-Debentures-and-Government-Securities
.
Chapter 10: Yield, Credit Rating and Trading Mechanics
3 Lessons
00:00:00 Hours
-
E-book Yield, Credit Rating and Trading Mechanics
.
-
Yield, Credit Rating and Trading Mechanics
.
Chapter 11: Futures and Options: Structure and Types
3 Lessons
00:00:00 Hours
-
E-book Futures and Options - Structure and Types
.
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Futures-and-Options-Structure-and-Types
.
Chapter 12: Hedging, Speculation, Arbitrage and Margining
3 Lessons
00:00:00 Hours
-
E-book Hedging, Speculation, Arbitrage and Margining
.
-
Hedging-Speculation-Arbitrage-and-Margining
.
Chapter 13: KYC, Order Placement and Trade Execution
3 Lessons
00:00:00 Hours
-
E-book KYC, Order Placement and Trade Execution
.
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KYC-Order-Placement-and-Trade-Execution
.
Chapter 14: Clearing, Margining and Settlement
3 Lessons
00:00:00 Hours
-
E-book Clearing, Margining and Settlement
.
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Clearing-Margining-and-Settlement-Securities-Market
.
Chapter 15: Contract Notes, Reporting, Corporate Actions and Reconciliation
3 Lessons
00:00:00 Hours
-
E-book Contract Notes, Reporting, Corporate Actions and Reconciliation
.
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Contract-Notes-Reporting-Corporate-Actions-and-Reconciliation
.
Chapter 16: SEBI, Stock Exchanges and the RBI Interface
3 Lessons
00:00:00 Hours
-
E-book SEBI, Stock Exchanges and the RBI Interface
.
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SEBI-Stock-Exchanges-and-the-RBI-Interface
.
Chapter17: Disclosures, Insider Trading and Unfair Trade Practices
3 Lessons
00:00:00 Hours
-
E-book Disclosures, Insider Trading and Unfair Trade Practices
.
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Disclosures-Insider-Trading-and-Unfair-Trade-Practices
.
Chapter 18: Grievance Redressal, Compliance Culture and Market Conduct
3 Lessons
00:00:00 Hours
-
E-book Grievance Redressal, Compliance Culture and Market Conduct
.
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Grievance-Redressal-Compliance-Culture-and-Market-Conduct
.
Chapter 19: Investor Rights, Risk Disclosures and Suitability
3 Lessons
00:00:00 Hours
-
E-book Investor Rights, Risk Disclosures and Suitability
.
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Investor-Rights-Risk-Disclosures-and-Suitability
.
Chapter 20: Investor Education, Fraud Prevention and Cyber Awareness
3 Lessons
00:00:00 Hours
-
E-book Investor Education, Fraud Prevention and Cyber Awareness
.
-
Investor Education Fraud Prevention and Cyber Awareness
.
Our alumni work at India's leading wealth institutions
CWM® charterholders serve in private banking, wealth advisory, financial planning, and portfolio roles across these organizations — part of a 300,000+ global alumni network.
Questions before enrolling
Capital Markets
Securities Regulation & Transaction Frameworks: FAQs
It covers the capital-market ecosystem, securities and instruments, public issues, trading, clearing, settlement, regulation and investor protection.
Yes. The program curriculum includes SEBI rules, disclosures, market conduct, KYC, ethics and investor-protection requirements.
Yes. Futures and options, hedging, speculation, arbitrage and margining are included.
Yes. Order placement, execution, margining, clearing, settlement, reporting and reconciliation are explicitly listed.
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₹11000
+ 18% GST
₹12980 payable today
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