bangladesh academy for securities markets

(Academic Wing of Bangladesh Securities and Exchange Commission)

Training Info



1. Regulatory Framework of Bangladesh Capital Market


2.Bangladesh Capital Market: Overview of the equity and debt markets, the goals of the markets, and how they work, the functions of Capital Markets, including raising capital, trading, and investment, and the differences between exchange traded and over-the-counter markets, the difference between primary and secondary markets, and the major players, and the different regulators in the market and their roles


3.Stock exchange operations: Operational Structure of DSE, functions, Product and Boards, Clearing and Settlement, TREC holder's Margin, Fund mobilization process , Mainboard, SME and ATB, Market capitalization, API and Broker Hosted OMS, DSE data sale initiative , Government Securities trading and operations , Upcoming products development initiatives, ETF, REIT, ESG Index, Short Selling, Sharia based products.


4.Clearing operations: Account opening, Direct account, Dematerialization, buying and selling, off market settlement, freeze and suspension, transfer and transmission and pledging.


5.Commodity exchange operations: Difference between commodity and financial derivatives; Global and Bangladesh commodities exchanges; Prospect and challenges of commodity market in Bangladesh. Classification of commodity and factors affecting commodity market. Exchange membership; Capital requirements; Commodities traded on CSE platform; Potential Instruments available for trading; Pricing of commodity futures; Trading; Clearing, Settlement and Risk Management; Use of commodity futures in hedging, speculation and arbitrage.


6.Brokerage and Merchant Banking Operation and Compliance: Compliance Activities for a Stock Broker and Merchant Banker, Non-Compliance Activities Relating to Short Sale, Same Share Buy Sale, Sponsor Directors’ Share Buy and Sale Without Declaration, Aggressive Buy Sale, Modify (Buy Sale in Wrong Client Code). Trading Related Compliance, Check Dishonor Issue, Transfer & Transmission Related Compliance, Buy & Sale Order Form, Margin Related Compliance, Risk arises from Non-compliance, SME Board, Alternative Trading Board (ATB), Net capital Balance of Stock Broker and Stock Dealer, Risk based Capital Adequacy Requirements. Fund-raising, underwriting, loan syndication, investment advice, portfolio management, and issue management.

Capital Market Intermediaries 

Course Duration

15 Hours

Objective:

This training aims to develop a thorough understanding of securities operations-related concepts in debt and equity markets.

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