Mastering the Intermediary Web in Indian Capital Issuances

Consider the frantic atmosphere in a back-office operations desk when a client calls, confused about why their demat account has not yet reflected the shares allocated in a recent initial public offering. While the...

Navigating Cross-Border Compliance: FEMA and Securities Operations

Consider a situation in your back-office desk where a high-net-worth client requests to purchase Indian Depository Receipts (IDRs) of a foreign entity, but the trade file is flagged during the morning reconciliation....

Navigating Debt Instruments: ECB versus FCCB Operational Realities

Consider an afternoon in the back office where a client queries why their portfolio shows a specific accrual on a Foreign Currency Convertible Bond (FCCB) while an External Commercial Borrowing (ECB) remains static in...

Navigating SEBI ICDR Compliance in Securities Operations

A common situation in a broking back office involves a sudden influx of client queries when an issuer announces a Follow-on Public Offer (FPO) or a Rights Issue. You are the operational point of contact, ensuring that...