1. Financial Services and Markets................................7
1.1 Concept, Meaning and Scope of Financial Services
1.2 Structure and Components of Financial Markets
1.3 Functions and Role of Financial Markets
1.4 Growth and Evolution of Financial Services in India
1.5 Overview of Global Financial Markets
2. Indian Capital Market and Instruments......................49
2.1 Evolution and Structure of Indian Capital Market
2.2 Financial Institutions in Capital Market
2.3 Capital Market Instruments: Shares, Debentures,
Bonds, Hybrid Instruments
2.4 Global Debt Instruments
2.5 Recent Developments in Indian Capital Market
3. Regulation of Capital Market.......................................85
3.1 Regulatory Framework of Capital Market
3.2 Role of Regulatory Authorities
3.3 SEBI: Structure, Objectives and Functions
3.4 Powers and Role of SEBI in Market Development
3.5 Investor Protection Measures
4. Anti-Money Laundering (AML) and
Legal Framework.............................................................113
4.1 Concept, Sources and Impact of Money Laundering
4.2 Methods and Techniques of Money Laundering
4.3 Global and Indian AML Framework
4.4 FATF Recommendations
4.5 Role of Regulatory Authorities and Legal Provisions
5. KYC and Compliance...................................................143
5.1 Concept and Importance of KYC
5.2 Customer Identification and Profiling
5.3 RBI Guidelines and KYC Policies
5.4 Customer Due Diligence (CDD)
5.5 KYC Practices in India (PAN, Aadhaar, etc.)
6. Banking Risk, Technology and Monitoring...................150
6.1 Risk in Banking and Financial Services
6.2 Digital Banking Risks (Frauds, OTP, UPI Safety)
6.3 KYC in Special Accounts (Companies, Trusts, NRI)
6.4 Monitoring of Transactions and Suspicious Activities
6.5 Role of Financial Intelligence Unit (FIU-IND)
References....................................................................157