Nism X Taxmann S Securities Markets Foundation Covering All Important Topics To Impart The Basic Knowledge Of The Indian Securities Markets Suitable For Entry Level Professionals

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
Page : 21 pages
File Size : 49,5 Mb
Release : 2024-01-17
Category : Education
ISBN : 9789357785556

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NISM X Taxmann's Securities Markets Foundation – Covering all important topics to impart the basic knowledge of the Indian Securities Markets suitable for entry-level professionals by NISM (An Educational Initiative of SEBI) Pdf

This book is a comprehensive guide to the Indian securities markets, designed to provide basic knowledge and understanding of the subject. It covers key topics such as: • Basics of Indian Securities Markets • Processes involved in Primary & Secondary markets • Schemes and products in Mutual Funds and Derivatives Markets in India • Financial Planning Process The book is particularly tailored for entry-level professionals aiming for a career in securities markets and individuals from various backgrounds, such as employees in securities, other professionals, students, homemakers, and teachers, who are keen on acquiring a basic understanding of the Indian Securities markets. The Present Publication is the November 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination XII | Securities Markets Foundation, with the following noteworthy features: • [Know] the following: o Basics of the Indian Securities Market o Various Processes Involved in Primary and Secondary Markets • [Understand] the Schemes and Products in Mutual Funds and Derivatives Markets The detailed contents of the book are as follows: • Understanding Securities Markets and Performance o This chapter introduces the concept of securities markets, detailing their structure and the various participants involved o It explores the role of securities markets in the financial ecosystem o A special focus is given to the technological advancements that have impacted the securities market • Securities: Types, Features and Concepts of Asset Allocation and Investing o An extensive overview of the different types of securities available in the market o It discusses the choices between equity and debt financing for issuers and the characteristics and roles of each o The chapter delves into hybrid instruments, commodities as an asset class, and derivatives o It also covers asset allocation, diversification, and the investment process in both equity and debt securities • Primary Markets o This chapter defines primary markets and their functions, comparing them with secondary markets o It outlines the various intermediaries, types of issues, issuers, and investors in the primary market o Regulatory frameworks, public issue processes for equities and debt securities, and private placements are also discussed • Secondary Markets o Focuses on the role and function of secondary markets and the different types available for various securities o Details the market structure, participants, brokers, trade execution, clearing, and settlement of trades o It also touches upon market information and regulation, risk management systems, and trading and reporting for debt securities • Mutual Funds o Provides a detailed explanation of mutual funds, their types, and related terms and concepts o Differentiates between open-ended and closed-ended mutual fund schemes o Discusses investment approaches, processes for investing in mutual funds, and systematic transactions o It also includes information on the benefits, costs, regulations, and investor service standards in mutual funds • Derivatives Markets o Covers the basics of derivatives, underlying concepts, and the various types of derivative products o Explores the structure of derivative markets, trading and settlement processes, and risk management o Concludes with the application of derivatives in risk management and market indicators

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
Page : 19 pages
File Size : 50,7 Mb
Release : 2024-03-04
Category : Law
ISBN : 9789357785563

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NISM X Taxmann's Securities Operations and Risk Management – Covering all important aspects related to the stock broker operations, starting from the client onboarding to the trade life cycle by NISM (An Educational Initiative of SEBI) Pdf

This comprehensive book offers an in-depth analysis of the operational facets of stock brokerage, catering to individuals keen on mastering broker operations and risk management within the securities markets. It is structured to enhance understanding through a detailed examination of various critical areas, such as: • Client Onboarding • Trade Life Cycle • Compliance Requirements Related to Report Submission • Redressal of Investor Grievances Upon completing this book, readers will gain a foundational understanding of the Indian securities market, including its products, participants, and the roles they play. The book aims to establish a minimum knowledge benchmark for associated persons of registered stock brokers, trading members, and clearing members, focusing on managing assets or funds, investor grievance redressal, internal control, risk management, and operational risk aspects. The Present Publication is the January 2024 workbook version, published exclusively by Taxmann for NISM Certification Examination VII [Securities Operations and Risk Management], with the following noteworthy features: • [Know] the following in detail: o Basics of the Indian Securities Market – Explores the basics of securities, the money market, products traded in the Indian securities market, and the concept of International Financial Services Centres (IFSC) o Market Participants – Details the roles of investors, issuers, the market structure, participants, and regulators in the securities market o Securities Trade Life Cycle – Offers insights into front office, middle office, and back office operations, outlining their functions and significance • [Understanding] of the following: o Clearing Process – Explains the role of clearing corporations, clearing banks, clearing members, custodians, depositories, and the clearing process itself o Settlement Process – Covers the determination of settlement obligations, settlement of funds and securities, auction of securities, and corporate actions adjustment o Risk Management – Discusses risk management strategies, compliance, regulatory reporting, and the Core Settlement Guarantee Fund o Investor Grievances and Arbitration – Focuses on investor grievance mechanisms, online dispute resolution, and investor protection funds o Other Services Provided by Brokers – Explores IPO applications, trading of mutual fund units, portfolio management service, research reports, depository services, margin trading, and internet-based trading technologies The contents of the book are as follows: • Introduction to the Securities Market o Overview of the securities market o Insights into the money market o Exploration of products traded in the Indian securities market o Discussion on International Financial Services Centres (IFSC) • Market Participants in the Securities Market o Detailed introduction to different market participants o Roles and perspectives of investors and issuers o Overview of market structure and key participants o An in-depth look at regulators in the securities market • Introduction to the Securities Broking Operations o Detailed stages of the securities trade life cycle o Examination of front office, middle office, and back office operations • Risk Management o A comprehensive exploration of risk management strategies and practices o Discussion on compliances and regulatory reporting o Insight into the Core Settlement Guarantee Fund • Clearing Process o Introduction to the clearing process o Roles and functions of the Clearing Corporation, clearing banks, clearing members, custodians, depositories, and depository participants o Detailed explanation of the clearing process • Settlement Process o Overview of the Settlement process in securities trading o Determination and settlement of obligations, both in funds and securities o Procedures for auction and corporate actions adjustment • Investor Grievances and Arbitration o Introduction to investor grievances and arbitration mechanisms o Online resolution of disputes in the Indian securities market o Overview of the Investor Protection Fund • Other Services Provided by Brokers o Range of services offered by brokers, including IPO applications, trading of mutual fund units, and portfolio management services o Discussion on research reports, depository services, margin trading, and internet-based trading technologies

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
Page : 26 pages
File Size : 49,9 Mb
Release : 2024-03-28
Category : Law
ISBN : 9789357787598

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NISM X Taxmann's Alternative Investment Funds Managers – Foundation knowledge of the AIF ecosystem in India with insights on fund management, regulatory & taxation frameworks, best practices, etc. by NISM (An Educational Initiative of SEBI) Pdf

This comprehensive guide discusses the intricacies of Alternative Investment Funds (AIFs) in India, offering: • Foundational understanding of the investment landscape • Alternative asset classes • Role and functions of key stakeholders within the AIF ecosystem The key learning outcomes of the book are as follows: • Equip readers with a basic understanding of the diverse investment landscape and the nuances of alternative asset classes • Foster a deep comprehension of the key theories underpinning investment decisions and fund management • Enable thorough knowledge of managing AIFs, focusing on product suitability, ecosystem roles, fund governance, and strategic investment approaches • Enable the readers to understand the complex regulatory and taxation landscape affecting AIFs in India, promoting best practices in fund management and compliance This book is designed for AIF Managers, investment team members, finance professionals, and anyone interested in deepening their understanding of alternative investment funds management in India. The Present Publication is the December 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination XIX-C | Alternative Investment Funds Managers, with the following noteworthy features: • [Foundation of Investment] Introduces the investment landscape, distinguishing between traditional and alternative investments, and elucidates the basics of portfolio theory • [AIF in India] Offers an in-depth analysis of AIFs in India, including their evolution, regulatory environment, and the suitability of various AIF products for portfolio diversification • [Fund Management] Discusses the critical role of investment managers and their teams in fund management duties, emphasising governance, conflict of interest management, and the importance of a robust governance structure • [Valuation and Performance] Explains valuation techniques, investment strategies, and the process of performance evaluation, including benchmarking policies • [Regulatory and Taxation Aspects] Covers the essential regulatory framework and taxation aspects relevant to AIFs in India, ensuring compliance and understanding of legal obligations The detailed contents of the book are as follows: • Investment Landscape o Introduction to various investment types and their distinctions from speculation o Discussion on investment objectives and the process of estimating the required rate of return • Types of Investments o Comparison between traditional and alternative investments, including their types and roles in portfolio management o Examination of the channels for making investments and the historical growth of alternative investments • Concept of Informational Efficiency o Exploration of informational versus operational efficiency, efficient capital markets, and the Random Walk Theory o Analysis of the Efficient Market Hypotheses (EMH), market anomalies, and their implications on valuation and portfolio management • Introduction to Modern Portfolio Theory o Detailed framework for constructing portfolios, assumptions of the theory, and the definition of investor risk profiles o Discussion on expected rates of return, variance, portfolio optimisation, and the Efficient Frontier • Introduction to Capital Market Theory o Overview of Capital Market Theory, its assumptions, the Capital Market Line, and the diversification of risk o Insights into CAPM, empirical tests, and multi-factor models of risk and return • Alternative Investment Funds in India and its Suitability o Detailed analysis of the evolution, growth, and current market of AIFs in India o Comparison of AIFs with traditional investments and their role in portfolio diversification and risk management • Alternative Investment Fund Ecosystem o Comprehensive understanding of the concepts prevalent in the AIF industry • Alternative Investment Fund Structuring o Insights into the principle of 'Pooling', buy-out transactions, AIF constitution, and common fund structures • Fee Structure and Fund Performance o Examination of management fees, hurdle rate, high-water mark, types of risks, risk measures, and return measures in AIFs • Indices and Benchmarking o Detailed exploration of indices, their uses, methodologies, and performance benchmarking • Investment Strategies, Investment Process and Governance of Funds o Insight into investment strategies, deal sourcing, investor due diligence, and governance structures in AIFs • Funds Due Diligence | Investor Perspective o Comprehensive guide to fund due diligence, manager evaluation, and selection from an investor's perspective • Legal Documentation and Negotiations o Overview of essential legal documents and negotiations in the AIF landscape • Valuation o Detailed discussion on valuation basics, approaches, and techniques for AIF portfolio investments • Fund Monitoring, Reporting and Exit o Insights into the regulatory framework for fund monitoring, reporting, exit options, and liquidation schemes • Taxation o Detailed examination of taxation related to AIFs, including surcharge rates, GAAR, and other applicable taxes • Regulatory Framework o Comprehensive overview of the regulatory framework governing AIFs, including SEBI regulations and other related laws

Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
Page : 15 pages
File Size : 43,6 Mb
Release : 2023-07-26
Category : Law
ISBN : 9789357782258

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Taxmann X NISM's Equity Derivatives – Insights into strategies, risk management & regulatory norms | Elucidates derivative products, trading mechanisms & investor protection practices by NISM (An Educational Initiative of SEBI) Pdf

This book seeks to create a common minimum knowledge benchmark for associated persons functioning as approved users and sales personnel of the trading member of an equity derivatives exchange or equity derivative segment of a recognised stock exchange. This book covers the following topics: • Basics of Equity Derivatives • Trading Strategies using Equity Futures and Equity Options • Clearing, Settlement and Risk Management • Regulatory Environment in which Equity Derivatives operate in India This book will be helpful for all those who want to understand better various derivatives products available in the Indian equity derivatives markets. The Present Publication is the May 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination VIII [Equity Derivatives], with the following coverage: • Basics of Derivatives • Understanding the Index • Introduction to Forwards and Futures • Introduction to Options • Strategies using Equity Futures and Equity Options • Trading Mechanism • Introduction to Clearing and Settlement System • Legal and Regulatory Environment • Accounting and Taxation • Sales Practice and Investor Protection Services

Author : Fraser Institute (Vancouver, B.C.)
Publisher : The Fraser Institute
Page : 122 pages
File Size : 54,9 Mb
Release : 1997
Category : Informal sector (Economics)
ISBN : 9780889751699

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The Underground Economy by Fraser Institute (Vancouver, B.C.) Pdf

From the back cover: The papers in this ground breaking book constitute a unique collection of information about the underground economy and how it is manifested in a variety of countries. Section One attempts to measure Canada's underground economic activity and provides a specific estimate of the impact that tax changes have on its size. It also looks at the problems of tax evasion and tax avoidance. Section Two deals with the size of the underground substance economy, the legal aspects of tlhe underground economy in the United States, and an asseeement of the economic activities of the Mafia. Section Three analyzes the underground economy abroad, specifically in the United States, Britain, Mexico, Peru, Chile, Russia and China. The fourth section returns to Canada and examines some policy implications of the underground economy. A survey detailed in Section One shows that a majority of Canadians believe that they do not receive enough benefits for the taxation they pay. Section Four offers a solution to the problem of tax evasion and underground economic activity; the adoption of user fees and user taxes.

Author : Murray Newton Rothbard
Publisher : Ludwig von Mises Institute
Page : 536 pages
File Size : 54,6 Mb
Release : 2006
Category : Economics
ISBN : 9781610164016

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Making Economic Sense by Murray Newton Rothbard Pdf

Author : United States. Commodity Exchange Administration
Publisher : Unknown
Page : 94 pages
File Size : 41,6 Mb
Release : 1937
Category : Commodity exchanges
ISBN : OSU:32435000441006

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Trading in Commodity Futures by United States. Commodity Exchange Administration Pdf

Author : Anonim
Publisher : University of Tampere
Page : 324 pages
File Size : 45,5 Mb
Release : 2024-05-12
Category : Electronic
ISBN : 9789514459177

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FROM GOVERNING TO GOVERNANCE: A process of change by Anonim Pdf

Author : Ian F. Alexander,Ljerka Beus-Dukic
Publisher : John Wiley & Sons
Page : 480 pages
File Size : 53,6 Mb
Release : 2009-02-11
Category : Computers
ISBN : 9780470714256

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Discovering Requirements by Ian F. Alexander,Ljerka Beus-Dukic Pdf

"This book is not only of practical value. It's also a lot of fun to read." Michael Jackson, The Open University. Do you need to know how to create good requirements? Discovering Requirements offers a set of simple, robust, and effective cognitive tools for building requirements. Using worked examples throughout the text, it shows you how to develop an understanding of any problem, leading to questions such as: What are you trying to achieve? Who is involved, and how? What do those people want? Do they agree? How do you envisage this working? What could go wrong? Why are you making these decisions? What are you assuming? The established author team of Ian Alexander and Ljerka Beus-Dukic answer these and related questions, using a set of complementary techniques, including stakeholder analysis, goal modelling, context modelling, storytelling and scenario modelling, identifying risks and threats, describing rationales, defining terms in a project dictionary, and prioritizing. This easy to read guide is full of carefully-checked tips and tricks. Illustrated with worked examples, checklists, summaries, keywords and exercises, this book will encourage you to move closer to the real problems you're trying to solve. Guest boxes from other experts give you additional hints for your projects. Invaluable for anyone specifying requirements including IT practitioners, engineers, developers, business analysts, test engineers, configuration managers, quality engineers and project managers. A practical sourcebook for lecturers as well as students studying software engineering who want to learn about requirements work in industry. Once you've read this book you will be ready to create good requirements!

Author : National Research Council,Division of Behavioral and Social Sciences and Education,Committee on Law and Justice,Committee to Review Research on Police Policy and Practices
Publisher : National Academies Press
Page : 431 pages
File Size : 48,5 Mb
Release : 2004-04-06
Category : Law
ISBN : 9780309084338

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Fairness and Effectiveness in Policing by National Research Council,Division of Behavioral and Social Sciences and Education,Committee on Law and Justice,Committee to Review Research on Police Policy and Practices Pdf

Because police are the most visible face of government power for most citizens, they are expected to deal effectively with crime and disorder and to be impartial. Producing justice through the fair, and restrained use of their authority. The standards by which the public judges police success have become more exacting and challenging. Fairness and Effectiveness in Policing explores police work in the new century. It replaces myths with research findings and provides recommendations for updated policy and practices to guide it. The book provides answers to the most basic questions: What do police do? It reviews how police work is organized, explores the expanding responsibilities of police, examines the increasing diversity among police employees, and discusses the complex interactions between officers and citizens. It also addresses such topics as community policing, use of force, racial profiling, and evaluates the success of common police techniques, such as focusing on crime "hot spots." It goes on to look at the issue of legitimacyâ€"how the public gets information about police work, and how police are viewed by different groups, and how police can gain community trust. Fairness and Effectiveness in Policing will be important to anyone concerned about police work: policy makers, administrators, educators, police supervisors and officers, journalists, and interested citizens.

Author : Soner Gokten
Publisher : BoD – Books on Demand
Page : 342 pages
File Size : 52,8 Mb
Release : 2017-09-20
Category : Business & Economics
ISBN : 9789535135494

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Accounting and Corporate Reporting by Soner Gokten Pdf

We have spent a great deal of time on the continued development of accounting and auditing standards, which are used as a primary component of corporate reporting, to reach today's financial reporting framework. However, is it possible to say that, currently, financial statements provide full and prompt disclosure? Or will they still be useful as a primary element with their current structures in corporate reporting? Undoubtedly, we are deeply concerned about these issues in recent times. This volume contains chapters to discuss the today's and tomorrow's accounting and corporate reporting phenomena in a comprehensive and multidimensional way. Therefore, this book is organized into six sections: "Achieving Sustainability through Corporate Reporting", "International Standardization", "Financial Reporting Quality", "Accounting Profession and Behavioral Aspects", "Public Sector Accounting and Reporting", and "Managerial Accounting".

Author : Geert Lovink,Nathaniel Tkacz
Publisher : Unknown
Page : 384 pages
File Size : 53,9 Mb
Release : 2011
Category : Electronic encyclopedias
ISBN : 9078146133

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Critical Point of View by Geert Lovink,Nathaniel Tkacz Pdf

For millions of internet users around the globe, the search for new knowledge begins with Wikipedia. The encyclopedia's rapid rise, novel organization, and freely offered content have been marveled at and denounced by a host of commentators. This book moves beyond unflagging praise, well-worn facts, and questions about its reliability and accuracy, to unveil the complex, messy, and controversial realities of a distributed knowledge platform. The essays, interviews and artworks brought together in this reader form part of the overarching 'Critical Point of View' research initiative, which began with a conference in Bangalore (January 2010), followed by events in Amsterdam (March 2010) and Leipzig (September 2010). With an emphasis on theoretical reflection, cultural difference and indeed, critique, contributions to this collection ask: What values are embedded in Wikipedia's software? On what basis are Wikipedia's claims to neutrality made?

Author : John A. Wagner,John R. Hollenbeck
Publisher : Unknown
Page : 472 pages
File Size : 47,7 Mb
Release : 2020-12-30
Category : Organizational behavior
ISBN : 036744416X

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Organizational Behavior by John A. Wagner,John R. Hollenbeck Pdf

The management of organizational behavior is a critically important source of competitive advantage in today's organizations. Managers must be able to capitalize on employees' individual differences as jobs are designed, teams are formed, work is structured, and change is facilitated. This textbook, now in its third edition, provides its readers with the knowledge required to succeed as managers under these circumstances. In this book, John Wagner and John Hollenbeck make the key connection between theory and practice to help students excel as managers charged with the task of securing competitive advantage. They present students with a variety of helpful learning tools, including: - Coverage of the full spectrum of organizational behavior topics - Managerial models that are based in many instances on hundreds of research studies and decades of management practice - not the latest fad - Completely new introductory mini-cases and updated examples throughout the text to help students contextualize organizational behavior theory and understand its application in today's business world This ideal book for upper-level undergraduate and postgraduate students of organizational behavior is written to motivate exceptional student performance and contribute to their lasting managerial success. Online resources, including PowerPoint slides and test banks, round out this essential resource for instructors and students of organizational behavior.

Author : Valerie A. Braithwaite
Publisher : Edward Elgar Publishing
Page : 377 pages
File Size : 52,5 Mb
Release : 2009-01-01
Category : Political Science
ISBN : 9781848449077

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Defiance in Taxation and Governance by Valerie A. Braithwaite Pdf

[Valerie] Braithwaite merges her considerable knowledge of a wide range of disciplines to produce an exemplar of interdisciplinary research. The use of the taxation system as the basis for analysis of how people manage their relationship with authority is effective and produces a much-needed addition to the behavioural literature. While the book is primarily about defiance in taxation, many instances of non-taxation related defiance are included, which provides excellent support and extension of the tax-based arguments. Braithwaite has produced an excellent example of a book that is grounded in the extant literature, while expanding our understanding of the importance of understanding the behaviours that drive defiance. The aim of the book is to show how authorities can live symbiotically with defiance and she achieves this superbly, illustrating how improved satisfaction with the process can minimise defiance. Lisa Marriott, Pacific Accounting Review This innovative book presents a theory of tax defiance, integrating five years of research on people s hopes, fears and expectations of the tax system and the authority that administers it. Valerie Braithwaite makes a major contribution to regulatory theory by mapping the psychological processes of defiance. At the heart of the analysis is the concept of motivational posturing signals sent to indicate how favourably an authority is viewed and readiness to defer to an authority's demands. The author explains how resistant defiance expresses disapproval of the way an authority operates and signals to government the need to improve performance to win back public confidence. Resistance weakens as the authority claws back its institutional integrity. Dismissive defiance, on the other hand, is challenging and undermining, and is not so responsive. The book argues for institutional reforms that are both mindful of grievance and of alternative authorities that challenge power. It illustrates that in delivering institutional reform, commitment to democratic principles and integrity of government will enable authorities to argue their case for community co-operation where appropriate. Finally, the book goes on to show that power sharing is likely to be a more apt remedy when dismissive defiance is entrenched. Safeguarding these deliberations in mature democracies are moral obligation and social capital, both of which are likely to erode when authorities show neither justice nor wisdom in handling defiance. This unique and innovative example of how psychology can be integrated into new institutional theory and public policy practice will prove an interesting read for scholars, students and researchers in the fields of regulatory studies, economics, public policy and public finance, politics and psychology.

Author : Eirikur Bergmann
Publisher : Springer
Page : 213 pages
File Size : 48,5 Mb
Release : 2016-11-23
Category : Political Science
ISBN : 9781137567031

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Nordic Nationalism and Right-Wing Populist Politics by Eirikur Bergmann Pdf

Based on a constructivist approach, this book offers a comparative analysis into the causes of nationalist populist politics in each of the five Nordic independent nation states. Behind the social liberal façade of the economically successful, welfare-orientated Nordic states, right-wing populism has found support in the region. Such parties emerged first in Denmark and Norway in the 1970s, before becoming prominent in Sweden and Finland after the turn of the millennium and in Iceland in the wake of the financial crisis of 2008, when populist parties surged throughout the Nordics. The author traces these Nationalist trails of thoughts back to the National Socialistic movements of the 1920s and 1930s (the respective Nordic version Nazi parties) and before, to the birth of the Nordic nation states in the nineteenth century following the failure of integration. Since then, as the book argues, separate nationalisms have grown strong in each of the countries. This study will appeal to students and scholars as well as wider audiences interested in European Politics, Nordic Politics, Nationalism, and Populism.