NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Workbook

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination 

The assessment looks to make a typical least information the benchmark for all people occupied with a consistence work with any go-between enrolled as Stock Brokers, Sub-agents, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. 

Assessment Objectives: 

On effective culmination of the assessment the up-and-comer should: 

· Understand the structure of budgetary and protections markets in India; monetary delegates and the sorts of items accessible in the Indian market. 

· Understand the administrative structure and the job of the different controllers in the budgetary framework. 

· Understand the Importance of Compliance work and the degree and the job of the consistence official in the Indian protections market. 

· Understand the different guidelines and rules of the Indian protections market as identified with the characterized gathering of middle people. 

· Understand the significance of consistence with the principles and guidelines and the punitive activities started if there should arise an occurrence of any default or disappointment. 

Appraisal Structure 

The assessment comprises of 100 inquiries of 1 imprint each and ought to be finished in 2 hours. The finishing score for the assessment is 60%. There will be negative checking of 25% of the imprints allocated to an inquiry.

Test Details

Name of Module: NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

Fees (Rs.)	Test Duration (in minutes)	No. of Questions	Maximum Marks	Pass Marks* (%)	Certificate Validity# (in years)
1500+	120	100	100	60	3

*: Negative marking - 25% of the marks assigned to the question
+ Payment gateway charges extra.
# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

 

How to register and take the examination

To find out more and register for the examination please visit www.nism.ac.in

 

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