NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification offered by National Institute of Securities Markets
5.0 /5- Private Institute
- Estd. 2006
NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification at NISM Overview
Duration | 2 hours |
Total fee | ₹1,500 |
Mode of learning | Online |
Official Website | Go to Website  |
Credential | Certificate |
NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification at NISM Highlights
- Earn a certification after completion
NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification at NISM Course details
- Professionals working in the securities industry, such as compliance officers, risk managers, legal advisors, and regulatory professionals
- Understand the structure of financial and securities markets in India; financial intermediaries and the types of products available in the Indian market.
- Understand the regulatory framework and the role of the various regulators in the financial system.
- Understand the Importance of Compliance function and the scope and role of the compliance officer in the Indian securities market.
- Understand the various regulations and rules of the Indian securities market as related to the defined group of intermediaries.
- The examination seeks to create a common minimum knowledge benchmark for all persons engaged in the compliance function with any intermediary registered as Stock, Depository, Sub-brokers, Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies
NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification at NISM Curriculum
Introduction to the Financial System
Understand the Indian Financial System
Know about the Financial Market Intermediaries
Introduction to Compliance
Understand the need for Compliance
Know the Role and Reporting Structure of Compliance Officers
Regulatory Framework – General View
Know the Regulatory System in India
Know the role of the Financial Market Regulators
Understanding Intermediary Specific Regulations
Registration of Stock Brokers
Registration of Sub-Brokers
SEBI Act, 1992
Salient Features of the SEBI Act, 1992
Registration of Intermediaries
Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rules, 1957
Understand the following sections of the SC(R)A, 1956
Books of account and other documents to be preserved
SEBI (Intermediaries) Regulations, 2008
Understand the SEBI (Intermediaries) Regulations.
Know the General Obligations of the Intermediaries.
Prevention of Money Laundering Act 2002
Understand the significance of Anti-Money Laundering measures.
Discuss the General Obligations keeping in mind the anti-money laundering guidelines issued by SEBI
SEBI (KYC Registration Agency) Regulations, 2011
Understand the SEBI (KYC Registration Agency) Regulations, 2011
Know registration process, conditions of initial and permanent registration
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NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification at NISM Contact Information
Plot No. IS 1 and IS 2,
Patalganga Industrial Area,
Village Mohopada (Wasambe),
Rasayani
Raigad ( Maharashtra)
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