Technology TechnologyData Science Data ScienceManagement ManagementDegree Programs Degree ProgramsMoreMore
    Courses
Blog Blog
    Trending Articles
    Course Recommendations
Search Icon
LoginSign Up
National Institute of Securities Markets
National Institute of Securities Markets Logo

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination 
offered by National Institute of Securities Markets

Star Icon5.0 /5
  • Private Institute
  • Estd. 2006

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

NISM Series-III-A Exam Prep for Expertise in Securities Intermediaries Compliance (Non-Fund) - Your Gateway to Governance

Duration

2 hours

Total fee

₹1,500

Mode of learning

Online

Official Website

Go to Website External Link Icon

Credential

Certificate

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

  • Earn a certification after completion
  • Learn from expert faculty
Details Icon

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

Skills you will learn
ComplianceAccountingTaxation
What are the course deliverables?
  • 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.
  • Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.
More about this course
  • 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.
  • Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

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

Part A - Understanding the Financial and Regulatory Structure in India

Introduction to the Financial System

Regulatory Framework - General View

Part B - Understanding Intermediary Specific Regulations

Registration of Stock Brokers

Registration of Sub-Brokers

Other courses offered by NISM

PGDM in Securities Markets

Star Icon4.42 years
120
– / –
₹6 L

PGP in Securities Markets

Star Icon4.11 year
60
    – / –
– / –
₹4.3 L
name

NISM-Series-XV: Research Analyst Certification Examination

National Institute of Securities MarketsCertificateStar Icon4.7
₹1.77 K
2 hours
Intermediate
ValuationMarketing
View Other 31 CoursesRight Arrow Icon

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
 at 
NISM 
Students Ratings & Reviews

5/5
Verified Icon1 Rating
G
Ganesh Kanaujiya
NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
Offered by National Institute of Securities Markets
5
Learning Experience: Covers most of compliances of securities market
Faculty: It an online exam, faculty not required Syllabus is updated
Reviewed on 4 Jan 2023Read More
Thumbs Up IconThumbs Down Icon
View 1 ReviewRight Arrow Icon
qna

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

Student Forum

chatAnything you would want to ask experts?
Write here...
Home Icon/Colleges in Raigad/National Institute of Securities Markets/Courses/NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

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

Address

Plot No. IS 1 and IS 2,
Patalganga Industrial Area,
Village Mohopada (Wasambe),
Rasayani
Raigad ( Maharashtra)

Phone
02192668301

(For general query)

02192668300

(For admission query)

Email
academics@nism.ac.in

(For general query)

llm@nism.ac.in

(For admission query)

Go to College Website ->