NISM-Series-VI: Depository Operations Certification Examination offered by National Institute of Securities Markets
4.8 /5- Private Institute
- Estd. 2006
NISM-Series-VI: Depository Operations Certification Examination at NISM Overview
Duration | 2 hours |
Total fee | ₹1,500 |
Mode of learning | Online |
Schedule type | Self paced |
Official Website | Go to Website  |
Credential | Certificate |
NISM-Series-VI: Depository Operations Certification Examination at NISM Highlights
- Earn a certificate after passing an exam from NISM
NISM-Series-VI: Depository Operations Certification Examination at NISM Course details
- Know the basics of the Indian securities market and the depository system, the need for depository and the key features of the depository system in India
- Understand the institutional structure of the depository system in India and the business partners of a depository
- Understand the regulatory framework in which the depositories and its DPs function, their eligibility criteria, registration procedure, rights and obligations, etc
- Know the various functions of the Depository and its Depository Participants (DPs) such as dematerialisation, trading and settlement, pledging and hypothecation
- Understand how a Demat account is opened, documents required to open an account and significance of Power of Attorney (POA)
- The examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in (a) dealing or interacting with clients, (b) dealing with securities of clients, (c) handling redressal of investor grievances, (d) internal control or risk management, (e) activities having a bearing on operational risk, or (f) maintenance of books and records pertaining to the above activities
- Examination fees- INR 1500+
- Exam Duration - 2 hours
NISM-Series-VI: Depository Operations Certification Examination at NISM Curriculum
Introduction to the Capital Market
Introduction to the capital market
Explain the Capital Market
Understand the regulatory environment in Indian capital market
Know the Regulators in the Indian Capital market
Introduction to Depository
Explain the need for a depository system
Explain the meaning of Depository
Understand the legal framework in which the depositories function in India
Explain the functions of a depository
Depository and its Business Partners
Understand depository participants (DPs)
Understand the Clearing Corporation (CC)
Explain the Issuers and Registrar and Transfer Agents
Functions of Depository Participant -Account Opening
Introduction to the Functions of Depository Participant -Account Opening
Understand the types of account a person can open with a DP
Define and discuss what is a Beneficiary Account
Define the Clearing Member Account
Explain the Closure of account
Understand the Freezing of account
Know the Changes in client details
Know the Accreditation of Investors for the purpose of Innovators Growth Platform
Functions of Depository Participant – Account Operations
Introduction to the Basic Services Demat Account (BSDA)
Explain the operation of a Joint Account
Know the Internet Based Depository Operations of NSDL
Know the Internet Based Depository Operations of CDSL
Functions of Depository Participant – Transmission and Nomination
Understand the concept of Transmission of Securities
Explain the concept of Nomination of Securities
Explain the Transmission of Securities
Functions of Depository Participant -Dematerialization
Introduction to the Functions of Depository Participant –Dematerialization
Explain the International Securities Identification Number (ISIN)
Explain the Dematerialization Process
Explain the Rematerialisation process
Understand Destatementization process
Understand Restatementization process
Functions of Depository Participant -Trading and Settlement
Introduction to the Functions of Depository Participant -Trading and Settlement
Understand the process flow of securities (settlement) in an off-market transaction
Explain the Settlement of Market Transactions
Learn about Interoperability
Procedure for Subscription and Redemption of Mutual Fund Units
Explain the Handling of Clients’ Securities by Trading Members/Clearing Members
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NISM-Series-VI: Depository Operations Certification Examination at NISM Contact Information
Plot No. IS 1 and IS 2,
Patalganga Industrial Area,
Village Mohopada (Wasambe),
Rasayani
Raigad ( Maharashtra)
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