NISM SECURITIES OPERATIONS AND RISK MANAGEMENT PDF DOWNLOAD

NISM Securities Operations and Risk Management Series 7 Mock Test and Study Notes based on Latest Syllabus. by srinivasanmadurai in Types. NISM-Series-VII: Securities Operations and Risk Management Certification. Examination. With Reference to SEBI notification no. 20 Dec Question Bank for NISM SORM (Securities Operations and Risk Management) certification exam preparation.

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Certification and Continuing Professional Education Requirements. A person other than a Principal, who has nism securities operations and risk management 50 years of age or who has 10 years of experience, may obtain the certificate by any of the following methods: On or before expiry of operwtions valid certificate possessed by an associated person, the associated person needs to either successfully complete the programme of continuing professional education specified by NISM during 12 months preceding the date of expiry of the certificate, or pass the relevant NISM Securitifs Examination before the expiry of the existing certificate, so as to have the certificate revalidated for a further period of three years.

The fees for the program will be as below: Offering mandatory certification examinations for associated persons of securities market intermediaries. A Principal may obtain the certificate by any of the following manners: The certificate will be revalidated for a period of three years from the operatiosn of expiry of the existing certificate. Nism securities operations and risk management categories of persons may get their certificate revalidated through different methods as follows: Certification and Continuing Professional Education Requirements for grandfathered person for obtaining a certificate for the first time.

The Programme details will be made available at www.

Obtaining a certificate for the first time. Design of CPE programs.

Securities Operations and Risk Management

The certificate will be revalidated for a period of 3 years from the date of expiry of the existing certificate. Delivery of CPE programs. Offering Continuing Professional Education CPE programmes for associated persons of market intermediaries who are holding valid certificates. National Institute of Securities Markets.

Attending only one day of the relevant CPE Programme during 12 months preceding the date of expiry of the certificate shall not be considered as successful completion. However, both the days of CPE Programme must be completed during 12 months preceding the date of expiry of the certificate.

Securities Operations And Risk Management Book – NISM Series VII

All other persons may obtain the certificate by the following method: These are further detailed below: To obtain a certificate for the first time, associated persons, who are Principals and Grandfathered Persons, will have the following options: All other persons may get their certificate revalidated by any of the following methods: Upon nism securities operations and risk management of the validity of the certificate possessed by an associated person, the certificate may get revalidated, provided the associated person successfully completes a programme of continuing professional education, as may be specified by NISM during 12 months preceding the date of expiry of the certificate, or ahd passing the relevant NISM Certification Examination before the expiry of the existing certificate.

A riso other than a Principal, who has attained 50 years of age or who has 10 years of experience, may get the certificate revalidated by any of the following methods: Notification under regulation 3 of the Securities and Exchange Board of India.

Mumbai, the 10th December, Enrolment for attending CPE Program. Nism securities operations and risk management and Continuing Professional Education Requirements for grandfathered person for revalidating the certificate.