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

  • 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
Table of content
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  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Overview
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Highlights
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Course Details
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Curriculum
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination Student Reviews

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
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

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

Q:   What is the eligibility to get admission in National Institute of Securities Markets for UG/PG courses?
A: 
National Institute of Securities Markets has below criteria for taking admissions to it's various courses:
CoursesEligibility
CertificateGraduate Students or those pursuing post graduation degree from any recognised University/Institute are eligible.
PG DiplomaCandidate having Post Graduate degree in any discipline with a minimum of 60% marks from a University recognised by UGCare also eligible.Candidate must have passed minimum 2 years of full time work experience or minimum 2 years of full time work experience or Has completed at least intermediate level or 2nd Level, of any of the professional qualifications like CA, CMA, CS, or CFA (offered by the CFA Institute). Admission is based on Test/ GD/ Essay writing, interview and Counselling.
LL.M.Candidates completed the mentioned course with mentioned marks from any recognised institute/university are eligible to apply. Candidates appearing/awaiting results qualifying examination in May/June 2021 can also apply and appear in the Entrance Test.
MBA/PGDMCandidate who have passed bachelor's degree or equivalent qualification in any discipline of minimum three years duration with mentioned marks or 45% for reserved category from a university recognised by UGC or equivalent. Applicants in the last year of their bachelor's degree programme and awaiting their final results can also apply.
Q:   How many seats are available for various courses offered at National Institute of Securities Markets?
A: 
Courses offerred by National Institute of Securities Markets are approved by eminent Government bodies like AICTE. The combined seats available for courses offered at National Institute of Securities Markets goes up to 330.
Q:   Who are the top recruiters from National Institute of Securities Markets when it comes to placements?
A: 
National Institute of Securities Markets has placed its selected students in known and reputed companies such as Rubix108 Technologies Pvt Ltd, Nitiraj Engineers Pvt. Ltd., Etrans Solutions Pvt Ltd, Marrow, Vpmehta And Company, Grid Inddia Power Cable Pvt Ltd, Royal Opera Music Llp The Quarter, Deloitte And Touche Assurancr Enterprise Risk And Services India Pvt Ltd, O.P. Jindal Global University, Lucideus Technology.
Q:   What kind of specializations are available in courses offered at National Institute of Securities Markets?
A: 
National Institute of Securities Markets offers Degree, Diploma and Certificate courses including 3 PG courses. These programs are offerred in Full Time and Part Time mode. National Institute of Securities Markets has specializations such as Certificate specializations in Investment Banking, LL.M. specializations in Security & Investment Law, MBA/PGDM specializations in Finance.
Q:   Can National Institute of Securities Markets be considered a good college?
A: 
National Institute of Securities Markets is a reputed institute for Certificate, PG Diploma, LL.M., MBA/PGDM. Students can opt these programs to pursue their career in Banking, Finance & Insurance, Business & Management Studies, IT & Software, Law. Institute has trained & experienced faculty who deliver these programs. National Institute of Securities Markets has a review rating of 4.2 on the basis of reviews by students. In addition to this, it has been rated 4.2 on campuslife, 3.9 on placements, 4.4 on faculty and 4.6 on Infrastructure.
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NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
 at 
NISM 

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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)

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