.png)
OUR NEW eLEARNING PORTAL CLICK HERE
.png "eLearning @ Gurukul On ROad") |
| New Online Mock Test Portal Gurukul On Road |
All About NISM Mandatory Certification Study Materials and Exam Preparation Guides Books Online Mock Test their specific function and purpose.
Unlocking Success in the Indian Financial Market: A Guide to Regulatory Certification Exams. The Indian Financial Market is a dynamic and complex landscape, demanding a high level of expertise and knowledge from professionals and students alike. To navigate this intricate domain, individuals must equip themselves with the necessary skills and certifications mandated by the Securities and Exchange Board of India (SEBI) under the (CAPSM)Regulations, 2007. In this guide, we will explore various mandatory regulatory certification exams one need to pass to work on specific function in Indian financial market.
We will divide this list in to two parts.
Part 1- The list for which Gurukul On Road already
developed Exam Preparation Guides, Books and Online Mock Test
Part 2- The list of Upcoming Exam Preparation
Guides Books & Mock Test
PART 1:
1. NISM Series V-A: Mutual Fund Distributors Certification Examination
Mandated for:
Associated persons, including distributors,
agents, brokers, sub-brokers, or anyone involved in the sale and distribution
of mutual fund products.
Individual Mutual Fund Distributors
Employees of organizations engaged in sales and
distribution of Mutual Funds
Employees of Asset Management Companies,
especially those engaged in sales and distribution of Mutual Funds
Purpose:
Enhance the quality of sales, distribution, and
related support services in the mutual fund industry.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
2. NISM-Series-VIII: Equity Derivatives Certification Examination
Mandated for:
Associated persons functioning as approved users
and sales personnel of the trading member of an equity derivatives exchange or
equity derivative segment of a recognized stock exchange.
Purpose:
Create a common minimum knowledge benchmark,
enabling a better understanding of various derivatives products, regulations,
risks, and exchange mechanisms.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
Mandated for:
Persons working as Distributors or Placement
Agents in the Alternative Investment Fund domain in India, focusing on Category
I and Category II AIFs.
Purpose:
Create a common minimum knowledge benchmark,
enhance sales and distribution quality, and provide better investor services.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
4. NISM Series XXI-A: Portfolio Management Services (PMS) Distributors Certification Examination
Mandated for:
Associated persons engaged by a Portfolio Manager
as distributors of Portfolio Management Services (PMS).
Purpose:
Create a common minimum knowledge benchmark for
PMS distributors, enhancing the quality of distribution and related support
services.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
5. NISM Series-XV: Research Analyst Certification Examination
Mandated for:
Associated persons registered as research analysts
under SEBI (Research Analyst) Regulations, 2014, individuals employed as a
research analyst, and partners of a research analyst.
Purpose:
Create a common minimum knowledge benchmark for
all associated persons registered as research analysts, aiming to enhance the
quality of services provided in the financial services industry.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
6. NISM Series II-A and II-B: Registrars and Transfer Agents Certification Examination
Mandated for:
Associated persons employed or engaged by
Registrars to an Issue and Share Transfer Agents performing various functions
for listed companies.
Purpose:
Ensure a common minimum knowledge benchmark for
individuals dealing with investors, corporate actions, compliance, and other
activities under SEBI regulations.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
7. NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
Mandated for:
Compliance officers and other individuals engaged
in compliance functions with any intermediary registered as Stockbrokers,
Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers
to the Issue, Debenture Trustees, and Credit Rating Agencies.
Purpose:
Create a common minimum knowledge benchmark for
compliance officers, enhancing the quality of compliance services in the
securities market.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
8. NISM Series VII: Securities Operations and Risk Management Certification Examination
Mandated for:
Associated persons of a registered stock-broker,
trading member, or clearing member in recognized stock exchanges, involved in
assets or funds of investors or clients, redressal of investor grievances,
internal control or risk management, and activities having a bearing on
operational risk.
Purpose:
Establish a common minimum knowledge benchmark for
associated persons, ensuring standards in asset management, investor grievance
redressal, and operational risk management.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
9. NISM Series I: Currency Derivatives Certification Examination
Mandated for:
Approved users and sales personnel of trading
members of currency derivatives segments of recognized stock exchanges.
Purpose:
Create a common minimum knowledge benchmark for
individuals working in the currency derivative segment, enabling a better
understanding of currency markets, exchange-traded products, investor service,
operational efficiency, and risk controls.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
10. NISM Series XVI: Commodity Derivatives Certification Examination
Mandated for:
Approved users and sales personnel of the trading
members in the commodity derivatives segments of recognized stock exchanges.
Purpose:
Enable a better understanding of various
derivatives products, regulations, risks, and exchange mechanisms in commodity
derivatives markets.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
11. NISM-Series X-A and X-B: Investment Adviser Certification Examination
Mandated for:
Associated persons registered as investment
advisors, partners, and representatives of investment advisers under SEBI
(Investment Advisers) Regulations, 2013, offering investment advisory services.
Purpose:
Ensure individuals meet the knowledge benchmark
for providing investment advisory services.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
12. NISM Series-XII: Securities Markets Foundation Certification Examination
Mandated for:
SEBI SMART Trainers, entry-level professionals,
employees of intermediaries, professionals from other industries, students,
homemakers, and teachers interested in gaining basic knowledge of the Indian
securities markets.
Purpose:
Impart basic knowledge of Indian securities
markets, rules, and regulations to participants and related entities.
Available Learning Resources:
Exam Preparation Guide: CLICK HERE
Online Mock Test: CLICK HERE
Download Study Materials (FREE): CLICK HERE
PART 2:
Exam Preparation Guides, Books, and Online
Mock Test coming soon for Below Compulsory NISM Certification
Keep Checking Here for Latest Update on New Exam Prep Guides
1. NISM-Series-XIX-C: Alternative Investment
Fund Managers Certification Examination
Mandated for: AIF Managers and their key investment team.
Purpose:
Establish a common minimum knowledge benchmark for
AIF Managers, enhancing the quality of fund management activities in the AIF
space.
Exam Preparation Guide: Coming Soon
2. NISM Series VI: Depository Operations
Certification Examination
Mandated for:
Associated persons engaged or employed by a
registered depository participant in various activities related to client
dealings, securities handling, investor grievances, internal control, risk
management, and operational risk.
Purpose:
Ensure a common minimum knowledge benchmark for
individuals involved in depository operations.
Exam Preparation Guide: Coming Soon
3. NISM Series IV: Interest Rates Derivatives
Certification Examination
Mandated for:
Approved users and sales personnel of trading
members registered in the Currency Derivatives Segment of a recognized stock
exchange and trading in Interest Rate Derivatives.
Purpose:
Create a common minimum knowledge benchmark for
individuals trading in Interest Rate Derivatives.
Exam Preparation Guide: Coming Soon
4. NISM Series IX: Merchant Banking
Certification Examination
Mandated for:
Key Management Personnel performing SEBI regulated
activities such as initial public offers, further public offers, Open Offers,
Buybacks, Delistings, dealing with issuers and intermediaries, and designated
Compliance Officers.
Purpose:
Ensure Key Management Personnel possess the
necessary knowledge for SEBI-regulated activities in merchant banking.
Exam Preparation Guide: Coming Soon
5. NISM Series XXI-B: Portfolio Managers
Certification Examination
Mandated for:
Associated persons functioning as the principal
officer of a Portfolio Manager or employees with decision-making authority
related to fund management.
Purpose:
Ensure individuals involved in fund management
possess the necessary knowledge and skills.
Exam Preparation Guide: Coming Soon
6. NISM Series-XIII: Common Derivatives
Certification Examination
Combination of:
NISM-Series-I: Currency Derivatives Certification
Examination
Exam Preparation Guide: CLICK HERE
NISM-Series-IV: Interest Rate Derivatives
Certification Examination
Exam Preparation Guide: Coming Soon
NISM-Series-VIII: Equity Derivatives Certification
Examination
Exam Preparation Guide: CLICK HERE
Purpose:
Provide a comprehensive understanding of currency,
interest rate, and equity derivatives markets.
In conclusion, acquiring the specified certifications is crucial for professionals and students aiming to excel in their roles within the Indian Financial Market. Each certification serves a unique purpose, covering a broad spectrum of knowledge and skills required to navigate the complexities of the financial industry. By investing in continuous learning and obtaining these certifications, individuals can stay ahead of the curve and contribute effectively to the growth and stability of the financial market in India.
