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NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam Preparation Online Mock Test with 1400 Question Bank
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ABOUT THIS MOCK TEST
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Your journey to master the complexities of NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam with our meticulously crafted online mock test, This comprehensive resource is designed to prepare learners for the challenges of compliance exams, offering in-depth coverage of essential topics and a excess of practice questions to reinforce memory and understanding.
Compliance is all about laws in black and white, hence the mock test are also designed keeping in mind the significance of memorization. To help learners each question start with the Chapter number, so that instantly learner can recognize the respective law and retain the concept with life time memory.
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Key Features:
Thorough Coverage of Learning Outcomes: Each learning outcomes & test objectives outlined by NISM is covered on this mock test.
Proven Strategies for Exam Success: This mock test will help you in conceptual understanding of each law and their specific application going to be tested during final exam. This mock test further will you retention of memory by help of multiple tools we used to point to your mind to a specific law and section etc.
Knowledge Area: At the end of each test, your score will be displayed with knowledge area and learning outcomes, this will help learners to assess the weak areas and re-prepare for same to strengthen preparation further.
NOTE: This mock test is part of my Printed Guide Book with 3000+ Question bank along with special question on specific reference cases under different law. The printed book is available on almost all ecom platforms, please visit Author’s website for more information on Printed Book.
Book Name: NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam Preparation Guide with 3000+ Question Bank Along with Case Based Questions.
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KNOWLEDGE AREA & LEARNING OUTCOMES COVERED:
INTRODUCTION TO THE FINANCIAL SYSTEM
Financial Intermediaries
Financial Securities
Financial System
REGULATORY FRAMEWORK - GENERAL VIEW
Appellate Authority
Bye-Laws of Stock Exchanges & Stamp duty
Companies Act, 2013
Financial Market Regulators
Foreign Exchange Management Act, 1999
Goods and Services Tax
Indian Contract Act, 1872
International Financial Services Centre (IFSC)
Other Agencies in the Financial Market
Prevention of Money-Laundering Act, 2002
Regulatory System
SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003
SEBI (Prohibition of Insider Trading) Regulations, 2015
SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
Securities Contracts (Regulation) Rules, 1957
Securities Transaction Tax (STT)
Taxes on Securities
INTRODUCTION TO COMPLIANCE
Compliance
Compliance Requirements under the SEBI (CAPSM) Regulations, 2007
SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992
Penalties and Adjudication
Registration of Intermediaries
Salient Features of SEBI Act, 1992
Securities Appellate Tribunal (SAT)
SECURITIES CONTRACTS (REGULATION) ACT, 1956 AND SECURITIES CONTRACTS (REGULATION) RULES, 1957
Securities Contracts (Regulation) Act, 1956
Securities Contracts (Regulation) Rules, 1957
SEBI (INTERMEDIARIES) REGULATIONS, 2008
Action in Case of Default and Manner of Suspension and Cancellation of Certificate
Code of Conduct
Inspection and Disciplinary Proceedings
Obligations of Intermediaries
Special Procedure for action on expulsion from membership of the stock exchange
SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
Code of Conduct Insider Trading Regulations
Insider Trading Regulations
SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES RELATING TO SECURITIES MARKET) REGULATIONS, 2003
Different kind of dealings, prohibited in securities
Investigation
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PREVENTION OF MONEY LAUNDERING ACT, 2002
Highlights of PMLA, 2002
Highlights of SEBI Circular on AML/CFT
Key provisions of the PMLA, 2002
SEBI (KYC REGISTRATION AGENCY) REGULATIONS, 2011
Code of Conduct for KRA
Functions and Obligations of KRA and Intermediary
Guidelines for Intermediaries, KRAs and In-person Verification
Obligations on Surrendering Certificate of Registration
Registration of a KYC Registration Agency (KRA)
SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
Approval to act as a designated depository participant
Categories of Foreign Portfolio Investor
Code of Conduct for foreign portfolio investor
Conditions for Issuance of Offshore Derivative Instruments
Eligibility Criteria of Foreign Portfolio Investors
Investment Conditions and Restrictions
Suspension, cancellation or surrender of certificate
SEBI (STOCK BROKERS) REGULATIONS, 1992
Algorithmic Trading
Authorised Persons & Permitting Underwriting activities by Stockbrokers
Direct Market Access
Dispute Resolution
Margin Trading
SEBI (Alternative Investment Funds) Regulations, 2012
SEBI (Portfolio Managers) Regulations, 2020
SEBI (Stock brokers) Regulations, 1992
SEBI (MERCHANT BANKERS) REGULATIONS 1992, SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009, SEBI (SUBSTANTIAL ACQUISITION OF SHARES & TAKEOVERS) REGULATIONS, 2011
SEBI (Bankers to an Issue) Regulations 1994
SEBI (Merchant Bankers) Regulations, 1992
SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011
SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS 2018
Applicability of ICDR Regulations
Due Diligence and Compliances
General Obligations of Merchant Bankers
Role as Advisors
Role as an Underwriter
DEPOSITORIES ACT 1996
Enquiry and Inspection
Miscellaneous Issues
Rights and Obligations of depositories
SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS 2018
Action in case of Default
Code of Conduct for Participants
Registration of a Depository Participant
SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
Code of Conduct for Registrars to an Issue and Share Transfer Agents
General Obligations and Responsibilities
Registrar to an Issue and Share Transfer Agent
SEBI (RESEARCH ANALYST) REGULATIONS, 2014
General Responsibility, Maintenance of Records, & Role of CO
Management of Conflict of Interest and Disclosure requirements
SEBI (INVESTMENT ADVISERS) REGULATIONS, 2013
Code of Conduct for Investment Advisers
Disclosures by Investment Advisers
General Responsibilities
General Responsibilities of Investment Advisers
Operating guidelines of IAs in IFSC
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SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993
Appointment of Compliance Officer
Code of Conduct for the Debenture Trustees
Monitoring and Disclosure Requirement
Prerequisites for registering as a debenture trustee
Responsibilities and Obligations of Debenture Trustees
SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999
Code of conduct of the Credit Rating Agencies
General Obligations of Credit Rating Agencies
Registration as a Credit Rating Agency
Restrictions on Rating of Securities issued by Promoters
SEBI (CUSTODIAN) REGULATIONS, 1996
Code of Conduct
Custodian and Custodial Services
General Obligations and Responsibilities of Custodians
Registration and Eligibility
PROXY ADVISORS
Definition and Role of Proxy Advisors
Grievance redressal between listed entities and proxy advisers
Internal Controls and Disclosures under Research Analyst Regulations, 2014
Procedural guidelines prescribed for Proxy Advisors
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Who this course is for:
- Persons engaged in compliance function with any intermediary registered with SEBI as Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.
- Compliance Professionals of Stock Brokers
- Compliance Professionals of Depository Participants
- Compliance Professionals of Merchant Bankers & Underwriters
- Compliance Professionals of Bankers to the Issue
- Compliance Professionals of Debenture Trustees
- Compliance Professionals of Credit Rating Agencies
- LAW Students
- Company Secretary
- Law officers of Firms
- Compliance Officers
- Students of ICSI pursuing CS
- Stock Market Professionals
- Mutual Fund Professionals
