Online Mock Test- NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam Preparation Guide with 1400+ Question Bank

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

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