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Eligibility Criteria and Requirements -Mutual Fund Foundation

(A) Eligibility Criteria for NISM Mutual Fund Foundation CPE Program

General category

Any person holding a certificate of ‘NISM-Series-V-B: Mutual Fund Foundation Certification Examination’ and where the validity of such certificate has not expired may appear for NISM’s CPE Program for Mutual Funds Foundation, on submission of the required documents (as mentioned in (B)).

Note: Candidates with a valid certificate of the ‘NISM-Series-V-B: Mutual Fund Foundation Certification Examination’ can appear for NISM’s CPE Program for Mutual Fund Foundation not before twelve months prior to expiry of the said certificate.

Grandfathered by age category

Any person who has completed the age of 50 years as on September 13, 2012, whether holding or not holding the certificate of ‘NISM-Series-V-A: Mutual Fund Foundation Certification Examination’ may appear for NISM’s CPE Program for Mutual Fund Foundation under the Grandfather Type I category, on submission of the required documents (as mentioned in (B)).

Grandfathered by experience category

Any person who belongs to any of the below mentioned categories:

  1. Postal agents with a service/experience of at least 10 years
  2. Retired government and semi-government officials (class III and above or equivalent) with a service of at least 10 years
  3. Retired teachers with a service of at least 10 years
  4. Intermediaries/ Agents engaged in distribution of financial products e.g. insurance agent, FD agent, National Savings Scheme products, PPF, etc. registered with any other Financial Services Regulator with a service /experience of at least 10 years
  5. Business correspondents appointed by banks with a service of at least 10 years

as on September 13, 2012, whether holding or not holding a certificate of ‘NISM-Series-V-B: Mutual Fund Foundation Certification’, may appear for NISM’s CPE Program for Mutual Fund Foundation under the Grandfather Type II category, on submission of required documents (as mentioned in (B)). 

(B) Required Documents for NISM Mutual Fund Foundation CPE Program

The following documents, along with a duly filled Registration Form, need to be submitted at the CPE venue for attending the Mutual Fund Foundation CPE Program:

General category

  1. Copy of PAN Card
  2. Copy of valid ‘NISM-Series-V-B: Mutual Fund Foundation Certification’
  3. Two recent Passport-size Photographs

 Grandfathered by age category

  1. Copy of PAN Card
  2. Two recent Passport-size Photographs

Grandfathered by experience category

  1. Copy of PAN Card
  2. A Letter on the Letter Head of the Compliance Officer of an Asset Management Company in the following format:

"(Name of person) has experience of at least 10 years as on September 13, 2012, and is eligible to attend the NISM-Series-V-B: Mutual Fund Foundation CPE Program as per sub-regulation (4) of regulation 3 of SEBI (CAPSM) Regulations, 2007 and SEBI circular CIR/IMD/DF/21/2012 dated September 13, 2012”

III. Two recent Passport-size Photographs

Please note that candidates are required to carry in original the above mentioned documents (under respective categories) to the CPE venue for verification in order to obtain admission to NISM’s CPE Program for Mutual Fund Foundation.

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