Eligibility Criteria and Requirements -Mutual Fund Foundation

(A) Eligibility Criteria for NISM Series II (b): Mutual Fund Foundation CPE Program

General Category

Any person holding any of the following Certificates:

   (a) NISM Series V (b): Mutual Fund Foundation Certification Examination

   (b) NISM Series V (b): Mutual Fund Foundation Continuing Professional Education

and the validity of which has not expired, may attend NISM Series II (b): Mutual Fund Foundation CPE Program, on submission of the Required Documents (as mentioned in (B)).

Note: Candidates can attend the CPE Program not before twelve months prior to expiry of the said Certificate.

Grandfather by Age Category

Any person who has completed the age of 50 years as on September 13, 2012, may attend NISM Series V (b): Mutual Fund Foundation CPE Program under the 'Grandfather by Age' Category, on submission of the Required Documents (as mentioned in (B)).

Grandfather 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, may attend NISM Series V (b): Mutual Fund Foundation CPE Program under the 'Grandfather by Experience' Category, on submission of Required Documents (as mentioned in (B)). 

(B) Required Documents for NISM Series II (b): Mutual Fund Foundation CPE Program

The following Documents, along with a duly filled CPE 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 Certificate (any of the above mentioned)
  3. A recent Passport-size Photograph

Grandfather by Age Category

  1. Copy of PAN Card
  2. A recent Passport-size Photograph

Grandfather 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. A recent Passport-size Photograph

 

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 Series II (b): Mutual Fund Foundation CPE Program.

 

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