CPE for Depository Operations

Further to NISM/Certification/CPE General/2011/1 dated December 21, 2011 and NISM/Certification/ CPE General/2011/2 dated January 23, 2012, in exercise of the powers conferred by sub-regulation (1) of Regulation (9) of SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, pursuant to Continuing Professional Education (CPE)  requirements for all associated persons engaged or employed by a registered depository participant for performing any of the activities as specified in SEBI Notification No. LAD-NRO/GN/2010-11/26/10252 dated March 29, 2011; NISM specifies the following CPE Program for “NISM-Series-VI: Depository Operations Certification Examination”.

Background:

National Institute of Securities Markets (NISM) performs two functions delegated to it under the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) (SEBI CAPSM) Regulations, 2007. These are:

1. Offering mandatory certification examinations for associated persons of securities market intermediaries.

2. Offering Continuing Professional Education (CPE) programmes for associated persons of market intermediaries who are holding valid certificates.

CPE Requirements: [w.e.f.: July 13, 2012]

Communique on CPE for Depository Operations

Depository Operations CPE Requirements for Grandfathered Person Category