Home Circulars NISM/Certification/Series-II-A: RTA-Corp/2009/3 dated August 3, 2009
NISM/Certification/Series-II-A: RTA-Corp/2009/3 dated August 3, 2009

National Institute of Securities Markets

Communiqué/Press Release

NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination

NISM/Certification/Series-II-A: RTA-Corp/2009/3 dated August 3, 2009

In exercise of the powers conferred by sub-regulation (3) of regulation 7 of the Securities and Exchange Board of India (Certification of Associated Persons in Securities Markets) Regulations 2007, National Institute of Securities Markets (NISM) in consultation with the Securities and Exchange Board of India hereby specifies the NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination as the requisite standard for the associated persons employed or engaged or to be employed or engaged by Registrars to an Issue and Share Transfer Agents for performing any of the following functions for listed companies:

  1. dealing or interacting with the investors or issuers;
  2. dealing, collecting or processing applications from the applicants;
  3. dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc;
  4. handling redressal of investors’ grievances;
  5. responsible for internal control and risk management;
  6. responsible for any compliance of securities laws;
  7. responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.

The NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination is offered by NISM. The examination is available to the candidates from August 7, 2009.

Details of NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination are given in Annexure-I and Annexure-II attached to this communiqué/press release.

The text of these Annexures and the registration details may be found at www.nism.ac.in.

 

G.Sethu

Officer on Special Duty

National Institute of Securities Markets

Copy to:

  1. Executive Director, MIRSD, SEBI
  2. Executive Director, LAD, SEBI
  3. Executive Director, DNPD, SEBI
  4. CEO, BSE
  5. CEO, MCX-SX
  6. CEO, NSE

 

Enclosures: Annexure I and II

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