Who should take this course

This course is suitable for anyone who wants to learn about the basics of money laundering, the regulations, core concepts with a focus on securities markets and mutual funds. It would be particularly relevant to staff employed with

• Securities market intermediaries including Regulators, Stock Exchanges, Clearinghouses, Depositaries, Brokerage, Investment Banks, Asset Management Companies etc.
• Service providers – Custodians, Fund Accountants and Registrar & Transfer Agents
• Professional service providers – Risk management consultants, audit and legal professionals
• Professionals working in any other reporting entity – banks, insurance companies, housing finance companies.
• Any individual wanting to expand knowledge and explore new opportunities in areas of AML in specific and Compliance in general.

Staff employed in client onboarding, client relationship, operations, product, risk, compliance and internal audit will find it very useful.

Course Content

The focus is to develop the understanding of the core concepts with a focus on securities markets and mutual funds. The course modules include:

1. Introduction – Money Laundering & Terrorism Financing.
2. Legal and Regulatory Agencies.
Core Concepts.
3. SEBI Guidelines.
4. Know Your Client (KYC) & Customer Due Diligence (CDD).
5. Red Flags in Securities Industry.
6. Red Flags in Mutual Funds.
7. Transactions Monitoring and Suspicious Transaction Reporting.
8. Designing a Robust AML/CFT Framework.

For details, download the course prospectus.

Learning Hours and Access Period

This course has approximately 5 hours of learning content including videos, module quizzes and assessments. To complete the course, you will be given access to the course content for 60 days from the date of your registration. If you are not able to complete the course within the access period of 60 days, you can re-register for the course and start from the beginning.

Assessment and Certificate

Candidates will be tested through an online Multiple-Choice Question-based assessment of 30 minutes immediately after the course. Candidates will need to score a minimum 60% in the online assessment to earn the certification. After successfully passing the assessment, you will be able to download the course Certificate.

Course Fee

The course fee is Rs. 3000 plus applicable taxes per candidate.

FAQs

1. How to register for the course?
To register for the course, click on the register button on the top right corner, next to FAQs.

2. How to pay the course fee?
During the registration, you will be prompted to pay online using Net Banking, Debit or Credit Cards, UPI, and Wallets.

3. What is the duration of the course?
The course has approximately 4 learning hours of content.

4. What is the access period for the course?
You will get access to the course content for 60 days from the date of your registration.

5. What if I am unable to complete the course within 60 days?
If you are not able to complete the course within the access period of 60 days, you can re-register for the course and start from the beginning.

6. Can I access the content in my mobile?
Yes, the course can be accessed through the mobile devices.

7. Can I download the content?
No, it cannot be downloaded.

8. Is there any proctored examination for this course?
No. However, there will be an end course MCQ type assessment.

9. Are there any passing criteria for this assessment?
A minimum of 60% marks is required to pass the assessment.

10. How will I get my certificate?
After successfully completing the course, you will be able to download the course Certificate.

11. How to get more information regarding this course?
For more information you can download the course prospectus, email elearning@nism.ac.in or call 02192-668492/93