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CPE for SORM

(A) Eligibility Criteria for NISM Securities Operations and Risk Management CPE

General Category

Any person holding any of the following CertiifcatesL

   (a) NISM Series VII: Securities Operations and Risk Management Certification Examination

   (b) NISM Series VII: Securities Operations and Risk Management Continuing Professional Education

and the validity of which has not expired, may attend NISM Series VII: Securities Operations and Risk Management 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.

Principal Category

Any person who is actively engaged in the management of an Intermediary’s securities business including supervision, solicitation, conduct of business, and is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer, may attend NISM Series VII: Securities Operations and Risk Management CPE Program under the ‘Principal' Category, on submission of the Required Documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her designation.

Grandfather by Age Category

Any associated person, other than Principal, who has completed the age of 50 years as on December 10, 2010, may attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Grandfather by Age' Category, on submission of the required documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her age.

Grandfather by Experience Category

Any associated person, other than Principal, has been associated for 10 years or more with a registered stock-broker / trading member / clearing member in recognized stock exchanges, who are involved in, or dealing with assets or funds of investors or clients / redressal of investor grievances / internal control or risk management / activities having a bearing on operational risk approved user Person or sales personnel of the trading members of an Securities Operations and Risk Management Exchange or of the Securities Operations and Risk Management Segment of recognized stock exchange, as on December 10, 2010, may attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Grandfather by Experience' Category, on submission of the required documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her experience.

(B) Required Documents for NISM Series VII: Securities Operations and Risk Management CPE

The following Documents need to be verified at the CPE venue for attending the Securities Operations and Risk Management CPE Program:

General Category

  1. Copy of PAN Card
  2. Copy of a valid Certificate (any of the above mentioned)

Principal Category

  1. Copy of PAN Card
  2. Proof of Designation (Click to Download the format)
  3. Copy of Registration Certificate of the Intermediary

Grandfather by Age Category

  1. Copy of PAN Card

Grandfather by Experience Category

  1. Copy of PAN Card
  2. Proof of Experience (Click to Download the format)
  3. Copy of Registration Certificate of the Intermediary (in which the Candidate is currently working) with SEBI / Exchange

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 Securities Operations and Risk Management.

Type of Query

Contact Number

Email id

Registration/Seat Availability

Forthcoming SORM CPE Programs

E-Receipt

Login to NISM portal with candidate email id and pass word. Click on Enrollment number available under ‘My Transaction’ menu. The e-Receipt will popup. You may take print of the same.

Certificate status

+91 8080806476  (NISM Helpdesk)

This email address is being protected from spambots. You need JavaScript enabled to view it.

Duplicate Certificate/Name change

+91 8080806476  (NISM Helpdesk)

This email address is being protected from spambots. You need JavaScript enabled to view it.

 

 

 

November 2019

S. No

CPE Date

CPE Location

Link to register and enroll

For more information, contact

1

20 November 2019

Mumbai

To register and enroll, click here

National Securities Depository Ltd.
Harsh Kotak
Phone: 9833132743
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

2

21 November 2019

Mumbai

To register and enroll, click here

National Stock Exchange (India) Ltd.
ANIL JAWAHARANI
Phone: 8779445457
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

3

23 November 2019

Mumbai

To register and enroll, click here

BSE Institute Ltd.
Priya Patil
Phone:  91-2222728856
Email:   This email address is being protected from spambots. You need JavaScript enabled to view it.

4

23 November 2019

Kolkata

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

5

30 November 2019

Chennai

To register and enroll, click here

National Stock Exchange (India) Ltd.
Rajan Diehl
Phone: 9952522274
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

December 2019

S. No

CPE Date

CPE Location

Link to register and enroll

For more information, contact

1

14 December 2019

Cochin

To register and enroll, click here

BSE Institute Ltd.
Sumith C S
Phone: 9349754075
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

2

14 December 2019

Kolkata

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

3

14 December 2019

Mumbai

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

4

14 December 2019

NewDelhi

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

5

15 December 2019

Ahmedabad

To register and enroll, click here

National Stock Exchange (India) Ltd.
Rakesh Sharma
Phone: 079-49008631
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

6

21 December 2019

Mumbai

To register and enroll, click here

BSE Institute Ltd.
Priya Patil
Phone:  91-2222728856
Email:   This email address is being protected from spambots. You need JavaScript enabled to view it.

7

28 December 2019

Mumbai

To register and enroll, click here

National Stock Exchange (India) Ltd.
ANIL JAWAHARANI
Phone: 8779445457
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

January 2020

S. No

CPE Date

CPE Location

Link to register and enroll

For more information, contact

1

04 January 2020

Mumbai

To register and enroll, click here

National Stock Exchange (India) Ltd.
ANIL JAWAHARANI
Phone: 8779445457
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

2

11 January 2020

Mumbai

To register and enroll, click here

BSE Institute Ltd.
Priya Patil
Phone:  91-2222728856
Email:   This email address is being protected from spambots. You need JavaScript enabled to view it.

3

12 January 2020

Ahmedabad

To register and enroll, click here

National Stock Exchange (India) Ltd.
Rakesh Sharma
Phone: 079-49008631
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

4

18 January 2020

Kolkata

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

5

18 January 2020

NewDelhi

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

6

18 January 2020

Mumbai

To register and enroll, click here

National Stock Exchange (India) Ltd.
ANIL JAWAHARANI
Phone: 8779445457
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

7

25 January 2020

Mumbai

To register and enroll, click here

Centre for Investment Education and Learning
 Sonal
Phone: 022-42170575
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

February 2020

S. No

CPE Date

CPE Location

Link to register and enroll

For more information, contact

1

15 February 2020

Mumbai

To register and enroll, click here

National Stock Exchange (India) Ltd.
ANIL JAWAHARANI
Phone: 8779445457
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

2

16 February 2020

Ahmedabad

To register and enroll, click here

National Stock Exchange (India) Ltd.
Rakesh Sharma
Phone: 079-49008631
Email:  This email address is being protected from spambots. You need JavaScript enabled to view it.

Eligibility for the Program

1. When am I eligible for NISM Series VII: Securities Operations and Risk Management CPE Program?

If you hold any of the following Certificates:

(a) NISM Series VII: Securities Operations and Risk Management Certification Examination

(b) NISM Series VII: Securities Operations and Risk Management Continuing Professional Education

and the validity of which has not expired, you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'General' Category. However, you cannot attend a CPE Program twelve months prior to the date of expiry of such Certificate (ie.,) you can attend the CPE Program only in the final year of your Certificate validity period. On successful completion of the CPE Program, the Certificate held shall be revalidated for a period of three years from its date of expiry.

Also, if you areactively engaged in the management of an Intermediary’s Securities business including supervision, solicitation, conduct of business, (ie.,) if you are a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer of any Securities Market Intermediary, you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Principal' Category. On successful completion of the CPE Program, the Certificate issued shall be valid for a period of three years from the date of the Program.

Further, if you have completed 50 years of age as on December 10, 2010 or have worked for 10 years or more as on December 10, 2010 in a registered stock-broker / trading member / clearing member in recognized stock exchanges, , performing any of the below mentioned activities:

(a) dealing with assets or funds of investors or clients

(b) redressal of investor grievances

(c) internal control or risk management

(d) activities having a bearing on operational risk

you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Grandfather' Category. The Certificate issued shall be valid for a period of three years from the date of the CPE Program.

Registration for the Program

1. When should I register for a CPE Program?

Since there are limited seats for every CPE Program, you are advised to avail the opportunity of registering early so as to secure a seat. We suggest that you register at least six months prior to the expiry of your Certificate in order to ensure that you get a seat in your preferred location. Requests for registration received closer to the expiry of the Certificate may not be successful.

 

2. How can I register for a CPE Program?

You may contact an NISM Accredited CPE Provider via phone or email or approach them with a duly filled CPE Registration Form.  Also, a list of the forthcoming Securities Operations and Risk Management CPE Programs is available on our website.

Please keep the following information handy while making calls for registration to any of the CPE Providers:

  1. Name and Address
  2. Permanant Account Number (PAN)
  3. Current Certificate Name
  4. Current Certificate Number and Expiry Date
  5. Preferred CPE Location
  6. Phone Number
  7. Email id

3. What is to be done after I register via email or call?

NISM and its Accredited CPE Providers receive registration requests from various cities. When a minimum number of requests are received from a particular region, a CPE Program is arranged by the respective CPE Provider in a suitable location. Based on your collective requests and preferences, the CPE venue and dates are finalized and the seat confirmations with all the relevant details are sent to the registered Candidates.

4. What if there are very few persons interested in NISM Series VII: Securities Operations and Risk Management CPE Program from my preferred location?

In such cases, you may choose the nearest city, suiting your convenience, where the venue is finalized.  If you are based in non-metro cities, while putting in your request, you may mention the cities that are close by, in the order of your preference.

5. What if the CPE Program date and/or venue do/does not suit me?

As there is a window of twelve months available, you may wish to wait for another CPE Program to be announced within such time and at a location of your choice(s).  However, since it is a regulatory requirement, it will be in your interest to comply with it as early as possible.  While NISM makes best endeavors to offer the convenient venue and preferred dates, it may not always be feasible to conduct frequent CPE Programs in a particular area unless there is significant demand for the same.

Principal Category

1. I am the Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer of a registered Intermediary. Am I eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program without any of the two Certificates?

If you do not hold any of the Certificates (mentioned earlier) but are a Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer of any registered Intermediary, you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Principal' Category.

2. What is the format of 'Proof of Designation' to be produced to attend NISM Series VII: Securities Operations and Risk Management under the 'Principal' Category?

The format of ‘Proof of Designation’ can be obtained from here.

If you are the Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer of a registered Broker / Trading Member / Depository Participant, the ‘Proof of Designation’ has to be obtained on the letter head of such Broker / Trading Member / Depository Participant and has to be signed by theCompliance Officer only. Also, a copy of the Registration Certificate of the Broker / Trading Member / Depository Participant should be enclosed.

If you are an Authorized Person or are the Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer of any other registered Intermediary, the ‘Proof of Designation’ has to be obtained on the letter head of the Broker / Trading Member with which the Intermediary is associated with and has to be signed by the Compliance Officer of the Broker / Trading Member. Also, a copy of the Registration Certificate of the Intermediary (of which you are the Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer) should be enclosed.

Grandfather Category

1. I am a senior citizen. Am I eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program without any of the two Certificates?

If you do not hold any of the Certificates (mentioned earlier) but have completed 50 years of age as on December 10, 2010, you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Grandfather by Age' Category.

2. I have been working in the industry for a long time. Am I eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program without any of the two Certificates?

If you do not hold have any of the Certificates (mentioned earlier) but have worked for 10 years or more in a registered stock-broker / trading member / clearing member in recognized stock exchanges, who are involved in, or dealing with assets or funds of investors or clients / redressal of investor grievances / internal control or risk management / activities having a bearing on operational risk, as on December 10, 2010, you are eligible to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the 'Grandfather by Experience' Category.

3. What is the format of ‘Proof of Experience’ to be produced to attend NISM Series VII: Securities Operations and Risk Management CPE Program under the ‘Grandfather by Experience’ Category?

The format of ‘Proof of Experience’ can be obtained from here.

The ‘Proof of Experience’ has to be obtained on the letter head of the SEBI / Exchange registered Intermediary (in which you are currently working)and has to be signed by the Compliance Officer or Director / Proprietor / Partner / HR Manager (in absence of a Compliance Officer). Also, a copy of the Registration Certificate of the Intermediary should be enclosed.

In case you have worked in multiple Intermediaries, their details (Name and Registration number) have to be provided in the ‘Proof of Experience’.

CPE Certificate

1. My Name on the Certificate do not match with the Name on my PAN Card. How do I get it corrected?

NISM issues Certificate based on the name available in NSDL’s repository of PAN Card holders. Any change in Name on the Certificate shall be made only after such change has been reflected in NSDL’s repository. If an error / mismatch still persists, you may mail your Certificate along with your correct name to This email address is being protected from spambots. You need JavaScript enabled to view it.

2. I have lost my Certificate. How can I appear for NISM CPE Program?

If you produce a clear photocopy where the photo on the Certificate can be verified properly, you may be allowed to appear for the CPE Program. If you do not have a good photocopy, please apply with the original issuing authority for issue of Duplicate Certificate. Please note that NISM can issue Duplicate Certificates only if the Certificate was issued by NISM. You may attend the CPE Program only after producing such Certificate.

3. When do I get my CPE Certificate?

After NISM verifies the authenticity of the Documents submitted, your Certificate will be sent in electronic format only, to the email id provided in the Registration Form. You are expected to receive the Certificate in about 30 working days from the date of the CPE Program.

4. How can I track the status of my CPE Certificate?

The status of your Certificate can be tracked by calling NISM Helpdesk at 8080806476 or mailing to This email address is being protected from spambots. You need JavaScript enabled to view it..

5. I have misplaced my Certificate. How do I apply for a Duplicate Certificate?

NISM emailed certificate to candidate’s registered email ID. Candidate is also provided an option to download certificate by login to NISM portal. The download option is made available under ‘My Examination’ menu.

 

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. They are:

  • Offering mandatory Certification Examinations for Associated Persons in the Securities Market Intermediaries
  • Offering Continuing Professional Education (CPE) Programs for Associated Persons in the Securities Market Intermediaries


NISM CPE for Securities Operations and Risk Management

In exercise of the powers conferred by Sub-regulation (1) of Regulation (9) of the SEBI (Certification of Associated Persons in the Securities Markets) Regulations 2007, NISM specifies the CPE Program for ‘NISM-Series-VII: Securities Operations and Risk Management Certification Examination’, for the purpose of revalidation of the Certificate.

(Refer SEBI Notification No. LAD-NRO/GN/2010-11/21/29390 - dated December 10, 2010)

Accordingly, an Associated Person (persons associated with a registered stock-broker/trading member/clearing member in recognized stock exchanges, who are involved in, or dealing with assets or funds of investors or clients / redressal of investor grievances / internal control or risk management / activities having a bearing on operational risk) holding any of the following Certificates:

   (a) NISM Series VII: Securities Operations and Risk Management Certification Examination

  (b) NISM Sereis VII: Securities Operations and Risk Management Continuing Professional Education

and the validity of which has not expired, can revalidate his/her Certificate for a period of three years from its date of expiry by successfully completing  NISM Series VII: Securities Operations and Risk Management Continuing Professional Education Program as specified by NISM during 12 months preceding the date of expiry of the Certificate.

Also, Associated Person belonging to the Principal* or the Grandfather** Category can obtain a Certificate for the first time by successfully completing NISM Series VII: Securities Operations and Risk Management Continuing Professional Education Program as specified by NISM.

Note: Associated Person not belonging to either the Principal or the Grandfather Category, whose Certificate has expired, will have to pass the NISM-Series-VII: Securities Operations and Risk Management Certification Examination to obtain a new Certificate.

Design of the CPE Program

  • The CPE Programs shall be delivered in a class-room format.
  • NISM has Accredited CPE Providers for the delivery of the NISM CPE Programs.
  • All NISM CPE Programs are of one day duration (approximately six hours).
  • A test shall be conducted at the end of the Program.

    After verifying that Candidates have successfully completed the relevant CPE Program, NISM shall issue a new Certificate for a period of three years from the date of the Program or revalidate an existing Certificate for a period of three years from its date of expiry.

Note: The content and duration of the CPE Programs shall be specified from time to time, by NISM for each CPE Program specific to each Certification Examination.

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*Principal: Any person who is actively engaged in the management of an Intermediary’s Securities business including supervision, solicitation, conduct of business, and is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer, can be classified under the Principal Category.

**Grandfather: Any associated person, other than Principal, who has completed the age of 50 years as on December 10, 2010 or who has associated for 10 years or more with a registered stock-broker/trading member/clearing member in recognized stock exchanges, who are involved in, or dealing with assets or funds of investors or clients / redressal of investor grievances / internal control or risk management / activities having a bearing on operational risk, as on December 10, 2010,can be classified under the Grandfather Category.

 

 

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