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National Institute of Securities Markets

Communiqué/Press Release

NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification Examination

NISM/Certification/Series-III-A: SIC/2020/01 dated July 21, 2020

 

This is with reference to NISM/Certification/Series-III-A: SIC/2013/01 dated January 7, 2013, specifying that NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification Examination (SICNF) as the requisite standard for the compliance officer/s and other person/s engaged in compliance function with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.

 

The examination is being offered to the candidates since January 28, 2013 and is being updated yearly for product and regulatory changed. In order to incorporate market and regulatory changes, NISM has updated the NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification Examination (SICNF). The updated NISM-Series-III-A: SICNF Examination will be launched with effect from September 7, 2020.

 

The NISM-Series-III-A: SICNF Examination with its current content (as per the existing test objective and workbook) will be available to the candidates till September 6, 2020 and will be replaced by the updated examination (as per the revised test objective and workbook) from September 7, 2020.

 

Details of the updated examination can be downloaded from the website of NISM.

 

Details of the updated NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination is given in Annexure-I and Annexure-II of this communiqué/press release.

 

The text of these Annexures and the registration details are available at www.nism.ac.in.

-sd-

Sunil Kadam

Registrar

National Institute of Securities Markets

 

Enclosures: Annexure I and Annexure II

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