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NISM SECURITIES OPERATIONS AND RISK MANAGEMENT PDF DOWNLOAD

NISM Securities Operations and Risk Management Series 7 Mock Test and Study Notes based on Latest Syllabus. by srinivasanmadurai in Types. NISM-Series-VII: Securities Operations and Risk Management Certification. Examination. With Reference to SEBI notification no. 20 Dec Question Bank for NISM SORM (Securities Operations and Risk Management) certification exam preparation.

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Obtaining a nism securities operations and risk management for the first time. Upon expiry of the validity of the certificate possessed by an associated person, the certificate may get revalidated, provided the associated person successfully completes a programme of continuing professional education, as may be specified by NISM during 12 months preceding the date of expiry of the certificate, or by passing the relevant NISM Certification Examination before the expiry of the existing certificate.

Certification and Continuing Professional Education Requirements. A person other than a Principal, who has attained 50 years nism securities operations and risk management age or who has 10 years ane experience, may get the certificate revalidated by any of the following methods: Design of CPE programs.

Attending only one day of the relevant CPE Programme during 12 months preceding the date of expiry of the certificate shall not be considered as successful completion.

However, both the days of CPE Programme must be completed during 12 months preceding the date of expiry of the certificate. The fees for the program will be as below: National Institute of Securities Markets. All other persons nism securities operations and risk management get their certificate revalidated by any of the following methods: The certificate will be revalidated for a period of 3 years from the date of expiry of the existing certificate.

Mumbai, the 10th December, Delivery of CPE programs. All other persons may obtain the certificate by the following method: Notification under regulation 3 of the Securities and Exchange Board of India.

Securities Operations And Risk Management Book – NISM Series VII

Offering mandatory certification examinations for associated persons of securities market intermediaries. On or before expiry of mamagement valid certificate possessed by an associated person, the associated person needs to either successfully complete the programme of continuing professional education specified by NISM during 12 months preceding the date of operatjons of the certificate, or pass the relevant NISM Certification Examination before the expiry of the existing certificate, nism securities operations and risk management as to have the certificate revalidated for a further period of three years.

To obtain a certificate for the first time, associated persons, who are Principals and Grandfathered Persons, will have the following nism securities operations and risk management Offering Continuing Professional Education CPE programmes for associated persons of market intermediaries who are holding valid certificates.

A Principal may obtain the certificate by any of the following manners: A person other than a Principal, who has attained 50 years of age or who has 10 years of experience, may obtain the certificate by any of the following methods: Different categories of persons may get their certificate revalidated through different methods as follows: The certificate will be revalidated for a period of three years from the date of expiry of the existing certificate.

Securities Operations And Risk Management

These are further detailed below: The Programme details will be made available at www. Certification and Operationw Professional Education Requirements for grandfathered person for revalidating the certificate.

Enrolment for attending CPE Program. Certification and Continuing Professional Education Requirements for grandfathered person for obtaining a certificate for the first time.