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A) Eligibility Criteria for NISM Series IX: Merchant Banking CPE

General Category

Any person holding any of the following Certificates:

(a) NISM Series IX: Merchant Banking Certification Examination (after August 02, 2013)

(b) NISM Series IX: Merchant Banking Continuing Professional Education

and the validity of which has not expired, may attend NISM Series IX: Merchant Banking CPE Program, on uploading 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

1. Proprietor / Sole Proprietor

2. Partner / Managing Partner

3. Chairman

4. Director / Executive Director

5. Whole Time Director / Director

6. Chief Executive Officer

may attend NISM Series IX: Merchant Banking CPE Program under the ‘Principal Category’, on uploading 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 August 02, 2013, may attend NISM Series IX: Merchant Banking CPE Program under the ‘Grandfather by Age Category’, on uploading 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

Associated persons designated as Key Management Personnel, who,-

(a) perform SEBI regulated activities such as initial public offer, further public offer, Open Offer, Buy-back, Delisting;

(b) deal with the issuers in connection with activities mentioned in (a) above;

(c) deal with intermediaries associated with activities mentioned in (a) above;

(d) act as designated Compliance Officer dealing with the activities mentioned in (a) above;

(e) submit Due Diligence Certificates to SEBI in connection with the activities mentioned in (a) above;

and as mentioned in the SEBI Notification No. LAD-NRO/GN/2013-14/15/6319 – dated August 2, 2013 for 10 years or more, as on August 02. 2013, may attend NISM Series IX: Merchant Banking CPE Program under the ‘Grandfather by Experience Category’, on uploading 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-IX: Merchant Banking CPE

After completing the online registration, the following Documents need to be uploaded during enrolmentor produced at the program venue:

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) and the admit card to the CPE venue for verification in order to obtain admission the CPE Program.

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