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(A)   Eligibility Criteria for NISM Securities Intermediaries Compliance (Non-Fund) CPE

General category

Any person holding any of the following Certificates

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

(b)   NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) Continuing Professional Education

and where the validity of such Certificate has not expired may attend NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) 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 a SEBI registered Broker / Depository Participant / Merchant Banker / Underwriter / Banker to the Issue / Debenture Trustee / Credit Rating Agency  including supervision, solicitation, conduct of business, that is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer and performs the functions of a Compliance Officer, may attend NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) 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

Grandfathered by Age Category

Any associated person, other than Principal, who has completed the age of 50 years as on March 11, 2013 may attend NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) 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

Grandfathered by Experience Category

Any associated person, other than Principal, who has who has been associated for 10 years or more with a SEBI registered Broker / Depository Participant / Merchant Banker / Underwriter / Banker to the Issue / Debenture Trustee / Credit Rating Agency as a Compliance Officer, as on March 11, 2013, may attend NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) 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 III-A: Securities Intermediaries Compliance (Non-Fund) CPE

The following Documents need to be verified at the CPE venue for attending the Securities Intermediaries Compliance (Non-Fund) CPE Program:

General Category

  1. Copy of PAN Card
  2. Copy of 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 Certificate of Registration of the Intermediary

Grandfathered by Age Category

  1. Copy of PAN Card

Grandfathered by Experience Category

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

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 Series III-A: Securities Intermediaries Compliance (Non-Fund) CPE Program.

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