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The examination aims to enable a better understanding of various compliances which needs to be adhered to by associated persons working as compliance officers in listed companies.

Examination Objectives:

On successful completion of the examination the candidate should:

  • Know the role and responsibilities of a Compliance officer of a listed company

  • Understand the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same

  • Know the laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements.

  • Know the various penalties for non-compliance with regulations and requirements as specified in various Regulations

Assessment Structure

The examination consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score for the examination is 60%. There shall be negative marking of 25% of the marks assigned to a question.

Test Details

Name of Module: NISM-Series-III-B: Issuers Compliance Certification Examination

Fees (Rs.)

Test Duration (in minutes)

No. of Questions

Maximum Marks

Pass Marks* (%)

Certificate # Validity (in years)

1710+

120

100

100

60

3

*: Negative marking - 25% of the marks assigned to the question

+Payment gateway charges extra.

# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

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