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Frequently Asked Questions -Mutual Fund Foundation

1. Am I eligible for NISM Mutual Fund Foundation CPE Program?

If you hold a certificate of the ‘NISM-Series-V-B: Mutual Fund Foundation Certification Examination’, and where the validity of such certificate has not expired, you are eligible to attend the NISM Mutual Fund Foundation CPE Program. However, you cannot attend a CPE Program twelve months prior to the date of expiry of such certificate (ie.,) you can attend the CPE Program only in the final year of your certificate validity period.

Further, if you have completed 50 years of age as on September 13, 2012, or belong to any of the below mentioned categories:

  1. Postal agents with a service/experience of at least 10 years
  2. Retired government and semi-government officials (class III and above or equivalent) with a service of at least 10 years
  3. Retired teachers with a service of at least 10 years
  4. Intermediaries/ Agents engaged in distribution of financial products e.g. insurance agent, FD agent, National Savings Scheme products, PPF, etc. registered with any other Financial Services Regulator with a service /experience of at least 10 years
  5. Business correspondents appointed by banks with a service of at least 10 years

as on September 13, 2012, you are eligible to attend the NISM Mutual Fund Foundation CPE Program, whether you are currently holding a certificate or not.

2. When should I register for a CPE Program?

Since there are limited seats for every CPE Program, you are advised to avail the opportunity of registering early so as to secure a seat. We suggest that you register at least six months prior to the expiry of your certificate in order to ensure that you get a seat in your preferred location. Requests for registration received closer to the expiry of the certificate may not be successful. 

3. How can I register for a CPE Program?

You may contact an NISM Accredited CPE Provider via phone or email or approach them with a duly filled CPE Registration Form.  Also, a list of the forthcoming Mutual Fund Foundation CPE Programs is available on our website.

Please keep the following information handy while making calls for registration to any of the CPE Providers:

  1. Name and Address
  2. PAN Card Number
  3. Current Certificate Name
  4. Current Certificate Number and Expiry Date
  5. Preferred CPE Location
  6. Phone Number
  7. Email id

4. What is to be done after I register via email or call?

NISM and its Accredited CPE Providers receive registration requests from various cities. When a minimum number of requests are received from a particular region, a CPE Program is arranged by the respective CPE Provider in a suitable location. Based on your collective requests and preferences, the CPE venue and dates are finalized and the seat confirmations with all the relevant details are sent to the registered participants.

5. What if there are very few persons interested in NISM’s CPE Program for Mutual Fund Foundation from my preferred location?

In such cases, you may choose the nearest city, suiting your convenience, where the venue is finalized.  If you are based in non-metro cities, while putting in your request, you may mention the cities that are close by, in the order of your preference.

6. What if the NISM’s CPE Program for Mutual Fund Foundation date and/or venue do/does not suit me?

As there is a window of twelve months available, you may wish to wait for another CPE Program to be announced within such time and at a location of your choice(s).  However, since it is a regulatory requirement, it will be in your interest to comply with it as early as possible.  While NISM makes best endeavors to offer the convenient venue and preferred dates, it may not always be feasible to conduct frequent CPE Programs in a particular area unless there is significant demand for the same.

7. I am a senior citizen. How can I obtain a NISM Mutual Fund Foundation Certificate for the first time?

If you have completed 50 years of age as on September 13, 2012, you may obtain a NISM Mutual Fund Foundation Certificate by either:

  1. Passing the ‘NISM - Series – V - B: Mutual Fund Foundation Certificate Examination’ (or)
  2. Successfully completing the NISM’s CPE Program for Mutual Fund Foundation

8. I have been working for 10 years or more. Can I attend the Mutual Fund Foundation CPE Program under Grandfathered by experience category?

If you belong to any of the below mentioned categories:

  1. Postal agents with a service/experience of at least 10 years
  2. Retired government and semi-government officials (class III and above or equivalent) with a service of at least 10 years
  3. Retired teachers with a service of at least 10 years
  4. Intermediaries/ Agents engaged in distribution of financial products e.g. insurance agent, FD agent, National Savings Scheme products, PPF, etc. registered with any other Financial Services Regulator with a service /experience of at least 10 years
  5. Business correspondents appointed by banks with a service of at least 10 years

as on September 13, 2012, you may obtain a NISM Mutual Fund Foundation Certificate by either:

  1. Passing the ‘NISM - Series – V - A: Mutual Fund Foundation Certificate Examination’ (or)
  2. Successfully completing the NISM’s CPE Program for Mutual Fund Foundation

9. What are the documents required at the Venue?

  1. Duly Filled Registration Form
  2. PAN Card (Original + Photocopy)
  3. Two recent Passport-size Photographs
  4. Documents mentioned under Eligibility Criteria and Requirements for RTA-Corporate CPE (whichever applicable)

10. I have lost my certificate. How can I appear for NISM CPE Program?

If you produce a clear photocopy where the photo on the certificate can be verified properly, you may be allowed to appear for the CPE Program. If you do not have a good photocopy, please apply with the original issuing authority for issue of duplicate certificate. Please note that NISM can issue duplicate certificates only if the original certificate was issued by NISM. Once you receive the duplicate certificate, you can submit the documents by email.

11. When do I get my certificate?

After NISM verifies the authenticity of the documents submitted by the participants, your certificate will be sent in electronic format only, to the email id provided in the Registration form. You are expected to receive the certificate in about 30 working days from the date of the CPE Program. However, there may be delays due to postal delays in NISM receiving the documents from the CPE Providers or due to any discrepancy in the documents submitted by you at the CPE venue.

12. How can I track the status of my certificate?

The status of your certificate can be tracked by calling NISM Helpdesk at (022) 6111 5555 or mailing to This email address is being protected from spambots. You need JavaScript enabled to view it. .

13. I have misplaced my CPE certificate. How do I apply for a duplicate certificate?

For Issue of Duplicate Certificate or Change of Name in Certificate after Marriage, Click Here.

Please note that we issue duplicate CPE certificates only to candidates for whom the certificate was issued by NISM on successful completion of the NISM CPE Program. In case you have misplaced certificates issued by any other organization, you need to contact them.

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