Eligibility for the Program1. When am I eligible for NISM Series V (b): Mutual Fund Foundation CPE Program?
If you hold any of the following Certificates:
(a) NISM Series V (b): Mutual Fund Foundation Certification Examination
(b) NISM Series V (b): Mutual Fund Foundation Continuing Professional Education
and the validity of which has not expired, you are eligible to attend NISM Series V (b): Mutual Fund Foundation CPE Program under the ‘General’ Category. However, you cannot attend a CPE Program twelve months prior to the date of expiry of such Certificate (ie.,) you can attend a CPE Program only in the final year of your Certificate validity period. On successful completion of the CPE Program, the Certificate held shall be revalidated for a period of three years from its date of expiry.
Further, if you have completed 50 years of age as on September 13, 2012 or belong to any of the below mentioned categories:
as on September 13, 2012, you are eligible to attend NISM Series V (b): Mutual Fund Foundation CPE Program under the ‘Grandfather’ Category. The Certificate issued will be valid for a period of three years from the date of the CPE Program.
Registration for the Program1. 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.
2. 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:
3. 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 Candidates.
4. What if there are very few persons interested in NISM Series V (b): Mutual Fund Foundation CPE Program 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.
5. What if the CPE Program 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.
1. I am a senior citizen. Am I eligible to attend NISM Series II (b): Mutual Fund Foundation CPE Program without any of the two Certificates?
If you don not hold any of the Certificates (mentioned earlier) but have completed 50 years of age as on September 13, 2012, you are eligible to attend NISM Series II (b): Mutual Fund Foundation CPE Program under the 'Grandfather by Age' Category.
2. I have been working in the industry for a long time. Am I eligible to attend NISM Series II (b): Mutual Fund Foundation CPE Program without any of the two Certificates?
If you do not hold any of the Certificates (mentioned earlier) but belong to any of the below mentioned categories:
as on September 13, 2012, you are eligible to attend a NISM Series II (b): Mutual Fund Foundation CPE Program under the ‘Grandfather by Experience’ Category.
The ‘Proof of Experience’ has to be issued by the Compliance Officer of an Asset Management Company obtained on the letter head of the Asset Management Company in the following format:
"(Name of person) has experience of at least 10 years as on September 13, 2012, and is eligible to attend the NISM Series V (b): Mutual Fund Foundation CPE Program as per sub-regulation (4) of regulation 3 of SEBI (CAPSM) Regulations, 2007 and SEBI circular CIR/IMD/DF/21/2012 dated September 13, 2012”
1. My Name on the Certificate do not match with the Name on my PAN Card. How do I get it corrected?
2. 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 Certificate was issued by NISM. You may attend the CPE Program only after producing such Certificate.
3. When do I get my CPE Certificate?
After NISM verifies the authenticity of the Documents submitted, 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.
4. How can I track the status of my CPE Certificate?
5. I have misplaced my Certificate. How do I apply for a Duplicate Certificate?
Please note that we issue Duplicate Certificate only if the Certificate was issued by NISM on successful completion of the NISM Certification Examination / CPE Program. In case you have misplaced Certificate issued by any other Organization, you need to contact them.