Further to NISM/Certification/CPE General/2011/1 dated December 21, 2011 and NISM/Certification/ CPE General/2011/2 dated January 23, 2012, in exercise of the powers conferred by sub-regulation (1) of Regulation (9) of SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, pursuant to Continuing Professional Education (CPE)  requirements for all associated persons employed or engaged or to be employed or engaged by Registrars to an Issue and Share Transfer Agents for performing any of the activities specified in SEBI Notification No. LAD-NRO/GN/ 2009-10/18/175577 dated September 04, 2009 for mutual funds; NISM specifies the following CPE Program for “NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents – Mutual Fund Certification Examination”.

Background:

National Institute of Securities Markets (NISM) performs two functions delegated to it under the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) (SEBI CAPSM) Regulations, 2007. These are:

1. Offering mandatory certification examinations for associated persons of securities market intermediaries.

2. Offering Continuing Professional Education (CPE) programmes for associated persons of market intermediaries who are holding valid certificates.

CPE Requirements: [w.e.f.: May 2, 2012]

Communiqué on RTA - Mutual Fund CPE

RTA - Mutual Fund CPE requirements for Grandfathered Person category