1. Am I eligible for NISM RTA –Mutual Funds CPE?

Any person holding a certificate for NISM-series-II-B: Registrars to an Issue and Share Transfer Agents – Mutual Funds Certification Examination/ NISM RTA –Mutual Funds CPE and where the validity of such certificate has not expired may appear for NISM RTA – Mutual Funds CPE. Please note that such persons can appear for NISM RTA – Mutual Funds CPE not before twelve months prior to expiry of the said certificate.

Further, persons

(i) of age 50 years or above as on September 04, 2009; or

(ii) who have experience of 10 years or more in activities as mentioned in SEBI Notification No. LAD-NRO/GN/ 2009-10/18/175577 dated September 04, 2009, as on September 04, 2009;

may appear for NISM RTA – Mutual Funds CPE.

For detailed eligibility criteria and documents required click here.

2.  When should I register?

Please note that since there are limited seats for every CPE, you are advised to avail of 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. Registration for requests received close to the expiry of the certificate may not be successful. Please note that after the expiry of the certificate the candidate will have to obtain a new certificate by passing the NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents - Mutual Funds Certification Examination.

3. How can I Register?

Call NISM at (022) 61115555

Email us at  This e-mail address is being protected from spambots. You need JavaScript enabled to view it

Please keep the following information handy when you call us and also in the emails:

1)      Name and Address
2)      PAN No.
3)      Current Certificate No & Expiry Date 4)      Current Certification Name
5)      Preferred City
6)      Phone No
7)      Email ID

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

NISM receives registration requests from various cities. When a minimum number of requests are received from a particular region, a CPE program is arranged 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 RTA- Mutual Funds CPE 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 like to mention the cities that are close by, in order of your preference.

6. What if the NISM RTA- Mutual Funds CPE date and/or venue do not suit me?

As there is a window of twelve months available, you may wish to wait for another CPE to be announced within such time and at allocation 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 endeavours 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 fresh certificate?

If you are 50 years of age as on September 4, 2009, you may obtain a fresh certificate for NISM- RTA Mutual Funds by either;

1. Passing  the NISM-series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Certification Examination

Or

2. Successfully completing the  NISM RTA – Mutual Funds CPE

8. I have been working in the industry for a long time. How can I obtain a fresh certificate?

If you have 10 years of relevant work experience in the activities as mentioned in SEBI Notification No. LAD-NRO/GN/ 2009-10/18/175577, as on September 4, 2009, you may obtain a fresh certificate for NISM RTA Mutual Funds CPE by either;

1. Passing  the NISM-series-II-B: Registrars to an Issue and Share Transfer Agents - Mutual Funds Certification Examination

Or

2. Successfully completing the  NISM RTA – Mutual Funds CPE

9. What are the documents required at the Venue?

Documents to carry to the venue:

1. Duly Filled Registration Form (Download)
2. Current Certificate (Original + Photocopy)
3. PAN Card (Original + Photocopy)
4. Two passport size photographs
5. Acknowledgement of completion of Day 1 (Mandatory for attending Day 2 of CPE)

Please note: PAN card and current certificate are mandatory for both Day 1 and Day 2 of the CPE Program.

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

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.

If you do not have a good photocopy, please apply with the original issuing authority for issue of duplicate certificate/ PAN card. Please note that NISM can issue duplicate certificates only if the original certificate was issued by NISM. Once you receive the duplicate certificate/ PAN card, you can submit the documents by email.

12. I have appeared for the CPE but I have not submitted my documents. Where can I email them to?

You may email your documents to the following email id.

This e-mail address is being protected from spambots. You need JavaScript enabled to view it

Please mention your CPE program name, date and venue in the subject line.

13. When do I get my certificate?

Approval and dispatch of certificates is expected to take about 22 days time from the CPE date.  We will send you an email giving the dispatch details once the certificate is dispatched.  If you do not receive the certificate within four days from receiving our email, please call us immediately at (022) 6673 5100-05 or on email -  This e-mail address is being protected from spambots. You need JavaScript enabled to view it . Please note that for certificate related queries you should directly contact NISM only.

14. 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 attending NISM CPE Programs. In case you have misplaced certificates issued by any other organization, you need to contact them.

15. I have not yet received my certificate. How can I get the courier details?

Please note that we will send an email to you when your certificate is dispatched, if you have provided us with the correct email id.  Please wait for at least four days after receiving this email from us, for the courier to reach you. Couriers to interiors may take longer time. If you still do not receive your certificate, please contact us immediately at (022) 6673 5100-05 or email us at -  This e-mail address is being protected from spambots. You need JavaScript enabled to view it