NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination NISM/Certification/Series-III-A: SIC/2021/06 dated August 21, 2021
This is with reference to NISM/Certification/Series-III-A: SIC/2013/01 dated January 7, 2013, specifying that NISM-Series-III-A: Securities Intermediaries Compliance (Non Fund) Certification Examination (SICNF) as the requisite standard for the compliance officer/s and other person/s engaged in compliance function with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.
The examination is being offered to the candidates since January 28, 2013 and is being updated yearly for product and regulatory changed. In order to incorporate market and regulatory changes, NISM has updated the NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination (SIC NF). The updated NISM-Series-III-A: SICNF Examination will be launched with effect from October 7th, 2021.
The NISM-Series-III-A: SICNF Examination with its current content (as per the existing test objective and workbook) will be available to the candidates till October 6th, 2021 and will be replaced by the updated examination (as per the revised test objective and workbook) from October 7th, 2021.
Details of the updated examination can be downloaded from the website of NISM.
Details of the updated NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination is given in Annexure-I and Annexure-II of this communiqué/press release.
The text of these Annexures and the registration details are available at www.nism.ac.in.
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Sunil Kadam
Registrar
National Institute of Securities Markets
Enclosures: Annexure I and Annexure II
