NISM-Series-VI: Depository Operations Certification Examination NISM/Certification/Series-VI: DOCE/2019/01 dated November 20, 2019

This is with reference to NISM/Certification/Series-VI: DOCE/2011/01 dated February 10, 2011, specifying that NISM-Series-VI: Depository Operations Certification Examination (DOCE) as the requisite standard for associated persons engaged or employed by a registered depository participant in:

(a) dealing or interacting with clients;

(b) dealing with securities of clients;

(c) handling redressal of investor grievances;

(d) internal control or risk management;

(e) activities having a bearing on operational risk; or

(f) maintenance of books and records pertaining to the above activities.

 The examination is being offered to the candidates since February 21, 2011 and is being updated yearly for product and regulatory changed. In order to incorporate market and regulatory changes, NISM has updated the NISM-Series-VI: DOCE Examination. The updated NISM-Series-VI: DOCE Examination will be launched with effect from December 7, 2019.

 The NISM-Series-VI: DOCE Examination with its current content (as per the existing test objective and workbook) will be available to the candidates till December 6, 2019 and will be replaced by the updated examination (as per the revised test objective and workbook) from December 7, 2019.

 Details of the updated examination can be downloaded from the website of NISM.

Details of the updated NISM-Series-VI: Depository Operations 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

–Sd–                            

Sunil Kadam

Registrar

National Institute of Securities Markets

Enclosures: Annexure I and Annexure II