(A)   Eligibility Criteria for NISM Investment Advisor (Level 1) CPE

General category

Any person holding any of the following Certificates

(a)    NISM Series X-A: Investment Advisor (Level 1) Certification Examination

(b)   NISM Series X-A: Investment Advisor (Level 1) Continuing Professional Education

(c)    NISM Certified Personal Financial Advisor Examination

and where the validity of such Certificate has not expired may attend NISM Series X-A: Investment Advisor (Level 1) CPE Program, on submission of the Required Documents (as mentioned in (B)).

Note: Candidates can attend the CPE Program not before twelve months prior to expiry of the said Certificate

Principal Category

Any person who is actively engaged in the management of a SEBI registered an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services, that is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole-Time Director / Chief Executive Officer and performs the functions of an Investment adviser, may attend NISM Series X-B: Investment Advisor (Level II) CPE Program under the ‘Principal’ Category, on submission of the Required Documents(as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her designation

Grandfathered by Age Category

Any associated person, other than Principal, who has completed the age of 50 years as on June 19, 2013 may attend NISM Series X-A: Investment Advisor (Level 1) CPE Program under the ‘Grandfather by Age’ Category, on submission of the Required Documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her age

(B)   Required Documents for NISM Series X-A: Investment Advisor (Level 1) CPE

The following Documents need to be verified at the CPE venue for attending the Investment Advisor (Level 1) CPE Program:

General Category

1. Copy of PAN Card
2. Copy of valid Certificate (any of the above mentioned)

Principal Category

1. Copy of PAN Card
2. Proof of Designation (Click to download the format)
3. Copy of Certificate of Registration of the Intermediary

Grandfathered by Age Category

1. Copy of PAN Card

Please note that Candidates are required to carry in original the above-mentioned Documents (under respective Categories) to the CPE venue for verification in order to obtain admission to NISM Series X-A: Investment Advisor (Level 1) CPE Program.