Eligibility Criteria and Requirements Common Derivatives CPE

(A) Eligibility Criteria for NISM Common Derivatives CPE

General Category

Any person holding any of the following certificates

   (a) NISM Series XIII: Common Derivatives Certification Examination

And where the validity of such Certificate has not expired may attend NISM Series XIII: Common Derivatives 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 an intermediary’s securities business including supervision, solicitation, conduct of business, and is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole-Time Director / Chief Executive Officer, may attend NISM Series XIII: Common Derivatives CPE Program under the ‘Principal’ Category, on submission of the Required Documents., can be classified under the Principal Category. Certificate of Registration from SEBI shall be in all segments, merely registered as broker/sub-broker is not eligible for attending CPE program. Also, Authorized Persons need to be active in FO and CF (Both) segments are eligible to attend CPE program (as mentioned in (B)).

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

Grandfather by Age Category

Any associated person, other than Principal, who has completed the age of 50 years as on May 13, 2009, may attend NISM Series XIII: Common Derivatives 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 XIII: Common Derivatives CPE

The following Documents need to be verified at the CPE venue for attending the Common Derivatives 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 (in all segments) of the Intermediary
4. Copy of appointment of Authorized Person (in FO & CF (both) segments)

Grandfather 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 XIII: Common Derivatives CPE Program.