Eligibility Criteria and Requirements Research Analyst CPE
(A) Eligibility Criteria for NISM-Series-XV: Research Analyst CPE
General (Normal) category
Candidates holding the certificate of NISM-Series-XV: Research Analyst Certification Examination whose validity is not expired, can revalidate his/her Certificate, for a period of three years from its date of expiry, by successfully completing NISM-Series-XV: Research Analyst CPE Program during 12 months preceding the date of expiry of the Certificate. Such persons can attend the CPE program by submitting the Required Documents (as mentioned in (B) below).
Note: (1) Candidates are allowed to attend the CPE Program only during the last 12 months of validity of their existing certificate.
Note: (2) Associated Person, not belonging to either from the Principal or the Grandfather Category, whose Certificate has expired, will have to pass the NISM-Series-XV: Research Analyst Certification Examination to obtain a new Certificate.
Principal Category
Any person who is actively engaged in the management (including supervision, solicitation and conduct of business) of an Intermediary who is registered as Research Analyst with SEBI, and is a
- Proprietor / Sole Proprietor, or
- Partner / Managing Partner, or
- Chairman, or
- Director / Executive Director, or
- Whole-Time Director / Director, or
- Chief Executive Officer,
may attend the CPE of NISM-Series-XV: Research Analyst Certification under the ‘Principal Category’, on submission of the Required Documents (as mentioned in (B) below).
Note: A person holding a valid Certificate of NISM-Series-XV: Research Analyst is considered to be belonging to the ‘General’ Category irrespective of his/her designation, work experience and age.
Grandfather by Age Category
Any associated person, other than Principal, who has completed the age of 50 years as on March 24, 2015, may attend the CPE program of NISM-Series-XV: Research Analyst Certification under the ‘Grandfather by Age’ Category, on submission of the Required Documents (as mentioned in (B) below).
Note: A person holding a valid Certificate of NISM-Series-XV: Research Analyst is considered to be belonging to the ‘General’ Category irrespective of his/her designation, work experience and age.
(B) Required Documents for NISM-Series-XV: Research Analyst CPE
Candidates appearing for the CPE under the General category will require the following Documents:
1. Copy of PAN Card
2. Copy of valid certificate of NISM-Series-XV: Research Analyst Certification
Candidates appearing for the CPE under the Principal category will require the following Documents:
1. Copy of PAN Card
2. Proof of Designation (Click to Download the format)
3. Copy of Registration Certificate of the Research Analyst registered with SEBI
Candidates appearing for the CPE under the Grandfather by Age category will require the following Documents:
1. Copy of PAN Card
Please note:
- Candidates attending the classroom CPE program are required to upload the scanned copies of the above mentioned documents while enrolling for this CPE program. They are also required to carry in original the above-mentioned Documents to the CPE venue for verification in order to obtain admission to the CPE Program. Certificate will be issued/renewed only after successful verification of the uploaded documents.
- Candidates attending the eCPE program (online mode) are required to upload the scanned copies of the above mentioned documents while enrolling for this eCPE program. Certificate will be issued/renewed only after successful verification of the uploaded documents.
- Candidates can attend the relevant CPE / eCPE program anytime during the last 12 months of the validity of their existing certificate. They have to ensure that they complete the CPE requirement before the expiry of their existing certificate. A certificate, once it is expired, cannot be renewed by attending the CPE / eCPE program. Hence, candidates are advised to enroll for and complete the relevant CPE program sufficiently in advance and not wait till the last moment.
