In exercise of the powers conferred by Sub-regulation (1) of Regulation (9) of the SEBI (Certification of Associated Persons in the Securities Markets) Regulations 2007, NISM specifies the CPE Program for ‘NISM-Series-VI: Depository Operations Certification Examination’, for the purpose of revalidation of the Certificate. (Refer SEBI Notification F. No. LAD-NRO/GN/2010-11/26/10252 dated March 29, 2011)
Accordingly, an Associated Person (engaged or employed by a registered Depository Participant: in dealing or interacting with clients / dealing with securities of clients / handling redressal of investor grievances / internal control or risk management / activities having a bearing on the operational risk / maintenance of books and records pertaining to the above activities) holding any of the following Certificates:
Description
and the validity of which has not expired, can revalidate his/her Certificate for a period of three years from its date of expiry by successfully completing NISM Series VI: Depository Operations Continuing Professional Education Program as specified by NISM during 12 months preceding the date of expiry of the Certificate.
Also, Associated Person belonging to the Principal* and the Grandfather** Categories can obtain a Certificate for the first time by successfully completing NISM Series VI: Depository Operations Continuing Professional Education Program as specified by NISM.
Order
2
NISM Certification Type