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NISM-Series-III-C: Securities Intermediaries Compliance (Fund) Certification Examination
17 Chapters
Chapter 1
Introduction to the Financial System
Chapter 2
Regulatory Framework - General View
Chapter 3
Introduction to Compliance
Chapter 4
SEBI Act 1992
Chapter 5
SCRA 1956 and SCRR, 1957
Chapter 6
SEBI Intermediaries Regulations 2008
Chapter 7
SEBI (Prohibition of Insider Trading) Regulations, 2019
Chapter 8
SEBI (Prohibition of Fraudulent and Unfair Trade Practices
Chapter 9
Prevention of Money Laundering Act, 2002
Chapter 10
SEBI (KYC Registration Agency) Regulations, 2011
Chapter 11
SEBI (Foreign Portfolio Investors) Regulations, 2019
Chapter 12
Foreign Exchange Management Act
Chapter 13
SEBI Depositories Act, 1996
Chapter 14
SEBI (Mutual Fund) Regulations, 1996
Chapter 15
SEBI (AIF) Regulations, 2012
Chapter 16
SEBI (InvIT) Regulations, 2014
Chapter 17
SEBI (REITs) Regulation, 2014