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NISM-Series-III-C: Securities Intermediaries Compliance (Fund) Certification Examination
17 Chapters
Chapter 1
Chapter 1: Introduction to the Financial System
Chapter 2
Chapter 2: Regulatory Framework - General View
Chapter 3
Chapter 3: Introduction to Compliance
Chapter 4
Chapter 4: Securities and Exchange Board of India Act, 1992
Chapter 5
Chapter 5: Securities Contracts (Regulation) Act, 1956 and SCRR, 1957
Chapter 6
Chapter 6: SEBI (Intermediaries) Regulations, 2008
Chapter 7
Chapter 7: SEBI (Prohibition of Insider Trading) Regulations, 2015
Chapter 8
Chapter 8: SEBI (PFUTP) Regulations, 2003
Chapter 9
Chapter 9: Prevention of Money Laundering Act, 2002
Chapter 10
Chapter 10: SEBI (KYC Registration Agency) Regulations, 2011
Chapter 11
Chapter 11: SEBI (Foreign Portfolio Investors) Regulations, 2019
Chapter 12
Chapter 12: Foreign Exchange Management Act, 1999 (FEMA)
Chapter 13
Chapter 13: Depositories Act, 1996
Chapter 14
Chapter 14: SEBI (Mutual Funds) Regulations, 1996
Chapter 15
Chapter 15: SEBI (Alternative Investment Funds) Regulations, 2012
Chapter 16
Chapter 16: SEBI (InvIT) Regulations, 2014
Chapter 17