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NISM and NCFM

NISM and NCFM Certifications

NISM AND NCFM certifications exams are the industry required certifications for candidates willing to work with Mutual funds, Banks, Financial Brokers, Advisory firms and Research Firms. NISM are also must required certifications for people willing to start there own Investment Advisory or Financial brokers Firms.

Approach -

The examination seeks to create a common minimum knowledge benchmark for associated persons functioning as approved users and sales personnel of the trading member of an equity derivatives exchange or equity derivative segment of a recognized stock exchange. The examination aims to enable a better understanding of various derivatives products available in equity derivatives markets, regulations and risks associated with the products and the exchange mechanisms of clearing and settlement. The examination also covers knowledge competencies related to the understanding of the financial structure in India and the importance of the different rules and regulations governing the Indian securities market, especially those related to the equity derivatives segment.

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Examination Objectives

On successful completion of the examination the candidate should:

  • Know the basics of the Indian equity derivatives market.
  • Understand the various trading strategies that can be built using futures and options on both stocks and stock indices.
  • Understand the clearing, settlement and risk management as well as the operational mechanism related to equity derivatives markets.
  • Know the regulatory environment in which the equity derivatives markets operate in India.

Approach -

The examination seeks to create a common minimum knowledge benchmark for all associated persons registered as research analyst under SEBI (Research Analyst) Regulations, 2014, individuals employed as research analyst and partners of a research analyst, engaged in preparation and/or publication of research report or research analysis. An associated person shall be required to pass the NISM-Series-XV: Research Analyst Certification Examination to fulfill the requirements specified under Regulation 7(2) of the SEBI (Research Analysts) Regulations, 2014. The certification aims to enhance the quality of services provided by research analyst in the financial services industry.

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Examination Objectives

On successful completion of the examination the candidate should:

  • Know the basics of Indian Securities Markets and different terminologies used in equity and debt markets
  • Know about the top down and bottom up approach to fundamental research
  • Know the basic principles for micro and macro-economic analysis, the sources of different information for analysis and the various macroeconomic variables affecting the analysis.
  • Know the key industry drivers and sources of information for industry analysis.
  • Understand about the Qualitative and Quantitative dimensions with regards to Company Analysis.
  • Know about the Fundamentals of Risk and Return, Valuation Principles and the philosophy of various Corporate Actions.
  • Understand the qualities of a good research report.

Approach -

The NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination is an important exam for all persons wants to registered as an investment adviser and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services. The exams are conducted online at various NISM centres and all question asked are of multiplechoice questions. The time duration is 2 hours and a candidate have to answer 100 questions totalling to 100 marks and you have to score minimum 60 marks to pass the exam

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Examination Objectives

On successful completion of the examination the candidate should:

  • Know the basics of investment advisory, steps in the advisory process, making and implementation of financial plan.
  • Understand how to evaluate different products, their suitability and how the recommendation of the same can impact investment risks, returns and strategies in a personal finance environment for investors and prospective investors in the market.
  • Get oriented to the Income taxand legalities of Estate planning in personal finance, and regulatory aspects underlying advisory.
  • Get acquainted with financial planning as an approach to investing, insurance, retirement planning and an aid for advisers to develop long term relationships with their clients

Approach -

NISM-Series-X-B: Investment Adviser (Level 2) Certification Examination along with the NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination seeks to create a common minimum knowledge benchmark for all persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013

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Examination Objectives

On successful completion of the examination the candidate should:

  • Know the comprehensive financial planning in the context of households to apply the planning elements learnt in Level 1 Certification Examination.
  • Understand the structure and performance of securities markets; importance of allocation and impact of the market movement on the assets performance.
  • Know the practical aspect of product selection, portfolio construction, review and rebalancing based on clients need.
  • Know the compliance, operations and service elements in investment advice.
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