Description:

This course is designed to prepare individuals for the NISM Series III-C: Securities Intermediaries Compliance (Fund) Certification Exam. It covers important topics related to compliance requirements for securities intermediaries in the fund industry. The course includes comprehensive presentations and multiple-choice questions to help learners understand and assess their knowledge in this area.

The examination seeks to create a common minimum knowledge benchmark for all persons engaged in compliance functions with any intermediary registered with SEBI as Mutual Funds, Alternative Investment Funds, Real Estate Investment Trusts, and Infrastructure Investment Trusts. The certification aims to enhance the quality of services as rendered by those engaged in compliance activities. It also aims at ensuring that the compliance officers are aware of the different regulations that govern the Securities Market.

Key Highlights:

• Comprehensive coverage of securities intermediaries compliance for fund industry
• Presentation materials to aid understanding
• Multiple-choice questions for self-assessment

What you will learn:

• Understanding Compliance Requirements
  Learn about the regulatory framework and compliance obligations for securities intermediaries in the fund industry.
• Presentation Materials
  Access detailed presentations to enhance your understanding of key concepts and requirements.
• Multiple-Choice Questions
  Practice with a variety of MCQs to test your knowledge and readiness for the certification exam.