The School for Certification of Intermediaries (SCI) at NISM is engaged in developing certification examinations for professionals employed in various segments of the Indian securities markets.

These examinations are being developed by NISM as mandated under SEBI (Certification of Associated Persons in the Securities Markets) Regulation, 2007

IRDA topics to study for exam:

Regulatory Environment and Ethical Issues

12.1. Describe the provisions of the SEBI (Investment Advisers) Regulations, 2013
12.1.1. Definition and requirement to register
12.1.2. Exemptions
12.1.3. Qualification and Certification requirements, Capital adequacy
12.1.4. Obligations and responsibilities of investment advisers
12.1.5. Code of Conduct for Investment Adviser
12.2. Describe overall framework of the regulatory system
12.3. Explain roles of regulators in detail: MoF, MCA, SEBI, RBI, IRDA, PFRDA
12.4. Discuss the role of Self regulatory organizations
12.5. Discuss the provisions of PMLA, 2002
12.6. Detail codes of conduct by SEBI, AMFI, etc
12.7. Discuss ethical issues in providing financial advice
12.8. Describe investor complaint redressal mechanism

Contact:

National Institute of Securities Markets
NISM Bhavan, Plot No. 82, Sector - 17, Vashi
Navi Mumbai
Helpdesk: +91-8080806476
Fax: +91-22-6673-5110
Email: certification@nism.ac.in