Overview

NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam Preparation Online Mock Test with 1400 Question BankYour journey to master the complexities of NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam with our meticulously crafted online mock test, This comprehensive resource is designed to prepare learners for the challenges of compliance exams, offering in-depth coverage of essential topics and a excess of practice questions to reinforce memory and understanding.Compliance is all about laws in black and white, hence the mock test are also designed keeping in mind the significance of memorization. To help learners each question start with the Chapter number, so that instantly learner can recognize the respective law and retain the concept with life time memory.Key Features:Thorough Coverage of Learning Outcomes: Each learning outcomes & test objectives outlined by NISM is covered on this mock test.Proven Strategies for Exam Success: This mock test will help you in conceptual understanding of each law and their specific application going to be tested during final exam. This mock test further will you retention of memory by help of multiple tools we used to point to your mind to a specific law and section etc.Knowledge Area: At the end of each test, your score will be displayed with knowledge area and learning outcomes, this will help learners to assess the weak areas and re-prepare for same to strengthen preparation further.NOTE: This mock test is part of my Printed Guide Book with 3000+ Question bank along with special question on specific reference cases under different law. The printed book is available on almost all ecom platforms, please visit Author's website for more information on Printed Book.Book Name: NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Exam Preparation Guide with 3000+ Question Bank Along with Case Based Questions.KNOWLEDGE AREA & LEARNING OUTCOMES COVERED:INTRODUCTION TO THE FINANCIAL SYSTEMFinancial IntermediariesFinancial SecuritiesFinancial SystemREGULATORY FRAMEWORK - GENERAL VIEWAppellate AuthorityBye-Laws of Stock Exchanges & Stamp dutyCompanies Act, 2013Financial Market RegulatorsForeign Exchange Management Act, 1999Goods and Services TaxIndian Contract Act, 1872International Financial Services Centre (IFSC)Other Agencies in the Financial MarketPrevention of Money-Laundering Act, 2002Regulatory SystemSEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003SEBI (Prohibition of Insider Trading) Regulations, 2015SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011Securities Contracts (Regulation) Rules, 1957Securities Transaction Tax (STT)Taxes on SecuritiesINTRODUCTION TO COMPLIANCEComplianceCompliance Requirements under the SEBI (CAPSM) Regulations, 2007SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992Penalties and AdjudicationRegistration of IntermediariesSalient Features of SEBI Act, 1992Securities Appellate Tribunal (SAT)SECURITIES CONTRACTS (REGULATION) ACT, 1956 AND SECURITIES CONTRACTS (REGULATION) RULES, 1957Securities Contracts (Regulation) Act, 1956Securities Contracts (Regulation) Rules, 1957SEBI (INTERMEDIARIES) REGULATIONS, 2008Action in Case of Default and Manner of Suspension and Cancellation of CertificateCode of ConductInspection and Disciplinary ProceedingsObligations of IntermediariesSpecial Procedure for action on expulsion from membership of the stock exchangeSEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015Code of Conduct Insider Trading RegulationsInsider Trading RegulationsSEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES RELATING TO SECURITIES MARKET) REGULATIONS, 2003Different kind of dealings, prohibited in securitiesInvestigationPREVENTION OF MONEY LAUNDERING ACT, 2002Highlights of PMLA, 2002Highlights of SEBI Circular on AML/CFTKey provisions of the PMLA, 2002SEBI (KYC REGISTRATION AGENCY) REGULATIONS, 2011Code of Conduct for KRAFunctions and Obligations of KRA and IntermediaryGuidelines for Intermediaries, KRAs and In-person VerificationObligations on Surrendering Certificate of RegistrationRegistration of a KYC Registration Agency (KRA)SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019Approval to act as a designated depository participantCategories of Foreign Portfolio InvestorCode of Conduct for foreign portfolio investorConditions for Issuance of Offshore Derivative InstrumentsEligibility Criteria of Foreign Portfolio InvestorsInvestment Conditions and RestrictionsSuspension, cancellation or surrender of certificateSEBI (STOCK BROKERS) REGULATIONS, 1992Algorithmic TradingAuthorised Persons & Permitting Underwriting activities by StockbrokersDirect Market AccessDispute ResolutionMargin TradingSEBI (Alternative Investment Funds) Regulations, 2012SEBI (Portfolio Managers) Regulations, 2020SEBI (Stock brokers) Regulations, 1992SEBI (MERCHANT BANKERS) REGULATIONS 1992, SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009, SEBI (SUBSTANTIAL ACQUISITION OF SHARES & TAKEOVERS) REGULATIONS, 2011SEBI (Bankers to an Issue) Regulations 1994SEBI (Merchant Bankers) Regulations, 1992SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS 2018Applicability of ICDR RegulationsDue Diligence and CompliancesGeneral Obligations of Merchant BankersRole as AdvisorsRole as an UnderwriterDEPOSITORIES ACT 1996Enquiry and InspectionMiscellaneous IssuesRights and Obligations of depositoriesSEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS 2018Action in case of DefaultCode of Conduct for ParticipantsRegistration of a Depository ParticipantSEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993Code of Conduct for Registrars to an Issue and Share Transfer AgentsGeneral Obligations and ResponsibilitiesRegistrar to an Issue and Share Transfer AgentSEBI (RESEARCH ANALYST) REGULATIONS, 2014General Responsibility, Maintenance of Records, & Role of COManagement of Conflict of Interest and Disclosure requirementsSEBI (INVESTMENT ADVISERS) REGULATIONS, 2013Code of Conduct for Investment AdvisersDisclosures by Investment AdvisersGeneral ResponsibilitiesGeneral Responsibilities of Investment AdvisersOperating guidelines of IAs in IFSCSEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993Appointment of Compliance OfficerCode of Conduct for the Debenture TrusteesMonitoring and Disclosure RequirementPrerequisites for registering as a debenture trusteeResponsibilities and Obligations of Debenture TrusteesSEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999Code of conduct of the Credit Rating AgenciesGeneral Obligations of Credit Rating AgenciesRegistration as a Credit Rating AgencyRestrictions on Rating of Securities issued by PromotersSEBI (CUSTODIAN) REGULATIONS, 1996Code of ConductCustodian and Custodial ServicesGeneral Obligations and Responsibilities of CustodiansRegistration and EligibilityPROXY ADVISORSDefinition and Role of Proxy AdvisorsGrievance redressal between listed entities and proxy advisersInternal Controls and Disclosures under Research Analyst Regulations, 2014Procedural guidelines prescribed for Proxy Advisors

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