The examination seeks to create a common minimum knowledge benchmark for Independent Chartered Accountants, Company Secretaries and Management Accountants, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members.
On successful completion of the examination the candidate should:
- Know regulatory framework under which the stock brokers perform their various activities.
- Understand the various operations performed by the Stock brokers
- Understand the various compliance and reporting requirements from audit perspective
Name of Examination: NISM Series-XIV: Internal Auditors for Stock Brokers Certification Examination
|Fees (Rs.)||Test Duration (in minutes)||No. of Questions||Maximum Marks||Pass Marks* (%)||Certificate # Validity (in years)|
*: Negative marking – 25% of the marks assigned to the question
# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.
NISM Internal Audiotors for Stock Brokers Syllabus