Description
The NISM Series VI: Depository Operations Certification Examination aims to assess standard knowledge that is required of those who work with clients who own securities, control internal risks, handle investor complaints, manage operational risks, and keep records and books for these activities. The certification exam has the potential to enhance the quality of services provided by depository participants in depository operations. It includes:
- Important characteristics of India's Depository System
- Institutional framework of the depository system in India
- The legal environment in which depositories and the depository participants operate, as well as their eligibility requirements, registration process, rights and responsibilities, etc.
Highlight
NISM Series-VI: Depository Operations Certification Examination provides a common minimal knowledge standard for those connected to or employed by a registered depository participant in depository operations. This exam covers:
- Handling or interacting with clients
- Handling the resolution of investor complaints
- Managing internal controls or risk management activities that have an impact on operational risk
- Keeping books and records relevant to the aforementioned activities.
- Enhancing the caliber of services provided by the Depository Participants.
Sample Paper
Set 1
No of Questions : 25
Time : 25 Minutes
Set 2
No of Questions : 25
Time : 25 Minutes
Set 3
No of Questions : 25
Time : 25 Minutes
Set 4
No of Questions : 25
Time : 25 Minutes
Set 5
No of Questions : 25
Time : 25 Minutes
Set 6
No of Questions : 25
Time : 25 Minutes
Set 7
No of Questions : 25
Time : 25 Minutes
Set 8
No of Questions : 50
Time : 50 Minutes
Set 9
No of Questions : 50
Time : 50 Minutes
Set 10
No of Questions : 50
Time : 50 Minutes
Set 11
No of Questions : 50
Time : 50 Minutes
Set 12
No of Questions : 50
Time : 50 Minutes
Set 13
No of Questions : 50
Time : 50 Minutes
Set 14
No of Questions : 50
Time : 50 Minutes
Set 15
No of Questions : 75
Time : 75 Minutes
Set 16
No of Questions : 75
Time : 75 Minutes
Set 17
No of Questions : 75
Time : 75 Minutes
Set 18
No of Questions : 75
Time : 75 Minutes
Set 19
No of Questions : 100
Time : 100 Minutes
Set 20
No of Questions : 100
Time : 100 Minutes
Set 21
No of Questions : 100
Time : 100 Minutes
Objective
- Be familiar with the fundamentals of the Indian securities market, the depository system, the necessity of a depository, and the salient aspects of the Indian depository system.
- Recognize the business partners of a depository as well as the institutional structure of the Indian depository system.
- Recognize the legal framework that governs the depositories and its DPs, as well as their eligibility requirements, registration process, rights, and obligations.
- Understand the various roles performed by the Depository and its Depository Participants (DPs), including trading, settlement, pledging as well as dematerialization.
- Recognize the process for opening a Demat account, the documents needed, and the importance of a Power of Attorney (POA).
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