NISM-Series-VI: Depository Operations Certification Examination: Latest Syllabus

29/01/2022

NISM-Series-VI: Depository Operations Certification Examination| Latest Syllabus | How to Pass Exam | Mock Test Series

In this article, we’ve covered everything you need to know about the NISM-Series-VI: Depository Operations Certification Exam Syllabus, Registration and Fees, Marking, Duration and Validity, and more. The examination aims to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in

dealing or interacting with clients,
dealing with clients’ securities,
handling investor grievances,
internal control or risk management,
activities involving operational risk, or
maintaining books and records pertaining to the above activities.

NISM-Series-VI: Depository Operations Certification Exam Pattern

This Certification Examination will consist of 100 questions with a maximum score of 100. The duration of the test is two hours, and the qualifying mark (%) is 60. The fee for this certification examination is Rs.1500. A quarter of the marks assigned to the question will be deducted as negative marking (25%). The certificate will be valid for 3 years from the date of the examination.

NISM-Series-VI: Depository Operations Certification Exam Syllabus

The syllabus for the NISM Certification Exam differs depending on whatever NISM certification exam participants select. Here is the whole NISM-Series-VI Depository Operations certification exam syllabus:

UNIT NAME	WEIGHTAGE
Introduction to Securities Market	5%
Introduction to Depository	10%
Depository and its business partners	12%
Functions of DP – Account Opening	12%
Functions of DP- Account Operations	3%
Functions of DP – Transmission & Nomination	5%
Functions of DP – Dematerialisation	9%
Functions of DP – Trading and Settlement	13%
Functions of DP – Pledge and Hypothecation	10%
Functions of DP – Corporate Action & Public Issues	7%
Functions of DP – Debt and Government Securities	10%
Additional Services – Foreign Portfolio Investor	2%
Investor Services	2%

NISM Series V I : Depository Operations Certification Examination Online Test Series

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I.Introduction to the Securities Market

Introduction to the Security market
Explain the security Market
Understand the regulatory environment in Indian security market
Know the Regulators in the Indian security market

II. Introduction to Depository

Explain the need for a depository system
Explain the meaning of Depository
Understand the legal framework in which the depositories function in India
Explain the functions of a depository

III. Depository and its Business Partners

Understand depository participants (DPs)
Understand the Clearing Corporation (CC)
Explain the Issuers and Registrar and Transfer Agents

IV. Functions of Depository Participant -Account Opening

Introduction to the Functions of Depository Participant -Account Opening
Understand the types of account a person can open with a DP
Define and discuss what is a Beneficiary Account
Define the Clearing Member Account
Explain the Closure of account
Understand the Freezing of account
Know the Changes in client details
Know the Accreditation of Investors for the purpose of Innovators Growth Platform

V. Functions of Depository Participant – Account Operations

Introduction to the Basic Services Demat Account (BSDA)
Explain the operation of a Joint Account
Know the Internet Based Depository Operations of NSDL
Know the Internet Based Depository Operations of CDSL

VII. Functions of Depository Participant – Transmission and Nomination

Understand the concept of Transmission of Securities
Explain the concept of Nomination of Securities
Explain the Transmission of Securities

VII. Functions of Depository Participant -Dematerialization

Introduction to the Functions of Depository Participant –Dematerialization
Explain the International Securities Identification Number (ISIN)
Explain the Dematerialization Process
Explain the Rematerialisation process
Understand Destatementization process
Understand Restatementization process

VIII. Functions of Depository Participant -Trading and Settlement

Introduction to the Functions of Depository Participant -Trading and Settlement
Understand the process flow of securities (settlement) in an off-market transaction
Explain the Settlement of Market Transactions
Learn about Interoperability
Procedure for Subscription and Redemption of Mutual Fund Units
Explain the Handling of Clients’ Securities by Trading Members/Clearing Members

IX. Special Services- Pledge and Hypothecation

Introduce the concept of pledge and hypothecation
Procedure for pledge and hypothecation
Explain the Recording of Non Disposal Undertaking (NDU) in the Depository System

X. Special Services- Public Offering and Corporate Action

Learn about the concept of corporate actions
Know the Important terms
Understand the Procedure for Corporate Action
Know the Public Issue

XI. Special Services- Debt Instruments and Government Securities

Introduction to Debt Instruments and Government Securities
Explain the Certificate of Deposit (CDs)
Explain the Commercial Paper
Discuss the Government Securities

XII. Foreign Portfolio Investor

Introduction to the Foreign Portfolio Investor
Know the Eligibility Criteria and the various categories of Foreign Portfolio Investor

XIII. Investor Services

Introduction to Redressal of Complaints through Scores
Introduction to Transfer of Shares to Demat Account of IEPF Authority

How to Pass the NISM Series VI Depository Operations Certification Exam:

As you already know, Online Test Series or Mock Tests are quite important for passing any examination. So, here we bring to you the NISM Series VI Depository Operations Certification Examination Online Test Series that is based on the actual NISM Exam Pattern. Candidates who wish to get NISM Series VI Depository Operations Certification can take our Online Mock Test Series for the NISM Series VI Depository Operations Certification Exam, which will provide them with the most significant questions asked in the examination. A detailed explanation for each question will also be provided in this NISM Series VI Depository Operations Certification Examination Online Test Series. Questions are given in this NISM Series VI Depository Operations Certification Examination Online Test Series are based on the latest or Previous Year exam pattern. NISM Series VI Depository Operations Certification Examination Online Test Series is a great opportunity for all aspirants.

The NISM Series VI Depository Operations Certification Examination Online Test Series Consists: