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NISM Series-IX: Merchant Banking

NISM Series-IX: Merchant Banking

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NISM Series IX: Merchant Banking

NISM-Series IX: Merchant Banking Certification Exam w.e.f April 11, 2019

The examinations seeks to create a common minimum knowledge benchmark for employees working with SEBI registered Merchant Bankers, who
  • perform SEBI regulated activities such as initial public offer, further public  offer, Open Offer, Buy-back, Delisting;
  • deal with the issuers in connection with activities mentioned in (a) above;
  • deal with intermediaries associated with activities mentioned in (a) above;
  • act as designated Compliance Officer dealing with the activities mentioned in (a) above
  • submit Due Diligence Certificates to SEBI in connection with the activities mentioned in (a) above;
The exam will further seek to ensure basic understanding of various aspects of capital market functions, the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.

Target Audience

The following persons can take NISM-Series-IX: Merchant Banking Certification Examination:

1. The employees working with SEBI registered Merchant Bankers and performing various SEBI regulated functions such as those relating to IPO, FPO, Open Offer, Buy-Back, Delisting etc, who
      a. perform SEBI regulated activities such as initial public offer, further public  offer, Open Offer, Buy-back, Delisting;
      b. deal with the issuers in connection with activities mentioned in (a) above;
      c. deal with intermediaries associated with activities mentioned in (a) above;
      d. act as designated Compliance Officer dealing with the activities mentioned in (a) above;
      e. submit Due Diligence Certificates to SEBI in connection with the activities mentioned in (a) above;
2. Anyone interested in making a career in the Merchant Banking
3. Any other individuals

Prerequisite for the exam

There are no prerequisites required for NISM Series IX: Merchant Banking Certification Exam.

Examination Objectives:

The examination aims to enable a better understanding of various regulations in the Merchant Banking Domain. The examination also covers knowledge competencies related to the understanding of the financial structure in India and the importance of the different rules and regulations governing the Indian securities market.
On successful completion of the examination the candidate should:
Know the basics of the Merchant Banking in India.
Understand the functioning of Merchant Bankers related to Issue Management Process, Substantial Acquisition of Equity Shares, Buyback of Equity Shares and Delisting of Shares.
Know the regulatory environment in which the Merchant Bankers operates in India.

Exam Format and Information

Exam Name NISM Series IX: Merchant Banking

Exam Code 0
Exam Duration 120 mins
Exam Format Multiple Choice
Exam Type 0
Number of Questions 100 Questions
Validity 3 Years
Exam Fee Rs 1500
Exam Language English
Pass Score 60% and above

NISM Series-IX: Merchant Banking FAQs

After the completion of your exam, the points you earned on each question are totaled and then compared with the cut score to determine whether the result is pass or fail.
Yes, Testprep Training offers email support for any certification related query while you are preparing for the exam using our practice exams. Your query will be handled by experts in due course.
NISM-Series IX: Merchant Banking Certification Exam w.e.f April 11, 2019 The examinations seeks to create a common minimum knowledge benchmark for employees working with SEBI registered Merchant Bankers, who a. perform SEBI regulated activities such as initial public offer, further public offer, Open Offer, Buy-back, Delisting; b. deal with the issuers in connection with activities mentioned in (a) above; c. deal with intermediaries associated with activities mentioned in (a) above; d. act as designated Compliance Officer dealing with the activities mentioned in (a) above; e. submit Due Diligence Certificates to SEBI in connection with the activities mentioned in (a) above; The exam will further seek to ensure basic understanding of various aspects of capital market functions, the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.
The following persons can take NISM-Series-IX: Merchant Banking Certification Examination: 2. The employees working with SEBI registered Merchant Bankers and performing various SEBI regulated functions such as those relating to IPO, FPO, Open Offer, Buy-Back, Delisting etc, who a. perform SEBI regulated activities such as initial public offer, further public offer, Open Offer, Buy-back, Delisting; b. deal with the issuers in connection with activities mentioned in (a) above; c. deal with intermediaries associated with activities mentioned in (a) above; d. act as designated Compliance Officer dealing with the activities mentioned in (a) above; e. submit Due Diligence Certificates to SEBI in connection with the activities mentioned in (a) above; 4. Anyone interested in making a career in the Merchant Banking 5. Any other individuals
The fees for NISM Series IX: Merchant Banking Certification Exam is Rupees One Thousand Five Hundred only (Rs. 1500/-).
The candidate has to secure 60% in order to pass the exam.
There are no prerequisites required for NISM Series IX: Merchant Banking Certification Exam.
There will be 100 questions which have to be completed in 120 minutes.
The certificate will be valid for 3 years from the date of the examination.
There will be 100 questions in the exam.
There will only be multiple-choice and multi-response questions covered in the exam.
The examination consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score on the examination is 60%. There shall be negative marking of 25% of the marks assigned to a question.
On successful completion of the examination the candidate should: • Understand the structure of financial and securities markets in India; financial intermediaries and the types of products available in the Indian market. • Understand the regulatory framework and the role of the various regulators in the financial system. • Understand the Importance of Compliance function and the scope and role of the compliance officer in the Indian securities market. • Understand the various regulations and rules of the Indian securities market as related to the defined group of intermediaries. • Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.
TestprepTraining provides unique sets of questions that will help you check your skills and knowledge in performing data analysis on Excel. These practice questions will help you increase your knowledge for better preparation of exam.
Yes we offer nearly 50% discount for the order more than 10 products at a time. You can reach the testprep training Helpdesk for more details. The member of support staff will respond as soon as possible.
To renew your current certificate, you need to appear for NISM CPE for Merchant Banking Certification Examination or successfully pass the NISM-Series-IX: Merchant Banking Certification Examination before the expiry of such certificate.
Yes, we offer a 100% unconditional money back guarantee. In case you are not able to clear the exam for then you can request for the full refund. Please note that we only refund the cost of product purchased from Testprep Training and not the NISM Series IX: Merchant Banking Certification Exam cost.
Yes testprep training offers free practice tests for the NISM Series IX: Merchant Banking Certification Exam which can be used before the final purchase for complete test.
Once purchased, the practice exams can be access for the lifetime.
Yes our experts frequently blog about the tips and tricks for exam preparation.

 

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