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NISM Series-XIV: Internal Auditors for Stock Brokers

NISM Series-XIV: Internal Auditors for Stock Brokers

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  • Access DurationLife Long Access
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NISM Series XIV: Internal Auditors for Stock Brokers

The examination seeks to create a common minimum knowledge benchmark for Auditors (who are chartered accountants, company secretaries or cost and management accountants as mentioned in SEBI Circular no. MRD/DMS/Cir-29/2008 dated October 21, 2008) and/or its employees or partners signing the internal audit report.

The exam will further seek to ensure understanding of regulatory framework under which the stock brokers perform their various activities, the operations performed by the Stock brokers and compliance and reporting requirements from audit perspective.


Prerequisite for the exam

There are no prerequisites required for NISM Series XIV: Internal Auditors for Stock Brokers Exam.


Examination Objectives:

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

Exam Format and Information

Exam Name NISM Series XIV: Internal Auditors for Stock Brokers

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 1770
Exam Language English
Pass Score 60% and above

NISM Series-XIV: Internal Auditors for Stock Brokers FAQs

Yes testprep training offers free practice tests for the NISM Series XIV: Internal Auditors for Stock Brokers Exam which can be used before the final purchase for complete test.
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, 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 XIV: Internal Auditors for Stock Brokers Exam cost.
Yes our experts frequently blog about the tips and tricks for exam preparation.
Once purchased, the practice exams can be access for the lifetime.
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 Internal Auditors for Stock Brokers Certification Examination or successfully pass the NISM-Series-XIV: Internal Auditors for Stock Brokers Certification Examination before the expiry of such certificate.
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.
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 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
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 percent. There shall be negative marking of 25 percent of the marks assigned to a question.
The fees for NISM Series XIV: Internal Auditors for Stock Brokers Exam is Rupees One Thousand Five Hundred only (Rs. 1770/-).
There will be 100 questions which have to be completed in 120 minutes.
The candidate has to secure 60% in order to pass the exam.
There are no prerequisites required for NISM Series XIV: Internal Auditors for Stock Brokers Exam.
The examination seeks to create a common minimum knowledge benchmark for Auditors (who are chartered accountants, company secretaries or cost and management accountants as mentioned in SEBI Circular no. MRD/DMS/Cir-29/2008 dated October 21, 2008) and/or its employees or partners signing the internal audit report. The exam will further seek to ensure understanding of regulatory framework under which the stock brokers perform their various activities, the operations performed by the Stock brokers and compliance and reporting requirements from audit perspective.
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.

 

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