Internal Auditor for Stock Brokers
Internal Auditors for Stock Brokers Certification Overview
The examinations 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.
- 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
Internal Auditors for Stock Brokers Certification Examination Fees Details
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.