NISM Series-XIV: Internal Auditors for Stock Brokers
NISM Series-XIV: Internal Auditors for Stock Brokers
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 |
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