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Eligibility Criteria for CPE for RTA- Corporate

(A) Eligibility Criteria for NISM Series II (a): RTA-Corporate CPE

General category

Any person holding any of the following Certificates:

   (a) NISM Series II (a): RTA-Corporate Certification Examination

   (b) NISM Series II (b): RTA-Corporate Continuing Professional Education

 and the validity of which has not expired, may attend NISM Series II (a): RTA-Corporate CPE Program, on submission of the Required Documents (as mentioned in (B)).

Note: Candidates can attend the CPE Program not before twelve months prior to expiry of the said Certificate.

Principal Category

Any person who isactively engaged in the management of an Intermediary’s securities business including supervision, solicitation, conduct of business, and is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Whole Time Director / Chief Executive Officer, may attend NISM Series II (a): RTA-Corporate CPE Program under the ‘Principal Category’, on submission of the Required Documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her designation.

Grandfather by Age Category

Any person who has completed the age of 50 years as on September 04, 2009, may attend NISM Series II (a): RTA-Corporate CPE Program under the ‘Grandfather by Age’Category, on submission of the Required Documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her age.

Grandfather by Experience Category

Any person having a work experience of 10 years or more in a Registrar to an Issue or Share Transfer Agent  for the purpose of dealing or interacting with the investors or issuers / dealing, collecting or processing applications from the applicants / dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities / handling redressal of investors’ grievances / internal control and risk management / compliance of securities laws / maintenance of books and records pertaining to the above activities, as on September 04, 2009, may attend NISM Series II (a): RTA-Corporate CPE Program under the ‘Grandfather by Experience’ Category, on submission of Required Documents (as mentioned in (B)).

Note: A person holding any of the Certificates, mentioned earlier, belongs to the ‘General’ Category irrespective of his/her experience.

(B) Required Documents for NISM Series II (a): RTA-Corporate CPE

The following Documents, along with a duly filled CPE Registration Form, needs to be submitted at the CPE venue for attending NISM Series II (a): RTA-Croporate CPE Program:

General Category

  1. Copy of PAN Card
  2. Copy of a valid Certificate (any of the above mentioned)
  3. A recent Passport-size Photograph

Principal Category

  1. Copy of PAN Card
  2. Proof of Designation (Click to Download the format)
  3. Copy of Registration Certificate of the Intermediary
  4. A recent Passport-size Photograph

Grandfather by Age Category

  1. Copy of PAN Card
  2. A recent Passport-size Photograph

Grandfather by Experience Category

  1. Copy of PAN Card
  2. Proof of Experience (Click to Download the format)
  3. Copy of Registration Certificate of the RTA (in which the Candidate is currently working) with SEBI / Registration Certificate of the Organization (if the Candidate is working in an Organization with an in-house Share Transfer Department)
  4. A recent Passport-size Photograph

Please note that Candidates are required to carry in original the above mentioned Documents (under respective Categories)to the CPE venue for verification in order to obtain admission the CPE Program.

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