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Eligibility Criteria for CPE for Equity Derivatives

(A) Eligibility Criteria for NISM Series VIII: Equity Derivatives CPE

General Category

Any person holding any of the following Certificates:

(a) NISM Series VIII: Equity Derivatives Certification Examination (after January 11, 2013)

(b) NISM Series VIII: Equity Derivatives Continuing Professional Education

(c) Certificate on Derivatives Exchange of Bombay Stock Exchange Limited (before January 11, 2013)

(d) NCFM – Derivative Market (Dealers) Module of National Stock Exchange of India Limited (before January 11, 2013)

and the validity of which has not expired, may attend NISM Series VIII: Equity Derivatives 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 VIII: Equity Derivatives 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 January 11, 2013, may attend NISM Series VIII: Equity Derivatives 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 work experience of 10 years or more as an approved user Person orsales personnel of the trading members of an Equity Derivatives Exchange or of the Equity Derivatives Segment of recognized stock exchange, as on January 11, 2013, may attend NISM Series VIII: Equity Derivatives 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 VIII: Equity Derivatives CPE

The following Documents, along with a duly filled CPE Registration Form, needs to be submitted at the CPE venue for attending NISM Series VIII: Equity Derivatives 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 Intermediary (in which the Candidate is currently working) with SEBI / Exchange
  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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