NCFM currently tests expertise in the following modules:
Financial Markets: A Beginners' Module
Securities Market (Basic) Module
Capital Market (Dealers) Module
Derivatives Market (Dealers) Module
FIMMDA-NSE Debt Market (Basic) Module
NSDL - Depository Operations Module
Commodities Market Module
AMFI - Mutual Fund (Basic) Module
AMFI - Mutual Fund (Advisors) Module
Surveillance in Stock Exchanges Module
Corporate Governance Module
Compliance Officers (Brokers) Module
Compliance Officers (Corporates) Module
Information Security Auditors Module (Part-1)
Information Security Auditors Module (Part-2)
Modules of Financial Planning Standards Board India (Certified Financial Planner certification)
Investment Banking Analyst Module
Test details and fees for the above mentioned modules
Financial Markets: A Beginners' Module
This module has been prepared for those who are keen to acquire some basic but key information about the stock markets as an initial step towards becoming a more informed investor. This module will act as a means of satisfying some of the initial queries on the stock markets and has been prepared with the objective of introducing the functioning and role of the financial markets in India to all those interested in this topic
Curriculum of this moduleStudy material for this module
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Securities Market (Basic) Module
This module equips the candidates with the knowledge and fundamentals of the securities market as a whole.
Curriculum of this moduleStudy material for this module
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Capital Market (Dealers) Module
This module equips the candidates with the knowledge and skills required for dealers in the capital market operations.
Curriculum of this moduleStudy material for this module
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Derivatives Market (Dealers) Module
SEBI Committee on `Regulatory Framework for Financial Derivatives in India’ had recommended that all brokers-members and sales persons/dealers in the derivatives market must pass a certification programme. Based on the Committee’s recommendations, SEBI issued guidelines for the conduct of the certification examination. The Derivatives Market (Dealers) Module certifies brokers-members and sales persons/dealers in the derivatives market.
Candidates have the option to take the test in English, Gujarati and Hindi language. The workbook for the module is available in English only. For details please click here.
Curriculum of this moduleStudy material for this module
Updates for this module : Excel | PDF
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FIMMDA-NSE Debt Market (Basic) Module
This module equips the candidates with the knowledge and skills required in debt market operations.
Curriculum of this module
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NSDL - Depository Operations Module
This is an initiative of NSDL to accelerate the pace of professionalisation of the depository operations. This module equips the candidates seeking employment with depository participants and thereby helps in fast dematerialisation of securities.
Curriculum of this moduleStudy material for this module
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Commodities Market Module
The module equips the candidates with the knowledge and skills required for dealers in Commodities Market Module
Curriculum of this module
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AMFI - Mutual Fund (Basic) Module
AMFI - Mutual Fund (Advisors) Module
These two modules have been developed by Association of Mutual Funds in India to build a cadre of mutual fund advisors and disseminate knowledge about the working of the mutual funds.
Curriculum of these modules: Basic ModuleAdvisors Module
The study material for these two modules is available for sale at AMFI's office :
ASSOCIATION OF MUTUAL FUNDS IN INDIA
709, RAHEJA CENTRE,
FREE PRESS JOURNAL MARG,
NARIMAN POINT,
MUMBAI - 400 021.
Telephone Nos.: 6610 1886/7, 2287 6338/9
Fax Nos.: 6610 1889 / 6610 1916
e-mail: amfi@bom5.vsnl.net.in
Website : www.amfiindia.com
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Surveillance in Stock Exchanges Module
This module has been developed pursuant to the desire of the Inter-Exchange Market Surveillance Group of SEBI to have a certified training programme for the surveillance staff of the stock exchanges. The module seeks to equip the surveillance staff with the art and science of surveillance in the stock market transactions.
Curriculum of this moduleStudy material for this module
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Corporate Governance Module
This module has been jointly developed by National Stock Exchange of India Limited (NSEIL) and The Institute of Company Secretaries of India (ICSI) to strengthen knowledge on Corporate Governance.
Curriculum of this module
Study Material
The study material for this module is available at the following ICSI’s offices:
ICSI-Centre for Corporate Research & Training
Plot No. 101, Sector 15, Institutional Area, CBD Belapur,
Navi Mumbai 400614
Phone - 27577814 - 16, Extn. 406. Fax no. 27574384
email ccrt@icsi.edu, ccrt@vsnl.com.
Western Indian Regional Council (WIRC) of the ICSI
13 Jolly Makers Chambers - II, First Floor,
Nariman Point, Mumbai 400021
Phone 22047569, Contact person: Mr. Mani
Fax No. 22850109
email : wiro@icsi.edu
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Compliance Officers (Brokers) Module
Compliance Officers (Corporates) Module
Market intermediaries need to have comprehensive knowledge and a proper understanding of the Acts governing the Securities Markets, Rules and Regulations of the Exchange, Listing Procedures, etc. A proper understanding and knowledge of these rules and regulations would enable an organization to adhere to the required compliance standards and not fall short of meeting any existing guidelines. Compliance Officers modules tests the candidates on their knowledge of the relevant rules, regulations and guidelines governing the securities markets and corporates.
Compliance Officers (Brokers) Module: Curriculum
Compliance Officers (Corporates) Module: Curriculum
Candidates are required to refer to the relevant books, circulars, manuals etc., as per the given curriculum, on their own. No study material will be provided for the Compliance Officers Modules.
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Information Security Auditors Module (Part-1)
Information Security Auditors Module (Part-2)
Information security is gaining in importance in today’s corporate environment where a vast amount of information is being processed by organisations on a day to day basis. A well defined, objective, information security audit should form a part of every organization’s policy. Confidentiality, integrity and timely availability of information are critical, for implementing efficient business processes. An information security audit is one of the best ways to determine the security of an organization’s information. Information security is not just technology related security but much more than that, covering physical and environmental security, access controls, business continuity planning etc. A timely and comprehensive assesement of information security systems and policies within the organisation, helps in avoiding the cost and other associated damages of a future security incident. Even today, it is possible to find a number of organizations where a written security policy does not exist. When security practices are unwritten or informal, there is a greater risk of them being misinterpreted or ineffectively executed leading to a costly breach or security lapse which could have severe ramifications for an organization.
The Information Security Auditors Module has been developed for those involved with or interested to know about information security related issues in the financial markets.
The module consists of two parts: Information Security Auditors Module (Part-1) and Information Security Auditors Module (Part-2) of 2 hours duration each. On successfully clearing both the parts, a candidate would be provided with a 'Certified Information Security Auditor for Financial Markets' certification.
The module is being developed with the assistance of iSec Services Pvt. Ltd. (iSec), which is an information security consulting company providing information security compliance, assurance, audit, training etc.
Contact details of iSec Services Pvt. Ltd.
Delhi: B 1/1810, Vasant Kunj
New Delhi - 110 070
Telefax: (011) 26123369
Mumbai: B 102, Patliputra CHS
4, Bunglows
Mumbai - 400 053
Telefax: (022) 26300209
Email: contactus@isec.co.in
Website:www.isec.co.in / www.isectrain.com
Curriculum of this module
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Modules of Financial Planning Standards Board India (Certified Financial Planner certification)
Currently, tests in four modules of FPSB India namely (i) Risk Management & Insurance Planning (ii) Retirement Planning & Employee Benefits (iii) Investment Planning and (iv) Tax Planning & Estate Planning are conducted “Live” i.e. on real time basis. For any query for the said test(s), contact FPSB India at: Tel No 022-40309556 email: info@fpsbindia.org website: http://www.fpsbindia.org
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Investment Banking Analyst Module
Professional Development Program in Investment Banking Analysis is developed by IMS Proschool, a leading education service provider in India to build in-depth financial modeling skills and understanding of Investment banking. The certification examination will be conducted 3 times in a year - February, May and November.
The registration for the examination is to be done at IMS Proschool Centers across India. For details please contact:
IMS Proschool
IMS Learning Resources
67 Jayant Building, Jain Hostel Road,
Near Sion Circle, Near to SIES College,
Sion – West, Mumbai 400022.
Tel: 09372895050
Email: kaushik@imsindia.com
Website: http://proschool.imsindia.com/iba.html?track=nse
Monday, August 25, 2008
The NCFM Programme
Taking into account international experience and the needs of the Indian financial markets, National Stock Exchange introduced in 1998 a facility for testing and certification by launching NSE's Certification in Financial Markets (NCFM).
NCFM is an online testing and certification programme. It tests the practical knowledge and skills required to operate in the financial markets. Tests are conducted in a secure and unbiased manner and certificates awarded based on merit of the candidate to qualify the on-line test.
The entire process of testing, assessing and scores reporting in the NCFM is fully automated. The system is operated through an intranet facility by using a central World Wide Web server with terminals located at each of the designated test centres to be used as an examination front end. Communication between the central server and the test centres is achieved through VSAT/leased line network.
The Test is also offered through the Internet to enable candidates outside the designated test centres to take tests at their convenience. This allows flexibility in terms of testing centres, dates and timing and provides easy accessibility and convenience to candidates.
The easy accessibility as well as flexibility involved in the NCFM programme has resulted in its wider acceptance among market intermediaries, students and regulators
NCFM is an online testing and certification programme. It tests the practical knowledge and skills required to operate in the financial markets. Tests are conducted in a secure and unbiased manner and certificates awarded based on merit of the candidate to qualify the on-line test.
The entire process of testing, assessing and scores reporting in the NCFM is fully automated. The system is operated through an intranet facility by using a central World Wide Web server with terminals located at each of the designated test centres to be used as an examination front end. Communication between the central server and the test centres is achieved through VSAT/leased line network.
The Test is also offered through the Internet to enable candidates outside the designated test centres to take tests at their convenience. This allows flexibility in terms of testing centres, dates and timing and provides easy accessibility and convenience to candidates.
The easy accessibility as well as flexibility involved in the NCFM programme has resulted in its wider acceptance among market intermediaries, students and regulators
Why NCFM?
The financial markets are going to be the turf of certified professionals very soon due to regulatory compulsions and/or initiatives of the industry. By imparting comprehensive knowledge and skill in the chosen field, NCFM enhances career opportunities for NCFM certified persons.
Some of these modules have regulatory sanctity. For example,
It has been specified by SEBI that all brokers/dealers and sales persons in the derivatives market have to mandatorily obtain certification. Derivatives Market (Dealers) Module of the NCFM has been recognised by SEBI for the purpose.
In order to improve the level of knowledge of market participants, only persons who have passed Capital Market (Dealers) Module of the NCFM are authorised to use the trading system of the National Stock Exchange.
The National Securities Depository Limited has similarly prescribed that all the branches of the depository participants must have at least one person who has qualified the NCFM module on Depository Operations.
SEBI recommends Surveillance Module for the officers working in surveillance departments of stock exchanges.
SEBI has made it mandatory for all mutual funds to appoint agents/distributors who have obtained certification in AMFI - Mutual Funds Modules. The existing and new employees of mutual funds, particularly those who are involved in sales and marketing, are encouraged to pass the certification in AMFI - Mutual Funds Modules.
Some of these modules have regulatory sanctity. For example,
It has been specified by SEBI that all brokers/dealers and sales persons in the derivatives market have to mandatorily obtain certification. Derivatives Market (Dealers) Module of the NCFM has been recognised by SEBI for the purpose.
In order to improve the level of knowledge of market participants, only persons who have passed Capital Market (Dealers) Module of the NCFM are authorised to use the trading system of the National Stock Exchange.
The National Securities Depository Limited has similarly prescribed that all the branches of the depository participants must have at least one person who has qualified the NCFM module on Depository Operations.
SEBI recommends Surveillance Module for the officers working in surveillance departments of stock exchanges.
SEBI has made it mandatory for all mutual funds to appoint agents/distributors who have obtained certification in AMFI - Mutual Funds Modules. The existing and new employees of mutual funds, particularly those who are involved in sales and marketing, are encouraged to pass the certification in AMFI - Mutual Funds Modules.
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