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NISM-Series-III-A certifies compliance professionals for securities intermediaries in India, opening doors to regulatory and compliance roles in financial markets. Knolby's daily WhatsApp MCQs with expert explanations and unlimited practice tests help you master complex compliance concepts consistently and score confidently.
NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
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Knolby — NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund)
NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination | 1. Introduction to the Financial System
Which intermediary manages or administers an investment portfolio on behalf of a client for a fee or other agreed compensation?
A
Portfolio Manager ✓B
Share Transfer AgentC
UnderwriterD
Debenture TrusteeA
Correct! A Portfolio Manager provides portfolio management services to clients for agreed consideration, subj…
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Syllabus
What you'll study in NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund)
1 subject · 23 chapters — full exam coverage
NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination(23)
1. Introduction to the Financial System9. Prevention of Money Laundering Act, 200214. SEBI (Issue of Capital and Disclosure Requirements) Regulations 201819. SEBI (Investment Advisers) Regulations, 20132. Regulatory Framework - General View6. SEBI (Intermediaries) Regulations, 200810. SEBI (KYC Registration Agency) Regulations, 201115. Depositories Act 199620. SEBI (Debenture Trustees) Regulations, 19933. Introduction to Compliance7. SEBI (Prohibition of Insider Trading) Regulations, 201511. SEBI (Foreign Portfolio Investors) Regulations, 201916. SEBI (Depositories and Participants) Regulations 201821. SEBI (Credit Rating Agencies) Regulations, 19994. Securities and Exchange Board of India Act, 19928. SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to securities Market) Regulations, 200312. SEBI (Stock Brokers) Regulations, 202517. SEBI (Registrar to an issue and Share Transfer Agents) Regulations, 199322. SEBI (Custodian) Regulations, 19965. Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rule, 195713. SEBI (Merchant Bankers) Regulations 2025, SEBI (SAST) Regulations, 2011 & SEBI (Bankers to an Issue) 199418. SEBI (Research Analyst) Regulations, 201423. Proxy Advisors
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What does NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) cover?
NISM-Series-III-A tests knowledge of compliance requirements for securities intermediaries handling non-fund business—including KYC norms, AML procedures, market conduct rules, client protection, and regulatory frameworks under SEBI guidelines. Knolby's daily MCQs systematically build mastery across all these compliance areas.
How difficult is NISM-Series-III-A and what's the passing score?
NISM-Series-III-A requires 60% to pass (typically 120 out of 200 marks over 2 hours). The exam tests application of compliance rules more than memorization. Unlimited practice tests on Knolby help you identify weak topics early and build confidence through repeated, focused test attempts.
How should I prepare for NISM-Series-III-A compliance exam?
Start with daily MCQ practice to internalize concepts, then take full-length tests under timed conditions. Knolby's AI analytics pinpoint your weak topics after every test, so you can spend extra practice time on high-risk compliance areas before your actual exam.
Can I take unlimited practice tests on Knolby for NISM-Series-III-A?
Yes. Knolby's Test Mode lets you choose your question count and take as many full-length or topic-focused tests as you need on WhatsApp. Each test gives instant scores, topic-wise breakdowns, and AI-powered recommendations to focus your study where it matters most.
How do daily MCQs improve my NISM-Series-III-A score?
Consistent daily practice builds retention and pattern recognition for compliance rules. Knolby's faculty-explained MCQs delivered on WhatsApp keep you engaged without app friction, while unlimited tests validate your readiness and highlight gaps before the real exam.
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