Course Details
The NISM SORM (Securities Operations and Risk Management) examination is designed to test the knowledge and skills of individuals working in the securities market, particularly focusing on operations and risk management aspects.
This certification is crucial for professionals involved in back-office operations, risk management, and compliance functions within the securities industry.
Key Areas Covered in NISM SORM Exam
• Securities Market Overview:
• Risk Management
• Settlement Systems
• Regulatory Framework
• Back-Office Operations
• Compliance and Ethics
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Importance of NISM SORM Exam:
• Professional Competence: Passing the NISM SORM exam signifies a certain level of expertise and understanding in securities operations and risk management, which is vital for professionals working in this field.
• Regulatory Compliance: Individuals handling securities market operations need to be well-versed with regulatory guidelines and compliance requirements. This certification ensures adherence to these standards.
• Career Advancement: Certification opens up opportunities for professionals to take on more specialized roles in operations, risk management, and compliance within the securities industry.
• Enhanced Industry Reputation: Employers and organizations value professionals who hold certifications like NISM SORM as it demonstrates commitment to professional development and industry best practices
Syllabus of NISM SORM Series
Chapter 1 : Introduction to Securities Market.
Chapter 2 : Market Participants in the Securities Market.
Chapter 3 : Introduction to Securities Broking Operations.
Chapter 4 : Risk Management.
Chapter 5 : Clearing Process.
Chapter 6 : Settlement Process.
Chapter 7 : Investor Grievances and Arbitration.
Chapter 8 : Other services provided by brokers.
