Dear Members
I would like to sit for Compliance Officers (Brokers) Module exam conducted by NSE under NCFM scheme.
But I heard from NSE,s site that NSE is not providing any study material for this test
they just gave the items of subject over which test would be conducted and these items are as follows;
1.SEBI ACT
2.SCRA
3.SCRR
4.SEBI (Stock Brokers and Sub Brokers) Regulations, 1992
5.Circulars, Rules, Regulations and Bye-laws
NSE, NSCCL, SEBI and MoF circulars as enforced from time to time,
NSE Rules, Regulations and Byelaws,
NSCCL Rules, Regulations and Byelaws
6.SEBI Regulations
SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003,
SEBI (Prohibition of Insider Trading) Regulations, 1992,
SEBI (Portfolio Managers) Regulations, 1993,
SEBI (Underwriters) Regulations, 1993,
SEBI (Ombudsman) Regulations, 2003
Can any one have any idea regarding any study material for all the above items except 5th one for which we can get study material from NSE web site.
I request you to please help me in this regard
If any one has any material please mail me to sonia.exepro @ hotmail.com
OR if any specific material is available in market please let me know so that i will purchase from the market
Thanking You
Best Regards
Sonia
CAclubindia
