Wednesday, November 21, 2007

NCFM MODULES

NCFM currently tests expertise in the following modules:

  1. Financial Markets: A Beginners' Module
  2. Derivatives Market (Dealers) Module
  3. Capital Market (Dealers) Module
  4. Securities Market (Basic) Module
  5. FIMMDA-NSE Debt Market (Basic) Module
  6. Surveillance in Stock Exchanges Module
  7. NSDL - Depository Operations Module
  8. Commodities Market Module
  9. AMFI - Mutual Fund (Basic) Module
  10. AMFI - Mutual Fund (Advisors) Module
  11. Corporate Governance Module
  12. Compliance Officers (Brokers) Module
  13. Compliance Officers (Corporates) Module
  14. Information Security Auditors Module (Part-1)
    Information Security Auditors Module (Part-2)
  15. Modules of Financial Planning Standards Board India

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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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.

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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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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FIMMDA-NSE Debt Market (Basic) Module

This module equips the candidates with the knowledge and skills required in debt market operations.

Curriculum of this moduleStudy material for this module

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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.

'Surveillance in Stock Exchanges Module’ has been revised w.e.f. January 22, 2007.

Curriculum of this moduleStudy material for 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

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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:

  1. 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.


  2. 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

Curriculum of this module

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Modules of Financial Planning Standards Board India

Currently, tests in four modules of FPSB India are conducted bi-monthly. For applying for the said test(s), contact FPSB India at: tel nos (022) 66663268 / 66663314 email: info@fpsbindia.org website: http://www.fpsbindia.org

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