NISM Series III-C: Securities Intermediaries Compliance Fund, Comprehensive preparation for the NISM Series III-C Certification covering core syllabus.
What you’ll learn
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Understand how India’s financial system and securities markets are structured.
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Learn the role of SEBI, compliance professionals, and other market regulators.
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Develop a clear understanding of compliance functions and regulatory responsibilities.
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Learn the provisions relating to Mutual Funds, AIFs, InvITs, and REITs.
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Understand AML, KYC, FEMA, Insider Trading, and Investor Protection frameworks.
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Build a strong conceptual foundation for the NISM Series III-C Certification Examination.
Course Description
This course contains the use of artificial intelligence.
This course is designed to The NISM Series III-C: Securities Intermediaries Compliance (Fund) Certification Examination is designed for professionals and students seeking to develop a strong understanding of India’s securities market regulatory framework and the compliance obligations applicable to financial intermediaries.
This course provides comprehensive coverage of the NISM Series III-C syllabus through a structured and concept-based learning approach. Rather than focusing solely on memorization, the course explains the purpose, structure, and practical application of the regulations governing India’s capital markets.
The curriculum begins with the fundamentals of the financial system and the regulatory architecture of the securities market before progressing to intermediary-specific regulations governing Mutual Funds, Alternative Investment Funds (AIFs), Infrastructure Investment Trusts (InvITs), and Real Estate Investment Trusts (REITs).
The course also covers key compliance areas including insider trading regulations, fraudulent and unfair trade practices, Anti-Money Laundering (AML), Know Your Customer (KYC), Foreign Portfolio Investors (FPIs), FEMA, and the Depositories framework.
Each lesson has been designed to simplify complex regulatory concepts using concise video lectures supported by structured study material. In addition to the video content, learners receive chapter-wise revision notes, practice worksheets, and mock examinations to reinforce learning and support certification preparation.
Whether you are preparing for the NISM Series III-C Certification Examination, working in compliance, fund management, operations, risk, or pursuing a career in financial services, this course provides a structured pathway to build both conceptual understanding and examination readiness.
Who this course is for:
- Candidates preparing for the NISM Series III-C Certification Examination
- Compliance Officers and Compliance Professionals
- Professionals working in Mutual Funds, AIFs, PMS, InvITs, and REITs
- Fund Operations and Investment Operations Professionals.
- Professionals seeking to build a practical understanding of securities market regulations and compliance
