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    Annexure 1 PMS Certification Examination

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    Vivek Mathur
    The document outlines the syllabus for an examination on portfolio management services distributors certification. It covers topics like investments, securities markets, stocks, fixed income, derivatives, mutual funds, the role of portfolio managers, portfolio management process, performance evaluation, taxation, and regulatory governance.

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    Annexure 1 PMS Certification Examination

    Uploaded by

    Vivek Mathur
    6 views2 pages
    The document outlines the syllabus for an examination on portfolio management services distributors certification. It covers topics like investments, securities markets, stocks, fixed income, derivatives, mutual funds, the role of portfolio managers, portfolio management process, performance evaluation, taxation, and regulatory governance.

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    Exam preparation docs for NISM 21 A

    Original Title

    Annexure-1-PMS-Certification-examination

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    The document outlines the syllabus for an examination on portfolio management services distributors certification. It covers topics like investments, securities markets, stocks, fixed income, derivatives, mutual funds, the role of portfolio managers, portfolio management process, performance evaluation, taxation, and regulatory governance.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    6 views2 pages

    Annexure 1 PMS Certification Examination

    Uploaded by

    Vivek Mathur
    The document outlines the syllabus for an examination on portfolio management services distributors certification. It covers topics like investments, securities markets, stocks, fixed income, derivatives, mutual funds, the role of portfolio managers, portfolio management process, performance evaluation, taxation, and regulatory governance.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 2

    Annexure I – Syllabus Outline

    NISM Series-XXI-A: Portfolio Management Services (PMS) Distributors Certification


    Examination

    The examination seeks to create a common minimum knowledge benchmark for distributors
    of PMS. The certification aims to enhance the quality distribution and related support services
    in the PMS.

    Examination Objectives

    On successful completion of the examination, the candidate should:


     Know the basics of investments, securities markets, investing in stocks, understanding
    fixed income securities, derivatives and mutual funds.
     Understand the role of portfolio managers, operational aspects of portfolio
    management services and about the portfolio management process, performance
    measurement and evaluation of portfolio managers.
     Get oriented to the taxation aspects and regulatory, governance and ethical aspects
    of portfolio managers.

    Assessment Structure

    The examination consists of 80 multiple choice questions and 3 case-based questions. The
    assessment structure is as follows:

    Multiple Choice Questions


    [80 questions of 1 mark each] 80*1 = 80 marks
    3 Case-based Questions
    [2 cases (each case with 5 questions of 1 mark each)] 2*5*1 = 10 marks
    [1 case (with 5 questions of 2 marks each] 1*5*2= 10 marks

    The examination should be completed in 2 hours. The passing score for the examination is 60
    percent. There shall be negative marking of 25 percent of the marks assigned to a question.
    NISM Series-XXI-A: Portfolio Management Services (PMS) Distributors Certification
    Examination

    Syllabus Outline and weightages

    Units Name of Units Marks


    1 Investments 5
    2 Introduction to securities markets 3
    3 Investing in stocks 8
    4 Investing in fixed income securities 8
    5 Derivatives 5
    6 Mutual Funds 5
    7 Role of portfolio managers 13
    8 Operational aspects of portfolio managers 13
    9 Portfolio management process 13
    Performance measurement and evaluation
    10 13
    of portfolio managers
    11 Taxation 5
    Regulatory, governance and ethical
    12 9
    aspects of portfolio managers

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