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NISM-10A (Certificate In Investment Advisory)
Created by
Zeal Doshi
Categories
Personal Finance
Overview
Curriculum
Instructor
FAQs
NISM Series X-A, or NISM 10-A, is a certification exam offered by the National Institute of Securities Markets (NISM) in India. This exam is officially titled the NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination. It is designed for individuals who wish to work as investment advisers or those who are already providing investment advice and need to meet regulatory requirements.
Who Should Take the NISM 10-A Exam?
- Aspiring Investment Advisers: Individuals who want to start a career as investment advisers.
- Existing Investment Advisers: Professionals already in the field who need to meet regulatory requirements.
- Financial Planners: Professionals who provide comprehensive financial planning services and want to expand into investment advisory.
- Banking and Financial Services Employees: Those working in banks or financial institutions who wish to offer investment advice.
- Students and Graduates: Individuals looking to enter the financial services industry with a focus on investment advisory.
- Course Structure
I. PERSONAL FINANCIAL PLANNING
- Introduction to Personal Financial Planning
- Time Value of Money
- Evaluating the Financial Position of Clients
- Debt Management and Loans
II. INDIAN FINANCIAL MARKETS
- Introduction to the Indian Financial Markets
- Securities Market Segments
III. INVESTMENT PRODUCTS
- Introduction to Investment
- Investing in Stocks
- Investing in Fixed Income Securities
- Understanding Derivatives
IV. INVESTMENT THROUGH MANAGED PORTFOLIO
- Mutual Funds
- Portfolio Manager
- Overview of Alternative Investment Funds (AIFs)
V. PORTFOLIO CONSTRUCTION, PERFORMANCE MONITORING, AND EVALUATION
- Introduction to Modern Portfolio Theory
- Portfolio Construction Process
- Portfolio Performance Measurement and Evaluation
VI. OPERATIONS, REGULATORY ENVIRONMENT, COMPLIANCE, AND ETHICS
- Operational Aspects of Investment Management
- Key Regulations
- Ethical Issues
- Grievance Redress Mechanism
About the Instructor
Zeal Doshi
Passionate about public speaking right since her school days, Ms. Zeal has built a career in public speaking as a Finance faculty and corporate trainer.
Being a Certified Financial Planner & CFA level 2 candidate, she specializes in topics related to the Investments, Taxation & Portfolio Management.
Over the past 4 years, she has trained over 300 CFP® aspirants.
She runs her practice in Mumbai by the name Zenith Finserve, which specializes in personal finance management.
What is the NISM 10A certification exam?
The NISM 10A certification exam is designed for individuals who want to work as investment advisers or need to meet regulatory requirements for providing investment advice.
Who should take the NISM 10A certification exam?
This exam is suitable for aspiring investment advisers, existing professionals in the field, financial planners, bank employees, and students or graduates interested in investment advisory.
What topics are covered in the NISM 10A certification exam?
The exam covers basics of investment advisory, regulatory environment, financial planning, investment products, client interaction, and ethical practices.
What are the benefits of taking the NISM 10A certification exam?
Passing the NISM 10A exam qualifies you to work as an investment adviser, enhances your knowledge of financial products and planning, and helps you comply with industry regulations.
How can I prepare for the NISM 10A certification exam?
You can prepare by studying the prescribed materials, enrolling in a video course (like the one offered here), and practicing with sample questions and mock exams.
How is the NISM 10A certification exam structured?
The exam consists of 100 multiple-choice questions, with a total duration of 2 hours. A passing score is typically set at 60%, and there is no negative marking for incorrect answers.
What is the validity of the NISM 10A certification?
The NISM 10A certification is valid for three years. After this period, you need to complete a Continuing Professional Education (CPE) program or retake the exam to renew the certification.
Where can I take the NISM 10A certification exam?
The exam is conducted at NISM-accredited test centers across India. You can register for the exam online through the NISM website.
What are the fees for the NISM 10A certification exam?
The fees for the NISM 10A certification exam typically range around INR 1500. For the most accurate information, please check the official NISM website.
What study materials are available for the NISM 10A certification exam?
Study materials, including the official NISM workbook, are available online. Our video course offers comprehensive coverage of all exam topics, along with practice questions and exam strategies.
