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NISM Series II: A: Registrars and Transfer Agents (Corporate) Certification and NISM II A Question Bank details

Examination Objectives

The examination objectives for the NISM Series II A – Registrars to an Issue and Share Transfer Agents (Corporate) exam include:

• Understanding the regulatory framework: Comprehending the legal and regulatory requirements governing the operations of Registrars to an Issue and Share Transfer Agents (R&T agents) in the corporate sector.
• Knowledge of operational processes: Acquiring proficiency in the operational procedures involved in issue management, share transfer services, and related activities within the corporate sector.
• Familiarity with investor services: Understanding the various services provided to investors, including handling queries, complaints, and other investor-related activities efficiently.
• Compliance and governance: Ensuring adherence to compliance standards and governance principles relevant to the functioning of Registrars to an Issue and Share Transfer Agents (R&T agents) in the corporate domain.
• Risk management: Identifying and mitigating risks associated with the operations of Registrars to an Issue and Share Transfer Agents (R&T agents) to ensure smooth functioning and safeguarding of investor interests.

Assessment Structure

The NISM Series II A: Registrars and Transfer Agents (Corporate) Certification (NISM Series II A: RTA Examination) will have a total of 100 marks, with 100 questions, each carrying a weight of 1 mark. Candidates are allotted 2 hours to complete the exam. Negative marking of 25% of the marks assigned to each question will be applied for incorrect answers. The passing score for the examination is set at 50%.

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