NISM Series III-C: Securities Intermediaries Compliance Fund

Name: NISM Series III-C: Securities Intermediaries Compliance Fund
Rating: 4.5 (9 reviews)

Comprehensive preparation for the NISM Series III-C Certification covering core syllabus.

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Created byTaghash Learning

Last updated 7/2026

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What you'll learn

Understand how India's financial system and securities markets are structured.
Learn the role of SEBI, compliance professionals, and other market regulators.
Develop a clear understanding of compliance functions and regulatory responsibilities.
Learn the provisions relating to Mutual Funds, AIFs, InvITs, and REITs.
Understand AML, KYC, FEMA, Insider Trading, and Investor Protection frameworks.
Build a strong conceptual foundation for the NISM Series III-C Certification Examination.

Course content

1 section • 19 lectures • 1h 49m total length

Introduction2:13
Understanding the Financial System6:09
Chapter Covered: Chapter 1 – Introduction to the Financial System
Gain a foundational understanding of how the financial system supports the movement of capital across the economy. This module introduces the key participants, institutions, and instruments that form the backbone of securities markets and financial intermediation.
India's Regulatory Framework6:50
Chapter Covered: Chapter 2 – Regulatory Framework – General View
Explore the regulatory architecture governing India's financial markets. Understand the roles of key regulators and authorities responsible for maintaining market integrity, investor protection, and financial stability.
The Compliance Function6:05
Chapter Covered: Chapter 3 – Introduction to Compliance
Learn the purpose of compliance within financial institutions and securities markets. This module introduces governance structures, fiduciary responsibilities, and the role of compliance professionals in maintaining regulatory adherence.
SEBI and Market Oversight6:12
Chapter Covered: Chapter 4 – SEBI Act, 1992
Understand the foundation of securities regulation in India through the SEBI Act, 1992. Learn how SEBI exercises its powers to regulate market participants, enforce compliance, and protect investor interests.
Market Regulation Framework5:42
Chapter Covered: Chapter 5 – Securities Contracts (Regulation) Act, 1956 & Securities Contracts (Regulation) Rules, 1957
Examine the legal framework governing securities contracts and market operations. This module explains how regulations support fair trading practices and the orderly functioning of securities markets.
Intermediaries and Regulatory Compliance6:26
Chapter Covered: Chapter 6 – SEBI (Intermediaries) Regulations, 2008
Understand the registration, oversight, and compliance requirements applicable to securities market intermediaries. Learn the principles that govern market access, inspections, and ongoing regulatory obligations.
Insider Trading and Market Conduct6:15
Chapters Covered:
Chapter 7 – SEBI (Prohibition of Insider Trading) Regulations
Chapter 8 – SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations
Explore the regulatory framework designed to prevent insider trading, market manipulation, and unfair trading practices. Understand how market integrity is maintained through conduct-based regulations.
AML, KYC and Investor Due Diligence6:22
Chapters Covered:
Chapter 9 – Prevention of Money Laundering Act, 2002
Chapter 10 – SEBI (KYC Registration Agency) Regulations, 2011
Learn the importance of anti-money laundering controls, investor identification, and due diligence processes within financial markets. Understand the frameworks that support transparency and risk mitigation.
Foreign Investments and Depository Ecosystem6:39
Chapters Covered:
Chapter 11 – SEBI (Foreign Portfolio Investors) Regulations, 2019
Chapter 12 – Foreign Exchange Management Act (FEMA)
Chapter 13 – SEBI (Depositories) Act, 1996
Develop an understanding of foreign investment participation, cross-border regulatory requirements, and the infrastructure supporting securities ownership and settlement in India
Understanding the Mutual Fund Ecosystem5:49
Chapter Covered: Chapter 14 – SEBI (Mutual Fund) Regulations
Explore the structure of the mutual fund industry, the roles of key stakeholders, and the framework through which pooled investments are managed on behalf of investors.
Mutual Fund Operations5:28
Chapter Covered: Chapter 14 – SEBI (Mutual Fund) Regulations
Understand how mutual fund schemes operate, including investment objectives, redemption processes, disclosures, and reporting requirements that support investor transparency.
Mutual Fund Governance and Compliance5:27
Chapter Covered: Chapter 14 – SEBI (Mutual Fund) Regulations
Examine the governance, risk management, and compliance framework applicable to mutual funds. Learn how investor interests are protected through regulatory oversight and operational controls.
Understanding Alternative Investment Funds (AIFs)5:18
Chapter Covered: Chapter 15 – SEBI (Alternative Investment Funds) Regulations
Gain an introduction to the Alternative Investment Fund ecosystem, including its structure, participants, and role within the broader investment landscape.
AIF Strategies and Compliance5:51
Chapter Covered: Chapter 15 – SEBI (Alternative Investment Funds) Regulations
Explore the different categories of AIFs, their investment approaches, and the compliance obligations that govern their operations and reporting requirements.
Understanding Infrastructure Investment Trusts (InvITs)5:45
Chapter Covered: Chapter 16 – SEBI (Infrastructure Investment Trusts) Regulations
Learn how InvITs enable investors to participate in infrastructure assets through a regulated investment structure. Understand the key stakeholders and operational framework involved.
InvIT Operations and Compliance5:46
Chapter Covered: Chapter 16 – SEBI (Infrastructure Investment Trusts) Regulations
Understand the operational, valuation, fundraising, and compliance requirements applicable to Infrastructure Investment Trusts and their ongoing regulatory obligations.
Understanding Real Estate Investment Trusts (REITs)5:30
Chapter Covered: Chapter 17 – SEBI (Real Estate Investment Trusts) Regulations
Explore the structure of REITs and understand how they provide investors with access to income-generating real estate assets through a regulated investment vehicle.
REIT Operations and Compliance5:53
Chapter Covered: Chapter 17 – SEBI (Real Estate Investment Trusts) Regulations
Examine the governance, disclosure, valuation, and reporting requirements applicable to REITs, along with the compliance framework supporting their continued operation.

Requirements

No prior compliance experience is required.
A basic understanding of financial markets will be beneficial but is not mandatory.
This course is suitable for learners preparing for the NISM Series III-C Certification Examination as well as professionals seeking to strengthen their knowledge of securities market regulations.

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