NISM Series XXIV: AML and CFT Provisions in Securities Markets Certification Examination

Chapter 01: Introduction to Anti Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)(Set A)

Money laundering calculation, layering process, illegal fund integration, AML policy compliance, suspicious activity report, trade-based money laundering, over-invoicing exports, terrorism financing prevention

Read More → Total Questions: 20

Chapter 01: Introduction to Anti Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)(Set B)

FATF risk-based approach, enhanced due diligence, KYC and transaction monitoring, insider trading, smurfing deposits, AML risks, human trafficking proceeds, real estate investment laundering, shell companies laundering, mixed laundering strategies detection

Read More → Total Questions: 20

Chapter 01: Introduction to Anti Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)(Set C)

money laundering techniques, placement stage, layering stage, integration stage, cash deposit structuring, transaction costs impact, insider trading laundering, luxury goods laundering, bribery laundering, laundering calculation, anti-money laundering detection

Read More → Total Questions: 20

Chapter 01: Introduction to Anti Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)(Set D)

Fraud money laundering, Cryptocurrency laundering challenges, Illicit proceeds investment, Real estate laundering, Shell companies laundering, Human trafficking proceeds, Structuring cash deposits, AML detection techniques

Read More → Total Questions: 20

Chapter 02: Prevention of Money Laundering Act, 2002 (PMLA) (Set A)

Prevention of Money Laundering Act, Suspicious Transaction Reporting, Beneficial Ownership, Enforcement Directorate Attachment, Proceeds of Crime Layering, Politically Exposed Persons Compliance, Cooperative Bank Obligations, Financial Intelligence Unit Reporting

Read More → Total Questions: 20

Chapter 02: Prevention of Money Laundering Act, 2002 (PMLA) (Set B)

PMLA compliance actions, Reserve Bank of India Act, chit fund regulation, NBFC transaction reporting, suspicious transaction report, FIU-IND filing timeline, penalty for delayed STR, cooperative bank cash deposit, politically exposed person rules, Deposit Insurance Credit Guarantee Corporation Act compliance

Read More → Total Questions: 20

Chapter 02: Prevention of Money Laundering Act, 2002 (PMLA) (Set C)

Payment system operator liability, Overseas principal definitions, Proceeds of crime transfer, PMLA offence classification, Scope of PMLA investigation, Enforcement powers under PMLA

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Chapter 02: Prevention of Money Laundering Act, 2002 (PMLA) (Set D)

Payment system operator regulations, PMLA definitions, Overseas principal obligations, Layering transaction penalties, Proceeds of crime reporting, Hindu Undivided Family liabilities

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Chapter 03: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (Set A)

Prevention of Money Laundering Rules, Cash transaction reporting, Customer due diligence, Record maintenance requirements, Suspicious transaction reporting, Internal controls compliance

Read More → Total Questions: 20

Chapter 03: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (Set B)

Money laundering rules, cash deposit reporting, customer due diligence, foreign currency donations, suspicious transaction reporting, record maintenance compliance

Read More → Total Questions: 20

Chapter 03: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (Set C)

Prevention of Money Laundering Rules, client due diligence, record maintenance, suspicious transaction reporting, cross-border wire transfer, cash deposit compliance, immovable property purchase, financial institution compliance, transaction monitoring, client transaction pattern

Read More → Total Questions: 20

Chapter 03: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (Set D)

Prevention of Money Laundering Rules, cash deposit reporting, client due diligence, record maintenance obligations, suspicious transaction reporting, financial compliance actions

Read More → Total Questions: 20

Chapter 03: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (Set E)

Prevention of Money Laundering Rules, Cash Deposit Reporting, Suspicious Transaction Reporting, Client Due Diligence, Foreign Currency Transactions, KYC Compliance, Record Maintenance Obligations, Anti-Money Laundering Controls, Transaction Monitoring, Financial Institution Compliance

Read More → Total Questions: 20

Chapter 04: Scheduled Offences (Set A)

PMLA offence classification, Narcotic Drugs Act offences, Money laundering thresholds, Customs duty evasion, IPC section 120B implications, Cross-border money laundering

Read More → Total Questions: 20

Chapter 04: Scheduled Offences (Set B)

Cheating under IPC, Proceeds of crime, Money laundering, PMLA monetary threshold, Schedule Parts A and B, Cross-border transactions, Forgery of security, Habitual dealing in stolen property

Read More → Total Questions: 20

Chapter 04: Scheduled Offences (Set C)

Narcotic Drugs offences, Opium embezzlement, Cannabis contraventions, Psychotropic substances possession, Illicit drug trafficking, PMLA money laundering, Explosive Substances Act, Homemade explosives, UAPA financing, Combined penalties

Read More → Total Questions: 20

Chapter 04: Scheduled Offences (Set D)

Arms Act violations, PMLA monetary threshold, Proceeds of crime, NDPS Act offenses, Cannabis export regulations, Opium cultivation penalties, Psychotropic substance possession, Illicit traffic financing, Combined NDPS punishments, Money laundering prosecution

Read More → Total Questions: 20

Chapter 05: Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) Guidelines (Set A)

PMLA compliance, AML guidelines, terrorism financing, Section 51A UAPA, transaction reporting timelines, FIU-IND reporting, Virtual Digital Asset transactions, Proliferation Financing framework, designated reporting entities, legal actions under UAPA

Read More → Total Questions: 20

Chapter 05: Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) Guidelines (Set B)

AML guidelines compliance, KYC document update, PMLA provisions, Virtual digital asset service provider, High-risk jurisdiction transactions, FATF compliance requirements, Ongoing transaction monitoring, Terrorist financing detection, Fund freezing procedures, Reporting entity obligations, UAPA provisions, Suspicious transaction reporting timeline

Read More → Total Questions: 20

Chapter 06: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) (Set A)

Asset management AML compliance, SEBI regulations AML, Prevention of Money Laundering Act, SEBI AML guidelines, Cash transaction monitoring, Overseas fund transfer reporting, Portfolio manager CDD, Client risk assessment, Inheritance fund verification, Structured transactions detection, Transaction threshold reporting, Stockbroker AML responsibilities

Read More → Total Questions: 20

Chapter 06: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) (Set B)

CDD thresholds discrepancy, SEBI AML compliance, PMLA requirements, transaction aggregation rules, structured cash deposits, ML/TF risk management

Read More → Total Questions: 20

Chapter 06: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) (Set C)

SEBI AML policies, Compliance officer independence, Cash transaction reporting, Suspicious transaction detection, Transaction record retention, PMLA guidelines compliance

Read More → Total Questions: 20

Chapter 06: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) (Set D)

SEBI AML rules, Transaction aggregation, Reporting thresholds, Portfolio manager compliance, FATF non-compliance, SEBI CFT regulations

Read More → Total Questions: 20

Chapter 06: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) (Set E)

Beneficial ownership identification, SEBI AML guidelines, PMLA compliance, Partnership firm ownership, Unincorporated association ownership, Trust beneficial ownership, Verification and due diligence steps, Management control implications, Ownership percentage thresholds

Read More → Total Questions: 20

Chapter 07: SEBI guidelines for KYC norms in Securities Market (Set A)

SEBI KYC guidelines, Proof of Address requirements, PAN verification process, Anti-Money Laundering norms, Digital KYC submission, Legal entity KYC compliance

Read More → Total Questions: 20

Chapter 07: SEBI guidelines for KYC norms in Securities Market (Set B)

SIP investment PAN submission, Income Tax Act implications, SEBI KYC norms, Name change compliance, PAN card verification, Marriage certificate usage, Aadhaar-PAN linkage, KYC document verification, Account activation requirements

Read More → Total Questions: 20

Chapter 07: SEBI guidelines for KYC norms in Securities Market (Set C)

Proof of Address verification, PAN database address discrepancy, SEBI KYC compliance, AML norms, NRI KYC requirements, Foreign document verification, Aadhaar as PoI, Account opening checks

Read More → Total Questions: 20

Chapter 07: SEBI guidelines for KYC norms in Securities Market (Set D)

SEBI KYC norms, PML Rules compliance, Third party verification, Corporate client KYC, PAN and Aadhaar linkage, Income Tax Act compliance, KYC documentation, Regulatory consequences, KYC delays, Client compliance actions

Read More → Total Questions: 20

Chapter 08: Discussion on PMLA related Cases (Set A)

PMLA penalties, Suspicious Transaction Report, AML alerts escalation, Reporting entity obligations, SEBI adverse orders, Investigation compliance

Read More → Total Questions: 20

Chapter 08: Discussion on PMLA related Cases (Set B)

SEBI AML standards, intermediary compliance deadlines, client risk categorization, Principal Officer appointment, FIU intimation delays, suspicious transaction reporting, enhanced due diligence, regulatory violations, SEBI Circular ISD/CIR/RR/AML/1/06

Read More → Total Questions: 20

Chapter 08: Discussion on PMLA related Cases (Set C)

SEBI Principal Officer appointment, FIU intimation timeline, AML client risk categorization, Suspicious transaction monitoring, Regulatory compliance delays, AML policy implementation

Read More → Total Questions: 20

Chapter 08: Discussion on PMLA related Cases (Set D)

SEBI AML guidelines, PMLA provisions, Suspicious Transaction Reports, Risk-based client categorization, Enhanced Due Diligence, AML policy implementation, Regulatory penalties, Compliance risks, SEBI circular compliance, Penalty calculation

Read More → Total Questions: 20

Chapter 08: Discussion on PMLA related Cases (Set E)

AML policy adoption delay, PMLA requirements integration, SEBI AML compliance timeline, client risk categorization, enhanced due diligence deficiencies, suspicious transaction reporting, penalty calculation AML delay, Principal Officer appointment compliance, regulatory compliance impact, internal controls effectiveness

Read More → Total Questions: 20

Numericals From Entire Booklet(Set F)

Bond valuation, Current yield calculation, Yield to Maturity estimation, Break-even analysis, Fixed and variable costs, Sales revenue calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set H)

Degree of operating leverage, Sales increase impact, EBIT calculation, Bond current yield, Yield to maturity estimation, Operating leverage effect

Read More → Total Questions: 20

Numericals From Entire Booklet(Set I)

Break-even analysis, Margin of safety, Fixed and variable costs, Bond current yield, Yield to maturity, Dividend discount model, Gordon Growth Model, Stock valuation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set J)

bond valuation, current yield calculation, yield to maturity estimation, break-even analysis, margin of safety, receivables turnover ratio, collection period calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set K)

Break-even analysis, Margin of safety, Bond current yield, Yield to maturity estimation, Inventory turnover ratio, Days inventory held

Read More → Total Questions: 20

Numericals From Entire Booklet(Set L)

Break-even analysis, Margin of safety, Bond valuation, Current yield calculation, Yield to maturity, Working capital analysis, Current ratio calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set M)

Net working capital, Current liabilities, Current ratio, Contribution margin ratio, Profit calculation, Break-even sales, Margin of safety

Read More → Total Questions: 20

Numericals From Entire Booklet(Set N)

Break-even analysis, Bond valuation, Current yield, Yield to maturity, Degree of operating leverage, EBIT percentage increase

Read More → Total Questions: 20

Numericals From Entire Booklet(Set O)

Bond valuation, Current yield, Yield to maturity estimation, Degree of operating leverage, Cost-volume-profit analysis

Read More → Total Questions: 20

Numericals From Entire Booklet(Set P)

break-even analysis, cost-volume-profit, operating leverage, profit calculation, bond valuation, yield to maturity

Read More → Total Questions: 20

Numericals From Entire Booklet(Set Q)

bond current yield, bond approximate yield to maturity, degree of operating leverage, operating profit calculation, break-even sales value, margin of safety sales value

Read More → Total Questions: 20

Numericals From Entire Booklet(Set R)

Net working capital, Current ratio, Inventory turnover ratio, Inventory holding period, Receivables turnover ratio, Collection period

Read More → Total Questions: 20

Numericals From Entire Booklet(Set R)

Current yield calculation, Receivables turnover ratio, Approximate collection period, Inventory turnover ratio, Inventory holding period

Read More → Total Questions: 20

Numericals From Entire Booklet(Set S)

Receivables turnover ratio, Collection period calculation, Inventory turnover ratio, Inventory holding period, Break-even sales calculation, Margin of safety calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set T)

Degree of operating leverage, Inventory turnover ratio, Inventory holding period, Receivables turnover ratio, Collection period

Read More → Total Questions: 20

Numericals From Entire Booklet(Set U)

Inventory turnover ratio, Inventory holding period, Bond current yield, Yield to maturity, Contribution margin ratio, Break-even sales revenue

Read More → Total Questions: 20

Numericals From Entire Booklet(Set V)

Receivables turnover ratio, Approximate collection period, Bond current yield, Bond yield to maturity, Degree of operating leverage, Operating profit increase

Read More → Total Questions: 20

Numericals From Entire Booklet(Set W)

Operating leverage, Percentage increase in profit, Degree of operating leverage, Sales and costs analysis, Inventory turnover ratio, Inventory holding period calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set X)

Bond valuation, Current yield calculation, Yield to maturity, Receivables turnover ratio, Collection period calculation, Net working capital, Current assets calculation, Current ratio

Read More → Total Questions: 20

Numericals From Entire Booklet(Set Y)

contribution margin calculation, operating profit calculation, operating profit margin percentage, receivables turnover ratio, collection period calculation, inventory turnover ratio, inventory holding period calculation

Read More → Total Questions: 20

Numericals From Entire Booklet(Set Z)

Break-even analysis, Contribution margin, Bond pricing, Current yield calculation, Yield to maturity estimation, Receivables turnover ratio, Collection period calculation

Read More → Total Questions: 20

Practice Set containing questions from all chapters (Set A)

Comprehensive Practice Set

Read More → Total Questions: 39

Practice Set containing questions from all chapters (Set H)

Comprehensive Practice Set

Read More → Total Questions: 39

Practice Set containing questions from all chapters (Set I)

Comprehensive Practice Set

Read More → Total Questions: 39

Practice Set containing questions from all chapters (Set J)

Comprehensive Practice Set

Read More → Total Questions: 39

Practice Set containing questions from all chapters (Set K)

Comprehensive Practice Set

Read More → Total Questions: 39

Practice Set containing questions from all chapters (Set L)

Comprehensive Practice Set

Read More → Total Questions: 39

Set Based on Case Study(Set A)

Financial justification AML compliance, In-house vs outsourcing decisions, Client portfolio monitoring, AML impact operational efficiency, Employee education financial planning, Transaction monitoring role AML, Breakeven analysis AML investment, Financial management AML solutions, Compliance reputation management, Data analytics AML risk assessment

Read More → Total Questions: 10

Set Based on Case Study(Set B)

AML cost analysis, Penalty risk reduction, Financial decision factors, Transaction monitoring strategy, AML risk assessment, AML outsourcing costs, Compliance risk mitigation, Regulatory compliance requirements

Read More → Total Questions: 10

Set Based on Case Study(Set C)

SecureInvest AML compliance, AML monitoring costs, Penalty risk reduction, Financial decision factors, High-risk client management, AML risk assessment integration, AML certification requirements, Regulatory compliance AML/CFT, Employee education benefits, Outsourcing AML costs

Read More → Total Questions: 10

Set Based on Case Study(Set D)

AML transaction volume, Digital KYC integration, Employee training costs, Regulatory reporting requirements, AML operational costs, Penalty cost estimation, Financial decision-making, Staff training impact, System cost analysis, Cost-benefit analysis

Read More → Total Questions: 10

Set Based on Case Study(Set E)

Penalty risk reduction, AML system cost analysis, High-risk client monitoring, KYC and transaction data integration, AML system cost over 5 years, Outsourcing AML services cost, AML regulatory compliance, Employee education in AML, In-house AML total cost, Outsourcing AML total cost

Read More → Total Questions: 10

Set Based on Case Study(Set G)

AML system costs, Penalty risks and costs, Expected penalty savings, Transaction volume analysis, Financial impact comparison, AML risk assessment integration, Cost components of AML, Employee education in AML, Social consequences of money laundering, AML financial cost-effectiveness

Read More → Total Questions: 10