

🎓 Subscribe for Free Classes & Book Reviews
Subscribe on YouTubeFormat |
Printed Books |
Book Language |
English |
Faculty Name |
National Institute of Securities Markets (NISM) |
Package Details |
Jan 2026 Edition. Securities Intermediaries Compliance (Fund) is the NISM-Series-III-C workbook—published by Taxmann in its January 2026 edition—that defines the minimum knowledge benchmark for the compliance function at SEBI-registered fund-based intermediaries, including Mutual Funds, AIFs, InvITs, and REITs. It does double duty as both the prescribed examination text and a standalone desk compendium of the statutes, regulations, codes of conduct, and SEBI frameworks a Compliance Officer actually relies on—read throughout through one consistent lens: the Officer's obligations, independence, and reporting duties, never as abstract law. Across two parts and seventeen chapters, Part A builds the regulatory foundation (financial system, regulators, core securities statutes, conduct rules, AML, KYC, and cross-border regulation) and Part B covers the four product-specific regimes in turn. With a uniform chapter design of Learning Objectives, numbered sections, and chapter-end review questions, it serves equally for clearing the exam and for day-to-day compliance work. Paperback Book. |
Item Code |
9789375615743 |
Exams |
PROFESSIONAL BOOKS |
Delivery |
Home Delivery within 7-10 days from the date of Payment Confirmation. |
Brand |
Taxmann |
Securities Intermediaries Compliance (Fund) NISM - Book By Taxmann
Edition : 2026
Securities Intermediaries Compliance (Fund) by NISM sets out the minimum common knowledge benchmark for persons discharging the compliance function at SEBI-registered fund-based intermediaries—Mutual Funds, Alternative Investment Funds (AIFs), Infrastructure Investment Trusts (InvITs), and Real Estate Investment Trusts (REITs).
The workbook is designed to serve two purposes. It is the prescribed preparatory text for the NISM-Series-III-C examination, and it stands on its own as a working compendium of the statutes, regulations, codes of conduct, and SEBI frameworks that a Compliance Officer in a fund-based intermediary consults in practice. Its distinctive approach is the lens it applies throughout: every statute and regulation is read from the standpoint of the Compliance Officer's obligations, independence, and reporting duties, rather than as abstract law. It thereby traces the full regulatory perimeter—from the architecture of the Indian financial system and the foundational securities legislation down to the four product-specific regimes—within a single, examination-aligned reference.
This book is intended for the following audience:
The Present Publication is the January 2026 Workbook Version, developed in collaboration with the NISM Certification Team and Vatsalya Advisory Services LLP (Designated Partner, Mr. B. Renganathan). It is published exclusively by Taxmann, with the following noteworthy features:
The coverage of the book is as follows:
The book is organised into two parts spanning seventeen chapters, each following a uniform internal architecture.
USE COUPON : DIS10
* valid on selected products