• Version August 2021
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• Create Date August 12, 2020
• Last Updated January 14, 2022

NISM Series XIV Internal Auditors for Stock Brokers Workbook Free PDF Download

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Internal Auditors for Stock Brokers. NISM Series XIV : Internal Auditors for Stock Brokers Certification Examination seeks to create a common minimum knowledge benchmark for Independent Chartered Accountants, Company Secretaries and Management Accountants, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members.

The book covers the various operations of stock brokers, regulatory framework under which the stock brokers perform their various activities and various compliance and reporting requirements from audit perspective.

Edition: August 2021

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