NISM-Series-XXI-A:

Portfolio Management Services

(PMS) Distribuation Certification

Mode of Delivery: Online Live Interactive + Online Self-paced Learning*

www.icapitalacademy.com

CADEMY

C PITAL

The NISM-Series-XXI-A: Portfolio Management Services (PMS) Distributors

Certification Examination is a mandatory qualification for professionals involved

in distributing PMS

The certification is designed to establish a standardized knowledge benchmark

 for PMS distributors, ensuring high-quality distribution practices and enhanced

 investor support within the portfolio management domain.

Upon successful completion of the training, candidates will:

 Develop a Strong Foundation in Investments:

 Gain an understanding of the basic concepts of investments, securities markets,

 & key financial instruments, including stocks, bonds, mutual funds, and derivatives.

Master Portfolio Management Services (PMS):

 Learn about the operational aspects of PMS, the responsibilities of portfolio

 managers, and the process of managing and evaluating investment portfolios

 to meet diverse client needs.

Understand Risk and Performance Measurement:

 Acquire skills in asset allocation, risk-return trade-offs, performance benchmarking,

 and advanced evaluation metrics to assess the effectiveness of portfolio strategies.

Gain Insights into Taxation and Regulations:

 Become familiar with taxation aspects related to portfolio management, along with

 regulatory frameworks, ethical standards, and governance requirements for PMS

 distributors and managers.

Study Materials :

 Recording available of online live sessions (for 90 days)

 PPTs (700+ slides) & Excel sheets.

 800+ MCQs & 15+ Case studies with explanation

 Quick revision summary note

 Career Guidance/Counseling

Duration :- 24 Hours

Assessment Details:

100 Multiple Choice Questions

 o 80 multiple-choice questions of 1 mark each (80 marks).

 o 3 case-based questions having 15 multiple-choice sub-questions (20 marks).

Total Marks: 100

Duration: 2 Hours

Passing Score: 60%

Negative Marking: 25% of marks assigned per incorrect answer

Certificate Validity: 3 years

* Online Self-paced contents access will be provided for 90 days to the Register Candidates only.

 ICAPITAL ACADEMY & CORPORATE ADVISORY LLP :

The Institute is Leading Excellence in Financial Education and Advisory Services

Since its establishment in October 2020, ICAPITAL Academy has become a premier

institution in financial education and professional advisory services. We specialize in

delivering NISM certification programs and Financial Market training through versatile

formats, including online, self-paced, and classroom courses, tailored to diverse

learning preferences and professional aspirations

Our comprehensive educational offerings span finance, securities markets, and allied

domains, providing participants with a robust understanding of the financial ecosystem.

Through our coaching centers and innovative learning platforms, we deliver a holistic

educational experience, empowering individuals with the skills and insights to succeed

in competitive financial landscapes.

ICAPITAL Academy also excels in corporate training and human resource development,

designing bespoke programs that enhance workforce competency & organizational

growth. Our services aim to equip teams with the tools needed that enhance workforce

competency to navigate complex financial markets confidently

In advisory services, we are recognized for our expertise in financial research, project

finance, personal finance, and loan syndication. Acting as a critical bridge between

clients and financial institutions, we assist in marketing financial products, managing

project appraisals, and facilitating structured debt syndication. Additionally we provide

strategic guidance on debt restructuring and corporate financial planning fostering

sustainable success for our clients.

Expanding both domestically and globally, ICAPITAL Academy aims to become a

leader in financial knowledge dissemination. Our specialized job-oriented courses,

coveringareas such as Financial Modeling, Stock Market, Derivatives, Forex,

Technical Fundamental Analysis, and Mutual Funds are meticulously designed to

 prepare and participants for industry demands.

At ICAPITAL Academy, we prioritize quality education delivered by industry experts,

enabling informed investment decisions and professional excellence. Our commitment

to innovation and expertise positions us as a catalyst for growth in the ever-evolving

financial world.

About NISM :

NISM Certification

Under SEBI regulations, NISM provides:

• Mandatory certification for securities market intermediaries.

• Continuing Professional Education (CPE) for certificate renewal.

Certificates are valid for three years and can be renewed by passing the relevant

exam or completing a one-day CPE program within 12 months of expiry.

The National Institute of Securities Markets (NISM), established by SEBI in 2006

enhances securities market standards through capacity building initiatives.It offers

29 SEBI-mandated and voluntary certifications across 250+ test centers and

manages six schools of excellence.

Test Objectives :

Course Details:

Upon passing the examination, candidates will:

• Develop a Strong Foundation in Investments:

 Gain an understanding of the basic concepts of investments, securities markets,

 and key financial instruments, including stocks, bonds, mutual funds, & derivatives.

• Master Portfolio Management Services (PMS):

 Learn about the operational aspects of PMS, the responsibilities of portfolio

 managers, and the process of managing and evaluating investment portfolios

 to meet diverse client needs.

• Understand Risk and Performance Measurement:

 Acquire skills in asset allocation, risk-return trade-offs, performance benchmarking,

 and advanced evaluation metrics to assess the effectiveness of portfolio strategies.

• Gain Insights into Taxation and Regulations:

 Become familiar with taxation aspects related to portfolio management, along with

 regulatory frameworks, ethical standards, and governance requirements for PMS

 distributors and managers.

• Duration: 24 Hours

• NISM exam registration fees not included in the above mention Course Fee.

• PPTs (700+ Slides), 800+ MCQs and 15+ Case Studies for practice (mock exams

 & mock paper shared for self-practice).

• Sessions would cover doubt solving from the Mock Exams.

• Online Interactive Session for the practice on software’s required in particular module

Eligibility :

The NISM-Series-XXI-A: Portfolio Management Services (PMS)

Distributors Certification Examination is suitable for:

 Associated Professionals:

 Aspiring Individuals:

• Distributors and advisors working with portfolio management services.

• Employees of SEBI-registered entities involved in PMS distribution & compliance

 activities.

• Professionals responsible for client onboarding, fund evaluation, & investor portfolio

 administration in the PMS domain.

• Undergraduate or postgraduate students with an interest in portfolio management &

 financial markets.

• Wealth managers, financial advisors, & portfolio analysts seeking to enhance their

 expertise in PMS distribution.

• Professionals aiming to deepen their understanding of taxation, regulatory compliance,

 and performance evaluation in the portfolio management industry.

NISM-Series-XXI-A: Portfolio Management Services (PMS) Distributors

Certification

Curriculum Overview:

Understand the objectives and channels of investments, along with the distinction

between investment and speculation.

Learn about the structure of securities markets, market participants, and the

activities within primary and secondary markets.

Unit I: Investment Landscape

Unit II: Introduction to Securities Markets

Unit III: Investing in Stocks

Unit IV: Investing in Fixed Income Securities

Explore the risks and rewards of equity investments, stock selection strategies,

and corporate governance principles.

Develop skills to analyze and value bonds, understand their characteristics, and

assess price volatility

Understand the purpose, types, and underlying concepts of derivatives, including

commodity and currency futures and options

Gain insights into mutual fund operations, performance measures, SEBI regulations,

and the benefits of investing through mutual funds.

Learn about the responsibilities and organizational structure of portfolio managers, and

the types of PMS offered in India.

Study client onboarding, disclosure norms, investment costs, grievance redressal, and

regulatory reporting.

Understand strategic & tactical asset allocation, portfolio rebalancing,&the correlation

across asset classes.

Learn advanced techniques in risk-return metrics, benchmarking, peer analysis, and

the Global Investment Performance Standards (GIPS).

Study the taxation of income streams and investors in PMS, along with implications of

Section 9A of the Income Tax Act.

Understand key SEBI regulations, governance practices, & ethical principles applicable

to portfolio managers and PMS distributors.

Unit V: Derivatives

Unit VI: Mutual Funds

Unit VII: Role of Portfolio Managers

Unit VIII: Operational Aspects of Portfolio Managers

Unit IX: Portfolio Management Process

Unit X: Performance Measurement and Evaluation

Unit XI: Taxation

Unit XII: Regulatory, Governance, and Ethical Aspects

Faculty/Trainer∞:

https://www.linkedin.com/in/analystamit/

Mr. Amit Gupta

MS Finance, MMS Finance (NIT), MBA Project Mgmt(SMU),

CCRA™, AIM®, BE(Electrical, Govt. College), Passed CFP &

CWM, Dip T&D (ISTD, New Delhi).

 Amit is a seasoned financial professional with over 20 years+ of expertise in the Indian

capital markets, specializing in Equity Research, Financial Modeling, Stock Trading &

Risk Management, Business, Wealth management,and Investment Advisory. Renowned

for a strong track record of excellence, he has delivered impactful results across diverse

financial domains. He worked as the Principal Officerat a leading Portfolio Management

Services (PMS) firm in Mumbai he combines industry expertise with academic rigor. He

worked in middle management positions with leading corporates like ICICI Securities Ltd,

ISE India, Financial Technologies (I) Ltd, and Standard Chartered Securities Ltd.Defining,

executing and delivering the analytical solution to business problems.

He brings extensive teaching experience, conducting courses in financial modeling,

valuation, corporate finance, fundamental analysis, and portfolio management. With

a robust academic foundation, he holds advanced certifications, including an MS in

Finance (CFA Charter holder pathway, ICFAI), MMS in Finance (NIT), CCRA™, AIM®,

and a Bachelor of Engineering in Electrical Engineering from MBM Er. College ( govt.)

Jodhpur. He passed CFP, CWM certification examination .He holds Post Graduate

Diploma in Training and Development (ISTD, New Delhi)

∞ : A trainer for a specific training course may be changed without prior notice.

Registration & Fee Payment:

Payment:

(1) Scan the QR Code:

(2) Transfer to a bank account:

ICAPITAL ACADEMY AND CORPORATE ADVISORY LLP

GSTIN- 27AAIFI3809D1ZJ

HDFC Current Account No. 50200054026244

IFSC- HDFC0000540

Branch: HDFC Bank, Sector-17, Vashi, Navi Mumbai

 Name of Module: NISM-Series-XXI-A: Portfolio Management Services (PMS)

 Distributors Certification

 Call us for an Individual and Customized Corporate Training

 For more information please +91 9967813782, +91 9004459173

 training@icapitalacademy.com, amitg@icapitaltrainings.com

 https://wa.me/+919967813782

Disclaimer

Refund Policy

Registration Fees paid by the candidate shall not be refunded under any circumstances after the classes have

commenced.

In case the registered candidate wishes to cancel the registration for the program, the candidate shall intimate

ICAPITAL Academy via a written request or Email within 3 working days prior to the commencement of the

program. Once the request has been approved by ICAPITAL Academy the candidate will be refunded 90% of

the total course fees paid for the respective program.

^ ICAPITAL Academy reserves the right to change or modify the class date/ time due to certain exigencies

The content provided in this program/course is for educational and informational purposes only. ICAPITAL

Academy & Corporate Advisory LLP does not provide financial, legal, or investment advice. Participants are

encouraged to consult qualified financial advisors before making any investment decisions.

While all reasonable efforts have been made to ensure accuracy and completeness of the material, ICAPITAL

Academy does not guarantee or warrant the reliability, accuracy, or completeness of the information presented.

The program/course does not ensure success in examinations, certifications, or job placement.

The financial markets are subject to risks, and past performance is not indicative of future results. Participants

are responsible for their own investment and financial decisions.

Terms & Conditions

1. Enrollment and Fees

o Enrollment is confirmed only upon receipt of the full course fee.

o The course fee is non-refundable under any circumstances, except where explicitly stated.

o NISM certification examination registration fees are not included in the course fee.

2. Course Access

3. Participation

o Participants must attend sessions regularly and adhere to the schedule.

o ICAPITAL Academy reserves the right to reschedule or cancel sessions with prior notice.

4. Certification

o Completion of this program/course does not guarantee passing the NISM certification exam. Participants

 must register independently for the exam through NISM.

5. Liability

o ICAPITAL Academy is not liable for any direct, indirect, or incidental loss or damage resulting from

 reliance on the course material or participation in the program.

o Participants acknowledge that the financial markets involve risks, and they are solely responsible

 for their investment decisions.

6. Code of Conduct

o Participants are expected to maintain a professional demeanor during sessions. Any disruptive

 behavior may result in removal from the program without refund.

7. Amendments

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