Compliance Officers (Brokers) Module

Why should one take this course?

  • To understand the statutes pertaining to the securities market.
  • To learn about the rules, regulations and bye-laws of the exchanges.
  • To understand the SEBI guidelines.

Who will benefit from this course?

  • Compliance Officers
  • Students of Law colleges
  • Candidates interested in making their career as compliance officers/legal officers in the securities market

Test details

Duration: 120 minutes

No. of questions: 60

Maximum marks: 100, Passing marks: 60 (60%); There is negative marking for incorrect answers.

Certificate validity: For successful candidates, certificates are valid for 5 years from the test date.


1,500/- (Rupees One Thousand Five Hundred Only).


Course Outline : Compliance Officers (Brokers) Module (.pdf)

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