Internal Auditors For Stock Brokers Certification Examination Overview


While carrying out Auditing and Compliances related activities for the stock broker, Auditor is also expected to adhere to various pronouncements issued by Institute of Chartered Accountants of India (ICAI) and the guidance, procedures, and requirements prescribed in applicable statutes under which these activities are being carried out.

(8143575575) Monday – Friday, 6 am – 8 pm Weekend Batches Also Available 

Opp: RS Brothers, KPHB Main Road, Kukatpally, Hyderabad, Telangana 500072

(8143575575) Monday – Friday, 6 am – 8 pm Weekend Batches Also Available 

What are the course objectives?
  • Know regulatory framework under which the stock brokers perform their various activities.
  • Understand the various operations performed by the Stock brokers
  • Understand the various compliance and reporting requirements from audit perspective
Course Fees ?

Name of Examination: NISM Series-XIV: Internal Auditors for Stock Brokers Certification Examination

Fees (Rs.) Test Duration (in minutes) No. of Questions Maximum Marks Pass Marks* (%) Certificate # Validity (in years)
1770+ 120 100 100 60 3

*: Negative marking – 25% of the marks assigned to the question

# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

Who will benefit from this course ?
  •  To ascertain whether any circumstances exist which would render the intermediary unfit or ineligible for dealing in the securities market.
  • To ascertain whether the provisions of the securities laws and the directions and/or circulars issued there under by SEBI/Exchange been complied with
  • To ascertain, whether the provision of Bye-laws, notices, circulars, instructions or orders issued by stock exchanges have been complied with

Our Training Features

Online Classes





Job Assurence

Our Students Testimonials


This course will be providing me good knowledge about the accounting concepts. Also, it will be giving be exposure to the practical as well as the theoretical aspect of accounting as a whole.



This course will be giving me all the required knowledge in accounts domain and will be helping me to make my career in the accounting profile.



I have joined this course to have a deep knowledge in accounting domain, and I am getting my knowledge enhanced here. It has been a good experienced till now.

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