Securities Operations Risk Management

Offered By  Centre for Investment Education and Learning
Securities Operations Risk Management image
About Centre for Investment Education and Learning


Duration: 4 Weeks

Commitment: 2-3 Hours/Week



Course Format

Online Self-paced

What will you learn


About this Course

The Securities Operations Risk Management (SORM) course has been designed as per the curriculum mandated by NISM for the Mutual Fund Distributor Series VII Examination. The course covers different aspects related to the Securities Market, Market Participants, Broking Operations, Risk Management, Clearing Process, Settlement Process, Investor Grievances, Arbitration and other services provided by Brokers.

The course comprises of an online voice enabled module which has interactive exercises after each lesson that helps you to revise the concepts learned in that lesson.



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Who would benefit?

  • Anyone who is attempting to take up the NISM-Series-VII: Securities Operations and Risk Management Certification Examination. This examination is a mandatory certification for individuals associated with a registered stock-broker/trading member/clearing member in recognised stock exchanges who are involved in::
    (a) Assets or funds of investor or clients
    (b) Redressal of investor grievances
    (c) Internal control or risk management
    (d) Activities having a bearing on operational risk
  • Graduate and post graduate students, and job seekers in the broking operations space

Course Syllabus

This course comprises the following modules:



This course does not have any prerequisites with respect to the domain/subject being addressed.


About Certification




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