What is the Compliance Module?

AdminG2 is Flipick's LMS admin interface. The Compliance Module gives CCOs at SEBI-regulated firms a single dashboard to track NISM certifications, verify certificates, manage CPE windows, generate board reports, and export SEBI audit snapshots.

Which NISM series does the compliance module track?

The module tracks all 28+ NISM series mandated by SEBI under CAPSM Regulations 2007, including V-A, V-D (new Jul 2026), VIII, X-A, X-B, XIII, and XV.

Can the platform generate SEBI audit-ready exports?

Yes. The SEBI Audit Export screen generates a point-in-time compliance snapshot as PDF and/or Excel with PAN masking and immutable audit logs.

Compliance Module - Mock Screen

📋

Regulatory Update — SEBI Circular 21 Jul 2026: New NISM Series V-D (MF–SIF Distributors) is now mandatory for SIF product distribution. NISM Series XIII requirement ended 21 Sep 2026. 7 employees on your MF Desk who distribute SIF products require V-D certification or are in transition. Review affected employees →

Compliance Health

81%

247 total employees
200 fully compliant
47 require attention

Expiry Risk

11

expiring ≤ 30 days
29 expiring ≤ 90 days
6 currently expired

Verification Queue

14

pending review
4 overdue (>48h)
22 approved this week

CPE Window

58

in CPE window (≤365d)
31 enrolled in CPE
27 no action taken

📅 Expiry Heatmap — 12-Month Forward Click month to drill in

Oct ★

9

Current

Nov

7

Medium

Dec

13

High

Jan

4

Low

Feb

6

Medium

Mar

24

Critical

Apr

3

Low

May

8

Medium

Jun

2

Low

Jul

11

High

Aug

5

Low

Sep

9

Medium

Legend: ≤5 Low 6–10 Medium 11–20 High 21+ Critical

🏢 Department Drill-Down

Department	Emp	✓	Risk	Exp
Equity Research	42	37	4	1
Mutual Funds Desk ⚠ V-D transition: 7	68	51	13	4
Derivatives	31	28	2	1
Wealth Management	56	43	9	4
Research & Advisory	28	27	1	0
Distribution	22	14	6	2

⚡ Action Centre

Type	Employee	Series	Priority	Age
NEW_SERIES	Arjun Mehta MF Desk · ARN-48821 · SIF	NISM V-D New	High	SEBI deadline lapsed
VERIFY_CERT	Priya Sharma Wealth Mgmt	NISM X-A	High	5d — Escalated L2
VERIFY_CERT	Rahul Nair Distribution	NISM VIII	Medium	38h
CPE_REMINDER	Sunita Verma Equity Research	NISM XV	Low	12h
VERIFY_CERT	Vikram Joshi MF Desk · ARN-91223	NISM V-A	Medium	29h

Showing 5 of 14 ·

Arjun Mehta

Overdue

NISM V-D · New Cert · MF Desk (SIF)

Rahul Nair

NISM VIII · Cert #NSE-EQ-99312 · Distribution

Vikram Joshi

NISM V-A · Cert #NSE-MFD-77631 · MF Desk

Kavitha Rajan

NISM X-B · Cert #NSE-IA-44209 · Research

Deepak Pillai

NISM V-A · Cert #NSE-MFD-55102 · MF Desk

+ 9 more items

Arjun Mehta

NISM V-D — New Series ⏱ Overdue 71h

MF Distribution Desk (SIF-authorised) · ARN: 48821 · Submitted 17 Oct 2026, 10:22 AM

ℹ

First submission of NISM Series V-D for this employee. Replaces both NISM V-A and XIII for SIF distribution per SEBI Circular 21 Jul 2026. Verify against NISM registry before approving.

📄

NISM_VD_Certificate_Mehta_2026.pdf

Signed URL · 1.8 MB · Scanned by VirusTotal ✓

Parsed Fields — 1 low-confidence field flagged

Certificate Number

NSE-VD-10284

⚠ Issue Date 78% confidence

12 Oct 2026

Expiry Date

11 Oct 2029

Series

NISM V-D

Exam Score

71.0%

Exam Date

05 Oct 2026

My Certifications

🆕

NISM V-D — MF & SIF Distributors New

📅 Expires 11 Oct 2029Pending verificationCert #NSE-VD-10284

Pending Verify

📜

NISM V-A — Mutual Fund Distributor (retained during V-D transition)

📅 Expires 14 Nov 2027391 days leftCert #NSE-MFD-48821

Compliant

📜

NISM XIII — Common Derivatives (superseded from 21 Sep 2026)

Was valid until 22 Aug 2027No longer required for SIF

Superseded

📚 CPE Tracker — NISM V-A

Credits earned: 11.5 / 15 In Progress

⚠ Processing lag: Credits submitted >7 days ago may not yet appear. NISM CPE Portal →

🔗 DigiLocker

✓

Linked & Synced

Last sync: 18 Oct 2026, 11:32 PM

🔔 Notification History

✓

V-D certificate submitted — pending CO review

📧 In-App · 17 Oct 2026, 10:22 AM · Under Review

✓

New regulatory requirement — NISM V-D mandatory for SIF distribution

📧 Email + SMS · 22 Jul 2026 · Acknowledged

👁

CPE window reminder — NISM V-A (15 credits required)

📧 Email · 14 Aug 2026 · Read

⏳

Transition reminder — obtain V-D before 21 Sep 2026 deadline

📧 Email + In-App · 05 Sep 2026 · Unacknowledged

📋

Board Note — Q3 2026: SEBI introduced NISM V-D on 21 Jul 2026. Series XIII for SIF distribution ended 21 Sep 2026. This report includes a "Regulatory Change Impact" section.

⚙ Report Configuration

Report Period

Format

Scope

Include

📊 Health Score Trend

81%

Q3 2026

▼ −3pp vs Q2 2026 (84%) — V-D transition impact

▲ +4pp vs Q3 2025 (77%)

▲ +9pp vs Q3 2024 (72%)

Short-term dip driven by NISM V-D transition. Expected to recover to >85% by Q4 2026.

FinServe Capital Ltd — Compliance Health Report

Period: Q3 2026 (Jul–Sep 2026) · Prepared by: CCO Dashboard · Generated: 19 Oct 2026

Executive Summary

81%

Overall

247

Employees

200

Compliant

29

At Risk ≤90d

6

Expired

178

Certs Verified

Risk Summary by Series

Series	Required For	Compliant	At Risk	Expired	Not Submitted
NISM V-A	MF-only Distributors (61)	53	6	1	1
NISM V-D New	SIF Distributors (7)	3	2	0	2
NISM X-A	Investment Advisers (56)	43	9	2	2
NISM VIII	Equity Derivatives (31)	28	2	1	0
NISM XV	Research Analysts (28)	27	1	0	0

Regulatory Change Impact — SEBI Circular 21 Jul 2026

NISM V-D became mandatory for SIF distribution from 21 Sep 2026, replacing NISM XIII. 7 MF Desk employees are SIF-authorised. As of 19 Oct 2026: 3 have obtained V-D, 2 awaiting verification, 2 not yet submitted. Action required within 30 days.

Recommended Actions

1. Immediate: 2 SIF-authorised employees have not submitted NISM V-D — restrict SIF distribution until compliant.
2. 30-day: 6 employees expiring ≤30 days — initiate CPE batch enrollment before Dec 2026.
3. Strategic: March 2027 cluster (24 certs) — schedule CPE batch by January 2027.

📋

Note for SEBI Inspections from Oct 2026: NISM V-D is the current mandatory certification for SIF distribution. Include V-D status column in exports. NISM XIII entries prior to 21 Sep 2026 remain valid as historical compliance evidence.

📋 Snapshot Configuration

As-of Date

Export Format

Scope

⚠ PAN data is masked in all exports per PDPA / Aadhaar protection norms.

🗓 Recent Exports (Audit Log)

Generated	By	Format	Employees	Status
19 Oct 2026 09:14 AM	CO: R. Krishnan	PDF + Excel	247	Stored
30 Sep 2026 04:05 PM	CCO: M. Iyer	PDF	247	Stored
30 Jun 2026 11:20 AM	CO: R. Krishnan	PDF + Excel	244	Stored

All exports are immutably logged in comp_audit_log.

👁 Snapshot Preview — 19 Oct 2026

#	Employee	PAN (Masked)	ARN/EUIN	Series	Cert No.	Issue Date	Expiry Date	Status	Source	Verified By
1	Arjun Mehta SIF-authorised	AXXX•••9K	ARN-48821	NISM V-D	NSE-VD-10284	12 Oct 2026	11 Oct 2029	Pending Verify	PDF Parse	—
2	Priya Sharma	BXXX•••4R	—	NISM X-A	NSE-IA-89341	05 Apr 2024	04 Apr 2027	Compliant	DigiLocker	R. Krishnan
3	Rahul Nair	CXXX•••7M	—	NISM VIII	NSE-EQ-99312	20 Aug 2023	19 Aug 2026	Expired	DigiLocker	R. Krishnan
4	Sunita Verma	DXXX•••1P	—	NISM XV	NSE-RA-33291	10 Jan 2024	09 Jan 2027	Compliant	PDF Parse	R. Krishnan
5	Vikram Joshi	EXXX•••3N	ARN-91223	NISM V-A	NSE-MFD-77631	12 Nov 2023	11 Nov 2026	Expiring Soon	PDF Parse	—

Showing 5 of 247 rows · Full export available in PDF/Excel

Compliance Overview

Verification Queue

Arjun Mehta

My Compliance

CCO Board Report Generator

FinServe Capital Ltd — Compliance Health Report

Executive Summary

Risk Summary by Series

Regulatory Change Impact — SEBI Circular 21 Jul 2026

Recommended Actions

SEBI Audit Export