Which NISM series does the platform track?

The platform tracks all 28+ NISM series mandated by SEBI, including NISM V-A (MF Distributors), NISM V-D (SIF), NISM X-A/X-B (Investment Advisers), NISM VIII (Equity Derivatives), NISM XV (Research Analysts), NISM XXI-B (PMS), NISM XIX (AIF), and NISM III-C (Compliance Officers), among others.

How does NISM certificate ingestion work?

Certificates can be submitted via DigiLocker OAuth for automatic sync, PDF upload with AI-powered field extraction, or manual entry. Fields are confidence-scored and flagged for compliance officer review if below threshold.

How far in advance does the platform alert before an NISM certificate expires?

The platform has seven pre-configured alert triggers starting at 365 days before expiry and escalating through 180, 90, 60, 30 days, expiry day itself, and D+15 post-expiry. Each trigger can notify the employee, their reporting manager, the compliance officer, and the Board via a five-level escalation chain.

Which SEBI regulations make NISM certifications mandatory?

NISM certifications are mandated under SEBI (Certification of Associated Persons in the Securities Markets) Regulations 2007 (CAPSM Regulations) for persons associated with SEBI-registered intermediaries. Specific series requirements apply to mutual fund distributors (AMFI/ARN), investment advisers, research analysts, PMS managers, AIF managers, and compliance officers, among others.

Flipick · NISM Certification Compliance

For SEBI-regulated firms

NISM Cert
Compliance

Q: What does the SEBI audit report include?

The audit report is a point-in-time SEBI snapshot that includes full employee roster, certificate numbers, issue and expiry dates, verification source, and compliance status — all PAN-masked and immutably logged. It can be generated for any historical date.

For SEBI-Regulated Firms

The only platform purpose-built for NISM certification tracking — expiry intelligence, verified audit trails, and board-ready reports for every SEBI inspection.

Book a demo See how it works

What it does

Everything a CCO needs.
Nothing they don't.

🔗

Auto-ingestion, three ways

DigiLocker OAuth, AI-powered PDF parsing, or manual entry — certificates filed and verified without CO effort. No spreadsheets. No chasing employees. Whichever channel an employee uses, the cert lands in the right place with the right fields extracted.

📅

Expiry intelligence

A 12-month forward heatmap shows every cert cluster before it becomes a problem. Seven pre-built alert triggers fire from 365 days out through post-expiry, with a five-level escalation chain — including automatic Board notification — so nothing slips through.

📋

Audit-ready at any moment

Point-in-time SEBI snapshots with PAN masking, immutable audit logs, and department-level drill-downs. Generate a board-ready compliance report in a single click — no manual assembly, no last-minute panic before an inspection.

⚡

Stays current with SEBI

Regulation moves. The platform moves with it. NISM V-D (MF–SIF Distributors, Jul 2026), eCPE program changes, Series X-C renewal — new requirements are tracked and surfaced to your team automatically, so you're never caught by a circular you missed.

28+

NISM series tracked

Across all SEBI-mandated, PFRDA-mandated, and IBBI certifications.

Alert triggers pre-configured

From 365 days pre-expiry through D+15 post-expiry — no setup required.

Manual steps to generate an audit report

One click. Point-in-time snapshot. SEBI-ready, PAN-masked, immutably logged.

How it works

Ingest → track → report.
That's the whole job.

Step 01

Employees submit certificates

Via DigiLocker OAuth for auto-sync, PDF upload for AI parsing, or manual entry. Fields are extracted, confidence-scored, and flagged for CO review if below threshold.

Step 02

The platform watches and warns

Expiry dates are tracked across all 28+ NISM series. Alerts fire automatically — to the employee, their manager, the CO, and ultimately the Board — on a configurable escalation schedule.

Step 03

Export for any inspection

Generate a point-in-time SEBI snapshot for any date in the past. Full employee roster, cert numbers, issue and expiry dates, verification source, and status — PAN-masked and immutably logged.

Regulatory coverage

Built to track every series SEBI mandates today — and tomorrow.

The platform covers all SEBI CAPSM Regulations 2007 certification requirements, AMFI ARN/EUIN obligations, and CPE window management across all 28+ NISM series. When SEBI introduces a new series or amends an existing one — like the NISM V-D circular of July 2026 that replaced Series XIII for SIF distribution — the requirement is reflected in the platform, not in a manual update to your compliance calendar.

Series covered

NISM V-A MF Dist. NISM V-D SIF NISM X-A Inv. Adv. NISM X-B Inv. Adv. L2 NISM VIII Eq. Deriv. NISM XV Research NISM XXI-B PMS NISM XIX AIF NISM III-C Compliance + 19 more series

See it on your firm's data.

Bring your employee roster and we'll show you what a compliance dashboard looks like for your SEBI obligation.

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NISM CertCompliance

Everything a CCO needs.Nothing they don't.

Ingest → track → report.That's the whole job.

See it on your firm's data.

NISM Cert
Compliance

Everything a CCO needs.
Nothing they don't.

Ingest → track → report.
That's the whole job.