Certification Methodology
There will be 100 multiple choice questions which will be situation based and will vary based on seniority level of employees. The broad outline of topics & weightage is –
| Topic | Weightage |
|---|---|
| Conflict of interest – corruption / gifts / commercial interests with family members or external parties / external employment etc | 15% |
| Fraud risk management – segregation of duties / 4 eye principle / documentation / reporting etc | 15% |
| Cyber risk / information systems and data privacy – cyber risk / access controls / data privacy & protection | 15% |
| Conduct risk – mis-selling / treat your customers fairly / customer service standards | 10% |
| Whistle blower / sexual harassment | 10% |
| KYC / AML transaction monitoring / suspicious activity reporting (only business process aspects – rest will be conflict of interest in point 1) | 5% |
| Insider trading & public sensitive information | 10% |
| Major RBI guidelines – lending, investments, borrowings, interest rates etc | 10% |
| RBI, SEBI & stock exchange reporting | 5% |
| Internal organization & committees, reporting | 5% |