CERTIFICATION OF ASSOCIATED PERSONS - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
CERTIFICATION OF ASSOCIATED PERSONS - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
Associated persons certification: qualification, continuing education and defined roles shape eligibility and compliance in securities activity. These regulations define the scope and categories of persons subject to certification-associated persons, principals, agents, distributors, intermediaries ... Summary
Associated persons certification: qualification, continuing education and defined roles shape eligibility and compliance in securities activity.
These regulations define the scope and categories of persons subject to certification-associated persons, principals, agents, distributors, intermediaries and issuers-set the certificate as granted by NISM, and impose Continuing Professional Education (CPE) requirements to maintain professional competency, while unspecified terms derive meaning from existing securities and company legislation.
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