POWERS AND FUNCTIONS OF NISM - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
POWERS AND FUNCTIONS OF NISM - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
Regulation 6 - Associated person not to undertake certain activities without a valid certificate
Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007 Chapter II CERTIFICATION OF ASSOCIATED PERSONS
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Certification requirement for associated persons: engagement in specified activities permitted only with a valid regulatory certificate. Regulation 6 requires that an associated person engaged in activities under clauses (a)-(f) of sub regulation (4) of regulation 3 shall continue to be so ... Summary
Certification requirement for associated persons: engagement in specified activities permitted only with a valid regulatory certificate.
Regulation 6 requires that an associated person engaged in activities under clauses (a)-(f) of sub regulation (4) of regulation 3 shall continue to be so engaged only if such person holds a valid certificate as specified by the Board under sub regulation (1) of regulation 3; a substitution clarifies this replaces prior date tied transitional wording.
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