Certification of Associated Persons establishes a mandatory certification framework and compliance obligations effective on Gazette publication. Establishes a regulatory regime titled Certification of Associated Persons requiring persons associated with securities market activities to obtain ... Summary
Certification of Associated Persons establishes a mandatory certification framework and compliance obligations effective on Gazette publication.
Establishes a regulatory regime titled Certification of Associated Persons requiring persons associated with securities market activities to obtain prescribed certification and comply with related standards of conduct; promulgated under statutory rulemaking powers and taking effect upon publication in the Official Gazette, the regulations set the legal basis, scope, qualification and certification processes, and attendant compliance obligations for specified associated persons in the securities markets.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.