Registration of research analysts requires qualification, certification and fitness checks before certificate issuance. Registration requires the Board to verify applicant type (individual, corporate, partnership or LLP) and ensure that the principal officer, employed research analysts and all persons associated with research services hold the qualifications and certifications in regulation 7; that deposit requirements are met; that necessary infrastructure exists; and that fitness, propriety, prior refusals and disciplinary history of the applicant and connected persons are acceptable under intermediary criteria.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Registration of research analysts requires qualification, certification and fitness checks before certificate issuance.
Registration requires the Board to verify applicant type (individual, corporate, partnership or LLP) and ensure that the principal officer, employed research analysts and all persons associated with research services hold the qualifications and certifications in regulation 7; that deposit requirements are met; that necessary infrastructure exists; and that fitness, propriety, prior refusals and disciplinary history of the applicant and connected persons are acceptable under intermediary criteria.
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