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        SEBI

        Regulation 9 - Conditions of certificate

        Securities and Exchange Board of India (Intermediaries) Regulations, 2008
        Chapter II
        REGISTRATION OF INTERMEDIARIES

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        Intermediary certificate conditions require prior board approval for status changes; approval may be deemed if not communicated. Certificates to intermediaries are subject to conditions: obtain prior Board approval for status or constitution changes, pay applicable fees, comply with securities laws and Board directions, continuously meet regulation 4 requirements, and satisfy eligibility and other regulatory requirements. The Board may add further conditions for investor protection or orderly market development. A complete prior-approval request must include Form A with post-change information and uploaded Part I, and if the Board fails to communicate a decision within the prescribed statutory period, approval is deemed granted.
                      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.

                          Intermediary certificate conditions require prior board approval for status changes; approval may be deemed if not communicated.

                          Certificates to intermediaries are subject to conditions: obtain prior Board approval for status or constitution changes, pay applicable fees, comply with securities laws and Board directions, continuously meet regulation 4 requirements, and satisfy eligibility and other regulatory requirements. The Board may add further conditions for investor protection or orderly market development. A complete prior-approval request must include Form A with post-change information and uploaded Part I, and if the Board fails to communicate a decision within the prescribed statutory period, approval is deemed granted.


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