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        SEBI

        Regulation 2 - Definitions.

        Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
        Chapter I
        PRELIMINARY

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        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.
                      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.

                            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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