Securities-market certification definitions identify specified persons, entities, professional education, and statutory references governing certification compliance. Certification scope turns on the defined specified person: principals and employees of intermediaries, agents, distributors and other natural persons ... Summary
Securities-market certification definitions identify specified persons, entities, professional education, and statutory references governing certification compliance.
Certification scope turns on the defined specified person: principals and employees of intermediaries, agents, distributors and other natural persons engaged in securities-market business, including employees working in India for foreign portfolio or foreign venture capital investors. Continuing Professional Education covers NISM-accredited or approved learning activities intended to improve knowledge, skills and professional competency in securities, governance and ethics. Associated-person terminology is replaced by the specified-person category, while undefined expressions follow meanings under the listed securities, companies and depositories laws.
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