Securities-market certification definitions identify specified persons, intermediaries, principals and accredited professional education, while importing statutory meanings for undefined terms. Regulation 2 defines the persons and entities covered by securities-market certification requirements. Specified persons include principals and employees ... Summary
Securities-market certification definitions identify specified persons, intermediaries, principals and accredited professional education, while importing statutory meanings for undefined terms.
Regulation 2 defines the persons and entities covered by securities-market certification requirements. Specified persons include principals and employees of intermediaries, agents, distributors, other natural persons engaged in securities-market business, and relevant employees in India of foreign portfolio investors and foreign venture capital investors. It defines certificates, Continuing Professional Education, principals, intermediaries, issuers and securities, while requiring undefined expressions to take meanings assigned under applicable securities, companies and depositories legislation.
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