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        SEBI

        Regulation 3 - Obligation to obtain certificate

        Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
        Chapter II
        CERTIFICATION OF ASSOCIATED PERSONS

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        Certification requirement for associated persons ensures specified intermediaries engage only certified personnel under Board criteria. The Board may require specified categories of associated persons to obtain certification for engagement with intermediaries and may set timelines; prior notifications continue until rescinded, and persons holding a Board-recognised certificate on the specified date need not obtain a new certificate while it remains valid. The Board may consider investor interactions, handling of assets or funds, investor grievance redressal, internal control or risk management responsibilities, compliance responsibilities, and activities affecting operational risk when specifying categories.
                    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.

                          Certification requirement for associated persons ensures specified intermediaries engage only certified personnel under Board criteria.

                          The Board may require specified categories of associated persons to obtain certification for engagement with intermediaries and may set timelines; prior notifications continue until rescinded, and persons holding a Board-recognised certificate on the specified date need not obtain a new certificate while it remains valid. The Board may consider investor interactions, handling of assets or funds, investor grievance redressal, internal control or risk management responsibilities, compliance responsibilities, and activities affecting operational risk when specifying categories.


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