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        SEBI

        Regulation 4 - Manner of obtaining 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 routes for associated persons clarified: exam, classroom credits, or teaching, with category specific eligibility rules. Regulation 4 authorises three alternative methods for an associated person to obtain the certificate: passing an approved certification examination, accumulating specified classroom credits through attendance, or delivering specified formal classroom sessions in continuing professional education, subject to NISM specifications and approved examination bodies. Principals may use any of the three methods. Certain senior or experienced non principals may use only the examination or classroom credit routes, while all other associated persons must obtain the certificate by passing the certification examination.
                      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 routes for associated persons clarified: exam, classroom credits, or teaching, with category specific eligibility rules.

                            Regulation 4 authorises three alternative methods for an associated person to obtain the certificate: passing an approved certification examination, accumulating specified classroom credits through attendance, or delivering specified formal classroom sessions in continuing professional education, subject to NISM specifications and approved examination bodies. Principals may use any of the three methods. Certain senior or experienced non principals may use only the examination or classroom credit routes, while all other associated persons must obtain the certificate by passing the certification examination.


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