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        SEBI

        Regulation 6 - Associated person not to undertake certain activities without a valid 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: engagement in specified activities permitted only with a valid regulatory certificate. Regulation 6 requires that an associated person engaged in activities under clauses (a)-(f) of sub regulation (4) of regulation 3 shall continue to be so engaged only if such person holds a valid certificate as specified by the Board under sub regulation (1) of regulation 3; a substitution clarifies this replaces prior date tied transitional wording.
                      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: engagement in specified activities permitted only with a valid regulatory certificate.

                            Regulation 6 requires that an associated person engaged in activities under clauses (a)-(f) of sub regulation (4) of regulation 3 shall continue to be so engaged only if such person holds a valid certificate as specified by the Board under sub regulation (1) of regulation 3; a substitution clarifies this replaces prior date tied transitional wording.


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