Regulation 9 - Continuing Professional Education requirements for associated persons
Securities and Exchange Board of India (Certification of Specified Persons in the Securities Markets) Regulations, 2007 Chapter IV CONTINUING PROFESSIONAL EDUCATION REQUIREMENTS
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Continuing professional education compliance governs specified persons' continued duties and intermediaries' permission for designated securities-market activities. Continuing Professional Education requirements apply to specified persons holding certificates. NISM may prescribe the requirements and approve programmes ... Summary
Continuing professional education compliance governs specified persons' continued duties and intermediaries' permission for designated securities-market activities.
Continuing Professional Education requirements apply to specified persons holding certificates. NISM may prescribe the requirements and approve programmes conducted by accredited entities. An intermediary may not permit, and a specified person may not continue, performance of duties unless the prescribed requirements are satisfied within three years of obtaining or revalidating the certificate. The obligation applies to persons engaged in the activities listed in Regulation 3(4)(a)-(f).
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