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        SEBI

        Regulation 10 - Intermediary to ensure participation in continuing professional education

        Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
        Chapter IV
        CONTINUING PROFESSIONAL EDUCATION REQUIREMENTS

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        Continuing professional education requirement: intermediaries must ensure associated persons attend NISM approved programmes and take reasonable steps. Each intermediary is obliged to ensure participation by its associated persons in a programme of continuing professional education that is NISM approved, and associated persons must take all appropriate and reasonable steps to participate in the approved programme as required by the intermediary.
                        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.

                              Continuing professional education requirement: intermediaries must ensure associated persons attend NISM approved programmes and take reasonable steps.

                              Each intermediary is obliged to ensure participation by its associated persons in a programme of continuing professional education that is NISM approved, and associated persons must take all appropriate and reasonable steps to participate in the approved programme as required by the intermediary.


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