Regulation 10 - Intermediary to ensure participation in continuing professional education
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 obligations require intermediaries and specified persons to secure participation in approved professional programmes. Each intermediary must ensure that its specified persons participate in a continuing professional education programme approved by NISM under ... Summary
Continuing professional education obligations require intermediaries and specified persons to secure participation in approved professional programmes.
Each intermediary must ensure that its specified persons participate in a continuing professional education programme approved by NISM under sub-regulation (1) of Regulation 9. Specified persons must also take all appropriate and reasonable steps to participate in the programme required by their intermediary. The obligations apply separately to intermediaries and specified persons, and the expression "associated persons" has been replaced with "specified persons".
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