Regulation 4 - Specified intermediary and other entity to obtain unique identification numbers
Securities and Exchange Board of India (Central Database Of Market Participants) Regulations, 2003 Chapter II REQUIREMENT OF OBTAINING UNIQUE IDENTIFICATION NUMBERS
📋
Contents
Cases Cited
Referred In
Notifications
Circulars
Forms
Manuals
Acts
Rules & Regulations
Case Laws New
Ref Provisions New
Plus +
Source NTF
Summary
Similar
Note
Bookmark
Share
✓ Copied successfully !
Print
Print Options
For full text, please login
Login to TaxTMI
Verification Pending
The Email Id has not been verified. Click on the link we have sent on
Unique identification number requirement: intermediaries must obtain UINs for themselves and specified related persons before operating. Specified intermediaries and other entities must obtain a unique identification number from the Designated Service Provider for themselves and specified related persons, including principal officers, operational personnel (top three management tiers and other identified employees), promoters (excluding government/statutory authorities), directors, partners, approved users of stock broker terminals (excluding sub-brokers), sponsors, trustees, asset management companies and managers, and proprietors. A person may continue to act if an application for allotment was filed before the notified date or an appeal against rejection is pending. Certificates of registration issued after commencement are subject to the condition that unique identification numbers are obtained prior to commencing activities.
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.
Unique identification number requirement: intermediaries must obtain UINs for themselves and specified related persons before operating.
Specified intermediaries and other entities must obtain a unique identification number from the Designated Service Provider for themselves and specified related persons, including principal officers, operational personnel (top three management tiers and other identified employees), promoters (excluding government/statutory authorities), directors, partners, approved users of stock broker terminals (excluding sub-brokers), sponsors, trustees, asset management companies and managers, and proprietors. A person may continue to act if an application for allotment was filed before the notified date or an appeal against rejection is pending. Certificates of registration issued after commencement are subject to the condition that unique identification numbers are obtained prior to commencing activities.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.