CONTINUING PROFESSIONAL EDUCATION REQUIREMENTSSecurities and Exchange Board of India (Certification of Specified Persons in the Securities Markets) Regulations, 2007
CONTINUING PROFESSIONAL EDUCATION REQUIREMENTSSecurities and Exchange Board of India (Certification of Specified Persons in the Securities Markets) Regulations, 2007
Securities-market certification definitions identify specified persons, entities, professional education, and statutory references governing certification compliance. Certification scope turns on the defined specified person: principals and employees of intermediaries, agents, distributors and other natural persons ... Summary
Securities-market certification definitions identify specified persons, entities, professional education, and statutory references governing certification compliance.
Certification scope turns on the defined specified person: principals and employees of intermediaries, agents, distributors and other natural persons engaged in securities-market business, including employees working in India for foreign portfolio or foreign venture capital investors. Continuing Professional Education covers NISM-accredited or approved learning activities intended to improve knowledge, skills and professional competency in securities, governance and ethics. Associated-person terminology is replaced by the specified-person category, while undefined expressions follow meanings under the listed securities, companies and depositories laws.
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