Securities and Exchange Board of India (Certification of Specified Persons in the Securities Markets) Regulations, 2007 Chapter II CERTIFICATION OF SPECIFIED PERSONS
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Certification obligations for specified market persons depend on designated roles, with valid certificates retained and earlier notices preserved. Certification requirements for specified persons may be imposed for engagement or employment with designated classes of intermediaries, for categories and ... Summary
Certification obligations for specified market persons depend on designated roles, with valid certificates retained and earlier notices preserved.
Certification requirements for specified persons may be imposed for engagement or employment with designated classes of intermediaries, for categories and within timelines determined by the Board. A person holding a recognised certificate for a particular category need not obtain a fresh certificate for that category while it remains valid. Certification categories may be identified by investor or client interaction, handling of assets or funds, grievance redressal, internal control, risk management, regulatory compliance, and activities affecting operational risk.
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