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 participation requires intermediary oversight and reasonable participation steps by specified persons under approved programmes. Regulation 10 places a compliance duty on every intermediary to ensure that its specified persons participate in a continuing professional education ... Summary
Continuing professional education participation requires intermediary oversight and reasonable participation steps by specified persons under approved programmes.
Regulation 10 places a compliance duty on every intermediary to ensure that its specified persons participate in a continuing professional education programme approved by NISM under regulation 9(1). Specified persons must take all appropriate and reasonable steps to participate in the programme required by the intermediary.
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