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        SEBI

        Notification under regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007. - LAD-NRO/GN/2013-14/13/6109 - SEBI

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        Certification requirement for investment advisers mandates NISM Level One certification, with CPFA holders temporarily exempt. Investment Advisers and their associated persons offering investment advice must obtain NISM certification by passing the NISM-Series-X-A Investment Adviser (Level 1) examination; holders of the NISM Certified Personal Financial Advisor certification are exempt from Level One for the validity period of that certification. Those who pass Level One or hold CPFA must also obtain Level Two Investment Adviser certification from NISM for compliance with the Investment Advisers Regulations, with accredited organizations approved by NISM permitted as an alternative.
                      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.

                            Certification requirement for investment advisers mandates NISM Level One certification, with CPFA holders temporarily exempt.

                            Investment Advisers and their associated persons offering investment advice must obtain NISM certification by passing the NISM-Series-X-A Investment Adviser (Level 1) examination; holders of the NISM Certified Personal Financial Advisor certification are exempt from Level One for the validity period of that certification. Those who pass Level One or hold CPFA must also obtain Level Two Investment Adviser certification from NISM for compliance with the Investment Advisers Regulations, with accredited organizations approved by NISM permitted as an alternative.


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