Notification under regulation 3 of the Securities and Exchange Board of India (Certification of Association Persons in the Securities Markets) Regulations, 2007. - LAD/NRO/GN/2012-13/33/1103 - SEBI
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Compliance officer certification required: intermediaries must secure SICCE credentialing for officers within prescribed timelines after notification. Notification requires certification for associated persons serving as compliance officers of specified intermediaries to pass the Securities Intermediaries Compliance (Non-Fund) Certification Examination (SICCE). Compliance officers in post on the notification date must obtain SICCE within two years; those employed after the notification must obtain SICCE within one year of employment. Intermediaries are responsible for ensuring these certification timelines are met.
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.
Compliance officer certification required: intermediaries must secure SICCE credentialing for officers within prescribed timelines after notification.
Notification requires certification for associated persons serving as compliance officers of specified intermediaries to pass the Securities Intermediaries Compliance (Non-Fund) Certification Examination (SICCE). Compliance officers in post on the notification date must obtain SICCE within two years; those employed after the notification must obtain SICCE within one year of employment. Intermediaries are responsible for ensuring these certification timelines are met.
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