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/2010-11/26/10252 - SEBI
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Certification requirement for depository participant personnel: mandatory NISM DOCE for client-facing and operational roles with exemptions. Notification requires associated persons of registered depository participants in client interaction, client securities handling, investor grievance redressal, internal control, operational risk activities, and related record maintenance to obtain the NISM-Series-VI: Depository Operations Certification Examination (DOCE). Persons employed on the notification date must obtain DOCE within two years; those engaged thereafter within one year. Holders of specified NSE, NSDL, or BSE depository certifications are exempt until their certificates' validity expires, and completion of CDSL's DP Training Programme provides a three year exemption from programme completion.
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 depository participant personnel: mandatory NISM DOCE for client-facing and operational roles with exemptions.
Notification requires associated persons of registered depository participants in client interaction, client securities handling, investor grievance redressal, internal control, operational risk activities, and related record maintenance to obtain the NISM-Series-VI: Depository Operations Certification Examination (DOCE). Persons employed on the notification date must obtain DOCE within two years; those engaged thereafter within one year. Holders of specified NSE, NSDL, or BSE depository certifications are exempt until their certificates' validity expires, and completion of CDSL's DP Training Programme provides a three year exemption from programme completion.
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