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/2010-11/21/29390 - SEBI
📋
Contents
Cases Cited
Referred In
Notifications
Circulars
Forms
Manuals
Acts
Rules & Regulations
Case Laws New
Ref Provisions New
Plus +
Source NTF
Summary
Similar
Note
Bookmark
Share
✓ Copied successfully !
Print
Print Options
For full text, please login
Login to TaxTMI
Verification Pending
The Email Id has not been verified. Click on the link we have sent on
Certification requirement for securities operations and risk management personnel to obtain NISM accreditation within prescribed periods. Requirement that certain associated persons of registered stock-brokers, trading members and clearing members obtain NISM-Series-VII: Securities Operations and Risk Management certification for roles concerning investor assets, grievance redressal, internal control and operational risk; firms must ensure existing personnel and new hires obtain the required certification within the periods prescribed by the notification.
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 securities operations and risk management personnel to obtain NISM accreditation within prescribed periods.
Requirement that certain associated persons of registered stock-brokers, trading members and clearing members obtain NISM-Series-VII: Securities Operations and Risk Management certification for roles concerning investor assets, grievance redressal, internal control and operational risk; firms must ensure existing personnel and new hires obtain the required certification within the periods prescribed by the notification.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.