Obligation to obtain certificate

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.... obtain the requisite certificate for engagement or employment with such classes of intermediaries, and within such time as may be specified by the Board: Provided that any notification previously issued by the Board under this sub-regulation prior to the coming into force of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) (Amendment) R....

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....on is responsible for internal control or risk management; (e) whether the associated person is responsible for compliance of any rules or regulations; (f) whether the associated person is engaged in activities that have a bearing on operational risk of the intermediary.     *************** NOTES:- 1.  Substituted vide F. No. SEBI/LAD-NRO/GN/2025/251 ....