Notification under regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007.

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....2009-10/18/175577.- WHEREAS the National Institute of Securities Markets (hereinafter referred to as "NISM"), in consultation with the Securities and Exchange Board of India (hereinafter referred to as "the Board"), has specified vide circular no. NISM/ Certification / Series-II-A:RTA-Corp/2009/3 dated August 3, 2009, "Series-II-A: Registrar to an Issue and Share Transfer Agent- Corporate Certific....

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....plications from the applicants; (c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities; (d) handling redressal of investors' grievances; (e) responsible for internal control and risk management; (f) responsible for compliance of securities laws; (g) maintenance of books and records pertaining to the above activities. NOW THEREFORE....