Appointment of Principal Officer, Compliance Officer and other human resources

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....um one year in duration) in finance, law, accountancy, business management, commerce, economics, capital market, banking, insurance ^1[, actuarial science, fintech, science, technology, engineering or mathematics] from a university or an institution recognised by the Central Government or any State Government or a ^2[****] foreign university or institution or association or a CFA or a FRM from Global Association of Risk Professionals or any other relevant educational qualifications as may be specified by the Authority: Provided that a graduation degree in any field from a university or an institution recognised by the Central Government or any State Government or a foreign university would suffice where the principal....

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....ESG related activities may also be eligible for appointment as principal officer of an ERDPP. (b) A compliance officer shall have an experience of at least two years in the financial services market: Provided that the work experience in any other field shall be considered if the person has work experience of minimum two years in compliance related role or function in a company. (4) The requirement of qualification and experience as mentioned in the sub-regulations (2) and (3) shall apply to all the appointments by a CMI after these regulations coming into force: Provided that all the capital market intermediaries already registered with the Authority under these regulations as on the date of these regulat....