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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007 Chapters List This

Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
Chapter: I
PRELIMINARY
Regulation 1 : Short Title and Commencement.
Regulation 2 : Definitions.
Chapter: II
CERTIFICATION OF ASSOCIATED PERSONS
Regulation 3 : Obligation to obtain certificate
Regulation 4 : Manner of obtaining certificate
Regulation 5 : Validity period of certificate
Regulation 6 : Associated person not to undertake certain activities without a valid certificate
Chapter: III
POWERS AND FUNCTIONS OF NISM
Regulation 7 : Powers and functions of NISM
Regulation 8 : Conduct of certification examination and programmes of continuing professional education
Chapter: IV
CONTINUING PROFESSIONAL EDUCATION REQUIREMENTS
Regulation 9 : Continuing Professional Education requirements for associated persons
Regulation 10 : Intermediary to ensure participation in continuing professional education
Chapter: V
MISCELLANEOUS
Regulation 11 : Certification of associated persons to be pre-condition for registration of intermediaries.
 
 
 

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