Regulation 9 - Continuing Professional Education requirements for associated persons - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007

CHAPTER IV CONTINUING PROFESSIONAL EDUCATION REQUIREMENTS Continuing Professional Education requirements for associated persons 9. (1) NISM may specify the requirements for continuing professional education (CPE) for associated persons holding certificate and approve the programmes of CPE that may be conducted by entities accredited and engaged in accordance with regulation 8. (2) No intermediary shall permit any associated person to continue and no associated person shall continue to perform duties as an associated person unless such person has complied with the requirements specified by NISM under sub regulation (1) within 3 years from the date of obtaining the certificate or revalidation thereof. (3) The requirements of sub regulations (1) and (2) shall apply to associated persons who are engaged in any of the activities mentioned in clauses (a) to (f) of sub regulation (4) of regulation 3.