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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..... GN/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 Cert .....

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..... sing applications 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. .....

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..... ate of this notification such associated person does not possess Series-II-A: RTA- Corp Certification or Series-II-B: RTA-MF certification as the case may be, he shall obtain the said certification within one year from the date of being so employed or engaged. C.B. BHAVE, Chairman [ADVT III/4/69 ZB/09/Exty.] - Notification Tax Management India - taxmanagementindia - taxmanagement - .....

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