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

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..... ia (Certification of Associated Persons in the Securities Markets) Regulations, 2007 No. SEBI/LAD-NRO/GN/2025/223 . In terms of sub-regulation (1) of Regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007 (hereinafter referred to as the CAPS Regulations, 2007 ), the Board may require, by notification, any categor .....

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..... tification Examination, as mentioned in the NISM communiqu No. NISM/Certification/Series-X-A: IA-L1/2013/01 dated May 21, 2013 and NISM communiqu No. NISM/Certification/Series-X-B: IA-L2/2013/01 dated November 26, 2013 respectively. 3. Now, in terms of Regulation 3 of the CAPS Regulations, 2007 read with sub-regulation (2) of Regulation 7 of the IA Regulations, 2013 , the Board hereby notifies, th .....

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..... rements, before expiry of the validity of the existing certification, obtain the certification by passing the NISM-Series-X-C: Investment Adviser Certification (Renewal) Examination as mentioned in the NISM communiqu No. NISM/Certification/NISM-Series-X-C: Investment Adviser Certification (Renewal) Examination/2024/01 dated November 5, 2024. 4. This notification shall come into force on the date o .....

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