Nism-Certification (7)
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SEBI introduces a lighter NISM certification module (Series-XXV-A) for Persons Associated with Research Services (PARS) performing sales and … | |||||||||||||||
SEBI introduces a lighter NISM certification module (Series-XXV-A) for Persons Associated with Research Services (PARS) performing sales and other non-core services, easing compliance burden for research analysts.
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SEBI introduces a lighter NISM certification module (Series-XXV-A) for Persons Associated with Research Services (PARS) performing sales and … | |||||||||||||||
SEBI introduces a lighter NISM certification module (Series-XXV-A) for Persons Associated with Research Services (PARS) performing sales and other non-core services, easing the earlier requirement of Series-XV certification for all PARS.
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SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry … | |||||||||||||||
SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry and operating without a valid NISM certificate.
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SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due … | |||||||||||||||
SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due diligence in 3 IPOs, maintain structural digital database, and comply with NISM certification requirements.
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SEBI final order against Scient Capital Private Limited for violations including failure to maintain minimum net worth requirements and NISM … | |||||||||||||||
SEBI final order against Scient Capital Private Limited for violations including failure to maintain minimum net worth requirements and NISM certification non-compliance.
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SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM … | |||||||||||||||
SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM certification requirements under Portfolio Managers Regulations.
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SEBI provides clarifications on research analyst regulations including NISM certification requirements and client consent provisions. | |||||||||||||||
SEBI provides clarifications on research analyst regulations including NISM certification requirements and client consent provisions.
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