Nism-Certification (9)
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Consolidated master circular covering all compliance requirements for Clearing Members of NSE Clearing Limited, including client … | |||||||||||||||
Consolidated master circular covering all compliance requirements for Clearing Members of NSE Clearing Limited, including client registration, margin collection, dealings with clients and intermediaries, books of accounts, compliance submissions, and enforcement actions.
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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 introduces a lighter NISM Series-XXV-A certification for Persons Associated with Research Services (PARS) engaged in sales and other … | |||||||||||||||
SEBI introduces a lighter NISM Series-XXV-A certification for Persons Associated with Research Services (PARS) engaged in sales and other non-core services, easing compliance requirements for non-research staff.
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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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