Qualification and certification requirement

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..... nstitution recognized by the Central Government or any State Government or a recognised foreign university or institution or association or a professional qualification by completing a Post Graduate Program in the Securities Market (Investment Advisory) from NISM of a duration not less than one year or a professional qualification by obtaining a CFA Charter from the CFA Institute; ] (b) An experience of at least five years in activities relating to advice in financial products or securities or fund or asset or portfolio management; (c) Persons associated with investment advice shall meet the following minimum qualifications, at all times - (i) a professional qualification as provided in clause (a) of sub-regulation (1) of regulati .....

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..... ation requirements: Provided further that fresh certification before expiry of the validity of the existing certification shall not be obtained through a CPE program. ] ************* NOTES:- 1. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as Qualification and certification requirement. 7. (1) An individual registered as an investment adviser under these regulations and partners and representatives of an investment adviser registered under these regulations offering investment advice shall have the following minimum qualifications, at all times: (a) A professional qualification or post-graduate degree or post graduate diploma in finance, accountancy, b .....

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..... 1 before it was read as (a) A professional qualification or post-graduate degree or post graduate diploma (minimum two years in duration) in finance, accountancy, business management, commerce, economics, capital market, banking, insurance or actuarial science from a university or an institution recognized by the Central Government or any State Government or a recognised foreign university or institution or association or a CFA Charter from the CFA Institute; 3. Inserted vide Notification No. SEBI/LAD-NRO/GN/2023/154 dated 09-10-2023 w.e.f. 30-09-2023 4. Inserted vide Notification No. SEBI/LAD-NRO/GN/2023/154 dated 09-10-2023 w.e.f. 30-09-2023 5. Substituted vide Notification No. SEBI/LAD-NRO/GN/2023/154 dated 09-10- .....

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