Obligation to obtain certificate

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..... categories of associated persons to obtain requisite certificate for engagement or employment with such classes of intermediaries and from such date as may be specified in the notification: Provided that an associated person employed or engaged by an intermediary prior to the date specified by the Board may continue to be employed or engaged by the intermediary if he obtains the certificate wit .....

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..... associated person deals with assets or funds of investor or clients; (c) whether the associated person handles redressal of investor grievances; (d) whether the associated person is responsible for internal control or risk management; (e) whether the associated person is responsible for compliance of any rules or regulations; (f) whether the associated person is engaged in activities t .....

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