Chapter
Capital Market Intermediaries
IFSCA - Regulations, Listing and Compliances (Elective Paper 4.6)
9 topics
- Key Business Activities
- Capital Market Intermediaries
- Intermediary Categories
- Eligibility & Net Worth
- Obligations
- Fit and proper requirements
- Appointment of Principal Officer, Compliance Officer and other human resources
- General Obligations and Responsibilities
- Overview of Capital Market Intermediaries) Regulations, 2024