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NISM Certifications · NISM-Series-XV: Research Analyst · Legal and Regulatory Environment (NISM XV)

Under the SEBI (Research Analysts) Regulations, 2014, an individual who wishes to act as a research analyst must, among other requirements, hold which of the following?

An individual research analyst must hold a valid NISM Research Analyst certification or another qualification SEBI recognises. Exchange membership, a Rs 50 crore net worth or a portfolio manager licence is not required for registering as a research analyst under the 2014 Regulations.

  1. AA valid NISM Research Analyst certification or an equivalent qualification prescribed by SEBICorrect
  2. BA trading membership of a recognised stock exchange
  3. CA minimum net worth of Rs 50 crore
  4. DA portfolio manager licence from SEBI

Explanation

The Research Analyst Regulations require individuals to hold a prescribed qualification, such as the NISM Research Analyst certification, along with registration. Stock exchange membership, a large net worth or a portfolio manager licence is not a condition for an individual research analyst.

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