NISM Series XIII Common Derivatives Certification Exam Notes
Page 179 Of 303
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Applies to all braches, offices, and agencies owned or controlled by persons resident in India, even if located abroad.
Authorised Persons:RBI regulates authorised dealers, issues directions, and inspects books.
SEBI Act, 1992:Establishes SEBI to protect investors, develop and regulate the securities market.
SEBI’s Powers:Regulates stock exchanges, brokers, self-regulatory organizations, and prohibits fraudulent practices.
SEBI’s Role in ETCD:SEBI issues guidelines for trading, clearing, settlement, surveillance, and investor protection.
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