NISM Series XIII Common Derivatives Certification Exam Notes
Page 300 Of 303
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KYC Verification: Includes e-KYC via UIDAI.
Risk Categories: Low, medium, high based on client profile.
Suspicious Transaction Reporting (STR): To Financial Intelligence Unit (FIU).
IPF Funding: From exchange contributions and penalties.
ODR Venue: Based on investor’s residence or registration.
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