NISM Series XIII Common Derivatives Certification Exam Notes
Page 301 Of 303
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Broker Compliance: Adheres to SEBI and exchange rules.
Arbitration Challenges: Require deposit of award amount.
KYC Documents: Include ITR, bank statements, and net-worth certificates.
Risk Disclosure Types: Include market, liquidity, and basis risks.
STR Reporting: Within 7 days of identifying suspicious transactions.
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