NISM-Series IX: Merchant Banking Certification Exam Notes
Page 15 Of 79
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SEBI Powers: Include regulating stock exchanges, intermediaries, and prohibiting unfair practices.
SEBI Penalties: For non-compliance like failure to furnish information or redress grievances.
Section 15A: Penalty for failure to furnish documents/returns to SEBI.
Section 15B: Penalty for not entering client agreements.
Section 15C: Penalty for failing to redress investor grievances.
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