NISM-Series IX: Merchant Banking Certification Exam Notes
Page 21 Of 79
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Registration Requirement: Mandatory for merchant bankers to operate in securities markets.
Eligibility Criteria: Includes financial capacity, infrastructure, and professional competence.
Categories of Registration: Based on net worth and activities performed.
Application Process: Submit undertaking to SEBI for securities market activities only.
Code of Conduct: Ensures ethical practices, transparency, and investor protection.
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