NISM-Series IX: Merchant Banking Certification Exam Notes
Page 25 Of 79
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Escrow Account Management: Verify escrow arrangements for issue proceeds.
SEBI Inspections: Cooperate with SEBI for audits and inquiries.
Penalty for Non-Compliance: Fines for failing to furnish information or redress grievances.
Client Servicing: Provide fair and equitable treatment to all clients.
Issue Management Role: Coordinate with issuers, intermediaries, and regulators.
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