NISM-Series IX: Merchant Banking Certification Exam Notes
Page 26 Of 79
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SEBI Registration Renewal: Periodic renewal required to continue operations.
Code of Conduct Scope: Applies to all SEBI-registered merchant bankers.
Investor Protection: Primary responsibility to safeguard investor interests.
SCRA Compliance: Adhere to securities contract regulations for issue management.
SEBI Act Powers: SEBI can summon, inspect, and penalize non-compliant bankers.
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