NISM-Series IX: Merchant Banking Certification Exam Notes
Page 28 Of 79
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Merchant Banker Categories: Vary based on scope of activities and net worth.
Non-Securities Activities: Prohibited unless an undertaking is provided to SEBI.
Public Announcement Compliance: Ensure public announcements meet SEBI standards.
Due Diligence Scope: Covers issuer’s financials, operations, and disclosures.
SCORES Reporting: Submit grievance redressal reports to SEBI via SCORES.
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