NISM-Series IX: Merchant Banking Certification Exam Notes
Page 29 Of 79
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SEBI Notification: Merchant bankers subject to SEBI-specified regulations.
Client Agreement Penalties: Non-compliance leads to penalties under Section 15B.
Grievance Redressal Timeframe: Address complaints within SEBI-specified periods.
Record Maintenance Period: As per SEBI regulations, typically 5 years.
SEBI’s Civil Court Powers: Apply to merchant bankers for document production.
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