NISM Series II A : Registrars to an Issue and Share Transfer Agents - Corporate Exam Notes
Page 122 Of 136
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LODR compliance: Includes quarterly financial reports and investor grievance data.
UPI advantages: Enhances security by keeping funds in investor accounts.
Broker exposure: Limited by base capital deposited with the exchange.
DP responsibilities: Execute investor instructions for share transfers and pledges.
Clearing corporation funds: Manages blocked funds for trade settlements.
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