NISM Series II A : Registrars to an Issue and Share Transfer Agents - Corporate Exam Notes
Page 49 Of 136
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Depository system: Facilitates electronic holding and transfer of securities.
Investor grievances: SEBI mandates prompt redressal by RTAs and intermediaries.
SCRA compliance: Ensures securities contracts adhere to regulatory standards.
SEBI powers: Include issuing guidelines, conducting inspections, and imposing penalties.
Disclosure requirements: RTAs must report investor complaints and resolutions monthly.
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