NISM Series II A : Registrars to an Issue and Share Transfer Agents - Corporate Exam Notes
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RTA responsibilities: Include processing applications, corporate actions, and investor services.
Insider trading penalties: SEBI imposes strict penalties for violations to ensure fairness.
Fraud prevention: Regulations prohibit misleading disclosures and market manipulations.
IEPF transfer: Unclaimed shares/dividends are transferred to IEPF after seven years.
Depository participants: Facilitate investor interaction with the depository system.
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