NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KRA Code Violations: Lead to penalties or disciplinary actions.
Client Data Protection: KRAs implement robust security measures.
KYC Compliance Monitoring: Regular checks by KRAs and intermediaries.
SEBI KRA Regulations: Govern KRA registration and operations.
KYC Record Retention: Five years as per SEBI guidelines.
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NISM 3A Securities Intermediaries Compliance
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