NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Intermediary KYC Process: Standardized through KRA systems.
KRA Audit: Ensures compliance with SEBI regulations.
Client Data Accuracy: Intermediaries verify before KRA submission.
KRA Role in AML: Supports PMLA compliance through KYC.
KYC Intermediary Link: KRAs centralize KYC for market efficiency.
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NISM 3A Securities Intermediaries Compliance
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