NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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FPI Investment Scope: Includes equities, bonds, and derivatives.
Compliance Monitoring: DDPs ensure FPI regulatory adherence.
Penalties for FPIs: Fines or market bans for violations.
FPI Record Keeping: Maintain transaction records for five years.
SEBI Guidelines: Specify FPI investment and reporting norms.
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NISM 3A Securities Intermediaries Compliance
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