NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Objectives: Protect investors, promote securities market development, and regulate markets.
Regulatory Need: Ensures transparency, fairness, and protection against speculative or unethical activities like insider trading.
Securities Appellate Tribunal (SAT): Appellate authority for SEBI rulings, with appeals further to the Supreme Court.
Civil Courts: Cannot entertain suits on matters under SEBI or SAT jurisdiction.
Ministry of Finance (MOF): Oversees financial policy and regulation in India.
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NISM 3A Securities Intermediaries Compliance
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