NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Beneficial Ownership: FPIs identify ultimate owners.
FPI Suspension: SEBI can suspend for regulatory breaches.
Investment Conditions Compliance: Monitored by DDPs and SEBI.
FPI Code Adherence: Ensures ethical investment practices.
KYC Interoperability: FPIs use KRA systems for KYC.
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NISM 3A Securities Intermediaries Compliance
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