NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Broker Obligations: Include client fund segregation and record keeping.
Compliance Officer: Monitors adherence to SEBI regulations.
Client Fund Settlement: Settle running accounts periodically.
Risk Disclosure Document (RDD): Mandatory for clients.
Broker Penalties: Fines or suspension for non-compliance.
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NISM 3A Securities Intermediaries Compliance
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