NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Inspections: Audit broker operations and compliance.
Client Protection: Brokers safeguard client funds and securities.
Code of Conduct Violations: Lead to disciplinary actions.
Broker Registration: Valid until suspended or cancelled.
Underwriting Obligations: Include due diligence and disclosures.
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NISM 3A Securities Intermediaries Compliance
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