NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Portfolio Manager Role: Manage client portfolios per agreement.
Compliance Monitoring: Regular checks for regulatory adherence.
Client KYC: Brokers conduct KYC as per SEBI norms.
Transaction Reporting: Report trades to exchanges and SEBI.
Broker Fee Structure: Disclosed to clients in agreements.
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NISM 3A Securities Intermediaries Compliance
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