NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Risk Management: Brokers implement robust risk controls.
SEBI Circulars: Guide broker operations and compliance.
Client Grievance Redressal: Brokers resolve complaints promptly.
Algo Trading Approval: Requires system audits and controls.
Margin Trading Disclosure: Inform clients of risks and costs.
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NISM 3A Securities Intermediaries Compliance
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