NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Broker Audits: Conducted by exchanges and SEBI.
Compliance Officer Duties: Report non-compliance to SEBI.
Underwriting Conditions: Include financial capacity and disclosures.
Portfolio Manager Code: Adhere to ethical investment practices.
Broker Dispute Resolution: Use SEBI’s ODR framework.
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