NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Data Confidentiality: Brokers protect client information.
Algo Trading Monitoring: Prevent misuse or market disruption.
Margin Trading Funding: Brokers fund within SEBI limits.
Broker Transparency: Disclose fees, risks, and services.
Portfolio Manager Performance: Calculated using Time Weighted Rate of Return.
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NISM 3A Securities Intermediaries Compliance
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