NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Merchant Banker Role: Assist in securities issuance and regulatory compliance.
Merchant Banker Registration: Requires SEBI approval and capital adequacy.
Capital Adequacy: Minimum net worth of Rs. 5 crores for merchant bankers.
Code of Conduct: Merchant bankers maintain integrity and professionalism.
Due Diligence: Conduct thorough checks for issue-related documents.
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NISM 3A Securities Intermediaries Compliance
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