NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Merchant Banker Penalties: Fines or suspension for non-compliance.
SAST Open Offer: Mandatory for acquiring significant shares.
Banker Obligations: Handle refunds and dividend payments.
Merchant Banker Code: Ensures transparency in issue management.
SAST Trigger: Acquisitions exceeding 25% require open offer.
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NISM 3A Securities Intermediaries Compliance
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