NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Banker Code of Conduct: Maintains ethical standards in operations.
Due Diligence Scope: Covers prospectus accuracy and compliance.
SAST Exemptions: Certain acquisitions exempt from open offer.
Banker Record Keeping: Maintain records for five years.
Merchant Banker Reporting: Submit due diligence certificates to SEBI.
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NISM 3A Securities Intermediaries Compliance
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