NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SAST Compliance: Acquirers adhere to disclosure timelines.
Banker Penalties: Fines or cancellation for violations.
Merchant Banker Role in IPOs: Advise on timing and underwriting.
SAST Definitions: Include acquirer, target company, and control.
Banker Infrastructure: Adequate systems for issue management.
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NISM 3A Securities Intermediaries Compliance
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