NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Merchant Banker Disclosures: Provide accurate issue-related information.
SAST Penalties: Fines or restrictions for non-compliance.
Banker Client Agreements: Specify services and responsibilities.
Merchant Banker Audits: Subject to SEBI inspections.
SAST Reporting: Disclose shareholding changes to exchanges.
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NISM 3A Securities Intermediaries Compliance
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