NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Banker Compliance Officer: Monitors regulatory adherence.
Merchant Banker Responsibilities: Ensure issue compliance with SEBI.
SAST Control Definition: Ability to influence company management.
Banker Dispute Resolution: Use SEBI’s ODR framework.
Merchant Banker KYC: Conduct KYC for issue-related clients.
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NISM 3A Securities Intermediaries Compliance
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