NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SAST Offer Price: Based on market price or negotiated price.
Banker Transparency: Disclose fees and services to clients.
Merchant Banker Record Keeping: Maintain issue-related records.
SAST Escrow Account: Mandatory for open offer funds.
Banker Due Diligence: Verify application and allotment data.
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NISM 3A Securities Intermediaries Compliance
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