NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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IFSCA Role: Unified authority for regulating financial products and services in India’s IFSC.
Self-Regulatory Organizations (SROs): Intermediary groups upholding ethical standards, requiring SEBI recognition.
SEBI Establishment: Formed as a non-statutory body in 1988, statutory in 1992 under SEBI Act.
SEBI Functions: Regulate stock exchanges, register intermediaries, promote SROs, and prohibit unfair practices.
SEBI Powers: Include inspection, suspension of trading, and attachment of assets for investigations.
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