NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Banker Code Violations: Lead to disciplinary actions.
Merchant Banker Underwriting: Ensure issue subscription with due diligence.
SAST Market Impact: Enhances transparency in takeovers.
Banker KYC Compliance: Align with SEBI KRA regulations.
Merchant Banker Advisory Role: Guide issuers on regulatory requirements.
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NISM 3A Securities Intermediaries Compliance
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