NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Rights Issue Process: Includes record date and letter of offer.
Merchant Banker Advisor: Guides on issue timing and structure.
Underwriting Obligations: Include risk assessment and disclosures.
ICDR Penalties: Fines or restrictions for non-compliance.
Offer Document: Includes prospectus or letter of offer.
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NISM 3A Securities Intermediaries Compliance
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