NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Merchant Banker Reporting: Submit compliance reports to SEBI.
IPO Disclosures: Include financials, risks, and business details.
Underwriter Liabilities: Cover shortfall in issue subscription.
ICDR Objectives: Protect investors and ensure market integrity.
Rights Issue ISIN: Required for renounceable rights entitlements.
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NISM 3A Securities Intermediaries Compliance
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