NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Merchant Banker Code: Adhere to ethical standards in issues.
Issue Monitoring: Merchant bankers oversee issue processes.
ICDR Record Keeping: Maintain records for five years.
SEBI Inspections: Audit issuer and merchant banker compliance.
Rights Issue Disclosures: Include purpose and pricing details.
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NISM 3A Securities Intermediaries Compliance
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