NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
Page 139 Of 232
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Underwriter Due Diligence: Verify issuer financials and risks.
ICDR Investor Protection: Safeguards through disclosures and compliance.
Rights Issue Letter of Offer: Filed with SEBI and exchanges.
Merchant Banker Responsibilities: Include investor grievance redressal.
ICDR Listing Requirements: Specify conditions for stock exchanges.
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NISM 3A Securities Intermediaries Compliance
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