NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Disclosure: Can require information disclosure from intermediaries, banks, or other entities.
SEBI Penalties: Can levy penalties or direct disgorgement of wrongful gains.
SEBI Investigations: Can order investigations into intermediaries for suspected violations.
RBI Monetary Policy: Ensures price stability and adequate credit flow to productive sectors.
RBI Financial Supervision: Oversees banks, FIs, and NBFCs to maintain public confidence.
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NISM 3A Securities Intermediaries Compliance
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