NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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ICDR Disclosure Timelines: Strict deadlines for offer documents.
Merchant Banker KYC: Conduct KYC for issue-related clients.
Rights Issue Renunciation: Shareholders can renounce rights.
ICDR Penalties Scope: Vary based on violation severity.
Merchant Banker Advisory Scope: Covers regulatory and market aspects.
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NISM 3A Securities Intermediaries Compliance
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