NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investor Grievances: Depositories address client complaints.
SEBI Inspections: Regular and surprise audits of depositories.
Record Access: SEBI can access depository records.
Depository Penalties: Include fines or operational restrictions.
Client Data Security: Depositories protect investor information.
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NISM 3A Securities Intermediaries Compliance
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