NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Pledge Obligations: Ensure proper documentation and execution.
Depository Transparency: Disclose services and fees to clients.
Compliance Monitoring: Regular checks for regulatory adherence.
Depository KYC: Conduct KYC for investor accounts.
Inspection Reports: Submitted to SEBI post-audits.
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NISM 3A Securities Intermediaries Compliance
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