NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Depository Services: Include demat, remat, and transfers.
Penalties Scope: Vary based on violation severity.
Investor Account Maintenance: Managed through DPs.
Depository Code Violations: Lead to disciplinary actions.
SEBI Guidelines: Govern depository operations and compliance.
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NISM 3A Securities Intermediaries Compliance
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