NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Depository Audits: Ensure compliance with SEBI norms.
Securities Safekeeping: Depositories ensure secure storage.
Depository Dispute Resolution: Use SEBI’s ODR framework.
KYC Compliance: Align with SEBI KRA regulations.
Depository Oversight: SEBI ensures regulatory adherence.
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NISM 3A Securities Intermediaries Compliance
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