NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Account Segregation: Separate accounts for each investor.
Depository Infrastructure Standards: Meet SEBI requirements.
Penal Actions: SEBI can suspend or cancel registration.
Investor Rights: Include access to account details and transfers.
Depository Transparency: Disclose operational processes to SEBI.
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NISM 3A Securities Intermediaries Compliance
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