NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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DP Registration: Requires SEBI approval and net worth.
DP Obligations: Include client servicing and record keeping.
Code of Conduct: DPs maintain integrity and professionalism.
Pledge Creation: DPs facilitate pledge or hypothecation.
Default Actions: SEBI can suspend or cancel DP registration.
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NISM 3A Securities Intermediaries Compliance
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