NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer: Monitors DP regulatory adherence.
Client Agreements: Specify services and responsibilities.
Record Keeping: DPs maintain records for five years.
SEBI Inspections: Audit DP operations and compliance.
Investor Protection: DPs safeguard client securities.
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NISM 3A Securities Intermediaries Compliance
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