NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Requirements: DPs conduct client KYC per SEBI norms.
Pledge Process: Involves documentation and depository approval.
DP Penalties: Fines or suspension for non-compliance.
Client Data Security: DPs protect investor information.
Code Violations: Lead to disciplinary actions by SEBI.
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NISM 3A Securities Intermediaries Compliance
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