NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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DP Services: Include demat, remat, and securities transfers.
Client Account Segregation: Separate accounts for each client.
Pledge Monitoring: DPs track pledge and hypothecation activities.
DP Transparency: Disclose fees and services to clients.
Compliance Officer Duties: Report non-compliance to SEBI.
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NISM 3A Securities Intermediaries Compliance
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