NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Record Keeping: Maintain records for five years.
SEBI Inspections: Audit RTA operations and compliance.
Investor Protection: RTAs safeguard client interests.
KYC Requirements: RTAs conduct client KYC per SEBI norms.
RTA Penalties: Fines or suspension for non-compliance.
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NISM 3A Securities Intermediaries Compliance
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