NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Agreements: Specify services and responsibilities.
Data Collation: RTAs manage subscription and allotment data.
Code Violations: Lead to disciplinary actions by SEBI.
RTA Infrastructure: Requires systems for secure operations.
Compliance Monitoring: Regular checks for regulatory adherence.
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NISM 3A Securities Intermediaries Compliance
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