NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Duties: Report non-compliance to SEBI.
KYC Compliance: Align with SEBI KRA regulations.
RTA Dispute Resolution: Use SEBI’s ODR framework.
Record Retention: Five years post-transaction or closure.
RTA Code of Conduct: Ensures ethical client dealings.
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NISM 3A Securities Intermediaries Compliance
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