NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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FIU-India: Monitors suspicious transactions under PMLA to combat money laundering.
Legislative Framework: Includes SEBI Act, SCRA, Depositories Act, and Companies Act.
Stock Exchange Bye-Laws: Govern member conduct, trading, and settlement processes.
Taxes on Securities: Include STT, capital gains tax, and stamp duty, subject to Finance Act changes.
SEBI Act Section 11(2): Empowers SEBI to regulate intermediaries and markets.
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