NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Agreements Specificity: Detail rights and obligations.
RTA Penalties: Include fines or operational restrictions.
KYC Interoperability: RTAs use KRA systems for efficiency.
Investor Data Protection: RTAs implement security measures.
RTA Oversight: SEBI ensures regulatory compliance.
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NISM 3A Securities Intermediaries Compliance
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