NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Dividend Payouts: RTAs handle dividend distribution.
Corporate Actions: RTAs manage rights issues and buybacks.
RTA Due Diligence: Verify data accuracy for issues.
Client Servicing: RTAs provide timely investor support.
RTA Record Access: Available to SEBI for audits.
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NISM 3A Securities Intermediaries Compliance
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