NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Requirements: Conduct KYC for clients per SEBI norms.
Penalties for Violations: Fines or suspension for non-compliance.
Research Report Standards: Must be objective and substantiated.
Compliance Officer Duties: Report non-compliance to SEBI.
Conflict Disclosure: Include analyst’s securities holdings.
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NISM 3A Securities Intermediaries Compliance
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