NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investor Grievances: Analysts resolve complaints promptly.
Disclosure Timelines: Specified for conflict and interest disclosures.
Analyst Certification: Requires NISM-Series-XV exam.
KYC Compliance: Align with SEBI KRA regulations.
Research Report Access: SEBI can access reports for inspections.
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