NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Analyst Transparency: Disclose methodologies and assumptions.
Compliance Officer Role: Ensures regulatory adherence.
Penalties Scope: Vary based on violation severity.
Client Data Confidentiality: Protected under analyst regulations.
Research Analyst Audits: Conducted by SEBI for compliance.
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NISM 3A Securities Intermediaries Compliance
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