NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Research Analyst Oversight: SEBI ensures regulatory compliance.
Disclosure of Interests: Include family or employer holdings.
Research Report Standards: Avoid misleading or exaggerated claims.
Compliance Monitoring Systems: Detect violations in reports.
Analyst Dispute Resolution: Use SEBI’s ODR framework.
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NISM 3A Securities Intermediaries Compliance
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