NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Agreements: Specify research services and fees.
Record Retention: Five years post-report issuance.
Analyst Penalties: Include fines or operational restrictions.
KYC Interoperability: Analysts use KRA systems for efficiency.
Research Analyst Transparency: Disclose research processes to clients.
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NISM 3A Securities Intermediaries Compliance
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