NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Client Segregation: Separate advisory and distribution activities.
Implementation of Advice: Advisers execute or guide client investments.
Record Maintenance: Keep records for five years.
Compliance Officer: Monitors adherence to SEBI regulations.
Code of Conduct: Advisers maintain integrity and professionalism.
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NISM 3A Securities Intermediaries Compliance
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