NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Inspections: Audit adviser operations and compliance.
Investor Protection: Advisers prioritize client interests.
KYC Requirements: Conduct client KYC per SEBI norms.
Penalties for Violations: Fines or suspension for non-compliance.
Risk Profiling Process: Includes client financial goals and risk tolerance.
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