NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Duties: Report non-compliance to SEBI.
Client Agreements: Specify advisory services and fees.
Disclosure Timelines: Specified for conflict and interest disclosures.
Adviser Certification: Requires NISM-Series-X-A and X-B exams.
KYC Compliance: Align with SEBI KRA regulations.
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