NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investor Grievances: Advisers resolve complaints promptly.
Client Data Confidentiality: Protected under adviser regulations.
Adviser Audits: Conducted by SEBI for compliance.
Investor Rights: Access to suitable investment advice.
Adviser Infrastructure Standards: Meet SEBI requirements.
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NISM 3A Securities Intermediaries Compliance
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