NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Conflict Management: Policies to mitigate conflicts of interest.
SEBI Guidelines: Govern adviser operations and compliance.
Client KYC Updates: Triggered by changes in client details.
Adviser Reporting: Submit compliance reports to SEBI.
Advice Accuracy: Advisers verify data before recommendations.
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NISM 3A Securities Intermediaries Compliance
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