NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct Scope: Covers all advisory activities.
Adviser Registration Validity: Valid until suspended or cancelled.
Investor Data Protection: Advisers implement security measures.
Disclosure of Interests: Include family or employer holdings.
Advice Standards: Avoid misleading or unsuitable recommendations.
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NISM 3A Securities Intermediaries Compliance
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