NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Interoperability: Advisers use KRA systems for efficiency.
Adviser Transparency: Disclose advisory processes to clients.
Risk Profiling Standards: Ensure advice aligns with client needs.
IFSC Guidelines: Specify adviser operations in IFSC.
Adviser Oversight: SEBI ensures regulatory compliance.
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NISM 3A Securities Intermediaries Compliance
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