NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Role: Ensures regulatory adherence.
Penalties Scope: Vary based on violation severity.
Debenture Holder Rights: Include access to issue details.
Trustee Infrastructure Standards: Meet SEBI requirements.
Trust Deed Monitoring: Ensure issuer compliance with terms.
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NISM 3A Securities Intermediaries Compliance
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