NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Interoperability: Trustees use KRA systems for efficiency.
Trustee Dispute Resolution: Use SEBI’s ODR framework.
Record Retention: Five years post-issue closure.
Trustee Penalties: Include fines or operational restrictions.
Issuer Oversight: Trustees monitor issuer financial health.
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NISM 3A Securities Intermediaries Compliance
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