NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer: Monitors adherence to SEBI regulations.
Confidentiality: CRAs protect client and rating data.
Rating Process: Follows standardized and transparent methods.
Promoter Restrictions: CRAs cannot rate promoter-issued securities.
SEBI Inspections: Audit CRA operations and compliance.
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