NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investor Grievances: CRAs resolve complaints promptly.
Rating Process Transparency: Disclose rating criteria to public.
CRA Certification: Requires NISM-Series-III-A exam.
KYC Compliance: Align with SEBI KRA regulations.
Record Access: SEBI can access CRA records for inspections.
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