NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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IFSCA in IFSC: Regulates financial services in GIFT City for global integration.
SEBI Research: Conducts research to support regulatory objectives.
SAT Jurisdiction: Handles appeals against SEBI decisions, ensuring due process.
Compliance Definition: Ensuring adherence to laws, regulations, and guidelines in securities markets.
Compliance Officer Role: Monitors compliance, reports non-compliance, and addresses investor grievances.
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