NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer: Monitors adherence to SEBI regulations.
Segregation of Activities: Separate custodial from other businesses.
Internal Controls: Prevent record manipulation and ensure security.
Client Agreements: Specify services, fees, and obligations.
SEBI Inspections: Audit custodian operations and compliance.
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NISM 3A Securities Intermediaries Compliance
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