NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code Violations: Lead to disciplinary actions by SEBI.
Custodian Infrastructure: Requires vaults and systems for operations.
Compliance Monitoring: Regular checks for regulatory adherence.
Investor Grievances: Custodians resolve complaints promptly.
Client Account Segregation: Separate accounts for each client.
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NISM 3A Securities Intermediaries Compliance
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