NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Duties: Report non-compliance to SEBI.
KYC Compliance: Align with SEBI KRA regulations.
Record Access: SEBI can access custodian records for inspections.
Custodian Transparency: Disclose services and fees to clients.
Compliance Officer Role: Ensures regulatory adherence.
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NISM 3A Securities Intermediaries Compliance
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