NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct Scope: Covers all custodial activities.
Custodian Registration Validity: Valid until suspended or cancelled.
Investor Data Protection: Custodians implement security measures.
Dispute Resolution: Use SEBI’s ODR framework.
Record Retention: Five years post-transaction or closure.
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NISM 3A Securities Intermediaries Compliance
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