NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI (CAPSM) Regulations, 2007: Mandates certification for compliance officers of specified intermediaries.
Compliance Officer Appointment: Mandatory for intermediaries like stock brokers, DPs, and merchant bankers.
Compliance Officer Responsibilities: Ensure regulatory adherence, internal controls, and investor protection.
Reporting Structure: Compliance officers report independently to SEBI on non-compliance.
Stakeholder Responsibilities: Protect investors, issuers, and intermediaries through compliance.
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