NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Custodian Penalties: Include fines or operational restrictions.
Client Agreements Specificity: Detail rights and obligations.
KYC Interoperability: Custodians use KRA systems for efficiency.
Asset Safekeeping: Ensure secure storage of securities and goods.
Compliance Monitoring Systems: Detect violations in operations.
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NISM 3A Securities Intermediaries Compliance
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