NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct: Maintain integrity and professionalism.
Compliance Officer: Monitors adherence to SEBI regulations.
Disclosure Requirements: Include research extent and conflicts.
Record Maintenance: Keep voting recommendation records.
SEBI Inspections: Audit proxy advisor operations and compliance.
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NISM 3A Securities Intermediaries Compliance
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