NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Error Correction: Alert clients of factual errors within 24 hours.
Client Communication: Defined process for client and company interaction.
Report Sharing: Share reports with clients and companies simultaneously.
Conflict Disclosure: On every document with voting advice.
SEBI Oversight: Monitors proxy advisor activities and compliance.
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NISM 3A Securities Intermediaries Compliance
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