NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Voting Recommendation Records: Maintained for SEBI review.
Conflict Disclosure Scope: Includes shareholding or consulting conflicts.
Advisor Transparency: Disclose operational processes to SEBI.
Shareholder Meetings: Advisors analyze mergers, appointments, and pay.
SEBI Oversight: Ensures proxy advisor regulatory compliance.
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NISM 3A Securities Intermediaries Compliance
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