NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Internal Controls: Compliance officers ensure robust systems to prevent violations.
SEBI Certification: NISM-Series-III-A exam tests compliance knowledge for non-fund intermediaries.
Regulatory Awareness: Compliance officers must understand financial and regulatory structures.
Penal Actions: Non-compliance leads to penalties, suspension, or cancellation of registration.
Code of Conduct: Compliance officers adhere to ethical standards in their duties.
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