NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Risk Management: Compliance officers oversee internal controls to mitigate operational risks.
SEBI Guidelines: Compliance officers ensure adherence to SEBI’s circulars and master circulars.
Financial Structure Knowledge: Compliance officers understand India’s financial system and intermediaries.
Regulatory Framework: Compliance officers are aware of SEBI, RBI, IRDAI, and PFRDA roles.
Intermediary Obligations: Compliance officers ensure intermediaries meet SEBI regulations.
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