NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Documentation: Compliance officers maintain records of compliance activities.
Training Requirement: Compliance officers may need continuous professional education (CPE).
Market Integrity: Compliance ensures fair and transparent market operations.
Investor Confidence: Effective compliance enhances trust in securities markets.
SEBI Inspections: Compliance officers facilitate SEBI’s inspection and audit processes.
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