NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Disciplinary Proceedings: Compliance officers report violations for SEBI action.
Legal Compliance: Ensures adherence to laws like PMLA and SCRA.
Role in Governance: Compliance officers contribute to corporate governance standards.
Client Protection: Compliance officers safeguard client interests in transactions.
Regulatory Updates: Compliance officers stay updated on SEBI’s regulatory changes.
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NISM 3A Securities Intermediaries Compliance
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