NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Cyber Security Compliance: Ensure adherence to SEBI’s cyber security framework.
AI and ML Compliance: Monitor use of artificial intelligence in intermediary operations.
ODR Framework: Compliance officers handle disputes via SEBI’s online dispute resolution.
Fit and Proper Criteria: Compliance officers ensure intermediaries meet SEBI’s fit and proper standards.
Anti-Money Laundering: Compliance officers implement PMLA guidelines.
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NISM 3A Securities Intermediaries Compliance
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