NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Insider Trading Prevention: Monitor compliance with insider trading regulations.
Fraud Prevention: Ensure adherence to SEBI’s FUTP regulations.
KYC Compliance: Oversee KYC processes as per SEBI KRA regulations.
Client Interaction: Compliance officers ensure fair dealings with clients.
Record Keeping: Maintain records as per regulatory requirements.
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NISM 3A Securities Intermediaries Compliance
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