NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Audit Facilitation: Assist in audits of intermediaries’ books and records.
SEBI Reporting: Submit compliance reports to SEBI as required.
Ethical Standards: Uphold integrity and professionalism in compliance activities.
Investor Education: Support SEBI’s investor education initiatives.
Regulatory Liaison: Act as a point of contact with SEBI for regulatory matters.
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