NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes

Page 31 Of 232

Go to:

  • Transaction Monitoring: Ensure transactions comply with SEBI regulations.
  • Policy Implementation: Develop and enforce internal compliance policies.
  • Grievance Redressal Mechanism: Establish systems for resolving investor complaints.
  • Compliance Training: Educate staff on regulatory requirements and compliance.
  • SEBI Act Objective: Protects investors, promotes, and regulates securities markets.

NISM 3A Securities Intermediaries Compliance

Copyright 2025 - MODELEXAM MODELEXAM®