NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Prohibition of Unfair Practices: Prevents insider trading and fraudulent activities.
Investor Education: SEBI promotes training and education for intermediaries.
Inspection Powers: SEBI can inspect books of listed companies for violations.
Disciplinary Actions: SEBI can suspend trading or restrain market access.
Asset Attachment: SEBI can attach assets involved in violations for up to 90 days.
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NISM 3A Securities Intermediaries Compliance
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