NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Disgorgement: SEBI can direct disgorgement of wrongful gains to the Investor Protection Fund.
Prospectus Regulation: SEBI regulates issuance of offer documents and advertisements.
Penalties: SEBI can levy penalties for violations after recording reasons.
Investigation Powers: SEBI can investigate intermediaries for detrimental transactions.
Civil Court Powers: SEBI has powers like a civil court for certain matters.
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NISM 3A Securities Intermediaries Compliance
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