NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Disclosure Requirements: SEBI can mandate disclosures from intermediaries or banks.
SRO Promotion: SEBI supports self-regulatory organizations for market integrity.
Fee Levy: SEBI can impose fees for regulatory implementation.
Research: SEBI conducts research to support its regulatory functions.
Information Sharing: SEBI collaborates with domestic and foreign authorities.
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NISM 3A Securities Intermediaries Compliance
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