NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Bankers to Issues: Scheduled banks managing application money, allotments, refunds, and dividend/interest payments for companies.
Registrars and Share Transfer Agents: Handle data collation, allotment, and share transfers for public or rights issues.
Stock Brokers: SEBI-registered entities executing buy/sell transactions for clients, earning brokerage, and marketing new issues.
Portfolio Managers: Manage individual portfolios or provide investment advice for a fee or profit share.
Mutual Funds: Trusts mobilizing funds from investors to invest according to specified objectives, issuing units in open-end or closed-end schemes.
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NISM 3A Securities Intermediaries Compliance
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