NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penal Provisions: SCRA outlines penalties for non-compliance.
Exchange Governance: Bye-laws ensure fair and transparent operations.
Securities Transfer: Regulated to ensure proper ownership changes.
SCRR Membership Criteria: Include financial soundness and experience.
Audit Compliance: Members submit to annual audits by exchanges.
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NISM 3A Securities Intermediaries Compliance
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