NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Custodians: Hold securities or gold for institutional investors, managing trade settlement, safekeeping, and corporate actions.
Credit Rating Agencies: Rate securities like bonds or fixed deposits, requiring SEBI registration.
Debenture Trustees: Trustees securing debenture issues, ensuring compliance with trust deeds.
Vault Managers: Provide storage and safekeeping for gold in Electronic Gold Receipts (EGRs), coordinating with depositories.
Securities Definition: As per SCRA, 1956, securities include shares, bonds, derivatives, and other instruments like units or security receipts.
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NISM 3A Securities Intermediaries Compliance
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