NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Membership Suspension: Exchanges can suspend non-compliant members.
SCRR Record Keeping: Mandates detailed transaction records.
Exchange Oversight: Ensures compliance with SCRA and SCRR.
Investor Safeguards: SCRA protects investors from unfair practices.
Intermediary Registration: Mandatory for entities like brokers, DPs, and merchant bankers.
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NISM 3A Securities Intermediaries Compliance
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