NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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General Obligations: Intermediaries must maintain high ethical standards.
Fit and Proper Criteria: Intermediaries must meet SEBI’s integrity standards.
Code of Conduct: Specifies ethical behavior for intermediaries.
Inspection by SEBI: Intermediaries subject to periodic inspections.
Disciplinary Proceedings: SEBI can initiate actions for non-compliance.
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NISM 3A Securities Intermediaries Compliance
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