NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Default Actions: Include suspension or cancellation of registration.
Compliance Officer: Intermediaries appoint officers to monitor compliance.
Cyber Security Framework: Intermediaries comply with SEBI’s cyber security guidelines.
AI and ML Compliance: Regulate use of artificial intelligence in operations.
ODR Framework: SEBI’s online dispute resolution for intermediary disputes.
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NISM 3A Securities Intermediaries Compliance
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