NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Capital Adequacy: Intermediaries maintain prescribed net worth.
Record Maintenance: Keep records for at least five years.
Client Agreements: Intermediaries enter agreements specifying services.
Segregation of Activities: Separate intermediary activities from other businesses.
Internal Controls: Implement systems to prevent record manipulation.
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NISM 3A Securities Intermediaries Compliance
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