NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Inspections: Cover books, records, and compliance adherence.
Action on Default: SEBI can impose penalties or suspend registration.
Code of Conduct Adherence: Ensures integrity and professionalism.
Investor Grievance Redressal: Intermediaries resolve client complaints.
Compliance Reporting: Report non-compliance to SEBI immediately.
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NISM 3A Securities Intermediaries Compliance
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