NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Inspection Reports: Submit reports post-SEBI inspections.
Disciplinary Measures: Include fines, suspension, or debarment.
Fit and Proper Standards: Assess integrity, reputation, and competence.
Client Protection: Intermediaries safeguard client assets and interests.
Cyber Security Compliance: Protect systems from cyber threats.
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NISM 3A Securities Intermediaries Compliance
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