NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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AI Usage: Ensure AI/ML applications comply with SEBI regulations.
ODR Mechanism: Facilitates mediation, conciliation, or arbitration.
Record Keeping: Maintain detailed transaction and client records.
Ethical Standards: Intermediaries uphold fairness and transparency.
SEBI Directions: Follow SEBI’s orders to protect investors.
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NISM 3A Securities Intermediaries Compliance
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