NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Capital Requirements: Vary by intermediary type, e.g., Rs. 50 crores for custodians.
Inspection Frequency: SEBI conducts regular and surprise inspections.
Default Consequences: Loss of registration or financial penalties.
Compliance Officer Role: Monitor adherence to SEBI rules.
Client Agreements Specificity: Detail services, fees, and obligations.
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