NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct Violations: Lead to disciplinary actions by SEBI.
Inspection Scope: Covers financial, operational, and compliance aspects.
Record Access: SEBI can access intermediary records anytime.
Client Confidentiality: Maintain confidentiality of client data.
Ethical Operations: Avoid conflicts of interest in services.
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NISM 3A Securities Intermediaries Compliance
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