NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Oversight: Ensures intermediaries operate within regulations.
Compliance Training: Staff trained on regulatory requirements.
Penalties for Non-Compliance: Include monetary fines and suspension.
Intermediary Accountability: Responsible for all regulatory compliance.
Insider Definition: Person with unpublished price-sensitive information (UPSI).
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NISM 3A Securities Intermediaries Compliance
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