NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Insider Trading Prohibition: Dealing or communicating UPSI is prohibited.
Code of Conduct: Entities must establish codes to prevent insider trading.
Compliance Officer Role: Monitors adherence to insider trading regulations.
Trading Plan: Allows insiders to trade under pre-approved plans.
UPSI Preservation: Entities ensure confidentiality of price-sensitive information.
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NISM 3A Securities Intermediaries Compliance
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