NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Disclosure Requirements: Insiders report transactions to compliance officers.
Connected Persons: Include those with access to UPSI, like auditors or relatives.
Trading Restrictions: Insiders cannot trade during closed periods.
Code of Conduct Elements: Include monitoring, reporting, and restrictions.
Compliance Officer Duties: Ensure UPSI is not misused.
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