NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Trading Plan Approval: Must be approved by compliance officer.
UPSI Definition: Information impacting security prices, not publicly available.
Insider Penalties: Fines or imprisonment for violating regulations.
Disclosure Timelines: Transactions reported within specified periods.
Code Implementation: Mandatory for listed companies and intermediaries.
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NISM 3A Securities Intermediaries Compliance
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