NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Trading Window: Closed during sensitive periods to prevent trading.
UPSI Handling: Restricted to need-to-know basis.
Compliance Monitoring: Regular checks to prevent insider trading.
Reporting Requirements: Insiders report shareholdings and transactions.
Penal Actions: SEBI can impose penalties or disgorge profits.
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NISM 3A Securities Intermediaries Compliance
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