NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct Scope: Covers employees, directors, and connected persons.
Trading Plan Disclosure: Publicly disclosed before implementation.
UPSI Communication: Prohibited unless for legitimate purposes.
Compliance Officer Reporting: Reports violations to SEBI.
Insider Accountability: Insiders liable for UPSI misuse.
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NISM 3A Securities Intermediaries Compliance
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