NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penalties for Violation: Include fines up to Rs. 25 crores or imprisonment.
Trading Plan Flexibility: Allows scheduled trading to avoid violations.
Compliance Officer Independence: Reports directly to board or SEBI.
UPSI Examples: Include financial results, mergers, or dividends.
Code Enforcement: Strict enforcement to maintain market integrity.
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NISM 3A Securities Intermediaries Compliance
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