NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Insider Definition Expansion: Includes anyone with UPSI access.
Trading Window Closure: Notified to employees in advance.
Disclosure Exemptions: Certain transactions may be exempt.
SEBI Oversight: Monitors compliance with insider trading rules.
Connected Person Liability: Liable for trading on UPSI.
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NISM 3A Securities Intermediaries Compliance
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