NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
Page 70 Of 232
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Trading Plan Conditions: Must be irrevocable and disclosed.
UPSI Confidentiality: Maintained through NDAs or agreements.
Compliance Officer Records: Maintain records of trading plans.
Insider Trading Impact: Undermines investor confidence and market fairness.
Regulatory Framework: SEBI Act and PIT Regulations govern compliance.
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NISM 3A Securities Intermediaries Compliance
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