NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Disclosure Triggers: Significant shareholding changes or UPSI events.
Code of Conduct Updates: Aligned with SEBI circulars.
Penal Framework: Ensures deterrence against insider trading.
Investor Protection: Regulations safeguard market transparency.
FUTP Objective: Prohibits fraudulent and unfair trade practices in securities.
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NISM 3A Securities Intermediaries Compliance
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