NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Fraudulent Practices: Include misrepresentation, deceit, or market manipulation.
Unfair Trade Practices: Actions harming investors or market integrity.
SEBI Investigation: Can probe suspected fraudulent transactions.
Prohibited Dealings: Include front-running, pump-and-dump, and spoofing.
Investigation Process: SEBI appoints officers to investigate violations.
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NISM 3A Securities Intermediaries Compliance
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