NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penal Actions: Include monetary penalties or market bans.
Investor Protection: FUTP regulations safeguard investor interests.
Compliance Officer Role: Monitors adherence to FUTP regulations.
Market Surveillance: SEBI monitors trading to detect violations.
Fraudulent Intent: Must be proven for penal actions.
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NISM 3A Securities Intermediaries Compliance
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