NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investigation Reports: Submitted to SEBI for further action.
Disgorgement: SEBI can order return of wrongful gains.
Code of Conduct: Intermediaries adhere to ethical trading standards.
Regulatory Framework: SEBI Act and FUTP Regulations govern compliance.
Client Misrepresentation: Prohibited to mislead clients in transactions.
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NISM 3A Securities Intermediaries Compliance
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