NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Market Integrity: FUTP ensures transparent and fair markets.
Investigation Timelines: SEBI specifies timelines for probes.
Penalties Scope: Vary based on violation severity.
False Statements: Prohibited in public communications or filings.
Compliance Monitoring: Regular checks to prevent unfair practices.
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NISM 3A Securities Intermediaries Compliance
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