NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Directions: Can restrict trading or access to markets.
Investor Grievances: Addressed through SEBI’s complaint mechanisms.
Fraud Examples: Include circular trading or price rigging.
Investigation Confidentiality: Maintained to protect market stability.
Penal Framework: Ensures deterrence against unfair practices.
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NISM 3A Securities Intermediaries Compliance
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