NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Market Manipulation Impact: Undermines investor trust and market fairness.
Compliance Officer Duties: Report suspected fraudulent activities.
SEBI Oversight: Ensures adherence to FUTP regulations.
Trading Restrictions: Imposed on violators to protect markets.
Disclosure Requirements: Accurate disclosures prevent fraud.
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NISM 3A Securities Intermediaries Compliance
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