NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investigation Powers: SEBI can summon records or persons.
FUTP Scope: Applies to all securities market participants.
Regulatory Updates: Aligned with SEBI circulars and guidelines.
Client Protection: Safeguards clients from deceptive practices.
Market Surveillance Systems: Detect unusual trading patterns.
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NISM 3A Securities Intermediaries Compliance
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