NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penalties for Intermediaries: Include suspension or cancellation.
Fraud Prevention: Intermediaries implement internal controls.
Investor Confidence: FUTP enhances trust in market operations.
SEBI Enforcement: Strict enforcement to deter violations.
PMLA Objective: Prevents money laundering and terrorist financing.
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NISM 3A Securities Intermediaries Compliance
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