NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Reporting Entities: Include intermediaries like brokers and DPs.
KYC Requirements: Mandatory client identification and verification.
Suspicious Transactions: Reported to Financial Intelligence Unit (FIU)-India.
Record Maintenance: Transactions recorded for at least five years.
Compliance Officer Role: Monitors PMLA compliance and reports STRs.
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