NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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PMLA Applicability: Covers all SEBI-registered intermediaries.
Beneficial Ownership: Identify ultimate owners of accounts.
Compliance Training: Staff trained on AML/CFT procedures.
SEBI Master Circular: Guides AML/CFT obligations for intermediaries.
Client Identification: Use Aadhaar, PAN, or other approved IDs.
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NISM 3A Securities Intermediaries Compliance
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