NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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High-Risk Clients: Enhanced due diligence for high-risk clients.
Transaction Records: Maintained in retrievable formats.
FIU-India Role: Analyzes STRs to combat money laundering.
PMLA Offenses: Include laundering proceeds of crime.
Internal Controls: Prevent misuse of financial systems.
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