NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Record Access: Available to FIU-India or SEBI on request.
Client Verification: Conducted at account opening and periodically.
Suspicious Activity Examples: Include large cash transactions or layering.
PMLA Penalties Scope: Vary based on offense severity.
Compliance Monitoring: Regular audits to ensure AML adherence.
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NISM 3A Securities Intermediaries Compliance
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