NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Oversight: Monitors intermediary AML compliance.
Client Data Confidentiality: Protected under PMLA guidelines.
Enhanced Due Diligence: For politically exposed persons (PEPs).
Transaction Patterns: Monitored for unusual activities.
PMLA Framework: Aligns with global FATF standards.
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NISM 3A Securities Intermediaries Compliance
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