NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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In-Person Verification (IPV): Mandatory for client KYC.
KRA Surrender: Must transfer records to another KRA on surrender.
Interoperability: KRAs share data to avoid duplication.
KRA Obligations: Ensure accuracy and security of KYC data.
Compliance Officer: KRAs appoint officers to monitor compliance.
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