NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Guidelines: Specify documents like PAN, Aadhaar for verification.
Client Data Security: KRAs protect client information from breaches.
KRA Record Keeping: Maintain KYC records for five years.
SEBI Oversight: Monitors KRA operations and compliance.
Intermediary KYC: Submit client data to KRAs within timelines.
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NISM 3A Securities Intermediaries Compliance
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