NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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IPV Process: Conducted by intermediaries or authorized agencies.
KRA Registration Conditions: Include infrastructure and fit criteria.
Client Consent: Required for KYC data sharing with KRAs.
KRA Code of Conduct: Ensures transparency and professionalism.
Record Transfer: On KRA surrender, data moves to another KRA.
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NISM 3A Securities Intermediaries Compliance
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