NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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KYC Updates: Intermediaries update client KYC periodically.
SEBI Circulars: Guide KRA and intermediary KYC processes.
Data Accuracy: KRAs verify and correct client data errors.
Client Verification: Ensures compliance with AML requirements.
KRA Inspections: SEBI conducts audits of KRA operations.
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NISM 3A Securities Intermediaries Compliance
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