NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Intermediary Compliance: Adhere to KRA regulations for KYC.
KYC Interoperability: Allows seamless data access across KRAs.
Penalties for Non-Compliance: Fines or KRA registration cancellation.
Client Data Access: Authorized intermediaries access KYC via KRAs.
KRA Infrastructure: Must support secure data storage and retrieval.
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