NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Role: Monitors KRA regulatory adherence.
KYC Simplification: KRAs reduce duplication in client onboarding.
Data Confidentiality: KRAs ensure client data privacy.
SEBI Guidelines: Specify KYC norms for intermediaries and KRAs.
IPV Requirements: Include physical or digital verification methods.
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NISM 3A Securities Intermediaries Compliance
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