NISM Series 12 Securities Markets Foundation Certification Exam Notes
Page 15 Of 93
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Market Efficiency: Securities markets reduce fraud risks, ensuring safer capital transfers.
Investor Confidence: Liquidity and price discovery boost investor confidence in long-term investments.
SEBI Inspections: SEBI conducts routine inspections to ensure intermediary compliance.
Penalties by SEBI: SEBI can impose suspensions, fines, or prosecutions for violations.
KYC Interoperability: KRAs share KYC data across SEBI intermediaries, simplifying investor processes.
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