NISM Series 7 Securities Operations Certification Exam Notes
Page 15 Of 97
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SEBI Regulations: Govern registration and conduct of market participants.
Know Your Client (KYC): Mandatory process to verify client identity.
Depositories Act, 1996: Regulates depositories for electronic securities holding.
Stock Exchange Membership: Requires compliance with SEBI and exchange rules.
Anti-Money Laundering (AML): SEBI guidelines to prevent illicit financial activities.
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