NISM Series 7 Securities Operations Certification Exam Notes
Page 18 Of 97
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Clearing Corporations: Act as counterparties to mitigate settlement risks.
Depositories: Facilitate dematerialized securities holding and transfer.
Client Protection: SEBI mandates safeguards against broker defaults.
Regulatory Compliance: Participants must adhere to SEBI and exchange rules.
Market Surveillance: SEBI monitors trading to prevent manipulation.
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