NISM Series 7 Securities Operations Certification Exam Notes
Page 20 Of 97
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PMLA Obligations: Require record-keeping and suspicious transaction reporting.
Insider Trading Penalties: Include fines and imprisonment for violations.
Client Onboarding: Involves KYC and risk disclosure agreements.
Stock Exchange Listing: Requires in-principle approval from exchanges.
Regulatory Reporting: Participants submit periodic compliance reports.
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