NISM Series 7 Securities Operations Certification Exam Notes
Page 23 Of 97
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Market Integrity: Maintained through SEBI’s surveillance mechanisms.
Non-Resident Investors: Subject to specific KYC and investment rules.
Stock Broker Responsibilities: Include timely contract note issuance.
Client Confidentiality: Brokers must protect client information.
PMLA Reporting: Mandates suspicious transaction reporting to FIU-IND.
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