NISM Series 7 Securities Operations Certification Exam Notes
Page 29 Of 97
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KRA System: Centralizes KYC data for intermediaries.
SEBI Circulars: Guide broker operations and compliance.
Trade Confirmation: Sent instantly to brokers upon trade execution.
Client Funds Segregation: Ensures client funds are separate from broker’s.
Broker Responsibilities: Include timely reporting and client communication.
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