NISM Series 7 Securities Operations Certification Exam Notes
Page 35 Of 97
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Contract Note Issuance: Mandatory within 24 hours of trade execution.
Client Risk Profiling: Assesses client suitability for trading.
Electronic Fund Transfer: Ensures secure client fund transactions.
Broker Audits: Conducted to verify compliance and operations.
Market Access Facilities: Include DMA, SOR, and algorithmic trading.
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