NISM Series 7 Securities Operations Certification Exam Notes
Page 44 Of 97
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Regulatory Compliance: Brokers adhere to SEBI margin rules.
Penalty Mechanisms: Imposed for margin shortfalls or non-compliance.
Client Risk Profiling: Assesses suitability for trading products.
Block Mechanism: Ensures securities delivery for settlement.
Surveillance Measures: Monitor trading for fraud or manipulation.
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