Series III-AOperations & Compliance2.98 MB PDF
NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) Workbook
Statutory manual for Compliance Officers at stock brokerages, depository participants, and merchant banks covering SEBI Act, SCRA, Insider Trading, and PMLA.
What’s Covered in This Official Workbook
Prevention of Insider Trading (PIT) Regulations
Anti-Money Laundering & PMLA frameworks
Compliance officer statutory reporting
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This study material is provided free of cost for student benefit and exam preparation. Official registered certifications can be scheduled directly at nism.ac.in.