NISM Series XIII Common Derivatives Certification Exam Notes

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  • Grievance Escalation: Via SCORES for unresolved issues.
  • KYC Policy: Spells out client identification procedures.
  • Client Contact: Must provide contact details on request.
  • Regulatory Oversight: SEBI monitors sales practices for fairness.
  • Investor Protection Services: Include grievance redressal and education.

NISM Common Derivatives

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