NISM Series XIII Common Derivatives Certification Exam Notes
Page 95 Of 303
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KYC Documents: Include Aadhar, passport, or bank statements for verification.
Suspicious Transactions: Reported without informing the client.
Investor Do’s: Deal only with SEBI-registered intermediaries.
Investor Don’ts: Avoid unregistered brokers or cash payments.
Complaint Types: Include non-delivery, pricing errors, or compliance issues.
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