NISM Series XIII Common Derivatives Certification Exam Notes
Page 96 Of 303
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Grievance Process: Starts with intermediary, escalates to SCORES if unresolved.
Client Protection: SEBI ensures safeguards against unfair practices.
Sales Practices: Prohibit exploiting client inexperience or vulnerability.
Account Statements: Investors must monitor for abnormal changes.
Annual Reviews: Recommended with investment advisers for planning.
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