NISM 10A Investment Adviser Level 1 Notes
Page 108 Of 181
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Regulatory Penalties: Non-compliance with SEBI norms leads to fines or bans.
Client Trust: Built through transparency and consistent performance.
Portfolio Diversification: Spreads risk across asset classes and sectors.
Performance Tracking: Uses metrics like alpha and Sharpe ratio for evaluation.
Client Communication: Regular updates ensure clients are informed of portfolio status.
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NISM 10A NISM Investment Adviser Level 1
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