NISM 10A Investment Adviser Level 1 Notes

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  • Documentation Standards: SEBI mandates clear records for financial advice.
  • Mutual Fund Trading: Exchange platforms enable direct and regular plan investments.
  • Operational Efficiency: Technology reduces errors and speeds up processes.
  • Client Data Security: Protects sensitive information during transactions.
  • KYC Updates: Required periodically or on change in client details.

NISM 10A NISM Investment Adviser Level 1

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