NISM 10A Investment Adviser Level 1 Notes
Page 153 Of 181
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Folio Records: Maintain detailed records of mutual fund investments.
Payment Disputes: Resolved through bank or intermediary grievance systems.
Regulatory Filings: Advisers must report transactions and client details.
Client Communication: Regular updates on investment status and processes.
Operational Risks: Include errors in transaction execution or documentation.
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NISM 10A NISM Investment Adviser Level 1
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