NISM 10A Investment Adviser Level 1 Notes
Page 155 Of 181
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Investment Advisers Regulations: SEBI’s 2013 rules mandate registration and client-focused advice.
PMLA 2002: Prevents money laundering, requiring KYC and transaction reporting.
Other Acts: Include Companies Act and FEMA, impacting advisory practices.
SEBI Orders: Enforce compliance through penalties, bans, or corrective actions.
Regulatory Violations: Lead to fines, suspensions, or cancellation of adviser registration.
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NISM 10A NISM Investment Adviser Level 1
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